UW-Madison Sponsor Notification Requirements Regarding Sexual Harassment, Other Forms of Harassment, or Sexual Assault

Page Updated: Friday, April 19, 2024 2:50:16 PM CDT

National Science Foundation (NSF) and National Aeronautics and Space Administration (NASA)

The University of Wisconsin-Madison will follow NSF or NASA requirements whenever the term and condition regarding sexual harassment, other forms of harassment, or sexual assault is included in an NSF- or NASA-funded award or subaward agreement. To address the requirements, the UW-Madison process will include the following steps.

• The Office of Compliance or Office of Human Resources (OHR) receives a report of an allegation of sexual harassment, other forms of harassment, or sexual assault, as defined in the NSF Notice or NASA Notice.
• An investigation of the allegation is conducted in accordance with the applicable University investigatory or disciplinary procedures.
• Depending on the circumstances, prior to, during, or after an investigation, an individual (respondent) may be put on administrative leave or have an administrative action imposed.
• If an administrative leave¹ or action is imposed, the Office of Compliance or OHR will search in the RSP-provided lookup tool to find out if the respondent is a PI or Co-I on an NSF- or NASA-funded award or subaward. The search will occur as soon as possible after the individual is put on administrative leave or action is imposed.
• If a finding/determination² is made regarding a respondent, the Office of Compliance or OHR will search in the RSP-provided lookup tool to find out if the individual is a PI or Co-I on an NSF- or NASA-funded award or subaward. The search will occur as soon as possible after the finding or determination is made.
• If the individual in question is a PI or Co-I on an NSF- or NASA-funded award or subaward, the staff from Office of Compliance or OHR will submit information to Research & Sponsored Programs through an online form. RSP will verify if the individual has an active award.
• RSP is responsible for submitting the notification to NSF or NASA, which is due within 10 business days of the date of the administrative leave/action or finding/determination.
• RSP will work with NSF or NASA and other appropriate offices as needed, with the primary goals of ensuring the safety and security of other award personnel and the continued progress of the funded project. Actions that may be necessary may include, but are not limited to:
  • Replacement of the PI or Co-I
  • Review of expenditures on the award
  • When necessary, transfer of unallowable charges off the award

National Institutes of Health

The University of Wisconsin-Madison will follow NIH’s prior approval policy for changes in the status of PIs, senior/key personnel, or recipient institution as described in Notice NOT-OD-20-124 . In order to comply with the NIH Notice NOT-OD-20-124, UW-Madison will take the following steps.

• When RSP staff receives a prior approval request for changes in PD/PI, senior/key personnel, or recipient institution, the staff person shall email wr@ohr.wisc.edu. The Employment Relations Specialist assigned to the division in question will contact a Case Manager in the Office of Compliance (OC_CaseManager@wisc.edu), as well as the appropriate divisional HR contact to obtain any necessary information to respond to RSP’s inquiry.
• In the message, RSP staff will indicate:
  • The type of change (PD/PI, senior/key personnel, or recipient institution) being initiated;
  • The PD/PI or senior/key personnel involved in the change, their home department, and, if available, their Empl ID;
  • That RSP is reaching out in regard to NIH Notice NOT-OD-20-124 to find out if the change “is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions) involving the PD/PI or senior/key personnel”; and
  • By when a response is required.
• The Employment Relations Specialist will respond to the RSP message and indicate whether there have been any concerns related to safety and/or work environments, that is any concerns related to the program director/principal investigator or senior/key personnel and harassment, bullying, retaliation, or hostile working conditions. The Employment Relations Specialist will also indicate whom RSP or NIH may contact for further information.
• For situations in which the change is related to an ongoing investigation about safety and/or work environments, the RSP Policy & Planning Analyst will consult the Office of Legal Affairs to ensure compliance with employee privacy and non-retaliation requirements.
• RSP will review and submit the prior approval request to the NIH. If necessary, the request will mention if there are any concerns related to safety and/or work environments. If there are no concerns, the prior approval request does not need to include a statement related to safety and/or work environments. In situations where no statement is included and should the GMS follow up, RSP will have the information to respond.
• RSP will work with campus offices and NIH as needed to process the request.

The University will also notify NIH when required, in accordance with NOT-OD-22-129.

• The Office of Compliance or OHR becomes aware that an individual is removed from their position or otherwise disciplined due to concerns about harassment, bullying, retaliation, or hostile working conditions. NIH indicates that “‘otherwise disciplined’ refers to any administrative action or other disciplinary action taken by the recipient against a PD/PI or other Senior/Key personnel due to any and all concerns related to harassment, bullying, retaliation or hostile working conditions.”
• If an individual is removed or disciplined, the Office of Compliance or OHR will search in the RSP-provided lookup tool to find out if the respondent is a PI or senior/key personnel on an NIH-funded award or subaward.
• If the individual is a PI or senior/key personnel on an NIH-funded award or subaward, the Office of Compliance or OHR will submit information to Research & Sponsored Programs through an online form.
• RSP will verify if the individual is on an active award and communicate with Office of Compliance or OHR regarding the removal or disciplinary action.
• RSP will work with other campus offices as necessary to submit required information to the NIH through its web form.

Simons Foundation

• The Office of Compliance or Office of Human Resources (OHR) receives a report of an allegation of Prohibited Conduct, as defined by the Simons Foundation in their Grant Code of Conduct.
• An investigation of the allegation is conducted in accordance with the applicable University investigatory or disciplinary procedures.
• Depending on the circumstances, prior to, during, or after an investigation, an individual (respondent) may have an administrative action imposed.
• If an administrative action³ is imposed, the Office of Compliance or OHR will search in the RSP-provided lookup tool to find out if the respondent is working on a grant funded by the Simons Foundation. The search will occur as soon as possible after the administrative action is imposed.
• If a determination⁴ is made regarding a respondent, the Office of Compliance or OHR will search in the RSP-provided lookup tool to find out if the individual is working on a grant funded by the Simons Foundation. The search will occur as soon as possible after the determination is made.
• If the individual in question is working on a grant funded by the Simons Foundation, the staff from Office of Compliance or OHR will submit information to Research & Sponsored Programs through an online form. RSP will verify if the individual is working on an active Simons Foundation award.
• RSP is responsible for submitting the notification to the Simons Foundation, which is due within 10 business days of the date of the administrative action or determination.
• RSP will work with the Simons Foundation and other appropriate institutional offices as needed.

Contact odinotifications@rsp.wisc.edu with questions about these processes.

1. NSF/NASA definition of administrative leave or action: Any temporary/interim suspension or permanent removal of the PI or co-I, or any administrative action imposed on the PI or co-I by the awardee/recipient 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.↩

2. NSF/NASA definition of 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-I, or a conviction of a sexual offense in a criminal court of law.↩

3. Simons Foundation definition of administrative action: Any disciplinary or corrective action, including termination or suspension, taken with respect to Personnel.

4. Simons Foundation definition of Determination: The final disposition of a matter involving Prohibited Conduct.