Colorado College Procedures in Response to NSF's Sexual Harassment Term and Condition

Published Jan. 28, 2019

Revised Dec. 11, 2024

Notice: On February 8, 2018, the National Science Foundation issued a notice to Presidents of Universities and Colleges and Heads of Other National Science Foundation Grantee Organizations (Important Notice 144)

New award term and condition: On September 21, 2018, the NSF published the final version of a new term and condition entitled "Notification Requirements Regarding Findings of Sexual Harassment, Other Forms of Harassment, or Sexual Assault." (83 FR 47940)

Summary of what is required: Awardee institutions will be required to notify NSF of any findings/determinations or administrative action taken related to harassment by a PI or Co-PI funded by NSF

Who is affected: At this time, the term and condition relates only to PIs and Co-PIs of NSF grants that were issued after Oct. 21, 2018, or received funding amendments to an existing award on or after this date. However, it covers conduct by those PIs or co-PIs that may have occurred prior to receipt of those awards.

In instances where Colorado College issues an NSF subaward, the co-PI of that subaward is also subject to this term and condition and the AOR of the subawardee institution must provide the requisite information directly to NSF as outlined in the final notice (83 FR 47940)

Setting of questionable conduct: Per the published term and condition: "The PI, any co-PI(s) and all personnel supported by an NSF award must comport themselves in a responsible and accountable manner during the award period of performance whether at the awardee institution, online, or outside the organization, such as at field sties or facilities, or during conferences and workshops."

Future direction: NSF expects all personnel supported by an award to act in a respectful and professional manner at all times. PIs and Co-PIs should consider how to ensure all award personnel are educated on this matter.

Actions already taken by Research Compliance Office

• Statement added to the College's internal pre-submission form for initial by all CC PIs applying to NSF
• NSF T&C has been added to the checklist for all post-award meetings and its impact on non-NSF grants is discussed as well
• Reference to term and condition in the College's grants manual

Procedures at Colorado College for ensuring compliance with this term and condition:

The Research Compliance Officer will send an updated list of research grant Principal Investigators (PIs) or Co-Principal Investigators (Co-PIs) to the Title IX Coordinator at least as frequently as semi-annually (second week of January and second week of July), and more frequently if deemed appropriate.

The Title IX Coordinator will request an updated list of research grant Principal Investigators (PIs) or Co-Principal Investigators (Co-PIs) from the Research Compliance Officer whenever s/he deems it appropriate to do so.

Should any incident be reported to the Title IX Coordinator, it is the Title IX Coordinator's responsibility to check the list of PIs/Co-PIs to determine if the incident involves an individual with external funding.

If an incident involves and PI/Co-PI on an NSF Award, the Title IX Coordinator will work with the Authorized Organizational Representative (the Dean of the Faculty) to report to NSF if:

• There have been any findings/determinations of sexual harassment, other forms of harassment, or sexual assault regarding an NSF PI or Co-PI.
• If the PI or Co-PI has been placed on administrative leave or if the awardee has imposed any administrative action on the PI or Co-PI [see definitions below] related 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.

The AOR (the Dean of the Faculty) is to report using the Organizational Notification of Harassment Form within 10 business days of the date of the finding/determination or the date a PI/co-PI was put on administrative leave. Please note that personally identifiable information regarding complainants or other individuals involved MUST NOT be included in the notification.

Information to be provided in the notification include:

• NSF Award Number
• Name of PI/co-PI Being Reported
• Type of Notification (Finding/Determination or Placement on Administrative Leave/Administrative Action)
• Description of the finding/determination and action(s) taken
• Reason(s) for, and conditions of, placement of the PI or any co-PI on administrative leave or impostion of administrative action

If findings/determinations/administrative actions directly impact an NSF award, the College may propose a substitute PI or Co-PI on the award, if it determines that the PI or co-PI are not able the carry out the funded project or activity. In the cases of such impacts to an NSF award, then the Research Compliance Officer shall be notified in order facilitate any necessary changes.

If an incident involves a PI/Co-PI funded by another external sponsor, and the PI/Co-PI is found responsible, the Title IX Coordinator will work with the Authorized Organizational Representative (the Dean of the Faculty) to report as appropriate to that funder.

Direct Reporting to NSF: In addition the NSF invites direct reporting. Per the Term and Condition: "If you are not an AOR of an NSF awardee organization, but would like to report harassment you were subjected to, have witnessed or became aware of involving an NSF-funded program or activity, please contact the NSF Office of Diversity and Inclusion (ODI) at programcomplaints@nsf.gov. If you do not receive an acknowledgement within 48 hours, please follow up to ensure ODI has received your communication." The NSF Office of Diversity and Inclusion can be reached at (703)292-8020. As the NSF is not in a position to investigate cases, any individuals with an interest in direct reporting are highly encouraged to also file a formal Title IX report with the College so that we can investigate it.

More information, including a Fact Sheet, is available at NSF's Sexual Harassment page in the Office of Diversity and Inclusion.

Definitions:

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.