HomeMy WebLinkAbout2016-07-05-J03 Appointment - Title VI Coordinator AGENDA ITEM:
CITY OF WAUKEE, IOWA
CITY COUNCIL MEETING COMMUNICATION
MEETING DATE: July 5, 2016
AGENDA ITEM: Consideration of approval of a resolution approving mayor’s
appointment of City of Waukee Title VI Coordinator
FORMAT: Mayor’s Appointment and Resolution
SYNOPSIS INCLUDING PRO & CON: The Iowa Department of Transportation requires the
appointment of a Title VI Coordinator in order to implement and monitor
compliance with the requirements of Title VI and related
nondiscrimination laws and regulations that are applicable to Federal
funding assistance that is passed through the Iowa Department of
Transportation.
FISCAL IMPACT INCLUDING COST/BENEFIT ANALYSIS:
COMMISSION/BOARD/COMMITTEE COMMENT:
STAFF REVIEW AND COMMENT: Mayor Peard is anticipated to appoint City Clerk
Rebecca D. Schuett as the City of Waukee Title VI Coordinator.
RECOMMENDATION: Approve the resolution.
ATTACHMENTS: I. Proposed Resolution
II. Iowa Department of Transportation Instructional Memorandum
on Title VI and Nondiscrimination Requirements
PREPARED BY: Becky Schuett
REVIEWED BY:
PUBLIC NOTICE INFORMATION –
NAME OF PUBLICATION:
DATE OF PUBLICATION:
THE CITY OF WAUKEE, IOWA
RESOLUTION 16-
APPROVING MAYOR’S APPOINTMENT OF CITY OF WAUKEE TITLE VI
COORDINATOR
IN THE NAME AND BY THE AUTHORITY OF THE CITY OF WAUKEE, IOWA
WHEREAS, the City of Waukee is a duly organized municipality within Dallas County;
AND,
WHEREAS, the Iowa Department of Transportation requires the appointment of a Title
VI Coordinator in order to implement and monitor compliance with the requirements of
Title VI and related nondiscrimination laws and regulations that are applicable to Federal
funding assistance that is passed through the Iowa Department of Transportation; AND,
WHEREAS, the City of Waukee Title VI Coordinator shall act as the representative for
issues and actions pertaining to a Title VI Non-Discrimination Agreement between the
City of Waukee and the Iowa Department of Transportation; AND,
WHEREAS, Mayor William F. Peard appoints City Clerk Rebecca D. Schuett as the Title
VI Coordinator for the City of Waukee.
NOW THEREFORE BE IT RESOLVED by the City Council of Waukee, Iowa on the
5th of July, 2016, does hereby approve the mayor’s appointment of City of Waukee Title
VI Coordinator.
____________________________
William F. Peard, Mayor
Attest:
___________________________________
Rebecca D. Schuett, City Clerk
ROLL CALL VOTE AYE NAY ABSENT ABSTAIN
Brian Harrison
Shelly Hughes
Larry R. Lyon
Rick Peterson
VACANT SEAT
Page 1 of 10
INSTRUCTIONAL MEMORANDUMS
To Local Public Agencies
To: Counties and Cities Date: July 20, 2012
From: Office of Local Systems I.M. No. 1.070
Subject: Title VI and Nondiscrimination Requirements
Contents: This Instructional Memorandum (I.M.) provides guidance for a Local Public Agency (LPA) to
understand and comply with the requirements of Title VI and related nondiscrimination laws and regulations that
are applicable to Federal funding assistance that is passed through the Iowa Department of Transportation (Iowa
DOT).
Title VI of the Civil Rights Act of 1964
“No person in the United States shall, on the ground of race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving
Federal financial assistance.” (42 U.S.C. 2000d)
The Civil Rights Act of 1964 (the Act) is a fundamental piece of legislation that forms the basis for a wide array of
subsequent, laws, executive orders and regulations, all designed to prohibit discrimination. Technically, Title VI
covers race, color and national origin. However the term “Title VI” is also used more generically to refer to non-
discrimination on any basis.
There are eleven titles in the Act covering a variety of activities, for example: Title I – Voting Rights, Title II –
Public Accommodations, and Title VII – Equal Employment Opportunity. Title VI of the Act deals specifically with
Nondiscrimination in Federally Assisted Programs and Activities.
The Act has broad application. It prohibits discrimination in impacts, services, benefits of, access to, participation
in, and treatment under a Federal-aid recipient’s programs or activities. Title VI of the Act is not limited to a
particular program or issue. Title VI can surface at any phase of a transportation project with potentially
significant impacts. Because of this, preventing discrimination is everyone’s responsibility. It is not a duty that
can be delegated or assigned entirely to an individual or a team. It is important for all staff to have some
awareness of non-discrimination concepts so they can be observant for prohibited actions as they conduct their
daily routine.
There are some important points to take note of. The Act does not mention a specific race (e.g. Hispanic), color
(e.g. Black) or national origin (e.g. Chinese). It prohibits discrimination against any race, color or national origin.
There is no “reverse discrimination”, only discrimination. For example, denying services to a white male because
of race is also discrimination. Also, the Act uses the language…”No person in the United States….” it does not
mention citizenship. It applies to all people in the U.S, citizen or not, with regard to any program or activity to
which they are otherwise eligible for.
Discrimination
To help understand Title VI impacts and application it is useful to define discrimination and identify how it may
surface.
The Federal Highway Administration (FHWA) regulations which implement Title VI and the related statutes
define discrimination as “That act (or action) whether intentional or unintentional, through which a person in
the United States, solely because of race, color, religion, sex, or national origin has been otherwise subjected
to unequal treatment under any program or activity receiving financial assistance from the Federal Highway
Administration under title 23 U.S.C.” (23 CFR 200.5 (f)).
Discrimination is evidenced primarily in two fashions, disparate treatment and disparate impact.
Disparate treatment occurs when a person is treated differently (discriminated against) because of their race,
color, national origin, etc. This is a more obvious form of intentional discrimination that occurs when the
person’s race or protected class status are known, and when a decision is made (at least in part) on a
prohibited basis. For example, a contractor or supplier is not used, or is held to a different standard, because
I.M. 1.070
July 20, 2012
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of their race. Disparate treatment involves the inconsistent application of rules or policies to one group of
people or another.
Disparate impact is more unintentional discrimination. This occurs when a policy or program, while neutral on
its face, has the unintended consequence of being discriminatory. For example, a public transit system ends
service at 10:00 P.M., yet late night customers are primarily Hispanic because many people in the Hispanic
community depend on public transportation for late shift employment. On the surface the policy is neutral;
service ends for all riders at a designated time. Yet, unintentionally, the Hispanic community bears a
disproportionately large negative impact. This type of discrimination is more subtle and difficult to identify.
However, to comply with Title VI regulations it must be avoided.
Related Non-discrimination Authorities
Right-of-way and Property Impacts
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601)
“For the fair and equitable treatment of persons displaced as a direct result of programs or projects
undertaken by a Federal agency or with Federal Financial assistance.”
This prohibits unfair or inequitable treatment of persons displaced or whose property will be acquired as a
result of Federal and Federal-aid programs and policies. Note that this applies regardless of the source of
funds used to purchase the property, Federal-aid or not.
Disability
Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794)
The Americans with Disabilities Act (P.L. 101-336)
“No qualified handicapped person shall, solely by reason of his handicap, be excluded from participation in,
be denied the benefits of, or be subjected to discrimination under any program or activity that receives or
benefits from Federal financial assistance.”
Discrimination because of a mental or physical disability is prohibited. At the time the legislation was initially
developed, the term “handicap” was used; however, this has negative connotations. This term originates from
the phrase, “cap in hand”, which was used to describe a beggar. As a result, the terms “disabled” or
“disability” are preferred.
Sex (Gender)
Federal-aid Highway Act of 1973 (23 U.S.C. 324)
“No person shall on the ground of sex be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any program or activity receiving Federal assistance under this title or
carried on under this title.”
Discrimination because of sex (gender) is prohibited.
Age
The Age Discrimination Act of 1975 (42 U.S.C. 6101)
“No person shall on the basis of age, be denied the benefits of, or be subjected to discrimination under any
program or activity receiving Federal financial assistance.”
Discrimination on the basis of age is prohibited.
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The Civil Rights Restoration Act of 1987 (P.L. 100-259)
Non-discrimination requirements have been developed over time as evidenced by the dates listed previously.
This I.M. only highlights the major actions that have significance to the transportation community. Non-
discrimination efforts of the Federal government have been going on since the time of the Civil War.
Over the course of time the intent of this work became diffused, misinterpreted or misconstrued. The
Restoration Act of 1987 clarifies the original intent of Congress in Title VI of the 1964 Civil Rights Act, Title IX
of the Education Amendments of 1972, the Age Discrimination Act of 1975, and Section 504 of Rehabilitation
Act of 1973. This act restores the broad, institution-wide scope and coverage of the non-discrimination
statutes to include all programs and activities of Federal-aid recipients, subrecipients and contractors,
whether such programs and activities are Federally assisted or not.
What this means is that if an LPA receives even one dollar of Federal financial assistance, then all of the
programs and activities of that LPA are covered by Title VI, whether all those programs and activities are
Federally funded or not. For example, if a County Secondary Road Department receives Federal Highway
Bridge Program funds to reconstruct a bridge, all of the activities and programs of the county government are
covered by Title VI.
Limited English Proficiency LEP (Executive Order 13166)
Executive order 13166 is titled, “Improving Access to Services for Persons with Limited English Proficiency,”
and was signed by President Clinton on August 11, 2000.
A person is considered to have limited English proficiency (LEP) if they do not speak English as their primary
language and if they have a limited ability to read, speak, write or understand English. Programs and
services normally provided in English must be accessible to persons with LEP in order to avoid national origin
discrimination that is prohibited by Title VI.
Meaningful access is the key concept. The central goal of this presidential order is to provide meaningful
access for LEP persons to programs and services offered by recipients of Federal financial assistance.
Recipients continue to be subject to Federal non-discrimination requirements even though they may be in a
jurisdiction where English has been declared as the official language. Federal requirements supersede State
and local ones.
Environmental Justice (Executive Order 12898)
Executive order 12898 is titled, “Federal Actions to Address Environmental Justice in Minority Populations
and Low Income Populations.” It was signed by President Clinton on February 11, 1994.
Environmental Justice (EJ) relates to the human environment and to human health in minority and low income
populations. It says in part, “…each Federal agency shall make achieving Environmental Justice part of its
mission by identifying and addressing, as appropriate, disproportionately high and adverse human health or
environmental effects of its programs, policies, and activities on minority populations and low-income
populations…”
There are three fundamental principles of Environmental Justice:
1. To avoid, minimize, or mitigate disproportionately high and adverse human health and environmental
effects, including social and economic effects, on minority populations and low-income populations.
2. To ensure the full and fair participation by all potentially affected communities in the transportation
decision-making process.
3. To prevent the denial of, reduction in, or significant delay in the receipt of benefits by minority and
low-income populations.
The minority groups that Environmental Justice addresses are Blacks, Hispanics, Asian Americans, American
Indians and Alaskan Natives. Low income is defined as a person whose household income is at or below the
U.S. Department of Health and Human Services poverty guidelines.
A key component is to identify the populations impacted by transportation projects or services and to ensure
they have full opportunity to participate in the decision making process.
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An example of Environmental Justice concerns would be locating a highway through a low income
neighborhood to avoid a more affluent area.
Program Applications and Impacts
Federal Financial Assistance
Application of many of the non-discrimination requirements is dependent upon the receipt of Federal financial
assistance. Federal financial assistance is defined at 49 CFR 21.23 (c). In addition to grants or loans of
Federal funds, it also includes Federal property and the detail of Federal personnel (e.g., a Federal employee
providing training). Because of the Civil Rights Restoration Act of 1987, if a governmental department
receives even one dollar of Federal assistance, then all of the programs and activities of that governmental
department are covered by Title VI. Programs and activities are defined at 49 CFR 21.23 (e) and, in the case
of assistance to a department of State or local government, it includes all of the operations of the department
to which assistance is extended. Therefore, any local government that receives any Federal financial
assistance, whether directly from a Federal agency or indirectly through a State agency, is considered a
recipient, and as a result, must comply with Title VI and the related nondiscrimination requirements.
In contrast, the ultimate beneficiaries of Federal assistance are not defined as recipients of Federal
assistance. For example, people that drive on the roads and bridges built with Federal funding are the
ultimate beneficiaries, but those persons are not prohibited from discriminating simply because they use a
Federally funded project or service. In a related fashion, contractors building a Federal-aid highway project
do not receive Federal assistance. They are simply being paid for work completed. Nevertheless, while such
contractors are not a recipient or subrecipient, they are prohibited from discriminating because of the standard
Title VI assurances included in the contract.
What Title VI Does
• Prohibits entities from denying an individual any service, financial aid, or other benefit.
• Prohibits entities from providing services or benefits that are different or inferior (either in quantity or
quality) to those provided to others.
• Prohibits segregation or separate treatment in any manner related to receiving program services or
benefits.
• Prohibits entities from requiring different standards or conditions as prerequisites for serving individuals.
• Encourages the participation of minorities as members of planning or advisory bodies for programs
receiving Federal funds.
• Prohibits discriminatory activity in a facility built in whole or in part with Federal funds.
• Requires information and services to be provided in languages other than English when significant
numbers of beneficiaries are of limited English speaking ability.
• Requires entities to notify the eligible population about applicable programs.
• Prohibits locating facilities in any way that would limit or impede access to a Federally funded service or
benefit.
• Requires assurance of nondiscrimination in purchasing of services.
Planning and Programming
The planning and programming of projects is a critical step in the delivery of transportation services to the
public. Funding distribution and allocation can have a significant impact on opportunities for all persons.
Those involved in these processes must have knowledge of non-discrimination requirements and how they
impact their work.
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Typical Assurance Activities:
• Take positive steps to identify impacted groups and to ensure full and fair participation by those
groups in the development of the Transportation Improvement Program (TIP).
• Ensure that the planning and programming process results in a program which distributes benefits
and mitigates disparate impacts equitably.
• Address complaints and concerns promptly.
Design and Project Development
The final design of individual projects is what ultimately impacts the public in a positive or negative fashion.
Designers must recognize how non-discrimination affects the conceptual and technical components of a
project.
Typical Assurance Activities:
• Identify minority and low income populations and ensure they have the opportunity for meaningful
participation in the design process.
• Thoroughly examine design alternatives to ensure that environmental justice considerations are
recognized and addressed during route location selection and final design.
• Consistently apply design standards to eliminate, minimize or mitigate adverse impacts among
affected groups and to provide equitable levels of service.
• Provide opportunities for Disadvantaged Business Enterprise (DBE) firms on consultant contracts.
• Ensure that facilities are designed in accordance with current ADA accessibility requirements (for
more information, refer to I.M. 1.080, ADA Requirements).
Right-of-Way
No single element of the transportation system may have a greater impact on people than right-of-way
activities. The taking or use of one’s property can make a major change in their lives. Therefore, people
involved in the right-of-way process must understand and practice non-discrimination in their work.
Typical Assurance Activities:
• Make every effort to ensure clear communications with persons who have limited English proficiency
or who are hearing impaired. This includes the use of interpreters and translators when necessary.
• Appraisal, acquisition, condemnation and relocation procedures must be fair and impartial.
• Provide opportunities for DBE firms on consultant contracts.
Construction
Construction, including the letting and contract award process, provides opportunities for contractors and
impacts property owners. Contract award and administration procedures must be fair and impartial.
Typical Assurance Activities:
• The following activities must be conducted equitably, without regard to race, color, national origin, or
other protected basis: Prequalification of contractors; award of contract, subcontract, or extra work;
level of inspection; enforcement of specifications; and treatment of adjacent property owners and
tenants.
Consultants and Research
Local governments use consultants and other service providers to perform a variety of services. Because of
the Restoration Act, non-discrimination applies to the selection and administration in all of the contracts.
Typical Assurance Activities:
• Provide opportunities and encourage the participation of DBE vendors in all categories of service.
• Fairly and equitably award and administer contracts.
Female/Minority Participation and DBE Goals
Title VI and related statutes require that females and minorities be afforded full opportunity to participate in
covered contracts. Because of the Restoration Act of 1987, all programs and activities of a Federal-aid
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recipient are covered by Title VI, whether those programs and activities are Federally funded or not. Female
and minority contractors must have every opportunity to submit bids and may not be discriminated against in
consideration for award in all contracts, Federal-aid or not. This does not mean that all contracts should have
goals for female/minority participation.
Contract goals are often established as part of the DBE program in order for the Iowa DOT to achieve it's
Annual DBE Goal. It is important to note that the DBE program applies only to Federal-aid contracts. DBE
contract goals must not be established on non-Federal-aid contracts, unless a disparity study has been
conducted to ensure they are warranted.
The Iowa DOT sets goals for construction contracts let through the Iowa DOT. However, for Federal-aid
consultant contracts and locally-let Federal-aid construction contracts, the LPA is responsible for setting goals
for DBE participation, subject to Iowa DOT review and approval. For more information, refer to I.M. 3.710,
DBE Guidelines.
Compliance Actions
The goal of the U.S. Department of Transportation, the FHWA, and the Iowa DOT is voluntary compliance with
non-discrimination requirements. This is achieved through an ongoing process of education, analysis,
implementation, and evaluation. The guidance provided in this I.M. is a first step in the education process. It can
be used to raise awareness among staff of local governments.
However, compliance requires more than simply recognizing these issues exist. Some action must be taken.
The following actions represent the minimum level of effort to achieve compliance; additional actions may be
required depending on the situation:
• Recognize that preventing discrimination is everyone’s responsibility. Share this I.M. and other non-
discrimination information with all staff so they can be aware of the various requirements and work to
achieve compliance.
• Develop and execute a Title VI Agreement or Title VI Plan and the associated Title VI Assurances.
Provide a copy of these documents to the Iowa DOT and include the appropriate Appendices of the Title
VI Assurances in all contracts, agreements, deeds, and permits associated with transportation projects or
programs. See the following sections for additional details on these requirements.
• Include the following standard non-discrimination notification, modified as appropriate, in all solicitations
for bids and in all requests for negotiated agreements associated with transportation projects and
programs, whether they are Federally funded or not:
“The (insert name of LPA), in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42
U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation,
Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally-assisted programs of the
Department of Transportation issued pursuant to such Act, hereby notifies all (insert “bidders” or
“consultants”, as appropriate) that it will affirmatively insure that in any contract entered into pursuant
to this advertisement, minority business enterprises will be afforded full opportunity to submit (insert
“bids” or “proposals” as appropriate) in response to this invitation and will not be discriminated
against on the grounds of race, color, or national origin in consideration for an award.”
• Recognize and respond to LEP issues. Current guidance from U.S. DOT is available on the Federal
Register (FR) at 70 FR 74087 (12/14/05). This includes a four factor analysis to determine the
appropriate response, and defines a “safe harbor” for measuring compliance with written translations.
LPAs may use the Iowa DOT’s LEP Plan as a guide in determining how to comply with the LEP
requirements. In addition, LPAs may utilize the same translation service the Iowa DOT uses for a
nominal fee. For additional information, contact the Civil Rights Section in the Iowa DOT Office of
Employee Services (see information in the “Resources and References” section below).
• Address any complaints. Informal reports of discrimination should be investigated and resolved promptly.
Formal written complaints against a local government must be forwarded to the Civil Rights Administrator,
as shown in the “Resources and References” section below.
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Title VI Plans and Agreements
In accordance with 49 CFR 21.7(b), all recipients of Federal financial assistance, including both prime recipients
and subrecipients, shall have documented methods of administration. This documentation may take the form of
either a Title VI Plan or a Title VI Agreement. The basic purpose of both is to document the LPA’s policy of non-
discrimination and set forth the procedures it will use to assure compliance with Title VI and the related non-
discrimination requirements in its transportation programs and projects. Sample documents for both are available
on the Iowa DOT Title VI subrecipients information web page. Each type of document is further described below.
Title VI Plan
This is required for all LPAs and other subrecipients with a population of 250,000 or greater. This document
comprehensively addresses how an LPA will achieve compliance with Title VI and the associated non-
discrimination requirements. It includes the following components:
• a signed policy statement by an appropriate LPA official,
• a description of its staffing and organization, including the name and contact information of its Title VI
Coordinator,
• a detailed description of how it implements its Title VI program,
• its discrimination complaint procedures,
• its procedures for review of its second-tier subrecipients, if any,
• a description of implementation activities in specific program areas,
• a copy of its notice to the public concerning its responsibilities to comply with Title VI, and
• a signed Title VI Assurance, including the referenced Appendices, and
• detailed reporting requirements.
Title VI Agreement
This is required for all LPAs and other subrecipients with a population of less than 250,000. This is similar to
a Title VI Plan, but includes less detail. It includes the following components:
• a signed policy statement by an appropriate LPA official,
• a description of its staffing and organization, including the name and contact information of its Title VI
Coordinator,
• a general description of how it implements its Title VI program,
• its discrimination complaint procedures,
• a list of sanctions that may be imposed by the Iowa DOT for non-compliance, and
• a signed Title VI Assurance, including the referenced Appendices.
Title VI Assurances
A signed Standard DOT Title VI Assurances, including the appendices, is required to receive Federal financial
assistance. The assurances should be included as an attachment to the Title VI Plan or Title VI Agreement.
LPAs shall use the Standard DOT Title VI Assurances provided on the Iowa DOT Title VI subrecipients
information web page. These documents shall not be modified except in the Appendices where indicated. Each
is further described below:
Standard DOT Title VI Assurances
This document recites the legal basis for the Title VI and associated non-discrimination requirements,
including citations to the applicable laws, regulations, and executive orders. It also lists some specific actions
the LPA agrees to take as a condition of receiving Federal funds.
This document also references several appendices which contain specific clauses that are to be included in
all of its contracts, agreements, deeds, licenses, permits, or similar instruments, regardless of what funds are
used to pay for them, that are related to transportation programs and projects. The language in the
referenced appendices shall be included verbatim and may be changed only as needed to insert the LPA’s
name, or as otherwise indicated. The application of each appendix is explained below:
Appendix A
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The contract provisions shall be included in all contracts or agreements entered into by the LPA with another
entity for the purpose of carrying out LPA transportation projects and programs. For construction contracts let
through the Iowa DOT, this language is already included in the Iowa DOT Standard Specifications, therefore
no action by the LPA is required. However, for other types of contracts or agreements, the LPA is responsible
to ensure these contract provisions are included. Examples of such contracts or agreements include:
• Construction contracts, including prime contracts, subcontracts, and vendor or supplier agreements.
• Consultant agreements for performance of work in connection with transportation projects, such as
environmental studies, design, or construction inspection.
• Transportation research agreements with colleges, universities, or other institutions.
• Fee appraiser and fee attorney contracts in connection with the acquisition of property rights for
transportation projects.
• Contracts between the LPA and a contractor for relocation of utilities.
Note: If the relocations will be performed by the utility company or a contractor it hires, Appendix A
does not need to be included in the agreement between the LPA and the utility, or in the contract
between the utility and its contractor.
Appendix B
This includes certain clauses that must be included in any deed that effects or records the transfer of real
property, structures or improvements located on such property, or interests in such property from the United
States to the LPA. In other words, these clauses must be included only when acquiring property or property
rights owned by the Federal government.
Appendix C
This includes certain clauses that must be included, as a covenant running with the land, in all deeds,
licenses, leases, permits, or similar instruments entered into by the LPA with other parties for either of the
following purposes:
(a) for the subsequent transfer of real property acquired or improved by a project or program that
received Federal funds from the Iowa DOT; or
(b) for the construction, use of, or access to real property that is acquired or improved by a project or
program that received Federal funds from the Iowa DOT.
An example of situation (a) above would be where an LPA sells some excess right-of-way that was originally
acquired as part of a Federally funded highway project to an adjacent land owner. In this case, the
appropriate clauses of Appendix C would need to be included in the deed effecting this transfer. Other
examples of this situation include:
• Transfer of jurisdiction agreements between the LPA and another jurisdiction where the property will
continue to be used for transportation purposes.
• Transfer of ownership for an historic railroad depot to another entity for renovation, use, and
continued maintenance as an historic transportation facility.
An example of situation (b) above would be where an LPA acquires some property rights (either by fee title,
permanent, or temporary easement) from a private property owner as part of a Federally funded highway
project. Other examples of this situation include:
• Leases and property management agreements to allow others to use or manage property that has
been acquired by the LPA for transportation purposes, but is not yet being used for a transportation
purpose (for example, advance right-of-way acquisitions).
• Air space agreements
• Railroad agreements
• Utility agreements (when acquiring property interests held by a utility)
Examples of when the assurances of Appendix C would not extend beyond the duration of the deed, license,
permit, or agreement include:
• Pit agreements
• Stockpiling agreements
• Encroachment agreements
• Relocation agreements
• Determination of vacation and abandonment
• Quit claim deeds
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• Borrow agreements or royalty contracts with property for obtaining materials
• Warranty deeds
Reversionary Clauses
Both Appendix B and C contain reversionary clauses which are marked with an asterisk (*). As indicated in
these appendices, the reversionary clauses only need to be included when necessary to carry out the Title VI
requirements. However, removal of the reversionary clauses can only be made with approval of the United
States Department of Transportation General Counsel. Therefore, the Iowa DOT recommends LPAs always
include these clauses.
Duration of Title VI Assurances
The Title VI assurances remain effective for as long as Federal financial assistance is extended to the LPA,
except when the Federal financial assistance is to provide, or is in the form, of, personal property, or real
property or interest therein or structures or improvements thereon, the assurances remain effective for
whichever of the following periods is longer:
a) as long as the property is used for the purpose for which the Federal financial assistance was
extended, or
b) as long as the LPA retains ownership of the property.
For transportation facilities constructed or improved with Federal funds, this means the assurances continue
to apply, even after the Federal funding assistance provided for the particular facility or improvement
terminates. As long as that transportation facility is owned and operated by the LPA, the assurances remain
applicable.
Execution and Updates to Title VI Documents
The Title VI Assurance and Title VI Plan or Agreement documents should be signed by the head of the local
agency. For cities, this is the mayor; for counties, this is the chair of the board of supervisors. However, an
LPA may, by resolution of the city council or board of supervisors, delegate this authority to the head of the
LPA’s department or division which is responsible for its transportation programs and projects. This may be
the public works director, city engineer, or county engineer.
The Title VI Assurances shall be updated each time the head of the agency changes, or every 5 years,
whichever is less.
The Title VI Agreement or Plan shall be updated whenever there are substantive organizational or policy
changes that affect how the LPA complies with the Title VI requirements.
New or updated Title VI documents shall be sent to the Title VI Specialist in the Iowa DOT Office of Employee
Services, Civil Rights Section, at the address shown in the “Resources and References” section below.
Electronic submittals in Adobe Acrobat’s Portable Document Format (PDF) format are encouraged and may
be sent to Nikita.Rainey@dot.iowa.gov.
Subrecipient Monitoring for Title VI Compliance
To assure LPAs are in compliance with Title VI with respect to their transportation programs and projects, the
Iowa DOT conducts reviews of LPAs before and after the award of a grant for Federal financial assistance. Each
process is further described below:
Pre-grant Reviews
All LPAs and other entities that are subrecipients of Federal funding provided through the Iowa DOT must
prepare and execute the Standard DOT Title VI Assurances and either a Title VI Plan or Title VI Agreement,
as applicable. The Iowa DOT will not provide an agreement for Federal funding assistance to an LPA until
after it has received copies of these documents. The pre-grant review process involves the following steps:
1. Before sending a Federal funding agreement to an LPA, the Iowa DOT Administering Office will verify
that a signed Title VI Plan or Title VI Agreement, including the Standard DOT Title VI Assurances, is
on file with the Iowa DOT.
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2. If the required Title VI documents are not on file, or if the Standard DOT Title VI Assurances have not
been updated within the last 5 years, the Administering Office will notify the LPA that a Title VI Plan or
Agreement, as applicable, and the Standard DOT Title VI Assurances must be received by the Iowa
DOT before the Federal funding will be executed by the Iowa DOT. The notice will also provide the
web site where the template documents for the Title VI Plan, Agreement, and Standard DOT
Assurances may be accessed. The Administering Office will also provide a copy of this notice to the
Title VI Specialist in the Iowa DOT Office Employee Services, Civil Rights Section.
3. The LPA shall develop or update the Title VI Plan or Agreement, as applicable, including the
Standard DOT Title VI Assurances, and provide a copy of the signed documents to the Iowa DOT
Title VI Specialist.
4. Upon receipt of the Title VI documents, the Iowa DOT Title VI Specialist will provide written
confirmation to the LPA that the required documents have been received. The Iowa DOT Title VI
Specialist will also provide a copy of this confirmation to the Iowa DOT Administering Office.
5. After receipt of this confirmation, the Administering Office will send the Federal funding agreement
with the LPA.
Post-grant Reviews
The Iowa DOT Title VI Specialist conducts regular reviews of LPAs and other subrecipients of Federal
assistance provided by the Iowa DOT.
These reviews may be conducted either on site or by means of a desk review. A desk review will consist of a
review of the LPA’s Title VI documentation to determine compliance. An on-site review will consist of a
review of the required Title VI documentation and an interview with the LPA’s Title VI Specialist and other
associated staff.
To assist LPAs with these reviews, the Iowa DOT has developed several tools, checklists, and sample
documents for use by the LPA and other subrecipients. To access these documents, refer to the Title VI
Subrecipients web page.
Resources and References
Iowa DOT Civil Rights Web Site – Information about the Iowa DOT’s Civil Rights Program, including resources
and publications for Title VI, ADA, Affirmative Action / Equal Employment Opportunities, LEP, and more.
Questions about the Iowa DOT’s Civil Rights Program and associated resources should be directed as indicated
below:
Civil Rights Administrator
Office of Employee Services, Civil Rights Section
Iowa Department of Transportation
800 Lincoln Way, Ames, IA
515-233-7970
28 CFR 35 – Department of Justice’s regulations governing nondiscrimination on the basis of disability in state
and local government services
49 CFR 21 – United States Department of Transportation’s regulation on implementing Title VI of the Civil Rights
Act of 1964
23 CFR 200 – Federal Highway Administration’s regulation on implementing Title VI of the Civil Rights Act of
1964
Federal Highway Administration Office of Civil Rights webpage – This webpage also provides links to several
resources related to some specific areas of Title VI compliance, including:
Executive Order 12898, Environmental Justice
Executive Order 13166, Limited English Proficiency
Americans with Disabilities Act (ADA) Questions and Answers
United States Access Board – A Federal Agency Committed to Accessible Design