Safe and Harassment-free Working Environment
NSF Safe and Harassment-free Working Environment Plan Requirements for Off-Campus Research
For proposals submitted on or after January 30, 2023, grantees are required to certify that we have a plan in place for each project with off-campus or off-site research that addresses:
- Abuse of any person, including but not limited to harassment, stalking, bullying, or hazing of any kind, whether the behavior is carried out verbally, physically, electronically, or in written form; and
- Conduct that is unwelcome, offensive, indecent, obscene, or disorderly.
The Plan is a two-page supplementary document that will be considered as part of the Broader Impacts criteria during the review process. It should address:
- a brief description of the field setting and unique challenges for the team;
- the steps the proposing organization will take to nurture a harassment-free off-campus or off-site working environment, including processes to establish shared team definitions of roles, responsibilities, and culture, e.g., codes of conduct, trainings, mentor/mentee mechanisms and field support that might include regular check-ins, and/or developmental events;
- communication processes within the off-site team and to the organization(s) that minimize singular points within the communication pathway (e.g., there should not be a single person overseeing access to a single satellite phone); and
- the organizational mechanisms that will be used for reporting, responding to, and resolving issues of harassment if they arise.
National Science Foundation (NSF)
In 2018, NSF issued a Notice updating their terms and conditions regarding sexual harassment, other forms of harassment, and sexual assault. In addition to outlining their expectations regarding behavior, NSF requires awardees to notify NSF of:
- any findings/determinations regarding the PI or co-PIs demonstrating violations of awardee policies or codes of conducts, statutes, or regulations relating to sexual harassment, other forms of harassment, or sexual assault; and/or
- if the PI or any co-PI is placed on administrative leave or if any administrative actions have been imposed on the PI or any Co-PI by the recipient relating to any finding/determination or investigation of such violations.
NSF requires notification to be submitted within 10 business days of the finding/determination or the date of the placement of a PI or Co-PI on administrative leave or other administrative action, whichever is sooner.
NSF has created a page summarizing these terms and conditions, on which links to FAQs and reporting forms can be accessed.
OSPRI works with campus OIE to determine when a report from the institution is required.
National Institutes of Health (NIH)
NIH requires that organizations receiving NIH funds:
- have systems, policies, and procedures in place to manage research activities in accordance with their standards and requirements
- comply with federal laws, regulations, and policies protecting the rights and safety of individuals working on NIH-funded projects.
In 2022, they published NOT-OD-22-129 outlining institutional requirements for notifying the NIH within 30 days of the removal or disciplinary action against PD/PIs and other senior or key personnel due to concerns about harassment, bullying, retaliation, or hostile working conditions.
Additionally, NIH requires recipients of conference grants ("R13 or U13") funding to submit a "safety plan" ensuring policies, procedures, and oversight are in place to prevent discriminatory harassment and discriminatory practices (NOT-OD-22-074). As part of this plan, funding recipients must detail how violations and complaints can be reported to the appropriate authorities, including how to report to the HHS Office for Civil Rights and NIH directly.
NIH summarizes its commitment and policies to safe, respectful, harassment-free work environments for NIH-funded activities on its "Supporting a Safe and Respectful Workplace" webpage. The page also offers a variety of useful NIH-specific and general information on fostering such an environment as well as links to dedicated reporting web form and a detailed FAQ.
OSPRI works with campus OIE to determine when a report from the institution is required.
Department of Energy (DOE)
The Department of Energy (DOE) requires institutions to ensure that "scientists, engineers, students, support staff, and others participating in research and development activities funded under DOE financial assistance awards must be able to perform their work without unnecessary barriers." Such barriers include discrimination or other behaviors prohibited by law, including harassment (sexual or non-sexual).
Currently, the DOE requires recipients of DOE grants or cooperative agreements to notify their DOE contracting officer whenever:
- a PI or approved project director must be absent for more than three months, or
- when there is a 25 percent reduction in time devoted to a project for any reason including administrative leave.
While this reporting requirement applies in any circumstance, including allegations or findings of harassment, the DOE is currently engaging in discussions on developing reporting policies specifically for that purpose, similar to those of the NSF.
The DOE's website includes guidance regarding their policies as well as links for reporting instances of discrimination or harassment occurring at institutions receiving DOE funding or where DOE funded activities are being carried out.
OSPRI works with campus OIE to determine when a report from the institution is required.
National Aeronautics and Space Administration (NASA)
In March 2020, NASA issued Notice 20-029 detailing their harassment policy and reporting requirements. NASA regularly publishes their updated behavioral expectations and reporting requirements in their Grants and Cooperative Agreement Manual. Additionally, they require that these Terms and Conditions regarding harassment and harassment reporting are included in the all subawards/subcontracts. (Mirror NSF Requirements)
According to NASA's Terms and Conditions, funding recipients are required to report to NASA:
- any finding/determination regarding the PI or co-I(s) demonstrating a violation of the recipient's policies or codes of conduct relating to sexual or other forms of harassment or sexual assault, and/or
- if any PI or Co-I(s) are placed on administrative leave or other administrative action is imposed related to such findings/determinations or allegations of violations.
OSPRI works with campus OIE to determine when a report from the institution is required.
National Oceanic and Atmospheric Administration (NOAA)
NOAA 202-116 - NOAA Sexual Assault and Sexual Harassment Prevention and Response Policy
OSPRI works with campus OIE to determine when a report from the institution is required.
Research Corporation for Science Advancement (RSCA)
Any awards issued after 2/1/2023 from the Research Corporation for Science and Advancement (RCSA) require promptly reporting any determination by the Institution that a PI or Co-PI has violated the Institution's policies or any applicable laws regarding sexual harassment, or other forms of harassment. Institutions will promptly, upon determination of the violation, report to RCSA as directed in the applicable Notice of Award.
OSPRI works with campus OIE to determine when a report from the institution is required.
Simons Foundation
The Simons Foundation has added the following Code of Conduct to its Policies and Procedures. The Simons Foundation expects principal investigators and institution administrators to share this policy with anyone working on a grant that the foundation funds.
OSPRI works with campus OIE to determine when a report from the institution is required.
White House Inventory of Sexual Harassment Policies at Science Agencies
2/26/24: White House Publishes Inventory of Sexual Harassment Policies at Science Agencies (FYI Science Policy News, AIP) - The White House published an inventory this month of federal science agency policies, procedures, and resources relating to sex-based and sexual harassment involving extramural research awardees. The inventory, which includes public-facing and internal documents, was created by the Inter-agency Working Group on Safe STEM Environments — a group that was established by the White House Office of Science and Technology Policy in response to the CHIPS and Science Act of 2022 to coordinate agency efforts to combat harassment in research.
OSPRI works with campus OIE to determine when a report from the institution is required.
UCCS Reporting to the Sponsor Process
The UCCS Office of Institutional Equity (OIE), in collaboration with OSPRI, will prepare and submit to the sponsoring agency the required information under the award terms and conditions. Note that this information is considered confidential, and only staff with a specified need to know will have access to the information.