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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.
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.
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.
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.
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.
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
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
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.
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.
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 col
lection and processing activities.
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.
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 i 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
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
and females were selected to participate in equitable progress (or lack of progress) in eliminating ratios, but also to answer a number of other discrimination. significant questions. These analyses would indicate:
With respect to the level of detail needed to (1) whether information about Federal programs is
determine civil rights compliance, standards should reaching all intended beneficiaries; (2) whether
be established and implemented concerning (1) the specific racial, ethnic, age or other groups perceive or
appropriate level for investigation and reporting (for encounter barriers in applying for assistance; and (3)
example, in higher education should the unit be the whether adequate resources are available to serve the
school campus or the field of study); and (2) the needs of the eligible population. The addition to this data bank of information on the quality or quantity
target groups for which data should be reported (for of the benefit received would further enhance an
example, some agencies have collected data on
minority vs. nonminority participation, while others agency's ability to determine the extent to which the
have required information on several defined target groups for civil rights activities receive an
minority populations). The revision of Exhibit F to equitable share of program goods or services.
OMB Circular No. A-46, issued May 12, 1977, and
presently incorporated in the U.S. Department of To obtain these data sets across all Federal pro- Commerce, Statistical Policy Handbook, Directive grams, let alone to ensure that the information col- No. 15, provides standards for recordkeeping, collected would be analyzed and used, would be a lection and presentation of data on race and ethnicity monumental undertaking. It is incumbent upon the in Federal program administrative reporting and interagency task force to determine reasonable, yet statistical activities. Implementation of the standards significant improvements which can be made without required by Statistical Policy Directive No. 15 is developing an agenda so ambitious that the affected expected to decrease respondent burden while agencies will be unable to progress systematically and substantially increasing the completeness and effectively. As a first step in fulfilling this objective, comparability of racial and ethnic data at the Federal the task force should sponsor an independent study
level. to determine standards for what constitutes discrimination and to develop the associated
In terms of the appropriate depth of investigations,
standards should be established concerning the statistical measures which are needed as indicators of
degree to which the "readily apparent" (for example, possible discrimination. The results of this study, which should address problems of the full range of
staffing patterns or enrollment ratios) should be discriminatory practices (i.e., discrimination related
measured, in contrast to "background factors. to race, ethnicity, sex, age, and handicapping
Requirements to measure background factors which conditions), should pave the way for standards
may be responsible for inequitable participation in development by the task force.
programs and services would vary by the type of program under investigation. Some examples would in
clude: (1) questions of access and choice in the In setting standards for civil rights data collection selection of educational opportunities; (2) with respect to Federal programs, it is recommended
examinations of applicant flows, new hires, that the interagency task force limit the scope of
promotion patterns, wage differentials, and the like beneficiary information to the collection of racial,
in industry; and (3) efforts to collect data on prior ethnic, sex, age, and handicap data on program ap- training or experience of individuals which may plicants and program beneficiaries. Measurements of
impact upon their current status. Clearly, such backthe eligible population, if conducted by individual
ground factors must be measured to obtain an program agencies, should be limited to the
accurate assessment of the degree to which development of estimates based on sample studies.
discriminatory practices are being employed. At the To complement these agency efforts, the Bureau of
same time, it is unreasonable to suggest that such the Census should work more closely with the pro- studies should be undertaken except with respect to gram agencies so that Census studies of the pop
specific investigations. Even at the case study level, ulation will contain more appropriate information however, standards for data collection are required. concerning the eligible populations and their needs.
The interagency task force should sponsor efforts to Individual agencies cannot reasonably be expected,
study and develop recommendations in this area. nor should they undertake, to conduct separate censuses as a means of determining persons eligible to The specification of appropriate vehicles for the participate in their respective programs. The agencies measurement of discrimination must, in many ways, could, however, adjust their requirements to make build upon the standards for the measurement of them compatible with Census information for discrimination. Nevertheless, it is possible to pose a purposes of historical trend analyses to measure number of concerns which must be addressed in the