Overview of FHWA Title VI Comp

FHWA Headquarters Office of Civil Rights
I. Procedures for filing a 

complaint

II. Routing complaintsIII. InvestigationsIV. Potential outcomesV. Sample language

Discussion Outline
Laws, Regulations, and Guidan

• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2• DOJ regulations: 28 CFR Part 42• DOT regulations: 49 CFR Part 21• FHWA regulations: 23 CFR Part 200• Guidance ‐ DOJ Title VI Legal Manual• Q&A for Complaints Alleging Violations of Title VI 

Rights Act of 1964
Who can File a Complain

Any person who believes they—or with a specifpersons—were subjected to discrimination on trace, color, or national origin in the programs anof a Federal‐aid Recipient may file a Title VI com
Where Complaints can be Fi

• Recipient State DOT• Subrecipient (e.g., city, MPO)• FHWA Division Offices or Headquarters Office

Rights

• USDOT Departmental Office of Civil Rights• USDOJ
When Complaints Must be F

Not later than 180 days after the date of the lasof alleged discrimination, unless the time for filiextended by the investigating agency.
• Written or reduced to writing

• Signed• Basis• Contact information• Date(s) of discriminatory actions• Respondent(s)• Description of events

Complaint Format
Complaint Format

What does not constitute a complaint?

1. Inquiries seeking advice or information2. Courtesy copies of court pleadings3. Newspaper articles (e.g. FYIs)

4. Courtesy copies of internal grievances
Complaints ‐ Processing

How are complaints routed?

Complaint against STA

• Refer to FHWA Division or Headquarters (• HCR investigates & HCR issues Letter of Fi• Division receives notification & copy of LO

Complaint against STA’s subrecipient

• STA may investigate if investigation delegated by 

acceptance

• STA issues report to FHWA• FHWA issues LOF
Potential Outcomes

1. Accept:  if complaint filed in180 days (or Agency gran

contains sufficient information to allege a prima facie

Title VI, and concerns matters under the Agency’s jurthen Agency shall accept the complaint.

2. Preliminary review:  if unclear whether complaint all

facie case, then Agency may (1) dismiss or (2) engagepreliminary review to acquire additional information complainant and/or respondent.  
Potential Outcomes (cont

3. Procedural Dismissal:  if complaint not filed in 180 days (a

granted), is not in writing and signed, or features other prodefects, then Agency shall dismiss the complaint. 

4. Referral\Dismissal:  if complaint procedurally sufficient bu

(1) lacks jurisdiction over the subject matter or (2) lacks juRecipient, then Agency will either dismiss complaint or refanother agency that does have jurisdiction. For referrals, Asend a referral notice with a copy of the complaint to its T

counterparts at the proper agency and a copy to the USDODepartmental Office of Civil Rights. 
Timeframes

For FHWA, there is no regulatory timeframe for cinvestigations. However, FHWA strives to complewithin 180 days from the date of acceptance.  For State DOTs as investigators, 23 CFR §200.9(b)provides that State DOTs must complete investigawithin 60 days from receipt. However, FHWA undinvestigations may take more time to complete. 
Gathering Information

There are no regulatory requirements for how Agencies gather information. Typically, investigating Agencies will first send the Respondent a Request for Information and 

Position Statement (RFI) to gather initial documents. Agencies will request documents and information from the complainant, schedule interviews with relevant parties, and conduct site visits as necessary.
Potential Outcomes

First, at any time during investigation, FHWA or Respondeninformal negotiations to resolve the Complainant’s issues. 

strives to resolve Title VI complaints informally. In the absence of negotiations, investigating Agencies draftReport (IR) with relevant data and findings, legal conclusionrecommendations.  Note that if the investigating Agency is investigating its Subrecipient, it will send the IR to FHWA Dand HCR will determine the proper course of action. 
Potential Outcomes (cont

1. FHWA makes a finding of no violation.2. FHWA finds the Respondent failed to comply with Title

requirements, or threatens to fail to comply by action o

• If informally resolved with Respondent by agreement, then co

abeyance until respondent completes its corrective actions. If

sufficient, then complaint dismissed. 

• If FHWA cannot informally resolve the matter or the responde

complete agreed upon corrective actions, then the FHWA mayLetter of Finding (LOF), stating that the recipient is in noncom

Title VI obligations. 
Potential Outcomes (cont

3. If FHWA issues a LOF to the respondent, the LOF will re

the respondent provide to FHWA, within 90 days, an acimplements the recommendations in the LOF. 

4. If FHWA approves the action plan, then the respondent 

a reasonable amount of time to implement the plan.  Athe implementation period, FHWA will assess whether respondent has sufficiently corrected the deficiencies.
Potential Outcomes (cont

5. If FHWA does not approve the action plan, or the respondent is 

nonresponsive/uncooperative, then FHWA may seek administrativ

including, but not limited to, suspension or termination of Federalreferral to USDOJ for enforcement.

6. If USDOT seeks to suspend or terminate funds, it must provide the

with an opportunity for a hearing on the record.  If the Secretary dthe Respondent has not complied with Title VI and voluntary combe secured, USDOT must notify Congress before that finding goes 

CFR §21.13(c). LOFs issued by FHWA are administratively final.
Questions & Comments

Discussion