Harassment & Assault Reporting

UWL will notify federal sponsors of any of the following in regards to a UWL principal investigator (PI) or co-PI for a federal award or subaward:

1. Any finding/determination regarding a PI/co-PI that demonstrates a violation of university 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 a PI/co-PI is placed on administrative leave or if any administration action has been imposed on a PI/co-PI by UWL relating to any finding/determination or an investigation of an alleged violation of university policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault

The UWL Director of Equity & Affirmative Action will contact the UWL Research Integrity Officer (RIO) within 24 hours of any relevant finding/determination or administrative leave/action for UWL personnel to verify whether the individual is a PI/co-PI of an active federal award. If the individual is confirmed as a PI/co-PI of a federal award, the RIO will notify the federal sponsor via the sponsor’s prescribed reporting system. Notification will be submitted by the RIO to the federal sponsor within 10 business days from the date of the finding/determination, or the date of the placement of a PI/co-PI by the university on administrative leave or the imposition of an administrative action, whichever is sooner.

Content of the notification submitted to the federal sponsor will include:

• Federal award number
• Name of PI/co-PI being reported
• Type of notification (finding/determination, placement on administrative leave, or imposition of an administrative action)
• Description of the finding/determination and action(s) taken, if any
• Reason(s) for, and conditions of, placement of the PI/co-PI on administrative leave or imposition of administrative action

The university may choose to propose a substitute PI/co-PI, if it is determined that the PI/co-PI may not be able to carry out the funding project or activity and/or abide by the award terms and conditions.

Upon receipt of a notification, the federal sponsor will review and take further action, as specified by sponsor policies. This review will generally include consideration of (1) safety and security of personnel supported by the award; (2) overall impact to the funded activity; (3) continued advancement of taxpayer investments in science and scientists; and (4) whether UWL has taken appropriate action to ensure the continuity of research and continued progress under the funded project can be made. Sponsor review includes consultation with UWL’s RIO or designee. Based on results of the review and consultation, the sponsor may take actions including, but not limited to, substitution or removal of the PI/co-PI, reduction of the award funding amount, and/or suspension or termination of the award. UWL and its personnel will facilitate and comply with determinations made by the sponsor.

If UWL is a subrecipient of a federal award, UWL will follow the above procedures and submit the report directly to the federal sponsor. UWL will additionally notify the pass-through entity (i.e., lead institution) that a report has been submitted.

If UWL is a pass-through entity (i.e., lead institution) for a federal award, UWL’s subrecipients are required to report any such findings directly to the federal sponsor. Subrecipients are asked to notify the UWL Research Integrity Officer that a report has been submitted

Does the policy apply even if the actions of the PI or co-PI leading to the findings/determination or to administrative leave/action occurred outside the scope of the federal award?

Yes, the requirements apply even if the actions of the PI or co-PI leading to findings/determinations, placement on administrative leave, or the imposition of administrative action(s) occurred outside the scope of the federal award. Personnel are expected to comport themselves in a responsible and accountable manner whether at the university, online, or outside the university, such as at field sites, facilities, conferences, and workshops.

Does the policy cover conduct that occurs prior to the effective date of the term and condition?

Yes, the policy covers conduct of a PI or co-PI that occurred prior to the effective date of the policy (October 21, 2018) if the finding/determination or imposition of administrative leave/administrative action occurs after the policy effective date and if the award on which the individual is the PI or a co-PI is subject to the policy. The policy applies to new federal awards and any funding amendments made on or after October 21, 2018.

UWL Equity & Affirmative Action: https://www.uwlax.edu/equity/policies--procedures/policies--procedures/

NSF Office of Diversity & Inclusion: https://new.nsf.gov/stopping-harassment

NSF Term & Condition: Sexual Harassment, Other Forms of Harassment, or Sexual Assault: https://www.nsf.gov/od/oecr/awardee_civil_rights/term_and_condition.jsp

NSF Term & Condition FAQs: https://www.nsf.gov/od/oecr/awardee_civil_rights/docs/Sexual_Harassment_FAQs.pd

NSF Federal Register Notice: https://www.federalregister.gov/documents/2018/09/21/2018-20574/notification-requirements-regarding-findings-of-sexual-harassment-other-forms-of-harassment-or