T E X A S D E P A RT M E N T O F T R A N S P O RT AT I O N TITLE VI IMPLEMENTING PLAN

Transcription

1 T E X A S D E P A RT M E N T O F T R A N S P O RT AT I O N TITLE VI IMPLEMENTING PLAN

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3 TABLE OF CONTENTS Title VI Related Statutes and Nondiscrimination Statement... 4 Introduction... 6 Authorities... 8 Part I Organization, Staffing, and Responsibilities Responsibilities of the Office of Civil Rights Title VI Coordinator Title VI Specialists Title VI Liaisons Correspondence Identifying the Title VI Coordinator Department and Title VI Program Organization Charts Part II Title VI Discrimination Complaints Part III Limited English Proficiency Part IV Data Collection and Analysis Part V Public Dissemination of Title VI Information Part VI Annual Accomplishment Report Format Part VII Programs Impacted by Title VI Office of Civil Rights Contract Compliance Section (OCR) Transportation Planning and Programming Division (TPP) Texas Turnpike Authority Division Environmental Affairs Division Right of Way Division (ROW) Construction Affairs Division (CST) Office of Research and Technology Implementation (RTI) Office of Civil Rights Disadvantaged Business Enterprise/Small Business Enterprise/ Historically Underutilized Business Section (DBE/SBE/HUB) Part VIII Manuals and Directives Part VIIII U.S. DOT Standard Title VI Assurances and Title VI Nondiscrimination Agreement Title VI Nondiscrimination Agreement

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7 INTRODUCTION The Texas Department of Transportation (TxDOT) is a recipient of federal financial assistance. As a recipient of federal financial assistance, the Department must comply with various nondiscrimination laws and regulations, including Title VI of the Civil Rights Act of 1964 (Title VI). Title VI forbids discrimination against anyone in the United States because of race, color, or national origin by any agency receiving federal financial assistance. The Federal-Aid Highway Act of 1973 added the requirement that there be no discrimination on the grounds of sex. Additionally, the Civil Rights Restoration Act of 1987 defined the word program to make clear that discrimination is prohibited throughout an entire agency if any part of the agency receives federal financial assistance. The FHWA requires recipients of federal financial assistance to prepare a plan to clarify its roles, responsibilities, and procedures established to ensure compliance with Title VI. TxDOT s Title VI Implementing Plan focuses on program emphasis areas with significant public contact responsibilities or otherwise have a potential for significant Title VI impacts. 6

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9 AUTHORITIES Title VI of the Civil Rights Act of 1964, (42 U.S.C. 2000d) This statute provides that, No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving federal financial assistance. 49 CFR Part 21 U.S. Department of Transportation (U.S. DOT) Regulations for the Implementation of Title VI requires assurances from states that nondiscrimination under any program or activity for which the recipient receives federal assistance from the U.S. DOT, including the Federal Highway Administration (FHWA) will be prevented. 23 CFR Part 200 The FHWA s administrating regulations which specify Title VI implementation requirements for state departments of transportation at state and local levels. The Civil Rights Restoration Act of 1987 This statute restored the intent of Title VI and the broad, institution wide scope and coverage of nondiscrimination statutes to include all programs and activities of federal aid recipients, subrecipients, and contractors, whether those programs and activities are federally funded or not. The Civil Rights Restoration Act was a direct response to, and a rejection of the 1984 Supreme Court decision, Grove City College v. Bell (465 U.S. 555) in which federal agency nondiscrimination requirements were limited to just those areas of the recipient s operation that directly benefited from federal assistance. See FHWA Notice , September 2, 1992: Impacts of the Civil Rights Restoration Act of 1987 on FHWA Programs. Federal Aid Highway Act of 1973 Provides that no person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal assistance. Age Discrimination Act of 1975 Provides that no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal assistance. 8

10 Americans with Disabilities Act of 1990 Provides that no qualified individual with a disability shall, by reason of such disability, be excluded from participation in, be denied the benefits of, or be subjected to discrimination by a department, agency, special purpose district, or other instrumentality of a state or a local government. Section 504 of the Rehabilitation Act Provides that no qualified handicapped person, shall, solely by reason of his or her handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal assistance. Executive Order No Addresses federal actions to address Environmental Justice in minority populations and low income populations. Executive Order No Addresses the improvement of access to services for persons with Limited English Proficiency. Part I 9

11 ORGANIZATION, STAFFING, AND RESPONSIBILITIES The Department s Title VI program has been established in accordance with federal rules under 23 CFR Part 200 and falls within the scope of responsibilities of the Office of Civil Rights (OCR). The OCR, like other divisions and offices is located in Austin and forms a central resource to the TxDOT regions, districts, and the general public. The OCR s mission is To serve through information, education, audits, and investigations. The OCR is able to conduct its business effectively through the collaborative efforts of the Title VI Coordinator, Title VI Specialists, and program emphasis area personnel in the divisions and offices. The Interim Director of the OCR is the Department s Title VI Coordinator and has a direct subordinate relationship to the Department s Chief Human Resources and Administrative Services Officer. The Title VI Coordinator works to ensure there is a demonstrated commitment on the part of senior level authority to enforce Title VI and is responsible for the overall Title VI program implementation. Title VI Specialists assist the Title VI Coordinator with implementation of the Title VI program. The Department s Office of Civil Rights, Contract Compliance Section (OCR CCS) is responsible for the effective execution of nondiscrimination laws and regulations related to programs receiving federal financial assistance. In order to function appropriately, OCR CCS is staffed with Title VI Specialists trained to handle Title VI issues and develop the full extent of the Department s Title VI program. Program area personnel from the planning and project development segments and other services segments serve on the Title VI Interdisciplinary Team. These program area Title VI liaisons assist the Title VI specialist to accomplish various Title VI objectives. Responsibilities of the Office of Civil Rights The responsibilities of state transportation agencies, such as the Department are stated in detail under 23 CFR 200.9, and address the following areas: State assurances Requirements of Section 162(a) of the Federal-Aid Highway Act of 1973 (23 U.S.C. 324) that prohibits discrimination on the grounds of sex Affirmative action requirements to correct deficiencies Annual reviews Establishing a civil rights unit and designating a Title VI coordinator Adequately staffing the civil rights unit 10

12 Developing procedures for prompt processing and disposition of Title VI complaints received directly by the State and not by the FHWA Developing procedures for the collection of statistical data (i.e., with respect to race, color, national origin, sex, age, and disability of participants in, and beneficiaries of State highway programs) Developing a program to conduct Title VI reviews of program areas and annual reviews of program emphasis areas (PEA) Conducting Title VI reviews of cities, counties, consultant contractors, higher education institutions, planning agencies, and other recipients of federal financial assistance Review of State program directives Title VI training programs Annual accomplishment reports Title VI Implementing plans Development of Title VI information for dissemination to the general public Establishing procedures for pre-grant and post-grant approvals Establishing procedures to identify and eliminate discrimination when found to exist Establishing procedures for resolving deficiency status of complaints Responsibilities of the Title VI Coordinator The Title VI Coordinator acts as the responsible Department official in matters relating to Title VI and assists the Executive Director in carrying out the Title VI responsibilities of the Department. Specifically, the Title VI Coordinator has the authority and responsibility to implement the civil rights program by: Assisting the operating elements in the establishment of Title VI programs and recommending, developing, disseminating, monitoring, and pursuing policies and guidelines on the implementation of Title VI Reviewing, evaluating, and monitoring the operating elements activities and programs related to Title VI and effectuating changes to ensure consistency and program effectiveness Providing leadership, guidance, and technical assistance to the operating elements in the carrying out of their Title VI responsibilities Providing continuous and meaningful consultation with the public concerning the Department s Title VI program, including, in appropriate situations, the provision of materials in languages other than English Ensuring that all complaints of discrimination alleging non compliance with Title VI are processed, investigated, and resolved in a fair and timely manner in accordance with Title VI and federal operating regulations Advising the Executive Director concerning significant developments in the implementation of the Department s Title VI program 11

13 Responsibilities of the Title VI Specialists Title VI specialists work at the direction of the OCR CCS Section Director to assist and support the Department's Title VI Program. Title VI specialists are knowledgeable on the Title VI Program, Implementing Plan, applicable regulations, and: Assist PEAs to correct discriminatory practices or policies and advise the Title VI Coordinator of Title VI issues Provide technical assistance to PEA Title VI liaisons, District personnel, and other program personnel Review documents as needed for compliance with Title VI and to ensure that procedures used have safeguards to prevent discrimination Conduct Title VI compliance reviews of PEAs and cities, counties, consultants, contractors, suppliers, colleges/universities, planning agencies, and other subrecipients of federal assistance Develop Title VI training material, conduct training sessions, and workshops Develop Title VI information for dissemination to the public, and where appropriate, in languages other than English Process Title VI external complaints of discrimination in accordance with the FHWA External Complaint Processing Procedures Responsibilities of the Title VI Liaisons Title VI liaisons understand the application of Title VI to their respective program area and are responsible for ensuring Title VI compliance in their respective divisions through policy, development, procedures and monitoring. Interdisciplinary Approach FHWA policy guidance prescribes an interdisciplinary approach to maintaining compliance with Title VI. This approach requires civil rights and program area specialists to work closely to carry out their mutual nondiscrimination program responsibilities. Title VI nondiscrimination policy impacts all transportation decision making programs. Those program areas having significant impacts on the public and businesses are emphasized. These are referred to as Program Emphasis Areas. 12

14 The coordinated and cooperative approach of teaming program emphasis area personnel and civil rights specialists is essential to ensure mechanisms are in place to avoid discrimination. The Title VI Interdisciplinary Team members will: Foster awareness of nondiscrimination requirements throughout the Department; Participate in the development of Title VI guidelines; Identify, prioritize and address areas of vulnerability or need; Establish program roles and responsibilities; and Continually assess program nondiscrimination roles and responsibilities. 13

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17 PART II TITLE VI DISCRIMINATION COMPLAINTS Applicability Any person who, based on race, religion (where the primary objective of the financial assistance is to provide employment per 42 U.S.C. 2000d-3), color, national origin, sex, age, retaliation or disability believes that he/she has been excluded from participation in, denied benefits or services of any program or activity administered by the Department or its subrecipients, consultants, and contractors may bring forth a discrimination complaint under Title VI. Only complaints of discrimination based on the complainant s protected status will be considered under Title VI. Title VI discrimination complaints are processed consistent with the provisions of 23 CFR part 200.9(4) (b)(3) and 49 CFR 21.11(b). Time Limitations and Filing Options Title VI complaints may be filed with OCR directly, through any of the D/D/Os, the FHWA or the U.S. Department of Transportation. In order to have the complaint considered, the complainant must file the complaint no later than 180 calendar days after: The date of the alleged act of discrimination; or The date the person(s) became aware of the alleged act(s) of discrimination; or Where there has been a continuing course of conduct, the date on which that conduct was discontinued. Roles and Responsibilities TxDOT s Office of Civil Rights Contract Compliance Section (OCR) is charged with the primary responsibility of processing Title VI complaints received by the Department. OCR also functions in an advisory capacity to Division and Office Title VI liaisons on the discrimination complaint handling process. Division and Office Title VI liaisons serve as the point of contact for and receiver of Title VI complaints in those instances when the complainant has filed the complaint with a division or office. Districts, Divisions, Offices, and Regions (DDORs) in receipt of Title VI discrimination complaints forward the complaints to OCR within two working days. This includes any complaint which alleges exclusion from participation in and/or denial of benefits or services under any program or activity administered by TxDOT or by businesses under contract with TxDOT based on race, religion (where the primary objective of the financial assistance is to provide employment per 42 U.S.C. 2000d-3), color, national origin, sex, age, retaliation or disability. The DDORs also forward any complaints where 16

18 there is question whether the basis of the allegation(s) falls under coverage of Title VI to OCR. In such instances, OCR determines the jurisdiction. Complaints received against the Department will be promptly forwarded to the FHWA. Complaint Processing Upon initial contact, OCR will provide complainants with an explanation of their filing options and discrimination complaint process. The complainant will also be provided a copy of the Discrimination Complaint form, Discrimination Complaint Consent/Release Form and Title VI informational brochure. OCR acknowledges receipt of the complaint by certified mail and informs the complainant and respondent of action taken or proposed action to process the allegation within 10 calendar days of receipt of the complaint. In cases where the complainant is unable or incapable of providing a written statement, the complainant will be assisted in converting the verbal complaint into a written complaint and the signature of the complainant will be obtained on the written complaint. Title VI discrimination complaints received against the Department will be promptly forwarded to the FHWA. Title VI discrimination complaints will be investigated by the Department, if applicable, unless: The complaint is withdrawn by the complainant; The complainant fails to provide required information after numerous attempts; The complaint is not filed timely; The complaint is involving an issue other than discrimination or if the complaint is not based on a protected class. The Department follows standard FHWA external complaint procedures to include requirements regarding maintenance of a complaint log, form letters, investigative plans, reports and investigation formats. No information is disclosed with Department personnel or any other party not involved in the investigative process. Complaints filed under Title VI against State sub-grantees or contractors are investigated by the OCR. The FHWA will issue final decisions in all cases, including those complaints investigated by the Department. To the greatest extent possible, all complaints written in a language other than English will be translated and responded to in the same language that it was received. Documentation regarding any attempts and outcomes that were made to resolve the complaint issue(s) prior to the initial receipt of the written complaint will be summarized in the report of findings. 17

19 Conduct of Investigations Within 60 calendar days of receipt of the signed complaint, the OCR will investigate the validity of the allegation(s) and render a recommendation. The Report of Investigation (ROI) and recommended decision will then be forwarded to the FHWA for issuance of a Final Agency Decision (FAD). Investigative Plan The investigator shall prepare a written plan, which includes, but is not limited to the following: Complainant name and contact information, and that of their attorney, if applicable; Respondent name and contact information, and that of their attorney, if applicable; Applicable laws and regulations Basis(es) Issue(s) Background Interviewee(s) name and contact information Questions for the complainant, respondent and witnesses Evidence to be obtained Estimated investigation time line Remedy sought by the complainant(s) Complaint Log A complaint log maintained by the OCR will capture the following information, where applicable for each complaint: Complainant s name Complainant s race, color, gender and national origin Respondent s name Basis(es) of the discrimination complaint Issue(s) surrounding the discrimination complaint Date the discrimination complaint was filed Date the investigation was complete Disposition Disposition date Other pertinent information. 18

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21 Part III LIMITED ENGLISH PROFICIENCY (LEP) Background Limited English proficiency (LEP) is a term used to describe individuals who are not proficient in the English language. Executive Order Executive Order is a presidential directive signed by President Bill Clinton on August 11, 2000, requiring federal agencies to ensure that people who are LEP have meaningful access to services. The nondiscrimination authority of E.O is grounded on Title VI of the Civil Rights Act of 1964 and related statutes which prohibit national origin discrimination. Lau vs. Nichols, 1974 established that failure to provide a LEP person with services or meaningful access to services may constitute national origin discrimination. Executive Order directs federal agencies to: Examine their services, develop and implement processes by which LEP persons can meaningfully access those services; Establish guidance on how recipients can provide meaningful access to LEPs; Prepare a plan with consistent standards and steps to overcome language barriers in programs and activities; and Ensure stakeholders have adequate opportunity to provide input. Department Responsibilities The EO directs recipients of federal financial assistance to take responsible steps to provide LEP individuals with meaningful access to their programs, activities, and services. The following chart illustrates the programs and activities relative to LEP services. ACTIVITY PROGRAM EMPHASIS AREA OCR TITLE VI Assessing and addressing the needs of eligible persons Taking reasonable steps to ensure meaningful access Developing and implementing monitoring control mechanisms to ensure ongoing compliance Compliance, monitoring, and oversight X X Providing technical assistance and guidance X X X X 20

22 Guidance and Resources Guidance and brochures distributed to the DDOs reiterates the Department s responsibilities toward LEP persons. The brochures identify the four-factor analysis developed by the U.S. Department of Justice and effective procedures for the implementation of the analysis results. Guidance sent to all DDOs in 2009 entitled, Implementing TxDOT s Title VI Program, set forth the compliance standards that recipients of federal financial assistance must follow to ensure that their programs and activities normally provided in English are accessible to LEP persons and thus do not discrimination on the basis of national origin in violation of Title VI. The OCR published an LEP brochure to assist DDORs with implementing LEP requirements. The excerpts below identify the four-factor analysis and effective implementation procedures. The brochure also clearly states the Department s Nondiscrimination Statement. The brochure is available on the Department s Web site. Additional resources applicable to LEP available on the Department s Web site include the FHWA s Title VI and LEP Desk References. 21

23 Compliance with Executive Order DDORs should consider the four factors outlined on the previous page to determine which reasonable steps to take to provide LEP individuals with meaningful access to all of the Department s programs and activities. OCR routinely evaluates Department program and subrecipient compliance with LEP requirements during Title VI reviews. Final review reports are issued by OCR to the Department program or subrecipient and provide suggestions for compliance with LEP requirements. These billboards are a sample of the various DCAT designs that are available in English and Spanish. TxDOT has also targeted outreach materials to the LEP population in several of its safety and informational campaigns. Some of the outreach materials available in Spanish include television and radio commercials, billboards, brochures and pamphlets, news releases, fact sheets, and information cards. 22

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25 Part IV DATA COLLECTION AND ANALYSIS Statistical data on race, color, national origin, sex, age, and disability of participants in and beneficiaries of the Department s programs, (e.g., relocatees, affected populations, and participants) will be gathered, analyzed, and maintained by the Department to determine the transportation investment benefits and burdens to the population, including minority and low-income populations. Each of the PEAs will maintain data relative to their programs and activities. Data gathering procedures will be reviewed regularly to ensure sufficiency of the data in meeting the requirements of Title VI program administration. Analysis of the data collected by the program emphasis areas may include: The population eligible to be served by race, color, national origin, or sex Persons to include in the decision making process Percent of benefits allocated to persons below the poverty line vs. persons above the poverty line Distribution of benefits (dollars, facilities, systems, projects) to groups and communities Impact of investments on income, race, sex, disability and age groups Projected population increases versus planned facilities and types of facilities Language needs assessment Transportation needs of all persons within boundaries of plans or projects Impacts and persons impacted Strategies to address impacts Priorities for investments The manner in which services are or will be provided and the related data necessary for determining whether any persons are or will be denied such services on the basis of prohibited discrimination The location of existing or proposed facilities connected with the program and related information for determining whether the location has or will have the effect of unnecessarily denying access to any persons on the basis of prohibited discrimination The present or proposed membership, by race, color, national origin, sex, disability and age, in any planning or advisory body which is an integral part of the program Strategies to disseminate information 24

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27 Part V PUBLIC DISSEMINATION OF TITLE VI INFORMATION A brochure entitled Title VI and You was developed to provide the public with information regarding Title VI and related statutes and their rights under the law. The brochure is available in English and in Spanish and has been distributed to the DDORs and the Department s subrecipients. TxDOT s DDORs make the brochures available at public meetings. A poster reiterating the Department s Nondiscrimination Statement is on the front of the brochure and has also been disseminated throughout the Department. The poster also provides instructions for filing a Title VI discrimination complaint. In addition to the Title VI brochure and poster, the Department developed and disseminated informational brochures on LEP and environmental justice (EJ). Each of the brochures appears on the following pages. Title VI, EJ, and LEP informational brochures appear in the lobby of the Yoakum District Office along with the Title VI poster. 26

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37 Part VI ANNUAL ACCOMPLISHMENT REPORT FORMAT In accordance with 23 CFR 200.9(b)(10)(11), an annual report of Title VI accomplishments for the past year and goals for the next year will be submitted to the FHWA. This report will contain necessary information to evaluate the Department s Title VI program. At a minimum, information from the following program areas will be included in the accomplishments and goals report: Transportation Planning and Programming Division Texas Turnpike Authority Division Environmental Affairs Division Right of Way Division Construction Division Office of Research and Technology Information Office of Civil Rights Contract Compliance Section Office of Civil Rights DBE/SBE/HUB Section 36

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39 Part VII PROGRAMS IMPACTED BY TITLE VI Title VI Requirements Title VI of the 1964 Civil Rights Act and related statutes state that no person in the U.S. shall, on the grounds of race, color, national origin, sex, age, or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity, receiving Federal financial assistance. Pursuant to this mandate, recipients of Federal financial assistance must take affirmative steps to ensure that discrimination does not occur in its organization. These activities fall into one or more of the areas listed below: Adoption of policies and procedures supportive of Title VI requirements Ensuring adequate public involvement Implementing controls and data collection mechanisms to monitor for any adverse treatment or impacts on any groups Ensuring that contracting/procurement opportunities are awarded in a nondiscriminatory manner Ensuring that subrecipients, subgrantees, contractors, subcontractors, transferees, successors in interest, and other participants comply with all Title VI requirements Conducting Title VI compliance reviews 38

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41 OFFICE OF CIVIL RIGHTS TITLE VI Overview The Department s Office of Civil Rights, Contract Compliance Section (OCR CCS) is responsible for the effective execution of nondiscrimination laws and regulations related to programs receiving federal financial assistance. In order to function appropriately, OCR CCS is staffed with Title VI Specialists trained to handle Title VI issues and develop the full extent of the Department s Title VI program. Approach to Title VI The OCR is led by an Interim Division Director who also serves as the Department s Title VI Coordinator. The OCR-Contract Compliance Section Director leads the Department s Title VI Program and implements the program by: Issuing guidance Providing training and technical assistance Conducting compliance reviews Coordinating training Processing Title VI external discrimination complaints Data Collection and Analysis The OCR-CCS is involved in analyzing data captured by the program emphasis areas and providing recommendations based on the analysis. Title VI Reviews The OCR has developed a program to conduct Title VI reviews of program areas and subrecipients of federal financial assistance. The purpose of the compliance review process is to determine if the Department s program areas and subrecipients are meeting Title VI compliance requirements. Program Emphasis Areas The OCR-CCS annually reviews program areas through a desk audit. Program areas may also be identified for a more in depth Title VI review based on several factors: The potential Title VI impacts of the program or activity To follow up on Title VI related recommendations made during a previous review To ensure nondiscrimination in a program or activity that has received Title VI complaints or potential Title VI complaints Recommendation by the FHWA to conduct a review of a specific program area or activity 40

42 Subrecipients The OCR-CCS also conducts reviews of its subrecipients, including local public agencies. TxDOT has streamlined the subrecipient review process in an effort to provide greater oversight of the Title VI program. The streamlined Title VI review process focuses on compliance with 10 major components of Title VI. The 10 components are defined in the Title VI Technical Assistance Guide which provides examples for compliance: 1. Developing Title VI Assurances 2. Developing a Title VI Policy Statement 3. Identifying a Title VI Liaison 4. Developing procedures for processing external discrimination complaints 5. Providing TxDOT with a list of external discrimination complaints and lawsuits 6. Providing accommodations for limited English proficient persons 7. Ensuring nondiscrimination in the LPA s public participation process 8. Collecting and analyzing data to ensure nondiscrimination in the LPA s programs and activities 9. Ensuring that contracts contain the appropriate Title VI contract provisions 10. Ensuring nondiscrimination in the award of contracts Compliance, Deficiencies, Remedies, and Sanctions The Department may determine, after the completion of a desk audit review, compliance review or complaint investigation that a subrecipient is not in compliance with Title VI. 41

43 Deficiencies can take the form of technical violations, such as failing to include an equal opportunity statement on a poster, filling out an assurance form incorrectly, or more serious, overt discriminatory practices that have the effect of denying equal access to programs, activities, or services. There are six essential steps that the OCR CCS will follow if a Title VI Review identifies deficiencies. 1. The Title VI Coordinator will forward the report with a cover letter to the head of the program, agency or service provider 2. The Title VI Coordinator, or his designee, will schedule a meeting with the subrecipient, to be held no later than 30 days from identification of such deficiencies in the report 3. Subrecipients placed in deficiency status shall be given a reasonable time, not to exceed 90 days after receipt of the deficiency letter, to voluntarily correct the deficiencies 4. The Title VI Coordinator shall seek cooperation from the recipient to correct deficiencies found during the review. The Title VI Coordinator may seek technical assistance and guidance from the FHWA to aid the subrecipient to voluntary compliance 5. When the subrecipient fails or refuses to voluntarily comply with requirements within the allotted timeframe, a case file and recommendation that the subrecipient be found in noncompliance is submitted to the FHWA Texas Division Office 6. The FHWA Texas Division Office will review the case file for determination of concurrence or non-concurrence and may consult legal counsel for sufficiency review In the event that compliance cannot be achieved voluntarily, Title VI permits the FHWA to use means authorized by law to bring about compliance. In addition to referring the subrecipient to the U.S. Department of Justice for litigation in federal court, other means include administrative avenues such as: Seeking consultation with, or assistance from another federal agency (e.g., the Office of Federal Contract Compliance Programs, U.S. Department of Labor) with authority to enforce nondiscrimination requirements Consulting with, or seeking assistance from state or local agencies with nondiscrimination enforcement authority In the event that compliance cannot be achieved, Title VI also allows a federal agency to refuse to grant new funds or terminate existing funds after providing a notice and an opportunity for a hearing. 42

44 If the agency determines after completion of the hearing, that funds should be terminated, denied, or discontinued, the agency must submit a complete written report on its decision to the House and Senate committee having legislative jurisdiction over the program or activity before the decision can be implemented. DOT guidelines provide procedures for conducting fund termination or denial hearings. They also permit, in limited circumstances, a federal agency to defer action on an assistance application temporarily pending initiation and completion of the notice and hearing. Such temporary suspension of funds allows agencies to prevent the continuation of the alleged discrimination pending a final determination. It is important to restate that prompt action to achieve voluntary compliance is the first objective with respect to all instances in which noncompliance is found and should be pursued through each stage of enforcement action. Title VI I-Team In response to recommendations provided by FHWA during the 2008 Civil Rights Baseline Assessment, the OCR developed the Title VI Interdisciplinary team (Title VI I Team). The Title VI I Team is comprised of DDO representatives from three segments: planning, project development and other services. The OCR utilizes the Title VI I-Team to facilitate its interdisciplinary approach to implementing Title VI requirements. This approach requires civil rights and program specialists to work closely to carry out mutual nondiscrimination program responsibilities. Training and Technical Assistance The OCR provides technical assistance during the conduct of its Title VI reviews and coordinates training with the FHWA and TxDOT s Human Resources Division. Complaints TxDOT s Office of Civil Rights Contract Compliance Section (OCR) is charged with the primary responsibility of processing Title VI complaints received by the Department. See Part II for additional information on how the OCR processes Title VI complaints. 43

45 TRANSPORTATION PLANNING AND PROGRAMMING DIVISION Overview The core transportation planning and programming functions of the Department are under the Transportation Planning and Programming Division (TPP). TPP provides for efficient and effective planning, transportation analysis and information systems to support multimodal transportation systems. TPP is responsible for statewide urban and rural multimodal transportation systems planning, long-range programming, the Statewide Transportation Improvement Program, analysis and projection of traffic data, collection and storage of roadway data, and preparation and distribution of maps. Approach to Title VI TPP is led by a Division Director with support in Title VI matters being handled by the Systems Planning Director and the Title VI Liaison. TPP s new Title VI liaison, Michelle Conkle will begin serving on the Department s Title VI I-Team in FY Public Involvement Participation Strategy The Department informs all stakeholders about proposed plans and projects during the statewide transportation planning process. During this process, the Department also seeks input from all stakeholders on specific projects and issues. The Public Involvement Plan (PIP) demonstrates how the Department provides opportunities for public review and comment at key decision points during the statewide transportation planning process as required by the Safe, Accountable, Flexible, and Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). TxDOT s PIP process is designed to initiate a hands-on public involvement process that provides early and timely information about transportation issues that affect all Texas citizens. Objectives for public involvement in the statewide planning process include: 1. Promoting an early role for the public 2. Engaging the public in developing the PIP 3. Identifying and involving those traditionally underserved 4. Using a combination of involvement techniques to meet the diverse needs of the public 5. Providing explicit consideration and response to public input 44

46 Notification of any actions taken on the STIP or long range statewide plan to include how and where to obtain a copy of subject documents; the time and date of the public hearings; and instructions to those interested in providing comments is sent to the following: Metropolitan planning organization (MPO) directors State and federal environmental agencies Texas Bicycle Coalition Tribal governments Bureau of Indian Affairs Central Federal Lands Highway Division National Park Service/Intermountain Region office Texas Register All other interested parties are provided notice of the comment period and public hearings via the Texas Register, TxDOT s Web site, and in notices posted in local newspapers by both Regional and District offices. Interested parties are able to access this document in TPP s Austin office, TxDOT district offices, and on TxDOT s Web site. Written comments can be mailed to the address provided or given to TxDOT personnel. Copies of all documents are available for review at the location of the public hearing, and afterward via open records requests. Before a planning document is adopted, TxDOT s statewide public involvement process allows for at least 30 calendar days from the public hearing notice and at least 10 days after the public hearing, for the public to review and provide comments. At least once every five years from the adoption date of the STIP, TxDOT reviews and solicits comments from non-metropolitan local officials and other interested parties. Solicited comments regarding the effectiveness of the consultation process outlined in this plan, and any proposed changes are reviewed for a period of not less than 60 calendar days. Specific requests for comments will be directed to the State Association of Counties, Texas Municipal League, regional planning agencies, or directly to the appropriate non-metropolitan local officials. 45

47 Consultative Tools TxDOT uses a number of methods to communicate information regarding Department activities and opportunities for public and stakeholder participation in the statewide planning process: Newsletter/Mailings Media Releases Notices Published in the Texas Register Visualization Presentations/Techniques Local Community Public Meetings Statewide Public Hearings TxDOT s Interactive Internet Site MPO Internet Sites Facebook Twitter Podcasts Stakeholder Outreach and Visualization Tools Proactive public involvement and stakeholder outreach is an important part of developing TxDOT s plans and programs. To ensure that all stakeholders are included in the long-range planning process TxDOT provides opportunities for stakeholders and the public to participate in public meetings and stakeholder working sessions. Planning documents and news releases are also available on the Department s Web site at Specific planning-related information is available through TxDOT s Government and Public Affairs Division at Available Geographic Information System (GIS) Data Several sources of GIS data used in the planning process to enhance the environment (Geographic Information Systems in Transportation) are made available to the public. TPP also incorporate GIS technology to provide the following maps and data to various stakeholders: Load Restricted Bridge Map Roadway Recycled Materials Summaries TxDOT Right of Way Maps Application Project Tracker TxDOT District Public Involvement / Consultation Processes TxDOT districts that do not have metropolitan areas within their boundaries adhere to the Rural Consultation Process for public involvement when obtaining public input regarding planning 46

48 processes and the rural TIPs. TxDOT districts with boundaries that encompass both rural and metropolitan areas adhere to both the Rural Consultation Process and the process documented in the respective MPO s Public Participation Plan. Local Coordination of TxDOT Planning Activities Local coordination of statewide and regional planning activities is generally carried out by TxDOT district staff in conjunction with MPO staff, regional staff, local elected officials, local transportation agency personnel, and any stakeholders that wish to participate. TxDOT divisions and regions provide support to TxDOT districts and are frequently in attendance at local public meetings and hearings. Metropolitan Planning Organization (MPO) Public Participation Plans The twenty five Texas MPOs have documented public participation plans which are available on their respective Web sites or can be obtained by contacting MPO staff. TxDOT s Web site contains contact information for the MPOs across the state mpo.htm Additional Coordination TxDOT engages in planning activities with Regional Councils of Government (COGs) and Regional Mobility Authorities (RMAs) in Texas and coordinates with the following State and Federal Resource Agencies throughout the statewide transportation planning process the most common are listed below: Federal Highway Administration: Federal Transit Administration: Federal Railroad Administration: Texas Commission on Environmental Quality: Texas Historical Commission: Texas Parks and Wildlife Department: U.S. Army Corps of Engineers: U.S. Environmental Protection Agency: U.S. Fish and Wildlife Service: Central Federal Lands Highway: Data Collection and Analysis TPP collects demographic information from participants at public outreach events for the Statewide Long Range Transportation Plan (SLRTP). Participants are given the opportunity to complete a brief voluntary survey and place it in a confidential lockbox. 47

49 TEXAS TURNPIKE AUTHORITY DIVISION Overview The Texas Turnpike Authority Division (TTA) aims to improve mobility and safety by developing and operating a safe, reliable and cost-effective system of toll roads using private-sector partners and financing options. The Division has the authority to design, construct, operate, expand, or extend turnpike projects as a part of the state highway system. Approach to Title VI Overall responsibility for the functions of the Division lie with the TTA Director. The Division s Administrative Manager is the Title VI liaison and also serves on the Department s I-Team. TTA ensures that the public is aware of the rights afforded to them under Title VI by making Title VI, EJ, and LEP brochures available during public involvement activities. Standard contract templates with applicable nondiscrimination requirements are used to develop all new contracts for the Division. CDA contracts also include special provisions for the Department s Disadvantaged Business Enterprise Program, Non-discrimination, Equal Opportunity special provisions. Developers entering into CDAs with the Department must also ensure that all subsequent contracts contain the appropriate nondiscrimination language. Failure by a developer to carry out this requirement is a material breach of the CDA agreement. Public Involvement TTA is obligated to comply with the following regulations and orders during the planning, programming, and environmental study processes undertaken for initiating and developing individual projects and transportation corridor programs. The listed regulations and orders also set forth TTA s public involvement requirements during the NEPA process: Council on Environmental Quality (CEQ) Regulations, 40 CFR FHWA Regulations, 23 CFR 771 FHWA Regulations, 23 CFR 450 Executive Order DOT Order FHWA Order Texas Administrative Code (TAC), 43, Part 1, Chapter 2, Subchapter A(d) 48

50 TTA provides an opportunity to all potentially affected population groups and communities, including minority and low-income populations, and LEP populations to participate in and provide input to the project planning and development process. TTA accomplishes this by: Providing public involvement information materials and resources in multiple languages Utilizing translators at public meetings and hearings in areas where the identified populations is LEP Providing other special communication accommodations upon request Ensuring that all public involvement activities are in compliance with the American with Disabilities Act, as Amended (ADA) TTA also works with TxDOT s Government and Public Affairs Division and the Department s Advisory and Segment Committees to conduct grassroots types of involvement to support the planning and development of transportation improvements along the I-35 and I-69 corridors. The Advisory Committees and Segment Committees were established as part of a collaborative effort to receive regional and localized community input and recommendations on planning and advancing the development of individual projects within the I-35 and I-69 corridors. The committees also provide focused geographic representation along both corridors. Data Collection TTA utilizes data from the U.S. Census Bureau, public outreach (scoping meetings, public meetings, and public hearings), information on poverty guidelines from the Department of Health and Human Services, and local agency coordination (including, but not limited to MPO s, local elected officials, municipalities, etc.) to establish demographic characteristics and trends. The data is used to identify and engage traditionally underserved populations, including those covered under existing environmental justice policies, as well as populations with limited English proficiency. During EJ studies, TTA examines low-income and designated environmental justice minority demographics to comply with current environmental justice policies, NEPA, and CEQ regulations. Information from the U.S. Census Bureau s website is obtained to determine the number and percentage of low-income and minority populations at a census block group or block level within a project study area. Furthermore, coordination is conducted with local community officials to assess where these populations live and work as well as the services they depend upon. This information is then utilized to determine where low-income and minority populations are concentrated in an effort to provide them an opportunity to participate in the project development process as well as to assess how they may be affected. The intent of the environmental justice analysis is to evaluate if lowincome and minority populations may be disproportionately affected by the project. An assessment is also made to determine if these populations may experience disparate effects and reduced benefits of the project. The findings of the environmental justice analysis are included in the NEPA document 49

51 and, as appropriate, are used to evaluate strategies to mitigate high and adverse disproportionate environmental justice impacts. Right of Way The Turnpike Right of Way Office (TTA-ROW) is responsible for driving the real estate acquisition and utility accommodation efforts on statewide Comprehensive Development Agreement (CDA) projects. The TTA-ROW s Right of Way Program Management Oversight consists of overseeing the Developers effort in regard to surveying, mapping, acquisition, relocation assistance, and condemnation as part of the right of way process. TTA-ROW approves all acquisition packages and any offers to purchase of property required for the facility as submitted by the Developer. All property acquired is in the name of the State of Texas. TTA-ROW also reviews and approves the Developers utility coordination and utility adjustment processes and submissions. Responsibility also includes making certain that all activities performed are in compliance with state and federal rules and regulations, which include Title VI. The acquisition of private property by eminent domain must follow certain procedures. Property owners are provided a copy of the following information in English and/or Spanish: Landowner s Bill of Rights State Purchase of Right of Way Brochure Relocation Assistance Brochure Toll Operations The environmental documents of all of the Department s toll projects include a discussion of the impacts, including traffic diversion issues to minority and low income communities. The Department has made several policy decisions to mitigate impacts to EJ communities. For example, to mitigate the typical barriers to toll transponder adoption, the Department was the first in the industry to implement these types of policies and open electronic toll collection to all customers. Highlights of the activities to mitigate these barriers included: Waving the $9.65 fee for the tag itself during the introductory period Ability to buy into the program with just $20.00 in pre paid tolls Not requiring customers to secure their account with a credit card Allowing customers to prepay their tolls using cash, check, or credit card Selling TxTags at easily accessible places such as toll booths in the Austin area, Brookshire s grocery stores, AAA offices throughout the state Providing a toll free number that can be used by customers to contact the customer service center 50

52 Promotional events are also held to provide customer access to TxDOT staff and TxTags. Additionally, information on toll roads is provided on the Department s Web site in English and Spanish. Limited English Proficiency TTA analyzes data from the U.S. Census Bureau and coordinates with TxDOT District personnel to determine the level of LEP services required to effectively engage and provide services to the LEP population. The Division also coordinates with community officials to assess the need for supplemental LEP services and materials. Additionally, the Division makes the following efforts to ensure compliance with LEP requirements. Interpreters are available at all public meetings and hearings All documents are provided in Spanish as requested Toll brochures and TxTAG materials are provided in English and in Spanish Spanish speaking customer service representatives are also available to assist customers as needed LEP persons are made aware of the services available through newspaper ads that announce public events and indicate that services will be available. 51

53 ENVIRONMENTAL AFFAIRS DIVISION Overview The Environmental Affairs Division (ENV) oversees the Department's environmental programs with the goal of ensuring that transportation systems are "environmentally sensitive." The Division addresses air and water quality, animal and plant ecology, archeology, historic properties, environmental justice, hazardous materials, and traffic noise. ENV reviews and coordinates environmental documents, and develops and delivers environmental training. The Division is a liaison to state and federal resource agencies, educates the public, and provides support to TxDOT districts and the Regional Environmental Centers (REC). Approach to Title VI - General The Division is led by a Division Director and receives support in Title VI and related matters from several staff members. Division personnel also serve on the Department s Title VI I Team. Manuals and Guidance The ENV has developed guidance in the form of an Environmental Manual to assist the Department s Districts, Regions, and consultants in better understanding its responsibility to ensure that the Department s projects are planned, developed, and approved consistent with the charge to be good stewards. The Environmental Manual is intended to guide both internal and external environmental practitioners. Chapter 1, Section 2 provides a collection of the laws, regulations, guidelines, practices, and procedures that must be addressed as part of the project planning and development process. Chapters 2, 3, and 4 provide information relative to Title VI, EJ, and LEP issues. In addition to the Environmental Manual, ENV has produced several relevant stand-alone guidance documents. These include: Interim Guidance for Project Level Environmental Justice (EJ) Analysis Regional Toll Network Analyses (TxDOT and FHWA Joint Guidance) Guidance on Environmental Justice for Toll Roads Standards of Uniformity for Programmatic Categorical Exclusions Standards of Uniformity for Categorical Exclusions Early Right-of-Way Acquisitions Standard of Uniformity Socioeconomic Resources Standards of Uniformity (Added Capacity and No Added Capacity) for Projects without FHWA Involvement 52

54 Contracts The Division ensures that Title VI Assurances, providing specific nondiscrimination provisions are included in contracts by using standard contract forms from the General Services Division. ENV posts all Requests for Proposals (RFP) on the Department s external Web site and the Texas Comptroller of Public Accounts (CPA s) Web site through a link to the Electronic State Business Daily Web site. RFP s are also advertised in various newspapers. HUB goals listed in each RFP are established by the OCR HUB Administrator. Proposals that do not identify HUB goals are disqualified. ENV also verifies the HUBs identified on the proposals are in the HUB Directory on the CPA s Web site. The majority of ENV s work authorizations are for specialized scientific services (archeology, hazardous materials, historical, biological assessments, water compliance services). The majority of the services performed are for data analysis and reporting services of what was analyzed. Identification of Low-income and Minority Communities The potential for individual projects to affect low-income and minority communities is examined for each project. Census data, public involvement, and field observations are used to identify potential low-income and/or minority communities within each project area. When a project involves a toll element, data collection is expanded to identify whether low-income and/or minority communities are likely to use the project. Currently, data for identification of low-income and minority communities is recorded in individual project files, and reflected in the NEPA or state environmental document for each project. Districts are responsible for conducting appropriate studies; ENV reviews NEPA and state environmental documents and comments if an issue is not adequately explained in the environmental document. Public Involvement TxDOT Districts ensure that public involvement is adequately solicited and considered. The Environmental Manual and various environmental SOUs and SOPs outline public involvement requirements and emphasize the connections between public involvement, community impacts analysis, environmental justice analysis, and outreach to LEP communities. Technical specialists are available within ENV to help districts determine appropriate levels of public involvement and outreach strategies upon request. Limited English Proficiency Limited English Proficiency (LEP) is an important consideration for TxDOT during the public involvement in the environmental process. ENV provides guidance to the districts regarding the 53

55 public involvement process. The Environmental Manual and various environmental SOUs and SOPs outline public involvement requirements and emphasize the connections between public involvement, community impacts analysis, environmental justice analysis, and outreach to LEP communities. ENV s website includes links to FHWA s Title VI Desk Reference and LEP Desk Reference. ENV has provided all districts copies of the booklets Community Impacts Assessment: A Quick Reference for Transportation and How to Engage Low-Literacy and Limited-English-Proficiency Populations in Transportation Decisionmaking. Additional copies of both booklets are available upon request, and both are also available online. These booklets emphasize appropriate outreach techniques for specific communities. Technical specialists are available within ENV to help districts determine appropriate levels of public involvement and outreach strategies upon request. ENV s Web site also includes links to FHWA s Title VI Desk Reference and LEP Desk Reference. Data Collection and Analysis The potential for individual projects to affect low-income and minority communities is examined for each project. Census data, public involvement, and field observations are used to identify potential low-income and/or minority communities within each project area. When a project involves a toll element, data collection is expanded to identify whether low-income and/or minority communities are likely to use the project. Currently, data for identification of low-income and minority communities is recorded in individual project files, and reflected in the NEPA or state environmental document for each project. Districts are responsible for conducting appropriate studies; ENV reviews NEPA and state environmental documents and comments if an issue is not adequately explained in the environmental document. 54

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57 RIGHT OF WAY DIVISION Overview Once environmental impact studies are complete, land must be acquired to build, widen, or enhance roads. The Right of Way Division (ROW) coordinates the acquisition of land to build highways and provides relocation assistance when needed. ROW also coordinates utility adjustments, the disposition and leasing of surplus real property owned by TxDOT, and regulates outdoor-advertising signs and junkyards. There are more than one million acres of right of way on the state system. Approach to Title VI The ROW is led by a division director with support in Title VI matters being handled by the Division administrative manager and Title VI liaison. The ROW Division administrative manager serves on the department s I-Team. The ROW has built affirmative measures into its policies and procedures to ensure nondiscrimination in its activities. Checks and balances throughout the right-of-way process ensure fair and equitable treatment. Interpreters are also provided to communicate with affected individuals throughout the right-of-way processes of acquisition and relocation. To ensure consistency in the application of its policies and procedures, the ROW has developed a series of program-specific manuals. These manuals include references to Title VI and nondiscrimination as needed and include: Real Estate Acquisition Guide for Local Public Agencies Appraisal and Review Manual Utility Manual Right of Way Manual Vol. 1 Procedures Preliminary to Release Right of Way Manual Vol. 2 Right of Way Acquisition Right of Way Manual Vol. 3 Relocation Assistance Right of Way Manual Vol. 4 Eminent Domain Right of Way Manual Vol. 5 Property Management Right of Way Manual Vol. 6 Miscellaneous Right of Way Manual Vol. 7 Beautification Right of Way Manual Vol. 8 Records, Reports, and Closing Projects Contracts Professional-service contracts procured and administered by the ROW Division are prepared from templates designed and reviewed by the Consultant Services Section (CSS) of the General Services Division. Contract templates are continuously updated based on changes in laws, rules, and 56

58 regulations. Additionally, the contract manager in the ROW Division holds an active certification by the state for contract management (CTCM). Before professional-service contracts are awarded by the ROW Division, a company must attend a mandatory contract-orientation meeting at which professional-service needs and contract responsibilities are presented by subject-matter experts to all participants. Professional-service contacts procured and administered by the division typically have DBE participation goals that are 20% of the contract amount. In actuality, as contracts do not carry a guarantee of work, the end goal is 20% of the funds expended through the contract. ROW Division efforts to encourage minority and female-owned firms to bid on consultant opportunities includes maintaining a list of individuals and companies that have expressed an interest in professional-service contracts. Notification of published RFPs is given in the following ways: Through newspapers On the Department's external website On the CPA s Business Daily website Sent electronically to all of the individuals and companies appearing on the list of interested parties Appraisals and Appraiser Qualifications TxDOT accomplishes its appraisal work with staff appraisers and contract-basis fee appraisers. TxDOT districts make affirmative efforts to locate minority appraisers. In 1997, the ROW Division Director authorized an Appraiser Application Approval Committee. It is composed of two ROW Division personnel and one district staff person, appointed by the ROW Division director. The purpose of this committee is to: review district-recommended fee and staff appraiser/reviewer applications recommend approval of qualified applicants to the ROW Division director and arbitrate in the fee appraiser administrative-appeal process. Appraisers are required to certify that their opinion of value in appraisal activities is based on their independent appraisal. Appraisers are also required to execute appraisal contracts that prohibit discrimination in the use of subcontractors. Review appraisers are tasked with checking the appraisals to verify that the appraisers have acted impartially and independently. Review appraisers can check the consistency of appraisal reports 57

59 compared to other appraisal reports and sales comparables by other appraisers in the market area. Review appraisers are required to investigate any significant difference of value. The department contracts for the services of technical experts to assist the appraiser and assistant attorney general in the acquisition of property and eminent-domain proceedings. Typically, technical experts provide reports and information on issues that may be beyond the expertise of the appraiser. Their services often are required for testimony in eminent-domain proceedings and assisting the Office of Attorney General in trial preparation. Technical experts are distinguished from expert witnesses in that technical experts provide reports and testimony in their assignments, while expert witnesses provide testimony and assistance. Negotiations and Acquisitions The policy of the Texas Department of Transportation is to acquire right of way and to administer related functions in such manner that no person is excluded from participating in, denied the benefits of, or otherwise subjected to discrimination under any program or activity based on race, color, national origin, sex, age, religion or disability. This policy conforms with Title VI of the Civil Rights Act of 1964 and federal regulations. Although federal regulations do not require personal contact with a property owner by a negotiator, personal contact is TxDOT's standard procedure. Negotiations may also be initiated by mailing the owner the following items: An offer letter containing required provisions A copy of the appraisal report used as the basis of the offer An "acknowledgement of receipt of appraisal" form Negotiations initiated by mail are followed with a timely telephone call to the owner. Further contact depends on the owner's response during initial telephone contact, but personal contact must be made when requested by the owner. The department also has defined basic acquisition procedures for local public agencies. ROW ensures consistency in the overall implementation of negotiation procedures through policies and guidance set forth in the ROW manuals. The Appraisal and Review Manual states that it is the department s policy regarding minor acquisitions, as when the appraised value is very low (under $1,000), an economic adjustment is authorized by rounding up to a maximum of $1,000. The Right of Way Division s direction to the department s districts/regions is that, when this rounding procedure is employed, it should be applied uniformly to all parcels and to those property owners whose parcels have initial appraised values of less than $1,

60 Relocations TxDOT s advisory services include but are not limited to personal interviews with displacees, offering transportation to displacees, contracting a third party to provide transportation to displacees when necessary, and providing on-going assistance throughout the relocation process. Minorities are given the opportunity to relocate to replacement dwellings not located in areas of minority concentration. All comparables used to determine an amount of housing assistance are decent, safe and sanitary (DSS), and equal to or superior to the displacement dwelling in terms of construction, quality and living space. Displacees are free to occupy any replacement dwelling of their choosing and may claim housing benefits once the replacement dwelling has been inspected and found to meet DSS standards. TxDOT s relocation staff members are a diverse group of professionals. Displacee surveys are provided to displacees in their native language. The Relocation Advisory Assistance Parcel Record (Form ROW R -96) collects demographic data that can be evaluated by civil-rights specialists. During personal interviews, needs and preferences of displacees are verified. All displacees receive a survey to provide an opportunity to document any concerns with the relocation process. The division reviews claims for relocation assistance that are submitted by the regions. Personal interaction with displacees is required on relocations to ensure that the displacee understands the relocation process and benefits available to them. If division personnel determine that relocation interactions and advisory services are noncompliant with TxDOT policy or the URA (Uniform Relocation Assistance and Real Property Acquisitions Policies Act) then regional staff may be asked to provide additional documentation or information. The division reviews and approves all replacement housing and rental-assistance supplements computed by regional staff. Reviews focus on compliance with departmental policy and the URA as well as monitoring replacement-housing standards. These standards ensure that comparable housing consistently offers fair, decent, safe, and sanitary options without discrimination. Complaints Title VI complaints (i.e., complaints of discrimination in any manner as set out above), if any, are to be processed through the appropriate regional director to the director of Right of Way Division. The ROW Division Director then forwards such complaint to the department s Office of Civil Rights. Data Collection ROW collects the demographic data of beneficiaries and displacees in its database, the Right of Way Information System (ROWIS). In FY 2010, the ROW Division modified its intake form entitled 59

61 Relocation Advisory Assistance Parcel Record to include a check box for ADA Special Considerations in an effort to capture additional data for Title VI monitoring. Limited English Proficiency (LEP) ROW requires regions to coordinate all LEP costs in ROWAPS through the division to ensure compliance. This communication ensures that all necessary services and costs are analyzed and services are never limited. The Acquisition and Relocation Assistance brochures that are given out at the initial contact are vital documents that were translated to Spanish in the 1980s by in-house staff, and continue to be updated as needed by in-house staff. ROW staff is aware of the obligation to provide meaningful access to information and services for LEP persons through the Uniform Act and TxDOT s Right of Way Manual. ROW staff also receives instruction through routine training sponsored by the division and provided through the International Right of Way Association. During initial contact and through written notices generated by the department, the division notifies LEP persons of the services available and that such services are free of charge. At the initial interview, ROW agents determine whether the land owner/displacee is capable of communicating in English. If not, the agent attempts to communicate through family members or close friends. If no one is available, the region uses a staff member proficient in the language needed or contracts with an independent translator. 60

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63 CONSTRUCTION DIVISION Overview The Construction Division performs inspection and testing and provides oversight for contract administration including payment, construction regulatory compliance, construction inspection, and testing for all department construction contracts. Additionally, the Division is responsible for contractor pre-qualification, bid proposal issuance and construction and maintenance contracts letting and provides consultation to districts on project management, administration and inspection and testing from pre-letting to final project acceptance. The Division is also responsible for coordinating with the FHWA to assure the overall effectiveness of the construction oversight program. It also provides materials quality and testing for construction and maintenance materials as well as a focus in and coordination of pavement design and management and maintains and oversees the department's pavement management information system. Approach to Title VI The Division is led by a Division Director and receives support in Title VI and related matters from the Division Administrative Manager. The DAM also serves on the Department s Title VI I-Team. The Division provides Title VI, EJ, and LEP information to its contractors through a monthly notice. The monthly Notice to Contractors is made available to approximately 1,800 prequalified construction contractors and it is published on the Department s Web site. The Construction Contract Administration (CCAM) Manual also includes all applicable Title VI program directives as well as appropriate guidance district construction staff. The CCAM addresses: Equal Employment Opportunity (EEO) topics and requirements EEO poster Information about the On-the-Job Training Program Business Opportunity Program contract reporting requirements Contract information for the Office of Federal Contract Compliance Program s District and County Offices The CCAM is also available on the Department s external Web site. 62

64 Contractor Prequalification Before a bidder may receive a bid proposal on a construction or maintenance project, TxDOT requires that the bidder be qualified. At present, the Department has two forms of qualification: Full Prequalification: Normally this qualification is for construction projects. In order to satisfy the requirements for this qualification, a bidder must provide an audited financial statement prepared by an independent Certified Public Accountant as outlined in Bulletin No. 2, along with a completed Confidential Questionnaire and other required supporting documents. The financial statements must be less than one year old. Prior to the anniversary date of the financial statement, the prequalification statements must have been approved for at least one letting. Bidder's Questionnaire: The Bidder's Questionnaire is for bidding on those projects where the full prequalification requirements (outlined above) have been "waived." In order to satisfy the requirements for bidding on a "waived" project, a bidder must complete the Bidder's Questionnaire form and provide all additional requested information. This level is for smaller construction, routine maintenance and specialty projects. Once a bidder's qualifications are approved, the approval is valid for one year from the date of the financial statements. Bidder's Questionnaires are valid for one year from the date of receipt by the department. In addition, the Department grants a 90-day grace period for the preparation of a new qualification statement. All qualification statements must be received at least 10 days prior to the date of the project opening. Contracts CST works with the DES to ensure that all applicable federal aid contract provisions are included in proposals prior to the letting. The inclusion of the 2004 contract specifications include special provisions related to affirmative action requirements such as: Special Provision Form FHWA 1273 Special Provision Notice Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246) Special Provision Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) Special Provision Certification of Nondiscrimination in Employment Special Provision Disadvantaged Business Enterprise in Federal Aid Construction The OCR and CST work together to perform a manual verification to ensure that the provisions contained in the FHWA 1273 are made a part of and physically incorporated into all federal aid contracts. 63

65 OCR, CST, and district construction offices also conduct contract compliance reviews to ensure compliance with the FHWA Uniformity CST works with the DES to ensure that all applicable federal aid contract provisions are included in proposals prior to the letting. The inclusion of the 2004 contract specifications include special provisions related to affirmative action requirements such as: Special Provision Form FHWA 1273 Special Provision Notice Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246) Special Provision Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) Special Provision Certification of Nondiscrimination in Employment Special Provision Disadvantaged Business Enterprise in Federal Aid Construction The OCR and CST work together to perform a manual verification to ensure that the provisions contained in the FHWA 1273 are made a part of and physically incorporated into all federal aid contracts. OCR, CST, and district construction offices also conduct contract compliance reviews to ensure compliance with the FHWA

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67 OFFICE OF RESEARCH AND TECHNOLOGY IMPLEMENTATION Overview TxDOT's technical research program was established by commission minute order September 29, That directive provided for a research program between the Agricultural and Mechanical College of Texas and the Texas Highway Department. The program has grown over the years to include numerous other Texas public universities. The Department also established a separate implementation program in The purpose of these programs is to assist the districts and divisions to effectively integrate research findings into TxDOT operations. Approach to Title VI - General The Office is led by an Office Director and receives support in Title VI and related matters from the Office Secretary. The Office Secretary also serves on the Department s Title VI I-Team. RTI has included information regarding Title VI program compliance into its Research Manual, University Handbook, and Project Director Handbook. The Office has also sent correspondence to all participating universities informing them of their rights and responsibilities under Title VI. Research and Implementation Programs The Research and Implementation programs are managed by the Research and Technology Implementation Office (RTI). Research is conducted under contract by Texas state-supported universities. The Research program focuses on technical transportation issues. Products from the research program include devices, analytical tools, new materials, new or improved specifications, improved testing methods, and less tangible concepts, knowledge, or advice. Research products impact virtually every area of TxDOT's core operations. Dividends may be in terms of lives saved, more efficient operations, improved services, or cost savings. Projects in the Implementation Program are focused on taking the results of research program projects and financially supporting their initial implementation in the field. The results from many research program projects are implemented in the field without needing any support from RTI. Implementation projects may include developing and delivering training on new techniques, developing operating manuals or guides for new equipment and tools, or the initial purchase of innovative equipment. The incremental cost to implement a new material or technique on a construction or maintenance project can also be included. 66

68 RTI ensures nondiscrimination in the Problem Statement Solicitation process by accepting all Problem Statements from TxDOT and university employees who choose to submit one or more. The "call" for Problem Statements is done via to all TxDOT districts, divisions, offices, regions, and all University Liaisons and TAP members. Problem Statements are submitted electronically and all Problem Statements submitted are sent to TAPs for technical evaluation. This open submission process allows for participation by any interested university and brings a better variety of Problem Statements and allows for the widest practical participation. Technical Assistance Panels University researchers can be a part of one or more of the Department s Technical Assistance Panels (TAPs). Meeting announcements are sent to all University Liaisons and all researchers who ask to be on a TAP mailing list. RTI also reimburses TAP members for out-of-pocket travel cost, to attend TAP and Research Management Committee meetings. This process removes any financial barriers to participation, and allows any interested researcher full access to the process. Proposal Selection Universities are selected to perform most projects through a competitive RFP process. RTI is actively engaged in the selection of members for each proposal evaluation committee, to ensure a balance of different perspectives and that independent objectivity is maintained. RTI also reviews evaluation comments and proposal selection decisions, from an overall perspective, to see that the process appears to have been objectively carried out. Contract awards to each university are evaluated to monitor short and long term trends. RTI reports university awards to TxDOT's Research Oversight Committee twice a year. This analysis measures compliance with FHWA's goal of 5% of awards to minority universities and an internal TxDOT goal of increasing participation by those universities that TxDOT defines as "underutilized". Many "underutilized" universities are also classified as minority universities. RTI report awards to minority universities annually to FHWA. To encourage increased development and participation by "underutilized" universities, RTI encourages partnering between smaller institution and universities with more established transportation research capacity. RTI also sets aside some projects for competition among only "underutilized" universities, as lead agencies on the projects, while "underutilized" universities may also propose on any RTI projects. This process is designed to encourage competition among similar institutions, and to enhance the opportunities for small institutions to gain and demonstrate project leadership capabilities. 67

69 Contracts Universities interested in participating in RTI s program are required to execute a Cooperative Research and Implementation Agreement (CRIA) with TxDOT. Each CRIA contains the general terms and conditions under which individual technical project agreements are executed including civil rights provisions. Title VI language is also included in RFP announcements and individual project statements to specify the Department position of ensuring that its programs and activities will remain nondiscriminatory. Outreach RTI staff members continually monitor how universities are interacting with RTI s programs and communicate with any universities that appear to need assistance or training. For example, a minority or small university may need administrative assistance on finalizing agreements or editing deliverables. Data Collection Contract awards to each university active in programs managed by RTI are reported to the Research Oversight Committee (ROC) twice a year. The information is also included in a report to the FHWA from TxDOT s Human Resources Division. Records of the annual awards to each university are maintained for at least 5 years. Proposal evaluations are collected and maintained for at least one year for all proposals reviewed. Evaluations are also scanned for any indication of discrimination, or lack of objectivity in the evaluation process. 68

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71 DISADVANTAGED BUSINESS ENTERPRISE/SMALL BUSINESS ENTERPRISE/HISTORICALLY UNDERUTILIZED BUSINESS SECTION Overview TxDOT is committed to assisting businesses through various programs, implemented by the Office of Civil Right s Disadvantaged Business Enterprise/Small Business Enterprise/Historically underutilized Business Section (DBE/SBE/HUB). These programs provide information on contract opportunities to small businesses, and enhance business development skills through technical industry and business development training. These include: Technical Assistance Program Small Business Briefings LINC (Learning, Information, Networking, Collaboration) Mentor Protégé Program Texas Business Opportunity and Development Program (TBOD) TxDOT Industry Liaison Meetings Specialized Workshops Road Lines Newsletter One on One Business Appointment Program Approach to Title VI Overall responsibility of the section s activities lie with the Office s Interim Director with support in Title VI matters by the DBE/SBE/HUB Section Director. The Section Director oversees the DBE/SBE/HUB Section and interacts with the OCR-CCS and participates on the Title VI I Team as needed. Technical Assistance and Supportive Services Programs The objective of the Department s DBE/HUB/SBE Technical Assistance and Supportive Service Program is to provide business opportunity information, technical assistance, training and networking activities for small and minority owned businesses with TxDOT staff, contractors and other organizations that assist small and minority businesses with bidding and performing on TxDOT contracts. MOCs and MOAs DBE/SBE/HUB has informal Memorandums of Cooperation (MOCs) and formal Memorandums of Agreements (MOAs) with several minority business development organizations and community organizations to provide services and assistance to minority and women owned businesses. These efforts include: Sponsoring, cosponsoring, and participating in Economic Opportunity/HUB Forums Hosting Regional Industry Liaison Meetings Sponsoring, Cosponsoring and Participating in Spot Bid Fairs Conducting Procurement and Marketing Presentations at Small and Minority Business 70

72 Development Workshops and Conferences Establishing MOAs with the Comptroller's Office and Texas Procurement and Support Services (TPASS) to assist with the certification of qualified DBEs in the state HUB Program Maintaining a signed MOC with the Texas Association of African American Chambers of Commerce and the Texas Association of Mexican American Chambers of Commerce Maintaining a signed MOC with several industry partners to include the Dallas/Fort Worth Minority Business Council, the Black Contractors Association, the Hispanic Contractors Association, and the North Texas Small Business Development Center through partnership agreements with the Texas Business Opportunity and Workforce Development Program (TBOWD) Developing the Texas Business Opportunity and Development Program located in Lancaster, Texas at Cedar Valley College to promote and develop minority construction firms in the Dallas/Fort Worth Region. Small Business Briefings (SBB) The SBBs provide information on how to do business with TxDOT. The briefings include information on how to procure TxDOT services, in depth training on the new DBE program and the state's HUB subcontracting plan. Technical Assistance Program The Technical Assistance Program (TAP) is designed to complement and/or enhance the business skills of DBEs, thereby giving them a competitive edge when proposing and/or participating on TxDOT projects. LINC Mentor Protégé Program The LINC Mentor Protégé Program assists and develops businesses to become successful bidders and contractors with TxDOT. The program provides technical assistance training, marketing assistance, and networking opportunities to participants. Texas Business Opportunity Development Program (TBOD) Through the Texas Business Opportunity Development Program (TBOD), the Department provides development and technical assistance programs and activities as specified in the TBOD Work Plan. Technical Assistance Webinars The Technical Assistance Webinars provide information, training and technical assistance to DBE/HUB/SBE companies in the areas of business development and management, certification and pre-qualification and other topics to assist business in doing business with the state of Texas. Specialized Workshops TxDOT s Specialized Workshops provides hands on technical assistance and training in a variety of topics to help improve the business capacity of DBEs. 71

73 Roadlines Newsletter The Roadlines Newsletter provides information about TxDOT s small business programs, and is published quarterly in both hardcopy and electronically on TxDOT s webpage. 72

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75 Part VIII MANUALS AND DIRECTIVES State Procedures, Manuals, and Directives Applicable to the Federal-Aid Highway Program The Department s Title VI Implementing Plan is designed to comply with the statutes and requirements under the law and as directed by the FHWA to effectuate Title VI of the Civil Rights Act of This plan serves as an administrative directive for appropriate and timely compliance with civil rights regulations and directives. The following is a list of internal and external manuals that include procedures and directives used by the Department that are applicable to the Federal-Aid Highway Program and Title VI. Division CST ENV ENV ENV ENV OCR ROW ROW ROW ROW ROW ROW ROW ROW ROW ROW RTI RTI TPP Procedure/Manual/Directive Construction Contract Administration Manual Environmental Manual Environmental Justice Guidance on Toll Roads EJ Guidance to TxDOT DDOs Environmental Impacts Assessment Course Student Manual DBE Program Policy Statement Relocation Assistance Asistencia Para Relocalizacion State Purchase of Right of Way Compra de Derecho de Via ROW Manual - Acquisition: Advance Acquisition of Right of Way for LPA ROW Manual Volume 2- Acquisition: Right of Way Property Acquisition ROW Manual- Relocation Assistance Real Estate Acquisition Guide for Local Public Agencies ROW Appraisal and Review Manual: Establishing Right of Way Values Right of Way Manual Vol. 4 - Eminent Domain: Form Request for Proposal Form Research and Implementation Manual Project Development Process Manual: Traffic Control Plan 74

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