NSF and NIH Sexual Harassment Notification Policy

Background

Protecting those who conduct research is a critical obligation of all researchers as well as Davidson College. For federal grant recipients, NSF and NIH have key requirements to protect individuals who work on funded projects, and these include not only protecting individuals from sexual harassment, but also hostile work environments, and bullying. Those obligations speak to both Davidson’s as well as PI’s and all key personnel’s obligations and include reporting requirements. In particular, the PI and any co-PI(s) identified on an award are in a position of trust. These individuals must comport themselves in a responsible and accountable manner during the award period of performance, whether at the awardee institution, on-line, or at locales such as field sites, facilities, or conferences/workshops.

Purpose

This policy seeks to ensure compliance with the NSF’s Research Terms and Conditions as well as NIH’s requirements (both pre and post July 9, 2022) which requires grantees to notify NSF and NIH of any findings/determinations of sexual harassment, other forms of harassment, or sexual assault. These requirements are separate from Davidson’s Title IX obligations. 

Policy

NSF and NIH require awardee organizations to notify NSF or NIH of any findings/determinations of sexual harassment, other forms of harassment, bullying, or sexual assault regarding a funded project. For NSF, the terms and condition require the awardee to notify NSF if the PI or co-PI is placed on administrative leave or if the awardee has imposed any administrative action on the PI or any co-PI relating to any finding/determination or an investigation of an alleged violation of awardee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault. For NIH, reporting is required when individuals identified as PIs or other Senior/Key personnel are removed from their position or are otherwise disciplined. To meet this obligation, it is the obligation of PIs and Key-personnel to notify the Office of Sponsored Programs immediately when they become aware of conduct that may need to be reported to NSF or NIH.

NSF: The awardee is required to notify NSF of:

  • Any finding/determination regarding the PI or any co-PI that demonstrates a violation of awardee policies or codes of conduct, statutes, regulations, or executive orders 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 action has been imposed on the PI or any co-PI by the awardee relating to any finding/determination of an investigation of an alleged violation of awardee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.

NIH: NIH’s requirements are broader than NSF for violative behavior but are narrower than NSF for the reporting threshold. Davidson is “required to notify NIH when individuals identified as PD/PI or other Senior/Key personnel in an NIH notice of award are removed from their position or are otherwise disciplined by the recipient institution due to concerns about harassment, bullying, retaliation or hostile working conditions.”

Procedure

For both NSF and NIH, notification must be submitted to the Director of the Office of Sponsored Programs as Authorized Organizational Representative (AOR). This notification should be prompt, and ideally be communicated prior to any of the administrative actions noted above under Policy, so that the Sponsored Programs office may coordinate, if needed, with NSF and NIH on reporting parameters (e.g., whether reporting is indeed required, suitability of replacement of PIs or Key-personnel, etc.).

Each notification must include the following information:

  • NSF or NIH Award Number; 
  • Name of PI or co-PI or Key-Personnel being reported; 
  • Type of Notification: Select one of the following:
  1. Finding/Determination that the reported individual has been found to have violated awardee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault; or
  2. Placement by the awardee of the reported individual on administrative leave or the imposition of any administrative action, including removal or discipline, on the PI or any co-PI relating to any finding/determination or an investigation of an alleged violation of awardee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.
  • Description of the finding/determination and action(s) taken, if any; and
  • Reason(s) for, and conditions of, placement of the PI or any co-PI on administrative leave or imposition of administrative action.

The awardee, at any time, may propose a substitute investigator if it determines the PI or any co-PI may not be able to carry out the funded project or activity and/or abide by the award terms and conditions. 

It should be noted that “NIH recipients of conference grant funding (R13 or U13) 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.” (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-22-074.html) 

Definitions

For purposes of this policy, the following definitions apply:

Sexual Harassment: May include, but is not limited to, gender or sex-based harassment, unwelcome sexual attention, sexual coercion, or creating a hostile environment, as set forth in organizational policies or codes of conduct, statutes, regulations, or executive orders.

Other Forms of Harassment: Non-gender or non-sex-based harassment of individuals protected under federal civil rights laws, as set forth in organizational policies or codes of conduct, statutes, regulations, or executive orders.

Finding/Determination: The final disposition of a matter involving sexual harassment or other form of harassment under organizational policies and processes, to include the exhaustion of permissible appeals exercised by the PI or co-PI, or a conviction of a sexual offense in a criminal court of law.

Administrative Leave/Administrative Action: Any temporary/interim suspension or permanent removal of the PI or co-PI, or any administrative action imposed on the PI or co-PI by the awardee under organizational policies or codes of conduct, statutes, regulations, or executive orders, relating to activities, including but not limited to the following: teaching, advising, mentoring, research, management/administrative duties, or presence on campus.

Principal Investigator (PI): Lead faculty member on an externally-funded project and the primary individual responsible for an external grant.

Administration of Policy 

The Assistant Dean for Research Development / Director of Sponsored Programs shall oversee this policy and review it at least once every three years. Changes to this policy shall be made in accordance with the college's Policy on Policies.

Related Davidson College Policies:

Date of Adoption: October 21, 2018
Last Updated: April 26, 2023
Last Reviewed: June 27, 2024