DOT 23 CFR PART 200-2011 TITLE VI PROGRAM AND RELATED STATUTES桰MPLEMENTATION AND REVIEW PROCEDURES.pdf

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1、27 SUBCHAPTER CCIVIL RIGHTS PART 200TITLE VI PROGRAM AND RELATED STATUTESIMPLEMEN-TATION AND REVIEW PROCE-DURES Sec. 200.1 Purpose. 200.3 Application of this part. 200.5 Definitions. 200.7 FHWA Title VI policy. 200.9 State highway agency responsibilities. 200.11 Procedures for processing Title VI re

2、-views. AUTHORITY: Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d to 2000d4; Title VIII of the Civil Rights Act of 1968, 42 U.S.C. 3601 3619; 42 U.S.C. 4601 to 4655; 23 U.S.C. 109(h); 23 U.S.C. 324. SOURCE: 41 FR 53982, Dec. 10, 1976, unless otherwise noted. 200.1 Purpose. To provide guid

3、elines for: (a) Imple-menting the Federal Highway Adminis-tration (FHWA) Title VI compliance program under Title VI of the Civil Rights Act of 1964 and related civil rights laws and regulations, and (b) Conducting Title VI program compli-ance reviews relative to the Federal- aid highway program. 200

4、.3 Application of this part. The provisions of this part are appli-cable to all elements of FHWA and pro-vide requirements and guidelines for State highway agencies to implement the Title VI Program requirements. The related civil rights laws and regu-lations are listed under 200.5(p) of this part.

5、Title VI requirements for 23 U.S.C. 402 will be covered under a joint FHWA/NHTSA agreement. 200.5 Definitions. The following definitions shall apply for the purpose of this part: (a) Affirmative action. A good faith ef-fort to eliminate past and present dis-crimination in all federally assisted prog

6、rams, and to ensure future non-discriminatory practices. (b) Beneficiary. Any person or group of persons (other than States) entitled to receive benefits, directly or indi-rectly, from any federally assisted pro-gram, i.e., relocatees, impacted citi-zens, communities, etc. (c) Citizen participation.

7、 An open proc-ess in which the rights of the commu-nity to be informed, to provide com-ments to the Government and to re-ceive a response from the Government are met through a full opportunity to be involved and to express needs and goals. (d) Compliance. That satisfactory con-dition existing when a

8、 recipient has ef-fectively implemented all of the Title VI requirements or can demonstrate that every good faith effort toward achieving this end has been made. (e) Deficiency status. The interim pe-riod during which the recipient State has been notified of deficiencies, has not voluntarily complie

9、d with Title VI Program guidelines, but has not been declared in noncompliance by the Sec-retary of Transportation. (f) Discrimination. That act (or action) whether intentional or unintentional, through which a person in the United States, solely because of race, color, re-ligion, sex, or national o

10、rigin, has been otherwise subjected to unequal treat-ment under any program or activity re-ceiving financial assistance from the Federal Highway Administration under title 23 U.S.C. (g) Facility. Includes all, or any part of, structures, equipment or other real or personal property, or interests the

11、rein, and the provision of facilities in-cludes the construction, expansion, renovation, remodeling, alternation or acquisition of facilities. (h) Federal assistance. Includes: (1) Grants and loans of Federal funds, (2) The grant or donation of Federal property and interests in property, (3) The det

12、ail of Federal personnel, (4) The sale and lease of, and the per-mission to use (on other than a casual or transient basis), Federal property or any interest in such property without consideration or at a nominal consider-ation, or at a consideration which is re-duced for the purpose of assisting th

13、e recipient, or in recognition of the pub-lic interest to be served by such sale or lease to the recipient, and VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00037 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or

14、 networking permitted without license from IHS-,-,-28 23 CFR Ch. I (4111 Edition) 200.7 (5) Any Federal agreement, arrange-ment, or other contract which has, as one of its purposes, the provision of as-sistance. (i) Noncompliance. A recipient has failed to meet prescribed requirements and has shown

15、an apparent lack of good faith effort in implementing all of the Title VI requirements. (j) Persons. Where designation of per-sons by race, color, or national origin is required, the following designations ordinarily may be used: White not of Hispanic origin, Black not of His-panic origin, Hispanic,

16、 Asian or Pacific Islander, American Indian or Alaskan Native. Additional subcat-egories based on national origin or pri-mary language spoken may be used, where appropriate, on either a national or a regional basis. (k) Program. Includes any highway, project, or activity for the provision of service

17、s, financial aid, or other bene-fits to individuals. This includes edu-cation or training, work opportunities, health, welfare, rehabilitation, hous-ing, or other services, whether provided directly by the recipient of Federal fi-nancial assistance or provided by oth-ers through contracts or other a

18、rrange-ments with the recipient. (l) State highway agency. That depart-ment, commission, board, or official of any State charged by its laws with the responsibility for highway construc-tion. The term State would be consid-ered equivalent to State highway agency if the context so implies. (m) Progra

19、m area officials. The offi-cials in FHWA who are responsible for carrying out technical program respon-sibilities. (n) Recipient. Any State, territory, possession, the District of Columbia, Puerto Rico, or any political subdivi-sion, or instrumentality thereof, or any public or private agency, insti

20、tu-tion, or organization, or other entity, or any individual, in any State, terri-tory, possession, the District of Colum-bia, or Puerto Rico, to whom Federal assistance is extended, either directly or through another recipient, for any program. Recipient includes any suc-cessor, assignee, or transf

21、eree thereof. The term recipient does not include any ultimate beneficiary under any such program. (o) Secretary. The Secretary of Trans-portation as set forth in 49 CFR 21.17(g)(3) or the Federal Highway Ad-ministrator to whom the Secretary has delegated his authority in specific cases. (p) Title V

22、I Program. The system of re-quirements developed to implement Title VI of the Civil Rights Act of 1964. References in this part to Title VI re-quirements and regulations shall not be limited to only Title VI of the Civil Rights Act of 1964. Where appropriate, this term also refers to the civil right

23、s provisions of other Federal statutes to the extent that they prohibit discrimi-nation on the grounds of race, color, sex, or national origin in programs re-ceiving Federal financial assistance of the type subject to Title VI itself. These Federal statutes are: (1) Title VI of the Civil Rights Act

24、of 1964, 42 U.S.C. 2000dd4 (49 CFR part 21; the standard DOT Title VI assurances signed by each State pursuant to DOT Order 1050.2; Executive Order 11764; 28 CFR 50.3); (2) Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 46014655) (49 CFR part 25; Pub. L.

25、91646); (3) Title VIII of the Civil Rights Act of 1968, amended 1974 (42 U.S.C. 3601 3619); (4) 23 U.S.C. 109(h); (5) 23 U.S.C. 324; (6) Subsequent Federal-Aid Highway Acts and related statutes. 200.7 FHWA Title VI policy. It is the policy of the FHWA to en-sure compliance with Title VI of the Civil

26、 Rights Act of 1964; 49 CFR part 21; and related statutes and regulations. 200.9 State highway agency respon-sibilities. (a) State assurances in accordance with Title VI of the Civil Rights Act of 1964. (1) Title 49, CFR part 21 (Department of Transportation Regulations for the implementation of Tit

27、le VI of the Civil Rights Act of 1964) requires assurances from States that no person in the United States shall, on the grounds of race, color, or national origin, be ex-cluded from participation in, be denied VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00038 Fmt 8010 Sfmt 8010 Y:SGM

28、L223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-29 Federal Highway Administration, DOT 200.9 the benefits of, or be otherwise sub-jected to discrimination under any pro-gram or activity for which th

29、e recipi-ent receives Federal assistance from the Department of Transportation, in-cluding the Federal Highway Adminis-tration. (2) Section 162a of the Federal-Aid Highway Act of 1973 (section 324, title 23 U.S.C.) requires that there be no dis-crimination on the ground of sex. The FHWA considers al

30、l assurances here-tofore received to have been amended to include a prohibition against dis-crimination on the ground of sex. These assurances were signed by the 50 States, the District of Columbia, Puer-to Rico, the Virgin Islands, Guam, and American Samoa. The State highway agency shall submit a c

31、ertification to the FHWA indicating that the require-ments of section 162a of the Federal- Aid Highway Act of 1973 have been added to its assurances. (3) The State highway agency shall take affirmative action to correct any deficiencies found by the FHWA within a reasonable time period, not to excee

32、d 90 days, in order to implement Title VI compliance in accordance with State- signed assurances and required guide-lines. The head of the State highway agency shall be held responsible for im-plementing Title VI requirements. (4) The State program area officials and Title VI Specialist shall conduc

33、t annual reviews of all pertinent pro-gram areas to determine the effective-ness of program area activities at all levels. (b) State actions. (1) Establish a civil rights unit and designate a coordinator who has a responsible position in the organization and easy access to the head of the State high

34、way agency. This unit shall contain a Title VI Equal Em-ployment Opportunity Coordinator or a Title VI Specialist, who shall be re-sponsible for initiating and monitoring Title VI activities and preparing re-quired reports. (2) Adequately staff the civil rights unit to effectively implement the Stat

35、e civil rights requirements. (3) Develop procedures for prompt processing and disposition of Title VI and Title VIII complaints received di-rectly by the State and not by FHWA. Complaints shall be investigated by State civil rights personnel trained in compliance investigations. Identify each compla

36、inant by race, color, sex, or national origin; the recipient; the nature of the complaint; the dates the complaint was filed and the investiga-tion completed; the disposition; the date of the disposition; and other perti-nent information. Each recipient (State) processing Title VI complaints shall b

37、e required to maintain a similar log. A copy of the complaint, together with a copy of the States report of in-vestigation, shall be forwarded to the FHWA division office within 60 days of the date the complaint was received by the State. (4) Develop procedures for the collec-tion of statistical dat

38、a (race, color, re-ligion, sex, and national origin) of par-ticipants in, and beneficiaries of State highway programs, i.e., relocatees, im-pacted citizens and affected commu-nities. (5) Develop a program to conduct Title VI reviews of program areas. (6) Conduct annual reviews of special emphasis pr

39、ogram areas to determine the effectiveness or program area ac-tivities at all levels. (7) Conduct Title VI reviews of cities, counties, consultant contractors, sup-pliers, universities, colleges, planning agencies, and other recipients of Fed-eral-aid highway funds. (8) Review State program directiv

40、es in coordination with State program of-ficials and, where applicable, include Title VI and related requirements. (9) The State highway agency Title VI designee shall be responsible for conducting training programs on Title VI and related statutes for State pro-gram and civil rights officials. (10)

41、 Prepare a yearly report of Title VI accomplishments for the past year and goals for the next year. (11) Beginning October 1, 1976, each State highway agency shall annually submit an updated Title VI imple-menting plan to the Regional Federal Highway Administrator for approval or disapproval. (12) D

42、evelop Title VI information for dissemination to the general public and, where appropriate, in languages other than English. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00039 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo re

43、production or networking permitted without license from IHS-,-,-30 23 CFR Ch. I (4111 Edition) 200.11 (13) Establishing procedures for pregrant and postgrant approval re-views of State programs and applicants for compliance with Title VI require-ments; i.e., highway location, design and relocation,

44、and persons seeking contracts with the State. (14) Establish procedures to identify and eliminate discrimination when found to exist. (15) Establishing procedures for promptly resolving deficiency status and reducing to writing the remedial action agreed to be necessary, all with-in a period not to

45、exceed 90 days. 200.11 Procedures for processing Title VI reviews. (a) If the regional Title VI review re-port contains deficiencies and rec-ommended actions, the report shall be forwarded by the Regional Federal Highway Administrator to the Division Administrator, who will forward it with a cover l

46、etter to the State high-way agency for corrective action. (b) The division office, in coordina-tion with the Regional Civil Rights Of-ficer, shall schedule a meeting with the recipient, to be held not later than 30 days from receipt of the deficiency re-port. (c) Recipients placed in a deficiency st

47、atus shall be given a reasonable time, not to exceed 90 days after receipt of the deficiency letter, to voluntarily correct deficiencies. (d) The Division Administrator shall seek the cooperation of the recipient in correcting deficiencies found during the review. The FHWA officials shall also provi

48、de the technical assistance and guidance needed to aid the recipi-ent to comply voluntarily. (e) When a recipient fails or refuses to voluntarily comply with require-ments within the time frame allotted, the Division Administrator shall sub-mit to the Regional Administrator two copies of the case fi

49、le and a rec-ommendation that the State be found in noncompliance. (f) The Office of Civil Rights shall re-view the case file for a determination of concurrence or noncurrence with a recommendation to the Federal High-way Administrator. Should the Federal Highway Administrator concur with the recommendation, the file is re-ferred to the Department of Transpor-tation, Office of the Secretary, for ap-propriate action in accordance with 49 CFR. PART 230