NSF Safe and Inclusive Work Environment Plans
The National Science Foundation (NSF) now requires the creation of a Safe and Inclusive Work Environment Plan for any proposal that will involve off-campus collection of research data or field samples. Additionally, several NSF solicitations will require that the Plan be included in the submitted proposal as a supplementary document, which will be evaluated as part of the proposal’s Broader Impacts.
What is the purpose of such a Plan?
Each Plan should describe how the following types of behavior will be addressed–particularly at the off-campus collection site(s):
- 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.
Each Plan should describe how the following types of behavior will be addressed–particularly at the off-campus collection site(s):
- 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.
Who at UM is responsible for creating, authorizing, and certifying the Plan?
When such a Plan is required:
- the PI will be responsible for:
- putting together a project-specific Plan as part of the proposal development effort,
- disseminating the Plan, prior to campus departure, to individuals who will be participating in activities at the off-campus collection site(s), and
- ensuring the Plan gets implemented if the proposal results in an award;
- the ORSP Division of Sponsored Programs Administration (SPA) will be responsible for ensuring the plan is present before authorizing the proposal for submission; and
- the ORSP Authorized Organization Representative (AOR) will certify to NSF the existence of the plan in submitting the proposal.
When such a Plan is required:
- the PI will be responsible for:
- putting together a project-specific Plan as part of the proposal development effort,
- disseminating the Plan, prior to campus departure, to individuals who will be participating in activities at the off-campus collection site(s), and
- ensuring the Plan gets implemented if the proposal results in an award;
- the ORSP Division of Sponsored Programs Administration (SPA) will be responsible for ensuring the plan is present before authorizing the proposal for submission; and
- the ORSP Authorized Organization Representative (AOR) will certify to NSF the existence of the plan in submitting the proposal.
What format should the Plan take, and what should it include?
The Plan (whether included in the proposal or not) should be limited to 2 pages and broken into 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.
The Plan (whether included in the proposal or not) should be limited to 2 pages and broken into 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.
What UM resources are available to help a PI create and implement a Plan?
- A Summary of UM Resources for Creating Safe and Inclusive Working Environments (PDF) has been prepared as an aid to investigators developing these Plans. The Summary of Resources describes key administrative infrastructure (offices, personal, policies, and procedures) in place to help help ensure safe and inclusive working environments.
- An interactive Safe and Inclusive Work Environments Planning Form has also been prepared to help PIs in:
- determining whether a Safe and Inclusive Working Environment Plan is needed for a grant proposal; and
- determining whether the Plan must be included in the submitted proposal
- A fillable form or template has been created to aid investigators in creating a 2-page plan that can be included with the proposal if required for submission, or filed locally if not required for submission.
- ORSP Research Development can provide constructive feedback on your draft Plan via the Enhanced Review service, upon timely request with several weeks’ advanced notice.
- A Summary of UM Resources for Creating Safe and Inclusive Working Environments (PDF) has been prepared as an aid to investigators developing these Plans. The Summary of Resources describes key administrative infrastructure (offices, personal, policies, and procedures) in place to help help ensure safe and inclusive working environments.
- An interactive Safe and Inclusive Work Environments Planning Form has also been prepared to help PIs in:
- determining whether a Safe and Inclusive Working Environment Plan is needed for a grant proposal; and
- determining whether the Plan must be included in the submitted proposal
- A fillable form or template has been created to aid investigators in creating a 2-page plan that can be included with the proposal if required for submission, or filed locally if not required for submission.
- ORSP Research Development can provide constructive feedback on your draft Plan via the Enhanced Review service, upon timely request with several weeks’ advanced notice.
What NSF instructions and resources are available regarding these Plans?
Part I, Chapter II, Section E.9 of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) provides more information on the requirement.
The Safe and Inclusive Working Environments Requirements Virtual Office Hour site:
- Provides instructions on what to include in the Plan
- Lists solicitations involved in the pilot and the timeline for the requirement
- Provides links to download the slide deck, transcript, recording, and captions from the 2/7/2023 Virtual Office Hour presentation on this topic
Part I, Chapter II, Section E.9 of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) provides more information on the requirement.
The Safe and Inclusive Working Environments Requirements Virtual Office Hour site:
- Provides instructions on what to include in the Plan
- Lists solicitations involved in the pilot and the timeline for the requirement
- Provides links to download the slide deck, transcript, recording, and captions from the 2/7/2023 Virtual Office Hour presentation on this topic
How should the plans be maintained within the institution?
The plans should be signed by the PI and uploaded to the transmittal by the PI or Research Administrator (RA) with the transmittal, and will be archived with the transmittal by SPA. If the PI updates the plan at award time or later, updated plan should be signed by the PI and provided to their RA to add to the award files. The PI should of course keep a copy of their plan handy in their own records for dissemination and implementation.
The plans should be signed by the PI and uploaded to the transmittal by the PI or Research Administrator (RA) with the transmittal, and will be archived with the transmittal by SPA. If the PI updates the plan at award time or later, updated plan should be signed by the PI and provided to their RA to add to the award files. The PI should of course keep a copy of their plan handy in their own records for dissemination and implementation.