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Sponsored Projects and Research Compliance Office (SPARC)

Guidelines for NSF Grant Recipients Regarding Sexual Harassment, Other Forms of Harassment, or Sexual Assault

Version: November 2018

It is National Science Foundation (NSF) policy that “all personnel supported by NSF awards must comport themselves in a responsible and accountable manner during the award performance period at awardee institutions, field sites, facilities, conferences, workshops, online and everywhere NSF-funded science and education is conducted.” All personnel supported by an NSF award must remain in full compliance with Lewis & Clark College policies, including those on Sexual Misconduct and Discrimination, Harassment, and Hate- or Bias-Motivated Conduct. The following guidelines have been developed to supplement these institutional policies, and comply with NSF requirements regarding the requirement for the College to report findings of sexual harassment, other forms of harassment, and/or sexual assault. This applies for new NSF awards or funding amendments received on or after the October 21, 2018 date of implementation as well as conduct by those PIs or co-PIs that may have occurred prior to them receiving those awards.

In accordance with NSF requirements:

  1. The Sponsored Research Office/AOR will notify NSF if any PI or co-PI is placed on administrative leave or if Lewis & Clark 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. This notification will be submitted to NSF within 10 business days from the date of the finding/determination, or the date of the placement of a PI or co-PI on administrative leave or the imposition of an administrative action, whichever is sooner.
  2. Lewis & Clark will include relevant language in subaward agreements requiring NSF subrecipient organizations to promptly disclose the requisite information to Lewis & Clark, so that the Sponsored Research Office may report to NSF as required.

Process

  1. The Sponsored Research Office will provide a list of named PIs and co-PIs on NSF awards to Human Resources, and will update as information changes. Human Resources will add this information to an employee’s record in the HRIS system.
  2. Human Resources will notify the Sponsored Research Office and the College’s General Counsel of any finding/determination that a NSF PI or co-PI committed harassment, or was placed on administrative leave, or a relevant administrative action was imposed, within five (5) business days. The following information will be provided.
    1. Type of Notification(finding/determination or administrative leave)
    2. Explanation/Description of Events
  3. Within three (3) business days of receiving notification from Human Resources, the Sponsored Research Office/Authorized Organizational Representative will submit the required information to NSF’s Office of Diversity and Inclusion via the secure, web-based Organizational Notification Form. The record of submission will be maintained with the grant records, and a copy sent to Human Resources and the General Counsel.
  4. NSF will contact the SRO/AOR upon receipt and review of the information provided. The AOR will refer NSF to the College’s General Counsel for further information about the finding/determination or administrative action.
  5. Based on the results of NSF’s review and consultation with the College’s General Counsel, NSF may elect to impose restrictions or even terminate the award. The General Counsel will work with the Sponsored Research Office and Dean of the relevant school to determine management of the relevant grant award.

Definitions:
For purposes of the terms and conditions, 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.

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