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政策法规国土安全部 (DHS)

国土安全部废除部分第六章民权法规条款

发布日期 2026年6月22日生效日期 2026年6月22日

美国国土安全部(DHS)发布最终规则,废除其第六章(Title VI)民权法规中关于禁止无意的不成比例影响(disparate impact)歧视的条款。此举与司法部(DOJ)此前发布的类似规则保持一致,与签证或移民资格无直接关系。

要点

影响对象

通过DHS或FEMA接受联邦财政援助的实体和项目受到影响。

建议行动

签证申请人或移民律师无需采取任何行动,因为该规则不影响移民资格或程序。

全文翻译

官方原文全文已于 2026-10-12 保存在本站。即使原链接变更或被删除,仍可在此查看全文。译文由 AI 逐段翻译,仅英文原文具有法律效力。

文件标题
Document Headings
文件标题因文件类型而异,但可能包含以下内容:
Document headings vary by document type but may contain the following:
发布并签署该文件的机构
the agency or agencies that issued and signed a document
该文件所修订、拟议修订或与之直接相关的联邦法规汇编(CFR)标题编号及各部分编号
the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to
机构案卷编号/机构内部档案编号
the agency docket number / agency internal file number
在《联邦监管与去监管行动统一议程》中标识每项监管行动的RIN编号
the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions
欲了解更多详情,请参阅《文件起草手册》。
See the Document Drafting Handbook for more details.
美国国土安全部
Department of Homeland Security
部长办公室
Office of the Secretary
联邦紧急事务管理署
Federal Emergency Management Agency
《联邦法规汇编》第6编第21部分
6 CFR Part 21
《联邦法规汇编》第44编第7部分
44 CFR Part 7
[案卷编号:DHS-2025-1009]
[Docket No. DHS-2025-1009]
RIN 1601-AB22
RIN 1601-AB22
(印刷版第36963页)
( printed page 36963)
机构:
AGENCY:
美国国土安全部(DHS)部长办公室。
Office of the Secretary, Department of Homeland Security (DHS).
行动:
ACTION:
最终规则。
Final rule.
摘要:
SUMMARY:
通过本规则,美国国土安全部(DHS)对其实施《1964年民权法案》第六章(以下简称“第六章”)的相关法规进行修订,以与美国司法部(DOJ)近期发布的规则保持一致。与司法部规则相同,本规则使国土安全部的法规更贴近第六章的原始公共含义,避免了宪法方面的担忧,降低了合规成本,并符合公共利益。
By this rule, DHS amends its regulations implementing Title VI of the Civil Rights Act of 1964 (Title VI) consistent with a recent rule issued by the Department of Justice (DOJ). Like the DOJ rule, this rule aligns the DHS regulations more closely with Title VI's original public meaning, avoids constitutional concerns, reduces compliance costs, and serves the public interest.
日期:
DATES:
本规则自2026年6月22日起生效。
The rule is effective June 22, 2026.
联系方式:
FOR FURTHER INFORMATION CONTACT:
罗恩·萨尔蒂尼(Ron Sartini),美国国土安全部民权与公民自由办公室代理专员,美国国土安全部民权与公民自由办公室,电子邮箱:[email protected]。
Ron Sartini, Acting Officer for Civil Rights and Civil Liberties, Office for Civil Rights and Civil Liberties, U.S. Department of Homeland Security, [email protected].
补充信息:
SUPPLEMENTARY INFORMATION:
一、背景
I. Background
A. 国土安全部与联邦紧急事务管理署的第六章法规
A. DHS and FEMA Title VI Regulations
《2002年国土安全法》(公法第107-296号,116 Stat. 2135,2002年11月25日颁布),经修订后编入《美国法典》第6编第101条及其后各条,设立了美国国土安全部,并将众多与国土安全相关的职能移交给该部,包括处理天灾人祸及应急规划等事务。参见,例如,《美国法典》第6编第111条、第311条至第323条。根据《国土安全法》的规定,联邦紧急事务管理署(FEMA)于2003年3月1日并入国土安全部,自该日起生效。[1] 作为建立相关程序工作的一部分,国土安全部于2003年3月6日发布了一项临时最终规则,以落实第六章的规定,该章禁止在任何接受联邦财政资助的项目或活动中基于种族、肤色或民族血统进行歧视。[2] 国土安全部的第六章法规(以下简称“国土安全部规则”)被纳入《联邦法规汇编》第6编新增的第21部分。
The Homeland Security Act of 2002, Public Law 107-296, 116 Stat. 2135 (Nov. 25, 2002), codified as amended at 6 U.S.C. 101 et seq., created DHS and transferred to it many functions related to homeland security, including the handling of natural and manmade crisis and emergency planning. See, e.g.,6 U.S.C. 111, 311-323. Pursuant to the Homeland Security Act, the Federal Emergency Management Agency (FEMA) was merged into DHS effective March 1, 2003.[1] As part of the establishment of procedures, DHS issued an interim final rule on March 6, 2003, to effectuate Title VI, which prohibits discrimination on the basis of race, color, or national origin in any programs or activities receiving Federal financial assistance.[2] The DHS Title VI regulations (DHS rule) were included in a new Part 21 of Title 6 of the Code of Federal Regulations (CFR).
国土安全部规则通过规定开展调查及实现合规的程序等要求,落实了第六章的各项规定。该规则大体上与当时其他部门实施的规则保持一致,包括适用于转隶至国土安全部的组成部门的规则。参见,例如,《联邦法规汇编》第44编第7部分A分部。由于联邦紧急事务管理署此前已依据其自身原有权限发布了一项第六章规则,[3] 根据国土安全部规则的条款规定,该规则(即《联邦法规汇编》第44编第7部分A分部所载规则,以下简称“联邦紧急事务管理署规则”)对联邦紧急事务管理署继续有效。[4]
The DHS rule effectuated the provisions of Title VI by providing for the conduct of investigations and procedures for effecting compliance, among other requirements. The rule generally mirrored rules in effect at that time at other departments, including those applicable to the constituent components that were transferred to DHS. See, e.g.,44 CFR part 7, subpart A. Because FEMA had previously issued a Title VI rule under its own preexisting authority,[3] that rule, at 44 CFR part 7, subpart A (FEMA rule), remained in effect for FEMA under the terms of the DHS rule.[4]
B. 2025年司法部规则
B. 2025 DOJ Rule
根据第12250号行政命令的规定,“司法部长应协调各行政机构对……《1964年民权法案》第六章(《美国法典》第42编第2000d条及其后各条)的执行与实施”。据此,美国司法部(DOJ)作为负责界定第六章所禁止的、在接受联邦财政资助的项目或活动中基于种族、肤色和民族血统进行歧视这一规定的性质与范围的牵头联邦机构。第12250号行政命令指示司法部,除其他事项外,“制定采取执法行动以及开展调查和合规审查的标准和程序”。此外,作为这一职责的一部分,第12250号行政命令还规定,司法部长必须批准其他机构实施第六章的联邦法规。
Pursuant to Executive Order 12250, “[t]he Attorney General shall coordinate the implementation and enforcement by Executive agencies of . . . Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.).” Accordingly, DOJ acts as the lead federal agency responsible for defining the nature and scope of Title VI's prohibition of discrimination on the basis of race, color, and national origin in programs or activities receiving Federal financial assistance. Executive Order 12250 directs DOJ, among other things, to “develop standards and procedures for taking enforcement actions and for conducting investigations and compliance reviews.” Further, as part of this responsibility, Executive Order 12250 provides that the Attorney General must approve other agencies' Federal regulations implementing Title VI.
2025年12月10日,美国司法部(DOJ)发布了一项最终规则(以下简称“司法部规则”),修订其第六章规定的部分内容,以使其规定更符合国会在第六章中禁止的故意歧视行为的范围。90 FR 57141(2025年12月10日)。司法部说明,第六章规定存在严重的法律和宪法问题,该规定超出了故意歧视的范围,禁止了具有非故意性差异影响的行为。90 FR第57141页。司法部还说明,出于独立的政策考量,也支持修订其第六章规定,使其不再涵盖具有非故意性差异影响的行为。90 FR第57143页至第57145页。因此,司法部规则废止了该规定中禁止具有差异影响行为的部分内容。同上。
On December 10, 2025, DOJ issued a final rule (DOJ rule) amending portions of its Title VI regulations to more closely align its regulations to the scope of intentionally discriminatory conduct that Congress prohibited in Title VI. 90 FR 57141 (Dec. 10, 2025). DOJ explained that there were serious statutory and constitutional concerns with the Title VI regulations, which went beyond intentional discrimination by prohibiting conduct that has an unintentional disparate impact. 90 FR at 57141. DOJ also explained that policy concerns independently supported amending its Title VI regulations to no longer cover conduct that has an unintentional disparate impact. 90 FR at 57143-57145. The DOJ rule accordingly rescinded those portions of the regulations that prohibited conduct having a disparate impact. Id.
司法部还说明,其修订规则符合第14281号行政命令“恢复机会平等与精英制度”(90 FR 17537(2025年4月28日))。90 FR第57142页至第57143页。该命令规定:“美国的政策是在所有情形下最大限度地消除差异影响责任的适用,以避免违反宪法、联邦民权法律及美国的基本理念。”90 FR 17537。该命令指示司法部长等人审查第六章规定,并“在这些规定涉及差异影响责任的范围内,启动适当行动予以废止或修订”。同上,第17538页。司法部说明,尽管司法部即使没有第14281号行政命令也会发布该规则,但该命令支持司法部规则。90 FR 57141。与司法部相同,国土安全部(DHS)即使没有第14281号行政命令也会发布其规则,但该命令同样支持国土安全部规则。
DOJ also explained that its revised rule is consistent with Executive Order 14281 “ Restoring Equality of Opportunity and Meritocracy ” (90 FR 17537 (Apr. 28, 2025)). 90 FR at 57142-43. That Order stated that “[i]t is the policy of the United States to eliminate the use of disparate-impact liability in all contexts to the maximum degree possible to avoid violating the Constitution, Federal civil rights laws, and basic American ideals.” 90 FR 17537. The Order directed the Attorney General to, among other things, review Title VI regulations and “initiate appropriate action to repeal or amend” these regulations “to the extent they contemplate disparate-impact liability.” Id. at 17538. DOJ explained that although DOJ would have issued its rule independent of Executive Order 14281, the Order supports the DOJ rule. 90 FR 57141. Like DOJ, DHS would issue its rule independent of Executive Order 14281, but the Order also supports DHS's rule.
司法部说明,这些删除内容向司法部的联邦资助接受者明确表明,司法部的第六章规定禁止故意歧视行为,而不(印刷页第36964页)禁止具有非故意性差异影响的行为或活动,因此司法部不会对其联邦资助接受者追究第六章差异影响责任。同上,第57141页。
DOJ explained that the deletions make clear to DOJ Federal-funding recipients that DOJ's Title VI regulations prohibit intentional discrimination and do not ( printed page 36964) prohibit conduct or activities that have an unintentional disparate impact, and DOJ thus will not pursue Title VI disparate-impact liability against its Federal-funding recipients. Id. at 57141.
司法部还详细讨论了与第六章及差异影响歧视理论相关的法律和法规沿革,梳理了对现行法规合法性提出质疑的相关最高法院判例,并对当时现行司法部法规中有关差异影响和平权行动方面的内容表达了严重的政策关切。同上,第57141页至第57145页。国土安全部同意司法部最终规则的实质内容,并全面采纳并纳入司法部最终规则序言的讨论内容,包括以下部分:(1) 第六章的法律和法规沿革;(2) 相关最高法院判例;(3) 严重的法律和宪法关切;(4) 严重的政策关切;(5) 法规替代方案;以及(6) 信赖利益。
DOJ also included a detailed discussion of the statutory and regulatory history surrounding Title VI and disparate-impact theories of discrimination, canvassed relevant Supreme Court precedent casting doubt on the lawfulness of existing regulations, and expressed serious policy concerns with the disparate-impact and affirmative-action aspects of then-existing DOJ regulations. Id. at 57141-45. DHS agrees with the substance of DOJ's final rule and adopts and incorporates DOJ's final rule preamble discussion in full, including the sections addressing: (1) statutory and regulatory history of Title VI; (2) relevant Supreme Court precedents; (3) serious legal and constitutional concerns; (4) serious policy concerns; (5) regulatory alternatives; and (6) reliance interests.
C. 制定规则的必要性
C. Need for Rulemaking
国土安全部第6 CFR第21.5条法规,题为“禁止歧视”,以及联邦紧急事务管理局(FEMA)第44 CFR第7.5条法规,题为“禁止的具体歧视行为”,均包含若干超出法定文本和宪法要求的条款,禁止表面中立但具有差异影响的政策,并在某些情况下鼓励甚至要求以“平权行动”为名的违法歧视行为。国土安全部和联邦紧急事务管理局的第六章差异影响法规的合法性存在严重的法律和宪法问题。国土安全部对其现行差异影响法规也存在严重的政策关切,因为这些法规造成混乱,削弱公众对国家民权法律和法治的信心,并产生繁重的诉讼和合规成本。
DHS's regulations at 6 CFR 21.5, entitled “Discrimination prohibited,” and FEMA's regulations at 44 CFR 7.5, entitled “Specific discriminatory actions prohibited,” contain several provisions that go beyond the statutory text and constitutional requirements by prohibiting facially neutral policies that have a disparate impact and in some instances encourage or even require unlawful discrimination labeled as “affirmative action.” There are serious statutory and constitutional concerns with the legality of DHS's and FEMA's Title VI disparate-impact regulations. DHS also has serious policy concerns with its current disparate-impact regulations because they create confusion, undermine public confidence in the nation's civil rights laws and the rule of law, and produce burdensome litigation and compliance costs.
1. 严重的法律关切
1. Serious Legal Concerns
关于第六章是否授权现行法规中差异性影响条款的问题,存在严重的法定依据方面的疑虑。正如最高法院已明确指出的那样,第六章仅禁止“故意歧视”,并且在不存在歧视意图的情况下,“允许”表面中立的政策产生不同结果。Alexander诉Sandoval案,532 U.S. 275, 280, 286 n.6 (2001)。这是第六章的“唯一最佳含义”。Loper Bright Enterprises诉Raimondo案,603 U.S. 369, 400 (2024)。Sandoval案对国土安全部(DHS)“差异性影响法规”的合法性提出了严重质疑。Sandoval案,532 U.S. at 281-82, 284-85(指出司法部的法规与最高法院关于第六章的判例存在“相当大的紧张关系”);另见同案第286页脚注6(“[第六章]允许该法规所禁止的行为。”)。尽管Sandoval案仅解决了私人可执行性的问题,但随后的案例,如Loper Bright案,已明确表明国土安全部不能将第六章的适用范围扩展至超出其原始公开含义。见603 U.S. at 412-13(认定“法院必须……确保[某]机构在其”法定权限范围内行事)。即使在没有最高法院判例的情况下,国土安全部也应得出结论,认为对第六章的最佳解读是仅禁止故意歧视。
There are serious statutory concerns as to whether Title VI authorizes the disparate-impact provisions of the current regulations. As the Supreme Court has made clear, Title VI prohibits “only intentional discrimination” and “permits” facially neutral policies that result in disparate outcomes when there is no discriminatory intent. Alexander v. Sandoval, 532 U.S. 275, 280, 286 n.6 (2001). That is the “single, best meaning” of Title VI. Loper Bright Enterprises v. Raimondo, 603 U.S. 369, 400 (2024). Sandoval calls into serious doubt the legality of DHS's “disparate-impact regulations.” Sandoval, 532 U.S. at 281-82, 284-85 (noting that DOJ's regulations were in “considerable tension” with the Supreme Court's Title VI precedents); see also id. at 286 n.6 (“[Title VI] permits the very behavior that the regulations forbid.”). Although Sandoval resolved only the question of private enforceability, subsequent cases such as Loper Bright have made clear that DHS cannot extend Title VI beyond its original public meaning. See 603 U.S. at 412-13 (holding that “courts must . . . ensur[e] that [an] agency acts within” its statutory authority). And even in the absence of Supreme Court precedent, DHS would have concluded that the best reading of Title VI is that it prohibits only intentional discrimination.
第六章授权各机构颁布法规“以实施”该法规对故意歧视的禁止。42 U.S.C. 2000d-1。现行法规将被禁止的行为扩展至包括非故意的差异性影响行为,其范围远远超出了该法规本身。这一范围过于宽泛,不能被视为旨在防止故意歧视的简单预防性措施。参见Sandoval案,532 U.S. at 286 n.6(“[第六章]允许该法规所禁止的行为。”)。因此,差异性影响法规并未“实施”第六章。42 U.S.C. 2000d-1。
Title VI authorizes agencies to promulgate regulations “to effectuate” the statute's prohibition of intentional discrimination. 42 U.S.C. 2000d-1. The current regulations' extension of prohibited conduct to include conduct with an unintentional disparate impact reaches a vastly broader scope than the statute itself. This scope is too broad to be considered a simple prophylactic measure aimed at preventing intentional discrimination. See Sandoval, 532 U.S. at 286 n.6 (“[Title VI] permits the very behavior that the regulations forbid.”). Thus, the disparate-impact regulations do not “effectuate” Title VI. 42 U.S.C. 2000d-1.
关于国土安全部的第六章法规是否符合平等保护条款的宪法要求,也存在严重的疑虑。正如最高法院最近在“学生公平录取组织诉哈佛大学校长及董事会案”(以下简称“SFFA案”)中所认定的那样,“平等保护条款……适用于不论种族、肤色或民族血统的任何差异,其适用具有普遍性”,并且“平等保护的保障不能在适用于某一个人时意味着一种含义,而在适用于另一肤色的人时意味着另一种含义”。600 U.S. 181, 206 (2023)(内部引号省略)(首先引用Yick Wo诉Hopkins案,118 U.S. 356, 369 (1886),随后引用加州大学董事会诉Bakke案,438 U.S. 265, 289-90 (1978)(鲍威尔大法官意见))。尽管平等保护条款作出了上述承诺,但根据国土安全部的法规,受资助者因差异性影响而承担责任的风险是由非故意的差异性结果触发的,而受资助者甚至可能在未经调查的情况下都不知道存在这种结果。为评估和规避这种风险,受资助者必须承担调查成本,例如进行影响分析,并被迫主动考虑种族、肤色和民族血统因素,甚至可能利用这些因素来改变非故意产生的差异性结果。简言之,差异性影响责任制度鼓励,并在某些情况下要求受监管实体通过对不同种族群体区别对待的方式,故意利用种族因素和种族平衡手段来消除这些差异性结果,而这正是平等保护条款所禁止的行为。参见同案。这些反常激励所引发的严重宪法疑虑进一步证实,对第六章的最佳解读是其仅禁止故意歧视,并不授权国土安全部施加差异性影响责任。参见爱德华·J·德巴尔托洛公司诉佛罗里达湾海岸建筑与施工行业理事会案,485 U.S. 568, 575 (1988)(“凡对某一法规原本可接受的解释会引发严重的宪法问题时,法院将对该法规作出避免此类问题的解释,除非该解释明显违背国会意图。”(援引全国劳资关系委员会诉芝加哥天主教主教案,440 U.S. 490, 499-501, 504 (1979)))。
There are also serious concerns about whether DHS's Title VI regulations pass constitutional muster under the Equal Protection Clause. As the Supreme Court recently held in Students for Fair Admissions, Inc. v. President & Fellows of Harvard College (“ SFFA”), “the Equal Protection Clause . . . applies without regard to any differences of race, of color, or of nationality—it is universal in its application” and the “guarantee of equal protection cannot mean one thing when applied to one individual and something else when applied to a person of another color.” 600 U.S. 181, 206 (2023) (internal quotation marks omitted) (first quoting Yick Wo v. Hopkins, 118 U.S. 356, 369 (1886) and then quoting Regents of Univ. of Cal. v. Bakke, 438 U.S. 265, 289-90 (1978) (Powell, J.)). Despite the promises of the Equal Protection Clause, a funding recipient's risk of disparate-impact liability under DHS's regulations is triggered by unintentional disparate outcomes, which the recipient may not even know about without investigation. To evaluate and avoid this risk, the funding recipient must incur investigatory costs, such as conducting an impact analysis, and is coerced to proactively consider race, color, and national origin, and potentially use it to change the unintended disparate outcomes. In short, disparate-impact liability encourages and, in some cases, requires covered entities to engage in the intentional use of race and racial balancing to eliminate those disparate outcomes by treating certain racial groups differently from others—the exact conduct the Equal Protection Clause forbids. See id. The serious constitutional concerns raised by these perverse incentives further confirm that the best reading of Title VI is that it prohibits only intentional discrimination and does not authorize DHS to impose disparate-impact liability. See Edward J. DeBartolo Corp. v. Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988) (“[W]here an otherwise acceptable construction of a statute would raise serious constitutional problems, the Court will construe the statute to avoid such problems unless such construction is plainly contrary to the intent of Congress.” (citing NLRB v. Catholic Bishop of Chi., 440 U.S. 490, 499-501, 504 (1979))).
这种被鼓励或被强制使用种族、肤色或民族血统的做法违反了平等保护条款,除非其能够经受“严苛的”严格审查标准的审查。SFFA案,第600卷美国最高法院判例汇编第206页;另参见Free Speech Coal., Inc. v. Paxton案,145 S. Ct. 2291, 2310 (2025)(“严格审查,即要求限制措施是实现重大政府利益的侵害性最小的手段,是‘宪法法上已知的最严苛的检验标准’。”(引自City of Boerne v. Flores案,521 U.S. 507, 534 (1997)))。差别影响条款所必然要求的对种族、肤色或民族血统的使用,在实现重大利益所需的狭义剪裁要求方面遭遇严重问题。SFFA案,第600卷第206至207页。
This encouraged or coerced use of race, color, or national origin violates the Equal Protection Clause unless it survives review under the “daunting” strict-scrutiny standard. SFFA, 600 U.S. at 206; see also Free Speech Coal., Inc. v. Paxton, 145 S. Ct. 2291, 2310 (2025) (“Strict scrutiny—which requires a restriction to be the least restrictive means of achieving a compelling governmental interest—is `the most demanding test known to constitutional law.'” (quoting City of Boerne v. Flores, 521 U.S. 507, 534 (1997))). The use of race, color, or national origin necessitated by the disparate-impact provisions runs into serious issues with the requirement of narrow tailoring to achieve a compelling interest. SFFA, 600 U.S. at 206-07.
同样,“平权行动”条款授权、且有时要求故意使用种族因素,而不要求这种故意使用必须经过狭义剪裁以服务于公认的重大利益。相反,该条款鼓励有意的种族平衡,以“克服”非故意种族差异“的影响”。《联邦法规汇编》第6卷第21.5条第(b)款第(6)项。因此,基于与上述大体相同的理由,“平权行动”条款引发了严重的宪法关切。
Similarly, the “affirmative action” provision authorizes and sometimes requires the intentional use of race without requiring that this intentional use be narrowly tailored to serve a recognized compelling interest. Instead, it encourages intentional racial balancing “to overcome the effects of” unintended racial disparities. 6 CFR 21.5(b)(6). Thus, for substantially the same reasons as above, the “affirmative action” provision raises serious constitutional concerns.
如上所述,国土安全部(DHS)的差别影响条例存在严重的法定及宪法方面的关切。但即使这些条例与制定法相符,国土安全部认为,消除上述潜在的宪法关切(印刷页第36965页)本身即足以独立地证明修订该条例的正当性。参见U.S. Tel. Ass'n v. FCC案,188 F.3d 521, 528 (D.C. Cir. 1999)(认定为“避免引发非轻微的宪法问题”而采取某项政策并非“武断和任意”)。而且,即使这些条例未引发严重的宪法关切,国土安全部认为,消除因制定法与差别影响条例不匹配而造成的成本和混乱,本身即足以独立地证明废止该等条例的正当性。
As summarized above, there are serious statutory and constitutional concerns with DHS's disparate-impact regulations. But even if the regulations were consistent with the statute, DHS finds that eliminating the potential constitutional concerns addressed above ( printed page 36965) would independently justify the amendment of the regulations. Cf. U.S. Tel. Ass'n v. FCC, 188 F.3d 521, 528 (D.C. Cir. 1999) (concluding it was not “arbitrary and capricious” to adopt a certain policy in order to “avoid[ ] raising a non-trivial constitutional question”). And even if the regulations did not raise serious constitutional concerns, DHS finds that eliminating the costs and confusion caused by the mismatch between the statute and the disparate-impact regulations would independently justify the repeal of the regulations.
二、严重的政策关切
2. Serious Policy Concerns
国土安全部对《民权法案》第六章条例所施加的差别影响责任同样存在严重的政策关切。尽管国土安全部对差别影响责任的政策关切独立于第14281号行政命令而提出,但该命令阐述了许多关于差别影响责任的合理政策关切。正如该命令第1节所指出:“在实践层面,差别影响责任阻碍了企业根据功绩和技能、自身需求或客户需求作出招聘及其他雇佣决定,因为担心此类流程可能导致差别性结果,进而引发差别影响诉讼。这使雇主在招聘时难以甚至在某些情况下不可能使用真正以职位为导向的评估方式,从而使求职者无法与最适合其技能的工作相匹配,换言之,这剥夺了他们获得成功的机会。”《联邦公报》第90卷第17537页。此外,上文所述的法律关切已使联邦资金受领人对是否及何时需要遵守差别影响条例、以及何时可以或必须考虑种族、肤色和民族血统产生不确定性和困惑。如上所述,Sandoval案对许多联邦部门和机构依据《民权法案》第六章颁布的差别影响条例的有效性提出了重大质疑。532 U.S. 第280至282页。
DHS also has serious policy concerns with the Title VI regulations' imposition of disparate-impact liability. While DHS expresses its policy concerns with disparate-impact liability independent of Executive Order 14281, that Order sets forth many valid policy concerns with disparate-impact liability. As noted in section 1 of the Order, “On a practical level, disparate-impact liability has hindered businesses from making hiring and other employment decisions based on merit and skill, their needs, or the needs of their customers because of the specter that such a process might lead to disparate outcomes, and thus disparate-impact lawsuits. This has made it difficult, and in some cases impossible, for employers to use bona fide job-oriented evaluations when recruiting, which prevents job seekers from being paired with jobs to which their skills are most suited—in other words, it deprives them of opportunities for success.” 90 FR at 17537. Moreover, the legal concerns identified above have caused uncertainty and confusion for Federal funding recipients as to whether and when they need to comply with the disparate-impact regulations and when they can or must consider race, color, and national origin. As explained above, Sandoval casts substantial doubt on the validity of the disparate-impact regulations that many Federal departments and agencies have promulgated pursuant to Title VI. 532 U.S. at 280-82.
此外,在实践中,如上所述,差别影响责任导致受监管实体从事种族平衡行为,而《民权法案》第六章却禁止故意的种族歧视。这种紧张关系容易造成混乱,并削弱公众对国家民权法律乃至法治本身的信心,因为法律似乎既禁止又要求同样的行为。
Additionally, in practice, and as explained above, disparate-impact liability leads covered entities to engage in racial balancing even as Title VI forbids intentional racial discrimination. This tension tends to create confusion and undermine public confidence in the nation's civil rights laws and in the rule of law itself, as the law seems to both forbid and require the same conduct.
这些问题因通常用于衡量差异性影响的种族和族裔类别的任意性而被放大,这些类别因其任意性而与重大利益缺乏有意义的联系。参见,例如,SFFA案,600 U.S. 216-17页(解释哈佛大学和北卡罗来纳大学所使用的“[种族]类别”“本身在许多方面都不精确”,且“使用这些不透明的种族类别损害了[其]目标,而非促进了[其]目标”)。这种混乱削弱了法律传授非歧视原则的能力,这一点在诸多方面都显而易见,包括近年来各机构资助的许多拨款提案中。过去许多拨款征求公告明确针对特定种族群体。参见,例如,DHS-23-CISA-127-CWDT-0001,《面向服务不足社区的网络安全人才发展与培训》,https://www.grants.gov/search-results-detail/347949(发布于2023年5月5日)。
These problems are amplified by the arbitrary nature of the racial and ethnic categories typically used to measure disparate effects, which, by virtue of their arbitrariness, lack a meaningful connection to a compelling interest. See, e.g., SFFA, 600 U.S. at 216-17 (explaining that the “[racial] categories” utilized by Harvard and University of North Carolina were “themselves imprecise in many ways” and “the use of these opaque racial categories undermine[d], instead of promote[d], [their] goals”). This confusion undermines the law's ability to teach principles of nondiscrimination and is evident in, among other things, many of the grant proposals that agencies awarded funds to in past years. Many of the past grant solicitations explicitly targeted certain racial groups. See, e.g., DHS-23-CISA-127-CWDT-0001, Cybersecurity Workforce Development and Training for Underserved Communities, https://www.grants.gov/​search-results-detail/​347949 (posted May 5, 2023).
美国国土安全部(DHS)已考虑过这样一种观点,即审视差异性影响有时有助于揭示或遏制隐蔽的故意歧视或对不必要且任意的障碍的故意漠视。但该观点所称的益处被DHS已考虑的其他问题和因素所超过。无论如何,这一顾虑因以下事实而得到缓解:取消差异性影响责任并不妨碍使用有关差异性结果的数据来帮助证明故意歧视。事实上,根据DHS现行未作修改的《第六编》法规,“接受资助方应向部长提供种族和族裔数据,以显示少数群体成员受益于联邦财政资助的程度。”6 CFR 21.9(b)。DHS和私人诉讼当事人均依赖此类数据作为故意歧视的潜在指标。这种利用统计差异来帮助作为证据确立故意歧视责任的做法,与利用其对非故意的差异性影响施加责任存在实质区别。
DHS has considered the view that looking at disparate effects can sometimes be useful in uncovering or deterring subtle intentional discrimination or intentional indifference to unnecessary and arbitrary barriers. But that view's alleged benefits are outweighed by the other issues and factors DHS has considered. And in any event, the concern is mitigated by the fact that eliminating disparate-impact liability does not preclude the use of data on disparate outcomes to help prove intentional discrimination. Indeed, under DHS's Title VI regulations, which the current changes do not alter, “recipients should have available for the Secretary racial and ethnic data showing the extent to which members of minority groups are beneficiaries of Federal financial assistance.” 6 CFR 21.9(b). Both DHS and private litigants rely on such data as a potential indicator of intentional discrimination. This use of statistical disparity to help establish, as an evidentiary matter, liability for intentional discrimination materially differs from using it to impose liability for an unintentional disparate impact.
DHS还考虑了尝试采用经修改版本的差异性影响责任制度这一替代方案,例如,仅要求受监管实体在教育、灾害援助或住房领域的某些特定类型案件中纠正非故意歧视。但对非故意歧视施加责任的任何版本都与《第六编》的原始公共含义不符。无论如何,即使是经修改版本的差异性影响责任制度,也无法消除DHS所关切的严重法律和政策问题。DHS认定,采用替代版本的差异性影响责任制度所带来的任何益处,均被DHS的法律和政策顾虑所超过。而且,即使可行,制定此类规则也无法解决上文所述的混乱或法治方面的顾虑,也无法降低受监管实体所面临的合规和诉讼成本。DHS认为,更好的做法是避免与此替代方案相关的复杂性、成本和诉讼,即便取消差异性影响责任最终会使部分问题未得到解决,另一些问题处理不充分。
DHS has also considered the alternative of trying to adopt a modified version of disparate-impact liability, for example, by requiring covered entities to remedy unintentional discrimination for only certain types of cases in education, disaster assistance, or housing. But any version of imposing liability for unintentional discrimination is inconsistent with Title VI's original public meaning. Regardless, even a modified version of disparate-impact liability would not eliminate DHS's serious legal and policy concerns. DHS determines that any benefits from adopting alternative versions of disparate-impact liability are outweighed by DHS's legal and policy concerns. And even if possible, developing such a rule would not solve the confusion or rule-of-law concerns expressed above, nor reduce the compliance and litigation costs that covered entities face. DHS believes that the better course is to avoid the complexities, costs, and litigation associated with this alternative, even if eliminating disparate-impact liability would ultimately leave some parts of the problem unaddressed and others inadequately addressed.
DHS还考虑了资助接受方及其他方对差异性影响法规的潜在信赖利益。然而,二十多年前的Sandoval案判决已使该法规的持续有效性受到严重质疑。此外,第14281号行政命令也指示所有机构“在法规和规章涉及差异性影响责任的范围内,将其执法工作降为较低优先级”,其中特别包括DHS关于《第六编》的差异性影响法规。90 FR第17538页。因此,DHS认为任何信赖利益均应是微小的,不足以超过DHS的法律及其他政策顾虑。此外,DHS的各项顾虑,无论是累积考虑还是单独考虑,均超过任何信赖利益。
DHS has additionally considered the potential reliance interests of funding recipients and others on the disparate-impact regulations. Sandoval, however, cast serious doubt on the continuing viability of the regulations more than 20 years ago. And Executive Order 14281 also directed all agencies to “deprioritize enforcement of all statutes and regulations to the extent they include disparate-impact liability,” including specifically DHS's Title VI disparate-impact regulations. 90 FR at 17538. DHS accordingly believes that any reliance interests should be minimal and do not outweigh DHS's legal and other policy concerns. Further, each of DHS's concerns, whether considered cumulatively or separately, outweighs any reliance interests.
DHS指出,Sandoval案还导致了私人原告对《第六编》的执法与联邦各部门和机构的执法之间出现分歧。在Sandoval案之后,私人原告只能依据《第六编》关于故意歧视的法定禁止规定提起执法诉讼,而DHS则可以继续追究差异性影响责任。废除差异性影响法规将消除这种不一致的执法状况。
DHS notes that Sandoval has also led to a divergence between Title VI enforcement by private plaintiffs and enforcement by Federal departments and agencies. After Sandoval, private plaintiffs can enforce only Title VI's statutory prohibition on intentional discrimination, while DHS can continue to pursue disparate-impact liability. Repealing the disparate-impact regulations would eliminate this incongruent enforcement.
总体而言,在考虑相关问题和因素并权衡相关考量因素之后,美国国土安全部(DHS)认定,无论其差异性影响法规的合法性如何,上述政策考量因素,无论单独看待还是综合看待,均足以独立地证明废除其差异性影响法规的正当性。
Overall, after considering the relevant issues and factors and weighing the relevant considerations, DHS finds that, regardless of the legality of DHS's disparate-impact regulations, the above-summarized policy concerns, when viewed separately or cumulatively, independently justify the repeal of its disparate-impact regulations.
二、规则说明
II. Description of Rule
美国国土安全部(DHS)正在修订其载于《联邦法规汇编》第6编第21部分的第六章法规,以及联邦紧急事务管理署(FEMA)载于《联邦法规汇编》第44编第7部分的法规,使其与美国司法部(DOJ)规则、第六章、第14281号行政命令以及相关判例法保持一致,具体如美国司法部规则中所述(印刷版第36966页)。[5] 这些修改总体上:
DHS is revising its Title VI regulations at 6 CFR part 21 and FEMA's regulations at 44 CFR part 7 consistent with the DOJ rule, Title VI, Executive Order 14281, and related case law, as ( printed page 36966) described in the DOJ rule.[5] The changes collectively:
删除DHS和FEMA第六章法规中所有关于差异性影响的表述;
Remove all disparate-impact language from DHS and FEMA Title VI regulations;
删除平权行动条款;并
Delete the affirmative-action provisions; and
确保DHS和FEMA法规与DOJ法规、第六章法定文本、最高法院判例以及第14281号行政命令保持一致。
Ensure that DHS and FEMA regulations align with DOJ regulations, the statutory text of Title VI, Supreme Court precedent, andExecutive Order 14281.
这些修改的实际效果是明确表明,DHS的第六章法规并不禁止产生非故意性差异影响的行为或活动,而仅禁止故意歧视行为,并且DHS今后将不再对DHS资助接受者追究第六章项下的差异性影响责任。
The practical effect of these changes is to make clear that DHS's Title VI regulations do not prohibit conduct or activities that have an unintentional disparate impact and prohibit only intentional discrimination, and that DHS will not pursue Title VI disparate-impact liability against DHS funding recipients.
以下为逐条分析。
A section-by-section analysis follows.
A. 《联邦法规汇编》第6编第21.5条(禁止歧视)
A. 6 CFR 21.5 (Discrimination Prohibited)
DHS正在更新第6编第21部分的授权引用条款,以更正一处明显的印刷错误(此前文本错误地引用了《美国法典》第5编第310条,本规则将其更正为《美国法典》第5编第301条),并增加对《国土安全法》的引用。
DHS is updating the authority citation for 6 CFR part 21 to correct an apparent typographical error (prior text erroneously referenced 5 U.S.C. 310, and this rule corrects it to 5 U.S.C. 301) and add a reference to the Homeland Security Act.
DHS正在删除并保留第21.5(b)(2)段,该段此前禁止受资助者采用仅产生使个人因其种族、肤色或民族血统而遭受歧视效果的政策,或实质性损害针对特定种族、肤色或民族血统个人的项目目标的政策。该段将被禁止的行为从故意歧视扩展到对联邦资助接受者施加责任,即对“采用具有使个人遭受歧视效果的标准或管理方法”的接受者追究责任。
DHS is removing and reserving paragraph 21.5(b)(2), which prohibited recipients from utilizing policies that merely have the effect of subjecting persons to discrimination because of their race, color, or national origin or substantially impairing program objectives with respect to individuals of a particular race, color, or national origin. This paragraph expanded prohibited conduct from purposeful discrimination to impose liability on Federal funding recipients who “utilize criteria or methods of administration which have the effect of subjecting individuals to discrimination.”
此项删除明确表明,DHS今后将不再追究第六章项下的差异性影响责任,仅禁止具有故意歧视性质的行为。该段予以保留是为了维持条款编号的连续性。请注意,本规则中的任何内容均不妨碍DHS将统计差异作为认定歧视是否具有故意性质的相关证据加以考虑。与DOJ最终规则保持一致,尽管差异性影响责任已被取消,但有关结果差异的数据仍可能有助于证明存在歧视性目的。事实上,根据本次修改并未改变的DHS第六章法规,“受资助者应向部长提供种族和民族数据,以显示少数群体成员在接受联邦财政资助的项目中受益的程度。”见《联邦法规汇编》第6编第21.9(b)条;另参见《联邦法规汇编》第44编第7.10(b)条。此种将统计差异用作证明故意歧视责任的证据手段,与将其用于施加非故意性差异影响责任的做法,在性质上存在实质性区别。
The removal makes clear that DHS will no longer pursue Title VI disparate-impact liability; only intentionally discriminatory conduct is prohibited. The paragraph is reserved to preserve numbering continuity. Note that nothing in this rule precludes DHS from considering statistical disparities as relevant evidence in determining whether discrimination was intentional. Consistent with DOJ's final rule, although disparate-impact liability is eliminated, data regarding disparate outcomes may still be probative of discriminatory purpose. Indeed, under DHS's Title VI regulations that the current changes do not alter, “recipients should have available for the Secretary racial and ethnic data showing the extent to which members of minority groups are beneficiaries of programs receiving Federal financial assistance.” 6 CFR 21.9(b); cf. also44 CFR 7.10(b). This use of statistical disparity to help establish, as an evidentiary matter, liability for intentional discrimination materially differs from using it to impose liability for an unintentional disparate impact.
在第(b)(3)段(涉及受资助者或申请者如何确定设施选址)中,DHS正在删除两处“或效果”字样。修改后,该段将仅禁止出于歧视目的或旨在破坏第六章目标而作出的选址行为,从而将责任限定于故意歧视行为。本规则删除这两处“或效果”的表述,旨在使第(b)(3)段更贴合国会制定第六章时所意图的责任范围,并回应上文所述的法律与政策考量及相关认定。
In paragraph (b)(3) (which relates to how recipients or applicants determine the site or location of facilities), DHS is removing both instances of the words “or effect.” The paragraph now bars selections made with the purpose of discrimination or defeating Title VI objectives, thereby limiting liability to intentional discrimination. This rule deletes both “or effect” references to conform paragraph (b)(3) more closely to the scope of liability Congress intended when it enacted Title VI and to address the legal and policy considerations and determinations described above.
DHS正在删除第(b)(6)段。该条款鼓励乃至要求受助方采取歧视性行动,以消除先前歧视的影响。此条款予以删除,因为它超出了平等保护条款的范围。平等保护条款在有限情形下允许(但并不强制)政府采取狭义界定的行动,以补救其已查明的过去歧视的影响。参见,例如,Bakke案,438 U.S. 第307页(Powell大法官意见)。此外,即便抛开强制性措辞不论,该条款也并未明确要求针对特定的过去歧视采取狭义界定的措施,而仅仅规定了“旨在消除先前歧视影响的平权行动”。因此,该条款助长了可能非法的基于种族、肤色和民族血统的歧视。此外,在某些情况下,它甚至可能迫使受助方在并不愿意的情况下考虑并使用基于种族、肤色或民族血统的优待。这与国土安全部(DHS)倡导和捍卫非歧视文化的目标背道而驰,并损害公众对国家民权法律的理解和信任。国土安全部将不再通过其法规鼓励或要求以此种方式使用种族、肤色或民族血统。
DHS is removing paragraph (b)(6). This provision encourages, if not requires, recipients to take discriminatory actions to overcome effects of prior discrimination. It is deleted because it goes beyond the Equal Protection Clause, which permits in limited circumstances, but does not mandate, a government to take narrowly tailored action to remedy the effects of its identified past discrimination. See, e.g., Bakke, 438 U.S. at 307 (Powell, J.). Moreover, even putting aside the mandatory language, this provision does not expressly require narrow tailoring to counter the particular past discrimination, but rather simply “affirmative action to overcome the effects of prior discrimination.” This provision accordingly promotes potentially illegal race, color, and national origin discrimination. Moreover, in some instances, it may even coerce recipients to consider and use race, color, or national origin preferences when the recipient may not want to. This is contrary to DHS's goal of promoting and defending a culture of nondiscrimination and is destructive to the public's understanding of and faith in the nation's civil rights laws. DHS will no longer encourage or require this use of race, color, or national origin through its regulation.
国土安全部正在修订第(c)段,以厘清第六章适用于就业实践的范围,并删除第(c)(2)段和第(c)(3)段。修订后的第(c)段确认,凡联邦财政资助的主要目标之一是提供就业的,受助方在此类项目下的就业实践中不得基于种族、肤色或民族血统实施故意歧视。该禁止性规定同样适用于以下项目:联邦财政资助的主要目标之一是(i)通过就业协助个人应付因开始或继续其教育或培训而产生的费用,或(ii)提供有助于相关个人教育或培训的工作经验。适用于建筑就业的相关要求,仍为第11246号行政命令第三部分或取代该命令的任何行政命令中所规定的要求。此项修订符合42 U.S.C. 2000d-3的规定,删除了此前超出该制定法范围的“趋向于”(tends to)这一扩展表述,并删除了目前载于第(c)(1)段和第(c)(3)段中的平权行动强制性要求。这些修改使该法规更贴合国会通过第六章所禁止行为的范围,以及本文件中所述的法律与政策考量和结论。
DHS is revising paragraph (c) to clarify the scope of Title VI coverage for employment practices and is deleting paragraphs (c)(2) and (c)(3). Revised paragraph (c) affirms that whenever a primary objective of the Federal financial assistance is to provide employment, recipients may not intentionally discriminate on the basis of race, color, or national origin in employment practices under such programs. That prohibition also applies to programs in which a primary objective of the Federal financial assistance is (i) to assist individuals, through employment, to meet expenses incident to the commencement or continuation of their education or training, or (ii) to provide work experience that contributes to the education or training of the individuals involved. The applicable requirements for construction employment remain those specified in or pursuant to part III of Executive Order 11246, or any Executive Order that supersedes it. This revision conforms to 42 U.S.C. 2000d-3, removes the prior “tends to” extension beyond the statute, and removes the affirmative-action mandates currently contained in paragraphs (c)(1) and (c)(3). These changes amend the regulation so that it more closely adheres to the scope of conduct Congress prohibited with Title VI and the legal and policy considerations and determinations described in this document.
B. 44 CFR 第7.5条(禁止的具体歧视行为,联邦紧急事务管理署(FEMA))
B. 44 CFR 7.5 (Specific Discriminatory Actions Prohibited—FEMA)
国土安全部正在更新44 CFR第7部分的授权引文,以使其与6 CFR第21部分的授权引文保持一致。对法规文本的唯一修改是删除并保留第7.5(b)段,此举与删除6 CFR第21.5(b)(2)条相类似。
DHS is updating the authority citation for 44 CFR part 7 to align with the authority citation for 6 CFR part 21. The only edit to regulatory text is to remove and reserve paragraph 7.5(b), which is analogous to the removal of 6 CFR 21.5(b)(2).
国土安全部指出,《斯塔福德法案》载有一项非歧视条款,要求制定“为在重大灾害或紧急情况现场执行联邦援助职能的人员提供指导所必需的法规”。42 U.S.C. 5151(a)。该法规必须“包括确保物资分配、申请处理以及其他救济和援助活动以公平公正的方式进行的规定,不得基于种族、肤色、宗教、国籍、性别、年龄、残疾、英语水平或经济状况实施歧视。”同上。联邦紧急事务管理署(FEMA)在44 CFR第206.11条中实施该条款,该条款将继续施加此类要求。参见44 CFR 206.11(b)。
DHS notes that the Stafford Act contains a nondiscrimination provision calling for “such regulations as may be necessary for the guidance of personnel carrying out Federal assistance functions at the site of a major disaster or emergency.” 42 U.S.C. 5151(a). The regulations must “include provisions for insuring that the distribution of supplies, the processing of applications, and other relief and assistance activities shall be accomplished in an equitable and impartial manner, without discrimination on the grounds of race, color, religion, nationality, sex, age, disability, English proficiency, or economic status.” Id. FEMA implements this provision at 44 CFR 206.11, which will continue to impose such requirements. See44 CFR 206.11(b).
《斯塔福德法案》的该条款及其实施法规明确规定了多项额外的受保护类别(除种族、肤色和民族血统之外),并要求以公平公正的方式提供灾害援助,但并未明确禁止或以其他方式提及非故意的差异性影响歧视。(印刷页第36967页)因此,联邦紧急事务管理署(FEMA)在本次规则制定中未对44 CFR第206.11条作出修改。联邦紧急事务管理署未来可能会酌情对《斯塔福德法案》这些特定要求作出进一步解释。
The Stafford Act provision and its implementing regulation identify multiple additional protected classes (beyond race, color, and national origin) and require the provision of disaster assistance in an equitable and impartial manner, but do not expressly prohibit or ( printed page 36967) otherwise reference unintentional disparate-impact discrimination. Accordingly, FEMA has not made changes to 44 CFR 206.11 as part of this rulemaking. FEMA may in the future further interpret these Stafford Act-specific requirements as appropriate.
FEMA还须遵守42 U.S.C. 5196f的规定,这是《斯塔福德法案》(Stafford Act)中单独的一项条款,要求FEMA除其他事项外:(1)与州和地方政府协调,识别英语能力有限的人群,并在重大灾害或紧急情况的规划中考虑这些人群;(2)确保向受重大灾害或紧急情况影响的个人提供的信息,以特定人群能够理解的格式提供。本规则不改变FEMA对这些单独法定要求的执行方式。
FEMA is also subject to 42 U.S.C. 5196f, a separate Stafford Act provision that directs FEMA to, among other things, (1) identify, in coordination with State and local governments, population groups with limited English proficiency and take into account such groups in planning for an emergency or major disaster; and (2) ensure that information made available to individuals affected by a major disaster or emergency is made available in formats that can be understood by certain populations. This rule does not change FEMA's implementation of those separate statutory requirements.
三、可分割性
III. Severability
国土安全部(DHS)的立场是,每项修正案均服务于一个重要的、相关的但各自独立的目的。国土安全部还确认,每项修正案旨在相互独立地运作,且某一项修正案的潜在无效不应影响其他修正案。国土安全部将独立采纳任何一项修正案,无论其他单独修正案是否无效。
DHS's position is that each of the amendments serve a vital, related, but distinct purpose. DHS also confirms that each of the amendments is intended to operate independently of each other and that the potential invalidity of one amendment should not affect the other amendments. DHS would adopt any of the amendments independently of the invalidity of a separate amendment.
四、监管要求
IV. Regulatory Requirements
A. 《行政程序法》
A. Administrative Procedure Act
国土安全部根据《行政程序法》中关于“涉及机构管理或人事,或涉及公共财产、贷款、补助金、福利或合同”的规则的例外规定,在未经事先公开通知和征求意见或延迟生效日期的情况下发布本最终规则。5 U.S.C. 553(a)(2)。
DHS is issuing this final rule without prior public notice and comment or a delayed effective date pursuant to the Administrative Procedure Act's exception for rules “relating to agency management or personnel or to public property, loans, grants, benefits, or contracts.” 5 U.S.C. 553(a)(2).
第六章涉及接受联邦财政援助的非歧视条件,更具体地说,涉及接受联邦“[拨款和贷款]”、“财产”、“人员”以及“以提供援助为目的之一的任何联邦协议、安排或其他合同”。参见6 CFR 21.4(c);44 CFR 7.2(c);另参见6 CFR 21.7;44 CFR 7.7(要求资金接受者签署遵守第六章规定的合同保证);Cummings诉Premier Rehab Keller, P.L.L.C.案,596 U.S. 212, 217-18 (2022)(指出国会制定第六章是“[依据其]`确定联邦资金支付条件'的权力”(引用省略))。参见《接受或受益于联邦财政援助的教育项目或活动》,82 FR 46655-01(2017年10月6日)(援引第553(a)(2)条例外规定修订第九章法规,以“促进[农业部]财政援助接受者执行第九章的一致性”);《维护社区与邻里选择》,85 FR 47899-01(2020年8月7日)(援引该例外规定废除住房和城市发展部关于联邦资助对象的规则);《少数族裔企业参与交通部项目》,53 FR 18285-02(1988年5月23日)(援引该例外规定扩大交通部关于联邦航空管理局机场财政援助项目法规的适用范围);《联邦资助项目中基于残疾的非歧视:暂停关于公共交通的指南》,46 FR 40687-01(1981年8月11日)(援引该例外规定暂停司法部(DOJ)关于禁止在接受联邦财政援助的交通项目和活动中歧视残疾人的指南)。
Title VI concerns non-discrimination conditions on the receipt of Federal financial assistance, and more particularly to the receipt of federal “[g]rants and loans,” “property,” “personnel” and “[a]ny Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance.” See6 CFR 21.4(c); 44 CFR 7.2(c); see also6 CFR 21.7; 44 CFR 7.7 (requiring funding recipient sign contractual assurance of compliance with Title VI); Cummings v. Premier Rehab Keller, P.L.L.C., 596 U.S. 212, 217-18 (2022) (observing that Congress enacted Title VI “[p]ursuant to its authority to `fix the terms on which it shall disburse federal money'” (citation omitted)). Cf. Education Programs or Activities Receiving or Benefitting from Federal Financial Assistance,82 FR 46655-01 (Oct. 6, 2017) (invoking the section 553(a)(2) exception to amend Title IX regulations to “promote consistency in the enforcement of Title IX for [the Department of Agriculture] financial assistance recipients”); Preserving Community and Neighborhood Choice,85 FR 47899-01 (Aug. 7, 2020) (invoking the exception to repeal Housing and Urban Development rule regarding federal grantees); Participation by Minority Business Enterprise in Department of Transportation Programs,53 FR 18285-02 (May 23, 1988) (invoking the exception to expand coverage of Department of Transportation regulation regarding Federal Aviation Administration's airport financial assistance program); Nondiscrimination on the Basis of Handicap in Federally Assisted Programs: Suspension of Guidelines with Respect to Mass Transportation,46 FR 40687-01 (Aug. 11, 1981) (invoking the exception to suspend DOJ guidelines regarding prohibiting disability discrimination in transportation programs and activities receiving Federal financial assistance).
事实上,援引5 U.S.C. 553(a)(2)与管理和预算办公室(OMB)在2 CFR 200.1项下对“联邦财政援助”的定义相一致,该定义所列类别与《行政程序法》中关于“涉及机构管理或人事,或涉及公共财产、贷款、补助金、福利或合同”的规则例外规定(5 U.S.C. 553(a)(2))相同。除可能存在的不适用于本部的有限例外情形外,本部管理的2 CFR 200.1项下规定的所有形式的联邦财政援助均属于“公共财产、贷款、补助金、福利或合同”例外范畴。因此,本部根据5 U.S.C. 553(a)(2)在未经事先公开通知和征求意见或延迟生效日期的情况下发布本最终规则。
Indeed, invoking 5 U.S.C. 553(a)(2) is consistent with the Office for Management and Budget's (OMB) definition for “Federal financial assistance” under 2 CFR 200.1, which defines “Federal financial assistance” with the same categories as the Administrative Procedure Act's exception for rules “relating to agency management or personnel or to public property, loans, grants, benefits, or contracts,” 5 U.S.C. 553(a)(2). With potentially limited exceptions not applicable to the Department, all the forms of Federal financial assistance set forth under 2 CFR 200.1 that the Department administers would fall under the “public property, loans, grants, benefits, or contracts” exception. Thus, the Department issues this final rule without prior public notice and comment or a delayed effective date under 5 U.S.C. 553(a)(2).
及时与司法部的第六章规则保持一致,对于确保第六章在全政府范围内的统一执行、消除国土安全部资金接受者的监管不确定性以及避免不一致的执法是必要的。尽管FEMA在44 CFR 1.3中的一般政策鼓励公众参与,但该政策并不创设可执行的权利,并允许FEMA酌情偏离该政策。国土安全部在此偏离该政策,以便及时使其规则与司法部的规则保持一致,并减轻接受者的困惑和合规成本。
Prompt alignment with DOJ's Title VI rule is necessary to ensure uniform, government-wide administration of Title VI, eliminate regulatory uncertainty for DHS funding recipients, and avoid inconsistent enforcement. Although FEMA's general policy at 44 CFR 1.3 encourages public participation, that policy does not create enforceable rights and permits FEMA to depart from it in its discretion. DHS departs here to promptly harmonize its rule with DOJ's rule and mitigate confusion and compliance costs for recipients.
B. 第12866号行政令(监管规划与审查)、第13563号行政令(监管审查)和第14192号行政令(通过放松监管释放繁荣)
B. Executive Orders 12866 (Regulatory Planning and Review), 13563 (Regulatory Review), and 14192 (Unleashing Prosperity Through Deregulation)
第12866号行政令(监管规划与审查)和第13563号行政令(改进监管与监管审查)指示各机构评估现有监管备选方案的成本和效益,并在确有必要进行监管的情况下,选择能够实现净效益最大化的监管方法。第13563号行政令强调量化成本和效益的重要性,强调降低成本、协调规则以及促进灵活性的重要性。第13563号行政令还承认某些效益和成本难以量化,并规定在适当且法律允许的情况下,各机构可以对难以或无法量化的价值进行定性考量和讨论。同上。第14192号行政令(通过放松监管释放繁荣)指示各机构大幅减少遵守联邦法规所需的私人支出,并规定“在法律允许的范围内,与新法规相关的任何新增成本,应通过取消至少10项现有法规所产生的相关成本予以抵消。”
Executive Orders 12866 (Regulatory Planning and Review) and 13563 (Improving Regulation and Regulatory Review) direct agencies to assess the costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits. Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. Executive Order 13563 also recognizes that some benefits and costs are difficult to quantify and provides that, where appropriate and permitted by law, agencies may consider and discuss qualitatively values that are difficult or impossible to quantify. Id.Executive Order 14192 (Unleashing Prosperity Through Deregulation) directs agencies to significantly reduce the private expenditures required to comply with Federal regulations and provides that “any new incremental costs associated with new regulations shall, to the extent permitted by law, be offset by the elimination of existing costs associated with at least 10 prior regulations.”
管理和预算办公室(OMB)已根据第12866号行政令第3(f)条将本规则认定为“重大监管行动”,但依据第3(f)(1)条,本规则不具有经济重大性。因此,本规则已经管理和预算办公室审查。
The Office of Management and Budget (OMB) has designated this rule a “significant regulatory action” under section 3(f) of Executive Order 12866, although not economically significant under section 3(f)(1). Accordingly, the rule has been reviewed by the Office of Management and Budget.
本最终规则被视为第14192号行政令项下的放松监管行动。
This final rule is considered an Executive Order 14192 deregulatory action.
正如序言中所述,本规则所作的监管修订是为使国土安全部(DHS)的法规与司法部(DOJ)的相应法规、《民权法案》第六章、第14281号行政令以及相关判例法保持一致所必需的。这些变更的实际效果在于明确:国土安全部的第六章法规并不禁止产生不同影响的行为或活动,而仅禁止故意歧视,并且国土安全部将不会针对国土安全部的资金接受者追究第六章项下的差异性影响责任。
As explained in the preamble, the regulatory modifications this rule makes are necessary to conform DHS regulations to the corresponding DOJ regulations, Title VI, Executive Order 14281, and related case law. The practical effect of these changes is to make clear that DHS's Title VI regulations do not prohibit conduct or activities that have a disparate impact but prohibit only intentional discrimination and that DHS will not pursue Title VI disparate-impact liability against DHS funding recipients.
与司法部的规则一样,由于数据的局限性,本规则的成本和效益难以量化。本规则影响国土安全部的资金接受者。自2022财年至2024财年,国土安全部共发放约274,000项单独拨款,总额约为1,400亿美元(印刷页36968)。[6]仅在2024财年,国土安全部就发放了约35,000项单独拨款,总额达434亿美元。表1显示了国土安全部2024财年按部门划分的拨款数量和拨款金额。
As with the DOJ rule, data limitations make the costs and benefits of this rule difficult to quantify. This rule affects DHS funding recipients. DHS issued approximately 274,000 separate awards totaling approximately $140 billion ( printed page 36968) from FY2022-FY2024.[6] In FY2024 alone, DHS issued approximately 35,000 separate awards totaling $43.4 billion. Table 1 shows the number of grants and grant awards for DHS for FY2024.
表1, , 国土安全部各部门2024财年拨款情况
Table 1—DHS Grants by Component FY2024
国土安全部部门 | 拨款项目数 | 拨款金额(百万美元)
DHS Component | Grants | Grant awards ($ million)
联邦紧急事务管理署(FEMA)总计 | 34,738 | 43,143美元
FEMA Total | 34,738 | $43,143
灾害援助拨款 | 28,436 | 35,892
Disaster Assistance Grants | 28,436 | 35,892
消防安全拨款 | 2,264 | 809
Fire Safety Grants | 2,264 | 809
非灾害拨款 | 1,103 | 3,896
Non-Disaster Grants | 1,103 | 3,896
火灾管理援助拨款 | 172 | 161
Fire Management Assistance Grants | 172 | 161
灾害减缓援助拨款 | 2,763 | 2,385
Hazard Mitigation Assistance Grants | 2,763 | 2,385
海岸警卫队 | 105 | 125
Coast Guard | 105 | 125
国土安全部其他部门* | 151 | 170
Other DHS Components * | 151 | 170
国土安全部总计(联邦紧急事务管理署+美国海岸警卫队+国土安全部其他部门) | 34,994 | 43,438
Total DHS (FEMA + USCG + DHS Other) | 34,994 | 43,438
*包括:大规模杀伤性武器对抗办公室、网络安全和基础设施安全局、采购业务办公室、科技事务副部长办公室、美国公民及移民服务局、美国特勤局以及美国移民及海关执法局。
* Includes: Countering Weapons of Mass Destruction, Cybersecurity and Infrastructure Security Agency, Office of Procurement Operations, Office of the Under Secretary for Science and Technology, U.S. Citizenship and Immigration Services, U.S. Secret Service, and U.S. Immigration and Customs Enforcement.
国土安全部目前尚无法便捷地获取关于其第六章相关调查和合规审查中哪些案件仅涉及差异性影响歧视指控的全面信息。对于既涉及故意歧视又涉及非故意差异性影响的执法行动,国土安全部无法可靠地量化可归因于执法行动中不同差异性影响部分的成本。进一步阻碍成本和效益货币化的是,差异性影响有时是判断歧视是否属故意的考量因素之一。因此,本规则对国土安全部造成的总体成本影响难以量化。然而,此项放松监管行动应能降低国土安全部的执法成本。此外,本规则的一项效益在于使国土安全部的法规与司法部的法规、制定法文本以及最高法院判例保持一致,同时解决国土安全部对现行法规的重大政策关切。
DHS does not have ready access to comprehensive information regarding which of its Title VI-related investigations and compliance reviews involve solely allegations of disparate-impact discrimination. For enforcement actions that relate to both intentional discrimination and unintentional disparate impact, DHS cannot reliably quantify the costs attributable to the varying disparate-impact portions of enforcement actions. Further impeding monetizing costs and benefits is that disparate impact is sometimes a factor that is considered in determining whether discrimination is intentional. Therefore, the overall cost effect on DHS is difficult to quantify. However, this deregulatory action should decrease DHS's enforcement costs. In addition, a benefit of this rule is to align DHS's regulations with DOJ regulations, statutory text, and Supreme Court precedent, as well as to address DHS's serious policy concerns with the existing regulations.
DHS同样无法量化资助接受者将如何应对此次监管变化。但此项放松监管的措施应会带来更大的灵活性并降低合规成本。DHS认识到,资助接受者可能从DHS以外的来源获得额外的联邦资金。司法部(DOJ)在其规则中指出,司法部预计其规则将促使其他联邦部门和机构考虑对其第六章法规作出类似修订。与司法部一样,DHS并不预期本规则会显著增加那些还须遵守其他部门或机构法规的资助接受者的行政成本或合规成本。此项放松监管的措施不会为资助接受者创设任何新的义务。相反,通过从法规中消除差异性影响责任,本规则消除了本前言第I.C.2节所述的监管混乱的来源,并缩小了被禁止行为的范围。因此,本规则降低了合规成本和潜在责任。此外,同时从多个联邦实体获得同一计划或活动资金的接受者,已经与每个资助实体分别订立合同保证,参见,例如,6 CFR 21.7。这些合同保证已经施加了每个联邦资助来源认为必要的各种不同要求。资助接受者将继续受到最严格的合同保证和法规的约束。
DHS is similarly unable to quantify how funding recipients will respond to the regulatory changes. But the deregulatory action should result in greater flexibility and lower compliance costs. DHS recognizes that a funding recipient may receive additional federal funds from sources other than DHS. DOJ noted in its rule that DOJ expected its rule to cause other federal departments and agencies to consider similarly revising their Title VI regulations. Like DOJ, DHS does not envision that this rule will appreciably increase administrative costs or compliance costs for funding recipients who must also adhere to the regulations of another department or agency. This deregulatory action does not create any new obligations for funding recipients. On the contrary, by eliminating disparate-impact liability from the regulation, this rule eliminates a source of regulatory confusion, as discussed in section I.C.2 of this preamble, and narrows the conduct prohibited. This rule therefore reduces the costs of compliance and potential liability. Moreover, recipients who receive funds for the same program or activity from more than one Federal entity already enter into separate contractual assurances with each funding entity, see, e.g.,6 CFR 21.7. These contractual assurances already impose varying requirements that each Federal funding source deems necessary. Funding recipients will continue to be held to the most stringent contractual assurance and regulation.
基于上述对实际定性成本和收益的分析,DHS认为本规则符合第12866号和第13563号行政命令的原则,包括要求DHS在法律允许的范围内,仅在经过合理判断确定其收益证明其成本合理后才采纳法规,并选择能够使净收益最大化的监管方式。
Based on the analysis of the practical qualitative costs and benefits noted above, DHS believes that this rule is consistent with the principles of Executive Orders 12866 and 13563, including the requirements that, to the extent permitted by law, DHS adopt a regulation only upon a reasoned determination that its benefits justify its costs and choose a regulatory approach that maximizes net benefits.
C. 第12250号行政命令
C. Executive Order 12250
根据第12250号行政命令,司法部负有“审查……行政机构……拟议规则”的职责,以实施诸如第六章之类的非歧视法规,从而识别那些不充分、不明确或不必要地不一致的规则。此外,第12250号行政命令将总统批准第六章法规的职责授权给司法部长。参见42 U.S.C. 2000d-1。司法部已审查并批准了本规则。
Pursuant to Executive Order 12250, the Department of Justice has the responsibility to “review . . . proposed rules . . . of the Executive agencies” implementing nondiscrimination statutes such as Title VI in order to identify those which are inadequate, unclear or unnecessarily inconsistent.” Additionally, Executive Order 12250 delegated the President's responsibility to approve Title VI regulations to the Attorney General. See42 U.S.C. 2000d-1. The Department of Justice has reviewed and approved this rule.
D. 监管灵活性法案
D. Regulatory Flexibility Act
经1996年《小企业监管执行公平法案》修订的《监管灵活性法案》(RFA)要求机构仅在发布最终规则之前被要求“发布拟议规则制定的一般通知”的情况下,编制并向公众提供最终监管灵活性分析,该分析描述规则对小实体(即小企业、小组织和小政府管辖区)的影响。参见5 U.S.C. 604(a)。然而,即使这些法规受一般通知要求的约束,DHS依据5 U.S.C. 605(b)已对这些法规进行了审查,并证明本规则的变化不会对大量小实体产生重大经济影响,这在很大程度上是因为这些监管变化不会给联邦资助接受者施加任何新的实质性义务。本规则修订并澄清了第六章所要求的现行法规。本规则仅使DHS符合平等保护条款的要求,并使其法规的范围与第六章的范围相协调,而第六章并不禁止具有非故意差异性影响的行为。自最初颁布以来,所有联邦资助接受者一直受到本规则生效后将继续有效的现行标准的约束。(印刷页第36969页)
The Regulatory Flexibility Act (RFA), as amended by the Small Business Regulatory Enforcement and Fairness Act of 1996, requires an agency to prepare and make available to the public a final regulatory flexibility analysis that describes the effect of a rule on small entities ( i.e., small businesses, small organizations, and small governmental jurisdictions) only if the agency was required “to publish a general notice of proposed rulemaking” prior to issuing the final rule. See5 U.S.C. 604(a). However, even if these regulations were subject to general notice requirements, DHS, in accordance with 5 U.S.C. 605(b), has reviewed these regulations and certifies that the rule's changes will not have a significant economic impact on a substantial number of small entities, in large part because these regulatory changes do not impose any new substantive obligations on Federal funding recipients. The rule amends and clarifies existing regulations that are required by Title VI. The rule merely brings DHS into compliance with the Equal Protection Clause and harmonizes the scope of its regulations with the scope of Title VI, which does not prohibit conduct having an unintentional disparate impact. All Federal funding recipients have been bound by the existing standards that ( printed page 36969) will remain in place after this rule since their initial promulgation.
E. 文书工作精简法案
E. Paperwork Reduction Act
根据1995年《文书工作精简法案》(44 U.S.C. 第35章),除非显示管理和预算办公室(OMB)颁发的有效控制编号,否则机构不得开展或资助信息收集,且任何人不得被要求对信息收集作出回应。本规则未提议任何新的,也未对现有的根据1995年《文书工作精简法案》及其实施法规5 CFR第1320部分所界定的“信息收集”进行任何修订。
Under the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number issued by the OMB. This rule does not propose any new, nor any revisions to existing, “collection[s] of information” as that term is defined under the Paperwork Reduction Act of 1995 and its implementing regulations, 5 CFR part 1320.
F. 无资金授权改革法案
F. Unfunded Mandates Reform Act
《1995年《无资金授权改革法》》(以下简称“UMRA”)旨在遏制对州、地方和部落政府施加无资金保障的联邦强制令的做法。UMRA第二编要求各联邦机构就任何拟议规则(或联邦机构曾就其发布过拟议规则的最终规则)中所包含的任何联邦强制令的影响编写书面声明,前提是该强制令可能导致州、地方和部落政府合计或私营部门在任何一年内支出1亿美元或以上(每年根据通货膨胀进行调整)。“联邦强制令”一词是指联邦政府间强制令或联邦私营部门强制令。见2 U.S.C. 658(6)、1502(1)。“联邦政府间强制令”是指将对州、地方或部落政府施加可强制执行义务的条款(作为联邦援助条件或因参与自愿性联邦计划而产生的义务除外)。见2 U.S.C. 658(5)。而“联邦私营部门强制令”一词是指将对私营部门施加可强制执行义务的条款(作为联邦援助条件或因参与自愿性联邦计划而产生的义务除外)。见2 U.S.C. 658(7)。
The Unfunded Mandates Reform Act of 1995 (“UMRA”) is intended, among other things, to curb the practice of imposing unfunded Federal mandates on State, local, and Tribal governments. Title II of the UMRA requires each Federal agency to prepare a written statement assessing the effects of any Federal mandate in a proposed rule (or final rule for which the agency published a proposed rule) that includes any Federal mandate that may result in an expenditure of $100 million or more (adjusted annually for inflation) in any one year by State, local, and Tribal governments, in the aggregate, or by the private sector. The term “Federal mandate” means a Federal intergovernmental mandate or a Federal private sector mandate. See2 U.S.C. 658(6), 1502(1). A “Federal intergovernmental mandate,” in turn, is a provision that would impose an enforceable duty upon State, local, or Tribal governments (except as a condition of Federal assistance or a duty arising from participation in a voluntary Federal program). See2 U.S.C. 658(5). And the term “Federal private sector mandate” refers to a provision that would impose an enforceable duty upon the private sector (except as a condition of Federal assistance or a duty arising from participation in a voluntary Federal program). See2 U.S.C. 658(7).
本规则不受UMRA约束,因为国土安全部(DHS)在采取本行动之前并未发布拟议规则。此外,UMRA的要求不适用于拟议或最终联邦法规中确立或执行禁止基于种族、肤色、宗教、性别、民族血统、年龄、残障或残疾进行歧视的法定权利的任何条款。2 U.S.C. 1503(2)。本规则基于此理由获得UMRA豁免。此外,国土安全部已确定本规则制定不会导致州、地方和部落政府合计或私营部门因联邦强制令在任何一年内支出1亿美元或以上,也不会对小型政府产生重大或独特的影响。因此,根据UMRA不需要采取任何行动。
This rule is not subject to the UMRA because DHS did not publish a proposed rule prior to this action. In addition, the UMRA's requirements do not apply to any provision in a proposed or final Federal regulation that establishes or enforces any statutory rights that prohibit discrimination on the basis of race, color, religion, sex, national origin, age, handicap, or disability. 2 U.S.C. 1503(2). This rule is exempted from the UMRA on that basis. In addition, DHS has determined that this rulemaking will not result in the expenditure by state, local, and tribal governments, in the aggregate, nor by the private sector, of $100 million or more in any one year as a result of a Federal mandate, and it will not significantly or uniquely affect small governments. Therefore, no actions are deemed necessary under the UMRA.
G. 《国会审查法》
G. Congressional Review Act
信息与监管事务办公室已确定,根据1996年《小企业监管执行公平法》第E分章(5 U.S.C. 804(2))的规定,本规则不属于主要规则。
The Office of Information and Regulatory Affairs has determined that this rule is not a major rule as defined by Subtitle E of the Small Business Regulatory Enforcement Fairness Act of 1996. 5 U.S.C. 804(2).
H. 《国家环境政策法》
H. National Environmental Policy Act
国土安全部(DHS)及其下属机构对最终行动进行分析,以确定《国家环境政策法》(NEPA,42 U.S.C. 4321及其后续条款)是否适用于这些行动,如适用,则需确定所需的分析程度。《DHS第023-01号指令》(第01次修订版)和《023-01-001-01号指令手册》(第01次修订版,以下简称“指令手册”)确立了国土安全部及其下属机构用于遵守《国家环境政策法》(42 U.S.C. 4321及其后续条款)的政策和程序。
DHS and its components analyze final actions to determine whether the National Environmental Policy Act (NEPA), 42 U.S.C. 4321 et seq., applies to them and, if so, what degree of analysis is required. DHS Directive 023-01 Rev. 01 and Instruction Manual 023-01-001-01 Rev. 01 (Instruction Manual) establish the policies and procedures that DHS and its components use to comply with NEPA, 42 U.S.C. 4321 et seq.
《国家环境政策法》允许联邦机构根据经验确定某些类别的行动,这些行动无论单独还是累积均不会对人类环境产生重大影响,因此不需要进行环境评估(EA)或环境影响声明(EIS)。见42 U.S.C. 4336(a)(2)、4336e(1)。《指令手册》附录A列出了国土安全部的分类排除事项。
NEPA allows Federal agencies to establish categories of actions that experience has shown do not, individually or cumulatively, have a significant effect on the human environment and, therefore, do not require an environmental assessment (EA) or environmental impact statement (EIS). See42 U.S.C. 4336(a)(2), 4336e(1). The Instruction Manual, Appendix A lists the DHS Categorical Exclusions.
根据国土安全部《国家环境政策法》实施程序,一项行动要获得分类排除,必须满足以下三个条件:(1)整个行动明确属于一项或多项分类排除范围;(2)该行动不是更大行动的一部分;(3)不存在可能产生重大环境影响的特殊情况。见《指令手册》023-01节V.B(2)(a)至(c)。
Under DHS NEPA implementing procedures, for an action to be categorically excluded, it must satisfy each of the following three conditions: (1) The entire action clearly fits within one or more of the categorical exclusions; (2) the action is not a piece of a larger action; and (3) no extraordinary circumstances exist that create the potential for a significant environmental effect. See Instruction Manual 023-01 at V.B(2)(a)-(c).
本规则使国土安全部法规所禁止的行为更贴近国会在颁布第六编时所禁止的行为,这与第14281号行政命令保持一致。国土安全部已对本规则进行审查,认定本规则纯属行政或程序性质,仅在不作实质性修改的情况下落实法定要求,并在不改变环境影响的情况下修订现行法规。
This rule aligns the conduct prohibited by DHS regulations more closely to the conduct Congress prohibited when enacting Title VI, consistent with Executive Order 14281. DHS has reviewed the rule and finds that the rule is of a strictly administrative or procedural nature; implements, without substantive change, statutory requirements; and amends an existing regulation without changing its environmental effect.
因此,国土安全部认定,本规则明确属于国土安全部《国家环境政策法》实施程序中确立的分类排除事项A3(a)、(b)和(d)的范围,无需进行进一步的《国家环境政策法》分析。
Accordingly, DHS finds that the rule clearly fits within categorical exclusion A3(a), (b), and (d) established in DHS's NEPA implementing procedures, and no further NEPA analysis is required.
I. 联邦制
I. Federalism
根据第13132号行政命令(联邦制),如果一项规则对各州、国家政府与各州之间的关系,或对各级政府之间权力和责任的分配具有实质性直接影响,则该规则涉及联邦制问题。国土安全部(DHS)已依照该命令对本规则进行分析,并确定本规则不具有足以要求编写联邦制问题摘要影响声明的联邦制影响。
A rule has implications for federalism under Executive Order 13132 (Federalism) if it has substantial direct effects on the States, on the relationship between the National Government and the States, or on the distribution of power and responsibilities among the various levels of government. DHS has analyzed this rule under this order and determined it does not have sufficient federalism implications to warrant the preparation of a federalism summary impact statement.
J. 民事司法改革
J. Civil Justice Reform
本规则符合第12988号行政命令(民事司法改革)第3(a)条和第3(b)(2)条所规定的适用标准,旨在减少诉讼、消除歧义并减轻负担。
This rule meets applicable standards set forth in sections 3(a) and 3(b)(2) of Executive Order 12988 (Civil Justice Reform) to minimize litigation, eliminate ambiguity, and reduce burden.
主题列表
List of Subjects
《联邦法规汇编》第6篇第21部分
6 CFR Part 21
民权
Civil rights
报告和记录保存要求
Reporting and recordkeeping requirements
《联邦法规汇编》第44篇第7部分
44 CFR Part 7
行政惯例和程序
Administrative practice and procedure
老年人
Aged
民权
Civil rights
报告和记录保存要求
Reporting and recordkeeping requirements
法规修正
Regulatory Amendments
基于前言中所述理由,根据《美国法典》第6编第112条所授予的权力,国土安全部部长对《联邦法规汇编》第6篇第21部分及第44篇第7部分作出如下修订:
For the reasons set forth in the preamble, under the authority of 6 U.S.C. 112, the Secretary of Homeland Security amends 6 CFR part 21 and 44 CFR part 7, as follows:
第6篇,国内安全
Title 6—Domestic Security
第21部分,在接受国土安全部联邦财政援助的项目或活动中禁止基于种族、肤色或民族血统的歧视
PART 21—NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF HOMELAND SECURITY
1. 第21部分的授权引文修订如下:
1. The authority citation for part 21 is revised to read as follows:
授权依据:《美国法典》第5编第301条;第6编第112条;第42编第2000d至2000d-7条。
Authority: 5 U.S.C. 301; 6 U.S.C. 112; 42 U.S.C. 2000d-2000d-7.
2. 在第21.5条中:
2. In § 21.5:
a. 删除并保留第(b)(2)款;
a. Remove and reserve paragraph (b)(2);
b. 在第(b)(3)款中,删除凡出现“或影响”字样之处;
b. In paragraph (b)(3), remove the words “or effect” wherever they appear;
c. 删除第(b)(6)款;以及
c. Remove paragraph (b)(6); and
d. 修订第(c)款。
d. Revise paragraph (c).
修订内容如下:
The revision reads as follows:
第21.5条
§ 21.5
禁止歧视。
Discrimination prohibited.
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(c) 就业做法。凡本部分所适用的项目获得联邦财政援助的主要目的在于提供就业机会的( 印刷页 36970),此类援助的受援者不得(直接或通过合同或其他安排)在该项目下的就业做法中,基于种族、肤色或民族血统对任何个人实施歧视(包括招聘或招聘广告、雇用、裁员或解雇、晋升、降职或调职、薪酬标准或其他形式的报酬,以及设施的使用)。该项禁止规定同样适用于联邦财政援助的主要目的在于通过就业协助个人支付其开始或继续接受教育或培训所产生费用,或提供有助于相关个人教育或培训的工作经验的项目。此类项目下建筑业就业所适用的要求,应为第11246号行政命令第III部分或取代该命令的任何行政命令中所规定的要求。
(c) Employment practices. Whenever a primary objective of the Federal financial assistance to a program to which this part applies is to provide ( printed page 36970) employment, a recipient of such assistance may not (directly or through contractual or other arrangements) subject any individual to discrimination on the ground of race, color, or national origin in its employment practices under such program (including recruitment or recruitment advertising, employment, layoff, or termination, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and use of facilities). That prohibition also applies to programs as to which a primary objective of the Federal financial assistance is to assist individuals, through employment, to meet expenses incident to the commencement or continuation of their education or training, or to provide work experience which contributes to the education or training of the individuals involved. The requirements applicable to construction employment under any such program shall be those specified in or pursuant to part III of Executive Order 11246 or any Executive Order which supersedes it.
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第44篇,应急管理与援助
Title 44—Emergency Management and Assistance
第7部分,联邦资助项目中的非歧视规定(联邦应急管理局第5号条例)
PART 7—NONDISCRIMINATION IN FEDERALLY-ASSISTED PROGRAMS (FEMA REG. 5)
3. 第7部分的授权引文修订如下:
3. The authority citation for part 7 is revised to read as follows:
授权依据:《美国法典》第5编第301条;第6编第112条;第42编第2000d至2000d-7条。
Authority: 5 U.S.C. 301; 6 U.S.C. 112; 42 U.S.C. 2000d-2000d-7.
第7.5条
§ 7.5
[已修订]
[Amended]
4. 在第7.5条中,删除并保留第(b)款。
4. In § 7.5, remove and reserve paragraph (b).
马克韦恩·穆林,
Markwayne Mullin,
国土安全部部长。
Secretary, Department of Homeland Security.
脚注
Footnotes
1. 《2002年国土安全法》,《公法》第107-296号,116 Stat. 2135(2002年11月25日)。
1. Homeland Security Act of 2002, Public Law 107-296, 116 Stat. 2135 (Nov. 25, 2002).
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2. 68 FR 10905(2003年3月6日)(实施《1964年民权法》第六章);另见《美国法典》第42编第2000d条。
2. 68 FR 10905 (Mar. 6, 2003) (implementing Title VI of the Civil Rights Act of 1964); see also42 U.S.C. 2000d.
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3. 参见,例如,30 FR 321(1965年1月9日)(应急规划办公室条例);68 FR 51334(2003年8月26日)(第六章规则的综合更新,包括联邦应急管理局的规则)。
3. See, e.g.,30 FR 321 (Jan. 9, 1965) (Office of Emergency Planning Rule); 68 FR 51334 (Aug. 26, 2003) (omnibus update to Title VI rules, including FEMA rules).
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4. 参见《联邦法规汇编》第6篇第21.1条(“本部分所规定的条款应适用于本部的所有组成部门,包括转入本部的所有部门组成部分,但本部某组成部门已有现行第六章法规的情形除外。”)。
4. See 6 CFR 21.1 (“The provisions established by this part shall be effective for all components of the Department, including all Department components that are transferred to the Department, except to the extent that a Department component already has existing title VI regulations.”).
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5. 国土安全部指出,根据第12250号行政命令,司法部作为第六章实施工作的主管机构,这为与司法部规则保持一致、以确保第六章义务在全政府范围内统一执行提供了额外理由。
5. DHS notes that DOJ's role as the lead agency for Title VI implementation under Executive Order 12250 provides an additional reason to conform to DOJ's rule to ensure uniform, government-wide enforcement of Title VI obligations.
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6. 美国国土安全部(DHS)使用2022-2024财年数据以反映最近的完整财政年度。美国国土安全部(DHS)未纳入更早的数据,因为2020-21财年的数据包含大量用于应对新冠疫情(Covid-19)的拨款资金,无法代表未来预期的拨款资金情况。数据来源于usaspending.gov。拨款金额依据各财政年度总义务额确定,并使用GDP平减指数调整为2024年美元值。(访问日期:2025年9月3日。)
6. DHS used FY2022-2024 data to capture the most recent complete fiscal years. DHS did not include earlier data since FY2020-21 include substantial grant funding in response to the Covid-19 pandemic that is not representative of expected future grant funding. Data from usaspending.gov. Grant award amounts determined from fiscal year total obligations, adjusted for 2024 dollars using GDP Deflator. (Accessed September 3, 2025).
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[联邦公报文件编号2026-12399号,存档日期:26年6月18日;存档时间:上午8:45]
[FR Doc. 2026-12399 Filed 6-18-26; 8:45 am]
账单代码 9112-FH-P
BILLING CODE 9112-FH-P
原文标题: Rescinding Portions of DHS Title VI Regulations To Conform More Closely With the Statutory Text and To Implement Executive Order 14281
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