Sexual Harassment in STEM Research: Agencies Have Taken Actions, but Need Complaint Procedures, Overall Plans, and Better Collaboration
GAO-20-187
Published: Mar 19, 2020. Publicly Released: Mar 19, 2020.
Fast Facts
Federal agencies must enforce Title IX—which prohibits sex discrimination, including sexual harassment—at universities receiving federal financial assistance. We looked at 5 agencies funding science, technology, engineering, and mathematics (STEM) research and found:
4 of 5 agencies received 3 or fewer complaints over the last 5 years
2 of 5 agencies lack or have outdated complaint procedures
None of the 5 agencies have goals and an overall plan to evaluate all prevention efforts
Our recommendations include establishing or updating agency complaint procedures and establishing goals and an overall plan for sexual harassment prevention.
A person wearing laboratory gear pours liquid into vials
Highlights
What GAO Found
The five agencies GAO reviewed provided approximately 80 percent of federal science, technology, engineering, and mathematics (STEM) research grants since fiscal year 2015. From fiscal year 2015 through 2019, four of the five agencies received few complaints—including sexual harassment—under Title IX from individuals at universities. Inconsistent with federal regulations implementing Title IX, two of the agencies—the Departments of Energy (DOE) and Agriculture (USDA)—lack finalized procedures for complaints and thus cannot ensure they are consistently handling complaints. Sex-discrimination concerns—including sexual harassment—can also be raised by individuals outside of the Title IX complaint process (see table). However, only two agencies—the National Science Foundation (NSF) and Department of Health and Human Services (HHS)—publicly communicate the option to notify them of concerns. The other three—DOE, the National Aeronautics and Space Administration (NASA), and USDA—received no concerns in fiscal year 2019 and may be missing opportunities to obtain information for Title IX oversight.
Number of Title IX Complaints and Sex Discrimination Concerns Received by Agencies
| Agency | DOE | HHS | NASA | NSF | USDA | Total |
|
Title IX Complaints, |
2 |
1 |
3 |
33 |
1 |
40 |
|
Sex Discrimination Concerns, |
0 |
93b |
0c |
47 |
0 |
140 |
Source: GAO analysis of information for fiscal years (FY) 2015 through 2019 from Department of Energy (DOE); Department of Health and Human Services (HHS); NASA; National Science Foundation (NSF); and Department of Agriculture (USDA) as well as interviews with agency officials. I GAO-20-187
Note: In fiscal years 2018 and 2019, three agencies received the same complaint. GAO counted it as a complaint for all three agencies.
aAgencies receive sex-discrimination concerns—including sexual harassment—outside of the Title IX complaint process.
bHHS's National Institutes of Health receives sex discrimination concerns—information not processed or investigated under Title IX—including sexual harassment concerns.
cOfficials stated that NASA received one concern in FY 2019; however, it did not involve a university.
All five agencies have established grantee sexual harassment prevention efforts beyond those required by Title IX. However, none of the agencies have goals and plans for all of their efforts, and thus they lack clear ways to evaluate how well these efforts are working and to identify any needed improvements. They may also be missing opportunities to coordinate and integrate prevention activities.
Additionally, the Department of Justice (DOJ) reconstituted an interagency discussion group on Title IX in 2016, where all five agencies share information about their activities. However, DOJ has not fully adopted two leading practices for collaboration: agreeing on agency roles and responsibilities and developing mechanisms to monitor, evaluate, and report collaborative efforts. Officials at one agency said clarifying agencies' roles and responsibilities would improve the group. Adopting leading practices would help enhance and sustain collaboration.
Why GAO Did This Study
Sexual harassment is degrading and illegal. Studies show it has a negative effect on the ability of women to engage in research at the same level as men. Title IX prohibits sexual harassment and other forms of sex discrimination in education programs that receive federal funding, and federal agencies are required to enforce the law at universities they fund. In fiscal year 2018, the most recent year for which data were available during GAO's review, U.S. universities were awarded about $27 billion in federal grants for STEM research. GAO was asked to review federal efforts to help prevent sexual harassment at universities that receive such grants.
This report examines, among other things, (1) how selected federal agencies receive, investigate, and resolve Title IX complaints; (2) the extent to which selected agencies have established an overall plan for their sexual harassment prevention efforts for university grantees, including for communicating and evaluating these efforts and (3) the extent to which selected agencies collaborate on efforts to prevent sexual harassment at universities they fund for STEM research. GAO reviewed agencies' relevant regulations and documentation and interviewed agency officials.
Recommendations
GAO is making 17 recommendations to the five agencies funding STEM research and DOJ, including to finalize and publish complaint procedures, establish goals and an overall plan for prevention efforts, and fully adopt two collaboration leading practices. The agencies agreed with GAO's recommendations and identified actions they plan to take to address them.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of Agriculture | The Secretary of the Department of Agriculture should direct the Assistant Secretary for Civil Rights to publicize promising practices for Title IX compliance on its websites for their university grantees. (Recommendation 1) |
USDA agreed with the recommendation. In letters drafted in March and December 2020, USDA provided a variety of ways in which the department intends to respond to GAO's recommendation-including ensuring promising practices information is posted to websites for the Office of the Assistant Secretary for Civil Rights and the National Institute of Food and Agriculture. As of November 2023, USDA had publicized promising practices for Title IX compliance on its website.
|
| Office of the Secretary of the Department of Energy | The Secretary of Energy should direct the Director of the Office of Economic Impact and Diversity to publicize promising practices for Title IX compliance on its websites for their university grantees. (Recommendation 2) |
DOE agreed with the recommendation. In June 2021, DOE's Office of Economic Impact and Diversity, Office of Civil Rights (OCR) reported that it had developed a publication on Title IX Promising Practices and OCR published the document on the OCR Title IX webpage for their university grantees.
|
| Office of the Secretary for HHS | The Secretary of the Department of Health and Human Services should direct the Director for the Office for Civil Rights to publicize a stand-alone list of promising practices for Title IX compliance on its websites for their university grantees. (Recommendation 3) |
HHS agreed with the recommendation. According to HHS documentation, as of October 2020, the Office for Civil Rights (OCR) produced and posted a stand-alone list of effective practices for Title IX compliance on its Sex-Based Harassment webpage. This list includes a link to OCR's settlement agreement with Michigan State University and, according to agency officials, the agreement serves as a model for specific actions universities should consider taking to prevent sexual harassment. According to officials, after the stand-alone list was completed, OCR distributed it through its civil rights listserv to all Title IX compliance coordinators at National Institutes of Health-funded universities, posted it to its webpage, and added it as a resource in OCR's sex discrimination investigator training materials. The effective practices list serves as a technical assistance and outreach tool for NIH-funded universities.
|
| Office of the Secretary of the Department of Energy | The Secretary of Energy should direct the Director of the Office of Economic Impact and Diversity to finalize and publish Title IX complaint procedures, consistent with DOJ's regulations. (Recommendation 4) |
DOE agreed with the recommendation. In June 2021, DOE's Office of Civil Rights (OCR) reported that it had developed a Title IX Complaint Procedures Manual, which it published on November 12, 2020. OCR publicized the manual on its external civil rights "How to File a Complaint of Discrimination" webpage. According to officials, the Manual was also shared and reviewed with the OCR staff responsible for carrying out external civil rights compliance and enforcement functions, including those in the area of Title IX.
|
| Department of Agriculture | The Secretary of the Department of Agriculture should direct the Assistant Secretary for Civil Rights to finalize and publish revised Title IX complaint procedures. (Recommendation 5) |
USDA agreed with the recommendation to finalize and publish Title IX complaint procedures. In July 2021, the department issued USDA's Departmental Regulation (DR) 4330-002, Nondiscrimination in Program and Activities Receiving Federal Financial Assistance from USDA, which outlines procedures for Title IX administrative complaints filed with the Department in any program or activity receiving financial assistance from USDA. According to department documentation and officials, USDA took several additional efforts-including USDA's Office of the Assistant Secretary for Civil Rights and the National Institute of Food and Agriculture ensuring information regarding Title IX complaint procedures is posted on its websites.
|
| Department of Agriculture | The Secretary of the Department of Agriculture should direct the Assistant Secretary for Civil Rights to clarify on its website that individuals on USDA-funded grants can file Title IX complaints through the Assistant Secretary for Civil Rights—including clarifying who is considered "customers." (Recommendation 6) |
USDA agreed with the recommendation. By May 2022, the department ensured clarifying language was posted on both websites-Office of the Assistant Secretary for Civil Rights (OASCR) and NIFA- indicating that individuals on USDA-funded grants may file Title IX complaints through the OASCR. The clarifying language on a USDA customer was also included on the OASCR's website.
|
| Office of the Secretary for HHS | The Secretary of the Department of Health and Human Services should direct the Director for the Office for Civil Rights to assess the feasibility of receiving and reviewing concerns of sex discrimination—including sexual harassment—and communicating to individuals on agency-funded grants the option to notify the agency of these concerns, outside of the Title IX complaint process. (Recommendation 7) |
HHS agreed with the recommendation. In September 2020, OCR and NIH signed a memorandum of understanding to promote information sharing with regard to concerns about sexual harassment in NIH-funded programs. According to HHS officials, as of October 2020, NIH granted HHS's Office for Civil Rights (OCR) access to matters in the NIH Research Misconduct Allegation and Reporting System (RMARS) related to sexual harassment reports received outside the Title IX complaint process at NIH-funded institutions. OCR's access allows retrieval of referrals and files from NIH. OCR may exercise its enforcement discretion to open a compliance review to investigate reports of sexual harassment under Title IX or other civil rights authorities, and if applicable, coordinate with NIH to resolve compliance concerns that also violate grant requirements. Moreover, the NIH Notification Portal provides links for visitors to report concerns about sexual harassment to NIH and also provides links that visitors can use to file complaints of sexual harassment directly with OCR. If NIH receives a report alleging facts that, if taken as true, would violate HHS civil rights authorities, NIH will forward such reports to OCRMail@hhs.gov or to OCR's Complaint Portal. Neither OCR nor NIH portals require complainants to file a complaint with their university before filing with HHS. According to HHS officials, OCR and NIH updated the civil rights compliance section of NIH funding announcements to specifically identify authorities that require recipients of HHS funds to administer their programs in an environment free of sex discrimination and harassment, according to agency documentation and officials. The compliance section also includes several links to OCR and NIH webpages that provide more information on civil rights and NIH program obligations related to sexual harassment, including links that allow filing complaints of sexual harassment directly with OCR or making reports of sexual harassment outside the Title IX university complaint process directly to NIH.
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| Office of the Secretary of the Department of Energy | The Secretary of Energy should direct the Director of the Office of Economic Impact and Diversity to assess the feasibility of receiving and reviewing concerns of sex discrimination—including sexual harassment—and communicating to individuals on agency-funded grants the option to notify the agency of these concerns, outside of the Title IX complaint process. (Recommendation 8) |
DOE agreed with the recommendation. In May 2021, officials stated that the department has given due consideration to this recommendation, to include benchmarking with other agencies, and concluded that related to these "concerns" the department will: 1) evaluate each individual concern and determine whether any additional steps should be taken which may include informing the selection of an institution for a compliance review; and 2) will evaluate each individual concern to determine if it is appropriate to share it with the program office that has funded the institution for them to take any action as they see fit.
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| National Aeronautics and Space Administration | The Administrator of NASA should assess the feasibility of receiving and reviewing concerns of sex discrimination—including sexual harassment—and communicating to individuals on agency-funded grants the option to notify the agency of these concerns, outside of the Title IX complaint process. (Recommendation 9) |
NASA agreed with the recommendation. NASA benchmarked similarly situated agencies, such as the National Science Foundation and the National Institutes of Health, on the feasibility of addressing questions or concerns raised outside of the Title IX complaint process relating to discrimination or harassment, according to officials. Based on this assessment, as of October 2020, NASA added information on reporting discrimination and harassment to its Mission-STEM website. Under "raising a question or concern" on this website, the agency provides a telephone number and email address for beneficiaries of NASA-funded STEM educational or other NASA-funded programs who wish to raise a question or concern relating to discrimination or harassment. Furthermore, the agency describes the process once a concern or question is received: (1) NASA will inform the individual of the right to file a complaint using the process outlined on the above section of the Web site, (2) If the individual does not wish to file a complaint, NASA will assess the concern to determine what, if any, additional steps may be taken. For example, NASA can use information received from beneficiaries in assessing civil rights compliance of grant recipient institutions, and (3) Information provided by beneficiaries raising questions or concerns will be maintained in accordance with the Privacy Act of 1974. NASA will store the information regarding concerns in a secure shared drive in a database that will also be used to assist in selecting recipient institutions for compliance review activity-including comparing information from concerns with the NASA database showing complaint activity.
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| Department of Agriculture | The Secretary of the Department of Agriculture should direct the Assistant Secretary for Civil Rights to assess the feasibility of receiving and reviewing concerns of sex discrimination—including sexual harassment—and communicating to individuals on agency-funded grants the option to notify the agency of these concerns, outside of the Title IX complaint process. (Recommendation 10) |
USDA agreed with the recommendation. In February 2021, according to USDA documentation, the department created a tracking system to capture inquiries and concerns outside of the Title IX complaint process. According to officials, if feasible, the system will serve as a risk assessment tool to identify issues, potential violations, trends, risks, and areas prime for focused compliance review. The department sent emails to universities advising them that in addition to notifying NIFA Equal Opportunity Staff within three business days of any administrative or disciplinary action taken as related to sexual harassment concerns and/or complaints in a NIFA-funded program or activity, universities should also submit any Title IX concerns, reports, allegations to NIFA Equal Opportunity Staff as well in the same manner. In addition, USDA provided them with a spreadsheet to document informal and formal complaints.
|
| Office of the Secretary for HHS | The Secretary of the Department of Health and Human Services should direct the Director for the Office for Civil Rights and the Director of NIH to develop and implement formal procedures for sharing relevant information about Title IX (compliance reviews, violations, and complaints) and sex discrimination concerns, including sexual harassment. For example, HHS components should internally share information regarding findings of Title IX violations, concerns of sex discrimination, including sexual harassment, and Title IX compliance review reports. (Recommendation 11) |
HHS agreed with the recommendation. HHS's Office for Civil Rights (OCR) and NIH signed a memorandum of understanding in September 2020 to formally establish increased information sharing between agencies to ensure relevant information about Title IX enforcement and sexual harassment concerns are appropriately addressed in NIH-funded programs. In the context of Title IX enforcement, OCR and NIH share information about grantees that is relevant to establish civil rights jurisdiction, and to set the scope for investigations and compliance reviews of universities that receive NIH funds, according to HHS officials. Finally, OCR also posts its findings on Title IX cases on its website, which is accessible to the public, and issues announcements of Title IX agreements through its civil rights listserv. According to agency officials, NIH's Office of Extramural Research (OER) and many external stakeholders receive OCR's civil rights listserv announcements. OCR and OER will continue to coordinate information sharing to ensure HHS is aware of and takes steps to protect against sexual harassment in NIH funded universities.
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| Office of the Secretary of the Department of Energy | The Secretary of Energy should establish goals and an overall plan to assess all of the agency's sexual harassment prevention efforts for their university grantees, including methods to regularly monitor and evaluate its sexual harassment prevention policies and communication mechanisms (e.g. Title IX or sex discrimination websites). (Recommendation 12) |
DOE agreed with the recommendation. In March and May 2021, DOE officials stated that the department has identified four specific goals to improve sexual harassment prevention efforts at grantee institutions. The four goals are as follows: 1) assess and improve the the assurance process for federal financial assistance recipients; 2) develop Title IX technical assistance for DOE employees and federal financial assistance recipients; 3) issue a Title IX policy statement; and 4) assess communication efforts and develop a plan to improve communication to educational institutions on the requirements of Title IX. According to the department, DOE's project plan to complete the four goals has been finalized. However, as of September 2024, GAO has not received DOE's project plan. GAO will review the agency's plan and goals when received.
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| Office of the Secretary for HHS | The Secretary of the Department of Health and Human Services should establish goals and an overall plan to assess all of the agency's sexual harassment prevention efforts for their university grantees, including methods to regularly monitor and evaluate its sexual harassment prevention policies and communication mechanisms (e.g. Title IX or sex discrimination websites). (Recommendation 13) |
HHS agreed with the recommendation. HHS-NIH created goals for all NIH grantee sexual harassment prevention efforts and as of October 2020, HHS-NIH and HHS's Office for Civil Rights (OCR) developed and implemented an overall plan to: (1) assess HHS efforts to promote sexual harassment prevention efforts at NIH-funded universities, and (2) assess methods to regularly monitor and evaluate the grant and enforcement policies and communication mechanisms employed by NIH and OCR under their respective civil rights and grant authorities to promote the prevention of sexual harassment at NIH-funded universities. In July 2022, according to an NIH official, HHS continued to monitor and evaluate its sexual harassment prevention policies and communication mechanisms. According to documentation the official provided, as of July 2022, NIH implemented a provision in the 2022 Consolidated Appropriations Act that mandates the NIH Director to require NIH-funded institutions to report to NIH when individuals identified as principal investigator or as key personnel in an NIH notice of award are removed from their position or are otherwise disciplined due to concerns about harassment, bullying, retaliation, or hostile working conditions. To implement this provision NIH began requiring the authorized organization representative at NIH-funded institutions to notify NIH within 30 days of the removal or disciplinary action. Additionally, beginning with applications submitted for an April 2022 due date, NIH is requiring grantees to have a safety plan for conference grants. As of April 2024, NIH continues to require notifications by NIH grant recipients to notify the agency when their senior key personnel on awards are removed from their position or are otherwise disciplined due to concerns about harassment, among other things, and monitors this effort by tracking notifications and responding when needed. Based on HHS's collective actions, the department has met the intent of the recommendation.
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| National Aeronautics and Space Administration | The Administrator of NASA should establish goals and an overall plan to assess all of the agency's sexual harassment prevention efforts for their university grantees, including methods to regularly monitor and evaluate its sexual harassment prevention policies and communication mechanisms (e.g. Title IX or sex discrimination websites). (Recommendation 14) |
NASA agreed with the recommendation. In April 2021, NASA developed an action plan for assessing the agency's harassment prevention efforts among NASA grant recipient research institutions (grantees). According to the agency, the plan provides a blueprint that among other things outlines specific, meaningful, and sustained strategies, actions, and performance measurements, such as (1) delivering clear and precise requirements and recommendations for compliance based on each civil rights compliance review, (2) organizing conferences and events to provide training and share promising practices, (3) outlining agency policies and procedures online, and (4) soliciting open and honest feedback from grantees and stakeholders while internally monitoring agency progress. NASA also developed metrics to evaluate and report performance on agency actions: (1) number of statutorily required or additional external (grantee) civil rights compliance reviews, (2) percentage of corrective actions or recommendations implemented by grantees, (3) civil rights assurance form reporting, and (4) quality assessment of the civil rights compliance review process. As of June 2021, NASA stated that as a member of the Office of Science and Technology Policy's Safe and Inclusive Research Environments (SIRE) Subcommittee, the agency continues to be a full participant along with other member agencies in the development of a Federally-coordinated action plan (FCAP). SIRE is developing this plan to present a Government-wide approach to addressing harassment in the research environment, including a design for collecting evidence on effective strategies that will allow the Government to better track the issue, and ensure consistency in future Federal agency and grantee actions. The FCAP focuses on coordinated Federal agency action as well as grantee civil rights requirements and best practices, for example, institutional anti-harassment programs modelled on those required for Federal agencies by the U.S. Equal Employment Opportunity Commission.
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| National Science Foundation | The Director of NSF should establish goals and an overall plan to assess all of the agency's sexual harassment prevention efforts for their university grantees, including methods to regularly monitor and evaluate its sexual harassment prevention policies and communication mechanisms (e.g. Title IX or sex discrimination websites). (Recommendation 15) |
NSF agreed with the recommendation. In June 2021, according to NSF, the agency developed an initial plan to evaluate its anti-harassment policies, including sexual harassment, and communication mechanisms. This initial plan led to the development of two questions and study plans included in the NSF interim learning agenda submitted to the Office of Management and Budget in September 2020. NSF planned for the findings of both studies--one focused on the terms and conditions and the other on the conference policy--to be used to define the next phases in the evaluation of NSF's anti-sexual harassment efforts. According to an August 2022 NSF update, evaluation of NSF's harassment prevention efforts focused on the Harassment Notification Term and Condition and the conference policy. NSF provided documentation of its Phase I evaluation, issued in June 2022, which focused on the communication of the Term and Condition. According to NSF's update, its analysis showed that, on average, universities submitting proposals to NSF have adopted an anti-harassment policy and disseminate it through their websites. NSF planned to evaluate its efforts in phases over a multi-year period. As of April 2024, according to the agency's fiscal year 2025 budget request, NSF has implemented the next phase of its evaluation beginning in late 2022 by tasking an external expert team to assess the awareness and perspective of NSF awardee organizations. These efforts include conducting semi-structured interviews with authorized organizational representatives, Title IX coordinators, and Principal Investigators and deploying a large survey. NSF is currently assessing the results of these efforts and will assist the agency in completing this monitoring phase by the end of fiscal year 2024. Based on NSF's collective actions to create a plan and monitor efforts to prevent sexual harassment, the agency has fulfilled the recommendation.
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| Department of Agriculture | The Secretary of the Department of Agriculture should establish goals and an overall plan to assess all of the agency's sexual harassment prevention efforts for their university grantees, including methods to regularly monitor and evaluate its sexual harassment prevention policies and communication mechanisms (e.g. Title IX or sex discrimination websites). (Recommendation 16) |
USDA agreed with the recommendation. On October 30, 2023, USDA issued a Civil Rights Performance Assessment (CRPA), which includes Title IX compliance questions to its mission areas, agencies, and select staff offices to assess, regularly monitor, and evaluate agency sexual harassment prevention efforts for university grantees (such efforts include Title IX enforcement, sexual harassment prevention efforts, and requests to report Title IX concerns or complaints) and increase communications. This is an annual requirement, according to USDA. On October 4, 2023, the Deputy Assistant Secretary for Civil Rights informed USDA Agency Heads and Staff Office Directors of the expanded USDA Title IX program including that a Title IX letter of information be sent to university recipients of USDA funding informing each recipient of USDA's Title IX program, webpage, "And Justice for All - Title IX" poster, and increased compliance and oversight.
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| Office of the Assistant Attorney General for Administration | In consultation with DOE, HHS, NASA, NSF, and USDA, the Assistant Attorney General for the Department of Justice should direct the responsible Civil Rights Division sections to fully adopt two federal interagency leading practices—agree on agency's roles and responsibilities and develop mechanisms to monitor, evaluate, and report results of collaborative efforts, for its Quarterly Title IX STEM discussion group. (Recommendation 17) |
DOJ generally agreed with the recommendation. As of April 2021, DOJ's Civil Rights Division (CRT) developed and documented agencies' roles and responsibilities within the Quarterly Title IX STEM Discussion Group including a process for monitoring, and reporting on the group's collaborations in enforcing Title IX. According to the department's documentation, DOJ-CRT will continue quarterly group meetings; take attendance; set aside time during each quarterly meeting for questions and discussion; and provide feedback on agencies' collaborative Title IX efforts. DOJ will also provide a digital interagency platform for agencies to share information on upcoming Title IX compliance reviews and post agencies' past reviews and public compliance reports. Finally, DOJ-CRT will provide separate smaller group discussions or one-on-one assistance to agencies on Title IX compliance reviews and investigations, as time and resources permit.
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