[Federal Register Volume 65, Number 159 (Wednesday, August 16, 2000)]
[Notices]
[Pages 50123-50125]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-20867]



  Federal Register / Vol. 65, No. 159 / Wednesday, August 16, 2000 / 
Notices  

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DEPARTMENT OF JUSTICE


Enforcement of Title VI of the Civil Rights Act of 1964--National 
Origin Discrimination Against Persons With Limited English Proficiency; 
Policy Guidance

AGENCY: Civil Rights Division, Department of Justice.

ACTION: Policy guidance document.

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SUMMARY: This Policy Guidance Document entitled ``Enforcement of Title 
VI of the Civil Rights Act of 1964 `` National Origin Discrimination 
Against Persons with Limited English Proficiency (LEP Guidance)'' is 
being issued pursuant to authority granted by Executive Order 12250 and 
Department of Justice Regulations. It addresses the application of 
Title VI's prohibition on national origin discrimination when 
information is provided only in English to persons with limited English 
proficiency. This policy guidance does not create new obligations, but 
rather, clarifies existing Title VI responsibilities. The purpose of 
this document is to set forth general principles for agencies to apply 
in developing guidelines for services to individuals with limited 
English proficiency. The Policy Guidance Document appears below.

DATES: Effective August 11, 2000.

ADDRESSES: Coordination and Review Section, Civil Rights Division, P.O. 
Box 66560, Washington, D.C. 20035-6560.

FOR FURTHER INFORMATION CONTACT: Merrily Friedlander, Chief, 
Coordination and Review Section, Civil Rights Division, (202) 307-2222.

Helen L. Norton,
Counsel to the Assistant Attorney General, Civil Rights Division.
Office of the Assistant Attorney General

Washington, D.C. 20530

August 11, 2000.
TO: Executive Agency Civil Rights Officers
FROM: Bill Lann Lee, Assistant Attorney General, Civil Rights Division
SUBJECT: Policy Guidance Document: Enforcement of Title VI of the Civil 
Rights Act of 1964--National Origin Discrimination Against Persons With 
Limited English Proficiency (``LEP Guidance'')

    This policy directive concerning the enforcement of Title VI of the 
Civil Rights Act of 1964, 42 U.S.C. Secs. 2000d et seq., as amended, is 
being issued pursuant to the authority granted by Executive Order No. 
12250 \1\ and Department of Justice regulations.\2\ It addresses the 
application to recipients of federal financial assistance of Title VI's 
prohibition on national origin discrimination when information is 
provided only in English to persons who do not understand English. This 
policy guidance does not create new obligations but, rather, clarifies 
existing Title VI responsibilities.
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    \1\ 42 U.S.C. Sec. 2000d-1 note.
    \2\ 28 C.F.R. Sec. 0.51.
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    Department of Justice Regulations for the Coordination of 
Enforcement of Non-discrimination in Federally Assisted Programs 
(Coordination Regulations), 28 C.F.R. 42.401 et seq., direct agencies 
to ``publish title VI guidelines for each type of program to which they 
extend financial assistance, where such guidelines would be appropriate 
to provide detailed information on the requirements of Title VI.'' 28 
CFR Sec. 42.404(a). The purpose of this document is to set forth 
general principles for agencies to apply in developing such guidelines 
for services to individuals with limited English proficiency (LEP). It 
is expected that, in developing this guidance for their federally 
assisted programs, agencies will apply these general principles, taking 
into account the unique nature of the programs to which they provide 
federal financial assistance.
    A federal aid recipient's failure to assure that people who are not 
proficient in English can effectively participate in and benefit from 
programs and activities may constitute national origin discrimination 
prohibited by Title VI. In order to assist agencies that grant federal 
financial assistance in ensuring that recipients of federal financial 
assistance are complying with their responsibilities, this policy 
directive addresses the appropriate compliance standards. Agencies 
should utilize the standards set forth in this Policy Guidance Document 
to develop specific criteria applicable to review the programs and 
activities for which they offer financial assistance. The Department of 
Education \3\ already has established policies, and the Department of 
Health and Human Services (HHS) \4\ has been developing guidance in a 
manner consistent with Title VI and this Document, that applies to 
their specific programs receiving federal financial assistance.
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    \3\ Department of Education policies regarding the Title VI 
responsibilities of public school districts with respect to LEP 
children and their parents are reflected in three Office for Civil 
Rights policy documents: (1) the May 1970 memorandum to school 
districts, ``Identification of Discrimination and Denial of Services 
on the Basis of National Origin,'' (2) the December 3, 1985, 
guidance document, ``The Office for Civil Rights' Title VI Language 
Minority Compliance Procedures,'' and (3) the September 1991 
memorandum, ``Policy Update on Schools Obligations Toward National 
Origin Minority Students with Limited English Proficiency.'' These 
documents can be found at the Department of Education website at 
www.ed.gov/office/OCR.
    \4\ The Department of Health and Human Services is issuing 
policy guidance titled: ``Title VI Prohibition Against National 
Origin Discrimination As It Affects Persons With Limited English 
Proficiency.'' This policy addresses the Title VI responsibilities 
of HHS recipients to individuals with limited English proficiency.
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Background

    Title VI of the Civil Rights Act of 1964 prohibits recipients of 
federal financial assistance from discriminating against or otherwise 
excluding individuals on the basis of race, color, or national origin 
in any of their activities. Section 601 of Title VI, 42 U.S.C. 
Sec. 2000d, provides:

    No person in the United States shall, on the ground 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.

    The term ``program or activity'' is broadly defined. 42 U.S.C. 
Sec. 2000d-4a.
    Consistent with the model Title VI regulations drafted by a 
Presidential task force in 1964, virtually every executive agency that 
grants federal financial assistance has promulgated regulations to 
implement Title VI. These regulations prohibit recipients from 
``restrict[ing] an individual in any way in the enjoyment of any 
advantage or privilege enjoyed by others receiving any service, 
financial aid, or other benefit under the program'' and ``utiliz[ing] 
criteria or methods of administration which have the effect of 
subjecting individuals to discrimination'' or have ``the effect of 
defeating or substantially impairing accomplishment of the objectives 
of the program as respects individuals of a particular race, color, or 
national origin.''
    In Lau v. Nichols, 414 U.S. 563 (1974), the Supreme Court 
interpreted these provisions as requiring that a federal financial 
recipient take steps to ensure that language barriers did not exclude 
LEP persons from effective participation in its benefits and services. 
Lau involved a group of students of Chinese origin who did not speak 
English to whom the recipient provided the same services--an education 
provided solely in English--that it provided students who did speak 
English. The Court held that, under these circumstances, the school's 
practice violated the Title VI prohibition against discrimination on

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the basis of national origin. The Court observed that ``[i]t seems 
obvious that the Chinese-speaking minority receive fewer benefits than 
the English-speaking majority from respondents' school system which 
denies them a meaningful opportunity to participate in the educational 
program--all earmarks of the discrimination banned by'' the Title VI 
regulations.\5\ Courts have applied the doctrine enunciated in Lau both 
inside and outside the education context. It has been considered in 
contexts as varied as what languages drivers' license tests must be 
given in or whether material relating to unemployment benefits must be 
given in a language other than English.\6\
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    \5\ 414 U.S. at 568. Congress manifested its approval of the Lau 
decision requirements concerning the provision of meaningful 
education services by enacting provisions in the Education 
Amendments of 1974, Pub. L. No. 93-380, Secs. 105, 204, 88 Stat. 
503-512, 515 codified at 20 U.S.C. 1703(f), and the Bilingual 
Education Act, 20 U.S.C. 7401 et seq., which provided federal 
financial assistance to school districts in providing language 
services.
    \6\ For cases outside the educational context, see, e.g., 
Sandoval v. Hagan, 7 F. Supp. 2d 1234 (M.D. Ala. 1998), affirmed, 
197 F.3d 484, (11th Cir. 1999), rehearing and suggestion for 
rehearing en banc denied, 211 F.3d 133 (11th Cir. Feb. 29, 2000) 
(Table, No. 98-6598-II), petition for certiorari filed May 30, 2000 
(No. 99-1908) (giving drivers' license tests only in English 
violates Title VI); and Pabon v. Levine, 70 F.R.D. 674 (S.D.N.Y. 
1976) (summary judgment for defendants denied in case alleging 
failure to provide unemployment insurance information in Spanish 
violated Title VI).
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Link Between National Origin And Language

    For the majority of people living in the United States, English is 
their native language or they have acquired proficiency in English. 
They are able to participate fully in federally assisted programs and 
activities even if written and oral communications are exclusively in 
the English language.
    The same cannot be said for the remaining minority who have limited 
English proficiency. This group includes persons born in other 
countries, some children of immigrants born in the United States, and 
other non-English or limited English proficient persons born in the 
United States, including some Native Americans. Despite efforts to 
learn and master English, their English language proficiency may be 
limited for some time.\7\ Unless grant recipients take steps to respond 
to this difficulty, recipients effectively may deny those who do not 
speak, read, or understand English access to the benefits and services 
for which they qualify.
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    \7\ Certainly it is important to achieve English language 
proficiency in order to fully participate at every level in American 
society. As we understand the Supreme Court's interpretation of 
Title VI's prohibition of national origin discrimination, it does 
not in any way disparage use of the English language.
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    Many recipients of federal financial assistance recognize that the 
failure to provide language assistance to such persons may deny them 
vital access to services and benefits. In some instances, a recipient's 
failure to remove language barriers is attributable to ignorance of the 
fact that some members of the community are unable to communicate in 
English, to a general resistance to change, or to a lack of awareness 
of the obligation to address this obstacle.
    In some cases, however, the failure to address language barriers 
may not be simply an oversight, but rather may be attributable, at 
least in part, to invidious discrimination on the basis of national 
origin and race. While there is not always a direct relationship 
between an individual's language and national origin, often language 
does serve as an identifier of national origin.\8\ The same sort of 
prejudice and xenophobia that may be at the root of discrimination 
against persons from other nations may be triggered when a person 
speaks a language other than English.
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    \8\ As the Supreme Court observed, ``[l]anguage permits an 
individual to express both a personal identity and membership in a 
community, and those who share a common language may interact in 
ways more intimate than those without this bond.'' Hernandez v. New 
York, 500 U.S. 352, 370 (1991) (plurality opinion).

    Language elicits a response from others, ranging from admiration 
and respect, to distance and alienation, to ridicule and scorn. 
Reactions of the latter type all too often result from or initiate 
racial hostility * * *. It may well be, for certain ethnic groups 
and in some communities, that proficiency in a particular language, 
like skin color, should be treated as a surrogate for race under an 
equal protection analysis.\9\
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    \9\ Id. at 371 (plurality opinion).

    While Title VI itself prohibits only intentional discrimination on 
the basis of national origin,\10\ the Supreme Court has consistently 
upheld agency regulations prohibiting unjustified discriminatory 
effects.\11\ The Department of Justice has consistently adhered to the 
view that the significant discriminatory effects that the failure to 
provide language assistance has on the basis of national origin, places 
the treatment of LEP individuals comfortably within the ambit of Title 
VI and agencies' implementing regulations.\12\ Also, existing language 
barriers potentially may be rooted in invidious discrimination. The 
Supreme Court in Lau concluded that a recipient's failure to take 
affirmative steps to provide ``meaningful opportunity'' for LEP 
individuals to participate in its programs and activities violates the 
recipient's obligations under Title VI and its regulations.
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    \10\ Alexander v. Choate, 469 U.S. 287, 293 (1985).
    \11\ Id. at 293-294; Guardians Ass'n v. Civil Serv. Comm'n, 463 
U.S. 582, 584 n.2 (1983) (White, J.), 623 n.15 (Marshall, J.), 642-
645 (Stevens, Brennan, Blackmun, JJ.); Lau v. Nichols, 414 U.S. at 
568; id. at 571 (Stewart, J., concurring in result). In a July 24, 
1994, memorandum to Heads of Departments and Agencies that Provide 
Federal Financial Assistance concerning ``Use of the Disparate 
Impact Standard in Administrative Regulations Under Title VI of the 
Civil Rights Act of 1964,'' the Attorney General stated that each 
agency ``should ensure that the disparate impact provisions of your 
regulations are fully utilized so that all persons may enjoy equally 
the benefits of federally financed programs.''
    \12\ The Department's position with regard to written language 
assistance is articulated in 28 CFR Sec. 42.405(d)(1), which is 
contained in the Coordination Regulations, 28 CFR Subpt. F, issued 
in 1976. These Regulations ``govern the respective obligations of 
Federal agencies regarding enforcement of title VI.'' 28 CFR 
Sec. 42.405. Section 42.405(d)(1) addresses the prohibitions cited 
by the Supreme Court in Lau.
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All Recipients Must Take Reasonable Steps To Provide Meaningful 
Access

    Recipients who fail to provide services to LEP applicants and 
beneficiaries in their federally assisted programs and activities may 
be discriminating on the basis of national origin in violation of Title 
VI and its implementing regulations. Title VI and its regulations 
require recipients to take reasonable steps to ensure ``meaningful'' 
access to the information and services they provide. What constitutes 
reasonable steps to ensure meaningful access will be contingent on a 
number of factors. Among the factors to be considered are the number or 
proportion of LEP persons in the eligible service population, the 
frequency with which LEP individuals come in contact with the program, 
the importance of the service provided by the program, and the 
resources available to the recipient.

(1) Number or Proportion of LEP Individuals

    Programs that serve a few or even one LEP person are still subject 
to the Title VI obligation to take reasonable steps to provide 
meaningful opportunities for access. However, a factor in determining 
the reasonableness of a recipient's efforts is the number or proportion 
of people who will be excluded from the benefits or services absent 
efforts to remove language barriers. The steps that are reasonable for 
a recipient who serves one LEP person a year may be different than 
those expected from a recipient that serves several LEP persons each 
day. But even those who serve very few LEP persons on an infrequent 
basis should utilize this balancing analysis to determine whether 
reasonable steps are

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possible and if so, have a plan of what to do if a LEP individual seeks 
service under the program in question. This plan need not be intricate; 
it may be as simple as being prepared to use one of the commercially 
available language lines to obtain immediate interpreter services.

(2) Frequency of Contact with the Program

    Frequency of contacts between the program or activity and LEP 
individuals is another factor to be weighed. For example, if LEP 
individuals must access the recipient's program or activity on a daily 
basis, e.g., as they must in attending elementary or secondary school, 
a recipient has greater duties than if such contact is unpredictable or 
infrequent. Recipients should take into account local or regional 
conditions when determining frequency of contact with the program, and 
should have the flexibility to tailor their services to those needs.

(3) Nature and Importance of the Program

    The importance of the recipient's program to beneficiaries will 
affect the determination of what reasonable steps are required. More 
affirmative steps must be taken in programs where the denial or delay 
of access may have life or death implications than in programs that are 
not as crucial to one's day-to-day existence. For example, the 
obligations of a federally assisted school or hospital differ from 
those of a federally assisted zoo or theater. In assessing the effect 
on individuals of failure to provide language services, recipients must 
consider the importance of the benefit to individuals both immediately 
and in the long-term. A decision by a federal, state, or local entity 
to make an activity compulsory, such as elementary and secondary school 
attendance or medical inoculations, serves as strong evidence of the 
program's importance.

(4) Resources Available

    The resources available to a recipient of federal assistance may 
have an impact on the nature of the steps that recipients must take. 
For example, a small recipient with limited resources may not have to 
take the same steps as a larger recipient to provide LEP assistance in 
programs that have a limited number of eligible LEP individuals, where 
contact is infrequent, where the total cost of providing language 
services is relatively high, and/or where the program is not crucial to 
an individual's day-to-day existence. Claims of limited resources from 
large entities will need to be well-substantiated.\13\
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    \13\ Title VI does not require recipients to remove language 
barriers when English is an essential aspect of the program (such as 
providing civil service examinations in English when the job 
requires person to communicate in English, see Frontera v. Sindell, 
522 F.2d 1215 (6th Cir. 1975)), or there is another ``substantial 
legitimate justification for the challenged practice.'' Elston v. 
Talladega County Bd. of Educ., 997 F.2d 1394, 1407 (11th Cir. 1993). 
Similar balancing tests are used in other nondiscrimination 
provisions that are concerned with effects of an entity's actions. 
For example, under Title VII of the Civil Rights Act of 1964, 
employers need not cease practices that have a discriminatory effect 
if they are ``consistent with business necessity'' and there is no 
``alternative employment practice'' that is equally effective. 42 
U.S.C. Sec. 2000e-2(k). Under Section 504 of the Rehabilitation Act, 
29 U.S.C. Sec. 794, recipients do not need to provide access to 
persons with disabilities if such steps impose an undue burden on 
the recipient. Alexander v. Choate, 469 U.S. at 300. Thus, in 
situations where all of the factors identified in the text are at 
their nadir, it may be ``reasonable'' to take no affirmative steps 
to provide further access.
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Written vs. Oral Language Services

    In balancing the factors discussed above to determine what 
reasonable steps must be taken by recipients to provide meaningful 
access to each LEP individual, agencies should particularly address the 
appropriate mix of written and oral language assistance. Which 
documents must be translated, when oral translation is necessary, and 
whether such services must be immediately available will depend upon 
the factors previously mentioned.\14\ Recipients often communicate with 
the public in writing, either on paper or over the Internet, and 
written translations are a highly effective way of communicating with 
large numbers of people who do not speak, read or understand English. 
While the Department of Justice's Coordination Regulation, 28 CFR 
Sec. 42.405(d)(1), expressly addresses requirements for provision of 
written language assistance, a recipient's obligation to provide 
meaningful opportunity is not limited to written translations. Oral 
communication between recipients and beneficiaries often is a necessary 
part of the exchange of information. Thus, a recipient that limits its 
language assistance to the provision of written materials may not be 
allowing LEP persons ``effectively to be informed of or to participate 
in the program'' in the same manner as persons who speak English.
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    \14\ Under the four-part analysis, for instance, Title VI would 
not require recipients to translate documents requested under a 
state equivalent of the Freedom of Information Act or Privacy Act, 
or to translate all state statutes or notices of rulemaking made 
generally available to the public. The focus of the analysis is the 
nature of the information being communicated, the intended or 
expected audience, and the cost of providing translations. In 
virtually all instances, one or more of these criteria would lead to 
the conclusion that recipients need not translate these types of 
documents.
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    In some cases, ``meaningful opportunity'' to benefit from the 
program requires the recipient to take steps to assure that translation 
services are promptly available. In some circumstances, instead of 
translating all of its written materials, a recipient may meet its 
obligation by making available oral assistance, or by commissioning 
written translations on reasonable request. It is the responsibility of 
federal assistance-granting agencies, in conducting their Title VI 
compliance activities, to make more specific judgments by applying 
their program expertise to concrete cases.

Conclusion

    This document provides a general framework by which agencies can 
determine when LEP assistance is required in their federally assisted 
programs and activities and what the nature of that assistance should 
be. We expect agencies to implement this document by issuing guidance 
documents specific to their own recipients as contemplated by the 
Department of Justice Coordination Regulations and as HHS and the 
Department of Education already have done. The Coordination and Review 
Section is available to assist you in preparing your agency-specific 
guidance. In addition, agencies should provide technical assistance to 
their recipients concerning the provision of appropriate LEP services.

[FR Doc. 00-20867 Filed 8-15-00; 8:45 am]
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