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Harassment Reporting Requirements by Agency/Entity in Brief

Key Items Identified Sponsors Generally Require NSF NIH NASA Simons Foundation
What roles do the reporting requirements apply to? Principal investigators and others PIs and Co-PIs PD/PI and other named senior/key personnel PIs and Co-Is PIs and all other members of the research team
What must be reported? Findings/determinations and administrative actions Any findings/determinations of sexual harassment, other forms of harassment, or sexual assault regarding an NSF funded Principal Investigator (PI) or co-PI, or of the placement of the PI or co-PI on administrative leave, or the imposition of any administrative action relating to harassment or sexual assault finding or investigation Changes in a principal investigator or other senior key person's status during an investigation of alleged sexual misconduct; NIH must be notified if an administrative or disciplinary action is taken against the employee(s) that affects the ability of the employee(s) to continue as PI or other senior key personnel on an NIH award; notify NIH and seek prior approval for replacement(s) of the individual(s) Any findings/determinations of sexual harassment, other forms of harassment, or sexual assault regarding a NASA funded PI or Co-I; if the PI or Co-I is placed on administrative leave or if the recipient has imposed any administrative action on the PI or Co-I, or any determination or an investigation of an alleged violation of the recipient's policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault Any Determination or Administrative Action involving Personnel relating to Prohibited Conduct; includes violation of MSU policy and professional codes of conduct.
Implementation Date for reporting requirements Agency specific 10/22/2018 6/11/2020 4/9/2020 4/6/2020
What awards are subject to the requirements? Agency specific and varies between all awards or as new or modified awards After October 22, 2018, new awards and funding amendments to existing awards will subject to the new notification requirement For awards (competing, non-competing and supplements) issued after June 11, 2020, prior approval requests for change in PI or Senior/Key Personnel named in the NoA, or changes in recipient institution must disclose whether these requests are related to concerns about safety and/or work environment After 4/9/2020, all new NASA awards and funding amendments to existing awards made on or after the effective date will be subject to the new term and condition All awards
Timeframe for submitting reports to agency Within 10 business days Within ten business days from the date of the finding/determination, or the date of the placement of a PI or co-PI by the awardee on administrative leave or the imposition of an administrative action, whichever is sooner The request for prior approval must be submitted promptly, and NIH must be proactively notified of any change of status of the PI or senior key person. The awardee institution should provide a written response to the NIH Office of Extramural Research within 30 days of being notified Within ten business days from the date of the finding/determination, or the date of the placement of a PI or Co-I by the recipient on administrative leave or the imposition of an administrative action Within ten business days of any determination or administrative action involving personnel related to prohibited conduct, except as prohibited by law
Reporting requirements for subrecipients Direct to applicable federal agency If a co-PI is affiliated with a subawardee organization, the Authorized Organizational Representative of the subawardee must provide the requisite information directly to NSF Not differentially identified If a co-I is affiliated with a subrecipient organization, the AOR of the subrecipient must provide the requisite information directly to NASA and to the recipient Not differentially identified
Additional requirements for conference grants Agency specific for those that normally award conference grants For any grant that provides support for an NSF-sponsored conference, the grantee is required to have a policy or code-of-conduct that addresses sexual harassment, other forms of harassment, and sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct. The policy or code-of-conduct must be disseminated to conference participants prior to attendance at the conference as well as made available at the conference itself. NIH recipients of conference grant ("R13") funding must take steps to maintain a safe and respectful environment for all attendees by demonstrating an institutional commitment to ensuring that proper policies, procedures, and oversight are in place to prevent discriminatory harassment and other discriminatory practices Not differentially identified Not differentially identified
Reporting addresses or methods of submitting reports Authorized Organizational Representative (AOR) to agency/entity specific Notification must be submitted by the Authorized Organizational Representative (AOR) to NSF's Office of Diversity and Inclusion at www.nsf.gov/​harassment  Grantee harassment webform https://public.era.nih.gov/
shape/public/notificationForm.era
. Contact the NIH grants management specialist of the awarding NIH Institute or Center. In cases of sexual harassment, please also copy GranteeHarassment@od.nih.gov.
Reporting must be submitted by the Authorized Organizational Representative (AOR) to NASA's Office of Diversity and Equal Opportunity at https://missionstem.nasa.gov/​term-condition-institutional-harassment-discr.html The Notice should be submitted through the Simons Foundation’s secure portal: https://www.simonsfoundation.org/
funding-opportunities/policies-and-procedures/
institution-notification-form/

 

Description URL
NSF Important Notice No. 144 https://www.nsf.gov/pubs/issuances/in144.jsp
NSF Term & Condition:  Sexual Harassment, Other Forms of Harassment, or Sexual Assault https://www.nsf.gov/od/odi/term_and_condition.jsp
Federal Register:  Notification Requirements Regarding Findings of Sexual Harassment, Other Forms of Harassment, or Sexual Assault (NSF) https://www.federalregister.gov/documents/2018/09/21/2018-20574/notification-requirements-regarding-findings-of-sexual-harassment-other-forms-of-harassment-or
NIH Expectations, Policies, and Requirements https://grants.nih.gov/grants/policy/harassment/policy-requirement.htm
Reporting Requirements Regarding Findings of Harassment, Sexual Harassment, Other Forms of Harassment, or Sexual Assault (NASA) https://www.federalregister.gov/documents/2020/03/10/2020-04815/reporting-requirements-regarding-findings-of-harassment-sexual-harassment-other-forms-of-harassment
Simons Foundation Policies & Procedures https://www.simonsfoundation.org/funding-opportunities/policies-and-procedures/
Clarification of NIH's Policy Regarding a Change in Program Director's/Principal Investigator's Status https://grants.nih.gov/grants/guide/notice-files/NOT-OD-18-172.html
Update on NIH's efforts to address sexual harassment in science https://www.nih.gov/about-nih/who-we-are/nih-director/statements/update-nihs-efforts-address-sexual-harassment-science
NIH Guidance Regarding Change in Status, Including Absence of PD/PI and Other Key Personnel Named in the Notice of Award (NOT-OD-20-124) https://grants.nih.gov/grants/guide/notice-files/NOT-OD-20-124.html
NSF Special Terms and Conditions for Administration of NSF Conference or Travel Grants (Effective 1/28/2019) https://www.nsf.gov/bfa/dias/policy/fl26/fl26_119.pdf

 

 

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