FAQ: Regarding Preparation and Submission of Safe and Harassment-free Fieldwork (SAHF) Plans under the BIO/GEO Pilot

What is a SAHF Plan and what's off-campus/off-site?

1. What is the Safe and Harassment-free Fieldwork (SAHF) Plan?

   Several NSF solicitations issued by the Directorates for Biological Sciences and Geosciences (BIO/GEO) are included in a pilot that will require submission of a SAHF Plan for consideration as part of the merit review process in lieu of the organizational plan specified in the Proposal and Award Policies and Procedures Guide (PAPPG), Chapter II.E.9. The SAHF Plan is a project-specific 2-page Supplementary Document that will be considered under the Broader Impacts review criterion for any proposal with off-campus or off-site research submitted to a solicitation participating in the BIO/GEO pilot.

2. What directorates and programs are participating in the pilot that require a SAHF Plan for all off-campus or off-site research?

   The Directorates for Biological Sciences and Geosciences are leading the pilot, and several solicitations in each directorate will require SAHF Plans. Please read the "Revision Notes" and "Proposal Preparation" of each solicitation to see if the SAHF Plan is required, and if it is, the date the requirement takes effect. For example, the core solicitations of the BIO Divisions of Environmental Biology, Integrative Organismal Systems, and Molecular and Cellular Biosciences are all a part of the pilot.

3. When does the requirement to submit the SAHF Plan become effective?

   The answer depends on the solicitation. If you are preparing a submission to a program that is participating in the pilot, and has a deadline, then the SAHF Plan is required at the time of proposal submission. Alternatively, if the participating solicitation has no deadline then a date by which the submitted SAHF Plan is required will be stipulated in the solicitation; please read the newest version to note when the 2-page project-specific Supplementary Document requirement starts (i.e., SAHF Plan). For example, for proposals with off-campus or off-site research submitted to the core solicitation for the Division of Environmental Biology (NSF 23-539) which accepts proposals at any time, the SAHF Plan must be submitted in those proposals after 18 April 2023, as noted in the solicitation. Submitted SAHF Plans before this date will NOT be accepted. [Note that all proposals submitted to the NSF with off-campus or off-site research (as of 30 January 2023) must certify that they have a project-specific organizational plan (not to be confused with the SAHF Plans in the BIO/GEO pilot, which are to be submitted for merit review) as explained in the Proposal and Award Policies and Procedures Guide, Chapter II.E.9.]

4. Does the SAHF Plan differ from the plan required by the organization as explained in the Proposal and Award Policies and Procedures Guide (PAPPG), Chapter II.E.9?

   *All* proposals submitted to the NSF with off-campus or off-site research (as of 30 January 2023) must certify that the organization has a project-specific plan in place for Safe and Harassment-free research. The organizational plan that is certified by the AOR is not identical in content to that requested in the SAHF Plans. SAHF Plans are required only in specific solicitations participating in the BIO/GEO pilot. If a specific solicitation requires an SAHF Plan, that SAHF Plan is submitted in lieu of the organizational plan required by PAPPG Chapter II.E.9.

5. Does the SAHF Plan replace the certification required by PAPPG Chapter II.E.9?

   Yes. If you are submitting a proposal with off-campus or off-site research in response to a solicitation participating in the BIO/GEO pilot, you must submit the SAHF Plan as a 2-page Supplementary Document, and that SAHF Plan is in lieu of the organizational plan required by PAPPG Chapter II.E.9.

6. Must the box on the Cover Sheet entitled, "Off-Campus or Off-Site Research" be checked if there is any off-campus or off-site research involved in the proposal, regardless of whether the submission is to a solicitation included in the pilot?

   Yes. All proposals that meet the definition of Off-Campus or Off-Site research must check the box on the Cover Sheet.

7. What are the required components of the SAHF Plan?

   The four components of the SAHF plan are specified in each solicitation (please read them in their entirety), and include:

   1. a description of the field setting and unique challenges for the team;
   2. steps that will be taken to nurture a harassment-free off-campus or off-site working environment;
   3. communication processes; and
   4. organizational mechanisms for reporting, responding to, and resolving issues of harassment, should they arise.

8. Is safety from snake bites, heat stroke, or similar physical safety issues a part of the SAHF Plan?

   The SAHF Plan must focus on how to ensure harassment-free working environments.

9. How is off-campus or off-site research defined?

   Off-campus or off-site research is defined as data/information/samples being collected off-campus or off-site, such as fieldwork, and research activities on vessels and aircraft. Each proposing organization must determine whether the proposed work is considered off-campus or off-site. Please contact your organization’s Sponsored Projects Office (or equivalent) for assistance in this determination.

10. What if off-campus or off-site research is being done for education or outreach as part of a proposal, but not research components of a proposal submitted to a solicitation participating in the BIO/GEO pilot?

    At this time, the SAHF Plan is only required if off-campus or off-site “research” is being proposed, which means "…data/information/samples" being collected off-campus or off-site.

11. Are university field stations considered off-campus or off-site?

    The proposing organization is responsible for making the determination regarding whether the proposed work is considered off-campus or off-site.

12. Can funds be allocated to help offset costs with necessary training associated with a SAHF Plan?

    Yes, assuming the costs are allowed under Uniform Guidance.

Who submits the SAHF Plan?

1. If we submit a collaborative proposal to a solicitation that is participating in the pilot, but a non-lead PI is the only one conducting any off-campus or off-site research, who submits the plan?

   If the proposal is a collaborative, then the lead Principal Investigator (PI) must be sure to upload the SAHF Plan as a Supplementary Document as part of the submission and check the relevant box on the lead organization’s proposal Cover Sheet.

2. What if we are submitting a collaborative proposal, and PIs from the non-lead organizations are proposing to collect data from different field locations? Should only one SAHF Plan be submitted for the entire collaborative project, or should each organization submit their own SAHF Plan?

   Only one SAHF Plan that covers all off-campus or off-site research must be submitted.

3. Is the SAHF Plan requirement applicable to contractors or vendors?

   Yes, this plan applies to any vendor or contractor staff that are engaged in off-campus or off-site research in the project as proposed.

4. Is the SAHF Plan requirement applicable to subawardees?

   Yes, this plan applies to all participants engaged in off-campus or off-site research in the project as proposed.

5. If I submit a proposal and there are no other team members participating in the research, i.e., no students, no collaborators, no team, is a SAHF Plan still required to be submitted?

   If there is off-campus or off-site research proposed, a plan must be submitted.

6. What if the PIs submitting a proposal will not be collecting the data, only using the data? Does this still require a SAHF Plan?

   If no personnel associated with a submission is gathering data/information/samples from off-campus or off-site, then a SAHF Plan is not required. Downloading previously collected data does not require a SAHF Plan.

7. What if data are being collected as part of NEON Assignable Assets?

   If off-campus or off-site data collection is part of the proposal via a contract or a subcontract, that means research off-campus or off-site is part of the project, so a SAHF Plan is required. If there is no cost to the project associated with the collection, and no personnel supported by NSF funds are involved in the collection, then a SAHF Plan is not required. You can always talk with your Program Officer to be sure.

8. What if my organization has developed policies on reporting, responding to, and resolving issues of harassment. Can we use hyper-links to those institutional policies and reporting mechanisms (or reference them) to satisfy the SAHF Plan requirements?

   Resource materials may be referenced; however, the SAHF Plan must be a complete stand-alone document and must be specific to the project proposed. Please summarize the pieces of the organizational plans that are relevant to your project.

Review of the SAHF Plan

1. How will the SAHF Plan be reviewed?

   The SAHF Plan is considered as part of the Broader Impacts review criterion. Reviewers will also be asked to evaluate the following:

   • Is there a compelling plan (including the procedures, trainings, and communication processes) to establish, nurture, and maintain harassment-free off-campus or off-site working environment(s)?
   • Does the proposed plan identify and adequately address the unique challenges for the team and the specific off-campus or off-site setting(s)?
   • Are the organizational mechanisms to be used for reporting, responding to, and resolving issues of harassment, should they occur, clearly outlined?

2. Why is the SAHF Plan considered as part of the Broader Impacts criterion?

   The required submission and review of the SAHF Plan is one more way that the NSF aims to ensure that all people engaged in science, wherever science is conducted, are safe, and that the working environment is harassment free for all.

3. Will the NSF be posting examples of promising SAHF Plans?

   No, however the NSF is willing to accept proposals, including workshop proposals, supporting the development and assessment of high-quality safe and harassment-free plans and practices.