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COVID-19: Information from SPA/OSP/CGA

MSU Process for Notification to the NSF of Harassment

The process for the notification[1] required by NSF updated terms and conditions follows.  Process is subject to change particularly for additional clarity from NSF.

The Federal Register announcement for NSF’s Final Notice of a new NSF term and condition regarding sexual harassment, other forms of harassment, and sexual assault is at:https://www.federalregister.gov/documents/2018/09/21/2018-20574/notification-requirements-regarding-findings-of-sexual-harassment-other-forms-of-harassment-or

The NSF form is currently at:  https://www.nsf.gov/od/odi/notification_form.jsp MSU’s website on the reporting requirements is at: https://spa.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQAyADQAMgA=

  1. Reports of incidents and associated administrative actions:
    1. The Office for Civil Rights (OCR) notifies Faculty and Academic Staff Affairs (FASA) and unit leaders of reported violations of the Anti-Discrimination Policy (ADP) or Relationship Violence & Sexual Misconduct and Title IX Policy (RVSMP) involving faculty/academic staff as a respondent, including matters that may require interim or administrative action.
    2. Unit leaders, in consultation with FASA and OCR, determine:
      1. Whether an administrative action (e.g., interim employment action) is required; and
      2. Whether the employee is a Principal Investigator (PI)/Co-PI on an NSF[2] award (suggest determine from Kuali Research (KR) data through a Business Intelligence (BI) report used to complete Form D[3]).
    3. If an administrative action is required and the employee is a PI/Co-PI on an NSF award:
      1. Within two (2) business days of administrative action, FASA contacts Office of Sponsored Programs (OSP)/Contract and Grant Administration (CGA) Authorized Organizational Representative (AOR) to determine if the award was issued or amended on or after Oct. 21, 2018 and thus has the notification provision. 
        1. OSP/CGA AOR responds to FASA within two (2) business days on applicability and whether multiple PI’s.
      2. If the NSF award is subject to the notification provision:
        1. FASA communicates with designated OSP/CGA AOR[4] within five (5) business days of the unit leader placing a PI/Co-PI on administrative leave or imposition of administrative action on applicable awards, provides the summary information needed for the necessary reporting to NSF, including the date of the administrative action, and provides the unit leader contact[5].
        2. The OSP/CGA AOR notifies NSF within 10 business days of administrative action.
        3. OSP/CGA informs FASA when notification to NSF was completed, and FASA/unit leader shares with PI.
  2. Findings or determinations and/or associated administrative actions:
    1. OCR notifies FASA and unit leaders of any findings or determinations of a violation(s) of the RVSMP or ADP by faculty/academic staff within two (2) business days.
    2. Unit leaders, in consultation with FASA:
      1. Consider action to be taken subject to applicable appeals; and
      2. Determine early whether the employee is a PI/Co-PI on an NSF award (suggest determine using KR report used to support completion of Form D3).
    3. The Equity Review Officer (ERO) notifies FASA and unit leaders of the exhaustion of the appeal process within two (2) business days.  Specifically, within two (2) business days after the expiration of the time to appeal, the ERO will notify FASA and unit leaders whether or not an appeal was submitted.  If an appeal was submitted, the ERO will provide FASA and unit leaders a copy of the decision on appeal no later than two (2) business days after the decision is issued. 
    4. If the employee is a PI/Co-PI on an NSF award:
      1. Within two (2) business days of final determination, FASA will contact OSP/CGA AOR to determine if the award was issued or amended on or after Oct. 21, 2018 and thus has the notification provision.  OSP/CGA AOR will communicate back within two (2) business days to FASA on applicability and whether multiple PI’s.
      2. If the NSF award is subject to the notification provision:
        1. FASA and unit leaders notify OSP/CGA AOR4 within six (6) business days of the exhaustion of the appeal process (note six days is inclusive of ERO’s notification timeframe), FASA provides information needed for the necessary reporting to NSF, and provides the unit leader contact5.  FASA/unit leader notifies employee that MSU is notifying NSF.  Coordination with the college may be needed if NSF project has multiple PI’s.   
        2. OSP/CGA AOR notifies NSF within 10 business days of the exhaustion of the appeal process.
        3. OSP/CGA informs FASA when notification to NSF was completed, and FASA/unit leader shares with PI.
        4. **If discipline or administrative action occurs after the initial reporting of the violation and the employee is still a PI/Co-PI on an applicable award, repeat the notification.  FASA and OSP/CGA AOR must coordinate to ensure that FASA notification to the employee reporting discipline to NSF is before or on the same day as the reporting to NSF per Michigan Law (Bullard-Plawecki Employee Right to Know Act).

 

Other action: 

It is likely that additional action will need to be taken by the unit and OSP/CGA pursuant to other NSF terms and conditions.  For instance, units will need to work with OSP/CGA if a change in PI/Co-PI needs to be requested or with the Office of Research Regulatory Support, if there would be an impact to regulatory protocols, such as humans or animals.

 


[1]Process currently addresses NSF requirements, but notification and approval in some circumstances is required with additional Federal sponsors as specified by excerpt from CFR 2 § 200.308 Revision of budget and program plans:

(c) For non-construction Federal awards, recipients must request prior approvals from Federal awarding agencies for one or more of the following program or budget-related reasons:

(1)  . . .

(2) Change in a key person specified in the application or the Federal award.

(3) The disengagement from the project for more than three months, or a 25 percent reduction in time devoted to the project, by the approved project director or principal investigator.

[2] NIH has clarified that change in status of an investigator requires reporting, so Faculty and Academic Staff Affairs will discuss changes in PI status on an NIH project with OSP/CGA designee also.  Changes impacting Federal projects require approval as outlined in previous endnote.

[3] Initially, the determination can be made from KR data provided to support completion of Form D, which as of October 2018 is provided through Report RA026 and RA028 in the Business Intelligence & Analytics Portal of MSU’s EBS. 

[4] Currently, FASA should send notification to:  SponsorEquityReporting@spa.msu.edu.  It is anticipated that the AOR may vary depending on the stage of the associated awards, with OSP handling pending info on a pending proposal for new awards and CGA handling postaward notifications.

[5] The unit must provide FASA the name of a unit designee who can consult with OSP/CGA and NSF on: (1) safety and security of others working on the project; (2) impact of administrative action on the project; and (3) what steps must be taken to advance the science and continue the project.  FASA will communicate the unit contact and the information required for the form to the AOR (in OSP/CGA).   

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