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CONSTRUCTION CONTRACTING

23 CFR 200, 635; 49 CFR 21; NDA

The primary responsibilities are to safeguard public safety, provide for public convenience and perpetuate public trust through construction engineering and contract administration.

Focus is placed on the delivery and construction of capacity enhancing, operational improvement and general maintenance projects that provide and promote the transportation needs for the people of the State of California.

Potential Title VI Issues
Whether:
1. The monitoring/inspection of work by the State results in disparate treatment of protected groups.
2. Required mitigation(s) has been effectively implemented. For example, safety through construction zones.
3. Uniformity exists in the approval of plans changes and supplemental agreements.
4. Uniformity exists in the assessment of sanctions, liquidated damages, withholding payments, suspension/termination of contracts.
5. The contractor or applicant have any unresolved Title VI violations when awarding a contract or grant.

Recommended Good Practices and Mitigation Measures
1. Location of dump sites and batch plants.
2. Prompt payment of contractors and subcontractors.
3. Impact of contract change orders.
4. Monitoring and resolution of noise, traffic congestion and disruption to neighborhoods.

Possible Compliance Review Questions
Administration
General
1. What office or section within the Division of Construction has the lead responsibility for Title VI matters?
2. What process is followed when a new directive is issued?
3. Is the division’s Program Area Administrator (PAA) involved in policy development?
4. When awarding a contract, grant, loan or permit, what mechanism is used to ensure that the contractor or applicant does not have any unresolved Title VI violations?
5. What is the role of the PAA and/or key personnel in the construction phase and who is responsible for analysis of the following?
· • Public Involvement and citizen advisory committees
· • Scheduling time and location of public meetings and hearings
· • Project administration and monitoring contract plans and specifications
· • Monitoring and enforcement of mitigation measures included in environmental
· and planning documents and agreements
· • Final acceptance of the final project
· • Compliance with FHWA-1273
· • Withholding of payment
· • Termination of contract when necessary
6. Who is responsible for identifying Title VI issues in construction documents?

Staff Composition
1. Provide a staffing composition listing by position, race and gender for senior level and above classifications. Include an organizational chart.
2. Policy and Advisory Committees - Provide a listing of committees and their respective members by position, race and gender.
3. Provide a listing of persons who are designated to provide alternative language assistance and identify what languages they translate.

Complaint Procedure
1. Provide a copy of the procedure the division uses to handle a Title VI complaint.
How are your customers made aware of this process?
2. How many Title VI related complaints have you received in the past two years?
What was the outcome of those complaints?
3. How are Title VI complaint procedures disseminated to program personnel?

Training
1. Have staff received formal or informal training on Title VI of the Civil Rights Act of 1964, related statutes or policy including Executive Orders on Environmental Justice and Limited English Proficiency? Please describe.
2. Are staff scheduled for Title VI and related statutes training this year? If yes, please provide the schedule and who will attend.

Data Collection & Monitoring
1. Does the division self monitor its activities to ensure nondiscrimination? If yes, please describe the process(es). If not, why not?
2. What process does the division use to self monitor data collection and contract/grant language requirements?
3. What data (race, color, national origin, language considerations, sex, disability and age) do you maintain that reflects the extent to which members of minority and low-income populations, contractors, subcontractors and suppliers participate in construction activities or services?
4. What records and/or reports are maintained that specifically reflect compliance with Title VI?
5. Who is responsible for developing, maintaining and reporting this data?
6. How is this data used?

Construction
Strategies and Goals
1. Provide a copy of the division’s Strategic Plan and Performance Measure Objectives for the current fiscal year.
2. What strategies and efforts has the division developed for ensuring, demonstrating and substantiating compliance with Title VI?
3. Does the division use demographic data that includes identification of the locations of socioeconomic groups, including low-income and minority populations as covered by the Executive Order on Environmental Justice and Title VI provisions? What process is used to identify and define the eligible population?
4. Does the division’s process seek to identify the needs of low-income and minority populations? Describe how.
5. What methods are used to identify imbalances?
6. How does the division follow-up to ensure mitigation measures identified for projects significantly impacting minorities are carried through?

Service Equity
1. Describe, in summary, the programs administered by your division.
2. Does the division have an analytical process in place for assessing the benefits and burdens of transportation system projects on different minority and socioeconomic groups? Please describe.
3. Does the division have a data collection process in place that will support the analysis of benefits and burdens? Describe this process and provide an example.
4. How is the analysis of benefits and burdens used?

Public Involvement
1. Provide a copy of your public involvement process policy. What is the public comment period before the process or revision is adopted?
2. Is information about construction issues and processes provided timely to citizens, public agencies, transportation agency employees, private sector transportation providers and others affected by transportation plans, programs and projects?
Describe how.
3. Does the public have access to technical construction documents? Describe how.
4. Is advance public notice given for public review and comment on key decisions, including approval and amendments? Describe how.
5. Are the needs of low-income and minority households taken into account?
Describe how.
6. Does the public outreach effort use media such as print, television, radio, etc., and is it targeted to low-income or minority populations?
7. What is the division’s process for advertising a Public Notice that your program is an equal opportunity program and/or that Federal law prohibits discrimination?
8. Are Tribal Governments and related public agencies on public or tribal land involved in the construction process? Describe how Tribal Governments are involved in the construction process and what considerations are given to Indian reservation roads.
9. Give an example of what changes have occurred as a result of input by public involvement, specifically low-income and minority populations?
10. Is the public involvement process reviewed periodically to determine the effectiveness of full and open access to all? Describe how.
11. Describe the types of assurances utilized to ensure that no one is excluded from participation in or denied benefit of or otherwise subjected to discrimination on the basis of race, color, sex, national origin, disability or age from your program’s activities and services.
12. Describe actions taken to comply with the Americans with Disabilities Act.
13. What is the role of the PAA in assisting program area personnel with public involvement activities?
14. Has the PAA or key program personnel attended public meetings and/or hearings held for projects with potential Title VI impacts? If yes, give an example and list the meeting/hearing, whom attended and the outcome(s).
15. What role did the PAA and/or key program personnel play to facilitate participation of historically under represented groups and accessibility to the location of the meetings or hearings?
16. Does the PAA review procedures that address public involvement, particularly minority citizen participation? Please explain and provide examples.
17. Please describe the procedures followed when working with external customers who are limited English proficient.

Hearings
1. What statistics are kept on public hearing participation by race and gender?
Visual identification?
2. Are minority group concerns addressed in a timely manner? Describe how.
3. Are public meeting announcements made available in languages other than English, according to the affected minority population? Describe how and provide an example.
4. Are accessible locations (geographically and structurally), appropriate times and translation services planned for and provided during public hearings?

Contracts
1. Who in the division monitors the contractor’s adherence with the Title VI requirements?
2. How does the division promote the participation of Disadvantaged Business Enterprises (DBE) contracts?
3. Are DBE goals set and do you meet these goals?
4. Provide the number, dollar values and types of contracts and funding sources used during the last two fiscal years. Identify if there were any DBEs on the contracts.

Goals for Upcoming Federal Fiscal Year 2002
Please provide a status report on the following goals:
1. Continue to provide Resident Engineer training - including Title VI training.
2. Develop a Title VI Complaint Resolution Process and distribute statewide.
3. Develop direction and policy guidance and disseminate to Resident Engineers for handling significant contract change orders that require Title VI analysis.

Self Monitoring
1. What office or section within the construction function has the lead responsibility for Title VI matters?
2. What is the role of the PAA or District Title VI Liaison in the construction phase?


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