Non-Discrimination Statutes and Regulations 1. General

a. A number of statutes prohibit NSF grantees from discriminating against individuals who participate in any of their programs, services, and activities. These statues include: Title VI of the Civil Rights Act of 1964 (prohibits discrimination on the basis of race, color, or national origin); Section 504 of the Rehabilitation Act of 1973 (prohibits discrimination on the basis of disability); Title IX of the Educational Amendments of 1972 (prohibits discrimination on the basis of sex in Federally assisted education programs or activities); and the Age Discrimination Act of 1975 (prohibits discrimination on the basis of age). In addition to statutory prohibitions, Executive Order (E.O.) 11246 bars various types of discriminatory employment practices under grants for construction, and E.O. 13166 “Improving Access to Services for Persons with Limited English Proficiency (LEP)” requires government agencies to take steps to provide meaningful access to its programs and activities to members of the public who are limited in their English proficiency, including recipients’ programs and activities. The following sections discuss the application of each of these Statutes and E.O. 11246 and E.O. 13166 to NSF grantees.

b. When an NSF grantee receives a complaint alleging discrimination under any of these statutes and the complainant requests that NSF conduct the investigation, the original complaint is to be sent to the Director, Office of Diversity and Inclusion (ODI), National Science Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314 or email to ProgramComplaints@nsf.gov.

Information on the complaint process can be found at https://www.nsf.gov/od/odi/awardee_civil_rights/index.jsp. The complainant may also use the grantee’s internal discrimination complaint process. Such processes are required for NSF grantees to implement under Title IX for sex discrimination complaints, including sexual harassment and under Section 504 for disability discrimination complaints. Grantees are prohibited by these regulations from engaging in acts of intimidation, coercion or retaliation against: a) any person who attempts to assert a right protected by these statutes and their implementing regulations; or b) cooperates in any part of NSF’s review, investigation and compliance resolution or enforcement process.

c. NSF proposers and grantees are required under these regulations to keep records deemed pertinent to ascertain a grantee’s compliance with these regulations. It also requires the grantee to submit to NSF timely, complete and accurate reports, and in such form and containing such information, as NSF may determine to be necessary to ascertain whether the grantee has complied or is complying with these regulations.

d. NSF proposers and grantees are advised that NSF may conduct pre-award and post-award compliance reviews to ensure that the grantee is complying with NSF’s civil rights regulations. Grantees are required to provide NSF with access to information, records, grantee officials, grantee program participants, and facilities deemed pertinent by NSF to ascertain a grantee’s compliance with these regulations.

e. NSF proposers and grantees are required under these regulations to make available to its participants, beneficiaries, and other interested persons, information regarding these regulations and their applicability to the program(s) under which the grantee receives Federal financial assistance from NSF.

Proposers and grantees are also required to make such information available to these parties in such a manner as NSF finds necessary to apprise such persons of the protections against discrimination assured them by these regulations.

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f. NSF proposers and grantees may contact ODI at the address in (b) above or at 1-703-292-8020 with any questions regarding these non-discrimination statutes and their implementing NSF regulations and their applicability to their institutions’ programs, services and activities.

g. NSF Policy on Sexual Harassment, Other Forms of Harassment, or Sexual Assault

The National Science Foundation (NSF) will not tolerate sexual harassment, other forms of harassment, or sexual assault within the agency, at awardee organizations, or anywhere NSF-funded science and education are conducted.

As the primary funding agency of fundamental science and engineering research in the U.S., NSF is committed to promoting safe, productive research and education environments for current and future scientists and engineers. The Foundation considers the PI/PD and any co-PI/co-PDs(s) identified on an NSF award to be in positions of trust. The PI/PD and co-PI/co-PD and all award personnel must comport themselves in a responsible and accountable manner during the performance of award activities whether at the grantee organization, on-line, or conducted outside the organization, such as at field sites, or facilities, or during conferences and workshops.

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.

In support of this position, the Foundation has taken steps to bolster our commitment to a safe research environment, including development and implementation of an award term and condition that requires NSF to be notified: 1) of any findings/determinations regarding the PI/PD or co-PI/co-PD that demonstrate a violation of awardee codes of conduct, policies, regulations or statutes relating to sexual harassment, other forms of harassment, or sexual assault; or 2) if the awardee places the PI/PD, or co-PI/co-PD on administrative leave or imposes an administrative action relating to a finding or investigation of a violation of awardee policies, codes of conduct, statutes or regulations relating to sexual harassment, other forms of harassment, or sexual assault. See Chapter VII.B.3 for additional information on the notification process.

NSF expects all research organizations to establish and maintain clear and unambiguous standards of behavior to ensure harassment-free workplaces wherever science is conducted. NSF has developed a sexual harassment website that includes promising practices on policies, effective codes of conduct and standards of behavior, as well as Frequently Asked Questions that respond to inquiries received on this complex topic.

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.

h. Grant Condition

Each NSF grant includes as part of the grant general terms and conditions an article that implements the notification requirements and harassment policy specified above.

2. Title VI of the Civil Rights Act of 1964 a. Background

Section 602 of the Civil Rights Act of 1964 (42 USC § 2000d, et seq.) provides that no person in the U.S.

shall, on the grounds of race, color or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance. Section 602 requires that each Government agency which is empowered to extend such financial assistance issue rules or regulations implementing Title VI with respect to such programs or activities administered by the agency.

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b. NSF Regulations

NSF regulations implementing Title VI are found at 45 CFR § 611. These regulations apply to grantees, subrecipients and successors in interest. These regulations do not apply to contracts for commercially available materials and supplies, equipment or general support services.

c. Key Procedural and Programmatic Requirements

The procedures for ensuring NSF grantees’ compliance with Title VI are found at 45 CFR §§ 611.6-11.

These regulations provide for the compliance and investigative actions that NSF may initiate in order to ascertain grantees’ compliance with Title VI. These regulations also provide for the enforcement procedures to compel grantee compliance with Title VI if a grantee refuses to take corrective action for violations found during an NSF complaint investigation or compliance review. NSF’s Section 504, Title IX and Age Discrimination Act regulations incorporate by reference the Title VI compliance, investigative and enforcement procedures.

3. Section 504 of the Rehabilitation Act of 1973 a. Background

Section 504 of the Rehabilitation Act of 1973, as amended (29 USC § 794) provides that “no otherwise qualified individual with a disability in the United States...shall, solely by reason of her or his disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance....”

b. NSF Regulations

NSF regulations implementing Section 504 are found at 45 CFR § 605. With a few changes, these regulations mirror the regulations issued by the Department of Health and Human Services (DHHS) at 45 CFR § 84. These regulations also apply to subrecipients and successors in interest. These regulations do not apply to contracts for commercially available materials and supplies, equipment or general support services.

c. Key Procedural and Programmatic Requirements

NSF’s Section 504 regulations, in addition to prohibiting discrimination on the basis of disability, requires NSF grantees to designate a Section 504 coordinator, publish and adopt procedures to investigate and adjudicate complaints of internally-filed disability discrimination complaints, and notify the public of its obligation to comply with Section 504. NSF’s Section 504 regulation also requires NSF grantees to conduct a self-evaluation to determine the accessibility of its programs, services, activities and facilities, and implement modifications, implement corrective actions identified from the self-evaluation and conduct a transition plan to identify those physical elements of the NSF grantee’s facilities that are inaccessible to individuals with disabilities and require retrofit. NSF’s Section 504 regulations also require that all new construction and alterations to existing facilities are accessible to individuals with disabilities and meet current accessibility standards. See 45 CFR § 605 for all of the regulatory requirements for NSF grantees.

4. Title IX of the Education Amendments of 1972 a. Background

Subject to exceptions regarding admission policies at certain religious and military organizations, Title IX of the Education Amendments of 1972 (20 USC §§ 1681-1686) prohibits discrimination on the basis of sex in any education program or activity receiving Federal financial assistance.

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b. NSF Regulations

NSF regulations implementing Title IX are found at 45 CFR § 618. All NSF grantees who provide or operate educational programs as defined in 45 CFR 618.105 must comply with Title IX. These regulations also apply to subrecipients and successors in interest who operate such educational programs. These regulations do not apply to contracts for commercially available materials and supplies, equipment or general support services.

c. Key Procedural and Programmatic Requirements

NSF’s Title IX regulations, in addition to prohibiting discrimination on the basis of sex in education programs, requires NSF grantees to designate a Title IX coordinator, publish and adopt procedures to investigate and adjudicate complaints of internally-filed sex discrimination complaints, notify the public of its obligation to comply with Title IX, conduct a self-evaluation to determine whether its programs, services, activities and facilities comply with Title IX and implement corrective actions identified from the self-evaluation. See 45 CFR § 618 for all of the regulatory requirements for NSF grantees under Title IX.

5. Age Discrimination Act of 1975 a. Background

The Age Discrimination Act of 1975, as amended (42 USC § 6101 et seq.), provides that pursuant to regulations issued by DHHS “no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity receiving Federal financial assistance.”

b. NSF Regulations

NSF regulations implementing the Age Discrimination Act are found at 45 CFR § 617. These regulations also apply to subrecipients and successors in interest. These regulations do not apply to contracts for commercially available materials and supplies, equipment or general support services.

c. Key Procedural and Programmatic Requirements

NSF’s Age Discrimination Act regulations, in addition to prohibiting discrimination on the basis of age in education programs, requires NSF grantees conduct a self-evaluation to determine each recipient shall identify all age distinctions it uses and justify each age distinction it imposes on the program or activity receiving Federal financial assistance from NSF. See 45 CFR § 617 for all of the regulatory requirements under the Age Discrimination Act for NSF grantees.

6. Equal Employment Opportunity under E.O. 11246 a. Background

E.O. 11246, as amended, requires contractors and subcontractors performing Federally assisted construction projects to provide equal opportunity, without regard to race, color, religion, sex or national origin, to persons employed or seeking employment with them. This E.O. may apply to some NSF grants for construction. E.O. 11246 is enforced by the U.S. Department of Labor’s Office of Federal Contract Compliance Programs.

b. Grant Condition

In instances when E.O. 11246 is applicable, the grant will include an equal opportunity clause in conformance with regulations issued by the Secretary of Labor at 41 CFR § 60.

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7. Limited English Proficiency under E.O. 13166 a. Background

E.O. 13166 requires Federal agencies and NSF grantees to take steps to provide meaningful access to its programs and activities to program participants who are limited English proficient (LEP). The failure to ensure that LEP persons can effectively participate in or benefit from Federally-assisted programs and activities may violate the prohibition under Title VI of the Civil Rights Act of 1964 and NSF’s Title VI implementing regulations against national origin discrimination. The U.S. Department of Justice has published guidance to assist NSF grantees in their efforts to comply with Title VI when providing LEP individuals with access to recipient programs, services and activities.

b. Grant Condition

In instances when E.O. 13166 is applicable, NSF grantees should contact NSF’s LEP Coordinator within the Office of Diversity and Inclusion for guidance at 2415 Eisenhower Avenue, Alexandria, VA 22314.