OFFICE OF BUSINESS AND ECONOMIC OPPORTUNITY

COMPLIANCE AND TITLE VI

Table of Contents

Nondiscrimination Laws and Executive Orders

Office of Business and Economic Opportunity’s Role and Responsibilities

Districts and Divisions Roles and Responsibilities

Division Specific Responsibilities

Division of Transportation Planning

Division of Environmental Analysis

Division of Right of Way and Land Surveys

Division of Design

Division of Construction

Division of Engineering Services

Division of Procurement and Contracts

Division of Research, Innovation and System Information

Division of Local Assistance

Division of Human Resources

Native American Liaison Branch

Planning and Modal Programs

Project Delivery

Program Area Advisors and District Title VI Liaisons

Public Involvement

Data Collection and Records

Compliance Review Process

Preparing for the Review Process

Data Collection and Records

Notification

Desk Audit

Onsite Visit and Review

After the Onsite Visit Review

Written Report

Leadership Meeting

Wrapping it Up and Lessons Learned

Title VI Legal Theories of Discrimination

Retaliation

Disparate Treatment

Title VI Complaint Process

Complaints Filed Against Caltrans

Complaints Filed Against a Subrecipient

Appeal Rights

Receiving the Complaint

Role of the Investigator

Roles and Responsibilities

Creating an Investigatory Plan

Conducting the Interviews

Possible Documents to Request

Types of Evidence

Collecting and Requesting Evidence

Documenting the Evidence

Investigatory Findings

Division and District Responsibilities

Provide for Verbal Language Assistance

Notify LEP Customers of Availability of Language Assistance Services

Translation of Vital documents in Languages other than English

Train Staff

Develop Written Procedures

Monitor and Evaluate Access to Language Assistance

District and Division LEP Checklist

Vital Document Checklist

Title VI Resources

By Program

Office of Business and Economic Opportunity

Federal Highway Administration

US Caltrans of Justice

Environmental Justice

For more information, please contact the Compliance/Title VI Branch at:

Mailing Address:

Compliance/Title VI Branch

1823 14th Street, Sacramento, CA 95811

Email:

Phone: 916-324-8379

Fax: 916-324-1869

ADA Notice for individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 324-1700 or TTY 711.

Purpose of the Guide

This document is designed to aid reviewing for and verifying compliance with Caltrans Title VI Program requirements, and its intended audience are the Districts and Divisions within Caltrans. This document will be updated periodically to reflect changes in law, regulation and/or policy. Comments on the content and format of this document are welcome on an on-going basis. Provide the comments to:

Office of Business and Economic Opportunity

Compliance/Title VI Program, MS 79

1823 14th Street, Sacramento, California 95814

Attention: Compliance/Title VI Branch Manager

This document is intended to provide guidance to Caltrans personnel and other interested entities and is not intended to, does not and may not be relied upon to create any right or benefit, enforceable by law by a party against the Caltrans.

Nondiscrimination Laws and Executive Orders

Caltrans policies and procedures are governed by a wide range of requirements, including federal laws, regulations, and executive orders. Title VI requirements include, but are not limited to:

  • Title VI of the Civil Rights Act of 1964 (42 United States Code (U.S.C.) 2000d et seq.)is a federal law that protects people from discrimination on the basis of race, color or national origin in federally assisted programs and activities. Since other nondiscrimination authorities have expanded the scope and range of Title VI application and reach, reference to Title VI includes other provisions of federal statutes and related authorities to the extent that they prohibit discrimination in programs and activities receiving federal financial assistance.[1]
  • The 1970 Uniform Act (42 U.S.C. 4601 et seq.) prohibits unfair and inequitable treatment of persons displaced or whose property will be acquired as a result of federally assisted programs oractivities.[2]
  • Section 162(a) of the Federal-Aid Highway Act of 1973 (23 U.S.C. 324) prohibits discrimination based on gender.
  • Section 504 of the Rehabilitation Act of 1973(29 U.S.C. 794)prohibits discrimination based on a handicap/disability.[3]
  • The Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.) prohibits discrimination based onage.[4]
  • The Civil Rights Restoration Act of 1987 (Pub.L. 100-259) further clarified the intent of Title VI to include all programs and activities of entities whether those programs and activities are federally funded ornot.[5]
  • 23 Code of Federal Regulations (CFR) Part 200, the Federal Highway Administration’s Title VI Program Implementation and ReviewProcedures.[6]
  • 49 CFR Part 21, the U.S. Department of Transportation’s Implementing Regulations of Title VI of the Civil Rights Act of1964.[7]
  • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, addresses disproportionate adverse environmental, social, and economic impacts that may exist in communities, specifically minority and low-incomepopulations.[8]
  • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, addresses access to services for persons whose primary language is not English and who have limited ability to read, write, speak, or understandEnglish.[9]

Office of Business and Economic Opportunity’s Role and Responsibilities

Caltrans, as a recipient of federal financial assistance, established the Office of Business and Economic Opportunity Compliance/Title VI Branch to ensure that nondiscrimination laws that impact transportation investment decision making are adhered to.

The Assistant Director for the Office of Business and Economic Opportunity (OBEO) provides leadership and enforces compliance with Title VI through compliance reviews and certification of Caltrans programs and subrecipients. OBEO providesinput on Caltrans policy directives and develops overall civil rights guidance and ensures the Accomplishments and Goals Report and the Title VI Program Implementation Program Planare sent to the Federal Highway Administration (FHWA).

In accordance with 23 Code of Federal Regulations (CFR) Section 200.9(b)[10] Caltransis obligated to:

  • Develop procedures for prompt processing and disposition of Title VI and Title VIII complaints received directly by Caltrans and not by FHWA.
  • Develop procedures for the collection of statistical data (race, color, religion, sex, and national origin) of participants in, and beneficiaries of State highway programs, i.e., relocatees, impacted citizens, and affected communities.
  • Develop a program to conduct Title VI reviews of program areas.
  • Conduct annual reviews of special emphasis program areas to determine the effectiveness or program area activities at all levels.
  • Conduct training programs on Title VI and related statutes for Caltrans personnel.
  • Prepare a yearly report of Title VI accomplishments for the past year and goals for the next year.
  • Annually submit an updated Title VI Implementation Program Plan to the Regional Federal Highway Administrator for approval or disapproval.
  • Develop Title VI information for dissemination to the general public and, where appropriate, in languages other than English.
  • Establish procedures to identify and eliminate discrimination when it is found to exist.
  • Establishing procedures for promptly resolving deficiency status and reducing to writing the remedial action agreed to be necessary, all within a period not to exceed 90 days.

OBEO will assist the Districts and Divisions in meeting the above stated mandates by:

  • Providing technical assistance to program personnel.
  • Assisting program personnel to correct discriminatory practices or policies.
  • Reviewing documents as needed for compliance with Title VI to ensure that procedures used have safeguards to preventdiscrimination.
  • Conducting Title VI compliance reviews of Districts and Divisions.
  • Developing Title VI training material and conducting training sessions andworkshops.
  • Developing Title VI information for dissemination to the public and, where appropriate, in languages other than English.
  • Processing Title VI external complaints of discrimination in accordance with the FHWA’s procedures for processing external complaints of discrimination.
  • Collection of statistical data (race, color, national origin, sex, disability, and age) on participants in, and beneficiaries of Caltrans’s programs, activities, and services.
  • Identifying and eliminating discrimination when found to exist.
  • Conducting Title VI compliance reviews of Caltrans program area activities and cities, counties, consultants, contractors, suppliers, planning agencies, and other subrecipients of federal financial assistance.
  • Ensuring Title VI requirements are included in policy directives and that the procedures used have built-in safeguards to prevent discrimination.
  • Coordinating the development and implementation of a training program.
  • Preparing and submitthe Title VI ProgramImplementation Program Plan and the Accomplishments and Goals Report.
  • Assisting program personnel to correct Title VI problems or discriminatory practices or policies found when conducting self-monitoring and/or compliance review activities.
  • Updating the CaltransLanguage Access Plan (LAP) bi-annually and conducting the four factor analysis.

Districts and Divisions Roles and Responsibilities

Each District and Division has an important role to play in ensuring that Title VI issues are handled as they arise, and that every person in California is offered the opportunity to receive the benefits of, service from, and participate in activities of Caltrans. Deputy Directors, Assistant Directors, District Directors, andDivision Chiefs promote awareness on Title VI issues and ensure that Caltrans’s actions and services are consistent with policy guidance and with existing federal and statelaws and regulations.Each Division and District is responsible for:

  • Actively participating in the program and maintaining compliance with Title VI requirements by providing staff with the appropriate resources, time, and training.
  • Appointing a District Title VI Liaison (Liaison) or Division Program Area Advisor (PAA).
  • Developing Title VIpolicies and procedures.
  • Developing procedures for processing external discriminationcomplaints and ensuring they are sent to OBEO in a timely manner.
  • Providing accommodations for Limited English Proficient(LEP) persons and translating vital documents.
  • Addressing Environmental Justice in minority populations and low-incomepopulations.
  • Ensuring nondiscrimination in the public participationprocess.
  • Collecting data and submitting to OBEO to analyze to ensure nondiscrimination in programs andactivities.
  • Reporting accomplishments and goals to OBEO for inclusion in the annual report.
  • Reporting any changes to the Districts/Divisions approach to Title VI that is reported in the Title VI Program Implementation Program Plan.

Division Specific Responsibilities

Division of Transportation Planning

The Division Chief of Transportation Planning develops policies and programs to implement and coordinate transportation equity in the planning process; Works with districts, regional planning agencies, federal agencies and other appropriate entities; Develops strategies to improve the participation of under-represented groups in planning and decision making. Provides for sufficient and appropriate data equity analysis and studies for transportation decisions and technical assistance to address and promote Title VI.

Division of Environmental Analysis

The Division Chief of Environmental Analysis ensures compliance with Title VI during project development and within the National Environmental Policy Act process. Conducts project level and community impact assessments concerning adverse environmental, economic, health and social issues during project development. Provides guidance to internal and external environmental planners on ways to understand, measure and minimize or avoid adverse project impacts on the human environment.

Division of Right of Way and Land Surveys

The Division Chief of Right of Way and Land Surveys ensures that the property acquisition for construction transportation projects and its effects are in accordance with Federal and state laws including Title VI requirements.

Division of Design

The Division Chief of Design ensures project plans, specifications and estimates conform withfederal and state laws including Title VI requirements. Using the Project Development Teams, they ensure ensures mitigation measures are carried out.

Division of Construction

The Division Chief of Construction ensures the delivery of quality transportation products and services that comply with Title VI during project delivery including mitigation measures. Establishes the division’s direction, definition, policy and objectives. Develops and uses performance measures to determine program efficiency and effectiveness.

Division of Engineering Services

The Division Chief of Engineering Services ensures that construction contracts are consistent with federal and state contracting laws and regulations including Title VI requirements.

Division of Procurement and Contracts

The Division Chief of Procurement and Contracts ensures that Caltrans service contracts and construction contracts ($291,000 or less) are consistent with existing federal and state contracting laws and regulations including Title VI requirements.

Division of Research, Innovation and System Information

The Division Chief of Research, Innovation and System Information (DRISI) in collaboration with academic and industry partners, including minority institutions, is responsible for developing innovative technologies to build the transportation system of the 21st century in accordance with Title VI requirements. In addition, the DRISI Program works closely with other Caltrans programs and State agencies to provide design, construction and maintenance solutions to day-to-day problems.

Division of Local Assistance

The Division Chief of Local Assistance ensures that all local agencies receiving federal-aid funds through the Caltrans are fully informed of and comply with Title VI requirements.

Division of Human Resources

The Division Chief of Human Resources ensures nondiscrimination in its policy and procedures for quality personnel management practices, including translation services for LEP bilingual service.

Native American Liaison Branch

The Office Chief of the Native American Liaison Branch serves as the Caltrans ombudsperson on Native American issues and initial contact for Native American legal issues. They are the liaison between Caltrans, Tribal Governments and other involved third parties to promote government-to-government relationships. They provide information, training and facilitation services related to issues affecting Native American communities.

Planning and Modal Programs

The Deputy Director for Planning and Modal Programs ensure planning activities comply with Title VI. They work with local and regional planning agencies to maintain a coordinated effort.

Project Delivery

The Deputy Director for Project Delivery ensure activities comply with Title VI requirements in developing, evaluating, and implementing transportation projects.

Program Area Advisorsand District Title VI Liaisons

The Program Area Advisors (PAA) are responsible for the application of Title VI to their respective program areas and are responsible for ensuring Title VI compliance in their respective divisions through policy development, procedures, and monitoring. These individuals work closely with the Compliance/Title VI Branch and Liaisons.

The Liaisonswork closely with the Compliance/Title VI Branch and PAAs through programs, procedures, and ongoing monitoring in the district. Liaisons are located in each of the 12 district offices and are responsible for ensuring Title VI compliance in their respective districts.

The PAAs andLiaisons responsibilities include:

  • Assisting Caltrans personnel correct Title VI problems or discriminatory practices found through self-monitoring and review activities.
  • Being the contact person for Title VI implementation and monitoring of programs within the Divisions/Districts.
  • Ensure that Title VI requirements are included when policies or procedures are reviewed, updated or changed.
  • Follow the complaint process procedures and assist other staff in doing so.
  • Attend trainings and quarterly meetings held by Compliance/Title VI Branch.
  • Advise the Compliance/Title VI Branch of Title VI complaints, using the Tile VI email (). The complaint should be reported to OBEO within 24 hours of receiving it.
  • Ensure that Title VI requirements are included in policy directives, contracts, and program manuals and that the procedures used have built-in safeguards to prevent discrimination.
  • Ensure the collection and analysis of statistical data to determine transportation investment benefits and burdens to the eligible population, including the minority and low-income populations.
  • Self-monitor the District/Division for possible violations of Title VI.
  • Provide guidance and technical assistance to program staff to correct Title VI problems or discriminatory practices or policies.
  • Work with District/Division personnel to promote awareness of Title VI requirements, policies and processes.
  • Assist the Compliance/Title VI Branch in coordinating and conducting compliance reviews.

Public Involvement

Public involvement is fundamental and essential in achieving equitable transportation that meets the needs of all persons in California. Public participation provides for public involvement of all persons, including those not traditionally sought out as stakeholder. This includes, but is not limited to those traditionally underserved by existing or future transportation systems, minority or low-income households. Caltrans should also seek out affected public agencies, representatives of transportation agency employees, freight shippers, providers of freight transportation services, private providers of transportation, representatives of users of public transit, and other interested parties of the community affected by transportation plans, programs, and projects.District/Divisionplanning processes must include a proactive public involvement process that provides complete public information, timely notice, and full public access to key decisions. The public involvement process includes the following:

  • Public comment period prior to initial adoption or revision of public involvement process.
  • Timely information about transportation issues and processes to all interested parties involved and affected by transportation plans, programs, and projects.
  • Reasonable public access to technical and policy information used in development of transportation plans and Transportation Improvement Programs (TIP).
  • Adequate public notice of public involvement activities and time for public review and comment at key decision points including but not limited to approval of transportation plans and TIP.
  • Demonstrate consideration and response to public input received during planning and project development processes.
  • Make a concerted effort to involve the public, especially those traditionally underserved by existing or future transportation systems including but not limited to low-income and minority households.
  • Ensure opportunities for significant input on a draft transportation plan or TIP. Summarize the input received and include the summary as part of the record supporting the final plan and TIP.
  • Where the final transportation plan or TIP differs significantly from one presented for public comment by a transportation planning agency and raises new material issues which interested parties could not have reasonably foreseen from public involvement efforts, an additional opportunity for public comment on the revised plan or TIP shall be made available.
  • Periodic review of the public involvement process to ensure standards are met, to evaluate the public involvement process for effectiveness,and to ensure there is full and open access to all.
  • Coordination of metropolitan planning processes, where necessary, with statewide public involvement processes to enhance public consideration of the issues, plans, and programs and reduce redundancies and cost.
  • Ensure opportunities for full participation and provide accommodations for persons with disabilities at meetings by:
  • Meeting in a fully accessible facility.
  • Providing notice that documents can be made in alternate formats upon request.
  • Considering accessible alternatives such as videos with real-time captioning, the use of interpreters, or Braille.
  • Accommodating hearing impaired persons effectively by providing sign language interpreter or real-time captioning.

Data Collection and Records