Title VI of the Civil Rights Act of Title VI of the Civil Rights Act of 19641964

PrinciplesPrinciplesPoliciesPoliciesGuidance to FTA RecipientsGuidance to FTA Recipients

FTA Circular 4702.1A, “Title VI FTA Circular 4702.1A, “Title VI and Title VI-Dependent and Title VI-Dependent Guidelines for FTA Recipients”Guidelines for FTA Recipients”

Objectives Of This Objectives Of This PresentationPresentation Provide information that will allow Provide information that will allow

you to ensure that your agency is you to ensure that your agency is in compliance with Title VI. in compliance with Title VI.

This information will also allow This information will also allow you to evaluate and resolve you to evaluate and resolve discrimination complaints filed discrimination complaints filed with your agency. with your agency.

Title VI Principles Title VI Principles

Non-Non-DiscriminationDiscrimination

““Simple justice requires that public funds, Simple justice requires that public funds, to which all taxpayers of all races to which all taxpayers of all races contribute, not be spent in any fashion contribute, not be spent in any fashion which encourages, entrenches, which encourages, entrenches, subsidizes, or results in racial subsidizes, or results in racial discrimination.”discrimination.”

--President John F. Kennedy, 1963--President John F. Kennedy, 1963

Section 601 of Title VISection 601 of Title VI

““No No personperson in the United States in the United States shall, on the ground of shall, on the ground of racerace, , colorcolor, or , or national originnational origin, be excluded from , be excluded from participation in, be denied the participation in, be denied the benefits of, or be subjected to benefits of, or be subjected to discrimination under any discrimination under any program or program or activityactivity receivingreceiving Federal Financial Federal Financial assistanceassistance.”.”

--42 U.S.C. Section 2000d--42 U.S.C. Section 2000d

Title VI Applies to Title VI Applies to “Persons”“Persons” Title VI Protections are not limited Title VI Protections are not limited

to citizens.to citizens. Individuals may bring a cause of Individuals may bring a cause of

action under Title VI if they are an action under Title VI if they are an intended beneficiary of, an intended beneficiary of, an applicant for, or a participant in a applicant for, or a participant in a Federally assisted program. Federally assisted program.

Race, Color, National Race, Color, National OriginOrigin Persons of any race can file a Title VI Persons of any race can file a Title VI

complaint.complaint. We rely on U.S. Census categories to We rely on U.S. Census categories to

define race. define race. Title VI prohibits discrimination on the Title VI prohibits discrimination on the

basis of shades of skin color.basis of shades of skin color. National origin means being from a National origin means being from a

country other than the United States country other than the United States or having ancestors from a country or having ancestors from a country other than the United States. other than the United States.

Federal Financial Federal Financial Assistance Assistance Financial assistance can be in Financial assistance can be in

nonmonitary form. It can include nonmonitary form. It can include use of Federal land or property, use of Federal land or property, Federal training, or a loan of Federal training, or a loan of Federal personnel.Federal personnel.

Recipients Recipients

Recipients are any entity to whom Recipients are any entity to whom Federal financial assistance is extended.Federal financial assistance is extended.

Many recipients enter into a relationship Many recipients enter into a relationship with the Federal government akin to with the Federal government akin to contract. Federal financial assistance is contract. Federal financial assistance is received under a condition of assurance received under a condition of assurance of compliance with Title VI.of compliance with Title VI.

Both primary recipients and subrecipients Both primary recipients and subrecipients must conform their actions to Title VI.must conform their actions to Title VI.

Recipients v. Recipients v. Beneficiaries Beneficiaries Beneficiaries do not enter into an Beneficiaries do not enter into an

agreement with the Federal agreement with the Federal government where compliance government where compliance with Title VI is a condition of with Title VI is a condition of receiving aid.receiving aid.

Recipients are covered under Title Recipients are covered under Title VI. Beneficiaries are not. VI. Beneficiaries are not.

Program or Activity Program or Activity

Title VI’s prohibitions are meant Title VI’s prohibitions are meant to apply institutionwide, not just to apply institutionwide, not just to the limited aspect of the to the limited aspect of the institution’s operations that institution’s operations that receive the Federal funding.receive the Federal funding.

Title VI Policies Title VI Policies

Title VI Regulations Title VI Regulations

Section 602 of Title VI authorizes Section 602 of Title VI authorizes Federal agencies “to effectuate Federal agencies “to effectuate provisions of [Section 601]…by issuing provisions of [Section 601]…by issuing rules, regluations, or orders of general rules, regluations, or orders of general applicability.”applicability.”

The Department of Justice and The Department of Justice and Department of Transportation Department of Transportation regulations prohibit disparate impact regulations prohibit disparate impact discrimination as well as intentional discrimination as well as intentional discrimination. discrimination.

Disparate Treatment vs. Disparate Treatment vs. Disparate Impact Disparate Impact DiscriminationDiscrimination Disparate treatment--The recipient, in Disparate treatment--The recipient, in

violation of the statute, intentionally violation of the statute, intentionally discriminates against beneficiaries.discriminates against beneficiaries.

Disparate impact--The recipient, in Disparate impact--The recipient, in violation of agency regulations, uses a violation of agency regulations, uses a neutral procedure or practice that has neutral procedure or practice that has a disparate impact on minority a disparate impact on minority beneficiaries, and such practice lacks a beneficiaries, and such practice lacks a substantial legitimate justification. substantial legitimate justification.

DisparateDisparate treatment claims require proof of treatment claims require proof of an intent to discriminate against a protected an intent to discriminate against a protected class.  class. 

DisparateDisparate impactimpact claims, on the other claims, on the other hand, focus on the disproportionate adverse hand, focus on the disproportionate adverse consequences of facially neutral employment consequences of facially neutral employment policies and practices, not simply the policies and practices, not simply the underlying motivation.  In other words, underlying motivation.  In other words, disparatedisparate impactimpact analysis focuses on the analysis focuses on the effects of an employment practice on the effects of an employment practice on the employee rather than on the motivation for employee rather than on the motivation for the action of the employer. the action of the employer.

Examples of Actions with Examples of Actions with Potentially Disparate Potentially Disparate ImpactsImpacts Installing bus shelters on the basis of their Installing bus shelters on the basis of their

potential to generate advertising revenue.potential to generate advertising revenue. Assigning clean-fuel vehicles and facilities to Assigning clean-fuel vehicles and facilities to

routes that do not serve predominanty routes that do not serve predominanty minority communities. minority communities.

Implementing service reductions or fare Implementing service reductions or fare increases that disproportionately effect increases that disproportionately effect minority communities.minority communities.

Planning a fixed guideway project that travels Planning a fixed guideway project that travels through predominantly minority communities through predominantly minority communities but does not include stations in these but does not include stations in these communities.communities.

When can recipients take When can recipients take actions that have actions that have disparate impacts?disparate impacts? In the cases when the policy is In the cases when the policy is

supported by a “substantial supported by a “substantial legitimate justification” legitimate justification” and and

There are no comparably There are no comparably effective alternative practices effective alternative practices that would result in less disparate that would result in less disparate impacts impacts andand

The justification for the action is The justification for the action is not a pretext for discrimination. not a pretext for discrimination.

Alexander v. Sandoval Alexander v. Sandoval

In this 2001 decision, the Supreme In this 2001 decision, the Supreme Court ruled that plaintiffs can sue Court ruled that plaintiffs can sue under the intentional discrimination under the intentional discrimination provisions in Section 601 of Title VI.provisions in Section 601 of Title VI.

However, plaintiffs cannot bring However, plaintiffs cannot bring lawsuits lawsuits under the disparate impact under the disparate impact regulations promulgated by Federal regulations promulgated by Federal agencies under Section 602 of Title VI.agencies under Section 602 of Title VI.

Persons may still file administrative Persons may still file administrative complaints with Federal agencies complaints with Federal agencies under the Title VI regulations. under the Title VI regulations.

DOT Title VI RegulationsDOT Title VI Regulations

Recipients may not, on the grounds of race, color, or national Recipients may not, on the grounds of race, color, or national origin: origin: --Deny any individual service, financial aid, or benefit under the --Deny any individual service, financial aid, or benefit under the program.program.--Provide any service, financial aid, or benefit that is different --Provide any service, financial aid, or benefit that is different from that provided to others. from that provided to others. --Subject an individual to segregation or separate treatment.--Subject an individual to segregation or separate treatment.--Restrict an individual in the enjoyment of any advantage or --Restrict an individual in the enjoyment of any advantage or privilege enjoyed by others.privilege enjoyed by others.--Treat individuals differently in terms of whether they satisfy --Treat individuals differently in terms of whether they satisfy admission, eligibility, or membership.admission, eligibility, or membership.--Deny an individual the opportunity to participate in the --Deny an individual the opportunity to participate in the provision of services.provision of services.--Deny a person the opportunity to participate as a member of a --Deny a person the opportunity to participate as a member of a planning or advisory body. planning or advisory body.

49 CFR 21.5(b)49 CFR 21.5(b)

DOT Title VI DOT Title VI Regulations Regulations Recipients may not use criteria or methods Recipients may not use criteria or methods

of administration that have the effect of of administration that have the effect of subjecting individuals to discrimination subjecting individuals to discrimination (49 (49 CFR 21.5(b)(2)). CFR 21.5(b)(2)).

In determining the location of facilities, In determining the location of facilities, recipients may not make decisions with the recipients may not make decisions with the purpose or effect of subjecting persons to purpose or effect of subjecting persons to discrimination discrimination (49 CFR 21.5(b)(3)).(49 CFR 21.5(b)(3)).

Recipients are expected to take affirmative Recipients are expected to take affirmative action to assure non-discrimination action to assure non-discrimination (49 CFR (49 CFR 21.5(b)(7)). 21.5(b)(7)).

DOT Title VI DOT Title VI Regulations Regulations Discrimination with regard to the Discrimination with regard to the

routing, scheduling, or quality of routing, scheduling, or quality of transit service is prohibited.transit service is prohibited.

Frequency of service, age and quality Frequency of service, age and quality of vehicles assigned to routes, quality of vehicles assigned to routes, quality of stations serving different routes, of stations serving different routes, and location of routes must not be and location of routes must not be determined on the basis of race, color, determined on the basis of race, color, national origin. national origin. (Appendix C to 49 CFR 21)(Appendix C to 49 CFR 21)

Title VI Guidance to Title VI Guidance to Recipients of FTA Recipients of FTA Funding Funding

FTA Circular 4702.1A, “Title VI FTA Circular 4702.1A, “Title VI and Title VI-Dependent and Title VI-Dependent Guidelines for FTA Recipients”Guidelines for FTA Recipients”

Circular 4702.1: Last Circular 4702.1: Last Updated in 1988 Updated in 1988

Purpose of the Circular Purpose of the Circular

Provide recipients and Provide recipients and subrecipients with guidance and subrecipients with guidance and instructions necessary to carry out instructions necessary to carry out the DOT Title VI Regulations and to the DOT Title VI Regulations and to integrate into their programs and integrate into their programs and activities considerations expressed activities considerations expressed in the DOT Order on Environmental in the DOT Order on Environmental Justice and DOT Policy Guidance on Justice and DOT Policy Guidance on LEP.LEP.

Qualities of the Qualities of the Updated Circular Updated Circular Issues requirements that stem from the Issues requirements that stem from the

Title VI regulations and guidance that stem Title VI regulations and guidance that stem from Environmental Justice and LEP.from Environmental Justice and LEP.

Gives grantees more flexibility to Gives grantees more flexibility to implement requirements and guidance implement requirements and guidance using locally-preferred options.using locally-preferred options.

Adds some record keeping and reporting Adds some record keeping and reporting requirements and eliminates other requirements and eliminates other requirements.requirements.

The document should be more useful and The document should be more useful and usable. usable.

Circular Objectives Circular Objectives

1. Ensure level and quality of transportation service 1. Ensure level and quality of transportation service provided without regard to race, color, national provided without regard to race, color, national origin.origin.

2. Identify and address, as appropriate, 2. Identify and address, as appropriate, disproportionately high and adverse effects of disproportionately high and adverse effects of minority populations and low-income populations.minority populations and low-income populations.

3. Promote full and fair participation of all affected 3. Promote full and fair participation of all affected populations in transportation decision making. populations in transportation decision making.

4. Prevent the denial, reduction of, or delay in 4. Prevent the denial, reduction of, or delay in benefits related to programs and activities that benefits related to programs and activities that benefit minority populations or low-income benefit minority populations or low-income populations.populations.

5. Ensure meaningful access to programs and 5. Ensure meaningful access to programs and activities by persons with limited English activities by persons with limited English proficiency. proficiency.

Circular OrganizationCircular Organization

Chapter I—How to use this circular.Chapter I—How to use this circular. Chapter II—Overview.Chapter II—Overview. Chapter III—Requirements for applicants.Chapter III—Requirements for applicants. Chapter IV—General Requirements and Guidelines.Chapter IV—General Requirements and Guidelines. Chapter V—Requirements and Guidelines for Chapter V—Requirements and Guidelines for

recipients serving large urbanized areas.recipients serving large urbanized areas. Chapter VI—Requirement and Guidelines for State Chapter VI—Requirement and Guidelines for State

DOTs/Administrating Agencies.DOTs/Administrating Agencies. Chapter VII—Requirements and Guidelines for Chapter VII—Requirements and Guidelines for

Metropolitan Planning Organizations.Metropolitan Planning Organizations. Chapter VIII—Compliance Reviews.Chapter VIII—Compliance Reviews. Chapter IX—Complaints.Chapter IX—Complaints. Chapter X—Effecting Compliance. Chapter X—Effecting Compliance.

Requirements and Guidelines Requirements and Guidelines for all recipients and for all recipients and subrecipients (Circular subrecipients (Circular 4702.1A, Chapter IV)4702.1A, Chapter IV) Have procedures for investigating Title VI Have procedures for investigating Title VI

complaints.complaints. Keep a record of Title VI complaints, investigations, Keep a record of Title VI complaints, investigations,

and lawsuits.and lawsuits. Take responsible steps to ensure meaningful access Take responsible steps to ensure meaningful access

to programs and activities for people with LEP. to programs and activities for people with LEP. Inform the public of their rights under Title VI.Inform the public of their rights under Title VI. Include EJ analysis in NEPA documentation.Include EJ analysis in NEPA documentation. Conduct public involvement in an inclusive manner.Conduct public involvement in an inclusive manner. Submit a Title VI report to FTA or to direct recipient. Submit a Title VI report to FTA or to direct recipient.

Requirements and Guidelines for Requirements and Guidelines for transit agencies serving large transit agencies serving large urban areas (Circular 4702.1A, urban areas (Circular 4702.1A,

Chapter V)Chapter V) Collect demographic information on Collect demographic information on

beneficiaries.beneficiaries.– Maps and overlaysMaps and overlays– Customer surveysCustomer surveys– Local option Local option

Set system-wide service standards and Set system-wide service standards and policies.policies.

Analyze the impacts of proposed service and Analyze the impacts of proposed service and fare changes for disparate impact fare changes for disparate impact discrimination.discrimination.

Monitor transit service provided for equity. Monitor transit service provided for equity. Report on these activities once every three Report on these activities once every three

years to FTA.years to FTA.

Requirements and Guidance Requirements and Guidance for State DOTs/Administering for State DOTs/Administering Agencies (Circular 4702.1A, Agencies (Circular 4702.1A, Chapter VI)Chapter VI) Conduct statewide transportation Conduct statewide transportation

planning in a non-discriminatory manner.planning in a non-discriminatory manner. Pass through FTA funds to subrecipients Pass through FTA funds to subrecipients

in a non-discriminatory manner.in a non-discriminatory manner. Monitor subrecipients for compliance with Monitor subrecipients for compliance with

Title VI. Title VI. Report on these activities to FTA once Report on these activities to FTA once

every three years.every three years.

Additional Circular Additional Circular Content Content Reporting requirements chart at Reporting requirements chart at

appendices A, B, and C.appendices A, B, and C. Technical assistance resources at Technical assistance resources at

Appendix D. Appendix D.

Resources for Resources for Implementing the New Implementing the New Circular Circular Your regional civil rights officer.Your regional civil rights officer. Plans to submit Title VI Plans to submit Title VI

compliance report through TEAM. compliance report through TEAM. The Title VI web page at The Title VI web page at

http://www.fta.dot.gov/civilrights/http://www.fta.dot.gov/civilrights/civil_rights_5088.htmlcivil_rights_5088.html