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Be sure to check with members of the public for ideas on your general approach
and whether the public to be reached finds the approach acceptable.
4. Flush out the approach with specific techniques.
Consult past experience for what works and does not work. Look at the handbook
of Public Involvement Techniques for Transportation Decision-Making. For example,
Chapter 2 presents a variety of approaches for meeting face-to-face with people.
Look at the table of contents and browse the subjects that look interesting. Seek
ideas from agencies who have had successful experiences with public involvement.
Choose techniques that fit your specific purpose and your public. Target individual
groups with appropriate techniques. Approaches that fit the general public often
do not fit specific groups well and result in lack of attendance at meetings. Do not
isolate groups; provide a way for them to come together and for the general public
to review what groups have contributed. If participation is low or you need special
approaches like computer simulations, look at Chapter 4.
5. Assure that proposed strategies and techniques aid decision-making to
close the loop.
Ask agency staff the following questions: Are many people participating with good
ideas? Are key groups participating? Is the public getting enough information as
a basis for meaningful input? Chapter 1 has many ways to get information out to
people. Are decision-makers getting adequate public information when it is needed?
If a consensus is needed for decision-making, consensus-building techniques like
negotiation and mediation (Chapter 3) or collaborative task forces (Chapter 1)
may be useful. Ask participants who is missing from the participation process.
How can missing participants be attracted? Do participants think discussion is full
and complete? Do they think the agency is responsive? Continually evaluate and
make mid-course corrections.

Assurances/Agreements
155 assurances/agreements
NONDISCRIMINATION AGREEMENT
THE FEDERAL HIGHWAY ADMINISTRATION REGIONAL ADMINISTRATOR
AND THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
The California Department of Transportation (hereinafter referred to as the “Recipient”)
hereby agrees to comply with the following Federal statutes, U.S. Department of
Transportation and Federal Highway Administration Regulations, and the policies
and procedures promulgated by the Federal Highway Administration, as a condition
to receipt of Federal funds.
TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
Title VI of the Civil Rights Act of 1964 and related statutes provides that no person
shall on the grounds of race, color, national origin, sex, age, and disability be excluded
from participation in, be denied the benefits of, or be subjected to discrimination
under any program or activity receiving Federal financial assistance. The Civil Rights
Restoration Act of 1987 amended Title VI to specify that entire institutions receiving
Federal funds – whether schools and college, government entities, or private employers
– must comply with Federal civil rights laws, rather than just the particular programs
or activities that receive the funds.
Nondiscrimination programs require that Federal-aid recipients, subrecipients, and
contractors prevent discrimination and ensure nondiscrimination in all of their programs
and activities, whether those programs and activities are federally funded or not. If a
unit of a State or local government is extended Federal-aid and distributes such aid
to another governmental entity, all of the operations of the Recipient and subrecipient
are covered. Corporations, partnerships, or other private organizations or sole proprietorships
are covered in their entirety if such entity received Federal financial
assistance (FHWA) Notice N 4720.6, September 2, 1992.
49 CFR PART 21.7 ASSURANCES
The California Department of Transportation HEREBY GIVES ASSURANCES
1. That no person shall on the grounds of race, color, national origin, sex, age, and
disability, be excluded from participation in, be denied the benefits of, or be
otherwise subjected to discrimination under any program or activity conducted
by the Recipient regardless of whether those programs and activities are Federally
funded or not. Activities and programs which the Recipient hereby agrees to carry
out in compliance with Title VI and related statutes include but are not limited to:
156 assurances/agreements
ALL PROGRAMS AND ACTIVITIES OF THE RECIPIENT
2. That it will promptly take any measures necessary to effectuate this agreement.
3. That each program, activity, and facility as defined at 49 CFR 21.23(b) and (e),
and the Civil Rights Restoration Act of 1987 will be (with regard to a program or
activity) conducted, or will be (with regard to a facility) operated in compliance
with the nondiscriminatory requirements imposed by, or pursuant to, this agreement.
4. That these assurances are given in consideration of and for the purpose of obtaining
any and all Federal grants, loans, contracts, property, discounts or other Federal
financial assistance extended after the date hereof to the Recipient by the Federal
Highway Administration under the Motor Carrier Safety Assistance Program and is
binding on it, other recipients, subgrantees, contractors, subcontractors, transferees,
successors in interest and other participants in the Motor Carrier Safety Assistance
Program. The person or persons whose signatures appear below are authorized to
sign these assurances on behalf of the Recipient.
5. That the Recipient shall insert the following notification in all solicitations for
bids for work or material subject to the Regulations and made in connection with
all Motor Carrier Safety Assistance programs and, in adapted form all proposals
for negotiated agreements:
The Recipient, in accordance with Title VI of the Civil Rights Act of 1964,
78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal
Regulations, U.S. Department of Transportation, Subtitle A, Office of the
Secretary, Part 21, Nondis-crimination in Federally-assisted programs of
the Department of Transportation issued pursuant to such Act, hereby
notifies all bidders that it will affirmatively ensure that in any contract
entered into pursuant to this advertisement, disadvantaged business
enterprises as defined at 49 CFR Part 26 will be afforded full opportunity
to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, national origin, sex, age, disability
in consideration for an award.
6. That the Recipient shall insert the clauses of Appendix A of this agreement in every
contract subject to the Act and the Regulations.
7. The Recipient agrees that the United States has a right to seek judicial enforcement
with regard to any matter arising under the Act, the Regulations, and this agreement.
23 CFR PART 200 IMPLEMENTATION PROCEDURES
This agreement shall serve as the Department of Transportation’s Title VI plan pursuant
to 23 CFR 200.
157 assurances/agreements
For the purpose of this agreement, “Federal Assistance” shall include:
1. Grants and loans of Federal funds,
2. The grant or donation of Federal property and interest in property,
3. The detail of Federal personnel,
4. The sale and lease of, and the permission to use (on other than a casual or transient
basis), Federal property or any interest in such property without consideration or
at a nominal consideration, or at a consideration which is reduced for the purpose
of assisting the Recipient, or in recognition of the public interest to be served by
such sale or lease to the Recipient, and
5. Any Federal agreement, arrangement, or other contract which has, as one of its
purposes, the provision of assistance.
The Recipient shall:
1. Issue a policy statement, signed by the head of the Recipient, which expresses its
commitment to the nondiscrimination provisions of Title VI. The policy statement
shall be circulated throughout the Recipient’s organization and to the general
public. Such information shall be published where appropriate in languages other
than English.
2. Take affirmative action to correct any deficiencies found by the Federal Highway
Administration within a reasonable time period, not to exceed 90 days, in order
to implement Title VI compliance in accordance with this agreement. The head of
the Recipient shall be held responsible for implementing Title VI requirements.
3. Establish a civil rights unit and designate a coordinator who has a responsible
position in the organization and easy access to the head of the Recipient. This unit
shall contain a Title VI Equal Employment Opportunity Coordinator or a Title VI
Specialist, who shall be responsible for initiating and monitoring Title VI activities
and preparing required reports.
4. Adequately staff the civil rights unit to effectively implement the civil rights
requirements.
5. Process complaints of discrimination consistent with the provisions contained in
this agreement. Civil rights personnel trained in discrimination complaint investigations
shall conduct investigations. Identify each complainant by race, color, national
origin, sex, age, disability; the nature of the complaint, the date the complaint was
filed, the date the investigation was completed, the disposition, the date of the
disposition, and other pertinent information. A copy of the complaint, together
158 assurances/agreements
with a copy of the Recipient’s report of investigation, will be forwarded to the Office
of Motor Carrier Safety within 60 days of the date the complaint was received by
the Recipient.
6. Collect statistical data (race, color, national origin, sex, age, and disability) of
participation in and beneficiaries of the programs and activities conducted by
the Recipient.
7. Conduct Title VI reviews of the Recipient and subrecipient contractor program
areas and activities. Revise where applicable, policies, procedures and directives
to include Title VI requirements.
8. Conduct training programs on Title VI and related statutes.
9. Prepare a yearly report of Title VI accomplishments for the past year and goals
for the next year.
(a) Accomplishment Report
List major accomplishments made regarding Title VI activities. Include instances
where Title VI issues were identified and discrimination was prevented. Indicate
activities and efforts the Title VI Specialist and program area personnel have
undertaken in monitoring Title VI. Include a description of the scope and conclusions
of any special reviews conducted by the Title VI Specialist. List any major problem(s)
identified and corrective action taken. Include a summary and status report
on any Title VI complaints filed with the Recipient.
(b) Annual Work Plan
Outline Title VI monitoring and review activities planned for the coming year;
state by which each activity will be accomplished and target date for completion.
SANCTIONS
In the event the Recipient fails or refuses to comply with the terms of this agreement,
the Federal Highway Administration 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 the Recipient has accomplished compliance or remedial action.
(d) Refer the case to the U.S. Department of Justice for appropriate legal proceedings.
assurances/agreements
SIGNED FOR THE FEDERAL HIGHWAY ADMINISTRATION:
MICHAEL G. RITCHI
Division Administrator
Federal Highway Administration, California Division
SIGNED FOR THE RECIPIENT:
JEFF MORALES, Director
California Department of Transportation
Date
Date
159
161 appendix a
THE CALIFORNIA DEPARTMENT OF TRANSPORTATION (HEREINAFTER REFERRED TO AS
THE “RECIPIENT”) HEREBY AGREES THAT AS A CONDITION TO RECEIVING ANY FEDERAL
FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF TRANSPORTATION, IT WILL COMPLY
WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964, 78 STAT. 42 U.S.C. 2000D-4 (HEREINAFTER
REFERRED TO AS THE ACT), AND ALL REQUIREMENTS IMPOSED BY OR PURSUANT
TO TITLE 49, CODE OF FEDERAL REGULATIONS, DEPARTMENT OF TRANSPORTATION,
SUBTITLE A, OFFICE OF THE SECRETARY, PART 21, NONDISCRIMINATION IN FEDERALLYASSISTED
PROGRAMS OF THE DEPARTMENT OF TRANSPORTATION - EFFECTUATION
OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 (HEREINAFTER REFERRED TO AS THE
REGULATIONS) AND OTHER PERTINENT DIRECTIVES, TO THE END THAT IN ACCORDANCE
WITH THE ACT, REGULATIONS, AND OTHER PERTINENT DIRECTIVES, NO PERSON IN
THE UNITED STATES SHALL, ON THE GROUNDS OF RACE, COLOR, OR NATIONAL ORIGIN,
BE EXCLUDED FROM PARTICIPATION IN, ARE DENIED THE BENEFITS OF, OR BE OTHERWISE
SUBJECTED TO DISCRIMINATION UNDER ANY PROGRAM OR ACTIVITY FOR WHICH
THE RECIPIENT RECEIVES FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF
TRANSPORTATION, INCLUDING FEDERAL HIGHWAY ADMINISTRATION AND FEDERAL
TRANSIT ADMINISTRATION, HEREBY GIVES ASSURANCE THAT IT WILL PROMPTLY TAKE
ANY MEASURES NECESSARY TO EFFECTUATE THIS AGREEMENT. THIS ASSURANCE IS
REQUIRED BY SUBSECTION 21.7(A) OF THE REGULATIONS.
MORE SPECIFICALLY AND WITHOUT LIMITING THE ABOVE GENERAL ASSURANCE, THE
RECIPIENT HEREBY GIVES THE FOLLOWING SPECIFIC ASSURANCE WITH RESPECT TO

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