Federal Sponsor Requirements

Sexual Harassment

Tarleton and TAMUS Policies

Sexual harassment, including sexual violence, is a form of sex discrimination and is prohibited under Title IX. Unwelcome sexual advances, requests for sexual favors, and other verbal, and nonverbal or physical conduct of a sexual nature constitute sexual harassment when this conduct is so severe, persistent or pervasive that it affects an individual’s employment, unreasonably interferes with an individual’s work or educational performance, or creates an intimidating or hostile work or educational environment. All sexual harassment concerns are handled by the Title IX office.

According to Texas A&M System Regulation 08.01.01 and Texas State Law, all employees (except for confidential employees) who experience, observe, or become aware of alleged discrimination, harassment, or related retaliation must promptly report the incident(s) to the Designated Official at Tarleton State University. Information on mandatory reporting can be found here.

Reporting can be done through contacting the Title IX/Civil Rights office, by filing a civil rights complaint, or submitting a report to TAMUS through EthicsPoint. See something, say something!

Federal Sponsor Policies

NSF Requirements & Policies

The National Science Foundation (NSF) will not tolerate sexual harassment, harassment based on ethnicity, race, gender, or disability, other forms of harassment, or sexual assault, within the agency, at awardee organizations, field sites or anywhere science or education is conducted. NSF has taken steps to help ensure all NSF-funded research and learning environments are free from sexual harassment and other forms of harassment. Additionally, NSF is bolstering our policies, guidelines and communications so that organizations clearly understand expectations and individuals understand their rights.

The PI and any co-PI(s) identified on an NSF award are in a position of trust. These individuals must comport themselves in a responsible and accountable manner during the award period of performance, whether at the awardee institution, on-line, or at locales such as field sites, facilities, or conferences/workshop.

All TSU faculty applying for NSF funds should complete the Safe and Inclusive Working Environment Plan as part of their application package.

Off-Campus

Travel and Conference Grants

All Tarleton State University employees are subject to the same rules and policies when traveling for research or sponsored project purposes. Tarleton State University provides equal opportunity to all employees, students, applicants for employment, and the public regardless of race, color, religion, sex, national origin, disability, age, genetic information or veteran status. Tarleton State University will promptly and thoroughly investigate all complaints of discrimination, sexual harassment, and related retaliation in accordance with applicable federal and state laws, The Texas A&M University System Policy 08.01and Regulation 08.01.01, Civil Rights Compliance, and university rules and/or procedures.

NSF FL26 “Special Terms and Conditions for Administration of NSF Conference or Travel Grants”: For any grant that provides support for an NSF-sponsored conference (in whole or in part), the grantee is required to have a policy or code-of-conduct that addresses sexual harassment, other forms of harassment, and sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct. The policy or code-of-conduct must address the method for making a complaint as well as how any complaints received during the conference will be resolved. The policy or code-of-conduct must be disseminated to conference participants prior to attendance at the conference as well as made available at the conference itself. Grantees are not required to submit the policy or code-of-conduct for review by NSF.

For any grant that provides support for group travel to scientific meetings, prior to the grantee’s participation in the meeting, the grantee must assure that the meeting organizer has a written policy or code-of-conduct that addresses sexual harassment, other forms of harassment, and sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct. The policy or code-of-conduct must address the method for making a complaint as well as how any complaints received during the meeting will be resolved. Grantees are not required to submit the policy or code-of-conduct for review by NSF.

A policy applicable to the conference and that the policy must be disseminated to participants prior to attendance and made available at the conference, consistent with NSF PAPPGs, Part I, Chapter II.F.9.

Conference Proposal.

A conference proposal must contain the elements identified below:

Collaborators & Other Affiliations Information (see Chapter II.C.2.h(i)) (for conference proposals in
excess of $50,000)
Cover Sheet
Project Summary (see Chapter II.D.2.b)
Project Description (see Chapter II.D.2.d) that also includes:
o A statement of the need for such a gathering and a list of topics;
o A listing of recent meetings on the same subject, including dates and locations;
o The names of the chairperson and members of organizing committees and their
organizational affiliations;
o Information on the location and probable date(s) of the meeting and the method of announcement or invitation;
A statement of how the meeting will be organized and conducted, how the results of the meeting will be disseminated and how the meeting will contribute to the enhancement and improvement of scientific, engineering and/or educational activities;
A plan for recruitment of, and support for, speakers and other attendees, that includes participation of groups underrepresented in science and engineering (e.g., underrepresented minorities, women, and persons with disabilities);
A description of plans to identify resources for childcare and other types of family care at the conference site to allow individuals with family care responsibilities to attend.
Attendance for some participants will be dependent on the availability of such resources. This information should help enable attendees to make arrangements for family care, as needed; and
Results from Prior NSF Support (up to five pages). If any PI or co-PI identified on the proposal has received prior NSF support including:
- an award with an end date in the past five years; or
- any current funding, including any no cost extensions, information on the award is required for each PI and co-PI, regardless of whether the support was directly related to the proposal or not. See Chapter II.D.2.d(iii) for additional instructions on preparation of this section.

Subawardees

Reporting

When incorporated into an NSF award, awardee organizations will be required to notify NSF of any findings/determinations of sexual harassment, other forms of harassment, or sexual assault 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. Other project personnel supported by NSF funds must be in full compliance with the NSF guidelines. When the non-PI/Co-PI personnel are not in compliance Tarleton State University employees must follow University and TAMUS policies for reporting to the Title IX office. The immediate safety of other grant personnel will be assured. These actions taken by the university are not required to be reported to NSF per NSF Term and Conditions.

Please visit NSF Term and Condition: Notification Requirements Regarding Findings of Sexual Harassment, Other Forms of Harassment or Sexual Assault page to view the full term and condition, FAQs, and the comments from the Federal Register notice.

The Title IX AOR will use the Term and Condition Required Notification of Harassment form, also known as the Organizational Notification of Harassment Form, when reporting a required notification to NSF.

Each notification must include the following information:

NSF Award Number;
Name of PI or co-PI being reported;10
Type of Notification: Select one of the following:
○ Finding/Determination that the reported individual has been found to have violated grantee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault; or
○ Placement by the grantee of the reported individual on administrative leave or the imposition of any administrative action on the PI or any co-PI by the grantee relating to any finding/determination or an investigation of an alleged violation of grantee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.
Description of the finding/determination and action(s) taken, if any; and
Reason(s) for, and conditions of, placement of the PI or any co-PI on administrative leave or imposition of administrative action. The grantee, at any time, may propose a substitute investigator if it determines the PI or any co-PI may not be able to carry out the funded project or activity and/or abide by the grant terms and conditions. The grantee is reminded of its responsibility to obtain prior written approval from NSF in the event the investigator will be disengaged from the project for a period greater than three months. See PAPPG Chapter VII.B.2.a. for additional information. In reviewing the notification, NSF will consider, at a minimum, the following factors:
a. The safety and security of personnel supported by the NSF grant;
b. The overall impact to the NSF-funded activity;
c. The continued advancement of taxpayer-funded investments in science and scientists;
and d. Whether the grantee has taken appropriate action(s) to ensure the continuity of science and that continued progress under the funded project can be made.

Upon receipt and review of the information provided, NSF will consult with the AOR, or designee. Based on the results of this review and consultation, the Foundation may, if necessary, assert its programmatic stewardship responsibilities and oversight authority to initiate the substitution or removal of the PI or any co-PI, reduce the award funding amount, or where neither of those previous options is available or adequate, to suspend or terminate the grant.

Other personnel supported by an NSF grant must likewise remain in full compliance with grantee policies or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault. With regard to any personnel not in compliance, the grantee must make appropriate arrangements to ensure the safety and security of other grant personnel and the continued progress of the funded project. Notification of these actions is not required under this term and condition.

DHHS: NIH

DHHS/NIH Requirements & Policies
Reporting

DHHS/NIH Requirements & Policies

NIH expects all members of the NIH community to comply with laws, regulations, and policies protecting the rights and safety of individuals working on NIH-funded projects. Recipients of NIH funding are required also to comply with applicable federal civil rights laws and regulations, as outlined in the NIH Grants Policy Statement (NIH GPS), as a term and condition of award. NIH also expects awardee organizations to:

develop and implement policies and practices that foster a harassment-free environment;
maintain clear, unambiguous professional codes of conduct;
ensure staff are fully aware and regularly reminded of applicable laws, regulations, policies, and codes of conduct;
provide an accessible, effective, and easy process to report sexual harassment, and provide protection from retaliation;
respond promptly to allegations to ensure the immediate safety for all involved, investigate the allegations, and take appropriate sanctions; and
inform NIH when senior/key personnel on NIH awards are removed from their position or are otherwise disciplined by the recipient institution due to concerns about harassment, bullying, retaliation or hostile working conditions.

Please visit the NIH Grants and Funding website on supporting a safe and respectful workplace at institutions that receive NIH funding for comprehensive information about policies and requirements for awardees.

Reporting

Institutional Reporting

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. (NOT-OD-22-129)

Are you an institutional official who needs to report that an individual identified as PD/PI or other Senior/Key personnel has been removed from their position or otherwise disciplined due to concerns about harassment, bullying, retaliation or hostile working conditions? Learn how to report the action and what happens when you do. Note, the procedures below are effective July 9, 2022. See NOT-OD-20-124

Standard Procedure

Authorized Organization Official of recipient institution notifies NIH within 30 days of disciplinary action being taken. 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
- Any anticipated impact on the NIH-funded award(s).
NIH’s Office of Extramural Research (OER) assesses the report, checking for whether:
1. Staff are key personnel on an NIH-funded grant. If NIH-funded grants are involved whether the person of concern is involved in and should be removed from peer review service
Notification is done via this web form: Notify NIH
OER may reach out to the institution to better understand
1. If an institutional investigation commenced; if there was a finding
2. The impact, if any, on NIH research
3. If any identified risks to research staff and/or students have been mitigated
4. Actions taken and safeguards that have been put in place
5. Other factors and actions relevant to the allegation
Appropriate actions are taken to ensure NIH-funded research is occurring in a safe environment. These actions may include, but are not limited to:
1. Coordinating with funding NIH Institute on necessary grants management actions, which may include requesting the recipient institution identify a replacement principal investigator on the award
2. Holding pending awards associated with the PI of concern while compliance issues are resolved
3. Declining to approve requests to transfer grants involving the PI to another institution
4. Requiring special reporting requirements from the institution
5. Requiring follow-ups with institutions to ensure issues have been fully addressed

Responsible Conduct of Research Training

Tarleton Policy

Tarleton State University requires all faculty, staff and students eligible to conduct research be trained in Responsible Conduct of Research (RCR). All research eligible individuals must take the Collaborative Institutional Training Institute “CITI” RCR course. This requirement is in addition to any other RCR training. Research eligible individuals who have taken the CITI RCR course within the last five years at a previous institution do not need to retake the course.

Access to certain university processes related to research for all faculty, staff and students who have not yet completed RCR training, will be suspended until the RCR training is completed. This includes, but not limited to, submission of IBC, IRB, and IACUC protocols and amendments.

CITI RCR Course

There are several discipline-specific courses that consist of an introduction, basic foundation text, embedded case studies, and quiz questions.

Biomedical Research
Social and Behavioral Research
Biosafety
Animal-specific courses
IACUC Requirements

CITI allows users to select more than one discipline-specific course when you first log in and register to take the RCR course. CITI automatically combines the unique modules for the disciplines selected when generating the modules for users training.

Review of the required materials and completion of the quizzes will take about 30-35 minutes per topic. Courses do not have to be completed in one session. A minimum, aggregate score of 80% is required to pass the RCR course. CITI allows users to retake the quizzes if the minimum score was not obtained to pass the course.

Upon course completion, a copy of the completion certificate will be available to print and retain for your records. The CITI system keeps track of all completion data, and Tarleton State accesses completion data directly from CITI.

Federal Sponsor Requirements

NSF
NIH
NIFA

NSF

NSF requires universities to certify that it has a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who receive NSF support to conduct research. Certification of University compliance is done by an authorized Tarleton State representative as part of the institutional proposal approval process (e.g., when a sponsored program officer submits the proposal in FastLane). Specific instructions are found in Chapter IV.B Responsible Conduct of Research (RCR) of the NSF Proposal and Award Policies and Procedures Guide.

All students and postdoctoral researchers supported by NSF sponsored projects must complete the CITI online course in the Responsible Conduct of Research within 60 days of appointment. The PI is responsible for ensuring that all students and postdocs complete the CITI RCR course and begin a dialogue on the responsible conduct of research. The PI is also required to complete the CITI RCR training. PI’s should not include any specific information on RCR training within proposals. NSF does not want program details – only the institution’s certification that there is a program in place.

Training records are subject to monitoring by NSF auditors.

NIH

NIFA

Clinical Trials

Effective January 1, 2017 – NOT-OD-16-148 states the NIH expects all NIH-funded clinical investigators and clinical trial staff who are involved in the design, conduct, oversight, or management of clinical trials to be trained in Good Clinical Practice (GCP). Recipients of GCP training are expected to retain documentation of their training. GCP training should be refreshed at least every three years in order to stay up to date with regulations, standards, and guidelines.

NOT-OD-16-148: Policy on Good Clinical Practice Training for NIH Awardees Involved in NIH-funded Clinical Trials

The principles of Good Clinical Practice (GCP) help assure the safety, integrity, and quality of clinical trials by addressing elements related to the design, conduct, and reporting of clinical trials. GCP training describes the responsibilities of investigators, sponsors, monitors, and IRBs in the conduct of clinical trials.

GCP training aims to ensure that:

the rights, safety, and well-being of human subjects are protected
clinical trials are conducted in accordance with approved plans with rigor and integrity
data derived from clinical trials are reliable

The policy does not require a particular GCP course or program. Training in GCP may be achieved through a class or course, academic training program, or certification from a recognized clinical research professional organization. Tarleton strongly suggests taking the NIH training that is free of charge when applying for federal funding for clinical trials, including:

Good Clinical Practice Course (NIDA)
Good Clinical Practice in Social & Behavioral Research (NCATS/OBSSR)
- For NIH Researchers, click here

All clinical trials must undergo an IRB review and comply with university, system, local, state, and federal human subject research policies.