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Faculty Resources

The SI program addresses historically challenging courses by providing out-of-class, peer-facilitated sessions. Instead of targeting specific students, it focuses on classes with a history of difficulty. Sessions start in the first week of the term, with flexible Zoom schedules for student convenience.

SI Leaders, proficient in the course and facilitation, lead diverse sessions, emphasizing inclusivity. Continuous training ensures leaders are well-equipped, integrating learning strategies seamlessly. Regular meetings between leaders and managers reinforce skill mastery.

Students benefit from mastering learning strategies, with SI Leaders collaborating closely with faculty for tailored support. SI emphasizes holistic educational enhancement, aiming to improve graduation rates and cultivate independent, successful learners.

For faculty, SI enhances student readiness, assessment, and connection with student needs, maintaining academic standards. Participants experience improved learning, focused reviews, engaging sessions, networking opportunities, and academic performance boosts.

Faculty Role

Faculty support is crucial for the success of the SI Program. When students perceive faculty and SI Leaders as a team, participation increases significantly. However, we understand faculty's busy schedules and do not expect them to commit more than they can. SI aims to save faculty time, not add to their workload.

The requirements for faculty involvement in SI include initiating a personal connection with SI Leaders, granting them access to course materials on Canvas, introducing SI prominently in the course, promoting SI sessions, collaborating regularly with SI Leaders, strategically selecting SI Leaders, integrating them into course activities, providing access to resources, and clarifying grading and exam oversight guidelines.

SI Leader Role

SI Leaders play a pivotal role in facilitating effective SI Sessions:

• They prepare thoroughly by reviewing all course materials.
• They conduct two weekly sessions and hold office hours for personalized assistance.
• They actively engage with students to create a supportive learning environment.
• They collaborate with faculty to align session strategies with course objectives.
• They undergo comprehensive training in group facilitation, collaborative learning, assessment techniques, study skills strategies, and interactive session activities.

However, SI Leaders are restricted from tasks that could compromise their neutrality in the course, such as grading, test construction, assignment creation, or serving as a TA.

Frequently Asked Questions

Can I Offer Extra Credit to Students Who Participate in SI Sessions?

Yes, you may offer extra credit to students participating in SI Sessions. We recommend implementing a tiered system to encourage consistent attendance and maximize the benefits derived from SI sessions.

An Extra Credit Example:

Students who regularly attend SI sessions can earn extra credit based on their attendance throughout the semester using the following scale:

• 1-3 sessions: two points
• 4-9 sessions: five points
• 10-12 sessions: eight points
• 13 or more sessions: ten points

What Can I Do if I Know Students Who Would Make Great SI Leaders in the Future?

If you know of outstanding current or former undergraduate students who would excel as Supplemental Instruction (SI) Leaders, we encourage you to motivate them to apply once our applications open. For any inquiries about the role, feel free to contact Katie Wayt. Alternatively, you can email Katie Wayt to confirm that we have them included in our list of students to notify about application details. Experience has shown that students are more inclined to apply when personally encouraged by a faculty member.

Moreover, during our application window, typically mid-semester of the preceding semester, we will seek your valuable nominations. Your support plays a crucial role in identifying candidates who can make a significant impact as SI Leaders.

How Can I Encourage My Students to Take Advantage of SI?

Here are some ways faculty members have promoted SI to students and encouraged their participation in SI Sessions:

• Promote SI to all students in their class, not just those struggling, since students of all levels learn from each other by attending SI.
• Include information about SI on their course syllabi.
• Post announcements about SI on Canvas and other course platforms/materials.
• Make announcements about SI Sessions in addition to or with the SI Leader when they make announcements and reminders of SI Sessions.
• Collaborate with the SI Leader to find creative ways to market the session to students in the class.

Can I Attend SI Sessions?

Faculty members typically do not participate in SI Sessions, as their presence can alter the session's dynamics. The atmosphere tends to shift to resemble a traditional classroom setting, leading students to direct their inquiries toward the instructor rather than engaging with the SI Leader. The SI Program was designed to provide discreet academic support for students, as it operates on an optional and voluntary basis. Maintaining anonymity during session participation mitigates any potential advantage—real or perceived—that attendees might have over those who desire to join but face scheduling constraints.

For those curious about the content covered in SI Sessions, please inquire with your SI Leader or contact the SI Manager. If you wish to observe an SI Session in action for a different class, kindly express your interest by emailing Katie Wayt to make the necessary arrangements.

Who Do I Contact if I Notice My SI Leader Is Not Modeling Appropriate Behavior?

SI Leaders should always inform their faculty and students of any canceled or rescheduled SI Sessions ahead of time. If you notice your SI Leader arriving late, leaving early, or demonstrating disruptive or inappropriate behavior, please contact the SI Manager, Katie Wayt, or feel free to reach out on Teams. We encourage faculty to loop us in as soon as an issue arises so that we may address it immediately.

Am I guaranteed SI support each semester?

SI support is not guaranteed and depends on several factors, including SI session attendance, departmental approval, the availability of SI Leaders who meet the program requirements, and the ability to match applicants with courses based on their schedules. If possible, we will do our best to match students with faculty who recommend and request them. Still, we also take into consideration all the SI Leaders’ availability, and if a leader you recommend is available for multiple courses and another SI Leader is only available for your class, we reserve the right to make those scheduling decisions to ensure the employment of as many of our SI Leaders as we can.

How much work will it be for me to have SI support?

SI is maintained and coordinated through IU Online’s Office of Collaborative Academic Programs.

Will I have to change my teaching style?

No! SI helps students learn how to be successful in your course and will support your style. The SI Leader will provide you with student feedback weekly. Because the leader regularly meets with the students in a smaller group, the SI Leader may have insight into concepts troubling students, misunderstood test questions, or unclear assignments. If you would like, your SI Leader can share this information with you.

What is the SI leader NOT permitted to do?

The SI Leader is not a teacher or a teaching assistant (TA). The leader is not permitted to lecture for you, construct exam questions, proctor exams, grade exams or papers, or determine a student’s grade. The SI Leader needs to maintain their peer status among the students in the class. 

How is the SI Program evaluated?

International SI data indicates that students who regularly attend SI produce a significantly lower rate of unsuccessful completions (Ds, Fs, and Ws) and achieve higher average course grades.

• SI Student Evaluation—students enrolled in an SI-supported class evaluate the SI Leader and the SI Program at the end of each semester.
• SI Leader Self-Assessment—SI Leaders provide self-assessments of their work at the end of each semester.
• Faculty Assessment—At the end of the semester, we will send you a survey to gather feedback on your experience with the supplemental instruction program.
• End of Semester Data—Students' final grade comparison between attending versus not attending SI Sessions, percent of class attending SI sessions, total SI contact hours, and average SI session size.

Become a SI Leader

Are you interested in becoming an si leader.

SI Leader Qualifications:

• Currently enrolled at an Indiana University campus or an IU college graduate no more than two semesters post-graduation.
• Recommendation by the professor, preferably from the targeted SI course.
• Excellent oral and written communication skills and leadership skills.
• Minimum 3.0 cumulative GPA.
• Earned a minimum grade of ‘B’ in the targeted SI course(s).
• Great interpersonal and communication skills.
• Ability to work with diverse populations.
• A desire to facilitate other students’ learning and address student needs.

Preferred Qualifications:

• Experience with tutoring or group study.
• Responsibilities
• Review all course materials, take notes, and act as a model student.
• Inform students of the purpose and benefits of Supplemental Instruction.
• Lead two weekly SI sessions, one hour each, for the semester.
• Hold a minimum of one office hour a week.
• Conduct sessions utilizing a variety of collaborative learning strategies and learning strategies.
• Meet weekly with the course instructor to discuss student/faculty concerns, course objectives, and the effectiveness of the SI program.
• Participate in SI team meetings during the semester; participate in debriefing sessions after observations.
• Promote SI regularly through classroom announcements and messages to students to encourage them to participate.
• Participate and complete mandatory SI Leader Training and ongoing training.
• Assist in training new SI Leaders after successfully completing one semester as an SI Leader.
• Assist with administrative duties and data collection (attendance sheets, student surveys, planning sheets, etc.)

Terms of Employment

This is an hourly, or part-time, employment opportunity with Indiana University that is paid on a biweekly schedule. Hourly appointees may work up to a maximum of 29 hours/week across all Indiana University part-time jobs. The job duties for this SI Leader position are anticipated at 10-14 hours/week, as noted above.

SI Leaders must live and work from the United States of America and keep an updated remote work arrangement on file in accordance with University policy HR-06-80. Out-of-state remote work arrangements require advance consultation due to differing tax and labor laws.

Appointment may renew each semester, contingent upon satisfactory performance of all job duties and responsibilities.

Application Process

The application window is now closed for the Fall 2024 semester. Please check back in November for Spring 2025 SI Leader opportunities.

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Supplemental Instruction

Supplemental instruction is a form of peer-instruction between a current student in a course and former students who have successfully completed a course. These collaborative study sessions allow for current students to seek clarification on course topics or to ask questions related to course content. This form of instruction is usually made available to courses deemed high risk—where failure or withdrawal rates are high.

Supplemental instruction involves an active learning, collaborative approach to understanding course material. Study sessions are facilitated by former students who were successful in a particular course and are often recommended by their instructor. Supplemental instruction leaders may also take notes for a course, attend lectures again, assist with course organization and can help students go about solving course problems.

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• Frequently Asked Question...
• Frequently Asked Questions

What is Supplemental Instruction?

How do SI sessions help me as a student?

How do SI sessions work?

The SI Leader collaborates with your professor to create exclusive study content and develop unique activities and problem sets to reinforce course material, but they do not re-lecture or provide answers.

How do I know if SI is offered in my class?

When are SI sessions held?

What's an SI leader?

When do SI review sessions start?

What does it cost?

How can I become an SI leader?

Any other questions? Contact us!

Paul Price, Manager, Supplemental Instruction Office: East View Campus P-108 Email: [email protected] Phone: 512-223-5303

Travis Moore, Specialist, Supplemental Instruction Recruiter/Advisor Office: Round Rock Campus 2232.11 Email: [email protected] Phone: 512-223-0174

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Supplemental Instruction is a program built around peer-led group study sessions for some of Purdue’s most challenging courses . Our SI Leaders are undergraduate students at Purdue who have taken the course that they are assigned to lead and know what it takes to succeed. They are trained to facilitate or guide learning through fun, collaborative activities that provide more practice with challenging course material and concepts. SI attendance is correlated with higher grades in the paired course, but it should not be thought of as a quick fix or a place to go for last minute help before an exam. To get the most benefit, you should attend SI early in the semester and continue coming as often as you can. Keep in mind that 1 hour of productive group study is equal to 2 hours of solo studying – SI helps you maximize your study time while also getting to know your peers and having fun .

What to Expect

When you come to an SI session, you should expect to encounter a welcoming and inclusive environment. Since SI sessions are collaborative , you should expect to work in small groups with other students in the session; however, SI is a low stakes environment (you won’t be graded!), so don’t be embarrassed to make a mistake or be confused. The leader will use several tools to give you the opportunity to think more critically about course content and develop a deeper understanding of how different concepts connect to one another.  This could include small group discussions, games, and other hands-on activities to make content practice more fun.  Although the leader might not directly answer a question you ask, they will help you to find the answer yourself, which in the long run will be more beneficial to your learning. 

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Why Supplemental Learning Programs are More Important Than Ever

Why Supplemental Learning Programs Are More Important Than Ever

The COVID-19 pandemic disrupted ordinary school experiences for children around the country for two full school years. As a result, the 2022-2023 school year kicked off as the first year of business as usual since the pandemic started.

While students and parents have made it over the hurdles that rocked students’ access to learning and created shifts in the learning environment, many school districts continue to face challenges like growing learning gaps and teacher turnover. These less-than-ideal system issues require creative solutions to overcome, as parents want their schools to assure them that their children’s educational experiences are setting them up for life success.

An answer to what ails education may lie in an option growing in popularity—supplemental learning programs.

The benefits of supplemental learning programs

When students have access to supplemental learning programs through their schools or afterschool programs, they receive these education boosts:

• Individualized support

In the busyness of a regular school day, some learners need more time to practice and master concepts, while others need more challenge. In either case, individualized support is vital to their academic progression, and supplemental programs are delivered in alignment with the learning pace of individual students.

• Targeted subject support

Most students have subjects in which they perform best and others that are not their strengths. When a child needs help to reinforce a specific subject, additional learning opportunities can help them fill in their learning gaps. Supporting core subject fundamentals, supplemental learning programs can help prevent students from more significant struggles as the subject complexity increases.

• Indirect homework help

When children take work outside the classroom as homework, the objective is to practice skills that reinforce the week’s lessons. However, if a child is still shaky on a skill or doesn’t have the underpinning knowledge to understand the lesson, homework assignments can feel defeating and overwhelming. Shutdown and disengagement can result from frustration with homework. When children have access to supplemental learning, they receive a “safe zone” free of grades to practice their skills to proficiency. With stronger learning foundations, students will tackle their assignments with a can-do mindset when practice goes home!

• Improved critical thinking and study skills

The pace of instruction doesn’t always leave much in-class time for developing metacognition , or the ability to think on one’s own thinking. In contrast, slower-paced education opportunities give students the time to think deeper on a subject matter, enriching their critical thinking, problem-solving, and other high-level cognitive skills. Also, more meaningful interactions with the subject matter make learning good study habits easier. For instance, if students fully understand concepts, they can approach tests with mastery and don’t need to rely on “memorize and dump” skills to pass tests.

• Greater confidence

Every student craves opportunities to achieve, and supplemental learning programs help transform children’s mindsets toward learning, especially if they have perceived limited success with their studies. Out-of-the-classroom academic work lets children learn through fresh activities that promote a growth mindset .

Adaptively offers high-quality supplemental education.

Adaptively works with schools, districts, and afterschool programs to bring the best academic support to children. We offer excellent programs to engage students of all ages in their learning. We’re building minds and unlocking futures by providing educators with an all-inclusive learning management system centered around personalized learning to accelerate academic growth. To learn more about our platform, contact us today!

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Scaling Up: Supplemental Instruction to Aid Learning, Community Building

The University of Missouri at Kansas City has offered supplemental instruction for five decades. Here’s what the university has learned and changed.

By  Ashley Mowreader

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Students at the University of Missouri at Kansas City can participate in supplemental instruction for difficult courses, gaining near-peer support and study skills for the future.

University of Missouri at Kansas City 

Supplemental instruction (SI) is a common learning practice to aid students in courses with high rates of D and F grades and withdrawals, and this year the University of Missouri at Kansas City celebrates 50 years of offering and expanding SI at its own institution and across the country.

UMKC is home to the International Center for Supplemental Instruction , which provides resources, training and accreditation to other colleges and universities across the globe. University SI experts share best practices in offering groups and expanding practices.

The background: Supplemental instruction first launched at the University of Missouri at Kansas City in 1973, says Chanté Evans, academic support coordinator for supplemental instruction and tutoring at UMKC.

“This was right after the civil rights era and at a time where students of color were integrating into UMKC,” Evans explains. “Retention rates were declining, and there was a need for a new type of academic support program that would be low cost, yet effective.”

Rather than targeting at-risk students, supplemental instruction aids all students enrolled in difficult courses, or those with high DFW rates.

The first SI program at UMKC assisted in a human anatomy class in the school of dentistry before expanding throughout the university—and the country.

How it works: SI involves a group-based study session facilitated by a student who has recently completed the course with the same instructor and earned a high grade—B-plus or higher. The application process includes a recommendation from the faculty member and an interview with UMKC staff.

The goal is to equip students with new study skills while establishing in them the confidence to ask questions, reinforce the material and collaborate with peers in a safe space. Participation is voluntary but open to all students in a specific course.

Sessions last an hour, twice a week, and SI leaders teach their peers how to take notes, stay organized and prepare for tests.

The student leader is responsible for creating a lesson plan, devising activities for different learning styles and reviewing course material from that week, Evans says. Students do not reteach material to individuals, the way they do in tutoring, but rather facilitate conversation and encourage critical thinking across the group.

SI leaders must also attend class meetings, read assigned materials and stay in contact with the professor and an SI supervisor.

Students who participate in supplemental instruction at UMKC are 2.5 times more likely to retain than those who study on their own and are more likely to receive a final grade a half letter or whole letter higher than their peers.

Nationally, UMKC has trained faculty and staff from over 1,500 institutions and 34 countries.

Scaling up: Over the years, SI at UMKC has evolved with the times and with student needs, Evans says.

In the 1990s, the university introduced video-based supplemental instruction, and during remote instruction due to the COVID-19 pandemic, it launched virtual options for students to participate in SI.

More recently, the university has focused on fostering belonging and community among the SI leader cohort and SI leaders and their peer group members.

University leaders have also prioritized SI in class registration, making it so any student who’s enrolled in a course with an SI program can participate with no conflict to their academic schedule.

The initiative, called SI Edge, requires staff to partner with the campus registrar to include a SI session time into the student information system. “When students register for classes, the SI Session automatically shows up on their course schedule,” explains Sarah Amos, academic support coordinator for SI and tutoring.

While SI Edge is still in the pilot stage, student attendance has grown already, because learners see SI as a part of their regular schedule.

DIY: To scale supplemental instruction, Amos and Evans say six resources are necessary:

• Faculty buy-in. One of the greatest areas of engagement is with faculty members who teach difficult courses, whether that’s promoting the opportunities to students, staying in communication with the SI leader or providing referrals for hiring of SI leaders.
• Budget. SI leaders are paid, so having adequate funding to compensate students is critical to scaling the initiative.
• Course identification. Course data provide insight into where students are struggling and need the most assistance, which is where staff prioritize SI. Prerequisites that function as gatekeepers or barriers also receive special attention.
• Institutional support. When administration and other campus leaders are involved, staffers are more easily able to get budget and resources.
• Student leaders. SI courses are only as successful as their leader, making recruitment for eligible leaders a priority—and sometimes a challenge.
• Space. Physical meeting areas to hold sessions and trainings for supplemental instruction are also necessary.

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Elevate K12

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How To Use Supplemental Learning To Enhance School Outcomes

• Elevate In Action

April 29, 2024

School leaders must fight on multiple fronts to get students the education they deserve. They battle against teacher shortages and scant resources that hold children back from their potential. 

Supplemental learning can help by expanding academic support for K-12 learners. It can close resource gaps, increase teaching time, and give students access to subjects that would otherwise be out of reach. It can even help them develop essential skills like critical thinking, creativity, and problem-solving

Supplemental learning can be life-changing for students and teachers, creating opportunities to accommodate each student’s learning style, pace, and level.

In this article, we’ll explore how supplemental instruction can elevate student success and how you can implement it in your school district.

What is supplemental learning?

Supplemental learning is a broad term. It covers all optional resources that complement the core school curriculum with learning outside the classroom.

It can include study camps, summer school , weekend courses, after-school programs, remote or hybrid learning , enrichment programs, and online platforms.

K-12 schools use supplemental learning to help with remediation, differentiation, and reinforcement. Students who struggle can catch up with supplemental learning as part of an MTSS or RTI support plan . If they’re thriving, they can take accelerated classes or new subjects through supplemental learning.

What are the benefits of supplemental learning in schools?

Supplemental learning is designed to improve educational programs for K-12 students, teachers, and schools. It can help with everything from academic outcomes to study skills, new learning opportunities, and classes designed for individual needs.

Academic performance

Modern educators know that each student has their own learning style and moves at their own pace. While it can be challenging to tailor course content for every individual in a crowded classroom, teachers can use supplemental learning to give targeted support and reinforcement. 

This is especially valuable when it comes to remediation. Supplemental resources can help schools target specific skill gaps and reinforce classroom instruction to get students back on track.

Student engagement

Everyone learns differently. Some children are sensory learners who benefit from a range of interactive formats . Some students are at grade level but need extra differentiation to improve their retention. Still, others need a small group learning environment or accelerated learning to keep them interested. 

Supplemental resources can keep students engaged, whatever their needs. They can also help schools offer a broader range of classes, with resources for everything from foreign languages to coding skills, literacy, and STEM. 

Offering more resources to children at each grade level can make a difference throughout their lives. For example, STEM classes—especially through supplemental learning—can close the achievement gap for students from lower-income backgrounds .

Teacher support

Supplemental learning is also designed to help teachers. It can give them the bandwidth and resources to support each child’s learning experience. 

As teacher shortages deepen , it’s hard for teachers to offer personalized attention and differentiation for each student. However, they can use supplemental resources to fill in the gaps.

Supplemental learning can also lessen the impact of higher teacher-student ratios by providing extra support, teaching time, and resources beyond the school campus.

How to implement supplemental learning programs effectively

Getting the most out of supplemental learning starts with understanding your school district. Once you know the unique needs of your teachers and students, you can find the tools and resources to match.

Assess what the students and schools need

First, you’ll need to define the goal for supplemental resources. Are you offering more difficult courses for advanced students, reinforcing course material for all students, or offering remedial resources for students who are struggling? Many schools will need a combination of all three. 

Some supplemental learning is required by law. For example, if a student falls at least one grade behind, then they must have a structured plan to catch up. Supplemental learning is often the easiest way to deliver that support.

Next, you’ll need to know the staffing capabilities in each school. While some students can use supplemental resources independently, others might need supervision or support. 

Your staffing needs will also vary depending on whether a program happens before, during, and after school, as well as how long you plan to run the program.

Ultimately, supplemental learning has to work for both teachers and students. You’ll need to find a schedule and program length that delivers results without stretching your staff too thin.

Select the right tools and resources

The supplemental resources that you choose should work for students, teachers, and schools. Here are some key factors to consider:

• Timing: Look for supplemental learning that can be tailored for different teaching times, study session lengths, and course lengths. 
• Curriculum: Supplemental material should align with the essential curriculum, helping students excel throughout elementary, middle, and high school.
• Content quality: Extra resources for student learning should be accurate, engaging, and challenging. Look for supplemental learning that draws on the expertise of experienced, certified teachers.
• Adaptability: Supplemental learning should be flexible enough for every student, regardless of learning style.
• Setting: Supplemental learning programs work best in a small group setting with a low student-teacher ratio for more individualized attention.

The best supplemental learning programs will enhance the student experience without increasing the burden on teachers. Programs should be manageable for every school in the district, even if they have varying staffing levels and schedules. 

Elevate K-12’s supplemental learning is designed to give students the experience of smaller group settings without adding to the teaching load of on-site staff. With Elevate, your students can benefit from personalized lessons and individualized attention from certified, experienced educators.

Challenges in implementing supplemental learning (and how to overcome them)

The results from supplemental learning can be transformational, but success depends on finding the right resources and implementing them effectively. Here are some of the most common issues schools encounter when implementing supplemental learning and how to avoid them.

Identifying resource gaps

There are two main ways to look at student needs: individually and in groups. You’ll need to understand learning needs on both levels.

For example, one class might need more support in general but only has a few students who work ahead and need extra engagement. Or a school might be performing well but is unable to offer additional courses that students are eager for. 

Student outcomes and assessments are just one source of information about their needs. You can use student feedback, surveys, and even classroom observations to spot gaps in teaching provision.

It’s also worth looking at feedback from teachers and parents, as they might identify needs or aspirations that you can’t see. Teachers know their classes better than anyone and can help you deliver supplemental resources where they’re most needed.

Choosing the right resources

Even when you know your goals for supplemental learning, there’s an overwhelming variety of resources to choose from. Educational apps, textbooks, summer programs, and online platforms all vie for attention. 

You can start whittling down the resources on offer by looking at the basic curriculum, content quality, and evidence of impact. However, you’ll need to look at resources in even more detail to make a final decision. 

Here are some key questions to ask:

• Is this learning flexible enough to work with school schedules and programs?
• Are students best served by online learning or remote learning ?
• Are the resources easy for students to use?
• Are the resources inclusive and accessible for all students?
• Are they engaging and exciting for students to use?

The tools and resources you choose should align with your identified needs and goals for the program.

Tailoring options for each school

Supplemental learning should fit in seamlessly with what schools are already doing. It should support and enhance learning—not distract or overload teachers.

You can help create the right experience by tailoring supplemental resources for individual schools. Something as simple as scheduling learning around the school’s existing timetable can make a big difference.

You can also bring teachers on board by choosing supplemental content that aligns with current learning objectives. Most importantly, it should meet your state’s K-12 standards. When the resources reinforce or add to core lessons, they make it easier for teachers to achieve excellent outcomes. 

The right resources will be engaging for students, too. For example, project-based learning is popular with students (because it’s fun) and teachers (because it teaches core skills). Supplemental learning is often the easiest way to add projects to the essential curriculum. 

Look for programs like Elevate K-12, which align with state standards and provide engaging educators trained to reach students with a range of learning styles.

Maximize your impact with supplemental learning through Elevate K-12

Supplemental learning can help every student by reinforcing core skills, remediating where necessary, and offering a challenge for advanced learners.

Elevate K-12’s online learning solutions are built to help schools succeed. Every program is led by experienced, certified, US-based teachers who support your own staff. Plus, teachers can monitor each student’s progress and adjust the lessons to keep them on track.

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Supplemental Application Help Guide

This guide was developed to help you complete the Supplemental Application for Transfer Admission at SJSU. Please choose from the list of topics below to get more information about each section of the Supplemental Application. Remember, this application is only for upper division transfer applicants to SJSU. If you have additional questions after reading this guide, please contact us directly at [email protected] . We are also available by chat.

The topics are arranged to match the pages on the Supplemental Application:

Welcome to the Supplemental Application (Home)

College Information

Associate degree for transfer (adt), four basic coursework, supplemental coursework.

Summary Page (Certify Accuracy)

Technical Support

Welcome page, how to update your personal information.

To update your contact information:

• Sign in to one.sjsu.edu and click on the MySJSU tile
• Make any necessary updates by clicking on the links in the Personal Information section of your Student Center
• Pay special attention to which email address is marked as "preferred". This is the address we will use when we send email during the admission process to let you know that your MySJSU account has been updated.

How do I change my major?

Because SJSU is an impacted campus, you cannot change your major once the priority application period closes. Once you are admitted, your mandatory orientation, advising, and registration will all be based on your choice of major. After you are admitted, change of major is never guaranteed -- you must submit a petition and could be required to meet additional criteria before it is approved.

How do I calculate my cumulative transferable coursework GPA?

Make sure to reference your transcripts to calculate your transferable coursework GPA:

1. Go to assist.org

2. In the box titled "Search below for transferable courses", choose your institution and the link for CSU Transferable Courses.

3. Identify the courses you have completed that are CSU Transferable. Please note that courses are transferable based on the year of completion.

4. Add the total grade points for all transferable coursework completed through Summer 2024 (for Spring 2025 admission) or through Fall 2024 (for Fall 2025 admission) and divide by the total transferable units attempted.

***Note: If you attended a quarter school, do not convert the units to semester units. Indicate the number of quarter units completed and make sure to indicate "quarter" as the "term type".

For non-California Community Colleges, you will need to determine which courses are transferable to a CSU. Some colleges will have a numbering system that will identify transferable courses. You may find this on the back of an official transcript or in the catalog. In general, we accept General Education and Liberal Arts type coursework. We do not accept courses that are technical or remedial.

If you have international coursework and need help calculating your GPA or transferable units, please contact [email protected] for assistance.

This section of the supplemental application is very important. We will ask you to add information about coursework preparation in subsequent pages that will rely on the accuracy of the college information entered on this page.

Applicants to SJSU for Spring 2025 must enter the information on this page to include units completed or in-progress through Fall 2024.  In the “To Date Month/Year,” please enter “12/24” which our system recognizes as the end of Fall 2024. Units completed in the Winter 2025 term (units earned after December 2024) cannot be used to meet admission or impaction requirements for Spring 2025. 

Applicants to SJSU for Fall 2024 must enter the information on this page to include units completed or in-progress through Spring 2024. In the “To Date Month/Year,” please enter “06/24” which our system recognizes as the end of Spring 2024. Units completed in the Summer 2024 term (units earned after June 2024) cannot be used to meet admission or impaction requirements for Fall 2024.

In addition, we are using this information to run a preliminary assessment of your CSU Eligibility.

Specifically, transfer applicants to SJSU must:

• Have earned an overall college GPA of 2.00 or higher.
• have completed 60 transferable semester units by the end of the fall term prior to spring enrollment to be eligible for admission to Spring 2025
• Have completed 60 transferable semester units by the end of the spring term prior to fall enrollment to be eligible for admission to Fall 2024

Units Completed

Enter all units of transferable undergraduate coursework. Include any coursework completed at the time of submitting your SJSU Supplemental Application. Use the "change" button to update the information for each college entered in Cal State Apply. If you attended a quarter school, enter the units as quarter units and select "quarter" as the term type. 

Units In-Progress/Planned

Do NOT include units that you have counted in the Units Completed total for that college. Use the "change" button to update the information for each college entered in Cal State Apply.

For Spring 2025 applicants , enter any units that you intend to earn by the end of the Fall 2024 term. In the “To Date Month/Year,” please enter “12/24” which our system recognizes as the end of Fall 2024. This ensures your units are accurately calculated for admission purposes.

Remember that Winter 2025 units should not be included as they cannot be used to meet admission or impaction requirements for the Spring 2025 admission term. Enter any units that you intend to earn by the end of the Fall 2024 term.

For Fall 2024 applicants, you should enter any units that you will need to meet admission or impaction requirements during the Spring 2024 term as in-progress or planned. In the “To Date Month/Year,” please enter “06/24” which our system recognizes as the end of Spring 2024. This ensures your units are accurately calculated for admission purposes. Remember that Summer 2024 units (units earned after June 2024) should not be included as they cannot be used to meet admission or impaction requirements for a fall term.

How do I update a college that is listed?

For any college that you entered on your CalStateApply application displaying in the supplemental application, you need to enter the number of units earned and the dates attended. You cannot delete a college that was entered on your CalStateApply application. You must send SJSU Admission a letter from that college confirming that you did not enroll in any courses. Otherwise, we will expect you to submit a final transcript for that college.

How do I add a college to this list?

Select the “Add College” button and enter the required information. You may delete a college that you have added through the supplemental application.

If you attended a college from outside California, it may not be listed. In this case, add the name of the college you attended.

How do I list transferable units earned from AP, IB, or CLEP exams?

If you earned a 3 or higher on any AP exams, 4-7 or higher level IB exams, or 50 or higher for CLEP subject exams and want the units included in your total units to transfer, you must "Add a College" and enter 'AP Exam', 'IB Exam' or 'CLEP Exam' as the name of the school. Indicate the year and term when you took the exams and indicate "semester" for the term type. If you took more than one exam, you can combine the total units earned from all exams. View how exam results are awarded credit at SJSU.

How do I add military credit

To add military credit, you must "Add a College" and enter 'Military Credit'  as the name of the school.

Applicants who have completed or will complete an Associate Degree for Transfer (ADT) in a major that is deemed similar to your intended major, will receive priority consideration in SJSU’s admission process. Consult icangotocollege.com for a list of approved ADTs for SJSU. The ADT that you have earned must be on the SJSU approved list for your intended major at icangotocollege.com in order to receive preference in the admission process.

Transfer applicants with the Associate of Arts-Transfer (AA-T) or Associate of Science-Transfer (AS-T) degree who do not meet SJSU’s impaction standards (based on their intended major) are not guaranteed admission to SJSU, but will receive priority admission consideration at a CSU campus in a program or major that is similar.

How do I add an Associate Degree for Transfer?

Select the “Add ADT Degree” button and enter the required information.

• You will only be able to choose a college listed on the college information page. Return to the college information page to add additional colleges, if the California Community College where you will earn your ADT is not listed.
• Only those degrees that are approved for transfer at SJSU will be listed for the chosen college. Consult icangotocollege.com to confirm that SJSU has an agreement in place for the ADT you have earned and your intended major.
• SJSU will award a .10 GPA increase in the admission process for students who have completed an approved ADT in a similar program of study at SJSU. Applicants with multiple ADTs will be awarded a single .10 GPA increase.

I do not get a list of degrees when I click on "select"?

Only those Associate Degrees for Transfer that are approved will be listed for the chosen college. If you have chosen a college that does not have an Associate Degree for Transfer approved for your major, then you will not have a degree to choose from. Consult icangotocollege.com to confirm that SJSU has an agreement in place for the ADT you have earned and your intended major.

How do I indicate that I will not receive the ADT degree I entered on my initial application?

Click on the "change" button next to the ADT that you entered on your application. In the screen that pops up, uncheck the box next to "I certify that I will complete this Associate Degree for Transfer as indicated" statement. This will let us know that you will not earn the ADT as entered on your application. 

I am seeing a "Field of Study is Invalid" message. What do I do?

Click on the "change" button next to the ADT that you entered on your application. In the screen that pops up, uncheck the box next to "I certify that I will complete this Associate Degree for Transfer as indicated" statement.

Then, click on the "Add ADT Degree" button and enter in the details for the ADT you will earn in the screen that comes up. Be sure to choose the name of your ADT from the drop down list. Be aware that Associate Degrees for Transfer (ADT) are a specific type of degree earned at California Community Colleges and are not the same as Associate of Arts (AA) or Associate of Science (AS) degrees. 

We will use the information entered on this page to run a preliminary check of California State University (CSU) eligibility. Specifically, transfer applicants must complete the four basic courses with a grade of “C-” or higher to be considered for admission to a CSU. Consult assist.org to confirm the classes that will satisfy this requirement in each category and for a list of AP exams that will satisfy the A2 or B4 requirement.

How do I indicate that I took a course at a college that is not on the list?

The list of colleges is based on the information you entered on the college information page. Click on the college information link on the left side of this page to return to that page and enter an additional college.

How do I enter a course that is not on the list?

The courses listed reflect the information posted on assist.org - If you completed a course that is not listed for your college, please consult assist.org to verify that course is articulated for the SJSU supplemental course listed, then choose “Add a New Course” and enter the required information.

If you attended a non-California Community College, you can review the Transfer Evaluation System (TES) website which shows course equivalencies completed at other CSUs or other regionally accredited institutions to meet requirements at SJSU (primarily the four basic skills GE courses which typically transfer to SJSU to meet part of the admissions requirements). This list of equivalencies in TES is NOT comprehensive. SJSU continues to update TES with additional equivalencies on a regular basis. 

When does the four basic coursework have to be completed?

To be considered for admission to the Spring 2025 term, all required coursework must be completed by the end of the Fall 2024 term. SJSU will not accept coursework completed in Winter 2025.

To be considered for admission to the Fall 2024 term, all required coursework must be completed by the end of the Spring 2024 term. SJSU will not accept coursework completed in Summer 2024.

Are there any exceptions to the four basic coursework requirements?

SJSU has approved some exceptions for the A3 requirement for some of our programs.

Why can't I submit the four basic page?

If you have not filled out each of the fields for each of the four basic courses, the submit button will not work. Please use the "change" button for each course that is missing information.

You have applied to a program that will give preference in the admission process to applicants who have completed program-specific coursework. Note that beginning fall 2025, some programs in the College of Engineering will require the completion of certain supplemental coursework for applicants to be considered for admission. Applicants to programs with supplemental coursework will be ranked on a combination of self-reported GPA and the number of courses completed with a grade of “C” or higher. Consult sjsu.edu/admissions/impaction for more details.

Why don't I see the Supplemental Coursework Page?

Only some of the majors at SJSU are giving preference to the completion of program-specific coursework.

There are two courses listed in the drop down for a single course requirement - how do I list my grades?

The courses listed reflect the information posted on assist.org - This could mean that you must complete two courses at your current college to satisfy the requirement for one of our SJSU courses. What we really need to know is if you have completed the courses that will satisfy the requirement and if you passed them.

For example, if the supplemental course requirement is Biology 1A and the drop down for your school lists "BIOSCI 130 and BIOSCI 131", then you should choose "Passed" for your grade if you have completed both courses and earned a "C" or better (a C- will not qualify). If you have completed BIOSCI130 and earned a "B" and are currently enrolled in BIOSCI131, then you should choose "in progress". We will award the preference points in either case. NOTE: If your final transcript indicates that you did not pass any of the courses you enter on your supplemental application with a "C" or better, your admission could be withdrawn.

When does the supplemental coursework have to be completed?

To be considered for admission to the Spring 2025 term, all required coursework must be completed by the end of the Fall 2024 term with a grade of “C” or higher. SJSU will not accept coursework completed in Winter 2025.

To be considered for admission to the Fall 2024 term , all required coursework must be completed by the end of the Spring 2024 term with a grade of “C” or higher. SJSU will not accept coursework completed in Summer 2024.

Will I be considered for admission if I have not completed any supplemental coursework?

Most majors with supplemental coursework do not require the completion of courses to be considered for admissions. Beginning Fall 2024, some majors in the College of Engineering to have designated courses that must be completed to move forward in the admission consideration process. These courses will be designated by an asterisk on the supplemental coursework page.

All applicants who have applied to a major with supplemental coursework criteria will be ranked by a combination of self-reported transferable coursework GPA and the number of supplemental courses completed. We will admit students based on the available capacity for that program.

For example, if two applicants to the same program have the same GPA, preference will be given to the applicant with the greatest number of courses completed. Similarly, if two applicants have the same number of courses completed, then preference will be given to the applicant with the higher GPA.

I have earned an approved ADT for my intended major at SJSU, do I need to enter supplemental coursework criteria?

Some of the programs that are giving preference to applicants who have completed supplemental coursework have identified an ADT that will satisfy the courses listed.

In addition to entering your ADT information on the Associate Degree for Transfer page, we ask that you enter any applicable coursework on the supplemental coursework page, as well. We will consider this coursework in the following cases:

• You do not earn the listed ADT as expected
• The ADT you have earned is not listed by the program as a way to satisfy the supplemental coursework criteria

Summary - Certify Accuracy

Review the information on this page very carefully. It will display all of the information you entered in the Supplemental Application. This is the information we will use to review your application for admission. Correct any information that is not accurate and confirm that you have updated all information to include grades from coursework in-progress and completed through the fall semester.

Why don't I see a button to submit the application?

• You have already submitted the supplemental application. Once you submit the supplemental application, it cannot be re-submitted.
• You have not entered the required information on previous pages and your application is not complete.

The SJSU Supplemental Application functions with versions of Firefox, Internet Explorer 8 or higher, Chrome 6 or higher and Safari 5 or higher. 

Our application uses JavaScript web page functionality. Please make sure JavaScript is enabled on your browser.

Because it is important to protect the information you provide, the online application is extremely secure — so secure, in fact, that older browsers are not equipped to handle our level of encryption. Please download one of the browser versions listed above to ensure maximum security.

Pop-Up Windows

The SJSU Supplemental Application uses Pop-Up windows to display information. If you disable future pop ups from displaying as you move through the pages of the application, you will disable necessary functionality. Please configure your browser or system settings to allow pop-ups. To permanently allow pop-ups for all websites, please follow the instructions for your browser:

Internet Explorer: Open the Tools menu (click the gear icon), select Internet Options, then go to the Privacy tab. In the Pop-up Blocker section uncheck the "Turn on Pop-up Blocker" checkbox.

Firefox: Open the Firefox menu, click on Options, then go to the Content tab. Uncheck the "Block pop-up windows" check box.

Chrome: Open the Chrome menu and select Settings. Under the Privacy section, click the "Content settings..." button. Scroll down to the Pop-ups section and click the "Allow all sites to show pop-ups" radio button.

Safari: Open Safari, click on the Safari Menu and uncheck the "Block Pop-up Windows" feature.

Technical Assistance

For help with any technical issues, contact the IT Service Desk .

Why Adding Supplemental Resources to Online Courses is a Great Idea

The OLC Blog

Inspiring the online learning community through new ideas, innovative perspectives, global lessons, and personal stories from OLC members and leaders in the field.

When designing an online course, I always include three types of learning assignments: reading (from a text or other academic source), video lectures or other presentation, and supplemental “not at all required to pass this course but just in case you are interested” materials. I add this last category because I have a wealth of resources to share with the students who are interested in learning more. When I teach in the classroom, my students face me and I can see those who are interested in what we discuss. Their expressions seem to indicate they hang on every word. They come up and talk to me after class. They ask for additional reading. I just can’t get that same experience in an online class, but those of us who have taught online for a long time know those same students exist. They love the subject, certain ideas intrigue them, or they just love to learn. Those students usually send a personal thank you at the end of the class. And those are the students I think about when posting supplemental materials.

 Flicker Image Courtesy of: algogenius

It always excites me a little when I see a student use a reference I gave them in the supplemental assignment. I am glad I took the time to share at least some additional information. I also know there are students who watch videos I post to help them understand new concepts in a different format. For example, when I teach human communication, I post a video about what the world would be like if there were only 100 people. I see that video, a supplemental resource to the lesson on the role of demographics in communication, as a reference in student use in the assignment. I explain the same idea in my video lecture along with other ideas, but that video is short, to the point, and fun to watch.

One of the reasons I started adding supplemental material was because I attended a presentation where the presenter said 10% of the students in an online class will read the minimum amount to complete the assignments, 80% of the students will read what is assigned, 6% will look for extra help, and 4% will read everything I post (sorry it was a long time ago and I don’t recall the presenter or the name of the study). So if I average 5 online classes a year of 15 students and I have been teaching a total of 15 years, I have touched 1125 students. If 4% of those students read everything I post because they are interested in the class or subject, I might have influenced 45 students to become Communication majors or even scholars. To me, creating such a legacy is well worth the hour or two I spend selecting the supplemental information and is truly the essence of teaching .

Posting videos, lectures, research papers, and links to share additional information is easy enough to do and it can make the difference to a struggling student afraid to ask a question. Most Learning Management Systems will allow you to track how many views a resource received, so you can examine what student are reading and it can help you see where you need to “beef up” your lecture or add additional materials. Many texts have a list of resources to get you started, but I am betting you already have your own list available. As I keep up with my discipline and study for my own learning and growth, I keep a document with a bibliography of the things I might want to use in class including links to videos, lectures, and blog pages. (Old research habits die hard!) When doing the course design, I can pull out the list and choose what goes where, checking, of course, to make sure it is still available. This process also helps when trying to select the essential information the 90% of the students will need to get through the course. I don’t know how many of my students access my supplemental information, but I know it is there for them – it is up to them to use it!

Dr. Aitken has extensive knowledge and experience in adult and higher education. She spent 24 years in technical training with AT&T/Lucent serving in a variety of functions including managing a global training initiative. She earned a PhD in Education with an emphasis on adult and higher education from Capella University, a Master of Science in Telecommunications Management and Engineering from the University of Colorado at Boulder, a Master of Arts in Organizational Communication, and a Bachelor of Arts in English Literature, both from The Ohio State University.

Dr. Aitken has been an adjunct for 15 years in both face to face and online courses with traditional and non-traditional students including teacher candidates and military personnel. She has served on both master’s thesis and dissertation committees and has held fulltime university positions as an Assessment Coordinator, the Director of Instructional Technology and eLearning, a Distance Learning Coordinator, Instructional Design Faculty, and as an Instructional Design Project Manager. She currently holds a fulltime position at Wright State University in Dayton, Ohio where she is the Assistant Vice President of Educational Effectiveness and Institutional Accreditation. Dr. Aitken guides several of the Online Learning Consortium (formerly Sloan-C) workshops and works with Clemson University faculty as a course development leader. Dr. Aitken has administrator experience with learning and assessment management systems including eCollege, Blackboard, WebCT, Desire2Learn, ANGEL, SAKAI, Moodle, TaskStream, TK20, and Folitek.

Dr. Aitken is serving her third 5 year term on the editorial board for MERLOT and is a peer reviewer for JOLT, the Journal for Online Learning and Teaching. She is a reviewer for the OLC conference and has been a Master Chef in the OLC test kitchen where faculty share new technology. She lives in Xenia, Ohio and is a big Ohio State hockey fan.

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Putting it all together: Real examples of how to integrate supplemental content into your core work

If you’re a regular reader of Teach. Learn. Grow. , you may remember that in September, I examined why teachers turn to online supplemental content and shared some resources for vetting the increasing variety of available options. My October post focused on how to maximize student understanding and retention by connecting supplemental work to core content, activating students’ metacognitive thinking, and leveraging the power of pairing and peer teaching.

Knowing that the devil is usually in the details, I thought it would be useful to provide some concrete examples of how to apply these ideas in math and reading. To help with this task, I’m joined by my colleague Toni Gibbs , who provides an ELA perspective.

An example of using online supplemental content in English language arts

“Maximum impact: 3 ways to make the most of supplemental content” explains the importance of three concepts:

• Connecting to the core curriculum
• Providing students with ways to practice metacognition about their online learning
• Having students work together to increase the impact of their supplemental learning

The real challenge is how to apply those concepts in the classroom. So, let’s imagine you’re the teacher in a class of fifth-grade students who are reading Trapped by the Ice! by Michael McCurdy. That can help us see how those three concepts can help students gain information and confidence with core curriculum, whether they are building their abilities, practicing newly introduced concepts, or enriching their knowledge.

Connections to core curriculum  

Let’s say that as the teacher of this class, some of the ideas you want students to examine in Trapped by the Ice! are the text organization and literary devices, such as personification and imagery. You would also like students to have the opportunity to build knowledge about subject matter from the story or something from the story that they themselves are curious about, such as the South Pole or Earnest Shackleton.

Just telling students that the supplemental sources are related isn’t enough.

Online supplemental sources allow you to select content you want students to use. By choosing appropriate subject matter and telling students that it is related to the core content, you can help them broaden or deepen their understanding of the subject matter. Supplemental sources can also be a chance to increase students’ exposure to grade-level texts at a variety of complexities, providing the additional practice or necessary scaffolding to help them build their reading skills with on-grade texts.

But just telling students that the supplemental sources are related isn’t enough. Make those connections explicit by asking students to use graphic organizers individually to compare text elements in supplemental texts they read with the core text; this will help them see that the work they are doing with the supplemental material is related to the core. For example, they could compare the chronological structure of Trapped by the Ice! with a supplemental passage that has the same type of structure. Comparisons allow students to think about and analyze what they know about the core text and apply those skills to other texts to form opinions about what they read independently.

Metacognition  

The connections you ask students to make to the core helps them step back and think about what they are learning and how they are learning it. That is, it helps them with metacognition.

Through metacognitive feedback, you are not only asking students to monitor their own learning, but you are also inviting them to help you guide their learning. For example, students keeping journals about questions or confusions they have about their work in the supplemental source—prompted by a few simple questions such as “What did you practice or learn today in the supplemental material?” or “What connections do you see between Trapped by the Ice! and the supplemental reading?” or “Do you have any questions about the work you did in the supplement source today?”—can help you know where students might need additional help or where they are making progress. The students need only write a sentence or two to help you know if they are on track.

That October post I mentioned earlier has examples of many good questions that can help students think about their progress in any subject matter.

Better together  

Pairing students can have significant positive impacts on their learning. In our fictitious classroom, there are many examples of how students could be grouped to work together.

Students interested in learning more about the South Pole or explorers could be assigned different supplemental texts at a variety of complexities. After 10 minutes of reading articles, they can break from reading to share what they learned from the articles for five minutes. Or perhaps two students could read the same supplemental article. They could work together on graphic organizers to compare text elements with the core text.

The activities that bring students together don’t have to be complicated or time consuming; they just need to give students a time to share what they’ve learned and maybe give them an opportunity to learn from each other.

An example of using online supplemental content in mathematics

Now let’s look at how to approach supplemental content in a math class. For this scenario, we’ll imagine you are a fourth-grade teacher who is preparing for an upcoming unit on multiplying fractions by whole numbers.

You begin by sifting through relevant data: formative assessments, students’ performance on previous units about fraction concepts and on multiplication of whole numbers, classroom conversations, MAP® Growth™ data, and more.

First you identify students who might benefit from reinforcement of precursor concepts. Using the standards progressions, you determine the critical foundational skills that will support students’ understanding for this unit. Since this content focuses on multiplication as whole number copies or iterations of a fraction, you decide to have these students review basic fraction concepts.

Connecting new learning to previously learned concepts will support memory, recall, understanding, and application of concepts.

Reinforcing kids’ understanding that fraction a / b is a iterations of 1/ b will help them understand that c x a / b is c iterations of a / b . The content in the new unit can also be connected to what students know about whole number repeated addition and whole number multiplication. Connecting new learning to previously learned concepts will support memory, recall, understanding, and application of concepts.

Before starting the unit, you review your supplemental tools to find one that includes conceptually grounded explanations of the identified precursor content as well as practice opportunities with supportive and actionable feedback. After assigning this content to the appropriate students, you may also ask students, or pairs of students, to prepare brief review lessons about these topics. These lessons can be used to support both the student teachers’ understanding and retention of the concepts as well as activate prior knowledge for other students if shared in a whole-class or small-group setting.

At the start of the new unit, you use the following framing questions to activate students’ prior knowledge and to help all students connect the current work to previously learned concepts:

• What do I know and understand about fractions?
• What do I know and understand about multiplication?

Throughout the unit, students record their thoughts in their math journals and choose ideas to share on a physical or digital group thinking wall.

As the class works through the unit, classroom data is used to adjust student’s supplemental assignments. Some students may continue to work on basic fraction and whole number multiplication concepts. Others may use the time to practice multiplying fractions by whole numbers with different models and contexts.

Other students may move more quickly through the content. You can use additional assessment and questioning to determine whether these students are just computing faster or if they have developed deep conceptual understanding more quickly than their peers. Since you know computational speed alone does not indicate the need to accelerate learning, you look for supplemental content that allows these students to apply their understanding in more complex ways—to go deeper with the current content.

Many online supplemental products handle enrichment by placing students into content from a higher grade. Do this thoughtfully and with caution. For the few students for which evidence indicates that they are truly ready to move to higher grade content, look at the progressions to see what concepts build off the current unit of study. In this case, the next step in the progression is multiplying whole numbers by fractions, which begins to develop the concept of scaling. Once again, consider which supplemental programs develop this concept conceptually, because although you know your students may be capable of doing the computation required for above-grade work, skimping on the conceptual foundation could impact the development of later concepts and skills.

Whether your students are reviewing previously learned content, practicing on-grade, or going deeper into a topic or advancing to related above-graded content, you’ll want them to use metacognitive strategies to actively monitor their thinking and engagement with the material.

Either through weekly touch bases or journal reflections, dig into how they are feeling about the level and pacing of the supplemental content. This can help you adjust their learning path appropriately.

Asking what the hardest or muddiest part of their learning was can uncover areas of confusion for individual students, and it may reveal patterns of understanding within the whole class. Supplemental content can also be a great place for students to explore how they prefer to learn. Asking students how they reacted to the way the content was presented gets them thinking about their learning styles, and you can follow up this question by asking them how they would present the material to others. That question helps students organize their thinking about a topic, consider the key components of the topic, reference the most relevant models, and more, all of which support deeper understanding and retention.

Better together

As usual, you assign students computer buddies for supplemental time. These heterogeneous pairs sit next to each other, and although they work on their own assignments, they meet afterward to discuss what they learned and how it relates to the current work of the class. Students are provided with the questions below to spark these conversations and to help connect previously learned content to multiplying fractions by whole numbers.

• How are 4 and 1/4 similar? How are they different?
• How is 4 + 4 + 4 similar to ¼ + ¼ + ¼? How is it different?
• Are there any other ways you could write each expression?
• How could you represent each expression with a model?

Questions like these, which support integrated, connected learning, also help empower those students who require review of precursor content. Instead of feeling behind their peers, they may be the ones who help other students have an aha moment where they see and understand the connection between concepts.

Always connect

Supplemental content is just that: content that helps you support, provide practice for, or enrich core student learning. Regardless of the subject matter, showing students how the material is connected to their core content, having them monitor themselves as they work through their supplemental learning, and encouraging them to work through that learning with others can help students use that supplemental content more effectively.

Toni Gibbs , senior ELA content specialist at NWEA, coauthored this post.

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Using Supplemental Resources in the Online Classroom

When you design or teach an online course, it’s critical that your objectives, assessments, and instruction align with one another. Creating this type of cohesive structure isn’t just for your own benefit; it helps students, other instructors, and even deans or department chairs understand why every course component exists in conjunction with the others. Although having tight alignment is an efficient way of designing an online course, it does have its drawbacks. What about students who want to know more about a topic? Or what about those who need additional help meeting a particular objective? One way of addressing these needs is through the use of supplemental resources.

Supplemental resources refer to any nonrequired instructional materials included in an online course. Simply put, they’re materials students can engage in, not materials they have to engage in. Although adding supplemental resources can create a gray area when it comes to your course’s design and context, when used appropriately, these types of resources can encourage learning, enhance student motivation, and even provide support for students who need it. This article will provide course facilitators and course writers with suggestions on how to use these types of resources in their online course.

Selecting Supplemental Resources

As with all elements of an online course, you must select supplemental resources carefully. Although supplemental resources are not a part of the Course Design Triangle , you can still use this model to help you choose these materials. First, consider your course context—your students, your course’s place in its program sequence, your class size, and any other unique identifying factors for your course. With this in mind, consider some of the following questions when selecting supplemental resources:

• What are my students interested in?
• How do my students learn best?
• What are my students’ learning preferences?
• What content covered in other courses in my program can I review?
• What future content can I preview?

In addition to your course context, your learning objectives, assessments, and instructional materials all play a critical role in the selection of your supplemental resources. Supplemental resources can enhance these elements of your course, and can also add to the structure you’ve put in place for your students. For example, if you know about your students’ personal interests, you can include supplemental materials tailored to those interests. Or you can provide real-world examples and materials, which encourages learning and practical application.

Including Supplemental Resources

As with other elements of your online course, it’s also important that you add supplemental resources both purposefully and strategically. Students in your course should know that these resources are optional, not required. For example, you can label them as supplemental resources or group them together in their own module. Labelling can prove helpful if you want to include the resources as part of a specific module, whereas a stand-alone module might be better if you are going to use your supplemental resources throughout the entire course. There are many ways to include supplemental resources in your course, so consider what works best for you, your students, and your course.

Using Supplemental Resources to Encourage Learning

Supplemental resources can be a powerful tool for encouraging students to stay up-to-date in your field. By including resources that are related to your learning objectives, students can continue to explore topics that are of interest to them, which can increase their motivation in subsequent modules or courses in your field. In this respect, supplemental resources encourage exploratory learning and help students stay up-to-date with what’s occurring in the industry. And because they’re optional, students don’t have to stress about completing them. This can help you design for the margins; for example, students who might have mastery of a module’s objectives (or accelerate through them) have relevant resources in which they can engage if they choose.

Remember: Always clearly label your supplemental resources as such. Although these resources can encourage additional learning, if they’re not labeled as optional or supplemental, they can distract students who don’t want to read or take part in them. As with all aspects of the online classroom, clarity is key!

Using Supplemental Resources to Provide Support

Supplemental resources aren’t solely limited to encouraging exploratory or additional learning. You can also include supplemental resources in your course to help students who might struggle or need additional support. By doing so, you provide students who might otherwise find the course difficult with additional opportunities to succeed. This can take one of two forms:

• Proactive support : These are the resources you select during the instructional design process. It can also refer to materials you add during course enhancement to address areas where students have struggled in past offerings of the course. When providing this type of supplemental resources, you anticipate areas you think students might find tough or problematic.
• Reactive support : These are resources you disseminate during course delivery, typically in conjunction with formative assessment results. For example, if students struggle with an assessment and aren’t making progress toward learning objectives, you could send out supplemental resources to help them succeed.

Regardless of whether you use supplemental resources proactively or reactively, it’s important to remember that they shouldn’t be required course elements. In this respect, these resources aren’t necessary for students to achieve learning objectives and should instead focus on providing support to students if they choose to take it. Supplemental resources do not take the place of proper scaffolding in the online classroom.

Supplemental resources can be a powerful tool in your online course. When used appropriately (and not distractingly), they can help motivate, engage, and support students as they make their way through other course elements. By considering your course context and the other components of the Course Design Triangle, you can create valuable opportunities for your students to explore your content area and find support in more difficult times.

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supplemental

Definition of supplemental

• accessorial
• appurtenant
• supplementary

Examples of supplemental in a Sentence

These examples are programmatically compiled from various online sources to illustrate current usage of the word 'supplemental.' Any opinions expressed in the examples do not represent those of Merriam-Webster or its editors. Send us feedback about these examples.

Word History

supplement entry 1 + -al entry 1

1605, in the meaning defined at sense 1

Dictionary Entries Near supplemental

supplemental irrigation

Cite this Entry

“Supplemental.” Merriam-Webster.com Dictionary , Merriam-Webster, https://www.merriam-webster.com/dictionary/supplemental. Accessed 30 Aug. 2024.

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What’s the Difference Between Asynchronous and Synchronous Learning?

How do online classes work? We tapped online learning experts to explain the pros and cons of synchronous vs. asynchronous learning.

As you research the right online program for you, you may come across the terms “asynchronous” and “synchronous.” You might not know what these words mean yet, but you’re probably already considering your work schedule and other responsibilities and how well each program would fit into your life. Are you able to log on and attend classes at specific times? Or is it more realistic for you to complete work each week at times that suit you best – no matter if it’s 3 p.m. or 3 a.m.? ​And, how do online classes even work?

Here’s what you should know: Asynchronous online learning allows students to view instructional materials each week at any time they choose and does not include a live video lecture component. On the other hand, synchronous online learning means that students are required to log in and participate in class at a specific time each week. The main difference between asynchronous learning and synchronous learning is this live instruction component occurring at a set time. We’ll describe more differences in the sections below, as well as some of the pros, cons and best practices of each style.

We tapped Ohio State experts to explain the difference between asynchronous and synchronous learning and what each style actually means when it comes to online classes.

What is asynchronous learning?

Asynchronous learning allows you to learn on your own schedule, within a certain timeframe. You can access and complete lectures, readings, homework and other learning materials at any time during a one- or two-week period.

“A big benefit to asynchronous classes is, of course, the flexibility.  Asynchronous online classes mean that you don’t always need to be online at the same time as your instructor or classmates,” said Instructional Designer John Muir, who works with faculty to develop classes for  Ohio State’s online programs . “We know that students who are looking to take an entire program online are partially looking for that flexibility.”

Online asynchronous classes might include short videos teaching key concepts that you can watch over and over again, if necessary. In some classes, students can also complete homework assignments and receive immediate feedback, as opposed to waiting for instructors to grade them.

But don’t get the idea that asynchronous classes are any less rigorous than their synchronous or on-campus counterparts.

“Just like a student on campus, you should expect to be doing work one week at a time,” Muir said. “You should also expect to have contact with your instructor and classmates every week in a substantial way.”

For example, in HTHRHSC 4300: Contemporary Topics in Health and Society, a capstone course in the  B.S. in Health Sciences program , students do most of their work according to their own schedules. However, they also sort themselves into groups based on schedule and availability, meeting weekly via video conferencing to collaborate on a research project that spans the semester.

What is synchronous learning?

Synchronous learning means that although you will be learning from a distance, you will virtually attend a class session each week, at the same time as your instructor and classmates. The class is a firm, weekly time commitment that cannot be rescheduled. Much like an on-campus class, you will have readings and assignments to complete outside of class time to help prepare you to participate in the discussion. This kind of preparation from students, along with a dedicated agenda set by the instructor, ensures each class session is productive.

“A lot of careful planning and set up ahead of time makes those sessions into meaningful connections,” Muir said. “If the students can do it, and it’s thought through well by instructors, it can be a really powerful thing to add.”

Online synchronous learning doesn’t always just take the form of a live video lecture or an instructor-led discussion. Often, students will lead discussions themselves or give presentations to the rest of the class. In an online class, group work doesn’t go away, it just looks a little different. Muir explains that some instructors will pose case studies to students, who then have to negotiate an answer first as a small group and then together, as a class. Specific types of activities included in a synchronous course depend on the course and the program.

“There’s a lot of discipline-specific, really active things that go on in those sessions that aren’t just the equivalent of a recorded lecture,” Muir said. “It really is the same as doing some sort of activity in the classroom, just in a virtual setting.”

Ohio State’s  Doctor of Nursing Practice program  is one example of a program with synchronous online class requirements. One of the classes, NURSPRCT 8600: Organizational Culture, requires that students attend weekly evening class sessions using  CarmenZoom . Class discussion and interaction with the instructor occurs mainly during these meetings, with homework and readings available at any time in  CarmenCanvas, Ohio State’s online learning management system .

How can I be successful in an online class?

No matter if your program is mostly asynchronous or synchronous, Muir reminds students to be deliberate with their time in order to be successful.

“In an online program, you really have to be respectful of yourself and plan your time and efforts,” he said. “It doesn’t matter if you’re in a synchronous or an asynchronous class, you need to know to block off your time to accomplish those things.”

Vivian Jones, M.Ed., academic advisor, says she often works with students who aren’t sure how synchronous or asynchronous classes will fit into their lives. To start with, knowing yourself and your own limitations is key to making decisions regarding your education.

“Remember that an online degree program itself is time-consuming,” Jones said. “Consider how you will manage a work-school-life balance. There is a lot of self-discipline involved.”

Jones said she also hears from students who fear they’ll feel disconnected or disengaged in an asynchronous, online course.

To combat feelings of isolation, Jones recommends students always reach out to their instructors and classmates and attempt to make meaningful connections.

“Respond to discussion posts and find people with similar interests to you or people doing things you don’t even know about, so you can maybe learn more about them,” she said. “Make relationships just as you would in a physical classroom.”

In an online class, student engagement needs to be more purposeful than an in-person class, where engagement may take place more naturally, but it’s crucial to ensure all students feel invested in their coursework.

“With online learning, student engagement is just different,” Jones said. “I see instructors in online classes really making an effort to make things personable and make people feel included. We’re trying to bring everyone together as one community, because online students are part of the Ohio State community.”

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Social Security

Program operations manual system (poms).

TN 44 (10-23)

SI 02260.010 Development of Without Fault for a Supplemental Security Income (SSI) Overpayment Waiver

A.  definition of without fault.

“Without fault” is the absence of-fault-in connection with causing or accepting the overpayment.

B.  Policy: without fault

1.  general.

We never base a without fault determination on isolated facts. We consider all the available evidence and information surrounding the case in the waiver file. For information on fault and without fault findings, see GN 02250.005 .

The acceptance of payments made for due process purposes (e.g., payment continuation under Goldberg/Kelly) does not in itself establish that the individual knew or could have been expected to know that such payment(s) were incorrect.

NOTE: A determination that the overpaid individual is liable for repayment of the overpayment is not a finding that the liable individual is at fault in causing the overpayment. Policy and procedures for determining liability for repayment of an SSI overpayment are in SI 02201.020 through SI 02201.023 and SI 02201.025 .

2.  Factors to consider in finding without fault

Whether an individual is without fault depends on all the circumstances pertinent to the overpayment in a particular case. We consider whether the individual:

Understood the cause of the overpayment at the time it occurred;

Understood the reporting requirements;

Agreed to report events affecting payments;

Was aware of events that should have been reported;

Attempted to comply with the reporting requirements;

Had the ability (as determined by age, comprehension, education, memory, physical and mental condition (which may include medical institutionalization during part or all of their overpayment period), linguistic limitations, etc.) to understand and comply with the reporting requirements; and

Understood the obligation to return payments which were not due

3.  Relationship of fault to the individual

The determination that an individual is without fault relates only to the individual seeking relief from adjustment or recovery of an overpayment. We do not attribute another individual’s fault or knowledge to the individual seeking relief.

EXAMPLE: A SSI Child is liable for repayment of an overpayment made to them. However, the child would be without fault in connection with an overpayment caused by the failure of the child's parent(s) or representative payee to report an increase in the parent(s) wages. See SI 02201.020 through SI 02201.023 for general instructions on determining liability.

4.  Effect of administrative error

Administrative error will not relieve the individual of liability for repayment when they knew or should have known that the payment(s) was incorrect.

5.  Situations which indicate fault

We consider the following situations as indicating the overpaid individual is at fault:

a.  Willful misstatement or concealment of material facts or fraud

The overpaid individual is at fault in causing the overpayment if there is evidence of willful misrepresentation  or concealment of material facts, or fraud , which directly or indirectly caused the overpayment.

Example : In August 2012, Harry Finch’s SSI payments were ceased on medical review. The cessation decision included evidence from a Cooperative Disability Investigation report. The report refuted many of the statements Harry made on the SSA-454 regarding Harry's limitations. The report also provided evidence Harry omitted material information. On appeal, Harry requests benefit continuation. In August 2013, the benefit cessation is upheld, resulting in an overpayment. Harry’s inaccurate and misleading statements would preclude a finding of without fault in causing the overpayment.

b.  Knowingly supplied incorrect information

The overpaid individual is at fault if they knowingly supplied information which they knew or should have known was incorrect.

However, if there is valid reason to believe the incorrect information supplied was given in good faith and that it was correct to the best of the individual’s knowledge, we may make a finding of without fault.

c.  Duplicate checks

Receiving and negotiating two payments for the same month(s) indicates fault.

d.  Conditional payments

Fault normally exists when the overpayment resulted from conditional payments (i.e., payments subject to disposition of excess resources). Such payments are made pursuant to a written agreement indicating full understanding of the consequences of disposition or failure to dispose.

For conditional payment overpayments, we will make a without fault finding only if the overpaid individual was not aware of the consequences of their actions.

e.  Similar overpayments occurred in the past

Usually, we will find fault if the individual has incurred a similar overpayment in the past and at the time of the prior similar overpayment had reporting responsibilities explained to them. In this situation the individual should have had adequate knowledge of the effect of the change or event and of their obligation to report it.

6.  Timely reporting and the presumption of without fault

A change is reported timely if it is reported within 10 calendar days after the month the change occurred.

Generally, we presume an individual to be without fault if they reported the pertinent change(s) timely.

The presumption of without fault due to timely reporting applies only to those payments that were made in the month the change occurred and the following month.

However, if incorrect payments continue for months after the month of a timely report, we may establish fault if the overpaid individual accepted payments they knew or should have known were incorrect.

Similar overpayments in the past may preclude a presumption of without fault even if the individual reported the current change timely.

If the overpaid individual willfully concealed or misstated material facts, we must rebut the presumption of without fault.

7.  Goldberg/Kelly and statutory benefit continuation of payments

The overpaid individual exercising their right to payment continuation while we process an appeal and/or waiver is not an indication of fault. Fault determinations are based on the totality of the facts, argument and data in each individual case.

C.  Procedures for processing SSI Overpayment waivers

You must consider the totality of the facts, argument and data in each individual case.

You must document the waiver file with all the evidence and information you receive either through MSSICS, by CEF, or NDRed using the Evidence Portal (EP). See SI 02220.005 for policy and procedures on documenting SSI overpayments. For more information on EP, see MS 09701.001.

You can not use the individual’s acceptance of payments made for due process purposes (e.g., payment continuation under Goldberg/Kelly and statutory benefit continuation of payment) in order to establish that the individual knew or could have been expected to know that such payments were incorrect.

NOTE: You can not use a determination that the overpaid individual is liable for repayment of the overpayment to find that the liable individual is at fault in causing the overpayment. For liability determinations see SI 02201.020 through SI 02201.023 and SI 02201.025 .

Whether an individual is without fault depends on the totality of the facts, argument and data in each individual case. For each case you must consider whether the individual:

Had the ability (as determined by age, comprehension, education, memory, physical and mental condition (which may include medical institutionalization during part or all of the overpayment peirod), linguistic limitations, etc.) to understand and comply with the reporting requirements; and,

Understood their obligation to return payments which were not due

Without fault relates only to the situation of the individual seeking relief from adjustment or recovery of an overpayment. You can not charge the fault or knowledge of another person to the individual seeking relief.

Administrative error does not relieve the individual of liability for repayment when they knew or should have known that the payment(s) was incorrect.

EXAMPLE: You can find fault if an individual continues to accept SSI payments which they had been told were incorrect, but which we could not prevent from being issued.

Consider the following situations as indicating the overpaid individual is at fault.

a.  Evidence of willful misstatement or concealment

Whether there is evidence of willful misstatement, or concealment of material facts, or fraud, which directly or indirectly caused the overpayment. See SI 02201.005D and GN 04110.010.

EXAMPLE: If an overpaid individual established their age as 65 based on recent proof but knowingly withheld an earlier proof (e.g., a birth or baptismal certificate) which indicated they were actually less than 65, they are at fault in causing the overpayment.

However, if there is valid reason to believe the incorrect information supplied was given in good faith and that it was correct to the best of the individual’s knowledge, you can find the individual is without fault.

Receiving and negotiating two payments for the same period indicates fault. Processing instructions for waiver requests for duplicate check overpayments are in SI 02260.030C.

Fault normally exists if the overpayment resulted from conditional payments (i.e., payments subject to disposition of excess resources). Such payments are made pursuant to a written agreement indicating full understanding of the consequences of disposition or failure to dispose.

You can find without fault only if the overpaid individual was not aware of the consequences of their actions. This should rarely be the case.

e.  Similar overpayments incurred in the past

Usually, you can find fault if the individual has incurred a similar overpayment in the past and at that time had reporting responsibilities explained to them. Because reporting responsibilities were explained to the overpaid individual, there is a rebuttable presumption the individual had adequate knowledge of the effect of the change or event and of their obligation to report the change.

Generally, you can presume an individual to be without fault if they reported the pertinent change(s) timely.

The presumption of without fault due to timely reporting applies only to those payments that were made in the month of change and the following month.

However, if incorrect payments continue for the month(s) after the month of a timely report, you can establish fault if the individual accepted payments they knew or should have known were incorrect.

EXAMPLE: A timely report is made. You inform the individual that payments are not due for future months and if received, must be returned. However, the individual does not return the payment received the following month. The overpaid individual is not without fault for not returning the next month payment because they knew or reasonably should have known the payment was incorrect.

Similar overpayments in the past preclude a presumption of without fault even if the individual reported the current change timely.

If the overpaid individual willfully concealed or misstated material facts, the presumption of without fault is rebutted.

TOUR Championship: How it works, FedExCup Starting Strokes and FedExCup payouts

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The TOUR Championship will once again feature a staggered start beginning in Round 1 at East Lake Golf Club. Scottie Scheffler leads the FedExCup and begins the week once again at the top of the leaderboard looking to win the FedExCup for the first time and the bonus of $25 million.

The FedExCup points leader after the first two Playoffs events will begin the TOUR Championship at 10-under par. The No. 2 player will start at 8-under. The No. 3 player starts at 7-under; the No. 4 player starts at 6-under; the No. 5 player starts at 5-under. Players 6-10 start at 4-under; players 11-15 start at 3-under; players 16-20 start at 2-under; players 21-25 start at 1-under; and players 26-30 start at even par.

At the TOUR Championship, the player with the lowest stroke total over 72 holes when combined with his FedExCup Starting Strokes will be crowned the FedExCup champion, be credited with an official victory at the TOUR Championship, earn a bonus of $25 million and a five-year PGA TOUR exemption.

Here's how the final 30 players in the FedExCup standings who qualified through the BMW Championship will begin the TOUR Championship.

Note: Scroll to bottom for full FedExCup bonus money payouts for all 30 players.

FedExCup bonus

Jewish advocacy groups allege antisemitism behind Santa Ana’s ethnic studies rollout

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An ethnic studies curriculum at Santa Ana Unified School District is headed for a court battle in an ongoing lawsuit that alleges courses were developed in secret and “infected” with antisemitism.

Before a scheduled Sept. 19 hearing, the Anti-Defamation League, Brandeis Center and American Jewish Committee point to the term the “Jewish Question” appearing on an ethnic studies steering committee agenda in making their case.

Attorneys also obtained text messages that appear to show senior district officials discussing a strategy of the school board to hold votes on Jewish holidays, like Passover, to approve ethnic studies classes without protest from the Jewish community.

“The policy-making committee that was established saw Jews as an obstacle to exclude in the process,” said James Pasch, the ADL’s senior director for national litigation. “Due to that exclusion, the end result was the creation of anti-Jewish, anti-Israel classes being implemented into the curriculum.”

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Similar pitched battles framed the original attempt to draft an ethnic studies model curriculum at the state level in 2019. The draft faced criticisms, including charges of antisemitism, and was significantly revised before Gov. Gavin Newsom signed AB 101 into law, requiring the state’s students to take a semester of ethnic studies as a graduation requirement for the class of 2030.

But the state allowed school districts flexibility in developing ethnic studies curriculum.

In April 2023, the Santa Ana school board approved World Histories and World Geography ethnic studies classes that later drew protest from pro-Israel groups. Pro-Palestinian activists packed a school board meeting last year to defend the classes, one of which included lessons critical of the Israeli government in its course outline.

The lawsuit that followed claimed those lessons overstepped the bounds of legitimate criticism and unfairly demonized Israel as a uniquely evil settler colonial enterprise. It also alleged the district’s steering committee developed ethnic studies classes, including the pair approved last year, in private to avoid a replay of the fight that happened over the state’s model curriculum.

Groups took legal action after deeming a series of meetings between district officials and the Jewish Federation of Orange County as “lip service.”

“We are disappointed that the district remains unrepentant regarding its violations of state law and the deeply offensive statements made by district officials,” Pasch said. “Our evidence is based primarily on the district’s own records.”

Four years ago, Santa Ana Unified positioned itself at the vanguard of ethnic studies instruction in Orange County. The district’s teachers have taught such courses as electives for years. But on June 9, 2020, the school board voted to make ethnic studies a graduation requirement by the class of 2027, three years before the state’s own requirement.

The resolution also directed the district’s superintendent to establish a task force consisting of school board members, administrators, teachers, staff, parents and students to develop an action plan by the following month on how best to implement the new graduation requirement.

The suit alleges that the task force morphed into a steering committee dominated by board members Rigo Rodriguez and Carolyn Torres, so as to avoid a “watered-down” ethnic studies curriculum.

It further claimed that the steering committee met regularly, took meeting minutes and voted on items but violated the Brown Act by never meeting in public.

David Loy, legal director for the First Amendment Coalition, said that such bodies warrant a careful look at the open meeting law.

“If the superintendent, without involving the school board, creates a task force to advise the superintendent, that’s not necessarily covered by the Brown Act,” he opined. “If, in fact, the school board directed the superintendent to create this body to advise on curriculum, and if it, in fact, did that consistently over time, then yes, there’s a very substantial Brown Act concern there.”

The suit alleges that the steering committee became an arena for antisemitism itself with one member dismissing another as having “a colonized Jewish mind” in text messages over them raising the issue of antisemitism during a meeting. Another staffer complained about “thinly veiled antisemitism” from a committee leader.

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In addition to questions about government transparency, the debate over the ethnic studies classes that emerged from the steering committee and antisemitism continue ahead of the September court date.

In referring to the World Histories and World Geography ethnic studies classes approved last year, the suit alleges that the course outlines contain “false and damaging narratives” about Israel and Jewish people and cites the International Holocaust Remembrance Alliance definition of antisemitism in support.

Earlier this year, Congress passed a bill that would have the U.S. Department of Education adopt the IHRA definition of antisemitism when enforcing federal antidiscrimination laws.

Shira Klein, a Chapman University history professor, independently evaluated the district’s courses last year and didn’t find that they reflected or promoted bias or bigotry. As a scholar, she finds the IHRA definition “deeply flawed,” as a majority of its contemporary examples surround criticisms against the state of Israel.

“Hundreds of scholars of antisemitism, the Holocaust and genocide, and the Middle East took a stand against it in the well-known Jerusalem Declaration on Antisemitism,” she said. “Even Kenneth Stern, the main drafter of the IHRA definition, now opposes it. Antisemitism is the hatred of Jews as Jews. Criticism of Israel, however harsh, is not in and of itself antisemitic.”

Books listed in course outlines have also come under sharp criticism.

Michael Mann, an emeritus professor of sociology at UCLA, has defended his book “The Dark Side of Democracy: Explaining Ethnic Cleansing,” as it appeared as a teacher reference for World Histories.

A significant portion of his book is dedicated to the Holocaust, but the latest court filing against Santa Ana Unified criticized the scholarly work for its brief characterization of Israel as the main contemporary example of a “settler conqueror” case.

“I stand by what I wrote,” Mann said in a statement to the Los Angeles Times last year. “My book instances the Israel case as a settler conquest case, which is an accurate label used by numerous Israeli historians and social scientists — in fact I reference one of them, Oren Yiftachel.”

As students have returned to Santa Ana Unified classrooms, World Histories is currently being offered as an ethnic studies class that counts towards the graduation requirement.

But amid the acrimony, the district put the World Geography ethnic studies class on hold.

Jewish advocacy groups taking legal action are asking the court to invalidate any ethnic studies classes that were approved, in part, through the steering committee.

When initially contacted by TimesOC, a spokesperson said ongoing litigation prevented district officials from commenting.

But the following day, Santa Ana Unified issued a statement in response to the suit’s allegations that its ethnic studies classes were passed in violation of the Brown Act and are illegally biased against Israel and the Jewish community.

“The district denies these claims and will present counter arguments and facts to the court for consideration and is optimistic that the court will ultimately find in favor of the district,” the statement read.

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Gabriel San Román is a feature writer for TimesOC. He previously worked at OC Weekly – as a reporter, podcast producer and columnist – until the newspaper’s closing in late 2019. In 2023, San Román was part of the breaking news reporting team that was a Pulitzer finalist for its coverage of the Lunar New Year mass shooting in Monterey Park. He may or may not be the tallest Mexican in O.C.

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Cbo’s 2024 long-term projections for social security.

In CBO’s projections, spending for Social Security rises relative to GDP over the next 75 years, and the gap between outlays and revenues widens. If combined, the balances in the program’s trust funds would be exhausted in fiscal year 2034.

In this report, the Congressional Budget Office describes its 75-year projections for the Social Security program. One set of projections reflects a scenario in which the program continues to pay retirement, disability, and related benefits as scheduled under current law, regardless of whether the program’s two trust funds have sufficient balances to cover those payments. The second set of projections reflects a scenario in which Social Security’s outlays are limited to the amounts that can be paid from the program’s annual revenues after the combined balance of the trust funds is exhausted—which is now projected to occur in fiscal year 2034.

• Social Security’s Finances, With Scheduled Benefits. CBO projects that if Social Security paid benefits as scheduled, spending on the program would increase from 5.1 percent of gross domestic product (GDP) in 2024 to 6.7 percent in 2098. That increase is attributable to the growing share of the population age 65 or older. The program’s revenues would remain near 4.5 percent of GDP during that 75-year period. After 2098, the gap between revenues and outlays as a percentage of GDP would widen, and shortfalls would continue to grow. In CBO’s projections, the balance of the Old-Age and Survivors Insurance Trust Fund is exhausted in fiscal year 2033, and the balance of the Disability Insurance Trust Fund is exhausted in 2064. Social Security’s actuarial deficit over the next 75 years, a summary measure of the program’s sustainability, is equal to 1.5 percent of GDP or 4.3 percent of taxable payroll (total earnings subject to the Social Security payroll tax).
• Distribution of Scheduled Benefits and Payroll Taxes. Average initial benefits are projected to increase over time in real terms (that is, after adjustments to remove the effects of inflation). For people born from the 1950s to the 1990s, those initial benefits replace more than one-third of preretirement earnings for retired workers and more than half of average recent earnings for disabled workers. Within a cohort of Social Security recipients who were born in the same decade, people with higher earnings generally receive larger benefits than people with lower earnings, but those larger benefits replace a smaller share of their previous earnings. People with higher earnings also generally pay a larger dollar amount—but a smaller share of their lifetime earnings—in Social Security payroll taxes. The Social Security program is progressive in that lifetime benefits tend to be larger relative to lifetime payroll taxes for people with lower earnings than for people with higher earnings.
• Social Security’s Finances, With Payable Benefits. If Social Security’s outlays were limited to the amounts that could be paid from annual revenues after the combined balance of the trust funds was exhausted in fiscal year 2034, benefits would be about 23 percent smaller than scheduled benefits in 2035, CBO projects. Payable benefits would be about 28 percent smaller than scheduled benefits in 2098.
• Distribution of Payable Benefits. In the payable-benefits scenario, average initial retirement benefits resume growing over time after the combined balance of the trust funds is exhausted. But those benefits are smaller than scheduled benefits for people born after 1969 (who turn 65 after 2034).

Data and Supplemental Information

• Data Underlying Figures and Table
• CBO's 2024 Long-Term Projections for Social Security
• Projections Underlying Social Security Estimates

Related Publications

• Testimony on Social Security’s Finances June 4, 2024
• The Long-Term Budget Outlook: 2024 to 2054 March 20, 2024
• The Demographic Outlook: 2024 to 2054 January 18, 2024
• CBO’s 2023 Long-Term Projections for Social Security June 29, 2023

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USDA Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

A Rule by the Agriculture Department on 08/26/2024

This document has been published in the Federal Register . Use the PDF linked in the document sidebar for the official electronic format.

• Document Details Published Content - Document Details Agency Department of Agriculture Agency/Docket Number Docket No. USDA-2024-0002 CFR 2 CFR chapter undef Document Citation 89 FR 68321 Document Number 2024-18544 Document Type Rule Pages 68321-68337 (17 pages) Publication Date 08/26/2024 RIN 0505-AA18 Published Content - Document Details
• View printed version (PDF)
• Document Dates Published Content - Document Dates Effective Date 10/01/2024 Dates Text This rule is effective on October 1, 2024. Published Content - Document Dates

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FOR FURTHER INFORMATION CONTACT:

Supplementary information:, executive orders 12866 and 13563, executive order 12988, paperwork reduction act, usda non-discrimination policy, list of subjects, 2 cfr part 400, 2 cfr part 401, 2 cfr part 415, 2 cfr part 416, 2 cfr part 417, 2 cfr part 418, 2 cfr part 421, 2 cfr part 422, 2 cfr part 423, part 400—uniform administrative requirements, cost principles, and audit requirements for federal awards, part 401—buy america preferences for infrastructure projects, part 415—general program administrative regulations, subpart a—application for federal assistance.

• Subpart B— Miscellaneous

Subpart C—Intergovernmental Review of Department of Agriculture Programs and Activities

Subpart b—miscellaneous, part 416—general program administrative regulations for grants and cooperative agreements to state and local governments, part 417—nonprocurement debarment and suspension, subpart a—general, subpart b—covered transactions, subpart c—responsibilities of participants regarding transactions, subpart d—responsibilities of department of agriculture officials regarding transactions, subpart e—[reserved], subpart f—[reserved], subpart g—suspension, subpart h—debarment, subpart i—definitions, subpart j—[reserved], part 418—new restrictions on lobbying, subpart b—activities by own employees, subpart c—activities by other than own employees, subpart d—penalties and enforcement, subpart e—exemptions, appendix a to part 418—certification regarding lobbying, certification for contracts, grants, loans, and cooperative agreements, statement for loan guarantees and loan insurance, part 421—requirements for drug-free workplace (financial assistance), part 422—research institutions conducting usda-funded extramural research; research misconduct, part 423—geospatial data management and standards for federal financial assistance awards.

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Department of Agriculture

• 2 CFR Chapter IV
• [Docket No. USDA-2024-0002]
• RIN 0505-AA18

Office of the Chief Financial Officer, USDA.

Final rule.

The U.S. Department of Agriculture (USDA) is revising parts of the USDA Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. USDA's revision provides policy changes and clarifications including plain language revisions. These revisions are intended in many cases to reduce agency and recipient burden.

This rule is effective on October 1, 2024.

Tyson P. Whitney, Office of the Chief Financial Officer, Director, Transparency and Accountability Reporting Division, U.S. Department of Agriculture, 1400 Independence Avenue SW, Washington, DC 20250-9011, 202-720-8978, [email protected] .

Individuals who require alternative means for communication should contact the U.S. Department of Agriculture (USDA) Target Center at (202) 720-2600 (voice).

The regulations found at 2 CFR Chapter IV provide the USDA adoption of subparts A through F of 2 CFR part 200 , as supplemented by USDA-specific exceptions and requirements. 2 CFR Chapter IV additionally includes the regulatory implementation of several statutory requirements which provide USDA-wide applicability.

On July 1, 2024, USDA published a proposed rule to provide conforming updates to OMB's April 22, 2024 updates to 2 CFR part 200 , implement plain language use, and to propose revisions intended in many cases to reduce agency and recipient burden. USDA proposed both policy changes and clarifications to existing requirements. See 89 FR 54372 . A correction was published to clarify that the public comment period extended through July 31, 2024. See 89 FR 55114 .

USDA solicited comments concerning the proposed rule ending July 31, 2024, and received one comment by that date. An anonymous submitter requested that USDA prioritize environmental protection due to concern over costs from damages to public lands and the environment from commercial operations. The submitter also requested that USDA only provide grants for research or projects that reduce fossil fuel production and consumption. As this regulation does not propose specific environmental regulations, describe specific program activities that would impact public lands, or authorize specific USDA grant programs, the public comment is not relevant to the regulations and will not be addressed in the regulatory text.

Therefore, for the reasons given in the proposed rule and in this document, we are adopting the proposed rule as a final rule, without change.

Executive Order 12866 , “Regulatory Planning and Review” and Executive Order 13563 , “Improving Regulation and Regulatory Review” direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits. The assessment should include potential economic, environmental, public health and safety effects, distributive impacts, and equity. Executive Order 13563 emphasized the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. The Office of Management and Budget (OMB) designated this proposed rule as not significant under Executive Order 12866 , “Regulatory Planning and Review,” and therefore, OMB has not reviewed it.

This proposed rule has been reviewed under E.O. 12988 on “Civil Justice Reform.” This proposed rule would not preempt state or local laws, regulations, or policies unless they represent an irreconcilable conflict with it.

This final rule contains no information collection or recordkeeping requirements under the Paperwork Reduction Act of 1995 ( 44 U.S.C. 3501 et seq. ).

In accordance with Federal civil rights law and USDA civil rights regulations and policies, the USDA, its agencies, offices, and employees, and institutions participating in or administering USDA programs are prohibited from discriminating based on race, color, national origin, religion, sex, gender identity (including gender expression), sexual orientation, disability, age, marital status, family or parental status, income derived from a public assistance program, political beliefs, or reprisal or retaliation for prior civil rights activity, in any program or activity conducted or funded by USDA (not all bases apply to all programs). Remedies and complaint filing deadlines vary by program or incident.

Individuals who require alternative means of communication for program information (for example, braille, large print, audiotape, American Sign Language, etc.) should contact the responsible agency or the USDA TARGET Center at (202) 720-2600 (voice and text telephone (TTY)) or dial 711 for Telecommunications Relay Service (both voice and text telephone users can initiate this call from any telephone). Additionally, program information may be made available in languages other than English.

To file a program discrimination complaint, complete the USDA Program Discrimination Complaint Form, AD-3027, found online at https://www.usda.gov/​oascr/​how-to-file-a-program-discrimination-complaint and at any USDA office or write a letter addressed to USDA and provide in the letter all the information requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by: (1) mail to: U.S. Department ( print page 68322) of Agriculture, Office of the Assistant Secretary for Civil Rights, 1400 Independence Avenue SW, Washington, DC 20250-9410; (2) fax: (202) 690-7442; or (3) email: [email protected] .

USDA is an equal opportunity provider, employer, and lender.

• Administration of Federal financial assistance
• Administrative practice and procedure
• Federal financial assistance programs
• Construction Industry
• Agriculture programs
• Government procurement procedure
• Administrative practice and procedure; Grant programs; Loan programs; Reporting and recordkeeping requirements
• Lobbying procedures
• Agricultural research
• Reporting and recordkeeping requirements

Accordingly, USDA amends 2 CFR Chapter IV as follows:

1. Revise part 400 to read as follows:

Authority: 5 U.S.C. 301 ; 2 CFR part 200 .

The definitions in this part are for terms used in this chapter, and to define for USDA terms present in 2 CFR Subtitle A but not defined in that subtitle. Different definitions may be found in Federal statutes, regulations, or other sources that apply more specifically to particular programs or activities. Where parts of this chapter provide alternate definitions than those in this part, those definitions take precedence over any definition in this part. For terms used in this chapter that are not defined in this part, the definitions in 2 CFR part 200 apply. All terms not otherwise defined will use the dictionary definition.

Audiovisual means a product containing visual imagery or sound or both. Examples of audiovisuals are motion pictures, live or prerecorded radio or television programs, slide shows, filmstrips, audio recordings, and multimedia presentations.

Awarding official means a person with the authority to enter into, administer, and/or terminate financial assistance awards and make related determinations and findings.

Construction means construction, alteration, or repair (including dredging, excavating, and painting) of buildings, structures, or other real property. For purposes of this definition, the terms “buildings, structures, or other real property” include, but are not limited to, improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, cemeteries, pumping stations, railways, airport facilities, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, and channels. For the purposes of 2 CFR part 184 , construction also encompasses structures, facilities, and equipment incorporated into an infrastructure project regardless of whether they constitute real property.

Department means the U.S. Department of Agriculture.

Discretionary award means an award in which the Federal awarding agency, in keeping with specific statutory authority that enables the agency to exercise judgment (“discretion”), selects the recipient and/or the amount of Federal funding awarded through a competitive process or based on merit of proposals. A discretionary award may be selected by a USDA awarding agency on a non-competitive basis exclusively under the conditions set forth at 2 CFR 415.1 .

Eligible applications means those materials which have been submitted by a recipient for consideration for an award of Federal financial assistance and have been determined to comply with the minimum documentation and other requirements, which may be identified in respective notices of funding opportunities and applicable Federal statutes or regulations that apply more specifically to particular programs or activities.

Federal financial assistance support means the transfer of anything of value by a USDA awarding agency through a Federal financial assistance instrument as defined at 2 CFR part 200.1 , inclusive of Federally funded subawards and subcontracts under such instruments, to a recipient. Such support may be provided as a cash or in-kind contribution.

Geospatial data means information that is tied to a location on the Earth, including by identifying the geographic location and characteristics of natural or constructed features and boundaries on the Earth, and that is generally represented in vector datasets by points, lines, polygons, or other complex geographic features or phenomena; may be derived from, among other things, remote sensing, mapping, and surveying technologies; includes images and raster datasets, aerial photographs, and other forms of geospatial data or datasets in digitized or non-digitized form.

Information means any communication or representation of knowledge, such as facts, data, or opinions in any medium or form, including textual, numerical, graphic, cartographic, narrative, or audiovisual forms.

Information dissemination product means any recorded information, regardless of physical form or characteristics, disseminated to the public.

Maintenance means those activities conducted for the repair or upkeep of buildings, structures, facilities, and equipment which neither add to the permanent value of the property nor appreciably prolong its intended life, but keep it in an efficient operating condition.

Production of an audiovisual means any steps that lead to a finished audiovisual, including but not limited to design, layout, script-writing, filming, editing, fabrication, sound recording or taping. The term does not include the placing of captions to make accessible films or videotapes not originally produced for use by individuals who are Deaf or hard of hearing.

Secretary means the Secretary of the U.S. Department of Agriculture.

USDA means the U.S. Department of Agriculture. ( print page 68323)

USDA awarding agency means any component agency or staff office of the U.S. Department of Agriculture which provides any Federal financial assistance to or executes a Federal financial assistance instrument with a recipient.

This part adopts the OMB guidance in subparts A through F of 2 CFR part 200 , as supplemented by this chapter, as USDA policies and procedures for uniform administrative requirements, cost principles, and audit requirements for Federal awards. It thereby gives regulatory effect for the USDA to the OMB guidance, as supplemented by this chapter.

(a) Each USDA awarding agency must establish conflict of interest policies for its Federal financial assistance actions. Each USDA awarding agency employee must comply with the requirements set forth at 5 CFR part 2635 , as well as 5 CFR part 8301 where applicable, when the USDA employee takes any action related to Federal financial assistance.

(b) Recipients must disclose in writing any potential conflicts of interest to the USDA awarding agency or pass-through entity.

(1) Recipients must maintain written standards of conduct covering conflicts of interest and governing the performance of their employees in the selection, award and administration of Federal awards. No employee, officer or agent may participate in the selection, award, or administration of a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from an entity considered for a Federal award. The recipient may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the recipient.

(2) If the recipient has a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, the non-Federal entity must also maintain written standards of conduct covering organizational conflicts of interest. Organizational conflicts of interest means that because of the relationships with a parent company, affiliate, or subsidiary organization, the recipient is unable or appears to be unable to be impartial in conducting a Federal award action involving a related organization.

(3) Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. Recipients are responsible for notifying the respective USDA awarding agency in writing of any conflicts of interest that may arise during the period of performance of an award, including those which have been reported by subrecipients, no later than 5 calendar days following discovery. Upon receipt of such a disclosure, the respective USDA awarding agency must review and make a determination in writing if a potential or real conflict of interest exists and develop a plan for addressing or mitigating the issue, which may include remedies found at 2 CFR 200.339 . USDA awarding agencies must make a determination within 30 calendar days of disclosure unless a longer period of time is necessary due to the complexity of the situation.

2. Add part 401 to read as follows:

Authority: 5 U.S.C. 301 ; Pub. L. 117-58 , 135 Stat. 1294; 2 CFR part 184 ; 2 CFR part 200 .

This part identifies the USDA policy for the implementation of waivers to the domestic content procurement preferences as required by 2 CFR 184.7(b) .

On its public website, USDA must maintain waiver request submission instructions and guidance on the format, contents, and supporting materials required for waiver requests by which:

(a) USDA awarding agencies may request waivers to the application of the Buy America Preference; and,

(b) Prime recipients and subrecipients may request project-specific waivers from the respective USDA awarding agencies to the application of the Buy America Preference.

3. Revise part 415 to read as follows:

Authority: 5 U.S.C. 301 ; 31 U.S.C. 901-903 ; 2 CFR part 200 ; 7 CFR 2.28 .

(a) All USDA awarding agencies must demonstrate a commitment to encouraging free and open competition in all discretionary grant and cooperative agreement funding opportunities. USDA awarding agencies must ensure that all eligible applications for discretionary grants and cooperative agreements receive fair and impartial review, be evaluated only on criteria as stated in the respective notice of funding opportunity, and that no applicant receive an unfair advantage.

(b) USDA awarding agencies must enter into discretionary grants and cooperative agreements only after competition. Exceptions to this requirement may only be made by USDA awarding agencies where expressly provided by statute, when directed by Congress, where the requirement is determined to be inconsistent with international assistance objectives of USDA, or as specified in paragraph (d) of this section or as approved by the Secretary and OMB under paragraph (e). A USDA awarding agency's competitive award process must adhere to the following standards: ( print page 68324)

(1) All notices of funding opportunities for discretionary grants and cooperative agreements must be published on Grants.gov as described in 2 CFR 200.204(a) . When notices of funding opportunities contain an information collection requirement subject to the Paperwork Reduction Act ( 44 U.S.C. 3501 et seq. ) or its implementing regulations at 5 CFR part 1320 , USDA awarding agencies must seek and obtain OMB approval before collecting information from the public.

(i) Supplementary to the requirements at paragraph (b)(1), USDA awarding agencies may make use of other methods of disseminating public information concerning notices of funding opportunities. In doing so, USDA awarding agencies must:

(A) Pursue the broadest dissemination of information concerning notices of funding opportunities in order to reach the greatest number and diversity of potential applicants.

(B) Avoid any appearance that an unfair advantage has been provided to any entity, inclusive of the memberships or networks of such entities, which may arise from the use of any dissemination method.

(C) Provide only public information concerning notices of funding opportunities.

(D) Seek the greatest cost savings to the Government, whenever possible.

(ii) Nothing in this part will be interpreted as to limit, impede, or otherwise prevent the attendance of any USDA awarding agency's staff, acting in their official capacity, at a conference, event, or similar activity, for the purposes of disseminating public information concerning notices of funding opportunities.

(2) Applications must be evaluated objectively by independent reviewers in accordance with evaluation criteria set forth in writing by the USDA awarding agency. USDA awarding agencies must establish written procedures to gain reasonable assurance that individuals selected to serve as independent reviewers are qualified to conduct any assigned review activity and that applications are scored by independent reviewers solely on the basis of criteria announced in the respective published notice of funding opportunity. Independent reviewers must make written comments or make a written determination of scoring, as appropriate, concerning each application to which they are assigned.

(i) Independent reviewers may be from the private or public sector, including another Federal agency, or within the awarding agency. Independent reviewers must not be any individual who holds or has been delegated approval or award authority for the applications being reviewed or components thereof.

(ii) Anyone who has or might appear to have a conflict of interest with any element of an application considered for selection or funding will be ineligible to serve as an independent reviewer. A conflict of interest might arise when the prospective independent reviewer, the reviewer's immediate family members, or the reviewer's partner, have been associated with the applicant or applicant organization within the past two years as an owner, partner, officer, director, employee, or consultant; has any financial or other interest in or tangible personal benefit from the applicant or applicant organizations; or is negotiating for, or has any arrangement, concerning prospective employment.

(3) Notwithstanding this paragraph (b), unless directed by Congress or authorized by statute, USDA awarding agencies may, but are not required to, review, evaluate for eligibility, or otherwise consider for funding any unsolicited application, proposal materials, ideas, pitches, or any other request for Federal funds provided by any entity for the purpose of obtaining Federal financial assistance.

(c) The final decision to award is at the discretion of the awarding official in each USDA awarding agency. The awarding official must consider the ranking, comments, and recommendations from the respective independent reviewers, and any other pertinent information before deciding which applications to approve and their order of approval. Any appeals by applicants regarding the awarding decision must be handled by the awarding agency using existing, written agency appeal procedures.

(d) The awarding official may make a determination that competition is not deemed appropriate for a particular transaction. Such determination must be made in writing on a case-by-case basis and be limited to transactions where it can be adequately justified that a noncompetitive award is in the best interest of the Government and necessary to the accomplishment of the goals of USDA. Reasons for considering noncompetitive awards are:

(1) Nonmonetary awards of property or services.

(2) Awards of less than $100,000.

(3) Awards to fund continuing work already started under a previous award for which competition for continued support would have a significant adverse effect on continuity or completion of the activity.

(4) Time constraints associated with a public health, safety, welfare, or national security requirement preclude competition.

(e) USDA awarding agencies may establish alternate exceptions from competition for discretionary awards. All such alternative exceptions will be subject to review and approval both by the Secretary and by OMB, pursuant to pursuant to 2 CFR 200.102 , and 2 CFR 200.107 when applicable, and publicly set forth in writing by the USDA awarding agency.

(f) All actions taken USDA awarding agencies for the purpose of accomplishing any element of Federal financial assistance programs, awards, and any related or subsequent transactions, must comply with the direction set forth in Office of Federal Procurement Policy (OFPP) Policy Letter 11-01 and successor policy regarding the performance of inherently governmental and critical functions.

Recipients must have an acknowledgement of USDA awarding agency support placed on any information dissemination products produced with any Federal financial assistance support, including those which report the results or, or describe, a Federal financial assistance-supported activity.

(a) Unless the provisions of the Federal financial assistance award make it apply, this requirement does not apply to:

(1) Audiovisuals produced as research instruments or for documenting experimentation or findings and not intended for presentation or distribution to the public.

(2) [Reserved]

(b) USDA awarding agencies must require award terms and conditions imposed for the specific purpose of complying with law, regulation, or USDA policy, related to the acknowledgement of USDA awarding agency Federal financial assistance support.

(a) The regulations in this part implement Executive Order 12372 , “Intergovernmental Review of Federal Programs”, issued July 14, 1982, and amended on April 8, 1983. These regulations also implement applicable ( print page 68325) provisions of section 401 of the Intergovernmental Cooperation Act of 1968 and section 204 of the Demonstration Cities and Metropolitan Development Act of 1966.

(b) These regulations are intended to foster an intergovernmental partnership and a strengthened Federalism by relying on State processes and on State, areawide, regional and local coordination for review of proposed Federal financial assistance and direct Federal development.

(c) The regulations are intended to aid the internal management of the Department, and are not intended to create any right or benefit enforceable at law by a party against the Department or its officers.

As used in this part, the following definitions apply:

Order means Executive Order 12372 , issued July 14, 1982, and amended April 8, 1983, and titled Intergovernmental Review of Federal Programs.

State means any of the 50 states, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin Islands.

The Secretary must publish, no less than annually, a list of the Department's programs and activities that are subject to these regulations and identifies which of these are subject to the requirements of section 204 of the Demonstration Cities and Metropolitan Development Act. This list must be available on the USDA's public website.

(a) The Secretary provides opportunities for consultation by elected officials of those State and local governments that would provide the non-Federal funds for, or that would be directly affected by, proposed Federal financial assistance from, or direct Federal development by, the Department.

(b) If a State adopts a process under the Order to review and coordinate proposed Federal financial assistance and direct Federal development, the Secretary, to the extent permitted by law:

(1) Uses the State process to determine official views of State and local elected officials;

(2) Communicates with State and local elected officials as early in a program planning cycle as is reasonably feasible to explain specific plans and actions;

(3) Makes efforts to accommodate State and local elected officials' concerns with proposed Federal financial assistance and direct Federal development that are communicated through the State process;

(4) Allows the States to simplify and consolidate existing Federally required State plan submissions;

(5) Where State planning and budgeting systems are sufficient and where permitted by law, encourages the substitution of State plans for Federally required State plans;

(6) Seeks the coordination of views of affected State and local elected officials in one State with those of another State when proposed Federal financial assistance or direct Federal development has an impact on interstate metropolitan urban centers or other interstate areas; and

(7) Supports State and local governments by discouraging the reauthorization or creation of any planning organization which is Federally funded, which has a limited purpose, and which is not adequately representative of, or accountable to, State or local elected officials.

The Secretary, to the extent practicable, consults with and seeks advice from all other substantially affected Federal departments and agencies in an effort to assure full coordination between such agencies and the Department regarding programs and activities covered under these regulations.

(a) A State may select any program or activity published in the Federal Register or on Grants.gov , in accordance with § 415.5 for intergovernmental review under these regulations. Each State, before selecting programs and activities, must consult with local elected officials.

(b) Each State that adopts a process must notify the Secretary of the Department's programs and activities selected for that process.

(c) A State may notify the Secretary of changes in its selections at any time. For each change, the State must submit to the Secretary an assurance that the State has consulted with elected local officials regarding the change. The Department may establish deadlines by which States are required to inform the Secretary of changes in their program selections.

(d) The Secretary uses a State's process as soon as feasible, depending on individual programs and activities, after the Secretary is notified of its selections.

(a) The Secretary provides notice to directly affected State, areawide, regional, and local entities in a State of proposed Federal financial assistance or direct Federal development if:

(1) The State has not adopted a process under the Order; or

(2) The assistance or development involves a program or an activity that is not covered under the State process.

(b) This notice may be made by publication in the Federal Register or other appropriate means, which the Department in its discretion deems appropriate.

(c) In order to facilitate communication with State and local officials the Secretary has established an office within the Department to receive all communications pertinent to this Order. Communications should be sent to:

(1) The Office of the Chief Financial Officer, Room 143-W, 1400 Independence Avenue SW, Washington, DC 20250, Attention: E.O. 12372 ; or,

(2) As identified on the USDA's public website, an email address for electronic communications.

(a) Except in unusual circumstances, the Secretary gives State processes or directly affected State, areawide, regional, and local officials and entities:

(1) At least 30 days from the date established by the Secretary to comment on proposed Federal financial assistance in the form of noncompetitive continuation awards; and

(2) At least 60 days from the date established by the Secretary to comment on proposed direct Federal development or Federal financial assistance other than noncompetitive continuation awards.

(b) This section also applies to comments in cases in which the review, coordination and communication with the Department have been delegated.

(c) Applicants for programs and activities subject to section 204 of the Demonstration Cities and Metropolitan Development Act must allow areawide agencies a 60-day opportunity for review and comment.

(a) The Secretary follows the procedures in § 415.12 if:

(1) A State office or official is designated to act as a single point of ( print page 68326) contact between a State process and all Federal agencies; and

(2) That office or official transmits a State process recommendation for a program selected under § 415.8.

(b)(1) The single point of contact is not obligated to transmit comments from State, areawide, regional or local officials and entities where there is no State process recommendation.

(2) If a State process recommendation is transmitted by a single point of contact, all comments from State, areawide, regional and local officials and entities that differ from it must also be transmitted.

(c) If a State has not established a process, or is unable to submit a State process recommendation, State, areawide, regional and local officials and entities may submit comments either to the applicant or to the Department.

(d) If a program or activity is not selected by a State process, State, areawide, regional and local officials and entities may submit comments either to the applicant or to the Department. In addition, if a State process recommendation for a non-selected program or activity is transmitted to the Department by the single point of contact, the Secretary follows the procedures of § 415.12.

(e) The Secretary considers comments which do not constitute a State process recommendation submitted under these regulations and for which the Secretary is not required to apply the procedures of § 415.12, when such comments are provided by a single point of contact by the applicant, or directly to the Department by a commenting party.

(a) If a State process provides a State process recommendation to the Department through its single point of contact, the Secretary either—

(1) Accepts the recommendations;

(2) Reaches a mutually agreeable solution with the State process; or

(3) Provides the single point of contact with a written explanation of the decision, as determined by the Secretary. The Secretary may also supplement the written explanation by also providing the explanation to the single point of contact by telephone, other telecommunication, or other means.

(b) In any explanation under paragraph (a)(3) of this section, the Secretary informs the single point of contact that:

(1) The Department will not implement its decision for at least ten days after the single point of contact receives the explanation; or

(2) The Secretary has reviewed the decision and determined that, because of unusual circumstances, the waiting period of at least ten days is not feasible.

(c) For purposes of computing the waiting period under paragraph (b)(1) of this section, a single point of contact is presumed to have received written notification five days after the date of mailing of such notification.

(a) The Secretary is responsible for:

(1) Identifying proposed Federal financial assistance and direct Federal development that have an impact on interstate areas;

(2) Notifying appropriate officials in States which have adopted a process and which selected the Department's program or activity;

(3) Making efforts to identify and notify the affected State, areawide, regional and local officials and entities in those States that have not adopted a process under the Order or do not select the Department's program or activity; and

(4) Responding, pursuant to § 415.12, if the Secretary receives a recommendation from a designated areawide agency transmitted by a single point of contact, in cases in which the review, coordination, and communication with the Department have been delegated.

(b) The Secretary uses the procedures in § 415.12 if a State process provides a State process recommendation to the Department through a single point of contact.

(a) As used in this section:

(1) Simplify means that a State may develop its own format, choose its own submission date, and select the planning period for a State plan.

(2) Consolidate means that a State may meet statutory and regulatory requirements by combining two or more plans into one document and that the State can select the format, submission date, and the planning period for the consolidated plan.

(3) Substitute means that a State may use a plan or other document that it has developed for its own purposes to meet Federal requirements.

(b) If not inconsistent with law, a State may decide to try to simplify, consolidate, or substitute Federally required State plans without prior approval by the Secretary.

(c) The Secretary reviews each State plan a State has simplified, consolidated or substituted and accepts the plan only if its contents meet Federal requirements.

In an emergency, the Secretary may waive any provision in Subpart C—Intergovernmental Review of Department of Agriculture Programs and Activities, 2 CFR 415.3 to 415.14 .

4. Revise part 416 to read as follows:

Authority: 5 U.S.C. 301 ; 31 U.S.C. 901-903 ; 7 CFR 2.28 .

(a) In order to ensure objective contractor performance and eliminate unfair competitive advantage, a prospective contractor that develops or drafts specifications, requirements, statements of work, invitations for bids, request for proposals, contract term and conditions or other documents for use by a State in conducting a procurement under the USDA entitlement programs specified in 2 CFR 200.101(f)(4) through (7) must be excluded from competing for such procurements. Such prospective contractors are ineligible for contract awards resulting from such procurements regardless of the procurement method used. However, prospective contractors may provide States with specification information related to a State procurement under the USDA entitlement programs specified in 2 CFR 200.101(f)(4) through (7) and still compete for the procurement if the State, and not the prospective contractor, develops or drafts the specifications, requirements, statements of work, invitations for bid, and/or requests for proposals used to conduct the procurement.

(b) Procurements by States under USDA entitlement programs specified in 2 CFR 200.101(f)(4) through (7) must be conducted in a manner that prohibits the use of statutorily or administratively imposed in-State or local geographic preferences.

5. Revise part 417 to read as follows:

Authority: 5 U.S.C. 301 ; 7 U.S.C. 2209j ; Sec. 2455, Pub. L. 103-355, 108 Stat. 3327 ( 31 U.S.C. 6101 note ); Pub. L. 101-576, 104 Stat. 2838; E.O. 12549 ( 51 FR 6370 , 3 CFR , 1986 Comp., p. 189); E.O. 12689 ( 54 FR 34131 , 3 CFR , 1989 Comp., p. 235); 2 CFR part 180 ; 7 CFR 2.28 .

This part adopts the OMB guidance in subparts A through I of 2 CFR part 180 , as supplemented by this part, as the USDA policies and procedures for nonprocurement debarment and suspension. It thereby gives regulatory effect for the USDA to the OMB guidance, as supplemented by this part. For any section of OMB guidance in subparts A through I of 2 CFR part 180 that has no corresponding section in this part, USDA policies and procedures are those in the OMB guidance. This part satisfies the requirements in section 3 of Executive Order 12549 , “Debarment and Suspension” ( 3 CFR , 1986 Comp., p. 189), Executive Order 12689 , “Debarment and Suspension” ( 3 CFR , 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Section 2455, Pub. L. 103-355, 108 Stat. 3327).

Through this part, pertinent portions of the OMB guidance in subparts A through I of 2 CFR part 180 (see table at 2 CFR 180.100(b) ) apply to you if you are a:

(a) Participant or principal in a “covered transaction” (see subpart B of 2 CFR part 180 and the definition of “nonprocurement transaction” at 2 CFR 180.970 , as supplemented by §§ 417.215 and 417.220);

(b) Respondent in a USDA debarment and suspension action;

(c) USDA debarment or suspension official; or

(d) USDA grants officer, agreements officer, or other official authorized to enter into any type of nonprocurement transaction that is a covered transaction.

The USDA policies and procedures that you must follow are the policies and procedures specified in this regulation and each applicable section of the OMB guidance in subparts A through I of 2 CFR part 180 , as that section is supplemented by the section in this part with the same section number. The contracts that are covered transactions, for example, are specified by 2 CFR 180.220 as supplemented by § 417.220. For any section of OMB guidance in subparts A through I of 2 CFR part 180 that has no corresponding section in this part, USDA policies and procedures are those in the OMB guidance.

Within the USDA, a debarring official may grant an exception to let an excluded person participate in a covered transaction as provided under 2 CFR 180.135 .

All nonprocurement transactions, as defined in 2 CFR 180.970 , are covered transactions unless listed in § 417.215.

(a) Transactions not covered. In addition to the nonprocurement transactions listed in 2 CFR 180.215 , the following nonprocurement transactions are not covered transactions:

(1) An entitlement or mandatory award required by a statute, including a lower tier entitlement or mandatory award that is required by a statute.

(2) The export or substitution of Federal timber governed by the Forest Resources Conservation and Shortage Relief Act of 1990, 16 U.S.C. 620 et seq. (The “Export Act”), which prevents a debarred person from entering into any contract for the purchase of unprocessed timber from Federal lands. See 16 U.S.C. 620d(d)(1)(A) .

(3) The receipt of licenses, permits, certificates, and indemnification under regulatory programs conducted in the interest of public health and safety, and animal and plant health and safety.

(4) The receipt of official grading and inspection services, animal damage control services, public health and safety inspection services, and animal and plant health and safety inspection services.

(5) If the person is a State or local government, the provision of official grading and inspection services, animal damage control services, animal and plant health and safety inspection services.

(6) The receipt of licenses, permits, or certificates under regulatory programs conducted in the interest of ensuring fair trade practices.

(7) Permits, licenses, exchanges and other acquisitions of real property, rights of way, and easements under natural resource management programs.

(8) Any transaction to be implemented outside the United States that is below the primary tier covered transaction in a USDA foreign assistance program.

(9) Any transaction to be implemented outside the United States that is below the primary tier covered transaction in a USDA export credit guarantee program or direct credit program.

(b) Limited requirement to check SAM.gov. Notwithstanding the fact that transactions to be implemented outside ( print page 68328) the United States that are below the primary tier covered transaction in a USDA foreign assistance program, export credit guarantee program or direct credit program are not covered transactions, pursuant to paragraphs (a)(8) and (9) of this section, primary tier participants under these programs must check SAM.gov prior to entering into any transaction with a person at the first lower tier and must not enter into such a transaction if the person is excluded or disqualified in SAM.gov .

(c) Exception. A cause for suspension or debarment under 2 CFR 180.700 or 2 CFR 180.800 may be based on the actions of a person with respect to a procurement or nonprocurement transaction under a USDA program even if such transaction has been excluded from covered transaction status by this section or § 417.220.

In addition to the procurement contracts listed in 2 CFR 180.220 , the following procurement contracts are covered transactions:

(a) Specifically, a contract for goods or services is a covered transaction if any of the following applies:

(1) The contract is awarded by a participant in a nonprocurement transaction covered under § 417.210, and the contract amount is expected to equal or exceed $25,000.

(b) Any procurement contract to be implemented outside the United States that is below the primary tier covered transaction in a USDA foreign assistance program is not a covered transaction, notwithstanding the provisions in 2 CFR 180.220(a) and 2 CFR 180.220(b) and paragraph (a) of this section.

(c) Any procurement contract to be implemented outside the United States that is below the primary tier covered transaction in a USDA export credit guarantee program or direct credit program is not a covered transaction, notwithstanding the provisions in 2 CFR 180.220(a) and 2 CFR 180.220(b) and paragraph (a) of this section.

(d) Notwithstanding the fact that procurement contracts to be implemented outside the United States that are below the primary tier covered transaction in a USDA foreign assistance program, export credit guarantee program or direct credit program are not covered transactions, pursuant to paragraph (b) and (c) of this section, primary tier participants under these programs must check SAM.gov prior to entering into any procurement contract that is expected to equal or exceed $25,000 with a person at the first lower tier and must not enter into such a procurement contract if the person is excluded or disqualified in SAM.gov .

The primary tier covered transaction would be the food aid grant agreement entered into between USDA and a program participant, such as a U.S. private voluntary organization. USDA would have to check SAM.gov before entering into the food aid grant agreement to ensure that the U.S. private voluntary organization that would be the primary tier participant is not excluded or disqualified. A transaction at the first lower tier might be a subrecipient agreement between the U.S. private voluntary organization and a foreign subrecipient of the commodities that were provided under the food aid grant agreement. Pursuant to § 417.215(a)(8), this nonprocurement transaction would not be a covered transaction. In addition, a transaction at the first lower tier might be a procurement contract entered into between the U.S. private voluntary organization and a foreign entity to provide supplies or services that are expected to equal or exceed $25,000 in value and that are needed by such organization to implement activities under the food aid grant agreement. Pursuant to § 417.220(b), this procurement contract would not be a covered transaction. However, pursuant to §§ 417.215(b) and 417.220(d), the U.S. private voluntary organization would be prohibited from entering into, at the first lower tier, an agreement with a subrecipient or a procurement contract that is expected to equal or exceed $25,000 with an entity that appears in SAM.gov as excluded or disqualified.

(a) Export credit guarantee program. In the case of the export credit guarantee program, the primary tier covered transaction would be the guarantee issued by the USDA to a U.S. exporter. The U.S. exporter usually assigns the guarantee to a U.S. financial institution, and this would create another primary tier covered transaction between USDA and the U.S. financial institution. USDA would have to check the SAM.gov before issuing a guarantee or accepting a guarantee assignment to ensure that the U.S. exporter or financial institution that would be the primary tier participant is not excluded or disqualified. A transaction at the first lower tier under the export credit guarantee program might be a payment obligation of a foreign bank to the U.S. exporter to pay on behalf of the importer for the exported U.S. commodities that are covered by the guarantee. Similarly, a transaction at the first lower tier might be a payment obligation of a foreign bank under an instrument, such as a loan agreement or letter of credit, to the U.S. financial institution assigned the guarantee, which has paid the exporter for the exported U.S. commodities and, in so doing, issued a loan to the foreign bank, which the foreign bank is obligated to repay on deferred payment terms. Pursuant to § 417.215(a)(9), these nonprocurement transactions would not be covered transactions. In addition, a transaction at the first lower tier under the export credit guarantee program might be a procurement contract ( i.e., a contract for the purchase and sale of goods) that is expected to equal or exceed $25,000 entered into between the U.S. exporter and the foreign importer for the U.S. commodities, the payment for which is covered by the guarantee. Pursuant to § 417.220(c), this procurement contract would not be a covered transaction. However, pursuant to §§ 417.215(b) and 417.220(d), the U.S. exporter or U.S. financial institution would be prohibited from entering into, at the first lower tier, an agreement with an importer (or intervening purchaser) or foreign bank or a procurement contract that is expected to equal or exceed $25,000 with an entity that appears on the SAM.gov as excluded or disqualified.

(b) Direct credit program. In the case of the direct credit program, the primary tier covered transaction would be the financing agreement between the USDA and the U.S. exporter. USDA purchases the exporter's account receivable in a particular transaction pursuant to the financing agreement. On occasion, such a transaction may contemplate a payment obligation of a U.S. or foreign bank to make the required payments. USDA would have to check SAM.gov before entering into a financing agreement or accepting such a payor to ensure that the U.S. exporter or the bank, if any, that would be the primary tier participant is not excluded or disqualified. A transaction at the first lower tier might be a payment obligation of the importer to pay the exporter for the exported U.S. commodities that are covered by the financing agreement. Pursuant to § 417.215(a)(9), this nonprocurement transaction would not be a covered transaction. In addition, a transaction at the first lower tier might be a procurement contract that is ( print page 68329) expected to equal or exceed $25,000 entered into between the U.S. exporter and the foreign importer for the U.S. commodities, the payment for which is covered by the financing agreement. Pursuant to § 417.220(c), this procurement contract would not be a covered transaction. However, pursuant to §§ 417.215(b) and 417.220(d), the U.S. exporter would be prohibited from entering into, at the first lower tier, an agreement with an importer (or intervening purchaser) or bank, or a procurement contract that is expected to equal or exceed $25,000 with an entity that appears in SAM.gov as excluded or disqualified.

You as a participant must include a term or condition in lower tier covered transactions requiring lower tier participants to comply with subpart C of the OMB guidance in 2 CFR part 180 , as supplemented by subpart C of this part.

To communicate to a participant the requirements described in 2 CFR 180.435 , you must include a term or condition in the transaction that requires the participant's compliance with subpart C of 2 CFR part 180 , as supplemented by subpart C of this part, and requires the participant to include a similar term or condition in lower tier covered transactions.

The record will remain open for the full 30 days, as called for in 2 CFR 180.725 , even when you make a submission before the 30 days expire.

The Secretary must permanently debar from participation in USDA programs any individual, organization, corporation, or other entity convicted of a felony for knowingly defrauding the United States in connection with any program administered by USDA.

(a) Reduction. A debarment under this paragraph may be reduced by the Secretary to a period of not less than 10 years.

(b) Exemption. A debarment under this paragraph will not apply with regard to participation in USDA domestic food assistance programs. For purposes of this paragraph, participation in a domestic food assistance program does not include acting as an authorized retail food store in the Supplemental Nutrition Assistance Program (SNAP), the Special Supplemental Nutrition Assistance Program for Women, Infants, and Children (WIC), or as a nonbeneficiary entity in any of the domestic food assistance programs. The programs include:

(1) Special Nutrition Assistance Program, 7 U.S.C. 2011 , et seq.;

(2) Food Distribution Program on Indian Reservations, 7 U.S.C. 2013(b) ;

(3) National School Lunch Program, 42 U.S.C. 1751 , et seq.;

(4) Summer Food Service Program for Children, 42 U.S.C. 1761 ; Child and Adult Care Food Program, 42 U.S.C. 1766 ;

(5) Special Milk Program for Children, 42 U.S.C. 1772 ; School Breakfast Program, 42 U.S.C. 1773 ;

(6) Special Supplemental Nutrition Program for Women, Infants, and Children, 42 U.S.C. 1786 ;

(7) Commodity Supplemental Food Program, 42 U.S.C. 612c note ;

(8) WIC Farmers Market Nutrition Program, 42 U.S.C. 1786 ;

(9) Senior Farmers' Market Nutrition Program, 7 U.S.C. 3007 ; and

(10) Emergency Food Assistance Program, 7 U.S.C. 7501 , et seq.

The record will remain open for the full 30 days, as called for in 2 CFR 180.820 , even when you make a submission before the 30 days expire.

The head of an organizational unit within USDA ( e.g., Administrator, Food and Nutrition Service), who has been delegated authority in 7 CFR part 2 to carry out a covered transaction, is delegated authority to act as the debarring official in connection with such transaction. This authority to act as a debarring official may not be redelegated below the head of the organizational unit, except that, in the case of the Forest Service, the Chief may redelegate the authority to act as a debarring official to the Deputy Chief for the National Forest System or an Associate Deputy Chief for the National Forest System.

Disqualified means that a person is prohibited from participating in specified Federal procurement or nonprocurement transactions as required under a statute, Executive order (other than Executive Orders 12549 and 12689), or other authority. Examples of disqualifications include persons prohibited under—

(a) The Davis-Bacon Act ( 40 U.S.C. 3142 );

(b) The equal employment opportunity acts and Executive orders; or

(c) The Clean Air Act ( 42 U.S.C. 7606 ), Clean Water Act ( 33 U.S.C. 1368 ), and E.O. 11738 ( 38 FR 25161 , 3 CFR , 1973 Comp., p. 799);

(d) 515(h) of the Federal Crop Insurance Act ( 7 U.S.C. 1515(h) );

(e) Section 12 of the Food and Nutrition Act of 2008 ( 7 U.S.C. 2021 ).

The head of an organizational unit within USDA ( e.g., Administrator, Food and Nutrition Service), who has been delegated authority in 7 CFR part 2 to carry out a covered transaction, is delegated authority to act as the suspending official in connection with such transaction. This authority to act as a suspending official may not be redelegated below the head of the organizational unit, except that, in the case of the Forest Service, the Chief may redelegate the authority to act as a suspending official to the Deputy Chief for the National Forest System or an Associate Deputy Chief for the National Forest System.

6. Revise and republish part 418 to read as follows:

Authority: 31 U.S.C. 1352 ; 5 U.S.C. 301 ; 2 CFR 200.450 .

(a) No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(b) Each person who requests or receives from an agency a Federal contract, grant, loan, or cooperative agreement must file with that agency a certification, set forth in Appendix A, that the person has not made, and will not make, any payment prohibited by paragraph (a) of this section.

(c) Each person who requests or receives from an agency a Federal contract, grant, loan, or a cooperative agreement must file with that agency a disclosure form, in the OMB-approved format, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under paragraph (a) of this section if paid for with appropriated funds.

(d) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan must file with that agency a statement, set forth in Appendix A, whether that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee.

(e) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan must file with that agency a disclosure form, in the OMB-approved format, if that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee.

For purposes of this part:

(a) Agency, as defined in 5 U.S.C. 552(f) , includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1) .

(b) Covered Federal action means:

(1) Any of the following Federal actions:

(i) The awarding of any Federal contract;

(ii) The making of any Federal grant;

(iii) The making of any Federal loan;

(iv) The entering into of any cooperative agreement; and,

(v) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan. Loan guarantees and loan insurance are addressed independently within this part.

(c) Federal contract means an acquisition contract awarded by an agency, including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not subject to the FAR.

(d) Federal cooperative agreement means a cooperative agreement entered into by an agency.

(e) Federal grant means an award of financial assistance in the form of money, or property in lieu of money, by the Federal Government or a direct appropriation made by law to any person. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an individual.

(f) Federal loan means a loan made by an agency. The term does not include loan guarantee or loan insurance.

(g) Indian Tribe and Tribal organization have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act ( 25 U.S.C. 5304 ). Alaskan Natives are included under the definitions of Indian tribes in that Act.

(h) Influencing or attempting to influence means making, with the intent to influence, any communication to or appearance before an officer or employee or any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.

(i) Loan guarantee and loan insurance means an agency's guarantee or insurance of a loan made by a person.

(j) Local government means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.

(k) Officer or employee of an agency includes the following individuals who are employed by an agency:

(1) An individual who is appointed to a position in the Government under 5 U.S.C., including a position under a temporary appointment;

(2) A member of the uniformed services as defined in 37 U.S.C. 101(3) ;

(3) A special Government employee as defined in 18 U.S.C. 202 ; and,

(4) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act, 5 U.S.C. Appendix 2.

(l) Person means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for ( print page 68331) profit or not for profit. This term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.

(m) Reasonable compensation means, with respect to a regularly employed officer or employee of any person, compensation that is consistent with the normal compensation for such officer or employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.

(n) Reasonable payment means, with respect to professional and other technical services, a payment in an amount that is consistent with the amount normally paid for such services in the private sector.

(o) Recipient includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.

(p) Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or a commitment providing for the United States to insure or guarantee a loan, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, cooperative agreement, loan insurance commitment, or loan guarantee commitment. An officer or employee who is employed by such person for less than 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person will be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.

(q) State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers.

(a) Each person must file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for:

(1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or

(2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000.

(b)(1) Each person must file a certification, and a disclosure form, if required, upon receipt by such person of:

(i) A Federal contract, grant, or cooperative agreement exceeding $100,000; or

(ii) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000,

(2) Unless such person previously filed a certification, and a disclosure form, if required, under paragraph (a) of this section.

(c) Each person must file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes:

(1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or

(2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or,

(3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action.

(d) Any person must file a certification, and a disclosure form, if required, to the next tier above who requests or receives from a person referred to in paragraphs (a) or (b) of this section:

(1) A subcontract exceeding $100,000 at any tier under a Federal contract;

(2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant;

(3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or,

(4) A contract or subcontract exceeding $100,000 at any tier under a Federal cooperative agreement.

(e) All disclosure forms, but not certifications, must be forwarded from tier to tier until received by the person referred to in paragraphs (a) or (b) of this section. That person must forward all disclosure forms to the agency.

(f) Any certification or disclosure form filed under paragraph (e) of this section will be treated as a material representation of fact upon which all receiving tiers must rely. All liability arising from an erroneous representation will be borne solely by the tier filing that representation and must not be shared by any tier to which the erroneous representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification or disclosure, respectively. If a person fails to file a required certification or disclosure, the United States may pursue all available remedies, including those authorized by 31 U.S.C. 1352 .

(g) No reporting is required for an activity paid for with appropriated funds if that activity is allowable under either subpart B or C of this part.

(a) The prohibition on the use of appropriated funds, in § 418.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.

(b) For purposes of paragraph (a) of this section, providing any information specifically requested by an agency or Congress is allowable at any time.

(c) For purposes of paragraph (a) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action:

(1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and,

(2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.

(d) For purposes of paragraph (a) of this section, the following agencies and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action:

(1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; ( print page 68332)

(2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and,

(3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments.

(e) Only those activities expressly authorized by this section are allowable under this section.

(a) The prohibition on the use of appropriated funds, in § 418.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or an extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.

(b) For purposes of paragraph (a) of this section, “professional and technical services” will be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.

(c) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.

(d) Only those services expressly authorized by this section are allowable under this section.

No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person.

(a) The prohibition on the use of appropriated funds, in § 418.100(a), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.

(b) The reporting requirements in § 418.110(a) and (b) regarding filing a disclosure form by each person, if required, will not apply with respect to professional or technical services rendered directly in the preparation, submission, or negotiation of any commitment providing for the United States to insure or guarantee a loan.

(c) For purposes of paragraph (a) of this section, “professional and technical services” will be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.

(d) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.

(e) Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations.

(f) Only those services expressly authorized by this section are allowable under this section.

(a) Any person who makes an expenditure prohibited herein will be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure.

(b) Any person who fails to file or amend the disclosure form (in the OMB-approved format) to be filed or amended if required herein, will be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

(c) A filing or amended filing on or after the date on which an administrative action for the imposition of a civil penalty is commenced does not prevent the imposition of such civil ( print page 68333) penalty for a failure occurring before that date. An administrative action is commenced with respect to a failure when an investigating official determines in writing to commence an investigation of an allegation of such failure.

(d) In determining whether to impose a civil penalty, and the amount of any such penalty, by reason of a violation by any person, the agency will consider the nature, circumstances, extent, and gravity of the violation, the effect on the ability of such person to continue in business, any prior violations by such person, the degree of culpability of such person, the ability of the person to pay the penalty, and such other matters as may be appropriate.

(e) First offenders under paragraphs (a) or (b) of this section will be subject to a civil penalty of $10,000, absent aggravating circumstances. Second and subsequent offenses by persons will be subject to an appropriate civil penalty between $10,000 and $100,000, as determined by the agency head or his or her designee.

(f) An imposition of a civil penalty under this section does not prevent the United States from seeking any other remedy that may apply to the same conduct that is the basis for the imposition of such civil penalty.

Agencies must impose and collect civil penalties pursuant to the provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 3803 (except subsection (c)), 3804 through 3808, and 3812, insofar as these provisions are not inconsistent with the requirements herein.

The head of each agency must take such actions as are necessary to ensure that the provisions herein are vigorously implemented and enforced in that agency.

(a) The Secretary of Defense may exempt, on a case-by-case basis, a covered Federal action from the prohibition whenever the Secretary determines, in writing, that such an exemption is in the national interest. The Secretary must transmit a copy of each such written exemption to Congress immediately after making such a determination.

(b) The Department of Defense may issue supplemental regulations to implement paragraph (a) of this section.

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned must complete and submit Standard Form-LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.

(3) The undersigned must require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients must certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352 . Any person who fails to file the required certification will be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The undersigned states, to the best of his or her knowledge and belief, that:

If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned must complete and submit Standard Form-LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.

Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement will be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

7. The authority citation for part 421 continues to read as follows:

Authority: 41 U.S.C. 701-707 .

8. Amend § 421.10 by revising the introductory text and paragraph (b) as follows:

This part requires that the award and administration of USDA grants and cooperative agreements comply with Office of Management and Budget (OMB) guidance implementing the portion of the Drug-Free Workplace Act of 1988 ( 41 U.S.C. 8101-8106 , as amended, hereafter referred to as “the Act”) that applies to grants. It thereby—

(b) Establishes USDA policies and procedures for compliance with the Act that are the same as those of other Federal agencies, in conformance with the requirement in 41 U.S.C. 8106 for Governmentwide implementing regulations.

9. Revise § 421.400 to read as follows:

To obtain a recipient's agreement to comply with applicable requirements in the OMB guidance at 2 CFR part 182 , you must include the following term or condition in the award:

Drug-free workplace. You as the recipient must comply with drug-free workplace requirements in Subpart B (or Subpart C, if the recipient is an individual) of part 421, which adopts the Governmentwide implementation ( 2 CFR part 182 ) of sec. 5152-5158 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 8101-8106 ).

10. Revise and republish part 422 to read as follows:

Authority: 5 U.S.C. 301 ; 7 CFR 2610.1(c) ; Federal Policy on Research Misconduct ( 65 FR 76260 )

The following definitions apply to this part:

Adjudication. The stage in response to an allegation of research misconduct when the outcome of the investigation is reviewed, and appropriate corrective actions, if any, are determined. Corrective actions generally will be administrative in nature, such as termination of an award, debarment, award restrictions, recovery of funds, or correction of the research record. However, if there is an indication of violation of civil or criminal statutes, civil or criminal sanctions may be pursued.

Agency Research Integrity Officer (ARIO). The individual appointed by a USDA agency that conducts research and who is responsible for:

(1) Receiving and processing allegations of research misconduct as assigned by the USDA RIO;

(2) Informing OIG and the USDA RIO and the research institution associated with the alleged research misconduct, of allegations of research misconduct in the event it is reported to the USDA agency;

(3) Ensuring that any records, documents and other materials relating to a research misconduct allegation are provided to OIG when requested;

(4) Coordinating actions taken to address allegations of research misconduct with respect to extramural research with the research institution(s) at which time the research misconduct is alleged to have occurred, and with the USDA RIO;

(5) Overseeing proceedings to address allegations of extramurally funded research misconduct at intramural research institutions and research institutions where extramural research occurs;

(6) Ensuring that agency action to address allegations of research misconduct at USDA agencies performing extramurally funded research is performed at an organizational level that allows an independent, unbiased, and equitable process;

(7) Immediately notifying OIG, the USDA RIO, and the applicable research institution if:

(i) Public health or safety is at risk;

(ii) USDA's resources, reputation, or other interests need protecting;

(iii) Research activities should be suspended;

(iv) Federal action may be needed to protect the interest of a subject of the investigation or of others potentially affected;

(v) A premature public disclosure of the inquiry into or investigation of the allegation may compromise the process;

(vi) The scientific community or the public should be informed; or

(vii) Behavior that is or may be criminal in nature is discovered at any point during the inquiry, investigation, or adjudication phases of the research misconduct proceedings;

(8) Documenting the dismissal of the allegation, and ensuring that the name of the accused individual and/or institution is cleared if an allegation of research misconduct is dismissed at any point during the inquiry or investigation phase of the proceedings;

(9) Other duties relating to research misconduct proceedings as assigned.

Allegation. A disclosure of possible research misconduct through any means of communication. The disclosure may be by written or oral statement, or by other means of communication to an institutional or USDA official.

Applied research. Systematic study to gain knowledge or understanding necessary to determine the means by which a recognized and specific need may be met.

Assistant Inspector General for Investigations. The individual in OIG who is responsible for OIG's domestic and foreign investigative operations through OIG's national and regional investigative offices.

Basic research. Systematic study directed toward fuller knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications towards processes or products in mind.

Extramural research. Research conducted by any research institution or entity other than the Federal agency to which the funds supporting the research were appropriated. Research institutions conducting extramural research may include Federal research facilities.

Fabrication. Making up data or results and recording or reporting them.

Falsification. Manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

Finding of research misconduct. The conclusion, proven by a preponderance of the evidence, that research misconduct occurred, that such research misconduct represented a significant departure from accepted practices of the relevant research community, and that such research misconduct was committed intentionally, knowingly, or recklessly.

Inquiry. The stage in the response to an allegation of research misconduct when an assessment is made to determine whether the allegation has substance and whether an investigation is warranted.

Intramural research. Research conducted by a Federal Agency, to which funds were appropriated for the purpose of conducting research.

Investigation. The stage in the response to an allegation of research misconduct when the factual record is formally developed and examined to determine whether to dismiss the case, recommend a finding of research misconduct, and/or take other appropriate remedies.

Office of Inspector General (OIG). The Office of Inspector General of the United States Department of Agriculture.

Office of Science and Technology Policy (OSTP). The Office of Science and Technology Policy of the Executive Office of the President.

Plagiarism. The appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

Preponderance of the evidence. Proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not.

Research. All basic, applied, and demonstration research in all fields of science, engineering, and mathematics. This includes, but is not limited to, research in economics, education, linguistics, medicine, psychology, social sciences, statistics, and research involving human subjects or animals regardless of the funding mechanism used to support it.

Research institution. All organizations using Federal funds for research, including, for example, colleges and universities, Federally funded research and development centers, national user facilities, industrial laboratories, or other research institutes. Activities which meet this definition constitute research for purposes of this part, whether or not they are conducted or supported under a program which is considered “research” for other purposes. For example, some demonstration and service programs ( print page 68335) may include research/scientific activities.

Research misconduct. Fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion.

Research record. The record of data or results that embody the facts resulting from scientific inquiry, and includes, but is not limited to, research proposals, research records (including data, notes, journals, laboratory records (both physical and electronic)), progress reports, abstracts, theses, oral presentations, internal reports, and journal articles.

USDA. United States Department of Agriculture.

USDA Research Integrity Officer (USDA RIO). The individual designated by the Office of the Under Secretary for Research, Education, and Economics (REE) who is responsible for:

(1) Overseeing USDA agency responses to allegations of research misconduct;

(2) Ensuring that agency research misconduct procedures are consistent with this part;

(3) Receiving and assigning allegations of research misconduct reported by the public;

(4) Developing Memoranda of Understanding with agencies that elect not to develop their own research misconduct procedures;

(5) Monitoring the progress of all research misconduct cases; and

(6) Serving as liaison with OIG to receive allegations of research misconduct when they are received via the OIG Hotline.

Research institutions that conduct extramural research funded by USDA must foster an atmosphere conducive to research integrity. They must develop or have procedures in place to respond to allegations of research misconduct that ensure:

(a) Appropriate separations of responsibility for inquiry, investigation, and adjudication;

(b) Objectivity;

(c) Due process;

(d) Whistleblower protection;

(e) Confidentiality—to the extent possible and consistent with a fair and thorough investigation and as allowed by law, knowledge about the identity of subjects and complainants is limited to those who need to know; and

(f) Timely resolution.

A research institution that conducts extramural research funded by USDA bears primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct allegations reported directly to it. The research institution must perform an inquiry in response to an allegation, and must follow the inquiry with an investigation if the inquiry determines that the allegation or apparent instance of research misconduct has substance. The responsibilities for adjudication must be separate from those for inquiry and investigation. In most instances, USDA will rely on a research institution conducting extramural research to promptly:

(a) Initiate an inquiry into any suspected or alleged research misconduct;

(b) Conduct a subsequent investigation, if warranted;

(c) Acquire, prepare, and maintain appropriate records of allegations of extramural research misconduct and all related inquiries, investigations, and findings; and

(d) Take action to ensure the following:

(1) The integrity of research;

(2) The rights and interests of the subject of the investigation and the public are protected;

(3) The observance of legal requirements or responsibilities including cooperation with criminal investigations; and

(4) Appropriate safeguards for subjects of allegations, as well as complainants (see § 422.6). These safeguards should include timely written notification of subjects regarding substantive allegations made against them; a description of all such allegations; reasonable access to the data and other evidence supporting the allegations; and the opportunity to respond to allegations, the supporting evidence and the proposed findings of research misconduct, if any.

Before USDA will rely on a research institution to conduct an inquiry, investigation, and adjudication of an allegation in accordance with this part, the research institution where the research misconduct is alleged must provide the ARIO its policies and procedures related to research misconduct at the institution. The research institution has the option of providing either a written copy of such policies and procedures or a website address where such policies and procedures can be accessed. The ARIO to whom the policies and procedures were made available must convene a panel comprised of the USDA RIO and ARIOs from the Forest Service, the Agricultural Research Service, and the National Institute of Food and Agriculture. The Panel will review the research institution's policies and procedures for compliance with the OSTP Policy and render a decision regarding the research institution's ability to adequately resolve research misconduct allegations. The ARIO will inform the research institution of the Panel's determination that its inquiry, investigation, and adjudication procedures are sufficient. If the Panel determines that the research institution does not have sufficient policies and procedures in place to conduct inquiry, investigation, and adjudication proceedings, or that the research institution is in any way unfit or unprepared to handle the inquiry, investigation, and adjudication in a prompt, unbiased, fair, and independent manner, the ARIO will inform the research institution in writing of the Panel's decision. An appropriate USDA agency, as determined by the Panel, will then conduct the inquiry, investigation, and adjudication of research misconduct in accordance with this part. If an allegation of research misconduct is made regarding extramural research conducted at a Federal research institution (whether USDA or not), it is presumed that the Federal research institution has research misconduct procedures consistent with the OSTP Policy. USDA reserves the right to convene the Panel to assess the sufficiency of a Federal agency's research misconduct procedures, should there be any question whether the agency's procedures will ensure a fair, unbiased, equitable, and independent inquiry, investigation, and adjudication process.

(a) USDA reserves the right to conduct its own inquiry, investigation, and adjudication into allegations of research misconduct at a research institution conducting extramural research subsequent to the proceedings of the research institution related to the same allegation. This may be necessary if the USDA RIO or ARIO believes, using sound discretion, that despite the Panel's finding that the research institution in question had appropriate ( print page 68336) and OSTP-compliant research misconduct procedures in place, the research institution conducting the extramural research at issue:

(1) Did not adhere to its own research misconduct procedures;

(2) Did not conduct research misconduct proceedings in a fair, unbiased, or independent manner; or

(3) Has not completed research misconduct inquiry, investigation, or adjudication in a timely manner.

(b) Additionally, USDA reserves the right to conduct its own inquiry, investigation, and adjudication into allegations of research misconduct at a research institution conducting extramural research subsequent to the proceedings of the research institution related to the same allegation for any other reason that the USDA RIO or ARIO considers it appropriate to conduct research misconduct proceedings in lieu of the research institution's conducting the extramural research at issue. This right is subject to paragraph (c) of this section.

(c) In cases where the USDA RIO or ARIO believes it is necessary for USDA to conduct its own inquiry, investigation, and adjudication subsequent to the proceedings of the research institution related to the same allegation, the USDA RIO or ARIO will reconvene the Panel, which will determine whether it is appropriate for the relevant USDA agency to conduct the research misconduct proceedings related to the allegation(s) of research misconduct. If the Panel determines that it is appropriate for a USDA agency to conduct the proceedings, the ARIO will immediately notify the research institution in question. The research institution must then promptly provide the relevant USDA agency with documentation of the research misconduct proceedings the research institution has conducted to that point, and the USDA agency will conduct research misconduct proceedings in accordance with the Agency research misconduct procedures.

(a) Research institutions that conduct USDA-funded extramural research must promptly notify OIG and the USDA RIO of all allegations of research misconduct or violations of Federal criminal statutes involving USDA funds when the institution inquiry into the allegation warrants the institution moving on to an investigation.

(b) Individuals at research institutions who suspect research misconduct at the institution should report allegations in accordance with the institution's research misconduct policies and procedures. Anyone else who suspects that researchers or research institutions performing Federally funded research may have engaged in research misconduct is encouraged to make a formal allegation of research misconduct to OIG.

(1) OIG has established a hotline for USDA employees and the general public to report fraud, waste, abuse, and mismanagement in USDA programs including allegations of research misconduct. Complaints, which may be submitted anonymously, must be filed with the OIG by submitting a complaint via the hotline on OIG's public website, sending a fax, or writing a letter.

(i) The OIG hotline may be accessed at https://usdaoig.oversight.gov/​hotline .

(ii) Complainants who submit to the hotline on OIG's public website and who wish to provide additional documentation may fax them to (202) 690-2474.

(iii) Letters may be mailed to: United States Department of Agriculture, Office of Inspector General, P.O. Box 23399, Washington, DC 20026-3399.

(2) The USDA RIO may be reached at: USDA Research Integrity Officer, 214W Whitten Building, Washington, DC 20250. Telephone: (202) 690-0745. Email: [email protected] .

(c) To the extent known, the following details should be included in any formal allegation:

(1) The name of the research projects involved, the nature of the alleged misconduct, and the names of the individual or individuals alleged to be involved in the misconduct;

(2) The source or sources of funding for the research project or research projects involved in the alleged misconduct;

(3) Important dates;

(4) Any documentation that bears upon the allegation; and

(5) Any other potentially relevant information.

(d) Safeguards for complainants give individuals the confidence that they can bring allegations of research misconduct made in good faith to the attention of appropriate authorities or serve as complainants to an inquiry or an investigation without suffering retribution. Safeguards include protection against retaliation for complainants who make good faith allegations, fair and objective procedures for the examination and resolution of allegations of research misconduct, and diligence in protecting the positions and reputations of those persons who make allegations of research misconduct in good faith. The identity of complainants who wish to remain anonymous will be kept confidential to the extent permitted by law or regulation.

(a) Research institutions that conduct USDA-funded extramural research must promptly notify the ARIO should the institution become aware during an inquiry or investigation that:

(1) Public health or safety is at risk;

(2) The resources, reputation, or other interests of USDA are in need of protection;

(3) Research activities should be suspended;

(4) Federal action may be needed to protect the interest of a subject of the investigation or of others potentially affected;

(5) A premature public disclosure of the inquiry into or investigation of the allegation may compromise the process;

(6) The scientific community or the public should be informed; or

(7) There is reasonable indication of possible violations of civil or criminal law.

(b) If research misconduct proceedings reveal behavior that may be criminal in nature at any point during the proceedings, the institution must promptly notify the ARIO.

Institutions that conduct USDA-funded extramural research are to maintain and effectively communicate to their staff policies and procedures relating to research misconduct, including the guidelines in this part. The institution is to inform their researchers and staff members who conduct USDA-funded extramural research when and under what circumstances USDA is to be notified of allegations of research misconduct, and when and under what circumstances USDA is to be updated on research misconduct proceedings.

(a) A research institution that conducts USDA-funded extramural research must maintain the following documents related to an allegation of research misconduct at the research institution:

(1) A written statement describing the original allegation;

(2) A copy of the formal notification presented to the subject of the allegation;

(3) A written report describing the inquiry stage and its outcome including copies of all supporting documentation;

(4) A description of the methods and procedures used to gather and evaluate ( print page 68337) information pertinent to the alleged misconduct during inquiry and investigation stages;

(5) A written report of the investigation, including the evidentiary record and supporting documentation;

(6) A written statement of the findings; and

(7) If applicable, a statement of recommended corrective actions, and any response to such a statement by the subject of the original allegation, and/or other interested parties, including any corrective action plan.

(b) The research institution must retain the documents specified in paragraph (a) of this section for at least 3 years following the final adjudication of the alleged research misconduct.

Following completion of an investigation into allegations of research misconduct, the institution conducting extramural research must provide to the ARIO a copy of the evidentiary record, the report of the investigation, recommendations made to the institution's adjudicating official, the adjudicating official's determination, the institution's corrective action taken or planned, and the written response of the individual who is the subject of the allegation to any recommendations.

(a) A research institution that conducts extramural research supported by USDA funds, as the responsible legal entity for the USDA-supported research, has a continuing obligation to create and maintain adequate records (including documents and other evidentiary matter) as may be required by any subsequent inquiry, investigation, finding, adjudication, or other proceeding.

(b) Whenever an investigation is initiated, the research institution must promptly take all reasonable and practical steps to obtain custody of all relevant research records and evidence as may be necessary to conduct the research misconduct proceedings. This must be accomplished before the research institution notifies the researcher/respondent of the allegation, or immediately thereafter.

(c) The original research records and evidence taken into custody by the research institution must be inventoried and stored in a secure place and manner. Research records involving raw data must include the devices or instruments on which they reside. However, if deemed appropriate by the research institution or investigator, research data or records that reside on or in instruments or devices may be copied and removed from those instruments or devices as long as the copies are complete, accurate, and have substantially equivalent evidentiary value as the data or records have when the data or records reside on the instruments or devices. Such copies of data or records must be made by a disinterested, qualified technician and not by the subject of the original allegation or other interested parties. When the relevant data or records have been removed from the devices or instruments, the instruments or devices need not be maintained as evidence.

USDA agencies' implementation procedures identify the administrative actions available to remedy a finding of research misconduct. Such actions may include the recovery of funds, correction of the research record, debarment of the researcher(s) that engaged in the research misconduct, proper attribution, or any other action deemed appropriate to remedy the instance(s) of research misconduct. The agency should consider the seriousness of the misconduct, including, but not limited to, the degree to which the misconduct was knowingly conducted, intentional, or reckless; was an isolated event or part of a pattern; or had significant impact on the research record, research subjects, other researchers, institutions, or the public welfare. In determining the appropriate administrative action, the appropriate agency must impose a remedy that is commensurate with the infraction as described in the finding of research misconduct.

(a) If USDA relied on an institution to conduct an inquiry, investigation, and adjudication, the alleged person(s) should first follow the institution's appeal policy and procedures.

(b) USDA agencies' implementation procedures, which must be made available on a designated USDA public website, identify the appeal process when a finding of research misconduct is elevated to the agency.

Some of the research covered by this part also may be subject to regulations of other governmental agencies ( e.g., a university that receives funding from a USDA agency and also under a grant from another Federal agency). If more than one agency of the Federal Government has jurisdiction, USDA will cooperate with the other agency(ies) in designating a lead agency. When USDA is not the lead agency, it will rely on the lead agency following its policies and procedures in determining whether there is a finding of research misconduct. Further, USDA may, in consultation with the lead agency, take action to protect the health and safety of the public, to promote the integrity of the USDA-supported research and research process, or to conserve public funds. When appropriate, USDA will seek to resolve allegations jointly with the other agency or agencies.

11. Add part 423 to read as follows:

Authority: 43 U.S.C. Ch. 46 ; 5 U.S.C. 301 .

This part implements the requirements at 43 U.S.C. 2808(b)(3) which pertain to the disclosure of USDA Federal financial assistance that involves geospatial data, as supplemented by this part.

USDA awarding agencies must ensure that all Federal financial assistance instruments which involve the acquisition, storage, or distribution of geospatial data comply with USDA policy. For all such instruments, USDA awarding agencies must require award terms and conditions necessary for the specific purpose of complying with law, regulation, and USDA policy.

Lynn Moaney,

Deputy Chief Financial Officer, Office of the Chief Financial Officer.

[ FR Doc. 2024-18544 Filed 8-23-24; 8:45 am]

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