NSF now requires proposers to certify that they have a plan for creating and maintaining Safe and Inclusive Working Environment(s) for projects that include off-campus work or off-site research.
Per the NSF Proposal & Award Policies & Procedures Guide (PAPPG) (23-1), all NSF proposals submitted or due on or after January 30, 2023, that propose to conduct research off-campus must have a plan in place for that proposal that describes how the PI will ensure a safe and inclusive work environment when conducting off-campus research (footnote 44 provides more information about what constitutes off-campus research) that describes how the following types of behavior will be addressed:
- 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
- Conduct that is unwelcome, offensive, indecent, obscene, or disorderly.
The PI must disseminate the plan to individuals participating in the off-campus research before departure.
Proposers must check the “Off Campus or Off Site Research” box in Other Information in their proposal but should only submit the plan to NSF for review if specifically requested or required by the funding announcement. If submission of the plan is required, it is limited to 2 pages and standard NIH formatting requirements (see below). PIs are responsible for maintaining and retaining a copy of the plan and documentation of who received the plan.
The plan must describe the following:
- the field setting and unique challenges;
- the steps that will be taken to nurture an inclusive off-campus or off-site working environment, including shared team definitions of roles, responsibilities, culture, etc.;
- communication processes with the off-site team and organization that minimize singular points/people within a communication pathway; and
- the organizational mechanisms that will be used for reporting, responding to, and resolving issues of harassment if they arise.
To reduce administrative burden, GSU has created a template that includes instructions, applicable University policy and procedure information, and fillable fields for PIs to complete their project-specific information. The plan template is included on pages 3 & 4 below.
Instructions for completing the plan template:
- Fill in where indicated in blue,
- As you complete each section, erase the blue instructions that are in brackets,
- When submitting to NSF, the plan is a Supplementary Document limited to 2 pages, Times New Roman 11 font, and 1-inch margins. If used for internal GSU purposes only, formatting restrictions and page limits do not apply.
All NSF proposals submitted to OSP must include a completed plan uploaded into the Research Portal before the proposal can be submitted. The Proposal form in the Research Portal has been updated as follows:
- When “NSF” is selected as the sponsor, an additional question will appear regarding whether the project includes offsite research.
- If the answer “yes” is selected, a link to the plan template will appear, and there will be an upload field to upload the completed plan.
Subawards
- If the project is a subaward or a non-lead collaborative proposal, the GSU PI must still prepare a plan for dissemination to individuals participating in the off-campus or off-site research. GSU is responsible for ensuring that GSU participants have a safe and inclusive working environment. In this case, submission of the GSU plan to NSF is not required. The lead applicant institution will be responsible for submitting the plan to NSF if required.
- If the GSU project includes a subrecipient or non-lead collaborator whose work will consist of off-campus or off-site research, the GSU PI should provide a copy of the GSU plan to the subrecipient/non-lead collaborator’s participants and encourage the subrecipient/non-lead collaborator to develop a plan and deliver to their participants.
References and Resources
NSF
- NSF - Proposal & Award Policies & Procedures Guide (PAPPG) (NSF Website)
- NSF - PAPPG, Chapter II.E.9 - Safe and Inclusive Working Environments for Off-Campus
and Off-Site Research (NSF Website) - Fall 2022 NSF Grants Conference - Revisions to the Proposal and Award Policies and
Procedures Guide (PAPPG) (NSF 23-1) (NSF Video on YouTube)
GSU Policies and Procedures
- GSU’s Employee Handbook, available at https://hr.gsu.edu/service-centers/employee-relations/employee-handbook/, addresses:
- Equal Opportunity, Section 101.1
- Americans with Disabilities, Disabled Veterans, and Veterans of the Vietnam Era, Section 101.2
- Sexual Harassment, Section 101.3
- Workplace Violence, Section 101.14e
- Ethics Policy, Section 101.17
- Staff Grievance Policy, Section 701
- Discrimination or Harassment Complaint Process, Section 702
- Nondiscrimination Policy: Article XVI of the University Statutes, available at https://senate.gsu.edu/
- Sexual Misconduct Policy of the Board of Regents of the University System of Georgia, available at https://www.usg.edu/policymanual/section6/C2655
- GSU’s Student Code of Conduct, available at https://deanofstudents.gsu.edu/document/student-code-of-conduct/?wpdmdl=5233, addresses:
- Process for Resolving Sexual Misconduct Matters, Section II(C)
- Policy/Procedures for Student Complaints, Section IV(F)
- Sexual Misconduct Policy, Section IV(H)
- Hazing Policy, Section IV(I)
GSU Resources
- Equity & Civil Rights Compliance: https://hr.gsu.edu/service-centers/aa-eeo-training-and-compliance/
- Occupational Health and Safety: https://risk.gsu.edu/occupation-health-and-safety/
- Faculty and Staff Assistance: https://hr.gsu.edu/service-centers/edws/faculty-and-staff-assistance/
- Student Counseling Center: https://counselingcenter.gsu.edu/
NSF Safe and Inclusive Work Environment Plan for Off-Campus or Off-Site Research
GSU POLICIES: GSU’s policies prohibiting discrimination and harassment (including sexual harassment and misconduct) based on protected categories and retaliation for engaging in protected activity govern the conduct of off-site employee research endeavors. These policies can be found in Section 101 of GSU’s Employee Handbook and Article XVI of the University Statutes. The University is a member institution of the University System of Georgia and, as such, follows the Sexual Misconduct Policy of the Board of Regents of the University System of Georgia. See additional details here.
REPORTING: Employees or students who experience incidents of discrimination or harassment should report them to the PI (in person, by phone call, or by email) and GSU’s Equity & Civil Rights Compliance unit (ECRC).
- The ECRC incident report form related to discrimination and non-sexual harassment (click the incident reporting link at the bottom right).
- The ECRC sexual misconduct incident report form is located here.
- Should reports need to be made to someone other than the PI, reports may be directed to ECRC.
- Report fraud, illegal or unethical activity, or harassment here.
- In the case of immediate safety concerns: GSU Police at 404-413-3333 or 911 for emergencies
RESOLUTION OF REPORTS: As outlined in https://ecrc.gsu.edu/investigative-process/ & GSU’s student Code of Conduct.
While incidents perpetrated by employees of external organizations are outside the jurisdiction of University policy, the University will take any such reports seriously and work with the reporting individual and external organization or site to resolve the issue and protect the rights and safety of the reporter.
Project PI Name, Email & Cell #: [enter here] | |
Project Title: [enter here] | |
Brief description of field setting and unique challenges of the team: [enter here]
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Estimated Departure Date: [enter here] | Estimated Return Date: [enter here] |
Third-Party Partners at Off-campus/Off-site Location: [Third-party partners are partners not affiliated with GSU as an employee or student who is present in the off-campus/off-site research working environment.]
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Nurturing an Inclusive Off-campus or Off-site Working Environment (Required): As a baseline, GSU requires all new faculty & staff to complete Preventing Harassment & Discrimination/Diversity Education and Sexual Misconduct training. Students are subject to GSU’s Code of Conduct which includes policies and processes for resolving sexual misconduct, harassment, and discrimination matters.
[For this project, an inclusive off-campus or off-site working environment may also be nurtured through the following activities: 1) Training; 2) Processes to establish shared team definitions of roles and responsibilities; and/or 3) Culture, e.g., codes of conduct; and field support, such as mentor/mentee support mechanisms, regular check-ins, and/or developmental events. Detail here.]
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Communications (Required): Individuals participating in the off-campus or off-site research will have access to the following communications pathways, and singular points of contact will be minimized as follows (select option(s))
- Participants will have personal phones and/or computers and regular internet or cell service; AND/OR
- Other (provide detail):
[Singular points of communication should be minimized. This plan should never have a single person overseeing access to a single satellite phone.]
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Special Considerations (Required if Third Party Partners Involved) [If not applicable, this section can be removed to help conform to the 2-page limit]
Third-Party Partners: If third-party partners are present in the off-campus or off-site working environment, they:
- Will follow their entity’s related codes of conduct and reporting structures;
- May report incidences to the PI as listed above;
- May report incidences when a GSU partner, staff member, student employee, or faculty member is alleged to have engaged in behavior in violation of GSU policy and to NSF’s OECR at programcomplaints@nsf.gov.
[Detail Special circumstances that necessitate unique plans (e.g., participants are at sea without the ability to make contact with the land; local transportation to a safe space is not available; variance in cultural norms might necessitate advance awareness training)]
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Plan Dissemination (Required)
The plan will be disseminated to individuals participating in the off-campus or off-site research before departure as follows.
[Detail who the plan will be disseminated to (include subrecipient or collaborative individuals participating in off-campus/off-site research), method, and timeline for dissemination. The shared plan must include active links,]
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PI Certification (Required)
As PI of the subject project, I understand that it is my responsibility to implement this plan and to uphold Georgia State University’s related policies. Should reports need to be made to the NSF according to their reporting requirements, this plan may be used as part of the NSF’s investigation and decision to continue funding this project.
PI Name: [enter here] | |
PI Signature: [enter here] | Date: [enter here] |
Office of Sponsored Programs (OSP)
