1. INDOT Title VI Program Presented by: Economic Opportunity Division Indiana Department of Transportation 100 N. Senate, N750 Indianapolis, IN 46204

2. Objectives To provide a concise overview of Title VI; To provide technical assistance to INDOT staff and sub-recipients regarding their responsibilities under Title VI; To outline INDOT’s complaint and compliance review processes; and To provide required training for Title VI Coordinators.

3. TITLE VI of the Civil Rights Act of 1964 “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 subjected to discrimination under any program or activity receiving Federal financial assistance.” (42 U.S.C. 2000d)

4. Purpose of Title VI To eliminate discrimination in federally funded programs and activities To ensure equitable distribution of public funds for public benefits

5. Civil Rights Restoration Act of 1987 Clarified and restored the intent of Title VI The scope of Title VI includes ALL programs and activities of Federal-aid recipients and contractors regardless if the programs are federally funded or not.

6. FHWA Title VI Program Includes other civil rights provisions of federal statutes and related authorities that prohibit discrimination in programs receiving federal financial assistance (23 CFR 200.5(p)) Prohibits discrimination based on race, color, national origin, disability/handicap, sex, age or low income status in programs and activities receiving federal financial assistance regardless of whether those programs and activities are FHWA funded or not.

7. INDOT’s Title VI Mission Statement The Indiana Department of Transportation will implement compliance with Title VI of the Civil Rights Act of 1964 (Title VI); 49 CFR § 26; and related statutes and regulations to ensure that no person is excluded from participation in, denied the benefits of, or subjected to discrimination under any program or activity receiving federal financial assistance from the U.S. Department of Transportation (DOT) on the grounds of race, color, age, sex, disability, national origin or income status.

8. INDOT’s Title VI Policy Statement The Indiana Department of Transportation (INDOT) values each individual’s civil rights and wishes to provide equal opportunity and equitable service for the citizens of this state.

9. INDOT’s Title VI Policy Statement (cont’d) As a recipient of federal funds, INDOT is required to conform to Title VI of the Civil Rights Act of 1964 (Title VI) and all related statutes, regulations, and directives which provide that no person shall be excluded from participation in, denied benefits of, or subjected to discrimination under any program or activity receiving federal financial assistance from the U.S. Department of Transportation (DOT) on the grounds of race, color, age, sex, disability, national origin or income status.

10. INDOT has expanded its Title VI Program enforcement to include ancestry and religion.

11. Who is a recipient? Anyone to whom federal financial assistance is extended, directly or through another recipient for any program 23 CFR 200.5(n)

12. Who is a sub-recipient? Sub-recipients include Metropolitan Planning Organizations (MPO’s), counties, cities, townships, colleges, universities, consultants, subcontractors and contractors.

13. A sub-recipient is required to: Not discriminate in its programs, activities or employment practices; Submit an assurance that its programs, activities and facilities will be operated in a nondiscriminatory manner; Disseminate Title VI information to its beneficiaries and stakeholders (e.g. employees, general public and any subcontractors);

14. Ensure Title VI provisions are in federally funded related contracts extended to subcontractors; Cooperate in obtaining voluntary compliance under Title VI; and Extend subcontracting opportunities to DBEs. 23 CFR 200(9)(a)(1) and 49 CFR Part 21

15. Keep complete and accurate records which clearly show Title VI compliance. Specifically, the sub-recipient is required to collect and make available to INDOT racial and ethnic data clearly showing which members of the minority community are receiving benefits. 49 CFR 21.9(b)

16. Summary Attend Title VI Training Ensure all employees and contractors receive Title VI training Know where to get Title VI information and assistance

17. Display Title VI posters Ensure all federally funded contracts have Title VI language Have a written complaint procedure Develop Title VI and Limited English Proficiency (LEP) plans

18. Keep records evidencing Title VI compliance Monitor ethnicity and gender of those who receive contracts

19. COMPLAINT PROCESSING

20. What is a complaint? An allegation of wrongdoing for which attention, resolution, redress or any other corrective action may be sought May be formal or informal, written or unwritten It is the result of a perceived violation of law, regulation or policy

21. Complaint Terminology Complainant Person filing the complaint Respondent Person alleged to have engaged in a discriminatory act Disposition Outcome (substantiated or unsubstantiated)

22. Who may file a complaint? Complaints may be filed by any person who believes that they have been excluded from participation in, denied the benefits of, or otherwise subjected to discrimination under any INDOT service, program, or activity whether federally funded or not, based on their race, color, national origin, gender, age, disability, religion, ancestry, income status or Limited English Proficiency. A complaint may also be filed by a representative on behalf of such a person.

23. Effective Complaint Processing Must have a procedure for: Receiving Public must know how to make a complaint Tracking Must have a complaint log which includes The filing date Unique complaint number A summary of the allegations Disposition Investigating Determine jurisdiction, prima facie case, methodology, etc Resolving Informal resolutions Responding Complainant should receive an acknowledgment and explanation of findings Record Keeping Records are confidential and should be kept at least three years

24. What if a complaint lacks merit? All complaints must be accepted and processed regardless of merit.

25. Voluntary Resolution INDOT will make every effort to facilitate a voluntary early resolution of complaints at the lowest level possible. The option of informal resolution may be used at any stage of the process.

26. Confidentiality In accordance with DOT Order 1000.12, a Complainant’s identity shall be kept confidential except to the extent necessary for carrying out an investigation.

27. Retaliation No one may intimidate, threaten, coerce or engage in other discriminatory conduct against anyone because they have taken action or participated in an action to secure rights protected by the civil rights laws. (28 CFR 42.108(e)) Any individual alleging such harassment or intimidation may file a complaint based on retaliation.

28. What is retaliation? Retaliation occurs when a recipient takes an adverse action against a covered individual because the individual has engaged in a protected activity.

29. INDOT’s External Complaint Processing INDOT will promptly investigate all properly submitted complaints of alleged discrimination. INDOT will also attempt to resolve such complaints and will take corrective action upon a finding of a substantiated complaint.

30. How to file a complaint with INDOT? A complaint may be filed by mail, facsimile, or email. Upon request, complaints may be filed using alternative formats for persons with a disability.

31. Where to direct complaints? Latosha N. Higgins Title VI/ADA Program Manager Economic Opportunity Division Indiana Department of Transportation 100 N. Senate, Room N750 Indianapolis, IN 46204 LHiggins@INDOT.in.gov (317) 234-6142 (Phone) (317) 233-0891 (Facsimile)

32. COMPLIANCE REVIEWS

33. INDOT Title VI Compliance Review During a compliance review the following sub-recipient activities are reviewed: Content and distribution of public notices Facility and program access Civil rights training Data collection and analysis Complaint procedures Reporting procedures Title VI monitoring

34. Steps to Ensure Title VI Compliance Content and distribution of public notices: Publicly displayed Disseminated at meetings Available in alternative formats as needed

35. Facility and program access: Maintain non-segregated facilities Ensure equal access for persons with Limited English Proficiency Conduct systematic and direct recruitment of minorities and women

36. Civil rights training: Attend Title VI training Develop an effective staff training program Provide regular and comprehensive training

37. Data collection and analysis Document the following: Training opportunities designed to build upon the skills of minorities and women on staff Procedures used to acquire goods and services from minority and women owned firms

38. Complaint procedures must: Be written and widely distributed Notify parties of their rights Provide instructions regarding rights to appeal Process complaints within 60-days

39. Reporting procedures: Gather and report compliance efforts Provide INDOT access to records, books and accounts If records are in the exclusive possession of another, must certify so to INDOT and explain efforts to obtain information

40. Title VI monitoring Appoint a person responsible for overseeing and coordinating Title VI activities and reports Conduct internal compliance reviews Develop an enforcement program

41. Deficiency vs. Noncompliance Deficiency = Period when notified of a deficiency and given an opportunity to comply but not currently in compliance (23 CFR 200.5(e)) Noncompliance = Recipient has not met the prescribed requirements and has failed to show a good faith effort in implementing all of the Title VI requirements (23 CFR 200.5(i))

42. Consequences of Noncompliance Withholding of payments on the contract until the sub-recipient complies, and Cancellation, termination or suspension of the contract in whole or in part, Or, other authorized action including using provisions under state and local law (e.g. referral to INDOT Prequalification Committee or the US Dept. of Justice)

43. RELATED NONDISCRIMINATION LAWS

44. Limited English Proficiency (LEP) Environmental Justice (EJ) Americans with Disabilities Act of 1990 (ADA) Section 504 of the Rehabilitation Act of 1973

45. Limited English Proficiency (LEP) Executive Order 13166 requires federal aid recipients to take reasonable steps to ensure meaningful access to their services to Limited English Proficiency persons.

46. LEP Analysis Flexible Four Factor Analysis Proportion of LEP persons in eligible service area served or likely to be encountered Frequency of contact Importance of the service provided Resources available to recipient/sub-recipient

47. Factor #1: Proportion of LEP Persons The greater the number or proportion of LEP persons served or encountered the more likely language services are needed

48. Factor #2: Frequency of Contact Frequency influences the type of language services that may need to be offered If LEP persons access a program or service daily, then the recipient has a greater responsibility to provide language services. If contact is sporadic, then less intensive language service options may suffice.

49. Factor #3: Importance of Service/Activity Are the activities compulsory? Do the activities or services have serious consequences? What is the impact of delay in provide language services?

50. Factor #4: Resources The intent of the law is to provide meaningful access to critical services for LEP persons without imposing an undue burden on small business. The level of resources available may impact the language services a recipient is able to provide. Use of a cost benefit analysis is acceptable

51. What are language services? Oral interpretation Bilingual staff Telephone interpreters Written language services Use of community volunteers Language cards Use of universal signs, symbols and pictures

52. Environmental Justice Executive Order 12898 requires federal recipients to administer and implement programs, policies, and activities that affect human health or environment so as to identify and avoid “disproportionately high and adverse” effects on minority and low-income populations. FHWA defines “low-income” as “a person whose household income is at or below the Department of Health and Human Services poverty guidelines.”

53. Americans with Disabilities Act of 1990, as amended Applies to all public entities Requires provision of program access and effective communication Includes public transport Enforced by US Dept. of Justice

54. Section 504 of the Rehabilitation Act of 1973 “No qualified handicapped person shall, solely, by reason of his handicap, be excluded from participating in, be denied the benefits of, or be subjected to discrimination under any program or activities that receives or benefits from Federal financial assistance.”

55. Q & A

56. FAQ’s #1 Do Title VI and its related statutes, regulations and executive orders apply to programs/services that do not directly receive federal financial assistance? Answer: Yes Explanation: If you receive $1.00 of federal financial assistance in one of your programs, ALL of your programs will be covered under Title VI.

57. FAQ’s #2 May a complainant allege more than one basis in a complaint? Answer: YES Explanation: For example, a female could allege discrimination based on gender, color, national origin and age.

58. FAQ’s #3 What are the protected categories under INDOT’s Title VI Program? Answer: Race, color, national origin, sex, age, disability, and income status Explanation: Age, sex, disability and income status are protected classes based on the other related nondiscrimination laws.

59. FAQ’s #4 Does a contractor have to abide by Title VI if they receive federal financial assistance? Answer: Yes Explanation: Contractors are required to comply as a sub-recipient of federal assistance. The requirement is included in the contractor’s contract with INDOT and in FHWA 1273.

60. FAQ #5 Does the LEP apply to website materials? Answer: Yes Explanation: The decision to place an item on the website is not controlling. The LEP four factor analysis must be applied and the document must be “vital.”

61. FAQ #6 Are Title VI and Title VII the same? Answer: No Explanation: Title VII of the Civil Rights Act of 1964 applies in the employment context. By contrast, Title VI does not apply to actions challenging employment practices except in cases where the primary objective of the federal financial assistance is to provide employment.

62. Additional Civil Rights (Title VI) Training Resources Federal Highway Administration (FHWA) American Contract Compliance Association (ACCA) Federal Transit Administration (FTA) National Transit Institute (NTI) Federal Aviation Administration (FAA)

63. Civil Rights Links EEO/Title VI Posters in English and Spanish http://www.dol.gov/ofccp/regs/compliance/posters/pdf/ eeopost.pdf Civil Rights Links USDOT: http://www.dotcr.ost.dot.gov/default.asp FHWA: http://www.fhwa.dot.gov/civilrights/index.htm USDOJ: http://www.justice.gov/crt/cor/coord/titlevi.php http://www.ada.gov INDOT: http://www.indot.in.gov LEP: www.lep.gov

64. Thank You INDOT is here to provide the resources and guidance needed for you to comply with Title VI of the Civil Rights Act of 1964, as amended and all of its related statutes and regulations.

65. Contact INDOT Please do not hesitate to contact us with any questions. Latosha N. Higgins Title VI/ADA Program Manager Indiana Department of Transportation 100 North Senate Avenue Room N750 Indianapolis, IN 46204 (317) 234-6142 (Phone) (317) 233-0891 (Fax) LHiggins@indot.in.gov www.in.gov/dot/