Shantray Dickens, Title VI Specialist NCDOT, Office of Civil Rights (OCR) December 11, 2013
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Title VI Nondiscrimination: Metropolitan Planning Organizations (MPO) Shantray Dickens, Title VI Specialist NCDOT, Office of Civil Rights (OCR) December 11, 2013
Shantray Dickens, Title VI Specialist NCDOT, Office of Civil Rights (OCR) December 11, 2013
Shantray Dickens, Title VI Specialist NCDOT, Office of Civil
Rights (OCR) December 11, 2013
Slide 2
Nondiscrimination in the Federal- aid Program Nondiscrimination
denotes the absence of disparate treatment or impact in
Federally-assisted programs and activities. The Nondiscrimination
Program is governed by: Title VI of the Civil Rights Act of 1964
(42 United States Code (U.S.C.) 2000d) The 1987 Civil Rights
Restoration Act and Other related Nondiscrimination authorities (23
Code of Federal Regulations (C.F.R.) 200.5(p)) 2
Slide 3
Federal Authorities Title VI of the Civil Rights Act of 1964 is
federal law: No person in the United States shall on the ground of
race, color, or national origin be excluded from participation in,
be denied the benefits of, or be subjected to discrimination under
any program or activity receiving Federal financial assistance. The
1987 Civil Rights Restoration Act Direct response to Grove City
College vs. Bell (465 U.S. 555 (1984)) Restored the original intent
of Title VI to include all programs and activities of Federal-aid
recipients and contractors whether federally funded or not
Locally-funded, state- or federally-assisted activities of MPOs
3
Slide 4
Federal Authorities cont. Related Nondiscrimination Authorities
include: 1973 Federal-aid Highway Act (sex) 1975 Age Discrimination
Act (age) Section 504 of the 1973 Rehabilitation Act and Americans
with Disabilities Act (ADA) of 1990 (disability) Uniform Act of
1970 (persons displaced or property acquired) Executive Order 12898
on Environmental Justice (EJ) Executive Order 13166 on Limited
English Proficiency (LEP) Title VI Implementing Directives 49
C.F.R. 21 US Department of Transportation (DOT) Title VI
Regulations US DOT Order 1000.12 Title VI Program 23 C.F.R. 200
FHWA Title VI Regulations C 4702.1B and C 4703.1 FTA Circulars US
DOT Order 5610.2a and FHWA Order 6640.23A US DOT LEP Guidance US
Department of Justice (DOJ) Title VI Legal Manual 4
Slide 5
What is Discrimination? Federal Highway Administration (FHWA):
That act (action or inaction), whether intentional or
unintentional, through which a person in the United States solely
because of race, color, national origin, sex, age, or disability is
subjected to disparate treatment or impact, in any program or
activity receiving Federal financial assistance from FHWA under 23
U.S.C.. Federal Transit Administration (FTA): Any action or
inaction, whether intentional or unintentional, in any program or
activity of a Federal aid recipient, subrecipient, or contractor
that results in disparate treatment, disparate impact, or
perpetuating the effects of prior discrimination based on race,
color, or national origin. 5
Slide 6
Title VI Program Administration Documents and Dissemination
Sub-recipients and Contractors Program Monitoring and Reporting
Title VI Coordinator Training Public Involvement and Outreach Data
Collection Discrimination Complaints Compliance Review Process
Sanctions for Noncompliance ADA/Section 504 Limited English
Proficiency Environmental Justice 6
Slide 7
Documents and Dissemination Program Documents Title VI
Assurances and Policy Statements NCDOT Nondiscrimination Agreements
Title VI Program Plan (Implementation Plan) Accomplishments Report
Complaint Log Brochures, policies, public notices Records of
activities (e.g., meeting minutes, trainings) Member Agency
Documents All documents are public record and can be made
available, where necessary and appropriate 7
Slide 8
Documents & Dissemination cont. Title VI Assurances Must be
signed (49 C.F.R. 21.7) Update if Chief Administrative Officer
(CAO) changes, or as instructed by NCDOT Failure or refusal to
furnish required assurance is grounds for termination, refusal to
grant or continue Federal financial assistance (49 C.F.R.
21.13(b)&(c)) Appendices A E attached to contracts and
agreements, as appropriate A & E attached to all Post-Award
Phase Federal update forthcoming (1050.2A) 8
Slide 9
Documents & Dissemination cont. Title VI Assurances cont.
#2 of the Assurances goes in solicitations, Requests for Proposals,
etc.: The (Recipient), in accordance with Title VI of the Civil
Rights Act of 1964, 78 Stat. 252, 42 U.S.C 2000d to 2000d-4 and
Title 49, Code of Federal Regulations, Department of
Transportation, Subtitle A, Office the Secretary, Part 21,
Nondiscrimination in Federally assisted programs of the Department
of Transportation issued pursuant to such Act, hereby notifies all
bidden that it will affirmatively insure that in any contact
entered into pursuant to this advertisement, minority business
enterprises will be afforded full opportunity to submit bids in
response to this invitation and will not be discriminated against
on the grounds of race, color, or national origin in consideration
for an award. Pre-award Phase Nondiscrimination Agreements between
State DOTs and sub- recipients are recognized by FHWA Headquarters
Civil Rights (HCR) as a good practice Executed by Transportation
Planning Branch (TPB), or Public Transportation Division (PTD),
etc. Managed by NCDOT, OCR, External Services Section (ESS) 9
Slide 10
Documents & Dissemination cont. Title VI Program Plan
(Implementation Plan) Signed Title VI Policy Statement &
Assurances Title VI Overview (Introduction) MPO Responsibilities
Organizational & Voting Structure Member Agencies / Technical
Coordinating Committee (TCC) / Transportation Advisory Committee
(TAC) / Staffing / Title VI Coordinator duties Funding
Sources/Tables Sub-allocations (giving funds directly to member
agencies) Approval process and timelines (boards and committees)
MPO MOU, Prospectus and Work Plan as sources Strategic
Transportation Investment (giving points to projects) 10
Slide 11
Documents & Dissemination cont. Title VI Program Plan cont.
Program Administration (Title VI/Nondiscrimination) Customized to
what the program does Data Collection Public Involvement Planning
(e.g., Metropolitan Transportation Plan (MTP), Comprehensive
Transportation Plan (CTP), Metropolitan Transportation Improvement
Program (MTIP), PTD programs) Title VI expectations for MPO staff
and members Guidance for members Reporting requirements
Documentation requirements Contract Provisions Appendices and
Regulations 11
Slide 12
Sub-recipients and Contractors Sub-recipients (Recipients)
Signed Assurance and Title VI Program Ensure compliance of
contractors May not absolve itself of Title VI obligations by
hiring a contractor to deliver assistance to beneficiaries (DOJ
Title VI Legal Manual) Contractors Not required to have a signed
Assurance or Title VI Program Signs a contract with contract
provisions Responsible for complying with Title VI Program of
recipient with whom they are contracting (FTA C 4702.1B) 12
Slide 13
Sub-recipients & Contractors cont. Pre-award Reviews
Sub-recipients (member agencies) Signed assurances (at a minimum)
Contractors Acknowledge receipt & understanding of
nondiscrimination terms in contracts Post-award Reviews
Sub-recipients Reporting mechanism Contractors Compliance Checklist
prior to final payment 13
Slide 14
Program Monitoring and Reporting Internal assessments
(evaluations) Decision-making, public involvement, etc. Quality
Assurance Progress Reports Quarterly TPB Reports Accomplishments
Report (template) Annually to NCDOT ESS Program Challenges and
Observations Accomplishments Discrimination Complaints Log Program
Work Plan (Title VI/Nondiscrimination) 14
Slide 15
Title VI Coordinator Authority to administer program Member of
the Lead Planning Agency (LPA) Integrated into MPO decision-making
processes Coordinator (roles & responsibilities) documented in
MPO operating procedures and documents Trained to implement the
program Contact information and duties disseminated Identify member
agency Title VI contacts Some Local Government Agencies (LGAs)
should also have Title VI Coordinators Can serve as MPO Title VI
Liaisons 15
Slide 16
Title VI Coordinator cont. Responsibilities include:
Communicating and coordinating with member agencies, the NCDOT and
FHWA/FTA on Title VI matters Developing Implementation Plan
(Program Plan) Developing Title VI/Nondiscrimination policies and
procedures with input from member agency officials Reviewing and
updating program directives to reflect policy or implementation
changes, as appropriate Disseminating Title VI information and
reports 16
Slide 17
Title VI Coordinator cont. Responsibilities also include:
Providing information to NCDOT and FHWA/FTA during investigations
or reviews, as necessary Working with member agency officials to
correct Title VI issues or discriminatory practices or policies
Integrating Title VI into day-to-day program operations,
effectively and continually Administer (or have a role in)
discrimination complaints process Documenting Title VI-related
activities 17
Slide 18
Training Determine training needs of MPO staff, member
agencies, and contractors Seek or request outside training for MPO
officials Provide training to TCC/TAC, as appropriate MPOs Title VI
Coordinator State and federal agencies Document training efforts
Calendars and attendance records, certificates, etc. Communications
and contacts 18
Slide 19
Public Involvement and Outreach Ensure publics understanding of
its rights Notice to Public Know Your Rights promotions Outreach
strategies in Public Involvement Plan EJ/LEP populations and
contacts identified Best mediums determined for reaching each
community Adequate Representation on Committees Citizen Advisory
Committees (CACs), minority CACs, planning commissions, Bike/Ped,
Sidewalks/Greenways, TCC/TACs, etc. Process to ensure
representative participation 19
Slide 20
Data Collection Participant Data (Public Involvement) Public
volunteers demographic information at meetings Voluntary Public
Involvement Form GIS (Geographic Information Systems) maps
delineating participant addresses/areas to identify disparities in
participation Board/committee members self-ID race and gender
Visual Observation permissible if member declines self-ID
Demographic Profiles Map Title VI, EJ and LEP groups (identify
concentrations) Surveys and needs assessments that capture:
http://www.fhwa.dot.gov/environment/environmental_justice/facts/ej-10-7.cfm
http://www.fhwa.dot.gov/environment/environmental_justice/facts/ej-10-7.cfm
Overlay project/changes on maps to assess potential effects
Comparative Analysis (benefits and burdens) Document if outcomes
appear disparate or disproportionate 20
Slide 21
Discrimination Complaints Consult with NCDOT ESS to determine
jurisdiction Investigate or forward to NCDOT, as directed Cannot
investigate complaints filed against: The MPO (as a whole) Lead
Planning Agency Member Agencies NCDOT concurrence on decision
Investigative Report Supporting documentation (if needed) 21
Slide 22
Discrimination Complaints cont. External Complaint Process
Worksheet: Complaint filed no later than 180 days after the alleged
act? Is it in writing and signed? Written by complainant, Title VI
Coordinator or designee Are you trained in conducting
discrimination investigations? Was the complaint logged with the
requisite info? Complaint basis: Race, color, national origin, sex,
age, disability 22
Slide 23
Compliance Review Process Preliminary Analysis
Nondiscrimination Agreement Questionnaires and Requested Items
Lists On-site Verification Staff/MPO Liaison Interviews Coordinator
ensures availability Documentary Evidence Compliance Determination
Compliance Review Report Summary of Findings Corrective Actions
Deficiencies (90 days) Advisory Comments (before next review, or as
directed) Conciliation Agreement 23
Slide 24
Noncompliance Sanctions Nonresponsive or Uncooperative
Regulated sanctions for noncompliant recipients Suspension or
termination of Federal financial assistance Refusal to grant or
continue Federal financial assistance Any other means authorized by
law (49 C.F.R. 21.13) Standard TPB and Division processes for MPOs
Contact NCDOT about uncooperative member agencies and consultant
contractors Lead federal agency must concur (49 C.F.R. 21.13(d))
24
Slide 25
ADA/Section 504 Discrimination includes denying persons with
disabilities the opportunity to participate in or benefit from any
program or activity (28 C.F.R. 35.149) Any construction or
alteration project that provides access to pedestrians must be made
accessible to persons with disabilities (28 C.F.R. 35.150, 35.151)
Accessibility Guidelines
http://www.access-board.gov/guidelines-and-
standards/buildings-and-sites/about-the-ada-standards/background/adaag
http://www.access-board.gov/guidelines-and-
standards/buildings-and-sites/about-the-ada-standards/background/adaag
Review link and determine parts applicable to your program
Questions and Answers About ADA/Section 504
http://www.fhwa.dot.gov/civilrights/programs/ada_sect504qa.cfm
http://www.fhwa.dot.gov/civilrights/programs/ada_sect504qa.cfm
25
Slide 26
ADA/Section 504 cont. ADA Transition Plan: Assesses the needs
of persons with disabilities Schedules the required pedestrian
accessibility upgrades Update periodically to develop MPO plans
& programs Be defensible Is required for agencies with 50+
employees Make available for public comment Self evaluations need
to include whats in the public right-of-way 26
Slide 27
ADA/Section 504 cont. ADA Transition Plan Facilities (buildings
and pedestrian accommodations) Identify member agencies that should
have a Plan Complete self-evaluations Pedestrian facilities added
to MTP (and later MTIP) Bike/Pedestrian Plan Building upgrades in
individual members responsibility Program Accommodations
Advertisements, meeting locations, auxiliary aids, sign language,
braille, large print, teletypewriter (TTY), etc. 27
Slide 28
Limited English Proficiency (LEP) Safe Harbor Thresholds
(written translation) 5% or 1,000, whichever is less Speaks English
less than very well Census Tables B16004 & B16001 Demographic
Tool (developed by NCDOT Human Environ. Sect.) Four Factor Analysis
(reasonable steps) Number or proportion eligible to be served or
likely to be encountered by the program Frequency of contact with
the program Nature and importance of the program, activity, or
service provided by the program to people's lives Resources
available and costs 28
Slide 29
Limited English Proficiency cont. Language Assistance Plan
Covers entire MPO area including member agencies Must be approved
NCDOT Civil Rights Governing/Advisory body Four Factor Analysis
Conduct one for the entire MPO area Identify all LEP language
groups within the entire MPO Apply the four factors to each
language group Utilize member Title VI contacts Consider four
factors on individual projects/plans 29
Slide 30
Environmental Justice Because the nondiscrimination
requirements of Title VI extend to all programs and activities of
State DOTs and their respective sub-recipients and contractors, the
concepts of EJ apply to all State projects, including those which
do not involve Federal-aid funds, whether Advance Construction,
Design Build, or not. Disproportionately high and adverse effect
means an adverse effect that: (1) is predominately borne by a
minority population and/or a low- income population, or (2) will be
suffered by the minority population and/or low-income population
and is appreciably more severe or greater in magnitude than the
adverse effect that will be suffered by the non-minority population
and/or non-low-income population. 30
Slide 31
Environmental Justice cont. Develop procedures to identify and
address disproportionately high and adverse effects to minority and
low-income groups Review MPO policies, plans and studies to
determine if anticipated outcomes are disproportionate Assist
member agencies in identifying EJ communities and impacts Assist
NCDOT (TPB, Project Development & Environmental Analysis
(PDEA), etc.) if contacted about environmental features for
projects or plans Locations of populations (Is this where these
people are located?) Community leaders Detailed maps Local plans
and data 31
Slide 32
NCDOT Title VI Staff Sharon M. Lipscomb, Manager, External
Services Section [email protected] 919-508-1830 Shantray D.
Dickens, Title VI Specialist [email protected] 919-508-1896
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