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Expectations, Policies, and Requirements

NIH expects recipient institutions to have policies and practices in place that foster an environment free from harassment, including sexual harassment, discrimination, and other forms of inappropriate conduct that can result in a hostile work environment. Learn about these expectations and how 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.

NIH requires that every organization receiving NIH funds:

  • has systems, policies, and procedures in place to manage research activities in accordance with our standards and requirements
  • complies with federal laws, regulations, and policies protecting the rights and safety of individuals working on NIH-funded projects

NIH expects that institutions:

  • develop and implement policies and practices that foster a harassment-free environment;
  • maintain clear, unambiguous professional codes of conduct;
  • ensure employees are fully aware and regularly reminded of applicable laws, regulations, policies, and codes of conduct;
  • provide an accessible, effective, and easy process to report 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 of administrative actions that removes senior/key personnel on an NIH award.
NIH encourages organizations receiving NIH funds to have in place similarly rigorous policies and related procedures for their employees, contractors, trainees, and fellows who engage in agency-funded activities as NIH’s policies and procedures for Preventing and Addressing Harassment and Inappropriate Conduct and NIH’s policy statement on Personal Relationships in the Workplace.

NIH uses the compliance and oversight tools in its authority to support a safe, harassment-free work environment, while adhering to the multitude of Federal, State, and local laws and policies that govern how harassment allegations are adjudicated.
 

Policies and Requirements

Outlined below are: NIH policies and requirements that support these efforts; a description of the current reviews NIH takes before an award is made, and NIH’s post award management and actions; and important contacts and additional resources for NIH applicants and awardees.

Before July 9, 2022

  • Recipients of NIH funds must proactively notify NIH of changes in a principal investigator or other senior key person's status, for example modified employment or leave status during an investigation of alleged sexual misconduct. (NOT-OD-20-124)
    • The organization receiving NIH funding must notify NIH if it takes an administrative or disciplinary action against its employee(s)-for example, limiting access to the institution’s facilities or resources or modifying employment or leave status during an investigation of alleged sexual misconduct - that affects the ability of the employee(s) to continue as PI or other senior key personnel on an NIH award.
    • The organization is required to notify NIH and seek NIH's advance approval for replacement(s) of the individual(s).
On or After July 9, 2022

Learn more about the
institution reporting process.

  • 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)
    • The Authorized Organization Representative must notify NIH within 30 days of the removal or disciplinary action
    • Notification must be submitted to NIH through this dedicated web form.
    • All required notifications must include, at a minimum:
      • name of the Authorized Organization Representative submitting the notification
      • name of the individual of concern
      • description of the concern(s)
      • action(s) taken
      • any anticipated impact on the NIH-funded award(s)
  • Recipients of NIH funds must assure their compliance with civil rights protections.
    • As described in NIH Grants Policy Statement 4.1, as a condition of the award, the recipient must certify in the application that it has on file with the HHS Office for Civil Rights (OCR) a civil rights assurance with the statutes described in the “Civil Rights Protections” provision. OCR, which is responsible for enforcing federal civil rights laws (among other laws), provides resources to agencies and to recipients, to address concerns regarding potential violations.
    • NIH has, and continues to, remind the research community of this requirement through its policy notices.
    • NOT-OD-15-152: Civil Rights Protections in NIH-Supported Research, Programs, Conferences, and Other Activities, published in September 2015, reminds recipients of civil rights protections from discrimination and harassment in NIH-supported activities and of our expectations for eliminating barriers and providing equal access to the opportunity to participate in NIH supported research, programs, conferences, and other activities. The organization is required to notify NIH and seek NIH's advance approval for replacement(s) of the individual(s).
       
  • NIH recipients of conference grant ("R13 or U13") funding must take steps to maintain a safe and respectful environment for all attendees by demonstrating an institutional commitment to ensuring that proper policies, procedures, and oversight are in place to prevent discriminatory harassment and other discriminatory practices. (See NOT-OD-22-074)

Notices

This page last updated on February 28, 2019
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