University of Illinois Guiding Principles
| July 2019
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General Prelude
The University of Illinois Chicago (UIC) is committed to an open, safe, welcoming, and inclusive research environment with a number of policies, guidelines, and codes that define our commitment to an open, safe, and inclusive environment:
- University of Illinois Code of Conduct
- University of Illinois Policy on Consideration of Sexual Misconduct in Prior Employment
- University of Illinois Policy on Workplace-Related Intimate Personal Relationships
- University of Illinois Chicago Prohibition of Sex Discrimination, Sexual Harassment and Sexual Misconduct Policy
- University of Illinois Chicago Nondiscrimination Policy
The University of Illinios Chicago also conducts a number of trainings related to our commitment to an open, safe, and inclusive environment:
- University of Illinois System Ethics Training (Required)
- University of Illinois System Preventing Sexual Misconduct (Title IX) Training (Required)
- University of Illinois Chicago Preventing Sexual Misconduct and Harassment Training
- Respect in the Workplace Training (Ad Hoc)
- Preventing Sexual Misconduct Workshop (ad Hoc)
- Responsible Conduct of Research Training (Ongoing; Optional)
The Office of the Vice Chancellor for Research (OVCR) oversees sponsored research award compliance. The Office for Access and Equity (OAE) oversees compliance with discrimination and harassment laws, and regulations including Title IX of the Education Amendments Act of 1972. The OVCR and OAE have been actively engaged since 2018 to assure compliance with required reporting to our research sponsors. The OVCR and OAE are jointly responsible for the University Policy on Research Reporting for Sexual Misconduct.
Sponsor and Agency Requirements
National Institutes of Health
The NIH Grants Policy Statement Section 4 , and as outlined in NOT-OD-22-129, outlines that NIH recipient institutions are expected to provide safe and healthful working conditions for their employees and foster work environments conducive to high-quality research, regardless of the recipient institution. NIH recipient institutions are required to notify NIH when individuals identified as PD/PI or other Senior/Key personnel in an NIH notice of award are removed from their position or are otherwise disciplined by the recipient institution due to concerns about harassment, bullying, retaliation or hostile working conditions. Notification must be provided by the Authorized Organization Representative within 30 days of the removal or disciplinary action and must be submitted to NIH through a dedicated web form. All required notifications must include, at a minimum, the name of the Authorized Organization Representative submitting the notification, the name of the individual of concern, a description of the concerns, the action(s) taken, and any anticipated impact on the NIH-funded award(s). If it is determined that the concerns shared with NIH will impact the PD/PI or senior key personnel’s ability to continue as the scientific lead of the project, NIH will require prior approval for a replacement PD/PI or senior key official. This disclosure requirement does not replace the existing requirements to obtain prior approval for any significant change in the status of the PD/PI or other Senior/Key Personnel specifically named in the notice of award. Notifications will be handled by the Office of the Vice Chancellor for Research in coordination with the Office of Institutional Opportunity & Access according to Policy.
Details about expectations, policies and requirements for NIH recipients can be found at Supporting a Safe and Respectful Workplace at Institutions that Receive NIH Funding.
National Science Foundation
The National Science Foundation NSF Proposal & Award Policies & Procedures Guide (PAPPG), effective Feb. 25, 2019, requires harassment-free environments wherever science is conducted or taught, including at NSF-sponsored conferences, workshops, symposia, and field sites. The University of Illinois Chicago is required to report any findings of sexual harassment, other forms of harassment, or sexual assault by an NSF-funded PI or co-PI. The university must also notify NSF of any administrative or disciplinary action related to a harassment investigation or finding. Notifications will be handled by the Office of the Vice Chancellor for Research in coordination with the Office of Institutional Opportunity & Access according to Policy.
National Science Foundation Off-Campus or Off Site Plan
The National Science Foundation PAPPG, beginning January 2023, also requires plans for a safe and inclusive working environment when the project will conduct research off-campus or off site. The NSF held a virtual office hour where additional information was made available.
This 2-page supplementary document included when off-campus or off site research is conducted must address the following four sections:
- a brief description of the field setting and unique challenges for the team;
- the steps the proposing organization will take to nurture an inclusive off-campus or off-site working environment, including processes to establish shared team definitions of roles, responsibilities, and culture, e.g., codes of conduct, trainings, mentor/mentee mechanisms and field support that might include regular check-ins, and/or developmental events;
- communication processes within the off-site team and to the organization(s) that minimize singular points within the communication pathway (e.g., there should not be a single person overseeing access to a single satellite phone); and
- the organizational mechanisms that will be used for reporting, responding to, and resolving issues of harassment if they arise.
National Aeronautics and Space Administration
The National Aeronautics and Space Administration (NASA) includes, as described in 85 FR 13934, a term and condition in awards that requires recipient organizations to report to NASA any findings/determinations of sexual harassment, other forms of harassment, or sexual assault regarding a NASA funded PI or Co-I. Additionally, the award term and condition requires UIC to report if the PI or Co-I is placed on administrative leave or if the UIC imposedsany administrative action on the PI or Co-I, or any 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. Notifications will be handled by the Office of the Vice Chancellor for Research in coordination with the Office of Institutional Opportunity & Access according to Policy.
Other Sponsors
If under the terms and conditions of award for any sponsored program another funding agency requires notification related to a researcher, notifications will be handled by the Office of the Vice Chancellor for Research in coordination with the Office of Institutional Opportunity & Access according to Policy. Notifications may include a researcher being investigated for policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault or a researcher’s ability to act in their assigned role on the project. Required notification or pre-approval of changes to personnel may be required for sponsors, such as the Simons Foundation.