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NSF Safe and Harassment-Free Environments

For each National Science Foundation (NSF) proposal that includes plans to conduct research off-campus or off-site, there must be a plan in place for that proposal that describes how certain behaviors (see below) will be addressed and plans for a harassment free work environment.

To comply with this. requirement, the University of Utah (UU) requires that:
  1. Each PI of a NSF proposal determine whether any off-campus or off-site research is involved in the proposal.

  2. If applicable, the PI must develop a plan, at the proposal stage, for each off-campus or off-site location using the UU template. The PI must upload the plan/s into eProposal prior to the proposal submission by OSP.  Plans may be reused and re-distributed for multiple off-campus research activities but must be updated if the specific content needs to change.
    • Some NSF solicitations require that proposers who include off-campus or off-site research as part of their project submit, as supplementary documentation, a Plan for Safe and Harassment-Free Working Environments. The UU template (below) should be used to draft the plan uploaded into Research.gov.

      PI's need to be sure the plan is compelling, adequately addresses the unique challenges for the team, and the organizational mechanisms used for reporting, responding to, and resolving issues of harassment, should they occur, are clearly outlined.

      Plans uploaded into Research.gov, when required by NSF, are limited to 2 pages and need to follow NSF Grant General Conditions (GC-1) standard content instructions and the additional proposal preparation instructions in the opportunity/solicitation. 

    • The plan should only be submitted to NSF when/if requested or required by NSF.

  3. For Subaward and Collaborative Proposal:
    • If the UU is a subaward recipient on an NSF funded project with off-campus/off-site research, UU does not require UU's PI to complete a plan. UU will rely on the lead institution to provide and implement the plan.

    • For collaborative proposals, each institution is responsible for their own plan with regard to any off-campus or off-site performance their organization is facilitating.

  4. Prior to an applicable NSF award being setup by OSP, a copy of the plan will need to be uploaded into eAward 

  5. The PI disseminates the plan to each individual participating in the off-campus or off-site activities, prior to departure or involvement in those activities.

  6. The PI retain documentation of who received the plan (email or sign up sheet is sufficient).

Access the Plan Template

Safe and Harassment-Free Working Environments for Off-Campus or Off-Site Research

For awards that conduct research off-campus or off site, the recipient is required to have a plan in place for that awarded proposal that describes how the following types of behavior will be addressed:

  1. Abuse of any person, including, but not limited to, harassment, stalking, bullying, or hazing of any kind, whether the behavior is carried out verbally, physically, electronically, or in written form; or 
  2. Conduct that is unwelcome, offensive, indecent, obscene, or disorderly. 

This plan should also identify steps the proposing organization will take to nurture a harassment-free off-campus or off-site working environment, e.g., trainings; processes to establish shared team definitions of roles, responsibilities, and culture, e.g., codes of conduct; and field support, such as mentor/mentee support mechanisms, regular check-ins, and/or developmental events. 

Communications within team and to the organization should be considered in the plan, minimizing singular points within the communication pathway (e.g., a single person overseeing access to a single satellite phone), and any special circumstances such as the involvement of multiple organizations or the presence of third parties in the working environment should be taken into account. The process or method for making incident reports as well as how any reports received will be resolved should also be accounted for.

The plan must be disseminated to individuals participating in the off-campus or off-site research prior to departure. Recipients are not required to submit the plan to NSF for review, however, the plan is subject to review, upon request.

*For purposes of this requirement, off-campus or off-site research is defined as data/information/samples being collected off-campus or off-site, such as fieldwork and research activities on vessels and aircraft.

GC-1 May 25

  Frequently Asked Questions

A1: The intent of this requirement is to provide guidance and protection for participants when they do not have ready access to the on-campus in-person resources they normally do. If your participants continue to have such access, no plan is needed.

If participants are sufficiently distant from campus such that access to these resources is more limited than they would be if they were on campus (including, but not limited to, fieldwork and research activities on vessels and aircraft) then a plan is needed. 

University of Utah further defines off-campus or off-site research for this requirement as UU-sponsored, scheduled, international or domestic travel activity by UU personnel to collect data/samples/information outside of a laboratory or other research controlled environment.

Work from home by an individual employee would not, for the purpose of this policy, be considered “off-campus” or “off-site.” “Day trips” or excursions (e.g., to public places, schools, the state fair, a mall) where participants are returning without an overnight stay would not normally require a plan, but a plan should be created if the nature of the off-campus research activity is likely to create a larger-than-normal opportunity for harassment to occur (e.g., studies looking at sexual activities, incarcerated individuals, prior knowledge of harassment in the same setting, etc.). When in doubt, create a plan.

Attendance or presentation of research results at a conference does not require a plan; if participants will also engage in the conduct of research activities while attending a conference, a plan would be required. Meetings and conferences that do not include data/information/samples being collected are not considered off-campus or off-site research.

Data/information/samples being collected off-campus or off-site, including at UU owned locations away from main campus, for more than three consecutive days and/or research activities that include an overnight stay do require a plan.

Data/information/samples being collected off-campus or off-site by any project team member, including team members from subrecipient organizations performing research outside their primary place of performance do require a plan.

A2: This new requirement applies only to research activities.

NSF has defined off-campus or off-site research for the purpose of these requirements as “data/information/samples being collected off-campus or off-site, such as fieldwork or research activities on vessels and aircraft.”

PIs are responsible for determining whether the requirement applies to their project or to certainactivities on their project. If there happens to be a research component on an award that is characterized as an “other sponsored activity”, then the requirement would apply only to that research component.

A3: If the off-site research is still taking place, send the plan now to the participant(s).

If the off-site research is over, send an email to Laurel Duncan at OSP explaining the
circumstances. OSP will confer with the PI on appropriate next steps.

NSF has not yet identified what corrective actions should be taken, but most likely an uninvolved third party will need to check with the participant to ascertainwhether there were any issues that arose while off-campus that made the participant feel unsafe or needed reporting.

A4: It includes all University of Utah participants: employees, students, volunteers, interns, and others working under the University's direction (which might include contractors).

For subrecipient personnel, their own institution should have issued a plan for the off-site activity (PIs should verify with the PI of the subrecipient organization that this has occurred.)UU’s plan may be shared and adapted for use by the subrecipient.

  • As stated in A3, Data/information/samples being collected off-campus or off-site by any project team member, including team members from subrecipient organizations performing research outside their primary place of performance does require a plan.

Typically, a UU PI will only assume responsibility for UU participants but theremay be cases where guests or participants from other entities may need to use UU’s plan.This isallowed butplaces a special administrative burden on the UU PI as these participants will not already be familiar with UU policies or practices, and specialcoordination across entities may be needed.

It is a good idea to confer with OSP well in advance of the off-site research should this be applicable so that special arrangements can be created.

A5: Yes, in fact it is advisable to have a primary and a secondary point of contact available.

The Principal Investigatormust be listed on the form in the “PI” box but may also be listed as the
primary point ofcontact, or they may delegate the primary point of contact responsibility to
another individual who is present at the off-campus location.

Make sure and include the cell phone and email of the alternative contact.

A6: As described in A5, it is helpfulto list contact information for two individuals (e.g., the PI and a second delegated person) so that there is a local second-point-of-contact readily available.

Assuming there is internet or cell phone service,the participant can alsouse one of the other reporting mechanisms to contacttheir supervisor ora University official responsible for handling misconduct concerns.

If the participantis unable or unwilling to notify the primary point of contact and the standard reporting options are not available, the participant may defer reporting until access is available (if they feel it is safe to do so), or approach another senior person on the off-campus team (whether or not from UU) to assist them in appropriate next steps.

PIs maydeviseoptions they believe are appropriate to the circumstances, but some reasonable options tocertain knowncircumstancesmight include the following:

  1. Cultural norms differ in the location where the off-campus research will take place.
    PIs may wish tooffer a “pre-departure” briefing for participants explaining cultural norms in the off-site location (physical or touching norms, verbal styles, etc.) PIs can offer alternatives     to mitigate concerns arising from cultural differences (e.g., offering to connect only in a group setting, or pairing participants so that there is less opportunity for misunderstanding.)
  2. In advance of departure, PIs may wish to remind participants that they are personally available to listen to any concerns that participants mayhave about the off-campus research activity.
  3. If the off-campus research site offers terrain, temperature, visual, auditory, or other challenges, offer to meet ahead of time with participants to discuss any special concerns they may have or accommodations they may need in order to fully participate.
  4. The PI may wish to engage in regular “check-ins” with off-campus participants to ascertain  whether there is anything that isimpacting their full enjoyment about the off-campus research experience (physicalor cultural barriers,behavior challenges, etc.).
  5. Particularly in remote locations, physical circumstancesmaylimit the ability for a participant to be separated fromanindividualalleged to have participated in misbehavior.  Whenever  possible, the participant and the individual allegedly engaging in misbehavior should be separated  as completely as possible.  With the participant’s concurrence, consider assigning a “buddy”  to help that participant feel safe as well as reduce the likelihood of a possible recurrence  - particularly  when complete physical separation is not feasible.
  6. There is only a single satellite phone (or equivalent)available for contact outside the group.  Consider having a second phone available and controlled by a  different  individual or ask someone from another group or from the entity being visited if participants can also approach them should need arise for a confidential call to be placed.  Consider budgeting for a second phone if that is what is needed to ensure alternate access can be available.  Notify participants  of their options.

 

Background Information

It is NSF policy to foster safe and harassment-free environments wherever science is conducted. 

"The NSF is committed to ensuring the safety and security of the people our awards support. We are committed to a nurturing research environment. One that is encouraging and supportive of all researchers. We have heard the voices of the wider community and have responded. We will continue to listen and to take action as a federal granting agency. NSF has no tolerance for harassment." – Dr. France A. Córdova, former Director, National Science Foundation. Watch former NSF Director Córdova's statement on harassment.

NSF Policy on sexual harassment

  The University is required to notify NSF of any findings/determinations of sexual harassment, other forms of harassment, or sexual assault (past or current) regarding an NSF funded Principal Investigator (PI) or co-PI, or of the placement of the PI or co-PI on administrative leave, or the imposition of any administrative action relating to harassment or sexual assault finding or investigation. The authorized department tasked with taking these reports and submitting information to NSF is the OEO. See full term and condition in the Federal Register Notice and NSF FAQ. 

To better understand the systemic issue of gendered misconduct in STEM and ways to improve field science culture and accountability, please read the following:

  Key University Policies and Reporting Resources:

The University has developed policies and procedures to ensure a safe work environment wherever University business is conducted. See the University policies and available reporting resources here.

 

Last Updated: 5/27/25