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RESEARCH
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CFR 200, 420; 49 CFR 21
The Research Program manages a wide variety of transportation
related research activities. Most of the research is performed through
various types of servicecontracts with universities and private research
organizations. Partnerships are established with local universities
to create specialized transportation-related research centers which
are utilized to develop, conduct and administer research activities.
Research centers provide the opportunity for students and researchers
from various universities and colleges to perform transportation-related
research and to gain expertise in the field of transportation.
If it is determined that a university will be used and
more than one university has the capability, a request for proposal
will be sent to the universities that are identified as minority universities.
Minority universities interested in performing research for a transportation
agency are encouraged to learn the procurement process and submit proposals
when there are studies proposed which they have the capability to accomplish.
Potential Title VI Issues
1. Whether there is diversification in the selection of
consultant/universities.
2. Proposal/problem statement solicitation.
3. When awarding a contract or grant, whether the contractor
or applicant have any unresolved Title VI violations.
Recommended Good Practices and Mitigation Measures
1. Contract managers review contracts to ensure nondiscrimination
clauses are incorporated.
2. Contract managers contact DCIU and the Legal Division
to verify that the vendor has no active Title VI violations.
3. Contract managers document above actions.
4. Periodically, conduct an analysis of contract awards
to ensure business opportunity is afforded to minority
institutions.
5. Periodically, review outreach activities to ensure
small, disadvantaged, minority, women and disabled veteran businesses
are invited
to participate.
Possible Compliance Review Questions
Administration
General
1. What office or section within the Division of New Technology
and Research 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
research 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
· Subcontractor and supplier with the provision in form
FHWA-1273
· Withholding of payment
· Termination of contract when necessary
6. Who is responsible for identifying Title VI issues in
research 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 research 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?
Division of New Technology and Research
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?
1. Does the division’s process seek to identify the needs
of low-income and minority populations? Describe how.
2. What methods are used to identify imbalances?
3. 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 research 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 research 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 include 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 research process? Describe how
Tribal Governments are involved in the research 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. What affirmative measures are taken to ensure nondiscrimination?
Please describe these processes.
3. How are contracting and subcontracting opportunities
advertised? Please describe.
4. How does the division promote the participation of Disadvantaged
Business Enterprises (DBE) contracts?
5. What efforts are made to provide Historical Black Colleges
and Universities, Hispanic Serving Institutions and Tribal Colleges
and Universities the opportunity to participate in your research projects?
6. Is there a process in place to ensure that the contractor
who receives a contract has no prior unresolved violations?
7. Are mechanisms in place to review selection procedures
for principal researchers and research staff to determine minority participation
for private consultant contracts not awarded through the colleges or
universities? Please describe these mechanisms.
8. Are DBE goals set and do you meet these goals?
9. 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:
· How many research projects are currently underway?
· Summarize actions taken to encourage universities to use
minority, female, disabled and low-income students to participate on
highway research projects.
· Provide a summary of Title VI self monitoring activities
conducted, including findings, recommendations, action items and status
thereof.
· What Title VI training was provided by your program?
· What Title VI training was attended by your program personnel?
· List any significant problem areas and corrective actions
taken.
· List major accomplishments made regarding Title VI since
the last plan update.
· Include instances where Title VI issues were identified
and discrimination was prevented.
· List goals/actions planned for the ensuing year.
Self Monitoring
1. What office or section within the research function has
the lead responsibility for Title VI matters?
2. What is the role of the PAA/District Title VI Liaisons
in the research area?
3. What efforts have been made to ensure that minority universities
with significant minority student representation participate in research
projects?
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