83 FR 9342 - Reporting Requirements Regarding Findings of Sexual Harassment, Other Forms of Harassment, or Sexual Assault

NATIONAL SCIENCE FOUNDATION

Federal Register Volume 83, Issue 43 (March 5, 2018)

The National Science Foundation (NSF) is soliciting public comment on the agency's proposed implementation of the new reporting requirements specified in NSF Important Notice No. 144, dated February 8, 2018. The National Science Foundation (NSF) does not tolerate sexual harassment, or any kind of harassment, within the agency, at awardee organizations, field sites, or anywhere NSF-funded science and education are conducted. The 2,000 U.S. institutions of higher education and other organizations that receive NSF funds are responsible for fully investigating complaints and for complying with federal non-discrimination law. NSF has taken steps to help ensure research environments are free from sexual harassment. Additionally, NSF is bolstering our policies, guidelines and communications so that organizations funded by NSF clearly understand expectations and requirements. NSF is working to make certain that recipients of grants and cooperative agreements respond promptly and appropriately to instances of sexual harassment, other forms of harassment, or sexual assault. A community effort is essential to eliminate sexual and other forms of harassment in science and to build scientific workspaces where people can learn, grow and thrive.

[Federal Register Volume 83, Number 43 (Monday, March 5, 2018)]
[Notices]
[Pages 9342-9343]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-04374]


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NATIONAL SCIENCE FOUNDATION


Reporting Requirements Regarding Findings of Sexual Harassment, 
Other Forms of Harassment, or Sexual Assault

AGENCY: National Science Foundation (NSF).

ACTION: Request for public comment on new reporting requirement for 
sexual harassment, other forms of harassment, or sexual assault.

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SUMMARY: The National Science Foundation (NSF) is soliciting public 
comment on the agency's proposed implementation of the new reporting 
requirements specified in NSF Important Notice No. 144, dated February 
8, 2018.
    The National Science Foundation (NSF) does not tolerate sexual 
harassment, or any kind of harassment, within the agency, at awardee 
organizations, field sites, or anywhere NSF-funded science and 
education are conducted. The 2,000 U.S. institutions of higher 
education and other organizations that receive NSF funds are 
responsible for fully investigating complaints and for complying with 
federal non-discrimination law. NSF has taken steps to help ensure 
research environments are free from sexual harassment. Additionally, 
NSF is bolstering our policies, guidelines and communications so that 
organizations funded by NSF clearly understand expectations and 
requirements.
    NSF is working to make certain that recipients of grants and 
cooperative agreements respond promptly and appropriately to instances 
of sexual harassment, other forms of harassment, or sexual assault. A 
community effort is essential to eliminate sexual and other forms of 
harassment in science and to build scientific workspaces where people 
can learn, grow and thrive.

DATES: Comments must be received by May 4, 2018.

ADDRESSES: Comments should be addressed to Suzanne H. Plimpton, Reports 
Clearance Officer, Office of the General Counsel, National Science 
Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314, email 
[email protected]; telephone: (703) 292-7556; FAX (703) 292-9240. We 
encourage respondents to submit comments electronically to ensure 
timely receipt. We cannot guarantee that comments mailed will be 
received before the comment closing date. Please include ``Reporting 
Requirement Regarding Findings of Sexual Harassment, other Forms of 
Harassment, or Sexual Assault'' in the subject line of the email 
message; please also include the full body of your comments in the text 
of the message and as an attachment. Include your name, title, 
organization, postal address, telephone number, and email address in 
your message.

FOR FURTHER INFORMATION CONTACT: For any questions, comments or 
concerns regarding sexual or other forms of harassment, please contact 
the Office of Diversity and Inclusion (ODI), National Science 
Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314, email: 
[email protected]; telephone (703) 292-8020; FAX: (703) 
292-9482.

SUPPLEMENTARY INFORMATION: As the primary funding agency of fundamental 
science and engineering research in the United States, NSF is committed 
to promoting safe, productive research and education environments for 
current and future scientists and engineers. We consider the Principal 
investigator (PI) and any co-PI(s) identified on an NSF award to be in 
positions of trust. The PI, any co-PI(s) and all personnel supported by 
an NSF award must comport themselves in a responsible and accountable 
manner during the performance of award activities whether at the 
awardee institution, online, or conducted outside the organization, 
such as at field sites or facilities, or during conferences and 
workshops.
    NSF has developed a new proposed term and condition that will 
require awardee organizations to report findings/determinations of 
sexual harassment, other forms of harassment, or sexual assault, 
regarding an NSF funded PI, or any co-PI. The term and condition also 
will require the awardee to notify NSF if it places the PI or any co-PI 
on administrative leave relating to a harassment finding or 
investigation. This term and condition also will make it clear that NSF 
may take unilateral action as necessary to protect the safety of all 
awardee personnel, to include requiring the substitution or removal of 
a PI, or any co-PI, suspension or termination of an award, or a 
reduction in the funding amount. NSF is soliciting public comment on 
this new proposed term and condition, including the information 
required to be reported by the awardee, the full text of which is 
provided below:

Proposed Article X

    The Principal investigator (PI), and any co-PI(s) identified on an 
NSF award are in a position of trust. These individuals must comport 
themselves in a responsible and accountable manner during the 
performance of award activities whether at the awardee institution, on-
line, or conducted outside the organization, such as at field sites, 
facilities, or conferences/workshops. The awardee is required to notify 
NSF: (1) of any findings/determinations regarding the PI or any co-PI 
\1\ that demonstrate a violation of

[[Page 9343]]

awardee codes of conduct, policies, regulations or statutes relating to 
sexual harassment, other forms of harassment, or sexual assault; and 
(2) if the awardee places the PI, or any co-PI on administrative leave 
\2\ relating to a finding or investigation of a violation of awardee 
codes of conduct, policies, regulations or statutes relating to sexual 
harassment, other forms of harassment, or sexual assault.\3\ Such 
notification must be submitted by the Authorized Organization 
Representative via email to NSF's Office of Diversity and Inclusion at: 
[email protected] within seven business days from the 
date of the finding/determination or the awardee's placement of the PI 
or co-PI on administrative leave. Each notification must include the 
following information:

    \1\ If a co-PI is affiliated with a sub-awardee organization, 
the sub-awardee must provide the requisite information to the 
awardee, which will then transmit it to NSF as instructed above.
    \2\ For purposes of this term and condition, ``administrative 
leave'' includes any administrative action by the awardee that could 
impact the PI's or any co-PI's ability to fulfill their 
responsibilities on the award.
    \3\ Awardee findings/determinations and placement on 
administrative leave during investigation must have been conducted 
in accordance with organizational processes and policies that are 
consistent with federal law and regulation. See, e.g., NSF Research 
Terms and Conditions, Appendix C.
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 NSF Award Number
 Name of PI/or co-PI being reported:
 Type of Report: Select
    [cir] Finding/Determination that the reported individual has been 
found to have violated awardee codes of conduct, policies, regulations 
or statutes relating to sexual harassment, or other form of harassment, 
or sexual assault; or
    [cir] Placement by the awardee of the reported individual on 
administrative leave relating to a finding or investigation of a 
violation of awardee codes of conduct, policies, regulations or 
statutes relating to sexual harassment, or other form of harassment, or 
sexual assault.
 Description of the finding/determination and action taken, if 
any.
 Reason(s)for, and conditions of, placement of the PI or any 
co-PI on administrative leave.
 Plan for continued oversight and implementation of the project 
during the administrative leave period of the reported PI or co-PI.

    The awardee may at any time propose a substitute investigator if it 
determines the PI or any co-PI may not be able to carry out the project 
or activity and/or abide by award terms and conditions.
    Other personnel supported by an NSF award must likewise remain in 
full compliance with awardee codes of conduct, policies, regulations 
and statutes relating to sexual harassment, other forms of harassment, 
or sexual assault. With regard to any personnel not in compliance, the 
awardee must make appropriate arrangements to ensure the safety of 
other award personnel and the continued progress of the funded project.
    Taking into account the seriousness of the violation(s) and the 
importance of maintaining the safety of personnel supported by an NSF 
award, the Foundation may take unilateral action, as appropriate, to 
require the substitution or removal of the PI or any co-PI, suspension 
or termination of the award, or a reduction in the award funding 
amount.

End of Proposed Article X

    Implementation: Upon receipt and resolution of all comments, it is 
NSF's intention to implement the new term through revision of the NSF 
Agency Specific Requirements to the Research Terms and Conditions, the 
Grant General Conditions, and the Cooperative Agreement--Financial and 
Administrative Terms and Conditions. The new term and condition will be 
applied to all new NSF awards and funding amendments to existing awards 
made on or after the effective date. This new reporting requirement 
will apply to all findings/determinations that occur on or after the 
effective date of the terms and conditions. With regard to notification 
of placement on administrative leave, the awardee must notify NSF 
within seven business days from the date the awardee determines that 
placement on administrative leave is necessary.
    NSF also plans to incorporate the new award term into the next 
issuance of the NSF Proposal and Award Policies and Procedures Guide, 
as well as to implement an electronic notification capability in 
Research.gov.

    Dated: February 28, 2018.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2018-04374 Filed 3-2-18; 8:45 am]
 BILLING CODE 7555-01-P