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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.


For individuals with Limited English Proficiency and sensory disabilities, this information is available in various languages, Braille, large print, on audio-cassette, or computer disk. To obtain a copy in one of these alternate formats, please call or write to the California Department of Transportation, Office of Business & Economic Opportunity - MS #79, 1823 14th Street, Sacramento, CA 95814, (916) 324-1700, toll free 1-866-810-6346, FAX (916) 324-1949.