Caltrans > Civil Rights > Title VI > Guidelines
Table of Contents Accessible Version

 


 My CA     This Site 

The Planning Process Next Page

The statewide transportation planning process and metropolitan planning process produce long-range intermodal statewide transportation plans and short-range programs of projects. The decision-making effort for these processes is open for input from a variety of participants. The short-range program of projects must include at least all projects proposed to be funded by the FHWA or the FTA.

Long-range plans frame the State’s long-range transportation goals and objectives for the State (i.e., “California Transportation Plan”) and or region. Projects should be identified and programmed on the State Transportation Improvement Program (STIP), the State Highway Operations Protection Program (SHOPP), the California Transportation Plan (CTP), the Interregional Transportation Strategic Plan (ITSP), the District System Management Plans (DSMP) and Regional Transportation Plans (RTP) and ultimately implemented. The projects implemented from the STIP should be consistent with the goals and objectives identified in the long-range plan. The STIP projects are developed in a multi-year cycle.

It is important for the Department and the transportation planning agencies to provide opportunity for active involvement of Tribal Governments, minority, low-income, elderly and disabled populations in statewide and metropolitan transportation planning and programming. It is important to recognize and be sensitive to tribal customs and to the nationally recognized sovereignty of Tribal Governments. Tribal Governments are independent government bodies rather than a minority group. Refer to the appendix on Native Americans for additional guidance on working with Native American Communities.

Potential Title VI Issues
Plans and programs have the potential of being discriminatory in more subtle ways than projects. The major area of impact by plans and programs is through decisions that identify one or more planned improvements over other options. This consequence may result from procedures and processes that unintentionally exclude a group from the process or from the failure to consider the impacts of various transportation system alternatives and programs of projects on one or more identified groups.

To the extent that plans and programs include proposed improvements with disproportionate beneficial impacts or reflect decision making processes that exclude certain groups, the long-term agenda for transportation improvements may be inappropriately biased. This could lead to project implementation that is inconsistent with nondiscrimination requirements. The actual impacts may only be experienced as projects are implemented. The planning process represents a comprehensive perspective from which transportation agencies assess the potential consequences of developing and
operating the transportation system. The planning process should consider, as applicable,: whether:

1. There is effective public involvement/participation based on the use of Performance Measures and demographic analysis.
2. Input from minority groups/persons is seriously being considered.
3. There is consultation with Tribal Governments in statewide and metropolitan transportation planning.
4. Data collection and analysis is sufficient to support decisions.
5. Social, economic and environmental effects and impacts have been identified and described.
6. Minorities, women, community based organizations and Tribal Governments have been provided an opportunity to successfully compete for planning studies, corridor studies or other work.
7. Title VI requirements have been included in contract and grant language.
8. When awarding a contract or grant, whether the contractor or applicant has any unresolved Title VI violations.
9. Alternative languages, other than English, are needed to effectively communicate with the eligible population.
10. The Program Area Administrator and/or District Title VI Liaison have reviewed and commented on policies and plans from a Title VI perspective.

Recommended Good Practices and Mitigation Measures
1. Incorporate Title VI requirements into policies and procedures.
2. Encourage and seek participation from those most directly impacted.
3. Contact minority community leaders, organizations and media. Develop a contact database.
4. Conduct adequate number of meetings and hearings.
5. Establish and participate on civic advisory committees.
6. Set appropriate meeting location, time, day of week, language needs and atmosphere to reach the target group.
7. Demonstrate consideration of community input via newsletters, letters, leaflets or other printed medium that will potentially reach the target group/audience.
8. Establish effective relationships with Tribal Governments and non-federally recognized tribal groups and organizations.
9. Conduct training on American Indian customs and laws that govern their various sovereign nations.
10. Develop data collection methods designed to obtain the following information:
· Description of community boundaries,
· Demographic composition, including racial/ethnic makeup, income levels and age (seniors/youths),
· Tax base,
· Populations with disabilities and
· Community services, schools, hospitals, shopping centers, public safety.
11. Focus on outreach so that minority, disabled and women-owned firms have an opportunity to compete for work.
12. When giving presentations at community workshops, put graphics, slides, etc. in applicable languages. Attempt to include and describe processes and community interactions in ways that translated words cannot.
13. Communicate with other transportation entities to determine what outreach methods are being used and consider alternative methods to enhance attendance at meetings.
14. In cooperation with other transportation entities, provide technical assistance.
15. Treat everyone equitably.
16. To ensure opportunity for full participation and accommodation for persons with disabilities, every meeting or notice of a meeting should:
a. Be held in a totally accessible facility;
b. Contain a statement on how to request alternative format documents and assistive services, if you are an individual with a disability requiring such services;
c. Give consideration to accessible alternatives such as videos, if captioning is not included on the tape, such as using interpreters; or a script of the video in Braille for those who are deaf and blind, for example upon request.
17. Insure that persons with hearing impairments are accommodated in the most effective manner possible, whether that is via sign language interpreter, real-time captioning or not using the video if they would not be able to participate in receipt of the information via that method.
18. Develop glossaries of planning terms in other languages for limited English proficient purposes.
19. Public service announcements to be closed captioned as required by Americans with Disabilities Act.
20. Contact minority businesses annually and inform them of the procurement process.

Possible Compliance Review Questions
Recent regulations on metropolitan and statewide planning draws attention to overall
strategies and goals, service equity and public involvement. The questions below are
adapted from the Policy Guidance Concerning Application of Title VI of the Civil
Rights Act of 1964 to Metropolitan and Statewide Planning, 23CFR Parts 450 and 771
and 49CFR Parts 619 and 622. These questions focus on public involvement strategies
for minority and low-income populations, assessment of the distribution of benefits
and adverse environmental impacts at the planning and project stages. Programs will
be expected to provide a written response to these questions in advance of the Title
VI Program Compliance Review.

A. Strategies and Goals
1. What strategies and efforts has your planning process developed for ensuring, demonstrating and substantiating compliance with Title VI?
2. What measures have been used to verify that the multi-modal system access and mobility performance improvements, included in the plan and Transportation Improvement Program (TIP), Regional Transportation Improvement Program (RTIP), Interregional Improvement Program (ITIP) and the underlying planning process, comply with Title VI?
3. Has your planning process developed a demographic profile of the State 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? Describe how.
4. Does your planning process seek to identify the needs of low-income and minority populations? Describe how.
5. Does your planning process seek to make use of demographic information to examine the distributions across these groups of the benefits and burdens of the transportation investments included in the plan and TIP?
6. What methods are used to identify imbalances?

B. Service Equity
1. Does your planning process have an analytical process in place for assessing the regional benefits and burdens of transportation system investments for different socioeconomic groups?
2. How does the planning process respond to the analysis produced?

C. Public Involvement
1. Provide a copy of your public involvement process policy. Is there at least a 45-day public comment period before the process or revision is adopted?
2. Is information about transportation 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 and policy information used to develop plans and the TIP and to public meetings where Federal-aid highway and transit programs are considered? Describe how.
4. Is advance public notice given, at least 30 days, for public review and comment on key decisions, including approval of plans, TIPS and amendments? Describe how.
5. Are explicit considerations and responses offered to public input received during the planning and program development stages? Describe how.
6. Are the needs of low-income and minority households taken into account? Describe how.
7. Does the public outreach effort use media such as print, television, radio, etc. targeted to low-income or minority populations?
8. Has your program made funds available to local organizations that represent low-income and minority populations to enable their participation in the planning process?
9. Are Tribal Governments and related public agencies on public or tribal land involved in the development of transportation plans and programs? Describe how Tribal Governments are involved in the planning process, and what considerations are given to Indian reservation roads.
10. When significant written or oral comments are received on the draft transportation plan, financial plan or TIP, as a result of the public involvement process, is a summary analysis and report of the disposition of the comments made part of the final plan and TIP?
11. What changes have occurred as a result of input by public involvement, specifically low-income and minority populations?
12. Is the public involvement process reviewed periodically to determine the effectiveness of full and open access to all? Describe how.
13. Is the district public involvement process coordinated with the statewide public involvement processes wherever possible to enhance the consideration of public issues, plans and programs and to reduce redundancies of costs? Describe how.
14. Describe the types of assurances utilized to assure that no one has been excluded from participation in or denied benefit of or otherwise subjected to discrimination on the basis of race, color, sex, national origin or physical handicap for any program receiving assistance from the USDOT.
15. Describe actions taken to comply with the Americans with Disabilities Act.
16. Are traffic, ridesharing, transportation safety and enforcement agencies including the County Transportation Commissions, commuter rail operators, airport authorities, private sector transportation providers and city officials involved in your planning?
Describe how.
17. Are local, State and Federal environmental, resource and permit agencies involved in your planning? Describe how.
18. Have there been any changes in your public involvement processes since your last review?
If so, what are they?
19. Were there any planning studies undertaken during the last two years, which specifically addressed the needs of minority and or low-income populations?
If so, identify.
20. Describe what kinds of demographic data, including race and income, is collected.

D. 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?

E. Contracts
1. Does your division/district advertise? Describe the process.
2. How does your program promote the participation of Disadvantaged Business Enterprises (DBE) contracts?
3. Are DBE goals set and do you meet those goals?
4. Who in the program monitors the contractor’s adherence with the Title VI requirements?
5. Provide a copy of your approved DBE plan.
6. 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.

Administration
A. Management Staff Composition
1. Provide a staffing composition listing by position, race and gender. Include an organizational chart.
2. Policy and Advisory Committees – Provide a staffing composition listing of committees and their respective members by position, race and gender.
3. Describe, in summary, the programs administered by the Transportation Planning Program.

B. Complaint Procedure
1. What process do you follow when handling Title VI complaints and how are your customers made aware of this process?
2. How many Title VI related complaints have you received in the past two years?
3. What was the outcome of those complaints?

C. Training
1. Has staff received formal or informal training regarding Title VI of the Civil Rights Act of 1964 and/or Environmental Justice Executive Orders? Please describe.
2. What is your schedule for Title VI training this year and who will attend?

D. Status of Title VI Program with the FTA
1. Provide a copy of your most recent FTA Title VI program submission. What date was it approved and what date does it expire?
2. Did FTA make changes, comments or additions prior to approval? If so, in what areas?


Self Monitoring
1. What office or section within the planning function has lead responsibility for Title VI matters?
2. What process has been implemented to ensure Title VI issues are addressed in the planning process?
3. How do MPOs obtain representation in their membership reflecting the diversity of the population they serve?
4. How does your program ensure that MPOs solicit and consider the views of all groups within the population in the planning of highway projects?

FTA Triennial Reports 23 CFR 450.334, 200.13; 49 CFR 21;
NDA; UMTA Cir.4702.1
The Division of Transportation Planning, Office of Regional and Interagency Planning administers Federal pass through planning funds. These funds are available to both MPOs and regional planning agencies. Pursuant to Urban Mass Transportation Act circular 4702.1, all recipients of planning funds must meet either General Program Requirements or Emphasis Programs requirements once every three years. In addition, MPOs within service areas with populations over 200,000 must comply with both the General and Emphasis Programs requirements. The Office of Regional and Interagency Planning compiles the responses from the MPOs and regional transportation planning agencies and submits a report to the FTA with a copy to the Title VI Coordinator.

The term project development process refers to the process of a highway or transit project in which the environmental study necessary for the National Environmental Policy Act (NEPA) compliance is performed. During this process, data and information on project alternatives and related environmental effects are collected and analyzed. The goal of this process is to develop a complete understanding of the existing and future environmental conditions and the possible effects of a proposed project in order to make the best project decision in terms of meeting the intended transportation need, the goals of an area or community and for protection and enhancement of the environment.

The project development process includes environmental, right of way, construction and research. Narrative discussion on these programs include: Potential Title VI Issues, Recommended Good Practices and Mitigation Measures, Possible Compliance Review Questions and Self Monitoring.


Back to Top of Page

© 2000 State of California. Conditions of Use