Title VI: Writing Effective

Implementation Plans
Learning Objectives

1. Title VI Plan procedures.

2. What does FHWA look

for?

3. What does the public

need?

4. Title VI Plan elements.
Title VI Plan—Procedure

Where do the requirements come from?• 23 CFR §200.9(b)(11): State Highway Administrations 

annually submit an updated Title VI implementing plaRegional Federal Highway Administrator for approval 

disapproval.”

• “Annual” means Federal Fiscal Year: SHA submits Plan 

1.

• Plan represents policies and procedures for implemen

next Fiscal Year: e.g. Plan submitted on October 1, 20

Federal Fiscal Year 2018 Plan.
Title VI Plan—Procedure

What is the process for Plan submittal and • SHAs submit Plans to FHWA Division office for revie

approval.

– Division uploads the Title VI plan to SharePoint once recei

• If approved, Division sends SHA approval letter, sign

Division Administrator.

– Division uploads letter from Division Administrator to Sha

is signed.
Title VI Plan—FHWA Revie

1. Completeness /

Timeliness –

a. Are all of the 23 CFR

200.9(b) areas covered?

b. Is all of the information

(e.g. assurances, staff) up‐to‐date?

c. Was the Plan submitted by

October 1 for the fiscal

year?
Title VI Plan—FHWA Revie

2. Depth –

a. Are internal and external

review processes discussed

in sufficient detail?

b. Do major program area

sections describe actions

that are specific to Title VI

compliance?

c. Are data sources and

collection proceduresdescribed in detail?
Title VI Plan—Public

Considerations

What does the public need from your Plan?1. Ease of use –

a. Plain language.

b. Table of contents.

c. Glossary.d. Points of contact.e. Balance of: sufficient information in Pl

links to external documents.
Title VI Plan—FHWA Revie

2. Access –

a. Available on public website

and prominently displayed?

b. Available via links from other

public documents (manuals,

brochures, etc.)?

c. Vital portions translated into

languages other than Englishfollowing LEP Plan?
Title VI Plan—Elements

What are the essential elements of a Plan?

1. Standard USDOT Title VI

Assurances.

2. Organization & Staffing3. Program Area Review

Procedures

4. Sub‐recipient Review

Procedures

5. Data Collection

6. Training

7. Complaint Proc

8. Dissemination o

Information

9. Limited English 

10.Review of STA D11.Compliance & E

Procedures
Title VI Plan—Elements

1) Signed Assurances

• Attach the latest Assurances—signed by head 

including Appendices (USDOT Order 1050.2A, Ap

• Signed each year

US
Title VI Plan—Elements

2) Organization & Staffing of Civil Rights Unit

• Include description of relationship between the

Civil Rights Unit and head of SHA.

• Brief description of the Civil Rights Unit with

organizational chart.

• Designate Agency Title VI Program

Coordinator.

Planning C

OCR

• Outline roles and responsibilities of Title VI

Coordinator, Title VI Specialist/Manager & staff.

• Delegation of authority and responsibilities to

appropriate Bureau/Division Managers.

23 CFR 200.9(b)(1)&(2)
Title VI Plan—Elements

3) Procedures for conducting reviews of program 

• Describe pertinent program areas, Title VI responsibilities of 

area and, process for conducting yearly reviews. The process 

1. The types of reviews and their objectives;2. What activities will be reviewed for the program;3. What data will be sought from the program area(s);

4. How the data obtained will be analyzed; and

5. How will the review determine effectiveness.

• SHAs should include how they will determine the compliance 

areas’ activities.

23 CFR 
Title VI Plan—Elements

4) Subrecipient Review Procedures

• Describe the process for conducting reviews of the S

recipients. The process should define:

1. Risk‐based selection and/or sampling procedu

2. The types of reviews and their objectives;

3. Where and when the outcome of the reviews 

reported; and

4. What activities will be reviewed.

23 CFR 200
Title VI Plan—Elements

5) Data Collection Process

• Describe how SHA collects data, what data is collected, and how 

analyzed.

• SHA must collect Title VI Program‐related data as on‐going basis

should be directly related to specific processes in a Program Are

• E.g. SHA Right‐of‐Way may not discriminate against eligible pers

relocation payments and in providing relocation advisory assista

Part 21, Appendix C to Part 21(a)(2)(ii)). SHA’s Plan describes ho

data on race, color, national origin for relocates and other benef

review for potential disparate impacts.
Title VI Plan—Elements

6) Training

• Describe how and when members of

the SHA Civil Rights staff, Title VI

liaisons, and other employees within

the agency will be trained on Title VI

Program requirements and

responsibilities.

• For subrecipients and stakeholders,

nclude procedures as to how and when

training will be conducted.

23 CFR 200.9(b)(9) 
Title VI Plan—Elements

7) Complaint Procedures

• Describe the SHA’s procedures for prompt processing 

Program complaints received by the SHA.

• Procedures should include:

– A description of the complaint process identifying ho

where a complaint can be filed, with which departme

person, and all applicable timeframes.

– A description of the process by which the SHA will tra

complaints and keep the required data for each comp

received.

2
Title VI Plan—Elements

8) Disseminate Title VI Information:

• Process to elicit and solicit p

participation and involvemen

• Educate public of their Title V

rights in the Transportation d

making process.

• Include the tools, techniques

strategies to involve and edu

including LEP persons.

23 CFR 
Title VI Plan—Elements

9) Limited English Proficiency

• Describe process for how SHA reaches persons with 

English Proficiency. This is often codified in a LEP Pla

– Conduct Four Factor Analysis (See USDOT guidance at 70 

74087, 74091 (December 9, 2005)).

– Process of self‐assessment to determine which personn

with members of the public.

– Process to identify LEP Populations statewide and projec

project using American Community Survey datawww.census.gov/acs/www/.

23 CFR 

Executi
Title VI Plan—Elements

10) Review of STA Directives

• SHA must describe process of reviewing directives for 

Title VI implications. SHA must also describe process reconciling issues if directives have Title VI implication

• E.g. SHA Civil Rights Office determines directive requi

to comply with Title VI. Recommendation sent to dep

for source of material. SHA leadership codifies change

23 CFR 200
Title VI Plan—Elements

11) Compliance and Enforcement Procedures

• Describe how trends or patterns of discrimin

identified and eliminated.

• Describe how compliance reviews of sub‐rec

conducted and how compliance is determine

enforced.

23 
OTHER OPTIONAL ELEMEN

Optional Elements

• Introduction; Policy 

Overview; or Backg

• Glossary of terms; l

acronyms

• Special Emphasis Pr

Areas*

• Nondiscrimination A

& Resources

• Related SHA policy 
Title VI Plan—Optional Eleme

Introduction/Overview/PolicyStatement:

• Introduction or Overview can help the

public and employees understand the

Title VI program and purpose of the

Title VI Plan.

• Often the State CEO or other official

wants to present an expresscommitment to the Title VI Program

through a policy statement.
Title VI Plan—Optional Eleme

Special Emphasis Program Areas:

• Definition: area for which the FHWA Office of Civil R

has identified a need for special attention by the SHA

FHWA memorandum.

• Identification of Special Emphasis Program Area will 

by case basis for each individual state DOT. When HC

such designation, it will clearly communicate the pro

and specific requirements by written letter to SHAs tDivision offices.

23 CFR 200
Implementation Plan Wrap‐

• Plan should have submittal date and federal fiscal ye

• SHAs should post approved Plan on public website.• The Plan should be a Standard Operating Procedure 

State is carrying out its program year to year.

• SHAs should submit updated Plan even if changes fro

are relatively minor.

• Avoid combined “Update and Accomplishments Rep

have Plan and a separate Goals and Accomplishment
Goals and Accomplishments Repo

Procedures

• SHAs “[p]repare a yearly report of Title VI accomplishm

past year and goals for the next year.”

• No statutory submittal date – only “yearly.” Division m

submittal time with State. However, submittal earlier i

more useful for Divisions.

• FHWA does not approve Goals and Accomplishments 

Divisions use information to monitor progress.

23 CFR §200.9(b)(10):
23 

Goals and Accomplishment Rep

Accomplishments should include:

1. Program Area Reviews Number of reviews, results, and a

2. Subrecipient Reviews Number of reviews, results, and a

3. Training Number of trainings, topics covere

number of attendees, and follow 

4. Title VI Complaints/ Summary for each complaint with 

Corrective Action Plans status and/or a detailed report of 

completed activities for a CAP

5. Special Emphasis Only if applicable, review results a

Programs taken.
Goals and Accomplishment Rep

Goals should include:

1. Number of reviews planned for the next

year (both Program Area Reviews and

Subrecipient reviews);

2. Number and description of training

sessions planned (both internal and

external); and

3. Any other Title VI related goals the SHA

anticipates for the upcoming year.

23 CFR 200.9(b)(10) 
Discussion