[Federal Register Volume 83, Number 184 (Friday, September 21, 2018)]
[Notices]
[Pages 47940-47942]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-20574]


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NATIONAL SCIENCE FOUNDATION


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

AGENCY: National Science Foundation.

ACTION: Final Notice of a new NSF term and condition regarding sexual 
harassment, other forms of harassment, and sexual assault.

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SUMMARY: NSF is publishing, in final form, a new term and condition 
regarding sexual harassment, other forms of harassment, and sexual 
assault. NSF's intention to develop and implement this new term and 
condition was specified in Important Notice No. 144, dated February 8, 
2018.
    The National Science Foundation (NSF) will not tolerate sexual 
harassment, other forms of harassment, or sexual assault within the 
agency, at awardee organizations, field sites, or anywhere NSF-funded 
science and education is conducted. The 3,000 U.S. institutions of 
higher education and other organizations that receive NSF funds are 
responsible for fully investigating complaints and for compliance with 
federal non-discrimination laws, regulations, and executive orders. 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.

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    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.

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 award period of performance whether at 
the awardee institution, on-line, or outside the organization, such as 
at field sites or facilities, or during conferences and workshops.
    On March 5, 2018, NSF published a request for public comment 
regarding the agency's proposed implementation of new notification 
requirements specified in Important Notice No. 144. [83 FR 9342, pages 
9342-9343, March 5, 2018]. All comments were carefully considered in 
developing the final version of the term and condition. A table listing 
the comments and NSF responses is posted on the NSF website at: 
www.nsf.gov/harassment.
    Upon implementation, the new term and condition will require 
awardee organizations to notify NSF of any findings/determinations of 
sexual harassment, other forms of harassment, or sexual assault 
regarding an NSF funded PI or co-PI. The new term and condition also 
will require the awardee to notify NSF if the PI or co-PI is placed on 
administrative leave or if the awardee has imposed any administrative 
action on the PI or any co-PI relating to any finding/determination or 
an investigation of an alleged violation of awardee policies or codes 
of conduct, statutes, regulations, or executive orders relating to 
sexual harassment, other forms of harassment, or sexual assault. 
Finally, the award term and condition specifies the procedures that 
will be followed by NSF upon receipt of a notification.
    The full text of the revised term and condition is provided below:

Article X: Notification Requirements Regarding Sexual Harassment, Other 
Forms of Harassment, or Sexual Assault

    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 award 
period of performance, whether at the awardee institution, on-line, or 
at locales such as field sites, facilities, or conferences/workshops.
    For purposes of this term and condition, the following definitions 
apply:
    Sexual harassment: May include but is not limited to gender or sex-
based harassment, unwelcome sexual attention, sexual coercion, or 
creating a hostile environment, as set forth in organizational policies 
or codes of conduct, statutes, regulations, or executive orders.
    Other Forms of Harassment: Non-gender or non-sex-based harassment 
of individuals protected under federal civil rights laws, as set forth 
in organizational policies or codes of conduct, statutes, regulations, 
or executive orders.
    Finding/Determination: The final disposition of a matter involving 
sexual harassment or other form of harassment under organizational 
policies and processes, to include the exhaustion of permissible 
appeals exercised by the PI or co-PI, or a conviction of a sexual 
offense in a criminal court of law.
    Administrative Leave/Administrative Action: Any temporary/interim 
suspension or permanent removal of the PI or co-PI, or any 
administrative action imposed on the PI or co-PI by the awardee under 
organizational policies or codes of conduct, statutes, regulations, or 
executive orders, relating to activities, including but not limited to 
the following: teaching, advising, mentoring, research, management/
administrative duties, or presence on campus.
    The awardee is required to notify NSF of: (1) Any finding/
determination regarding the PI or any co-PI \1\ that demonstrates a 
violation of awardee policies or codes of conduct, statutes, 
regulations, or executive orders relating to sexual harassment, other 
forms of harassment, or sexual assault; and/or (2) if the PI or any co-
PI is placed on administrative leave or if any administrative action 
has been imposed on the PI or any co-PI by the awardee relating to any 
finding/determination or an investigation of an alleged violation of 
awardee policies or codes of conduct, statutes, regulations, or 
executive orders relating to sexual harassment, other forms of 
harassment, or sexual assault.\2\ Such notification must be submitted 
by the Authorized Organizational Representative (AOR) to NSF's Office 
of Diversity and Inclusion at www.nsf.gov/harassment within ten 
business days from the date of the finding/determination, or the date 
of the placement of a PI or co-PI by the awardee on administrative 
leave or the imposition of an administrative action, whichever is 
sooner.\3\ Each notification must include the following information:
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    \1\ If a co-PI is affiliated with a subawardee organization, the 
Authorized Organizational Representative of the subawardee must 
provide the requisite information directly to NSF, as instructed in 
this paragraph.
    \2\ Awardee findings/determinations and placement of a PI or co-
PI on administrative leave or the imposition of an administrative 
action must be conducted in accordance with organizational policies 
and processes. They also must be conducted in accordance with 
federal laws, regulations, and executive orders.
    \3\ Such notification must be provided regardless of whether the 
behavior leading to the finding/determination, or placement on 
administrative leave, or the imposition of an administrative action 
occurred while the PI or co-PI was carrying out award activities.
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     NSF Award Number;
     Name of PI or co-PI being reported; \4\
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    \4\ Only the identification of the PI or co-PI is required. 
Personally identifiable information regarding any complainants or 
other individuals involved in the matter must not be included in the 
notification.
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     Type of Notification: Select one of the following:
    [cir] Finding/Determination that the reported individual has been 
found to have violated awardee policies or codes of conduct, statutes, 
regulations, or executive orders relating to sexual harassment, other 
forms of harassment, or sexual assault; or
    [cir] Placement by the awardee of the reported individual on 
administrative leave or the imposition of any administrative action on 
the PI or any co-PI by the awardee relating to any finding/
determination or an investigation of an alleged violation of awardee 
policies or codes of conduct, statutes, regulations, or executive 
orders relating to sexual harassment, other forms of harassment, or 
sexual assault.
     Description of the finding/determination and action(s) 
taken, if any; and
     Reason(s) for, and conditions of, placement of the PI or 
any co-PI on

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administrative leave or imposition of administrative action.
    The awardee, at any time, may propose a substitute investigator if 
it determines the PI or any co-PI may not be able to carry out the 
funded project or activity and/or abide by the award terms and 
conditions.
    In reviewing the notification, NSF will consider, at a minimum, the 
following factors:
    a. The safety and security of personnel supported by the NSF award;
    b. The overall impact to the NSF-funded activity;
    c. The continued advancement of taxpayer-funded investments in 
science and scientists; and
    d. Whether the awardee has taken appropriate action(s) to ensure 
the continuity of science and that continued progress under the funded 
project can be made.
    Upon receipt and review of the information provided, NSF will 
consult with the AOR, or designee. Based on the results of this review 
and consultation, the Foundation may, if necessary, assert its 
programmatic stewardship responsibilities and oversight authority to 
initiate the substitution or removal of the PI or any co-PI, reduce the 
award funding amount, or where neither of those previous options is 
available or adequate, to suspend or terminate the award.
    Other personnel supported by an NSF award must likewise remain in 
full compliance with awardee policies or codes of conduct, statutes, 
regulations, or executive orders 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 and security of other award personnel and the 
continued progress of the funded project. Notification of these actions 
is not required under this term and condition.

End of Article X

    Implementation: NSF will incorporate the new term and condition 
into 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. These 
revised terms and conditions will become effective thirty days from the 
date of publication in the Federal Register.
    Awardees are strongly encouraged to conduct a thorough review of 
the term and condition to determine whether the new requirements 
necessitate any changes to the institution's policies and procedures. 
The new term and condition will be effective for any new award, or 
funding amendment to an existing award, made on or after the effective 
date. For these purposes, this means that any finding/determination, 
placement on administrative leave or the imposition of any 
administrative action by the institution made on or after the start 
date of an award or funding amendment subject to the new term will 
invoke the new notification requirements.

    Dated: September 17, 2018.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2018-20574 Filed 9-20-18; 8:45 am]
 BILLING CODE 7555-01-P