Procedures Manual For Processing External Complaints of Discrimination
APPENDIX D
TITLE VI COMPLAINT
ACKNOWLEGEMENT
LETTER TO COMPLAINANT
(if time is needed
to review the complaint)
In Reply To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if applicable
Address
City, State, Zip Code
Dear Name of complainant:
This acknowledges receipt of your complaint of
discrimination, dated _____________, against the Name of Respondent. Your complaint was received in the Federal Highway Administration
(FHWA) Office of Civil Rights on _______________.
Your complaint has been assigned to me for review to
determine whether this office will investigate the allegations you have raised
under Title VI of the Civil Rights Act of 1964. You will be notified in
writing at a later date regarding whether your complaint will be accepted for
investigation.
Please be advised that no one may intimidate, threaten,
coerce, or engage in other discriminatory conduct against anyone because they
have either taken action or participated in an action to secure rights
protected by the civil rights laws we enforce. Any individual alleging such
harassment or intimidation may file a complaint with the FHWA. We would
investigate such a complaint if the situation warrants. Any questions or
concerns you have regarding the investigative process and your rights can be
discussed with the investigator.
Under the Freedom of Information Act, it may be necessary to
release this document and related correspondence and records upon request.
Therefore, enclosed for your information are the "Complainant Consent/Release
Form" and the "Notice of Investigatory Uses of Personal Information" fact
sheet. Please sign and date the "Complainant Consent/Release Form" and return
it to this office in the enclosed self-addressed envelope. In the event that
we receive such a request, we will seek to protect, to the extent provided by
law, personal information, which if released, could constitute an unwarranted
invasion of privacy.
If you have any questions regarding the FHWA's investigative
process, please feel free to contact me at _______________.
Sincerely
yours,
Name
of Investigator
Title
2 Enclosures
COMPLAINANT CONSENT/RELEASE FORM
(Title VI Complaint)
Your
Name:
Address:
Complaint
number(s): (if known)
Please read the information below, check the
appropriate box, and sign this form.
I have read
the Notice of Investigatory Uses of Personal Information by the Federal Highway Administration (FHWA). As a complainant, I understand that in the course of
an investigation it may become necessary for FHWA to reveal my identity to
persons at the organization or institution under investigation. I am also
aware of the obligations of FHWA to honor requests under the Freedom of
Information Act. I understand that it may be necessary for FHWA to disclose
information, including personally identifying details, which it has gathered as
a part of its investigation of my complaint. In addition, I understand that as
a complainant I am protected by FHWA's regulations from intimidation or
retaliation for having taken action or participated in action to secure rights
protected by nondiscrimination statutes enforced by FHWA.
CONSENT/RELEASE
/ / CONSENT –
I have read and understand the above information and authorize FHWA to reveal
my identity to persons at the organization or institution under investigation.
I hereby authorize the FHWA to receive material and information about me
pertinent to the investigation of my complaint. I understand that the
material and information will be used for authorized civil rights compliance
and enforcement activities. I further understand that I am not required to
authorize this release, and do so voluntarily.
/ / CONSENT – The respondent named in this complaint may
receive a copy of my complaint upon request.
/ / CONSENT
DENIED – I have read and understand the above information and do not want FHWA
to reveal my identity to the organization or institution under investigation,
or to review, receive copies of, or discuss material and information about me,
pertinent to the investigation of my complaint. I understand this is likely to
impede the investigation of my complaint and may result in the closure of the
investigation.
_____________________________________
SIGNATURE |
_______________________
DATE |
_____________________________________
Respondent |
_______________________
Date |
Enclosure 1
NOTICE ABOUT INVESTIGATORY
USES OF PERSONAL INFORMANTION
(Title VI Complaints)
NOTICE OF COMPLAINANT/INTERVIEWEE
RIGHTS AND PRIVILEGES
Complainants and individuals who cooperate in an
investigation, proceeding or hearing conducted by Federal Highway
Administration (FHWA) are afforded certain rights and protections. This brief
description will provide you with an overview of these rights and protections.
— A
respondent may not force its employees to be represented by the respondent's
counsel nor may it intimidate, threaten, coerce or discriminate against any
employee who refuses to reveal to the respondent the content of an interview.
An employee does, however, have the right to representation during an interview
with FHWA. The representative may be the respondent's counsel, the employee's
private counsel, or anyone else the interviewee authorizes to be present.
— The laws
and regulations which govern FHWA's compliance and enforcement authority
provide that no respondent or other person shall intimidate, threaten, coerce
or discriminate against any individual because he/she has made a complaint,
testified, assisted or participated in any manner in an investigation,
proceeding, or hearing conducted under FHWA's jurisdiction, or has asserted
rights protected by statutes DOJ enforces.
— Information
obtained from the complainant or other individuals which is maintained in
FHWA's investigative files may be exempt from disclosure under the Privacy Act
or under the Freedom of Information Act (FOIA) if release of such information
would constitute an unwarranted invasion of personal privacy.
There are two laws governing
personal information submitted to any Federal agency, including the FHWA: The
Privacy Act of 1974 (5 U.S.C. 552a), and the FOIA (5 U.S.C. 552).
THE
PRIVACY ACT protects individuals from misuse of personal information held by
the Federal Government. The law applies to records that are kept and that can
be located by the individual's name or social security number or other personal
identification system. Persons who submit information to the government should
know that:
— FHWA is required to investigate complaints of
discrimination on the basis of race, color, national origin, sex, disability,
age, and, in some instances, religion against respondents of Federal financial
assistance. FHWA also is authorized to conduct reviews of federally funded
respondents to assess their compliance with civil rights laws.
Enclosure
2
— Information that FHWA collects is analyzed by
authorized personnel within the agency. This information may include personnel
records or other personal information. FHWA staff may need to reveal certain
information to persons outside the agency in the course of verifying facts or
gathering new facts to develop a basis for making a civil rights compliance
determination. Such details could include the physical condition or age of a
complainant. FHWA also may be required to reveal certain information to any
individual who requests it under the provisions of the FOIA. (See below)
— Personal information will be used only for the
specific purpose for which it was submitted, that is, for authorized civil
rights compliance and enforcement activities. Except in the instances defined
in FHWA's regulation at 28 C.F.R. Part 16, FHWA will not release the
information to any other agency or individual unless the person who supplied
the information submits a written consent. One of these exceptions is when
release is required under the FOIA. (See below)
— No law requires a complainant to give personal
information to FHWA, and no sanctions will be imposed on complainants or other
individuals who deny FHWA's request. However, if FHWA fails to obtain
information needed to investigate allegations of discrimination, it may be
necessary to close the investigation.
— The Privacy Act permits certain types of systems of
records to be exempt from some of its requirements, including the access
provisions. It is the policy of FHWA to exercise authority to exempt systems
of records only in compelling cases. FHWA may deny a complainant access to the
files compiled during the agency investigation of his or her civil rights
complaint against a respondent of Federal financial assistance. Complaint files
are exempt in order to aid negotiations between respondents and FHWA in
resolving civil rights issues and to encourage respondents to furnish
information essential to the investigation.
— FHWA does not reveal the names or other identifying
information about an individual unless it is necessary for the completion of an
investigation or for enforcement activities against a respondent that violates
the laws, or unless such information is required to be disclosed under FOIA or
the Privacy Act. FHWA will keep the identity of complainants confidential
except to the extent necessary to carry out the purposes of the civil rights
laws, or unless disclosure is required under FOIA, the Privacy Act, or
otherwise required by law.
The
FOIA gives the public access to certain files and records of the Federal
Government. Individuals can obtain items from many categories of records of
the Government–not just materials that apply to them personally. FHWA must
honor requests under the FOIA, with some exceptions. FHWA generally is not
required to release documents during an investigation or enforcement
proceedings if the release could have an adverse effect on the ability of the
agency to do its job.
Also,
any Federal agency may refuse a request for records compiled for law
enforcement purposes if their release could be an "unwarranted invasion of
privacy" of an individual. Requests for other records, such as personnel
and medical files, may be denied where the disclosure would be a "clearly
unwarranted invasion of privacy."
Enclosure
2 (Cont.)
APPENDIX D-1
FOR HCR'S USE ONLY
TITLE VI COMPLAINT
NO JURISDICTION – REFERRAL
TO FEDERAL AGENCY
In Reply Refer to: xxx-xx
Name of Agency Officia
Title
Agency
Address
City, State, Zip Code
Dear Name of Agency Official:
The Federal Highway
Administration's (FHWA) Office of Civil Rights is in receipt of _____________________________________.
Name of Complainant's complaint dated ________________. The complaint was received by
our office on ________________. After reviewing the complaint,
we have determined that the issues are not within our jurisdiction. The issues
raised involve _________________________. Therefore, we are
forwarding the complaint to your office for appropriate action. The
complainant has been advised of this referral (copy enclosed).
Sincerely yours,
Name of Office of Civil
Rights Official
Title
2 Enclosures
APPENDIX D-2
FOR HCR'S USE ONLY
TITLE VI COMPLAINT NO JURISDICITON – REFERRAL
TO COMPLAINANT
In Reply Refer to: xxx-xx
Name of Complainant
Address
City, State, Zip Code
Dear Name of Complainant:
The Federal Highway Administration (FHWA), Office of Civil
Rights, is in receipt of your complaint dated _____________. The
FHWA received your complaint on ____________.
After reviewing your complaint, we have determined that your
issues are not within the jurisdiction of the FHWA. The U.S. Department of
Justice is the Federal Agency with responsibility for processing complaints
involving ______________________________. Therefore, we are
forwarding your complaint to the U.S. Department of Justice for processing.
Your complaint has been forwarded to the address listed below:
U.S. Department of Justice
Civil Rights
Division
950 Pennsylvania Avenue, N.W
Criminal
Section, PHB
Washington, DC 20530
If this office can be of assistance to you in any matter
over which we have jurisdiction, please do not hesitate to contact us.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
APPENDIX D-3
TITLE VI COMPLAINT
ACCEPTANCE LETTER AND RFI TO THE RESPONDENT
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of STA Official
Title
Name of STA
Address
City, State, Zip Code
Dear Name of STA Official:
A complaint of discrimination, dated ________________,
has been filed by Name of Complainant against the Name of Respondent.
The complaint was received by the Federal Highway Administration (FHWA) Office
of Civil Rights on ________________.
The allegation raised by the complainant is covered under
Title VI of the Civil Rights Act of 1964 (Title VI). The FHWA's investigation
will focus on the following allegation:
Whether ________________________________________________________.
In accordance with Title 49, Code of Federal Regulations,
Part 21.11 and the Department of Transportation's Procedures for Processing
External Civil Rights Complaints, the FHWA is required to investigate
complaints of discrimination to determine whether the recipient has failed to
comply with Title VI requirements.
Name of Investigator, of my staff, has been assigned
to investigate the complaint. As part of the investigative process, we will
need you to provide the documents outlined on the enclosed Request for
Information on or before _____________. You will be contacted at
a later date if it is determined that an on-site investigation is necessary.
Under the Freedom of Information Act, it may be necessary to
release this document and related correspondence and records. In the event
that we receive such a request, we will seek to protect personal information
which, if released, could constitute an unwarranted invasion of privacy.
If you have any questions regarding this matter, you may
contact Name of Investigator at ____________.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
Enclosure
cc: Name, Title VI Program Coordinator, Name
of STA
SAMPLE
Request For
Information (RFI)
(Title VI
Complaint)
Case Name
Issue #1
The State Highway Administration engages in and/or
facilitates intentional adverse impact discrimination against Black and
Hispanic-owned businesses by administering their Federal Highway Administration
(FHWA) Federal-Aid Highway Construction program in such a manner that Black and
Hispanic-owned businesses are excluded from participation based on their race
and national origin, in violation of Title VI of the Civil Rights Act of 1964
and 49 CFR Parts 21 and 26.
Documents Needed
Information on hand indicates that the County may have
enough DBE firms to provide the sampling needed to retrieve the necessary
information for analysis of this issue. It appears that there are 100 or more
firms in the County. All information will be for 1991 through fiscal year
1995.
1. A list
of all DBE firms in the County. The listing should contain the following
information.
- Name, address, and telephone number;
- Name of firm president;
- Ethnic
code;
- Type
of business;
- How
long certified in the DBE program;
- List
of all contracts received, including contract number, and the dollar value;
and,
- Prime
contractor involved in the contract award.
Issue #2
SHA's Disadvantaged Business Enterprise-Minority Business
Enterprise (DBE-MBE) program, submitted to and approved by FHWA in 1989, was
deficient and not in full compliance with the requirements of 49 CFR Part 26,
which has adversely affected Black and Hispanic DBE program beneficiaries.
Documents Needed
- Copies
of any procedures used by FHWA to approve DOT's
DBE Manual.
- Copies
of DOT's DBE Manual
and any updates, including the 1993 Manual and documents showing approval.
Issue #3
Since 1989, SHA has not submitted its revised DBE program to
FHWA for reevaluation and approval on a yearly basis, in violation of 49 CFR
Part 26, which adversely affected Black and Hispanic DBE program beneficiaries.
Documents Needed
Copies of policies and procedures provided to respondents
regarding annual DBE updates, if the procedures are separate and apart from the
provisions outlined in 49 CFR Part 26.
Issue #4
SHA has engaged in unlawful employment discrimination
against Blacks and other racial minority persons managing their DBE program
which has caused an adverse effect on certain Black and Hispanic DBE program
beneficiaries.
Documents Needed
- Policies
and procedures regarding hiring for all positions related to managing and
administering the DBE program.
- Organizational
chart for the positions involved in managing the DBE program.
- Documents
which show all positions involved in administering the DBE program. Include
the following information for each position.
- Position
description
- Name,
race, date of hire of incumbent of the position,
- Indicate
how the employee and his/her duties are involved in the DBE program.
- Documents
which show the awards to DBE firms before and after the reorganization.
Provide a detailed explanation for any significant changes in the awards before
and after reorganization.
Issue #5
In 1990, when DOT became the sole MBE-DBE certification
body, it accepted and grandfathered over 600 firms owned and operated by
non-minority males into the Directory of Certified MBE-DBE firms without
on-site visits and personal interviews, in violation of 49 CFR Part 26 and the
Surface Transportation and Uniform Relocation Assistance Act of 1987 (STURAA).
Documents Needed
- Documents
which show all of the firms that were grandfathered into the DBE program.
- Documents
which show which of these firms received contracts. If contracts received,
provide the following information:
- Name,
address, and telephone number of firm,
- Name
of firm president,
- Ethnic
code,
- Type
of business,
- How
long certified in the DBE program,
- List
of all contracts received, including contract number and date, and the dollar
value,
- Prime
involved in the contract award,
- Copy
of on-site review report.
APPENDIX D-4
TITLE VI COMPLAINT ACCEPTANCE LETTER TO COMPLAINANT
Multiple Allegations (If an Acknowledgement of Receipt Letter was Provided)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if applicable
Address
City, State, Zip Code
Dear Name of Complainant:
This acknowledges the Federal Highway Administration (FHWA)
Office of Civil Rights' acceptance of your complaint of discrimination, dated ,
against the Name of Respondent. In your complaint, you allege
various violations of Title VI of the Civil Rights Act of 1964 based on your identify
and specify the bases. We have reviewed your complaint and determined
that our investigation will focus on the following allegations:
1. Whether _____________________________________________________________.
2. Whether _____________________________________________________________.
3. Whether _____________________________________________________________.
4. Whether _____________________________________________________________.
The complaint has been assigned to Name of Investigator of my staff for investigation.
Name of Investigator will keep you informed
regarding the investigation of your complaint. If you need to contact Name
of Investigator, please call him/her at .
Sincerely yours,
Name of
Office of Civil Rights Official
Title
APPENDIX D-5
TITLE VI COMPLAINT
ACKNOWLEDGMENT of RECEIPT and
ACCEPTANCE LETTER to the COMPLAINANT
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if
applicable
Address
City, State,
Zip Code
Dear Name of Complainant:
This acknowledges the Federal Highway Administration (FHWA)
Office of Civil Rights' receipt and acceptance of your complaint of
discrimination dated __________, against the Name of Respondent.
Your complaint was received on _________________.
We have reviewed your complaint and determined that the
investigation will focus on the following allegation:
Whether ______________________________________________________________.
The complaint has been assigned to Name of Investigator of my staff for investigation.
Name of Investigator will keep you informed
regarding the investigation of your complaint. If you need to contact Name
of Investigator, please call him/her at ________________.
Please be advised that no one may intimidate, threaten,
coerce, or engage in other discriminatory conduct against anyone because they
have has either taken action or participated in an action to secure rights
protected by the civil rights laws we enforce. Any individual alleging such
harassment or intimidation may file a complaint with the FHWA. We would
investigate such a complaint if the situation warrants. Any questions or
concerns you have regarding the investigative process and your rights can be
discussed with the investigator.
Under the Freedom of Information Act, it may be necessary to
release this document and related correspondence and records upon request.
Therefore, enclosed for your information are the "Complainant Consent/Release
Form " and the "Notice of Investigatory Uses of Personal Information" fact sheet.
Please sign and date the "Complainant Consent/Release Form" and return it to
this office in the enclosed self-addressed envelope.
In the event that we receive such a request, we will seek to
protect, to the extent provided by law, personal information, which if
released, could constitute an unwarranted invasion of privacy.
Sincerely yours,
Name of
Office of Civil Rights Official
Title
3 Enclosures
APPENDIX D-6
TITLE VI COMPLAINT NOTIFICATION OF COMPLAINT MEMORANDUM
TO DIVISION OFFICE
Subject: |
INFORMATION:
Notification of a
Complaint of
Discrimination Against the
Name of
Respondent (DOT #xxxx-xxxx) |
Date: |
From |
Name of FHWA
Office of Civil Rights Official
Title |
In Reply Refer To:
xxx-xx |
To: |
Name
Division
Administrator (HDA-__)
City and
State |
This memorandum serves as notification that a Title VI
complaint of discrimination has been filed by Name of Complainant against the Name of Respondent. The complainant alleges that ____________________________________. (Insert appropriate textfrom below)This is
a courtesy memorandum and no action is required by your office.
cc: Name, Civil Rights Program Manager, HDA-
TEXT
The
investigation will be conducted by the Name of STA.
The
Investigation and Adjudication Team in the Headquarters Office of Civil Rights
will conduct the investigation.
APPENDIX D-7
TITLE VI COMPLAINT REFERRAL LETTER TO
STA FOR INVESTIGATION
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Official
Title
Name of STA
Address
City, State, Zip Code
Dear Name of STA Official:
This office is in receipt of a complaint of discrimination
filed by Name of Complainant (complainant) against the Name
of Respondent. The complaint raises issues that may be covered by
Title VI of the Civil Rights Act of 1964 (Title VI).
Since the respondent named in the complaint may be your
sub-recipient, we are requesting that your office conduct an investigation of
this complaint and provide us with your recommended findings along with the
investigative file. The Federal Highway Administration's (FHWA) regulations at
Title 23, Code of Federal Regulations, Part 200.9 requires assurances from
States that no person in the United States shall, on the ground of race, color,
or national origin, be excluded from participation in, be denied the benefits
of, or be otherwise subjected to discrimination under any program or activity
for which the recipient receives Federal assistance from the Department of
Transportation, including the FHWA.
Although the STA may conduct A Title VI investigations, the
Department of Justice has determined that a dismissal of a Title VI complaint
or a, finding of violation or no violation is a Federal decision that cannot be
delegated. State recipients can conduct Title VI investigations of its
sub-recipients or contractors and make a recommended finding to the Federal decision-making
authority. All FHWA recipients must submit their proposed dispositions to FHWA
for a final agency decision.
The complainant has been notified of this referral (copy
enclosed). If you have any questions regarding this matter, you may contact Name
of FHWA Investigator of my staff at ___________.
Sincerely yours,
Name
of Office of Civil Rights Official
Title
2 Enclosures
cc: Name, Title VI Program Coordinator, Name
of STA
APPENDIX D-8
TITLE VI COMPLAINT
ACKNOWLEDGEMENT
LETTER TO COMPLAINANT
FOR STA
INVESTIGATION REFERRAL
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if
applicable
Address
City, State,
Zip Code
Dear Name of Complainant:
This office is in receipt of your complaint against the ___________________.In your complaint, you allege _________________.
In accordance with FHWA complaint processing procedures,
your complaint has been forwarded to the _______________ Department
of Transportation for investigation.
If this office can be of further assistance to you or you
wish to discuss this matter prior to being contacted by the State Department of
Transportation, you may contact _______________ of my staff at ________________.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
APPENDIX D-9
FOR HCR'S USE ONLY
TITLE VI COMPLAINT
LETTER OF FINDING based on a STA INVESTIGATION
(NO VIOLATION)
(To the Complainant)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if applicable
Name of Company, if applicable
Address
City, State, Zip Code
Dear Name of Complainant:
This is in reference to your complaint of discrimination,
dated _____________, against the Name of Respondent alleging violations of Title VI of the Civil Rights Act of 1964 (Title VI). In
your complaint, you alleged that the _______________________________________.
Since the Name of Respondent is a
sub-recipient of Federal-aid funds through the Name of STA, your
complaint was investigated by the Name of STA in accordance with
the Federal Highway Administration's (FHWA) complaint processing procedures. State
recipients can conduct Title VI investigations of its sub-recipients or
contractors and make a recommended finding to the Federal decision-making
authority. However, the Department of Justice has determined that a Title VI
finding of violation or no violation is a Federal decision that cannot be
delegated. All FHWA recipients must submit their proposed dispositions to FHWA
for a final agency decision.
The Name of STA has completed its
investigation and forwarded its investigative report to this office for review
and issuance in accordance with FHWA's procedures. The evidence submitted by
the Name of STA shows the following:
- _________________________________________________________________.
- _________________________________________________________________.
- _________________________________________________________________.
- _________________________________________________________________.
The evidence presented in the Name of STA's
investigative report does not support a finding of identify basis(es) discrimination, as alleged in your complaint. The FHWA agrees with the Name
of STA's finding.
This concludes processing of this matter and no further
action will be taken.
Sincerely
yours,
Name
of Office of Civil Rights
Title
cc: Name,
Title VI Program Coordinator, Name of STA
Name, Division Administrator, FHWA (HDA-___)
Name, Equal Opportunity Specialist, FHWA
(HDA-___)
APPENDIX D-10
FOR HCR'S USE ONLY
TITLE VI COMPLAINT
LETTER OF FINDING based on a STA INVESTIGATION
(NO VIOLATION)
(To the Respondent)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Respondent
Title
Name of Company, if
applicable
Address
City, State, Zip Code
Dear Name of Respondent:
The Federal Highway Administration's (FHWA) Office of Civil
Rights has reviewed the Name of STA's Investigative Report
regarding the complaint dated _____________________, by Name
of Complainant against the Name
of Respondent alleging violations of Title VI of the Civil Rights Act
of 1964 (Title VI). The complainant alleged that ______________________________________________________________.
The FHWA has concluded that the evidence obtained during the Name of STA's investigation does not support a finding of race
discrimination, as alleged in the complaint. The evidence reviewed during the
investigation shows the following:
- ____________________________________________________________________.
- ____________________________________________________________________.
This concludes processing of this matter and no further
action will be taken.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name of STA
Official, Title, Name of STA
Name, Title VI Program Coordinator, Name
of STA
Name, Division Administrator, FHWA (HDA-___)
Name, Equal Opportunity Specialist, FHWA
(HDA-___)
APPENDIX D-11
FOR HCR'S USE ONLY
TITLE VI COMPLAINT
LETTER OF FINDING based on a STA INVESTIGATION
(NO VIOLATION w/RECOMMENDATION)
(To the Respondent)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Respondent
Title
Address
City, State, Zip Code
Dear Name of Respondent:
The Federal Highway Administration's (FHWA) Office of Civil
Rights has reviewed the Name of STA's Investigative Report
regarding the complaint dated ________________, by Name of Complainant against the Name of Respondent(s) alleging violations of Title VI of the Civil Rights Act of 1964 (Title VI). Name
of Complainant alleged that ______________________________________________.
The FHWA has concluded that the evidence obtained during the Name of STA's investigation does not support a finding of race
discrimination, as alleged in the complaint. The evidence reviewed during the
investigation shows the following:
_____________________________________________________________________.
_____________________________________________________________________.
Although a finding of no violation has been made regarding
the allegations, the Name of STA
has recommended that _____________________________________________.
This concludes processing of this matter and no further
action will be taken.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name,
Secretary of Transportation, xxDOT
Name, Title VI Program Coordinator, xxDOT
Name, Division Administrator, FHWA (HDA-xx)
Name, Equal Opportunity Specialist, FHWA (HDA-xx)
APPENDIX D-12
FOR
HCR'S USE ONLY
TITLE VI COMPLAINT FHWA INVESTIGATION – VIOLATION
LOF
(Letter to the Complainant)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title
Name of Company
Address
City, State, Zip Code
Dear Name of Complainant:
The Federal Highway Administration (FHWA) has completed the
investigation of your complaint of discrimination, dated _________________,
alleging violations of Title VI of the Civil Rights Act of 1964 (Title VI)
against _________________________. The evidence reviewed during
the investigation shows the following:
Issue: Whether the STA denied your award of your
contract on project XXX, based on your race, African American.
______________________________________________________________.
______________________________________________________________.
______________________________________________________________.
______________________________________________________________.
Based on the above-referenced evidence, the FHWA's
investigation supports a finding of race discrimination as alleged in your
complaint. Having determined that a violation has occurred, the FHWA makes the
following recommendations to bring the STA into compliance:
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
The STA has 90 days in which to submit an Action Plan for
implementing the recommendations made in this Letter of Finding. You will be
advised at a later date regarding the status of the implementation of the
recommendations.
If you have any questions regarding this matter, please contact _________________, at ___________________.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
APPENDIX D-13
FOR
HCR'S USE ONLY
TITLE VI COMPLAINT
FHWA INVESTIGATION
– VIOLATION LOF
(Letter to the the Complainant)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Responden
Title
Name of STA
Address
City, State, Zip Code
Dear Name of Respondent:
The Federal Highway Administration (FHWA) has completed the
investigation of Name of Complainant's complaint of
discrimination, dated______________, alleging violations of
Title VI of the Civil Rights Act of 1964 (Title VI) against
the Name of STA. The evidence reviewed during the investigation
shows the following:
Issue: Whether the STA denied the complainant's award of
a contract on project XXX, based on race, African American.
______________________________________________________________.
______________________________________________________________.
______________________________________________________________.
______________________________________________________________.
Based on the above-referenced evidence, the FHWA's
investigation supports a finding of race discrimination as alleged in the
complaint. Having determined that a violation has occurred, the FHWA makes the
following recommendations to bring the STA into compliance:
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
The STA will document how it plans to implement the
recommendations outlined above. The STA may provide alternatives to the above
recommendations if the alternatives provide the desired outcome.
The documents showing the implementation of the
recommendations or the implementation of alternative measures are to be
provided to the FHWA, Office of Civil Rights, 1200 New Jersey Avenue, SE., Room ____, Washington, DC 20590 within 90 days of receipt of the
FHWA's Letter of Finding.
If you have any questions regarding this matter, please
contact _________________, at ___________________.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name, Title VI Program Coordinator, STA
Name, Division Administrator, FHWA,
HDA-xx
Name, Equal Opportunity Specialist,
FHWA, HDA-xx
APPENDIX D-14
FOR HCR'S USE ONLY
TITLE VI COMPLAINT
FHWA INVESTIGATION
– VIOLATION LOF/COMPLIANCE ACHIEVED
(Letter to the
Respondent)
In Reply Refer To: HCR-40
DOT #xxxx-xxxx
Name of Respondent
Title
Name of STA
Address
City, State, Zip Code
Dear Name of Respondent:
This is in reference to the complaint of discrimination
filed by Name of Complainant, dated _______________,
alleging violations of Title VI of the Civil Rights Act of 1964 (Title VI)
against ______________________________. In a letter dated________________,
the Federal Highway Administration (FHWA) determined that Title VI had been
violated regarding the allegation raised in the complaint. The FHWA made the
following recommendations to the STA to bring it into compliance:
Issue: Whether the STA denied the complainant's award of
a contract on project XXX, based on race, African American.
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
- ____________________________________________________________.
Please be advised that the FHWA is in receipt of and accepts
the STA's implementation of the items outlined above.
Therefore, the FHWA will close this complaint.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name, Division Administrator, FHWA,
HDA-xxthe Complainant)
Name, Equal Opportunity Specialist,
FHWA, HDA-xx
APPENDIX D-15
FOR
HCR'S USE ONLY
TITLE VI COMPLAINT
FHWA INVESTIGATION – NO VIOLATION
LOF
(Letter to the Respondent)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Respondent
Title
STA
Address
City, State, Zip Code
Dear Name of Respondent:
This is in reference to Name of Complainant's complaint of discrimination against ____________________________ alleging violations of Title VI of the Civil Rights Act of 1964 (Title VI),
based on his race, African American, while working on project XXX.
The FHWA has completed its investigation and concluded that
the evidence obtained does not support the allegation raised in the complaint.
The evidence reviewed during the investigation shows the following:
Issue: Whether the complainant's firm was removed as a
subcontractor while working on project XXX.
_____________________________________________________________________.
_____________________________________________________________________.
_____________________________________________________________________.
Based on the foregoing evidence, the FHWA does not find that
the STA violated Title VI as alleged in the complaint.
This concludes the FHWA's processing of this matter and no
further action will be taken.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name,
Title VI Program Coordinator, STA
Name, Division Administrator, FHWA,
HDA-xx
Name, Equal Opportunity Specialist,
FHWA, HDA-xx
APPENDIX D-16
TITLE VI COMPLAINT FHWA INVESTIGATION – NO VIOLATION
LOF
(Letter to the Complainant)
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title
Company, if applicable
Address
City, State, Zip Code
Dear Name of Complainant:
This is in reference to your complaint of discrimination
against ___________________________ alleging violations of Title
VI of the Civil Rights Act of 1964 (Title VI), based on your race, African
American, while working on project XXX.
The FHWA has completed its investigation and concluded that
the evidence obtained does not support the allegation raised in the complaint.
The evidence reviewed during the investigation shows the following:
Issue: Whether your firm was removed as a subcontractor
while working on project XXX.
_____________________________________________________________________.
_____________________________________________________________________.
_____________________________________________________________________.
Based on the foregoing evidence, the FHWA does not find that
the STA violated Title VI as alleged in the complaint.
This concludes the FHWA's processing of this matter and no
further action will be taken.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
cc: Name,
Title VI Program Coordinator, STA
Name, Division Administrator, FHWA,
HDA-xx
Name, Equal Opportunity Specialist,
FHWA, HDA-xx
APPENDIDX D-17
TITLE VI COMPLAINT
LETTER CONFIRMING ON-SITE VISIT
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Title
Address
City, State, Zip Code
Dear Name:
This is in reference to the
complaint of discrimination filed by Name of Complainant, against
the Name of Respondent alleging violations of Title VI of the
Civil Rights Act of 1964. Per our telephone conversation on ______________,
I have been assigned as the investigator for this complaint. The issues
accepted for investigation are listed on the enclosed Request for Information,
along with the documents needed to initiate the investigation. I will be in Name
ofState the week of _________. I plan to
meet with you on day of week, month, date, year, at time and
location of meeting. At that time, it is requested that you have the
information listed on the Request for Information available for review. If you
have any questions about the investigative process, please call me at _______.
Your cooperation throughout this process is greatly appreciated.
Sincerely
yours,
Name
of Investigator
Title
Enclosure
APPENDIX D-18
FOR HCR'S USE ONLY
TITLE VI COMPLAINT CLOSURE LETTER
to COMPLAINANT
(Withdrawal of Complaint and/or Issues Resolved)
HCR Only
In Reply Refer To: xxx-xx
DOT #xxxx-xxxx
Name of Complainant
Title, if applicable
Name of Company, if
applicable
Address
City, State, Zip Code
Dear Name of Complainant:
{INSERT THE FOLLOWING IF INFORMATION RECEIVED FROM COMPLAINANT}:
This is in reference to your complaint of discrimination
filed against ____________________ alleging a violation of Title
VI of the Civil Rights Act of 1964. In your complaint, you alleged that ______________________________________________________.
The Federal Highway Administration (FHWA) is in receipt of
your letter dated _____________. In your letter, you stated that ______________________________________________. Based on this
information, the FHWA is closing this complaint and no further action will be
taken.
{INSERT THE FOLLOWING IF INFORMATION RECEIVED FROM
STA}:
The Federal Highway
Administration's (FHWA) Office of Civil Rights is in receipt of information
regarding your complaint of discrimination, dated _________,
against the Name of STA. The information was forwarded to this
office by the Name of STA on ___________. We
received the information ___________.
After reviewing the
information, we have concluded that the concerns you raised with the Name
of STA were addressed. Specifically, you ______________________________________.
[Insert if
applicable: We have made attempts to contact you to confirm this information
but have been unable to do so. Since the matter has been addressed and we are
unable to locate you,] please be
advised that we are closing your complaint and no further action will be taken.
Sincerely yours,
Name of Office of Civil Rights Official
Title
cc: Name, Title VI Program Coordinator, STA
APPENDIX D-19
(Failure to Provide Documents)
In Reply Refer To: HCR-xx
DOT #xxxx-xxxx
Name of Respondent
Title
STA
Address
City, State, Zip Code
Dear Name of Respondent:
This is in reference to your letter dated ________________,
responding to the Federal Highway Administration's (FHWA) request for
information dated __________________, regarding the complaint of
discrimination filed by Name of Complainant against the Name
of STA and Sub-recipient.
In your response, you stated Name of STA Sub-recipient provided limited or no information relating to the issues raised in the
complaint. The FHWA requests that the STA contacts Name of STA Sub-recipient to obtain the information on the enclosed "Request for Information."
Please be advised that the FHWA's Procedures Manual
for Processing External Complaints of Discrimination requires State
recipients to conduct Title VI investigations of its sub-recipients or
contractors and make a recommended finding to the Federal decision-making
authority. If the Name of STA had not been named in the
complaint, the FHWA would have requested that the Name of STA conduct the investigation of the complaint in accordance with FHWA's Procedures
Manual for Processing External Complaints of Discrimination.
Furthermore, pursuant to Title 49, Code of Federal
Regulations, Part 21.12(a), which states in pertinent part that, "If there
appears to be a failure or threatened failure to comply with the part, and if
the noncompliance or threatened noncompliance cannot be corrected by informal
means, compliance with the part may be effected by the suspension or
termination of or refusal to grant or to continue Federal financial assistance
or by any other means authorized by law. Such other means may include, but are
not limited to: (1) A reference to the Department of Justice with a
recommendation that appropriate proceedings be brought to enforce any rights of
the United States under any law of the United States (including other titles of
the Act), . . . ."
Please provide the information outlined on the enclosed
"Request for Information" on or before ____________, to Name
of Investigator at the address below:
Federal Highway Administration
Office of Civil
Rights
1200 New Jersey Avenue, S.E.
Room __________ (HCR-40)
Washington, DC 20590
If you have any questions regarding this matter, please
contact me at ________________.
Sincerely
yours,
Name
of Office of Civil Rights Official
Title
Enclosure
APPENDIX D-20
SAMPLE
TITLE VI INVESTIGATIVE PLAN
INVESTIGATIVE PLAN
I. COMPLAINANT
Peoples Action Committee
123 South Street
Anywhere, USA 14456
Ms. Jane Doe, President
II. RESPONDENTS
State Department of Transportation
1409 ABE Boulevard
Anywhere, USA 14457
Mr. James Doe
Transportation Director
III. APPLICABLE
LAW
Title VI of the Civil Rights Act of
1964
ISTEA, 1991
49 CFR, Part 26
ADA of 1990
IV. BASIS
Race -African American
V. ISSUES
- Complainants
allege that the State Department of Transportation (DOT) has not always
followed the requirements of 49 CFR Part 26, relative to the DBE program eligibility
standards for certification.
- Complainants
allege that DOT has not sufficiently publicized the third party challenge
procedure.
- Complainants
allege that the DOT has provided slow payments to minority contractors.
- Complainants
allege that the DOT arbitrarily assigns DBE goals to contracts.
- Complainants
allege the DOT has not adequately monitored the prime contractors to ensure
DBEs are performing a commercially useful function.
- Complainants
allege the DOT has not implemented Title VI in its DBE program.
- Complainants
allege the DOT has systemically failed to review its certification list to
remove ineligible DBE firms or firms which are no longer in existence.
- Complainants
allege that there are only six African American contractors participating in
the highway construction industry in the State of Anywhere and their contract
awards are very small.
- Complainants
allege that DOT has not recognized the steady decline of African American
participation which could raise issues of Title VI violations.
VI. BACKGROUND
VII. INTERVIEWS
On-site interviews will be
conducted with appropriate representatives for complainants, respondent, and
the FHWA Division Office.
Questions for Complainant
The issues outlined in the complaint will be discussed with
the complainants.
Questions for DOT Representatives
- Has
DOT had problems with fraudulent firms entering the program?
- Have
there been complaints about slow payment from DBE firms?
- How is
the DBE certification list processed and maintained?
- The
number of firms in the DBE program? Racial breakdown.
- The
number of firms seeking certification each year?
- The
number of third party challenges received during the course of a year?
- Procedure
for handling third party challenges?
- Procedure
for payments to DBE firms?
- Procedures
for assigning DBE goals to contracts?
- Procedures
for monitoring the DBE program?
Questions for FHWA Division Office Representatives
- Have
you had problems with DOT certifying fraudulent firms?
- Have
you had problems with DBE firms complaining about slow payment?
- Has
there been a decline in African American participation in the DBE program? If
so, has your office made any determinations regarding the decline?
VIII. EVIDENCE
TO BE OBTAINED DURING THE INVESTIGATION
Issue #1
Complainants allege that the DOT has not always followed the
requirements of 49 CFR Part 26 relative to the DBE program eligibility
standards for certification.
Documents Needed
- Policies
and procedures regarding the DBE certification process;
- Copies
of all documents used in the certification process.
- Documents
which show the number of certifications and certification denials processed
anytime during the period January 1, 1996 to the present. Indicate the reason
for any certification denial.
Issue #2
Complainants allege that DOT has not sufficiently publicized
the third party challenge procedure.
Documents Needed
Provide a response to this allegation.
Issue #3
Complainants allege that the department has provided slow
payments to minority contractors.
Documents Needed
- Policies
and procedures regarding payment to DBE firms and other subcontracting firms;
- Documents
which show any complaints that were received anytime during the period January
1, 1996 to the present regarding slow payment. Include the following
information for each complaint.
- Name
and race of complainant;
- Name
of firm involved;
- Name
and race of prime contractor involved; and,
- Indicate
how the complaint was resolved. Include the date and type of action taken.
Issue #4
Complainants allege that the DOT arbitrarily assigns DBE
goals to contracts.
Documents Needed
Policies and procedures regarding establishing DBE goals on
all types of construction contracts.
Issue #5
Complainants allege the DOT has not adequately monitored the
prime contractors to ensure DBEs are performing a commercially useful function.
Documents Needed
- Polices
and procedures regarding monitoring the DBE program;
- Documents
which show the contracts that were monitored anytime during the period January
1, 1996 to the present. Include the following information for each contract
that was monitored.
- Name
and race of prime contractor;
- Type
of contract;
- Dollar
value of contract;
- Name
and race of DBEs working on the contract;
- Dollar
value of each DBE contract;
- Type
of work being performed by the DBE; and,
- Indicate
whether any violations were found. If so, indicate how they were handled.
Issue #6
Complainants allege the DOT has not implemented Title VI in
its DBE program.
Documents Needed
Provide a response to this allegation.
Issue #7
Complainants allege the DOT has systemically failed to
review its certification list to remove ineligible DBE firms or firms which are
no longer in existence.
Documents Needed
- Policies
and procedures regarding management of the DBE certification list.
- Documents
which show how firms are removed from the list.
- Copy
of the current DBE list.
- Documents
which show how often the DBE list is updated.
Issue #8
Complainants allege that there are only six African American
contractors participating in the highway construction industry in the State and
their contract awards are very small.
Documents Needed
1. Documents
which show all DBE firms which currently have contracts. Include the following
information for each.
- Name
and race of DBE firm;
- Date
of initial certification into the DBE program;
- Type
of business;
- Contracts
awarded anytime during the period January 1, 1995 to the present; and,
- Dollar
value of contract.
Issue #9
Complainants allege that DOT has not recognized the steady
decline of African American participation which could raise issues of Title VI
violations.
Documents Needed
Provide a response to this allegation.
APPENDIX
D-21
WRITING
THE INVESTIGATIVE REPORT (IR)
(Title
VI Complaint)
Writing the IR
- Complainant(s) Name and Address
- Respondent(s) Name and Address
- Applicable Law/Regulation
- Basis(es)
- Issues
- Findings for Each Issue
- Conclusion for Each Issue
- Recommended Decision
- Recommendations (If Applicable)
APPENDIX D-22
SAMPLE INVESTIGATIVE
REPORT (IR)
(Title VI
Complaint)
I. COMPLAINANT
Minority Contractors Group
2000 South Street
Anywhere, USA 00000
555-111-1234
II. CLASS
MEMBERS
Mr. John Doe
Mr. Jim Doe
Mr. James Doe
III. RESPONDENT
State Department of Transportation
125 East Anywhere Street
Anywhere, USA
Mr. State DOT
Executive Director
IV. ATTORNEY
FOR RESPONDENT
Ms. State's Attorney
Assistant Attorney General
Office of the Attorney
State of Anywhere
P.O. Box 11111
Anywhere, USA
555-123-4567
V. APPLICABLE
LAW
Title VI of the Civil Rights Act of
1964
VI. BASIS
Race – African American
VII. FINDINGS
Issue # 1
The Minority Contractors Group (MCG) alleges that the State
DOT discriminates against African American Disadvantaged Business Enterprise
(DBE) firms with regard to the acquisition of contracts through the DBE program
administered by DOT.
Issue #2
MCG further alleges that zero percent of federally funded
contracts are being let to African American DBEs.
Analysis
In accordance with the policy of the U.S. Department of
Transportation (DOT) as defined in 49 Code of Federal Regulations (CFR), Part
26, the State DOT administers a DBE Program which requires that minority
business enterprises as defined in 49 CFR Part 23 shall have the maximum opportunity to participate in the performance of
contracts financed in whole or in part with Federal funds. The DOT requires
that not less than 10 percent of the funds authorized for Federal programs be
expended with DBEs.
Record evidence shows that State DOT has consistently met
its 10 percent DBE goal. The 10 percent goal can be met by using any certified
DBE. There is no separate goal for individual minority or women owned firms.
A review of State DOT's records
shows that American white women owned firms are awarded a greater number of
contracts than are African American owned firms, although African American
firms represent a greater number of DBE firms in the State DOT DBE program.
The statistical data reviewed for this investigation focused
on District 12 of the State DOT DBE Program. A review of the DBE firms in Area
00 shows the following information.
DBE FIRMS AND
COMMITMENTS FOR 1994
for
AREA 00
|
AFRICAN AMERICAN |
AMERICAN WHITE WOMEN |
HISPANICS |
TOTAL |
# of FIRMS |
314
4% |
166 18% |
439
48% |
919
100% |
# of Firms Used/
Dollar Value of contracts |
6
$1,691,918 |
18
$22,111,793 |
17
$47,720,267 |
41
$71,523,978 |
% of Dollar value to total
contract dollars |
2% |
31% |
67% |
100% |
DBE FIRMS AND COMMITMENTS FOR 1995
for
AREA 00
|
AFRICAN AMERICAN |
AMERICAN WHITE WOMEN |
HISPANICS |
TOTAL |
# of FIRMS |
314
34% |
166
18% |
439
48% |
919
100% |
# of Firms Used/
Dollar Value of Contracts |
6
$924,555 |
20
$24,835,197 |
18
$65,903,997 |
44
$91,663,749 |
% of Dollar value to total contract dollars |
1% |
27% |
72% |
100% |
DBE FIRMS AND
COMMITMENTS FOR 1996
for
AREA 00
|
AFRICAN AMERICAN |
AMERICAN WHITE WOMEN |
HISPANICS |
TOTAL |
# of FIRMS |
314
34% |
166
18% |
439
48% |
919
100% |
# of Firms Used/
Dollar Value of contracts |
7
$1,600,844 |
23
$22,702,882 |
17
$30,388,868 |
44
$54,692,594 |
% of Dollar value to total contract dollars |
3% |
42% |
55% |
100% |
DBE FIRMS AND
COMMITMENTS FOR 1997
for
AREA 00
|
AFRICAN AMERICAN |
AMERICAN WHITE WOMEN |
HISPANICS |
TOTAL |
# of FIRMS |
314
34% |
166
18% |
439
48% |
919
100% |
# of Firms Used/
Dollar Value of Contracts |
2
$108,441 |
12
$26,289,033 |
9
$30,510,767 |
23
$56,908,241 |
% of Dollar value to total contract dollars |
.1% |
46% |
54% |
100% |
NOTE:
Respondent indicated that State DOT's submittal of all DBE firms in Area 00
(314) is accurate for all of the years cited.
Record evidence shows and the Complainants verified that
State DOT provides the DBE firms with relevant contracting information
regarding the availability of highway construction projects.
Record evidence shows that DBE firms are accepted or
rejected for highway construction projects by the prime contractor.
The prime contractor is required to submit the name, work to
be performed, and the amount of the subcontract for every DBE firm that will be
used to meet the DBE goal assigned to the project.
The State DOT Business Opportunity Programs (BOP) Office is
responsible for reviewing the DBE commitment information that is provided by
the prime contractor. The BOP Office reviews the DBE commitment information to
ensure that the DBE firm submitted is certified as a DBE; that the DBE firm is
certified in the appropriate category of work; that the contract amount is
consistent with the Engineer's estimate and the prime contractor's bid; and, that the DBE
goal will be met.
There is no evidence available regarding the DBEs which may
have submitted bids and were not selected. There is no requirement by State
DOT that this information be maintained.
The record shows that State DOT is following the regulations
as outlined in 49 CFR Part 26, regarding meeting the 10 percent DBE goal. The
charts show that African Americans are not awarded DBE contracts in proportion
to the number of African American DBE firms in the DBE Program.
Issue #3
Complainant James Doe alleges that he has submitted 30 bids
to prime contractors in the State DOT for highway contracts during the past 2
years. Complainant James Doe alleges that he has not received a telephone call
or any other communication from these contractors since he started filing
complaints of race discrimination.
Analysis
The State DOT stated that it does not receive bids submitted
to the prime contractors. The State DOT further stated it does not require
prime contractors to document how they process bids that are received from DBE
firms or identify all DBE bidders and provide reasons for how they chose the
successful DBE bidder.
The record shows that Complainant James Doe was not awarded
any contracts anytime during the period reviewed for this investigation.
There is no evidence available to determine whether
Complainant James Doe's
lack of contract awards was a form of retaliation.
However, since the record shows that African American DBEs
are not awarded contracts in accordance with their representation in the DBE
Program, then it is reasonable to infer that Complainant James Doe has been
discriminated against with regard to the award of DBE contracts. However, the
record is not clear regarding whether the exclusion is a form of retaliation.
The record further shows that State DOT does not have a
procedure in place to monitor the selection practices of its prime
contractors.
The regulations at 49 CFR Part 21.7 and the Federal-aid
project agreements require that the respondent of Federal financial assistance
provide assurances that all programs will be conducted in compliance with all
the requirements of Title VI of the Civil Rights Act of 1964 and other related
statutes. The record shows that State DOT is not carrying out this requirement
with regard to the prime contractors selection of DBEs.
VII. DECISION
Based on the foregoing, it is reasonable to conclude that
the Complainants have been discriminated against because of race with regard to
the lack of contract participation in the DBE Program administered by State DOT.
Having determined that there is reasonable cause to believe
that the allegations raised by the Complainants are true, the Federal Highway
Administration requires State DOT, to take action sufficient to address and
prevent a recurrence of the situation which led to the probable cause finding
by taking the actions outlined in the following recommendations. The actions
taken may be different from, but must be at least as effective as those
outlined in the Recommendations section of this report. The State DOT is
required to take the necessary action with 90 days of receipt of this report.
VIII. RECOMMENDATIONS
-
Review the DBE Program to determine the causes for the imbalance
between the number of African American DBE firms and the number of contracts
awarded.
-
Identify procedures to remedy the imbalance which will ultimately
create an increase in the number of contract awards to African American DBEs.
-
Develop a process to ensure that prime contractors are making DBE
selections in accordance with the requirements of Title VI and related
statutes.
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