The University of California, Santa Barbara (UCSB) is committed to creating and maintaining a community dedicated to the advancement, application and transmission of knowledge and creative endeavors through academic excellence, where all individuals who participate in University programs and activities can work and learn together in an atmosphere free of harassment, exploitation, or intimidation.
In addition to University policy, sponsors of UCSB’s research have notification and reporting requirements related to sexual harassment, harassment, sexual assault, discrimination, criminal conduct, and other types of misconduct. Many of these sponsors have issued rules and guidance regarding these requirements and the importance of adhering to them. UCSB has created procedures that comply with the requirements of these agencies.
Associated Sponsored Programs
- National Science Foundation (NSF)
- National Institutes of Health (NIH)
- National Aeronautics and Space Administration (NASA)
- Simons Foundation
- American Heart Association (AHA)
- Robert Wood Johnson Foundation (RWJF)
- Howard Hughes Medical Institute (HHMI)
- Burroughs Wellcome Fund (BWF)
- National Geographic Society (NGS)
- International Initiative for Impact Evaluation (3ie)
Prohibited Conduct and Applicable Personnel
| SPONSOR | APPLICABLE PERSONNEL | PROHIBITED CONDUCT | Policy |
|---|---|---|---|
| National Science Foundation (NSF) | Principal Investigator (PI) and any co-PI(s) | Sexual harassment, other forms of harassment, or sexual assault | Policy Link |
|
National Institutes of Health (NIH) |
Principal Investigator (PI) or other senior key personnel | Inappropriate conduct or harassment, including sexual harassment | Policy Link |
| NASA | Principal Investigator (PI) and any Co-Investigator(s) (Co-I) | Sexual harassment, other forms of harassment, and sexual assault | See Appendix E.5 |
| Simons Foundation | Principal investigators; all members of the research team (funded or not) | Any violation of applicable federal, state, and local anti-discrimination, anti-harassment, and anti-retaliation laws; criminal laws, including those with respect to physical assault; institutional policies and procedures relating to anti-discrimination, anti-harassment, and anti-retaliation, including this Grant Code of Conduct; and professional codes of conduct. | Policy Link |
| American Heart Association | Awardee | Unlawful harassment or discrimination committed on the basis of age, race, color, creed, religion, sex, gender, ethnic or national origin, pregnancy, disability, uniformed service, veterans’ status, sexual orientation, gender identity or expression, genetic information, marital status or based on political or religious opinions or affiliations, or any other characteristic protected by applicable law | Award Terms & Conditions |
| Robert Wood Johnson Foundation | Senior leadership; Board of Directors (or similar governing body); grant staff | Sexual harassment; other harassment; discrimination; hostile work environment; financial impropriety; academic integrity; breach of fiduciary obligations | Award Terms & Conditions |
| Howard Hughes Medical Institute | Fellow, project director and "all persons supported by the grant" | Award terms mention only "misconduct" and do not specifically define what that includes. The award terms state that project personnel must comply with "all applicable government laws and regulations and Grantee Institution policies, and the Institute’s policies," which prohibit "unlawful discrimination, harassment, and retaliation." | Award Terms & Conditions |
| Burroughs Wellcome Fund | the Investigator or Institution, including its employees performing work directly relevant to this grant (to the extent the act relates to the employees employment) | Any (i) fabrication, falsification and plagiarism, and does not include honest error or differences of opinion; (ii) fraud, embezzlement, theft or other felonious conduct; (iii) willful or negligent acts of the Investigator or other employees of the institution in performance of the Grant damaging to the reputation of the Grantee; (iv) intentional violation of any law or regulation; (v) failure to adhere to ethical research/medical standards; (vi) financial mismanagement; (vii) loss of certification; (vii) sexual harassment or discrimination. | Award Terms & Conditions |
| National Geographic Society | Principal investigator | Harassment and discrimination (including offensive and demeaning behavior in any form) as well as violations of applicable US anti- bribery and corruption laws | Award Terms & Conditions |
| International Initiative for Impact Evaluation (3ie) | Principal investigator | Unlawful sexual exploitation, abuse and harassment of any person linked to the delivery of this Arrangements | Award Terms & Conditions |
Applicable Policies
Various University policies and guidance address sexual harassment, harassment, sexual assault, discrimination, criminal conduct, and other types of misconduct, and proscribe local response procedures. In addition to adhering to the requirements in sponsored awards, all members of the University community must review, understand, and comply with these policies and procedures.
| Policy | Supporting Office | Policy Link |
|---|---|---|
|
UC Sexual Violence and Sexual Harassment Policy |
Title IX and Sexual Harassment Policy Compliance Office | https://policy.ucop.edu/doc/4000385/SVSH |
| UC Policy on Discrimination, Harassment, and Affirmative Action in the Workplace | Equal Opportunity and Discrimination Prevention Office | https://policy.ucop.edu/doc/4000376/DiscHarassAffirmAction |
| UCSB Faculty Code of Conduct | Academic Senate | https://www.ucop.edu/academic-personnel-programs/_files/apm/apm-015.pdf |
| UCSB Student Conduct Code | Office of Student Conduct | https://www.sa.ucsb.edu/regulations/student-conduct-code/student-conduct-code |
| UC Whistleblower Policy | UCSB Office of the Whistleblower | https://policy.ucop.edu/doc/1100171/Whistleblower |
| Workplace Conduct Policies | UCSB Human Resources | https://www.hr.ucsb.edu/hr-units/talent-acquisition/workplace-conduct-policies |
| Research Misconduct policy | Office of Research | https://www.research.ucsb.edu/sites/default/files/ri/research_misconduct.pdf |
Local Reporting Options
Each agency has its own reporting and response requirements for different conduct categories and personnel types. Any incidents or behavior that may meet the criteria of prohibited conduct, as defined by the associated agency, should first be reported to the respective campus office for review, assessment, and further response. These campus offices noted below will collaborate with the Sponsored Projects Office in determining the most appropriate response, and complete the requisite steps.
- For sexual harassment, sexual violence (sexual assault, relationship, stalking), and sex discrimination (including gender, gender identity/transition/expression, pregnancy, and sexual orientation), please report to the UCSB Title IX and Sexual Harassment Policy Compliance Office.
- For discrimination and harassment on the basis of race, color, national origin, religion, physical or mental disability, medical condition, genetic information, ancestry, marital status, age, citizenship, or service in the uniformed services, please report to the UCSB Equal Opportunity and Discrimination Prevention Office.
- For criminal conduct reports, please report to the UCSB Police Department.
- For whistleblower reports, please report to the UCSB Whistleblower Office.
- For research integrity reports, please report to the UCSB Office of Research Integrity.
- For conduct reports:
- Involving students, please report to the UCSB Office of Student Conduct.
- Involving faculty, please report to the UCSB Academic Senate.
- Involving non-faculty academic personnel, please report to the UCSB Academic Personnel Office.
- Involving staff, please report to the Human Resources, Employee and Labor Relations Office.
NSF Supported Conferences, Workshops, and Symposia
Effective January 28, 2019, NSF requires conference proposers have a policy or code-of-conduct addressing sexual harassment, other forms of harassment, and sexual assault, which shall include clear and accessible means of reporting violations. The UC’s Sexual Violence and Sexual Harassment Policy must be disseminated to conference participants prior to conference attendance and made available at the conference itself. A sample notice is linked below.
- The NSF Participant Notice can be found here.
NSF Safe and Inclusive Working Environments for Off-Campus or Off-Site Research
Effective January 30, 2020, NSF requires proposals with research activities conducted off-campus to have a plan in place 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.
NSF defines "Off-Campus Research" as data/information/samples being collected off-campus, such as fieldwork and research activities on vessels and aircraft.
To further clarify, this is primarily intended for physical activities conducted in remote environment where standard means of communications are not readily accessible. It should not include the following:
- Conference travel - Note the above requirement for NSF Supported Conferences, Workshops and Symposia
- Online collection or downloading of data
- Work performed by subrecipients unless their activities meet the definition above in relation to their own facilities.
Each plan needs to be specific to the project. Further guidance can be found in the NSF PAPPG. If further clarification on whether your project is considered "Off-Campus Research", please email fong@research.ucla.edu.
Questions and Assistance
If you have any questions about the information on this site or your responsibilities with respect to federal agency reporting requirements, please contact your Sponsored Projects team.