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SANCTIONS
In the event the recipient fails or refuses to comply with the terms
of this agreement,
Division of Local Assistance may take any or all of the following
sanctions:
(a) Cancel, terminate, or suspend this agreement in whole or in part;
(b) Refrain from extending any further assistance to the recipient
under the program
with respect to which the failure or refusal occurred until satisfactory
assurance
of future compliance has been received from the recipient;
(c) Take such other action that may be deemed appropriate under the
circumstances,
until compliance or remedial action has been accomplished by the
recipient.
(d) Refer the case to the Department of Justice for appropriate legal
proceedings.
SIGNED FOR Division of Local Assistance:
(NAME)
Director
SIGNED FOR THE (NAME OF THE RECIPIENT):
(AUTHORIZED SIGNATURE)
Date
Date
APPENDIX A
During the performance of this contract, the contractor, for itself,
its assignees and
successors in interest (hereinafter referred to as the “contractor”)
agrees as follows:
(1) Compliance with Regulations:
The contractor shall comply with the Regulations relative to nondiscrimination
in
Federally-assisted programs of the Department of Transportation (hereinafter,
“DOT”)
Title 49, Code of Federal Regulations, Part 21, as they may be amended
from time to time,
(hereinafter referred to as the Regulations), which are herein incorporated
by reference
and made a part of this contract.
(2) Nondiscrimination:
The contractor, with regard to the work performed by it during the
contract, shall not
discriminate on the grounds of race, color, or national origin in
the selection and
retention of subcontractors, including procurements of materials
and leases of equipment.
The contractor shall not participate either directly or indirectly
in the discrimination
prohibited by section 21.5 of the Regulations, including employment
practices when
the contract covers a program set forth in Appendix B of the Regulations.
(3) Solicitations for Subcontracts, Including Procurements of Materials
and
Equipment:
In all solicitations either by competitive bidding or negotiation
made by the contractor
for work to be performed under a subcontract, including procurements
of materials
or leases of equipment, each potential subcontractor or supplier
shall be notified by
the contractor of the contractor’s obligations under this contract
and the Regulations
relative to nondiscrimination on the grounds of race, color, or national
origin.
(4) Information and Reports:
The contractor shall provide all information and reports required
by the Regulations
or directives issued pursuant thereto, and shall permit access to
its books, records,
accounts, other sources of information, and its facilities as may
be determined by the
(Recipient) or the (Name of Appropriate Administration) to be pertinent
to ascertain
compliance with such Regulations, orders and instructions. Where
any information required
of a contractor is in the exclusive possession of another who fails
or refuses to furnish
this information the contractor shall so certify to the (Recipient),
or the (Name of
Appropriate Administration) as appropriate, and shall set forth what
efforts it has
made to obtain the information.
(5) Sanctions for Noncompliance:
In the event of the contractor’s noncompliance with the nondiscrimination
provisions
of this contract, the (Recipient) shall impose such contract sanctions
as it or the (Name
of Appropriate Administration) may determine to be appropriate, including,
but not
limited to:
(a) withholding of payments to the contractor under the contract
until the contractor
complies, and/or
(b) cancellation, termination or suspension of the contract, in whole
or in part.
(6) Incorporation of Provisions:
The contractor shall include the provisions of paragraphs (1) through
(6) in every
subcontract, including procurements of materials and leases of equipment,
unless exempt
by the Regulations, or directives issued pursuant thereto. The contractor
shall take
such action with respect to any subcontract or procurement as the
(Recipient) or
the (Name of Appropriate Administration) may direct as a means of
enforcing such
provisions including sanctions for non-compliance: Provided, however,
that, in the event
a contractor becomes involved in, or is threatened with, litigation
with a subcontractor
or supplier as a result of such direction, the contractor may request
the (Recipient)
to enter into such litigation to protect the interests of the (Recipient),
and, in addition,
the contractor may request the United States to enter into such litigation
to protect
the interests of the United States.
complaint handling
I. INTRODUCTION
The Title VI and Related Statutes discrimination complaint
procedures are intended
to provide aggrieved persons an avenue to raise complaints of
discrimination regarding
the Department of Transportation’s (Department) programs, activities
and services as
required by statute.
II. PURPOSE
The purpose of the discrimination complaint procedures is to describe
the process used
by the Office of Equal Opportunity, (OEO) Discrimination Complaint
Investigation Unit
(DCIU), for processing complaints of discrimination under Title
VI of the Civil Rights
Act of 1964 and related statutes.
III. ROLES AND RESPONSIBILITIES
• The Chief of the OEO has overall responsibility for the discrimination
complaint
process and procedures. The Chief provides direction to District
Equal Opportunity (EO)
Officers, Headquarters EO staff, and the DCIU on the discrimination
complaint process.
• The District EO Officers, District Title VI Liaisons and Headquarters
EO staff serve
as points of contact statewide for the public to initiate complaints
of discrimination.
• The DCIU is responsible for conducting an impartial and objective
investigation,
collect factual information and prepare a fact-finding report
based upon the
information obtained from the investigation.
IV. FILING OF FORMAL COMPLAINTS
A. Applicability
The complaint procedures apply to the beneficiaries of the Department
of Transportation’s
programs, activities, and services, including but not limited
to the public, contractors,
subcontractors, consultants and other subrecipients of Federal
and State funds.
B. Eligibility
Any person who believes that he/she has been excluded from participation
in, denied
benefits or services of any program or activity administered by
the Department or
its subrecipients, consultants, and contractors on the basis of
race, color, national
origin, sex, age, or disability may bring forth a complaint of
discrimination under
Title VI and related statutes.
C. Time Limitation and Filing Options
Title VI complaints of discrimination may be filed with:
• The Department District EO Offices, Headquarters OEO, or DCIU
• Federal Highway Administration
202
Race
Color
National
Origin
Sex
Age
Disability
complaint handling
• U.S. Department of Transportation
In all situations, Civil Rights staff and/or District Offices
must immediately forward
Title VI discrimination complaints to the OEO DCIU.
Complaints must be filed no later than 180 days after:
• The date of the alleged act of discrimination; or
• The date when the person(s) became aware of the alleged discrimination;
or
• Where there has been a continuing course of conduct, the date
on which the
conduct was discontinued.
D. Type of Complaints
All Title VI and related statute complaints are considered formal
as there is no informal
process. Complaints must be in writing and signed by the complainant.
Complaints
must include the complainant’s name, address and phone number
and be detailed to
specify all issues and circumstances of the alleged discrimination.
E. Complaint Basis
Allegations must be based on issues involving race, color, national
origin, sex, age or
disability. The term basis refers to the complainant’s protected
group status.
PROTECTED
GROUP
CATEGORIES
DEFINITION
Color of skin, including shade of skin within
a racial group.
Gender.
Persons of any age.
Physical or mental impairment, permanent or
temporary, or perceived.
EXAMPLES
An individual belonging to one of the accepted Black, White, Hispanic,
Asian,
anthropological racial groups; or the perception, Native American
Indian,
based usually on physical characteristics that Filipino, or Pacific
Islander.
a person is a member of a racial group.
Black, white, light brown,
dark brown, etc.
National birth site. Citizenship is not a factor. Mexican, Cuban,
Japanese,
Discrimination based on language or a person’s Vietnamese, Chinese.
accent is covered by national origin.
Women and men.
21 year old person.
Blind, alcoholic, para-amputee,
epileptic, diabetic, arthritic.
V. INTERNAL COMPLAINT PROCESSING
A. Initial Contact
District EO Officers, District Title VI Liaisons, and Headquarters
EO staff serve as the
Department’s EO resources for members of the public who wish to
file a discrimination
complaint under Title VI and related statutes. As resources, the
District EO Officers
and Headquarters EO staff provide complainants with:
203 complaint handling
• An explanation of their filing options.
• The discrimination complaint process.
• A Title VI and Related Statutes Discrimination Complaint Form.
• The brochure, titled “Caltrans and You, Your Rights Under Title
VI and Related
Statutes.”
B. The Complaint Review Process
1. The DCIU reviews the complaint upon receipt to ensure that
relevant information
is provided, the complaint is timely, and meets jurisdiction.
2. The complaint shall be investigated unless:
• The complaint is withdrawn.
• The complainant fails to provide required information after
numerous requests.
• The complaint is not filed timely.
• Any issues that do not involve discrimination, or are not based
on a protected
basis will be directed to the appropriate entity. Under no circumstance
is the
complainant discouraged from filing a complaint.
3. Upon determination that the complaint warrants an investigation:
The complainant
is sent a letter, acknowledging receipt of the complaint, the
name of the investigator,
and is provided with his/her rights under Title VI and related
statutes.
4. The respondent is notified by mail that he/she has been named
in a complaint
and is provided with his/her rights under Title VI and related
statutes. The letter
also reveals the investigator’s name and informs the respondent
that he/she will
be contacted for an interview.
5. A letter is sent to the District Director when the complainant(s)
or respondent(s) are
located in a district office. If the parties are located in Headquarters,
the program
manager will be informed that a complaint was filed, the letter
will list the names of
the parties involved, the basis of the complaint and the assigned
investigator.
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