FEDERAL-AID POLICY GUIDE
December 9, 1991, Transmittal 1

23 CFR 200

OPI: HCR-1

1. AUTHORITIES (No CFR Paragraph reference)

   1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-d4)

   2. Title 49, Code of Federal Regulations, Part 21 FHWA Title Regulation, 23 CFR 200

   3. The standard DOT Title VI assurances signed by each State pursuant to DOT Order 1050.2

   4. Executive Order 12250, 3 CFR 298

   5. Title 28 CFR Section 50.3 Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794 Rehabilitation, Comprehensive Services and Development Disabilities Amendments 1978, P.L. 95-602, 92 STAT. 2955

      (1) DOT 504 Regulation, 49 CFR 27

      (2) Age Discrimination At of 1975, 42 U.S.C. 6101-6107

      (3) Education Amendments of 1972, P.L. 92-318, 86 STAT. 235

   6. Uniform Relocation Assistance and Real Property Acquisition Policies Act as amended (42 U.S.C. 4601, 4602, 4621-4638, 4651-4655) Uniform Relocation Assistance and Real Property Acquisition for Federal and Federal-Assisted Programs

      (1) Title 49, Code of Federal Regulations, Part 25

   7. Title VIII (Fair Housing) of the Civil Rights Act of 1968, Amended 1974 (42 U.S.C. 3601-3619)

   8. Americans with Disabilities of Act of 1990

   9. Section 162(a) of the Federal-Aid Highway Act of 1973 (23 U.S.C. 324) Prohibition of Discrimination on the Basis of Sex

   10. Subsequent Federal-Aid Highway Acts and Related Statutes

   11. Civil Rights Restoration Act of 1987.

2. DEFINITIONS (23 CFR 200.5)

   1. Federal Assistance - includes:

      (1) grants and loans of Federal funds,

      (2) the grant or donation of Federal property and interests in property,

      (3) the detail of Federal personnel,

      (4) the sale and lease of, and the permission to use (on other than a casual or transient basis), Federal property or any interest in such property without consideration or at a nominal consideration or at a consideration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by such sale or lease to the recipient, and

      (5) any Federal agreement, arrangement, or other contract which has, as one of its purposes, the provision of assistance.

   2. Noncompliance - a recipient has failed to meet prescribed requirements and has shown an apparent lack of good faith effort in implementing all of the Title VI requirements.

   3. Persons - where designation of persons by race, color, or national origin is required, the following designations ordinarily may be used: "White not of Hispanic origin," "Black not of Hispanic origin," "Hispanic," "Asian or Pacific Islander," "American Indian or Alaskan Native." Additional subcategories based on national origin or primary language spoken may be used, where appropriate, on either a national or a regional basis.

   4. Program - includes any highway, project, or activity for the provision of services, financial aid, or other benefits to individuals. This includes education or training, work opportunities, health, welfare, rehabilitation, housing, or other services, whether provided directly by the recipient of Federal financial assistance or provided by others through contracts or other arrangements with the recipient.

   5. State Highway Agency - that department, commission, board, or official of any State charged by its laws with the responsibility for highway construction. The term "State" would be considered equivalent to "State highway agency" if the context so implies.

   6. Program Area Officials - the officials of FHWA who are responsible for carrying out technical program responsibilities.

   7. Recipient - any State, territory, possession, the District of Columbia, Puerto Rico, or any political subdivision, or instrumentality thereof, or any public or private agency, institution, or organization, or other entity, or any individual, in any State, territory, possession, the District of Columbia, or Puerto Rico, to whom Federal assistance is extended, either directly or through another recipient, for any program. Recipient includes any successor, assignee, or transferee thereof.

3. FHWA RESPONSIBILITIES (No CFR Paragraph reference) The Office of Civil Rights shall ensure affirmative implementation of the Title VI Program in FHWA with the assistance of Headquarters, regional, and division offices, in accordance with the requirements of Title VI of the Civil Rights Act of 1964, 49 CFR, Part 21, and related statutes and regulations.

   1. Headquarters Civil Rights Officials' Responsibilities

      (1) Ensure implementation of the provisions of Title VI of the Civil Rights Act of 1964 and related statutes.

      (2) Coordinate with program officials to conduct Title VI Program area reviews on a priority basis to the extent feasible (taking into account coverage in normal program activity).

      (3) Become fully trained in program area responsibilities relating to Civil Rights/Title VI requirements.

      (4) Provide training to regional civil rights personnel on program area functions with special emphasis on existing requirements.

      (5) Provide civil rights training to regional program area officials.

      (6) Provide technical assistance to the regions on Title VI matters.

   2. Regional Office Responsibilities

      (1) The Regional Federal Highway Administrators are responsible for:

      (a) having Title VI reviews programmed into applicable regional program area reviews,

      (b) monitoring the Title VI aspects of the program areas during the same time the program areas are being monitored annually,

      (c) approving acceptable modifications of initial State Title VI implementing plans annually in collaboration with the Regional Civil Rights Director,

      (d) initiating deficiency status proceedings against any State which fails to voluntarily comply with the approved Title VI implementing plan;

      (2) The Regional Civil Rights Directors Title VI Compliance Officers and Coordinators are responsible for:

      (a) making a determination of deficiency status which could lead to a compliance or noncompliance status,

      (b) coordinating, evaluating, and recommending corrective action to the Regional Administrator regarding the Title VI Program, and

      (c) participating, to the extent possible, with program area officials in conducting Title VI compliance reviews;

   3. Division Office Responsibilities

      (1) The program area officials conducting the reviews shall coordinate the Title VI aspects of the reviews with the Division EEO Specialist/Designee. The reviewer shall use Appendix A, State assurances, and related program area directives. The Division Administrator will send the Title VI portion of the reviews to the Regional Civil Rights Directors and the regional program area official concerned for concurrence or nonconcurrence, in accordance with paragraph 10a of this transmittal.

      (2) The Division Equal Employment OpportunitySpecialist or designee shall:

      (a) participate, when possible, with division program area officials in covering the Title VI aspects of program reviews and shall provide comments and recommendations on the review report, and

      (b) conduct, in coordination with program area officials, follow-up Title VI reviews in those program areas where deficiencies exist, and

4. PROCEDURES FOR PROCESSING TITLE VI REVIEWS (No CFR paragraph reference)

   1. All Title VI review reports shall be processed through the regional office in coordination with the Civil Rights Directors and the program area officials.

   2. Title VI compliance reviews conducted by the division offices shall include an itemized listing of deficiencies with specific recommendations for the resolution of each, and shall contain a reasonable time frame not to exceed 90 days for accomplishing the recommended action.

   3. A close follow-up by divisions or regions shall be made to ensure that the recipient has complied with the Title VI Program requirements in correcting deficiencies found in the initial Title VI reviews.

5. REPORTING REQUIREMENTS (No CFR paragraph reference)

   1. The Division Office shall furnish the Regional Federal Highway Administrator two copies of the annual Title VI review reports conducted by the division office. These reports shall be forwarded by the Division Administrator within 60 days after completion of the review. Reports which indicate that the State is in a deficiency status shall be forwarded to the Washington Headquarters Office.

   2. Within 20 days after the end of the fiscal year, the Division Administrator shall submit to the Regional Administrator an annual program area report summarizing the Title VI activities of the division program area people for the past year. The report shall include the number of reviews conducted, the number of deficiencies found, the number of deficiencies resolved, any outstanding deficiencies (please name), and any accomplishments in the Title VI area. The Regional Administrator shall forward the report to the Washington Office of Civil Rights within 30 days.

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