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

Page Updated: Friday, June 18, 2021 11:24:25 AM 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 and senior/key personnel, as described in Notice NOT-OD-18-172 and per requirements.

  • The Office of Compliance or OHR becomes aware of an administrative or disciplinary action imposed on an employee.
  • If an administrative or disciplinary 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 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 administrative or disciplinary action.
  • A determination will be made by RSP whether the action affects the ability of the employee to continue as PI or senior/key personnel on the NIH award or subaward as described in NOT-OD-18-072. If necessary, RSP will work with other offices to seek NIH prior approval as required.

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.