INTRO TO TITLE VI REVIEWS
we achieve it?

INTRODUCTION

If nondiscrimination is the goal; how do 

we achieve it?

Think of a program or process. How do you know it’s 

working? 

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Government agencies arereally complicated...

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So youneed a strategy.

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highway program funds.

MANAGING RISK

What is...

Stewardship:

Oversight:

Risk:

Risk Management:

Ensuring efficient and effective use and management of

highway program funds.

Ensuring program and project compliance with laws and

regulations.

The measurable effect of uncertainty on objectives.

Process to focus resources, strengthen program 

management, and improve communication to manage 

risk.

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MANAGING RISK

Two main questions:

1. How do we assess what the risks are?

2. How do we respond to those risks?

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MANAGING RISK

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Collect data 

and information

Assess Where 

Risks Are Act on Findings

Risk Management 

is a Cycle

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Assess Where 

Risks Are

Diagnose 

Problems / Find 

Opportunities

is a Cycle Act on Findings
RISK MANAGEMENT AUTHORITIES

1. Uniform Administrative Requirements for Federal Awards 

(2 C.F.R. Part 200): the common oversight rules for all federal

agencies and recipients. 

§ 200.303 - The non-Federal entity must:

(a) Establish and maintain effective internal control over the Federal 

award that provides reasonable assurance that the non-Federal entity is

managing the Federal award in compliance with Federal statutes, 

regulations, and the terms and conditions of the Federal award. 

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§ 200.61 Internal controls. 

RISK MANAGEMENT AUTHORITIES

1. Uniform Administrative Requirements for Federal Awards 

(2 C.F.R. Part 200)

§ 200.61 Internal controls.

Internal controls means a process, implemented by a non-Federal entity, 

designed to provide reasonable assurance regarding the achievement of 

objectives in the following categories:

(a) Effectiveness and efficiency of operations;

(b) Reliability of reporting for internal and external use; and

(c) Compliance with applicable laws and regulations.

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assistance through it. 

RISK MANAGEMENT AUTHORITIES

2. DOJ Regulations on Continuing State Programs (28 C.F.R § 42.410)

provides that primary recipient state agencies shall establish a Title VI 

compliance program for itself and other recipients which obtain federal 

assistance through it. 

3. FHWA Regulations on State Highway Agency (SHA) Title VI Actions 

(23 C.F.R. § 200.9(b)) setting forth requirements for SHAs to collect 

information and conduct internal and external reviews. 

4. USDOT Title VI Regulations (49 C.F.R. Part 21) providing that recipients 

shall provide methods of administration for the program give a 

reasonable guarantee of compliance. 11
2. Consult with stakeholders.

ASSESSING RISK

What are the steps in risk 

assessment?

1. Collect data/information.

2. Consult with stakeholders.

3. Analyze risks for impact and likelihood.

4. Prioritize and develop review 

work plan.

Collect data

and information

Assess Where 

Risks Are

Diagnose

Problems / Find 

Opportunities

Act on Findings

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ASSESSING RISK

Questions to ponder on risk assessment:

 Data and Information

 Do you have the data and information necessary? 

 How is it collected and in what forms?

 How will you codify it? 

 How will you turn subjective information into objective data?

 Where and how do you contact public?

 Where and how does the recipient spend its funds?

 Have any formal or informal complaints or public comments 

been filed? 13
 Identify review scope

CONDUCTING REVIEWS

How should recipients conduct 

reviews?

1. Develop review plan

 Identify review scope

 Identify data/information needed

 Identify interviewees

 Create schedule

2. Gather and analyze 

3. Produce written report with recommendations. 

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Collect data

and information

Assess Where 

Risks Are

Diagnose

Problems / Find 

Opportunities

Act on Findings
1. Periodic and/or random reviews

CONDUCTING REVIEWS

What are the strategies for responding 

to risk?

1. Periodic and/or random reviews

2. Incident-based acquisition of data and 

information. 

3. Systematic acquisition of data and 

information

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CONDUCTING REVIEWS

The basis for...

1. Periodic and/or random 

reviews

2. Incident-based 

acquisition of data and 

information. 

3. Systematic acquisition of

data and information

Comes from...

Periodic compliance reviews. The Secretary shall from time to 

time review the practices of recipients to determine whether

they are complying with this part. 49 C.F.R. § 21.11(a). 

Complaints. Any person who believes himself or any specific 

class of persons to be subjected to prohibited discrimination 

may by himself or by a representative file with the 

Secretary a written complaint. 49 C.F.R. § 21.11(b). 

Investigations. The Secretary will make a prompt investigation

whenever a compliance review, report, complaint, or any 

other information indicates a possible failure to comply. 49

C.F.R. § 21.11(c). 
What’s the difference between investigations and reviews?

CONDUCTING REVIEWS

Investigations Suspected Violations in the 

Absence of a Complaint Periodic Reviews

49 C.F.R. § 21.11(c) 49 C.F.R. § 21.11(a). 

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49 C.F.R. § 21.11(c)

”... whenever a

compliance review, report,

complaint, or any other

information indicates a

possible failure to comply..."

e.g., newspaper articles,

interviews, reports by

advocacy groups, or

other information

49 C.F.R. § 21.11(a). 

"from time to

time...review the

practices of recipients"
 

Reviews

CONDUCTING REVIEWS

What’s the difference between investigations and reviews?

Answer: not much

Reasons For Reasons For Compliance 

Investigations

• Person or Group 

Complains

• Suspected Violations

Reviews

•Agency Required To Conduct 

Pre-award and Post-award 

Compliance Reviews by

Regulations

•Suspected Violations

•Consolidation of Individuals 

Complaints 
 

 

 

CONDUCTING REVIEWS

Review Techniques – two questions to answer for your 

orchestra:

1. Is everyone reading the right music?

2. Is everyone playing the music well?
 

 

o we say we materials – whether public or not. [What d

CONDUCTING REVIEWS

1. Is everyone Collection and review of

Desk Audit reading the right documentary material, including 

music? manuals, SOPs, and training 

materials – whether public or not. [What do we say we

do?]

2. Is everyone 

playing the music 

well?

“Field” Audit

Collection and review of real-world 

implementation materials from 

executed projects and programs.

[What do we actually

do?]
 

 

 

 

distribution of benefit/burden (e.g. project alternative route selection)

CONDUCTING REVIEWS

Example Review Analysis Methods:

1. Threshold or Representation analysis compares demographics to actual 

distribution of benefit/burden (e.g. project alternative route selection)

2. Barrier analysis to test whether practices have a disproportionate, 

adverse impact, acting as a barrier to participation (e.g. venue for public 

meetings). 

3. Selection analysis to determine whether the selection rate for one

demographic group of beneficiaries is lower than other groups (e.g. 

selection of consultants). 

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An consultant appraiser approaches a State DOT Right of

CONDUCTING REVIEWS – HYPOTHETICAL 1

Hypothetical:

An consultant appraiser approaches a State DOT Right of

Way employee at a conference with concerns that she is on 

the “on call” list for an LPA but has never received a

contract. She does not wish to file a complaint, but wanted

to voice her concerns. 

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 On Call list, selectees over 12 months, demographic data

CONDUCTING REVIEWS – HYPOTHETICAL 1

1. Collect What Data and Information?

 On Call list, selectees over 12 months, demographic data

 Policies and procedures

2. What kind of analysis?

 Practical Significance test for Disparate Impact

3. What follow up actions?

 Create plan to change policies or procedures

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State DOT released a draft Environmental Impact 

CONDUCTING REVIEWS – HYPOTHETICAL 2

Hypothetical:

State DOT released a draft Environmental Impact 

Statement for Project X. Some African-American 

residents in the Project study area contacted the 

State to say they had no idea the project was

happening and had no opportunity to offer comments

or receive information. 

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 Survey form information from public meeting attendees

CONDUCTING REVIEWS – HYPOTHETICAL 2

1. Data Collection:

 American Community Survey (ACS) or Decennial Census 

data of neighborhood and project area

 Survey form information from public meeting attendees

2. Information collection:

 Public Involvement Plan (PIP)

 Actual media outreach and community dissemination

 Interviews with staff

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CONDUCTING REVIEWS – WRAP UP

How to get started? 

Create a review plan with

 Your purpose and objectives: questions to answer.

 Relevant legal bases.

 Scope of review: timeframes, documentation needed, projects.

 Likely interviewees. 

1. Gather data and information.

2. Draft a written report with potential recommendations.

3. Follow up on recommendations. 

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