characteristics of the population to ascertain if the regulated loan makers are granting loans to minorities only in minority areas and to nonminorities only in nonminority areas. This data can later be correlated with information on whether or not the loan was approved to determine whether or not the lending institution's acceptance or rejection of loan applications has been discriminatory.

Responsibility for ensuring civil rights compliance in housing is vested in a single agency; thus, the task of developing and implementing a comprehensive, coordinated data collection program has been substantially simplified. Although there does not exist a comprehensive civil rights data collection and analysis program in support of a HUD regulation on racial and ethnic data collection, the Department has taken the initial step of completing a study of civil rights data needs for its major programs. Recommendations resulting from this study address the needs for the allocation of adequate resources and for the development and implementation of policy standards and guidelines for the collection and use of civil rights data in major HUD programs.

Public Accommodations and Public Facilities

Title II of the Civil Rights Act of 1964 prohibits discrimination in places of public accommodations, such as hotels, restaurants and theaters; under title III of the same act, discrimination in the use of public facilities, such as publicly owned or sponsored parks, beaches, swimming pools, golf courses and the like is prohibited. Principal responsibility for enforcement of the public accommodations and public facilities provisions rests with the Department of Justice. Under title II, the Attorney General may initiate an action on his own, but under title III, the Attorney General may institute litigation only on the basis of a written, signed complaint. Efforts by the Justice Department to enforce the requirements of these titles have been concentrated on litigation; there has been little effort by the Department to seek out possible violations through the use of data collections or other means.

The provisions of titles II and III cover a broad range of public establishments. The lack of a systematic program of data collection substantially reduces the ability of the Department of Justice to monitor progress, identify problems, or enforce the law. Standards for recordkeeping by establishments subject to the provisions of these titles should be promulgated by the Department of Justice. Efforts should simultaneously be made to determine the need for and contents of a data collection system. The analysis of data provided by the establishments could

serve as a vehicle for the determination of possible violations of title II and, if the powers of the Attorney General with respect to title III are changed, the information could serve a similar purpose in determining target establishments for investigation.

Voting

The Voting Rights Act of 1965 assured the right to vote by suspending literacy tests and other discriminatory qualifications for six States overall and for 40 counties within a seventh State. Under the Voting Rights Act, the Attorney General has authority to appoint voting examiners to register individuals in cases where it does not appear that local officials are willing to do so. The Attorney General also has the duty to review and approve proposed changes in voting qualifications or procedures of any State or subdivision covered by the

act.

As amended by Public Law 94-73 in 1975, the Voting Rights Act requires the Director of the Bureau of the Census to conduct biennial surveys, in congressional election years, of registration and voting in every State or political subdivision determined to fall under the requirements of the act. Public Law 94-73 specifies that the survey shall provide, for each State or political subdivision selected, a count of citizens of voting age, the race or color and national origin of the individuals, and a determination of the extent to which such persons are registered to vote and have voted in the elections surveyed. Jurisdictions covered include:

(1) those where more than 5% of the citizens of voting age are members of a single language minority,

(2) those where less than 50% of the citizens of voting age voted in the Presidential election of 1972, and

(3) areas previously covered under the 1965 Act and recovered by the 1970 Amendments. The Congress is expected to use these data, which were collected for the first time beginning in November 1976, to judge the effect of the Voting Rights Act and to determine the need for extension or expansion of its special provisions. Any assessment of the effectiveness of the data collection and analysis must await completion of its initial application.

Education

The Office for Civil Rights (OCR) in the Department of Health, Education, and Welfare (DHEW) is responsible for monitoring federally funded public elementary and secondary school

districts and nonpublic schools benefiting from Federal programs, to ensure compliance with title VI of the Civil Rights Act of 1964 and title IX of the Education Amendments of 1972. Section 601 of title VI provides:

No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance."

Title IX of the Education Amendments of 1972 in effect amends title VI to include a similar prohibition against discrimination based on sex.

The OCR headquarters staff collects data and provides review and policy guidelines to the OCR field offices. Regional staff have the primary responsibility for conducting compliance reviews of school districts, investigating complaints, negotiating corrective action and selecting and monitoring the districts under the Emergency School Assistance Act. As a basis for targeting its efforts and establishing priorities for Federal efforts, and for determining possible cases of noncompliance, OCR conducts periodic surveys of school systems and schools. Respondents are asked for information which will enable OCR to make general assessments of the schools' compliance with title VI of the Civil Rights Act and title IX of the Education Amendments of 1972, as well as for data concerning their compliance with section 504 of the Rehabilitation Act of 1973 which provides:

No otherwise qualified handicapped individual ... shall, solely by reason of his handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.

Under a cooperative agreement, data on elementary and secondary school faculty is collected by the Equal Employment Opportunity Commission. Differing collection and processing methodologies employed by EEOC have resulted in difficulties in using the data collected. Further liaison and coordination will be required to improve the output of this cooperative venture.

In the area of higher education, OCR is likewise responsible for assuring that institutions which receive Federal support are in compliance with relevant civil rights statutes. These include the several authorities discussed above under elementary and secondary education and, in addition, titles VII and VIII of the Public Health Service Act, and Executive Order No. 11246 as amended by Executive Order No.

11375. The Comprehensive Health Manpower Training Act of 1971 and the Nurse Training Act of 1971 (titles VII and VIII of the Public Health Service Act) prohibit the extension of Federal support to any medical, health or nursing program unless the institution providing training submits satisfactory assurances that it will not discriminate on the basis of sex in the admission of individuals to its training programs. Executive Order No. 11246, which was issued in 1965 and amended in 1967, requires all institutions having contracts with the Federal Government not to discriminate in employment on the basis of race, color, sex, religion, or national origin, and to take affirmative action to ensure that equal employment practices are followed at all facilities of the contractor. The Office of Federal Contract Compliance Programs, which is responsible for the implementation of the Executive orders, has assigned DHEW the responsibility for ensuring that educational institutions are in compliance.

OCR's responsibilities in higher education include conducting compliance reviews of colleges and universities, negotiating appropriate corrective action, investigating individual complaints of discrimination, and clearing health manpower and nurse training grants. The major source of data for uncovering possible violations of the applicable civil rights authorities is OCR's biennial collection of data (currently in cooperation with the National Center for Education Statistics) on enrollments and degrees awarded by race and sex in the Nation's colleges and universities.

The Office for Civil Rights' recordkeeping and data collection program has been the subject of considerable concern. While it is clearly necessary to ensure that the schools and institutions are not engaging in discriminatory practices, the frequency and detail of data maintenance and collection have placed considerable burden on the respondents. The combining of some OCR data requirements with other education surveys was intended to reduce respondent burden; the products of these joint ventures have not yet been evaluated to determine whether the stated objective has been accomplished. Furthermore, there is concern about the appropriateness of a statistical agency (in this case, NCES) collecting regulatory data which will be used primarily for assessing compliance. In the view of this Framework, the organizational principles outlined in Section II recommend that these regulatory and statistical collections be separate. OCR should: (1) develop definitions as to what constitutes discrimination in education programs; (2) place high priority on efforts to determine what statistical data are necessary to locate possible cases of

discrimination; and (3) streamline the data collection program to require the transmission of information to the national office only as frequently as its staff will be able to thoroughly analyze and make use of the information provided. These determinations should be published in the Federal Register to permit comment from interested parties.

Participation in the Benefits of Federally Assisted Programs

The provisions of title VI of the Civil Rights Act of 1964 are applicable to more than 400 Federal programs administered by some 25 agencies. Federal assistance covered by title VI includes grants and loans; donations of equipment and property; sale, lease of, or permission to use Federal property for nominal considerations; and any other arrangement by which Federal benefits are provided. In general, title VI is applicable to Federal assistance which is received indirectly by the intended beneficiaries, through intermediaries such as State and local governments. Federal officials in the Departments of Agriculture; Health, Education, and Welfare; the Interior; Justice; Labor; and Transportation are responsible for ensuring that their respective programs are not operating in violation of title VI. Most of these agencies oversee title VI compliance through such activities as data collection, compliance reviews and complaint investigations.

A limited discussion (see Appendix) of agency responsibilities and activities with respect to ensuring compliance with title VI of the Civil Rights Act of 1964 in the distribution of benefits under federally assisted programs serves to demonstrate the disparities in the data collection efforts in a small subset of the more than 25 agencies involved. The variable data collection requirements imposed by the several agencies not only are indicative of the broader problem of a lack of uniform Federal standards for compliance with title VI, but also represent a problem in and of themselves. In many cases, for example, single State or local agencies are the recipients of multiple, conflicting and sometimes duplicative requests for civil rights compliance data ostensibly designed to ensure that the recipient agency is operating in accordance with the provisions of title VI of the Civil Rights Act of 1964.

Coordination of the title VI enforcement efforts is assigned to the Attorney General and is executed by the Civil Rights Division of the Department of Justice. Executive Order No. 11247, issued in September 1965, conferred on the Attorney General the responsibility to assist Federal Departments and agencies in coordinating their programs and

activities, and adopting consistent and uniform policies, practices and procedures for the enforcement of title VI. Under this order, which did not clearly provide authority to the Attorney General to direct the agencies to take specific compliance and enforcement actions, implementation by the Department of Justice was limited.

Early in 1974, Executive Order No. 11247 was superseded by Executive Order No. 11764. The new order stated that agencies extending Federal financial assistance have primary responsibility for enforcing the provisions of title VI, and clarified and broadened the role of the Attorney General. Under Executive Order No. 11764, the Attorney General was directed to coordinate agency enforcement of title VI, and to prescribe standards and procedures for the implementation of the law.

Implementation of the broad authorities delegated to the Attorney General with respect to title VI has lagged. Almost 3 years after the issuance of the Executive order, in December of 1976, the Department of Justice published its final regulations setting forth minimum standards for Federal agencies in implementing title VI. These rules, which are intended to cover all aspects of title VI activity by the Federal agencies, include prescriptions for data collection. To assist Federal Departments and agencies in their responsibility to enforce title VI, the Department of Justice is drafting a comprehensive instructional manual for interagency distribution. Volume II of this manual will, when completed, provide agencies with a uniform methodology for complying with the Attorney General's coordination regulations. Where appropriate, guidance for reporting will be provided consisting of sample formats, reporting forms, or relevant procedures necessary to implement the provisions of each section of the regulations.

If properly administered, the regulations could assist substantially in upgrading recordkeeping and reporting requirements to meet the mandate of title VI. To reach this level of effectiveness, the Department of Justice must require: (1) that the responsible Federal agencies systematically develop the measures that will be used to determine discrimination, and the data required in support of such determinations; and (2) that specific Federal agencies be assigned responsibility for coordinating compliance recordkeeping and reporting requirements in areas where multiple agencies provide resources or benefits to the same recipients.

If these conditions are met in the implementation of the title VI regulations, a significant step forward toward improving civil rights data collection with

respect to Federal programs can be made. Coupled with the lack of standardization in reporting and recordkeeping requirements to meet the mandate of title VI, however, are the diverse, uneven reporting requirements imposed by agencies having responsibility to oversee other titles of the Civil Rights Act, additional congressional mandates, and assorted regulations, court orders and Executive orders.

The data requirements which may result from the more recently enacted Age Discrimination Act of 1975, for example, are yet to be determined. This act, which provides that:

No person 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, requires the Department of Health, Education, and Welfare to develop by January of 1979 general regulations to carry out the provisions contained in the law. The Commission on Civil Rights is currently conducting the study mandated by the act which is designed to determine cases of unreasonable discrimination based on age in programs and activities receiving Federal financial assistance and to identify any Federal programs or activities in which there is evidence of discrimination based upon age. The results of the Commission study, and the regulations under development by DHEW, may well lead to further prescriptions for civil rights data to assess discriminatory practices with respect to age. Thus, although it is anticipated that the title VI regulations, when implemented, will contribute to solving some of the problems cited, much further work remains to be done in the area of civil rights data collection.

Policy Recommendations and Steps To Be

Taken

A system for monitoring the effectiveness of Federal civil rights initiatives must rely to a substantial degree on the availability and use of accurate, current, and complete data on the race, ethnic origin, and sex of potential and actual beneficiaries. Where applicable, data systems must also include such additional information as the presence of handicapping conditions, age of the individuals involved, and other appropriate characteristics. Nationwide data can provide statistical indicators of possible noncompliance at the most general level. More tailored statistical information can be used to ascertain possible individual cases of noncompliance which merit further investigation.

The civil rights data collection activities of the Federal Government have become a major cause for concern. There is serious debate as to whether or not the data collection mechanisms being employed effectively identify problems or suggest solutions. The Federal agencies themselves appear uncertain concerning the appropriate scope and standards for their data collection activities; moreover, there is inadequate staff capability to use the volume of data which is collected. The foregoing discussion of the issues, and of the agencies and programs involved in civil rights data collection, points clearly to the need for the development of standards for civil rights recordkeeping and reporting which will provide data which are sufficient and appropriate to identify discriminatory practices and to ensure that benefits are distributed equitably to eligible recipients.

The recommendations which follow are proposed as necessary precursors to the improvement of individual program, agency and departmental civil rights data collection and utilization efforts. The processes and products which would result from these government-wide initiatives would produce the framework and guidelines necessary for agency and departmental development and modification of particular data systems to meet the purpose and intent of civil rights requirements.

First, it is recommended that an interagency task force coordinated by the agencies responsible for oversight and approval of Federal statistical and data collection activities (the Office of Federal Statistical Policy and Standards, the Office of Management and Budget, and the General Accounting Office) be established to develop standards necessary for improved civil rights data collection, reporting, and use. Under the Budget and Accounting Procedures Act, the Office of Federal Statistical Policy and Standards is responsible for developing programs and issuing regulations for the improved gathering, compiling and analyzing of statistical information; under the provisions of the Federal Reports Act and the amendments to the Trans-Alaska Pipeline Authorization Act, OMB and GAO share the responsibility for clearance of recordkeeping and reporting requirements which include civil rights information. The task force, which should be established at the earliest possible date, should include representatives of Federal Departments and agencies responsible for the broad areas of housing, education, health services, employment, voting, the administration of justice, and access to public accommodations. In addition, the task force membership should be supplemented to include representatives from other agencies responsible for ensuring compliance with title VI of the Civil Rights Act. Small working groups

of the interagency task force representatives may appropriately be assigned responsibility to complete the specific tasks outlined below and to recommend products for endorsement by the entire task force.

OFSPS, OMB and GAO should jointly review the effectiveness of existing guidelines in the area of civil rights data collection and use, and should require of the agencies reports on the current status of and proposed improvements to their civil rights data collection efforts. The statistical and data collection oversight agencies should be ordered to coordinate the development of the needed standards, and should ultimately be responsible for the development of circulars on civil rights recordkeeping and reporting requirements. Following publication of the circulars, OFSPS, OMB and GAO should oversee the implementation of the standards developed in the affected agencies. This continuing oversight should include activities to:

1. periodically review and evaluate the agencies' civil rights data collection and analysis programs, and their implementation of the standards and guidelines;

2. revise and update the general standards and guidelines as necessary, and sponsor studies in the development of standards for civil rights data collection;

3. maximize the exchange of information among agencies to encourage increased commonality of civil rights data; and

4. minimize the duplication of civil rights data collection and processing activities.

Second, it is recommended that the interagency task force accept as its initial responsibility the development of guidelines for Federal civil rights recordkeeping and data collection plans. Inherent in the uneven and discrepant civil rights data collection activities now conducted by various Federal agencies are basic problems stemming from the lack of systematic planning for the use of information obtained. Within one year following the formation of the interagency task force, guidelines for the maintenance, collection and use of civil rights data should be developed. The guidelines should require each Federal agency to stipulate how noncompliance will be determined, and what data will be needed for this purpose. To the degree possible, the guidelines should set forth examples which will assist individual agencies in developing their respective plans. The statistical and data collection oversight agencies should be responsible for promulgating the proposed guidelines for comment, and making appropriate revisions. Each affected agency should be responsible for

submitting to OFSPS, and to OMB or to GAO, as appropriate, its plan indicating what civil rights data will be required and how the information will be used to determine compliance. The agency plans, which should stipulate what data should be maintained at the reporting unit level and what data should be forwarded, how frequently, to the national level, should be completed within 6 months after the final publication of the guidelines.

Third, it is recommended that the interagency task force conduct studies leading to the development of standards for civil rights data collection and use. The standards to be developed and applied should include:

1. The specification of appropriate statistical measures of discrimination;

2. The specification of appropriate vehicles for the statistical measurement of discrimination;

3. Policies delineating the respective roles of the several Federal Departments and agencies in the collection, analysis, and use of civil rights data; and

4. Guidelines for State and local government and industry use of nationally produced civil rights data.

The specification of appropriate statistical measures of discrimination, and of appropriate vehicles for the statistical measurement of discrimination, should be completed within 2 years following the formation of the task force. The policies concerning the roles of the Federal Departments and agencies, and the guidelines for State and local government and industry use of nationally produced civil rights data, should be completed by the end of the third year of task force operation. Further discussion of the problems to be addressed and the dimensions of solutions to be developed in the design of these standards follows.

The specification of standards for the measurement of discrimination through statistical techniques must answer a series of questions relating to the appropriate depth for civil rights investigations and the level of detail needed to determine possible cases of noncompliance. In terms of Federal programs alone, a true measure of the effectiveness of a given initiative would require racial, ethnic, and sex data, as well as information on age and handicapping conditions, not only on the program beneficiaries but also on the applicants and, to be complete, on the eligible population. With data on the race, ethnicity, sex, age, and handicapping conditions of persons eligible, persons applying, and persons participating, it would be possible to determine not only whether minorities.