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VI. INVESTIGATION
A. Investigation Plan
The investigator shall prepare a written plan, which includes, but is not limited to
the following:
• Names of the complainant(s) and respondent(s);
• Basis for the complaint;
• Issues, events or circumstances that caused the person to believe that he/she
has been discriminated against;
• Information needed to address the issue;
• Criteria, sources necessary to obtain the information;


Complaint Handling
• Identification of key people;
• Estimated investigation time line;
• Remedy sought by the complainant(s).
B. Conducting the Investigation
• The investigation will address only those issues relevant to the allegations in
the complaint.
• Confidentiality will be maintained as much as possible.
• Interviews will be conducted to obtain facts and evidence regarding the allegations
in the complaint. The investigator will ask questions to elicit information about
aspects of the case, which the witness can provide firsthand information.
• Interviews are tape recorded with the interviewee’s consent.
• A chronological contact sheet is maintained in the case file throughout the
investigation.
• The investigation working papers are completed, cross-referenced and indexed.
• The interviewee may have representation of his/her choice at the interview.
C. Investigation Reporting Process
• Within 16 to 20 days of receiving the complaint, the investigator prepares an
investigative report and submits the report and supporting documentation to
the Chief OEO for review.
• The Chief, OEO reviews the file and investigative report. Subsequent to the
review, the Chief, OEO, makes a final determination of “probable cause” or “no
cause” and prepares the final decision letter for signature by the Deputy
Director, Civil Rights Program.
• The DCIU shall prepare and submit a written report to the Title VI Coordinator,
outlining the following complaint details: Date of written complaint; contract
number; contractor and/or subcontractor name; and, complaint basis (race,
color, national origin, etc.)
VII. REPORTING REQUIREMENTS TO AN EXTERNAL AGENCY
The DCIU will forward a copy of the complaint, together with a copy of the report of
investigation, to the Federal Highway Administration within 60 days of the date the
complaint was received.
VIII. RECORDS
All records and investigative working files are maintained in a confidential area within
the DCIU. Records are kept for three years internally then archived for a period of
ten years at the State Records Center.
complaint handling
IX. TITLE VI AND RELATED STATUTES COMPLAINT
PROCESS FLOWCHART
Complaint filed in the District.
DCIU conducts the investigation and prepares
an investigative report for the OEO Chief review.
The OEO Chief reviews the report
and makes a determination whether there is probable cause or
no cause. Complaint is forwarded to DCIU
for jurisdiction determination, issue clarification and investigation.
Letters sent to Complainant, Respondent, District
Director or Program Manager acknowledging and/or The complainant is
notified within 60 days of investigation results in a letter signed by the
Deputy Director of Civil Rights. notifying receipt of
the complaint.

Complaint filed in Headquarters OEO.
FHWA is notified of the complaint
disposition.

X. AUTHORITIES
TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
Title VI of the 1964 Civil Rights Act, 42 U.S.C. 2000, provides in section 601 that:
“(N)o 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 subjected
to discrimination under any program or activity receiving Federal financial assistance.”

Complaint handling
(Proscribes discrimination in impacts, services, and benefits of, access to, participation
in, and treatment under federal-aid recipients’ programs or activities)
SECTION 324 FEDERAL-AID HIGHWAY ACT
23 U.S.C. 324, provides that: “(N)o person shall on the ground of sex be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under
any program or activity receiving Federal assistance under this title or carried on under
this title.” (Prohibits discrimination on the basis of sex)
SECTION 504 OF THE REHABILITATION ACT OF 1973
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 790, provides that: “(N)o
qualified handicapped person shall, solely by reason of his handicap, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under
any program or activity that receives or benefits from Federal financial assistance.”
(Prohibits discrimination based on physical or mental handicap)
AGE DISCRIMINATION ACT OF 1975
The Age Discrimination Act of 1975, 42 U.S.C. 6101, provides that:”(N)o person in the
United States shall, on the basis of age, be excluded from participation in, be denied
the benefits of, or be subjected to discrimination under any program or activity receiving
federal financial assistance.” (Prohibits discrimination based on age)
CIVIL RIGHTS RESTORATION ACT OF 1987
The Civil Rights Restoration Act of 1987, P.L. 100-209, provides clarification of the original
intent of Congress in Title VI of the 1964 Civil Rights Act, Title IX of the Education
Amendments of 1972, the Age Discrimination Act of 1975, and Section 504 of the
Rehabilitation Act of 1973. (Restores the broad, institution-wide scope and coverage
of the non-discrimination statutes to include all programs and activities of federal-aid
recipients, sub-recipients and contractors, whether such programs and activities are
federally assisted or not.)
EXECUTIVE ORDER 12898
E.O. 12898 — Federal Actions to Address Environmental Justice in Minority Populations
and Low-Income Populations (as amended).
EXECUTIVE ORDER 13166, LIMITED ENGLISH PROFICIENCY
This Executive Order directs Federal agencies, recipients and sub-recipients of Federal
financial assistance to examine services they provide, identify any need for services
to those with limited English proficiency (LEP), and develop and implement a system
to provide services so LEP persons have meaningful access to them. In addition, Federal
agencies must develop and implement a plan to improve the language-accessibility of
their programs by December 11, 2000.


annual report format
ANNUAL ACCOMPLISHMENT REPORT FORMAT

In accordance with CFR 23 §200.9 (b) (10) & (11), an annual report of Title VI
accomplishments for the past year and goals for the next year is submitted to the
Federal Highway Administration by October 1. This report update should contain
the necessary information to evaluate a State’s Title VI Program as it pertains to
accomplishments, shortfalls and problem areas.
Accomplishment Report for Each Program Area [23 CFR, §200.9 (b) (10)]
At the minimum, the following should be included in an annual Title VI update for
each of the various program areas:
A. Planning
1. What activities and/or studies were conducted that provided data relative to
minority persons, neighborhoods, income levels, physical environment and travel
habits? Please list each activity or study and include a very brief statement about
the activity or study and how it was/will be used.
2. Identify the number of public meetings and hearings held during the reporting period.
What efforts did you use to ensure citizen participation in the public meetings and
hearings, particularly minorities, women, elderly, disabled and low-income? Were
minorities, women, elderly, disabled and low-income citizens, both individually and
through their organizations, represented in the citizen participation effort? How
many and in what capacity?
3. Describe the mechanisms you used to identify what communities (minorities, women,
elderly, disabled and low-income) were represented at these public meetings and
hearings.
4. Provide a summary of Title VI self-monitoring activities conducted, including findings,
recommendations, action items and status thereof.
5. What Title VI training was provided by your program?
6. What Title VI training was attended by program personnel?
7. List any significant problem areas and corrective actions taken.
8. List major accomplishments made regarding Title VI since the last plan update. Include
instances where Title VI issues were identified and discrimination was prevented.
9. List goals/actions planned for the ensuing year.
B. Environmental Services
1. During the reporting period, how many pre-draft Environmental Impact Statements
(EIS) were reviewed? Summarize comments provided on EISs where minorities, women,
elderly, disabled and low-income persons were adversely impacted.
208 annual report format
2. How many public hearings were held during the reporting period concerning location
of a project? How were the hearings advertised, and was it adequate to provide
notification to minorities and low-income communities?
3. How were minorities, women, elderly, disabled and low-income community representatives
identified and encouraged to become involved in the location and
4. During the reporting period, was there a need to utilize bilingual or non-English
environmental phase?
advertisements, announcements, notices, etc.?
5. Provide a summary of Title VI self-monitoring activities conducted, including findings,
recommendations, action items and status thereof.
6. What Title VI training was provided by your program?
7. What Title VI training was attended by your program personnel?
8. List any significant problem areas and corrective actions taken.
9. List major accomplishments made regarding Title VI since the last plan update. Include
instances where Title VI issues were identified and discrimination was prevented.
10. List goals/actions planned for the ensuing year.
C. Right of Way
1. How many negotiations were made during the reporting period? Does the negotiator’s
log reflect any disparity in the conduct of negotiations between minorities and
non-minorities?
2. Did minorities, women, elderly raise any concerns, disabled or low-income citizens
concerning their options in the negotiation phase? Please specify how many were
minorities, women, elderly, disabled and low-income.
3. Describe the mechanisms you used to identify what communities (minorities, women,
elderly, disabled and low-income) were represented in the negotiation phase.
4. Specify the number of relocations during the reporting period:
5. Were any concerns raised by minorities, women, elderly, disabled and low-income
on replacement housing, referral housing, appraisals, relocation assistance, payments
and property management?
6. Provide a summary of Title VI self-monitoring activities conducted, including findings,
recommendations, action items and status thereof.
7. List any significant problem areas and corrective actions taken.
8. List major accomplishments made regarding Title VI since the last plan update. Include
instances where Title VI issues were identified and discrimination was prevented.
9. List goals/actions planned for the ensuing year.


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.