Resources Related to Harassment Notification and Policy Requirements

Contents:

Harassment Reporting Matrix
NSF Harassment Notification Requirements
NIH Harassment Reporting Requirements
NASA - Reporting Requirements Regarding Harassment or Sexual Assault
Simons Foundation Policies & Procedures Regarding Harassment
Howard Hughes Medical Institute (HHMI) Policies & Procedures Regarding Harassment

Harassment Reporting Matrix

So far, five sponsors that MSU works with have issued new reporting requirements related to sexual harassment, other forms of harassment, and sexual assault: NSF, NIH, NASA, Simons Foundation, and Howard Hughes Medical Institute. Although the definitions and processes are similar, the specific timing and requirements differ between each agency. The matrix provided here includes a brief overview of each agency's requirements. Additional requirements may be in place if MSU personnel go to a federal government facility¹.

^1.The National Oceanic and Atmospheric Administration (NOAA) Sexual Assault and Sexual Harassment Prevention and Response Policy is applicable to financial awards involving NOAA-operated facilities. Other agencies may have similar policies.

NSF Harassment Notification Requirements

The following are some of the resources related to the National Science Foundation’s (NSF’s) Notification Requirements Regarding Findings of Sexual Harassment, Other Forms of Harassment, or Sexual Assault.

MSU Memo to Deans, Directors, Chairpersons, and Faculty
MSU’s process for NSF’s reporting requirements
Flowchart overviews of NSF reporting of administrative action related to allegations
NSF Conference Participant Notice
NSF webpage with information on this topic
Important Notice No. 144 - NSF Website
NSF Title IX Frequently Asked Questions (FAQs)
NSF Harassment Notification Requirements FAQs
NSF Plan to Ensure a Safe and Inclusive Work Environment for Off-Campus or Off-Site Research
NSF Safe and Inclusive Work Environment for Off-Campus or Off-Site Research - Frequently Asked Questions (FAQs)
Federal Register (full version). Excerpted paragraphs below:
The awardee is required to notify NSF of: (1) Any finding/determination regarding the PI or any co-PI[1] 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 (2) 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 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[2]. Such notification must be submitted by the Authorized Organizational Representative (AOR) to NSF’s Office of Diversity and Inclusion at www.nsf.gov/harassment within ten business days from the date of the finding/ determination, or the date of the placement of a PI or co-PI by the awardee on administrative leave or the imposition of an administrative action, whichever is sooner[3]. Each notification must include the following information:
- NSF Award Number;
- Name of PI or co-PI being reported[4];
- Type of Notification:
  - Select one of the following:
    - 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
    - Placement by the awardee of the reported individual on administrative leave or the imposition of any administrative action on the PI or any co-PI by the awardee 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.

[1] If a co-PI is affiliated with a subawardee organization, the Authorized Organizational Representative of the subawardee must provide the requisite information directly to NSF, as instructed in this paragraph.

[2] Awardee findings/determinations and placement of a PI or co-PI on administrative leave or the imposition of an administrative action must be conducted in accordance with organizational policies and processes. They also must be conducted in accordance with federal laws, regulations, and executive orders.

[3] Such notification must be provided regardless of whether the behavior leading to the finding/ determination, or placement on administrative leave, or the imposition of an administrative action occurred while the PI or co-PI was carrying out award activities.

[4] Only the identification of the PI or co-PI is required. Personally identifiable information regarding any complainants or other individuals involved in the matter must not be included in the notification.

NIH Harassment Reporting Requirements

The following are some of the resources related to the National Institutes of Health's (NIH's) policies, processes, and requirements related to allegations or findings of harassment. Summarized information is available in the matrix above.

NASA - Reporting Requirements Regarding Harassment or Sexual Assault

The following are some of the resources related to the National Aeronautics and Space Administration’s (NASA’s) Reporting Requirements Regarding Findings of Harassment, Sexual Harassment, Other Forms of Harassment, or Sexual Assault. Summarized information is available in the matrix above.

General Administrative Action Flowchart
General MSU Process for Notification to the Sponsor of Harassment
Federal Register (full version) - Excerpts below:
- The recipient is required to report to NASA: (1) Any finding/determination regarding the PI or any Co-I ^[1] that demonstrates a violation of the recipient's policies or codes of conduct, relating to sexual harassment, other forms of harassment, or sexual assault; and/or (2) if the PI or any Co-I is placed on administrative leave or if any administrative action has been imposed on the PI or any Co-I by the recipient relating to any finding/determination or an investigation of an alleged violation of the recipient's policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.^[2] Such reporting must be submitted by the Authorized Organizational Representative (AOR) to NASA's Office of Diversity and Equal Opportunity at https://missionstem.nasa.gov/term-condition-institutional-harassment-discr.html within 10 business days from the date of the finding/determination, or the date of the placement of a PI or Co-I by the recipient on administrative leave or the imposition of an administrative action.^[³^]
- Each report must include the following information:
  - NASA Award Number;
  - Name of PI or Co-I being reported; ^[4]
  - Type of Report: Select one of the following:
    - Finding/Determination that the reported individual has been found to have violated the recipient's policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault; or
    - Placement by the recipient of the reported individual on administrative leave or the imposition of any administrative action on the PI or any Co-I by the recipient relating to any finding/determination, or an investigation of an alleged violation of the recipient's policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.
  - The recipient must also provide:
    - A description of the finding/determination and action(s) taken, if any; and/or
    - The reason(s) for, and conditions of placement of the PI or any Co-I on administrative action or administrative leave.

[1] If a co-I is affiliated with a subrecipient organization, the AOR of the subrecipient must provide the requisite information directly to NASA and to the recipient.

[2] Recipient findings/determinations and placement of a PI or co-I on administrative leave or the imposition of an administrative action must be conducted in accordance with organizational policies and processes. They also must be conducted in accordance with federal laws, regulations, and executive orders.

[3] Such report must be provided regardless of whether the behavior leading to the finding/ determination, or placement on administrative leave, or the imposition of an administrative action occurred while the PI or co-I was carrying out award activities.

[4] Only the identification of the PI or co-I is required. Personally identifiable information regarding any complainants or other individuals involved in the matter must not be included in the report.

Simons Foundation - Policies & Procedures Regarding Harassment

The following information is related to the Simons Foundation's Policies and Procedures Regarding Harassment. Summarized information is available in the matrix above.

General Administrative Action Flowchart
General MSU Process for Notification to the Sponsor of Harassment
Simons Foundation Policies and Procedures - Excerpts provided below:
- The Simons Foundation requires grantee institutions to provide notice, within 10 business days, of the following, except as prohibited by law:
  - Any Determination [1] involving Personnel [2] relating to Prohibited Conduct [3]; and
  - Any Administrative Action [4] involving Personnel [2] relating to Prohibited Conduct [3].
- The Notice should be submitted through the Simons Foundation’s secure portal: https://www.simonsfoundation.org/funding-opportunities/policies-and-procedures/institution-notification-form/.

[1] Determination: The final disposition of a matter involving Prohibited Conduct.

[2] Personnel: Principal investigators and all other members of the research team working on a grant funded by the Simons Foundation.

[3] Prohibited Conduct: Any violation of applicable federal, state, and local anti-discrimination, anti-harassment, and anti-retaliation laws; criminal laws, including those with respect to physical assault; institutional policies and procedures relating to anti-discrimination, anti-harassment, and anti-retaliation, including the Simons Foundation Grant Code of Conduct; and professional codes of conduct.

[4] Administrative Action: Any disciplinary or corrective action, including termination or suspension, taken with respect to Personnel.

Howard Hughes Medical Institute (HHMI) - Policies & Procedures Regarding Harassment

The following information is related to HHMI's Policies and Procedures Regarding Harassment. Summarized information is available in the matrix above.

General Administrative Action Flowchart
General MSU Process for Notification to the Sponsor of Harassment
HHMI Policies and Procedures - Excerpts provided below:
- In the event a formal allegation of misconduct is brought against personnel or a participant in a grant-funded program, they will be subject to the procedures in place at the Grantee Institution.
  - HHMI requires grantee institutions to provide notice, within five business days of the initiation of the investigation:
    - Misconduct relating to scientific research or integrity, and/or violations of law or institution policy regarding harassment, discrimination, retaliation, or sexual misconduct.
    - Immediately upon such notification, all spending from the HHMI grant will be suspended. It is the Grantee Institution’s responsibility to conduct its investigation of the allegation(s).
    - Within five business days after the investigation has concluded, the Grantee Institution will inform the Institute of the findings of the investigation.
  - The notification should be sent to the Institute’s Vice President for Science Education or an Institute designee.

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