[Federal Register: March 15, 2001 (Volume 66, Number 51)]
[Notices]               
[Page 15141-15146]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15mr01-103]                         

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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

[Notice: 01-037]

 
Title VI of the Civil Rights Act of 1964, as Amended: Policy 
Guidance on the Prohibition Against National Origin Discrimination As 
It Affects Persons With Limited English Proficiency

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Notice of policy guidance with request for comments.

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SUMMARY: Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d-
2000d-42, as amended, and NASA's implementing regulation at 14 CFR part 
1250 provide that no person shall be subjected to discrimination on the 
basis of race, color, or national origin under any program or activity 
that receives Federal financial assistance. NASA is publishing policy 
guidance on Title VI's prohibition against national origin 
discrimination as it affects Limited English Proficient (LEP) persons.

DATES: This guidance is effective immediately. Comments must be 
received by May 14, 2001. NASA will review all comments and will 
determine what modifications to the policy guidance, if any, are 
necessary.

ADDRESSES: Interested persons should submit written comments to Mr. 
George E. Reese, Associate Administrator for Equal Opportunity 
Programs, Code E, NASA Headquarters, 300 E Street, SW, Room 4W31, 
Washington, DC 20546.

FOR FURTHER INFORMATION CONTACT: Mr. Frederick Dalton, 202-358-0958, or 
TDD: 202-358-3748. Arrangements to receive the policy in an alternative 
format may be made by contacting Mr. Frederick J. Dalton.

SUPPLEMENTARY INFORMATION: The purpose of this policy guidance is to 
clarify the responsibilities of institutions and/or entities that 
receive financial assistance from NASA, and

[[Page 15142]]

assist them in fulfilling their responsibilities to LEP persons, 
pursuant to Title VI of the Civil Rights Act of 1964. The policy 
guidance emphasizes that in order to avoid discrimination against LEP 
persons on grounds of national origin, recipients of NASA financial 
assistance must take adequate steps to ensure that people who are not 
proficient in English can effectively participate in and benefit from 
the recipient's programs and activities. Therefore, LEP persons should 
expect to receive the language assistance necessary to afford them 
meaningful access to the recipients' programs and activities, free of 
charge.

Background

    English is the predominant language of the United States. According 
to the 1990 Census, English is spoken by 95% of its residents. Of those 
U.S. residents who speak languages other than English at home, the 1990 
Census reports that only 57% above the age of four speak English ``well 
to very well.''
    The United States is home to millions of individuals who are LEP. 
That is, they cannot speak, read, write or understand the English 
language at a level that permits them to benefit from NASA's 
financially assisted programs and activities. Accommodation of LEP 
individuals through the provision of effective language assistance will 
allow NASA to ``provide for the widest practicable and appropriate 
dissemination of information concerning its activities and the results 
thereof'' (Section 203(a)(3) of the National Aeronautics and Space Act 
of 1958, as amended, Public Law 85-568, July 29, 1958), and ensure 
compliance with Title VI of the Civil Rights Act of 1964.
    This policy guidance is consistent with Department of Justice (DOJ) 
LEP Guidance, which specifies that recipients have an obligation 
pursuant to Title VI's prohibition against national origin 
discrimination to provide oral and written language assistance to LEP 
persons, free of charge.\1\
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    \1\ The DOJ LEP Guidance was issued August 11, 2000. (65 FR 
50123, August 16, 2000.)
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Authority

Statute and Regulations

    Section 601 of the Civil Rights Act of 1964, 42 U.S.C. 2000d, 
states: ``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.''
    NASA Regulations implementing Title VI, provide in part at 14 CFR 
1250.103-2 that:
    (a) A recipient under any program to which this part applies may 
not, directly or through contractual or other arrangements, on ground 
of race, color, or national origin:
    (1) Deny an individual any service, financial aid, or other benefit 
provided under the program;
    (2) Provide any service, financial aid, or other benefit to an 
individual which is different, or is provided in a different manner, 
from that provided to others under the program;
    (3) In determining the site or location of facilities, a recipient 
or applicant may not make selections with the purpose or effect of 
excluding individuals from, denying them the benefits of, or subjecting 
them to discrimination under any program to which this regulation 
applies, on the grounds of race, color, or national origin; or with the 
purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the Act or this regulation.
    (4) Subject an individual to segregation or separate treatment in 
any matter related to his receipt of any service, financial aid, or 
other benefit under the program;
    (5) Restrict 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;
    (6) Treat an individual differently from others in determining 
whether he satisfies any admission, enrollment, quota, eligibility, 
membership or other requirement or condition which individuals must 
meet in order to be provided any service, financial aid, or other 
benefit provided under the program;
    (7) Deny an individual an opportunity to participate in the program 
through the provision of services or otherwise or afford him an 
opportunity to do so which is different from that afforded others under 
the program (including the opportunity to participate in the program as 
an employee but only to the extent set forth in Sec. 1250.103-3).
    The Title VI regulations prohibit both intentional discrimination 
and policies and practices that appear neutral but have a 
discriminatory effect. Thus, a recipient's policies or practices 
regarding the provision of benefits and services to LEP persons need 
not be intentional to be discriminatory, but may constitute a violation 
of Title VI if they have an adverse effect on the ability to 
meaningfully access programs and services. Accordingly, recipients must 
examine their policies and practices to determine whether they 
adversely affect LEP persons. This policy guidance provides a legal 
framework to assist recipients in conducting such assessments.

Guidance

(1) Who is Covered

    All entities that receive financial assistance from NASA, either 
directly or indirectly, through a Research Grant, Education Grant, 
Training Grant, Facilities Grant, Cooperative Agreement, under the 
authority of the National Aeronautics and Space Act of 1958 (Space 
Act), as amended, 42 U.S.C. 2451 et seq., and/or the National Space 
Grant College and Fellowship Act, 42 U.S.C. 2486-24861, are covered by 
this guidance. In addition, entities with whom NASA enters into other 
agreements under the Space Act in order to meet its wide-ranging 
mission and program requirements and objectives are also covered by 
this policy guidance. Recipients may include: any state or local 
agency, private institution or organization, or any public or private 
individual to whom Federal assistance is extended, directly or through 
another recipient including any successor, assign, or transferee 
thereof.
    The term ``Federal financial assistance'' to which Title VI applies 
includes, but is not limited to, grants and loans of Federal funds, 
grants or donations of Federal property, and details of Federal 
personnel. Furthermore, it includes the sale or lease of Federal 
property or any interest in such property without consideration or at a 
nominal consideration, at a consideration which is reduced for the 
purpose of assisting the recipient, or in recognition of the public 
interest to be served by such sale or lease to the recipient. Finally, 
it includes any Federal agreement, arrangement, or other contract that 
has as one of its purposes the provision of assistance.
    In the Civil Rights Restoration Act of 1987 (CRRA), Congress 
defined the scope of a program or activity covered by Title VI. The 
CRRA provides that, in most cases, when a recipient receives Federal 
financial assistance for a particular program or activity, all 
operations of the recipient are covered by Title VI, not just the part 
of the program that uses the Federal assistance. Thus, all parts of the 
recipient's operations would be covered by Title VI, even if the 
Federal assistance is used by only one part.

[[Page 15143]]

(2) Basic Requirements Under Executive Order 13166 and Title VI

    Executive Order 13166 requires Federal departments and agencies 
extending financial assistance to develop and make available guidance 
on how recipients should, consistent with the DOJ LEP Guidance and 
Title VI, assess and address the needs of otherwise eligible LEP 
persons seeking access to Federally assisted programs and activities. 
The DOJ LEP Guidance, in turn, provides general guidance on how 
recipients can ensure compliance with their Title VI obligation to 
``take reasonable steps to ensure `meaningful' access to the 
information and services they provide.'' (DOJ LEP Guidance, 65 FR 
50124).
    The DOJ LEP Guidance goes on to provide that [w]hat constitutes 
reasonable steps to ensure meaningful access will be contingent on a 
number of factors. At a minimum, a recipient shall implement a 
balancing analysis considering the following four factors: (a) The 
number or proportion of LEP persons in the eligible service population; 
(b) the frequency with which LEP individuals come in contact with the 
program; (c) the importance of the service provided by the program, 
and; (d) the resources available to the recipient.
    The recipient shall make its assessment of the language assistance 
needed to ensure meaningful access on a case by case basis, and will 
have considerable flexibility in determining precisely how to fulfill 
this obligation. NASA will focus on the end result--whether LEP persons 
have meaningful access to the recipient's programs and/or activities.
    The key to providing meaningful access for LEP persons is to ensure 
that the recipient and LEP person can communicate effectively. The 
steps taken by a recipient must ensure that the LEP person is given 
adequate information, understands the purpose of the programs and/or 
activities available, and is not prevented by language barriers from 
deriving the benefits of such programs and/or activities.

(3) Ensuring Meaningful Access to LEP Persons

    Introduction--The Four Keys to Title VI Compliance in the LEP 
Context
    NASA recipients have considerable flexibility in providing language 
assistance to LEP persons. Usually, effective programs of language 
assistance have the following four elements:
    (a) Assessment--The recipient conducts a thorough assessment of the 
language needs of the program and/or activity's target population. This 
assessment shall consider, at a minimum, the following four factors: 
(a) The number or proportion of LEP persons in the eligible service 
population; (b) the frequency with which LEP individuals come in 
contact with the program; (c) the importance of the service provided by 
the program; and, (d) the resources available to the recipient.
    (b) Development of Comprehensive Written Policy on Language 
Access--A recipient can ensure effective communication by developing 
and implementing a comprehensive written language assistance program 
that includes policies and procedures to ensure free language 
assistance, periodic training of staff, the monitoring of the program, 
and the translation of written materials in certain circumstances.
    (c) Training of Staff--The recipient takes steps to ensure that 
staff understands the policy and is capable of carrying it out. A vital 
element in ensuring that its policies are followed is a recipient's 
dissemination of its policy to all employees likely to have contact 
with LEP persons, and periodic training of these employees. Effective 
training ensures employees are knowledgeable and aware of LEP policies 
and procedures, are trained to work effectively with in-person and 
telephone interpreters, and understand the dynamics of interpretation 
between clients and providers. It is important that this training be 
part of an orientation for new employees and that all employees in 
potential LEP community contact positions be properly trained. 
Effective training is one means of ensuring that there is not a gap 
between a recipient's written policies and procedures, and the actual 
practices of employees who are in the front lines interacting with LEP 
persons.
    (d) Monitoring--The recipient conducts regular oversight of the 
language assistance program to ensure that LEP persons meaningfully 
access the program(s). It is important for a recipient to frequently 
monitor its language assistance program to assess the current LEP 
demography where its programs and/or activities are conducted; whether 
existing assistance is meeting the needs of such persons; whether staff 
is knowledgeable about policies and procedures and how to implement 
them; and, whether sources of and arrangements for assistance are still 
current and viable. One element of such an assessment is for a 
recipient to seek feedback from the LEP community and advocates. 
Compliance with the Title VI language assistance obligations is most 
likely when a recipient continuously monitors its program, makes 
modifications where necessary, and periodically trains employees in 
implementation of the policies and procedures.

(4) Types of Language Assistance

    Oral Language Interpretation--The following are language assistance 
options that can be implemented in order to meet the needs of LEP 
population(s):
    (a) Staff Interpreters--Paid staff interpreters are especially 
appropriate where there is a frequent and/or regular need for 
interpreting services. These persons must be competent and readily 
available.
    (b) Contract Interpreters--The use of contract interpreters may be 
an option for recipients that have an infrequent need for interpreting 
services, have less common LEP language groups in their programs and 
activities, or need to supplement their in-house capabilities on an as-
needed basis. Such contract interpreters should be readily available 
and competent.
    (c) Community Volunteers--Use of community volunteers may provide 
recipients with a cost-effective method for providing interpreter 
services. However, to use community volunteers effectively, recipients 
must ensure that formal arrangements for interpreting services are made 
with community organizations so that these organizations are not 
subjected to ad hoc requests for assistance. In addition, recipients 
must ensure that these volunteers are competent as interpreters. 
Additional language assistance must be provided where competent 
volunteers are not readily available.

    Example 1-- NASA provides funds to a number of public schools in 
urban areas. The funds, in the form of grants, are utilized to 
provide selected students extended-day activities, Saturday 
activities, and field experiences focusing on the acquisition of 
knowledge and development of skills in science, mathematics, and 
application of technology; career opportunities; and exposure to 
role models in the aforementioned fields. The target population is 
6th, 7th, and 8th graders.
    A review of the target population reveals that fifteen percent 
of the target population is enrolled in English as a Second Language 
(ESL) classes, and that another seven percent is enrolled in the 
Bilingual Education (BE) program. The first languages for the ESL 
and BE 6th, 7th, and 8th grade population are Spanish and French. 
After determining the demographic context of the target audience, 
and the importance of the benefits that could be derived by the 
participants, the recipient decides to translate the brochure 
announcing the program and outlining application requirements into 
Spanish and French. The

[[Page 15144]]

translations are done by BE educators fluent in both languages. The 
translated brochures are sent home with the students in order to 
inform the parents (or guardians) of the program, its objectives and 
benefits. On the program brochures, there is a note advising the 
parents (or guardians) that language assistance can be provided at 
no cost to LEP students selected to participate in the program.
    Given the steps taken to inform the target population about the 
program, and to facilitate identification of potential participants 
needing alternative language services, the recipient would be 
considered to have taken reasonable steps to comply with its LEP 
obligations under Title VI of the Civil Rights Act of 1964, as 
amended, during the announcement stage of the program.
    Example 2-- ABC Company is located in Los Angeles, California, 
an area with a significant population of Asian language speakers. 
ABC Company (the recipient) receives NASA financial assistance in 
its research and development programs. The recipient publishes 
brochures and other written materials available to the public 
electronically and in hard-copy format. The recipient also conducts 
community outreach programs, including education and training 
programs, with local elementary and secondary schools. In order to 
achieve full compliance with Title VI requirements, the recipient 
should review all of its programs affecting the public to determine 
whether it is providing meaningful access to LEP persons. The 
recipient should focus its review on such issues as to whether to 
provide oral language interpreters and how to ensure that the 
written materials are available in languages other than English. 
Partnerships with community organizations and educational 
institutions can be forged in order to address the LEP needs of the 
community and ensure that the recipient's programs and activities 
remain accessible and not restricted because of language barriers.
    Translation of Written Materials--An effective language 
assistance program ensures that written materials routinely provided 
in English to the public are available in regularly encountered 
languages other than English. It is particularly important to ensure 
that vital documents, such as applications; materials containing 
important information regarding participation in a program; notices 
pertaining to the reduction, denial or termination of a program and/
or activity; notices advising LEP persons of the availability of 
free language assistance; and other outreach materials be translated 
into the non-English language of each identified eligible LEP group 
likely to be directly affected by a recipient's program.

    One way for a recipient to know with greater certainty that it will 
be found in compliance with its obligations to provide written 
translations in languages other than English is for the recipient to 
meet ``Safe Harbor'' standards. A recipient that provides written 
translations under the following circumstances will be considered by 
NASA to be in compliance with its obligation under Title VI regarding 
written translations.\2\
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    \2\ The ``Safe Harbor'' provisions are not intended to establish 
numerical thresholds for the translation of written materials by 
recipients. The numbers are based on the U.S. Department of Health 
and Human Services' (DHHS) experience in enforcing Title VI and are 
to be used as a point of reference in implementing specific steps to 
ensure that LEP is not a barrier to program participation.
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    (i) The recipient provides translated written materials, including 
vital documents, for each eligible LEP language group that constitutes 
10 percent of the population of persons likely to be directly effected 
by the recipient's program., or 3,000 persons, whichever is less;
    (ii) For LEP language groups that do not fall within paragraph (i) 
above, but constitute 5 percent or 1,000 persons, whichever is less, of 
the population of persons likely to be directly effected, the recipient 
ensures that, at a minimum, vital documents are translated into the 
appropriate non-English language(s) of such LEP persons. Translation of 
other documents, if needed, can be provided orally.
    (iii) A recipient with fewer than 100 persons in a language group 
likely to be directly effected by the recipient's program, does not 
translate written materials but provides written notice in the primary 
language of the LEP language group of the right to receive competent 
oral translation of written materials.

(5) Promising Practices

    In meeting the needs of LEP persons, some recipients have found 
unique ways of providing interpreter services and reaching out to the 
LEP community. Examples of promising practices include the following:
    (a) Language Banks--In several parts of the country, both urban and 
rural, community organizations have created community language banks 
that train, hire, and dispatch competent interpreters to participating 
organizations, reducing the need to have on-staff interpreters for low 
demand languages. These language banks are frequently nonprofit and 
charge reasonable rates. This approach is particularly appropriate 
where there is a scarcity of language services, or where there is a 
large variety of language needs.
    (b) Language Support Office--A State social services agency has 
established an ``Office for Language Interpreter Services and 
Translation.'' This office tests and certifies all in-house and 
contract interpreters, provides agency-wide support for translation of 
forms, client mailings, publications and other written materials into 
non-English languages, and monitors the policies of the agency and its 
vendors that affect LEP persons.
    (c) Use of Technology--Some recipients use their internet and/or 
intranet capabilities to post translated documents online. These 
translated documents can be accessed as needed.
    (d) Telephone Information Lines--Recipients have established 
telephone information lines in languages spoken by frequently 
encountered language groups to instruct callers, in the non-English 
languages, on how to leave a recorded message that will be answered by 
someone who speaks the caller's language.
    (e) Signage and Other Outreach--Other recipient/covered entities 
have provided information about programs and/or activities, and the 
availability of free language assistance, in appropriate languages by: 
(i) Posting signs and placards with this information in public places; 
(ii) putting notices in newspapers, and on radio and television 
stations that serve LEP groups; (iii) placing flyers and signs in the 
offices of community organizations that serve large populations of LEP 
persons; and (iv) establishing information lines in appropriate 
languages.

(6) Compliance and Enforcement

    Failure to implement any of the measures mentioned in this guidance 
does not mean noncompliance with Title VI, and NASA, or its designee, 
will review the totality of the circumstances in each case. NASA's 
designee for conducting complaint investigations and compliance reviews 
in elementary and secondary schools, and institutions of higher 
education, is the U.S. Department of Education under the Delegation 
Agreement published at 52 FR 43385 (Nov. 12, 1987).
    The Title VI regulations provide that NASA's Associate 
Administrator for Equal Opportunity Programs, the Agency's Principal 
Compliance Officer (PCO), or his/her designee, will investigate 
whenever NASA receives a complaint, report or other information that 
alleges or indicates possible noncompliance with Title VI. If the 
investigation results in a finding of compliance, the PCO, or his/her 
designee, will inform the recipient in writing of this determination, 
including the basis for the determination. If the investigation results 
in a finding of noncompliance, the PCO or his/her designee, will so 
inform the recipient and the matter will be resolved through informal 
means, whenever possible. If the matter cannot be resolved, compliance 
may be effected by the

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suspension or termination of or refusal to grant or to continue Federal 
financial assistance or by any other means authorized by law.
    Recipients have considerable flexibility in determining how to 
comply with their legal obligation in the LEP setting, and are not 
required to use all of the suggested methods and options mentioned in 
these guidelines. However, recipients must establish and implement 
policies and procedures for providing language assistance sufficient to 
fulfill their Title VI responsibilities and provide LEP persons with 
meaningful access to services.
    NASA will enforce Title VI as it applies to recipients' 
responsibilities to LEP persons through the procedures provided for in 
its Title VI regulations. These procedures include complaint 
investigations, compliance reviews, efforts to secure voluntary 
compliance, and technical assistance.
    Under 14 CFR 1250.107, NASA has a legal obligation to seek 
voluntary compliance in resolving cases and cannot seek the termination 
of funds until it has engaged in voluntary compliance efforts and has 
determined that compliance cannot be secured voluntarily. NASA will 
engage in voluntary compliance efforts, and will provide technical 
assistance to recipients at all stages of its investigation. During 
these efforts to secure voluntary compliance, NASA will propose 
reasonable timetables for achieving compliance and will consult with 
and assist recipients in exploring cost effective ways of coming into 
compliance, by sharing information on potential community resources, by 
increasing awareness of emerging technologies, and by sharing 
information on how other recipients have addressed the language needs 
of diverse populations.
    Executive Order 13166 requires that each Federal department or 
agency extending Federal financial assistance subject to Title VI issue 
separate guidance implementing uniform Title VI compliance standards 
with respect to LEP persons. Where recipients of Federal financial 
assistance from NASA also receive assistance from one or more other 
Federal departments or agencies, there is no obligation to conduct and 
document separate but identical analyses and language assistance plans 
for NASA. Therefore, in discharging its compliance and enforcement 
obligations under Title VI, NASA may rely on analyses performed and 
plans developed in response to similar detailed LEP guidance issued by 
other Federal agencies. In determining a recipient's compliance with 
Title VI, NASA's primary concern is to ensure that the recipient's 
policies and procedures overcome barriers resulting from language 
differences that would deny LEP persons a meaningful opportunity to 
participate in and access programs and activities, and their respective 
benefits. A recipient's appropriate use of the methods and options 
discussed in this guidance will be viewed by NASA as evidence of a 
recipient's good faith effort to voluntarily comply with its Title VI 
obligations.

(7) English-Only Provisions

    State and local laws may provide additional obligations to serve 
LEP individuals, but such laws cannot compel recipients of Federal 
financial assistance to violate Title VI. For instance, given our 
constitutional structure, state or local ``English-only'' laws do not 
relieve a recipient of Federal financial assistance from its 
responsibilities under Federal anti-discrimination laws. Entities in 
states and localities with ``English-only'' laws are not required to 
accept Federal funding--but if they do, they must comply with Title VI, 
including its prohibition against national origin discrimination by 
recipients of Federal assistance. Failure to make Federally assisted 
programs and activities accessible to individuals who are LEP will, in 
certain circumstances, be found to be in violation of Title VI.

(8) Technical Assistance

    NASA's Office of Equal Opportunity Programs (OEOP) will provide 
technical assistance to recipients, and will be available to provide 
such assistance to any recipient seeking to ensure that it operates an 
effective language assistance program. In addition, during its 
investigative process, NASA is available to provide technical 
assistance to enable recipients to come into voluntary compliance.

(9) Attachment

    Appendix A is a summary, in question and answer format, of a number 
of the critical elements of this guidance. It is intended to assist 
recipients in understanding their obligations under Title VI to ensure 
meaningful access to LEP persons.

Appendix A

Questions and Answers Regarding NASA's Policy Guidance on the Title VI 
Prohibition Against National Origin Discrimination as it Affects 
Persons with Limited English

Proficiency

    1. Q. What is the purpose of the guidance on language access 
released by NASA?
    A. The purpose of the guidance is two-fold: first, to clarify 
the responsibilities of entities who receive Federal financial 
assistance from NASA, and assist them in fulfilling their 
responsibilities to Limited English Proficient (LEP) persons, 
pursuant to Title VI of the Civil Rights Act of 1964, as amended 
(Title VI); and second, to clarify to members of the public that 
recipients of Federal financial assistance from NASA must ensure 
that LEP persons have meaningful access to their programs and 
activities.
    2. Q. What does the policy guidance do?
    A. The policy guidance does the following:
     Reiterates the principles of Title VI with respect to 
LEP persons.
     Discusses the policies, procedures and other steps that 
recipients can take to ensure meaningful access to their program by 
LEP persons.
     Clarifies that failure to take one or more of these 
steps does not necessarily mean noncompliance with Title VI.
     Provides that NASA will determine compliance on a case 
by case basis, and that such assessments will take into account the 
size of the recipient, the size of the LEP population, the nature of 
the program, the resources available, and the frequency of use by 
LEP persons.
     Provides that recipients with limited resources will 
have a great deal of flexibility in achieving compliance.
     Provides that NASA will extend technical assistance to 
recipients, as needed.
    3. Q. Who should follow the guidance?
    A. Covered entities include any State, political subdivision of 
any State, or instrumentality of any State or political subdivision, 
any public or private agency, institution, or organization, or other 
entity, or any individual to whom Federal financial assistance is 
extended, directly or through another recipient, including any 
successor, assign, or transferee thereof.
    4. Q. How does the guidance affect small recipients?
    A. The key to providing meaningful access for LEP persons is to 
ensure that the objective and content of the program can be 
communicated to the LEP person and the LEP person is able to 
understand the benefits available and is able to receive those 
benefits in a timely manner. Small recipients will have considerable 
flexibility in determining precisely how to fulfill their 
obligations to ensure meaningful access for persons with limited 
English proficiency. NASA will assess compliance on a case by case 
basis and will take into account the size of the recipient, the size 
of the LEP population that the program will impact, the nature of 
the program, the objectives of the program, the total resources 
available to the recipient, the frequency with which languages other 
than English are encountered and the frequency with which LEP 
persons come into contact with the program. There is no ``one size 
fits all'' solution for Title VI compliance with respect to LEP 
persons. In other words, NASA will focus on whether LEP persons have 
access to the programs provided by the recipient. NASA will be 
available to provide technical assistance to any recipient seeking 
to ensure that s/he operates an effective language assistance 
program.

[[Page 15146]]

    5. Q. The guidance identifies some specific circumstances under 
which NASA will consider a program to be in compliance with its 
obligation under Title VI to provide written materials in languages 
other than English. Does this mean that a recipient will be 
considered out of compliance with Title VI if its program does not 
fall within these circumstances?
    A. No. The circumstances outlined in the guidance are intended 
to provide ``Safe Harbor'' for recipients who desire greater 
certainty with respect to their obligations to provide written 
translations. Thus, a recipient whose policies and practices fall 
within these circumstances will generally be found in compliance 
with Title VI. However, the failure to fall within the ``safe 
harbors'' outlined in the guidelines does not mean that a recipient 
is not in compliance with Title VI. In such circumstances, NASA will 
review the totality of circumstances to determine the precise nature 
of a recipient's obligation to provide written materials in 
languages other than English. If translation of a certain document 
or set of documents would be so financially burdensome as to defeat 
the legitimate objectives of its program, or if there is an 
alternative means of ensuring that LEP persons have meaningful 
access to the information provided in the document (such as timely, 
effective oral interpretation of vital documents), NASA will likely 
not find the translation necessary for compliance with Title VI.
    6. Q. The guidance makes reference to ``vital documents'' and 
notes that, in certain circumstances, a recipient/covered entity may 
have to translate such documents into other languages. What is a 
vital document?
    A. Given the programs and activities receiving NASA financial 
assistance, we do not attempt to identify vital documents and 
information with specificity in each program area. Rather, written 
material should be considered vital if it contains information that 
is critical for accessing the recipient's programs and activities, 
and their respective benefits. Thus, vital documents include, but 
are not limited to, announcements of programs and activities, 
applications to participate in programs and activities, letters or 
notices that require a response from the potential program 
participant, and documents that advise of free language assistance. 
NASA will also collaborate with its recipients to assist in 
determining which documents are deemed to be vital within a 
particular program.
    7. Q. Will recipients have to translate large documents?
    A. Not necessarily. As part of its overall language assistance 
program, a recipient must develop and implement a plan to provide 
written materials in languages other than English where a 
significant number or percentage of the population likely to be 
directly affected by the program needs services or information in a 
language other than English to communicate effectively. NASA can 
provide technical assistance to recipients in assessing the need for 
written translation of documents and vital information contained in 
larger documents on a case by case basis. Large documents, such as 
handbooks, may not need to be translated or may not need to be 
translated in their entirety. For example, a recipient may be 
required to provide written translations of vital information 
contained in larger documents, but may not have to translate the 
entire document, to meet its obligations under Title VI.
    8. Q. May a recipient require a LEP person to use a family 
member or a friend as his or her interpreter?
    A. No. The recipient is expected to inform the LEP person of the 
right to receive free interpreter services first and permit the use 
of family and friends only after such offer of assistance has been 
declined.
    9. Q. How does blindness and deafness among the LEP population 
affect the obligations of Federal fund recipients?
    A. Section 504 of the Rehabilitation Act of 1973, as amended, 
requires that recipients provide sign language and oral interpreters 
for people who have hearing impairments and provide materials in 
alternative formats such as in large print, Braille, or on tape for 
individuals with visual disabilities. A recipient is expected to 
provide the same assistance and/or services to members of the LEP 
population in the particular LEP group's primary language.
    10. Q. Can NASA provide help to recipients who wish to come into 
compliance with Title VI?
    A. Yes. NASA OEOP staff at Headquarters and Equal Opportunity 
(EO) Officers at all NASA Centers are prepared to work with 
recipients to help them meet their obligations under Title VI. As 
part of its technical assistance services, NASA can help identify 
best practices and successful strategies used by other federal fund 
recipients, identify sources of federal reimbursement for 
translation services, and point recipients to other resources.
    11. Q. How will NASA enforce compliance by recipients with the 
LEP requirements of Title VI?
    A. NASA will enforce Title VI as it applies to recipients 
through the procedures provided for in the Title VI regulations (14 
CFR Part 1250). Title VI regulations provide that NASA will 
investigate whenever it receives a complaint, report, or other 
information that alleges or indicates possible noncompliance with 
Title VI. If the investigation results in a finding of compliance, 
NASA will inform the recipient in writing of this determination, 
including the basis for the determination. If the investigation 
results in a finding of noncompliance, NASA must inform the 
recipient of the noncompliance in writing. By regulation, NASA must 
attempt to secure voluntary compliance through informal means. If 
the matter cannot be resolved informally, NASA must secure 
compliance through (a) the termination of Federal assistance after 
the recipient has been given an opportunity for an administrative 
hearing, (b) referral to DOJ for injunctive relief or other 
enforcement proceedings, or (c) any other means authorized by law.
    12. Q. Does issuing this guidance mean that NASA will be 
changing how it enforces compliance with Title VI?
    A. No. How NASA enforces Title VI is governed by the Title VI 
implementing regulations at 14 CFR 1250. The methods and procedures 
used to investigate and resolve complaints, and conduct compliance 
reviews, have not changed.

    Dated: March 12, 2001.
George E. Reese,
Associate Administrator for Equal Opportunity Programs.

[FR Doc. 01-6500 Filed 3-14-01; 8:45 am]
BILLING CODE 7510-01-U