Policy on Research Reporting for Sexual Misconduct

Policy Number: RE-7000-001

Policy Title: Reporting of Matters Pertaining to Sexual Harassment or Assault, and Other Forms of Prohibited Harassment to the Office of the Vice Chancellor for Research and to the Research Sponsor

Vice Chancellor/Associate Chancellor: Vice Chancellor for Research and Associate Chancellor, Office for Access and Equity

Unit Responsible for Policy: The Office of the Vice Chancellor for Research (OVCR) which oversees award compliance, and the Office for Access and Equity (OAE) which oversees compliance with discrimination and harassment laws and regulations, including Title IX of the Education Amendments Act of 1972

Effective Date: December 21, 2020

Contacts: The Office of the Vice Chancellor for Research, Office of Research Integrity; The Office for Access and Equity

Policy Statement:
The commitment of the University of Illinois Chicago (UIC) to the fundamental principles of academic freedom, equality of opportunity and human dignity requires that its educational, research and work environments be free from all forms of sexual harassment or assault and other forms of prohibited harassment.

Reason for Policy:
The terms and conditions of many sponsored research awards and agreements, and/or the requirements of many  federal, state and private research sponsors, necessitate the awardee to notify the research sponsor if a Principal Investigator, Co-Principal Investigator or Senior/Key Personnel is subject to interim actions taken by the University (such as being placed on administrative leave based on allegations of misconduct) or final actions, based on findings/determinations regarding a violation of University’s policies or codes of conduct, statutes, regulations or executive orders relating to sexual harassment or assault, or other forms of prohibited harassment (“Sponsor Reporting Requirements”).

 The OAE will promptly notify the OVCR when a UIC employee is the subject of an investigation regarding an alleged violation of the University’s applicable policies or codes of conduct, statutes, regulations or executive orders relating to sexual harassment or assault, or other forms of prohibited harassment (“Potentially Reportable Matter”). The OAE and the OVCR will determine if that UIC employee served or serves as Principal Investigator, Co-Principal Investigator or Senior/Key Personnel supported by a sponsored research award or agreement (“Covered Employee”).

If it is determined that a “Potentially Reportable Matter” concerns a Covered Employee and is thus a “Reportable Matter”, OVCR will provide the research sponsor such limited information about the  “Reportable Matter” which is necessary for the University to comply with the Sponsor Reporting Requirements. The University will comply with all applicable laws and regulations, including those that relate to privacy and confidentiality, when providing such information to the research sponsor.

Minority Impact Statement: The policy does not have any disproportionate or unique impact on UIC minority students, staff or faculty.

Who Should Read the Policy: Deans, Department Heads, Faculty, Principal Investigators, Investigators, Other Research Personnel, Research Staff, Research Administrators.

Definitions:

• Principal Investigator (PI): An individual appointed by the University with the primary responsibility to design, conduct, and supervise a sponsored project awarded to the University. Includes any person serving as Co-Principal Investigator (Co-PI).
• Senior/Key Personnel: All individuals who contribute in a substantive, meaningful way to the scientific development or execution of the project, whether or not salaries are requested.

Related Laws, Regulations, Statutes and Policies:

• NSF Term and Condition: Sexual Harassment, Other Forms of Harassment, or Sexual Assault
• NASA Term and Condition: Reporting Requirements Regarding Sexual Harassment, Other Forms of Harassment, or Sexual Assault
• Title IX of the Education Amendments of 1972 (Title IX) (20 U.S.C. § 1681 et seq.; 34 C.F.R. Part 106) (as amended)
• University of Illinois Non-Discrimination Statement
• University of Illinois at Chicago Prohibition of Sex Discrimination, Sexual Harassment, and Sexual Misconduct

Document History:

Approved by: CVC, Chancellor
Approval date: December 21, 2020
Approved as: New Policy