[Federal Register Volume 65, Number 98 (Friday, May 19, 2000)]
[Rules and Regulations]
[Pages 31803-31805]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-12590]



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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

23 CFR Parts 450 and 771

49 CFR Parts 619 and 622

Federal Transit Administration


Policy Guidance Concerning Application of Title VI of the Civil 
Rights Act of 1964 to Metropolitan and Statewide Planning

AGENCIES: Federal Highway Administration (FHWA), and Federal Transit 
Administration (FTA), DOT.

ACTION: Notice of policy.

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SUMMARY: This document publishes guidance regarding the implementation 
of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-2000d-4) 
concerning nondiscrimination in federally assisted programs, in 
metropolitan and statewide planning. This guidance was previously 
issued on October 7, 1999, as a memorandum to FTA Regional 
Administrators and FHWA Division Administrators, and is printed in its 
entirety.

FOR FURTHER INFORMATION CONTACT: For application to metropolitan 
planning, Mr. Sheldon M. Edner, FHWA, (202) 366-4066 or Mr. Charles 
Goodman, FTA, (202) 366-1944. For application to statewide planning, 
Mr. Dee Spann, FHWA, (202) 366-4086 or Mr. Paul Verchinski, FTA, (202) 
366-1626. All are located at the U.S. Department of Transportation, 400 
Seventh Street, SW., Washington, DC 20590-0001. Office hours are from 
7:45 a.m. to 4:30 p.m., e.t., Monday through Friday, except Federal 
holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access

    An electronic copy of this document may be downloaded by using a 
computer, modem and suitable communications software from the 
Government Printing Office's Electronic Bulletin Board Service at (202) 
512-1661. Internet users may reach the Office of the Federal Register's 
home page at http://www.nara.gov/fedreg and the Government Printing 
Office's web page at http://www.access.gpo.gov/nara.
(Authority: 23 U.S.C. 315; 49 CFR 1.48 and 1.51)

    Issued on: May 9, 2000.
Nuria I. Fernandez,
Acting Administrator.

Kenneth R. Wykle,
Federal Highway Administrator.

    The guidance memorandum reads as follows:

Date: October 7, 1999.
Subject: ACTION: Implementing Title VI Requirements in Metropolitan and 
Statewide Planning
From: Gordon J. Linton, Administrator, FTA
Kenneth R. Wykle, Administrator, FHWA
To: FTA Regional Administrators
    FHWA Division Administrators

Background

    The purpose of this memorandum is to issue clarification to you in 
implementing Title VI of the 1964 Civil Rights Act (42 U.S.C. 2000d-1) 
and related regulations, The President's Executive Order on 
Environmental Justice, the U.S. DOT Order, and the FHWA Order.
    Title VI states that ``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.'' Title VI bars intentional discrimination as 
well as disparate impact discrimination (i.e., a neutral policy or 
practice that has a disparate impact on protected groups).
    The Environmental Justice (EJ) Orders further amplify Title VI by 
providing that ``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.''
    Increasingly, concerns for compliance with provisions of Title VI 
and the EJ Orders have been raised by citizens and advocacy groups with 
regard to broad patterns of transportation investment and impact 
considered in metropolitan and statewide planning. While Title VI and 
EJ concerns have most often been raised during project development, it 
is important to recognize that the law also applies equally to the 
processes and products of planning. The appropriate time for FTA and 
FHWA to ensure compliance with Title VI in the planning process is 
during the planning certification reviews conducted for Transportation 
Management Areas (TMAs) and through the statewide planning finding 
rendered at approval of the Statewide Transportation Improvement 
Program (STIP).
    This memorandum serves as clarification pending issuance of revised 
planning and environmental regulations.

Requested Action

    We request that during certification reviews you raise questions 
that serve to substantiate metropolitan planning organization (MPO) 
self-certification of Title VI compliance. Suggested questions are 
attached. Also attached are a series of actions that could be taken to 
support Title VI compliance and EJ goals, improve planning performance, 
and minimize the potential for subsequent corrective action and 
complaint.
    Statewide planning is also subject to the same Title VI legislative 
requirements as the metropolitan planning process. The FHWA division 
offices, jointly with FTA regional offices, should review and document 
Title VI compliance when making the TEA-21 required finding that STIP 
development and the overall planning process is consistent with the 
planning requirements.
    In part, the purpose of asking the questions attached to this 
memorandum is to review the basis upon which the annual self-
certification of compliance with Title VI is made. The metropolitan 
planning certification reviews in TMAs and STIP findings offer an 
opportunity to FHWA and FTA staff to verify the procedures and 
analytical foundation upon which the self-certification is made. If it 
becomes evident that the self-certification was not adequately 
supported, a corrective action is to be included in their certification 
report to rectify the deficiency.
    The FHWA's and FTA's Division and Regional Administrators should 
involve their respective civil rights staffs in the EJ and Title VI 
portions of the metropolitan planning certification reviews in TMAs and 
statewide planning findings.

Forthcoming Planning Regulations

    As you know, FHWA and FTA are preparing to revise the planning (23 
CFR 450 and 49 CFR 619) and environmental (23 CFR 771 and 49 CFR 622) 
regulations. In these rulemakings and subsequent documents, we will 
propose clarifications and appropriate procedural and analytical 
approaches for more completely complying with the provisions of Title 
VI and the Executive Order on Environmental Justice. Specifically, the 
proposals will focus on

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public involvement strategies for minority and low-income groups and 
assessment of the distribution of benefits and adverse environmental 
impacts at both the plan and project level.
    If you have questions on metropolitan applications of this 
memorandum, please contact Sheldon M. Edner, Team Leader, Metropolitan 
Planning and Policies, FHWA, (202) 366-4066; or Charlie Goodman, 
Division Chief, Metropolitan Planning, FTA (202) 366-1944. On statewide 
applications, please contact Dee Spann, Team Leader, Statewide 
Planning, FHWA; (202) 366-4086; or Paul Verchinski, Chief, Statewide 
Planning, FTA, (202) 366-1626.

Assessing Title VI Capability--Review Questions

September 1999

    Discussion of these important issues will be held as part of 
planning certification reviews, and the discussion will be held as part 
of statewide planning findings that are made as part of Statewide 
Transportation Improvement Program (STIP) approval. These questions are 
offered as an aid to reviewing and verifying compliance with Title VI 
requirements:

1. Overall Strategies and Goals

     What strategies and efforts has the planning process 
developed for ensuring, demonstrating, and substantiating compliance 
with Title VI? What measures have been used to verify that the multi-
modal system access and mobility performance improvements included in 
the plan and Transportation Improvement Program (TIP) or STIP, and the 
underlying planning process, comply with Title VI?
     Has the planning process developed a demographic profile 
of the metropolitan planning area or State that includes identification 
of the locations of socio-economic groups, including low-income and 
minority populations as covered by the Executive Order on Environmental 
Justice and Title VI provisions?
     Does the planning process seek to identify the needs of 
low-income and minority populations? Does the planning process seek to 
utilize demographic information to examine the distributions across 
these groups of the benefits and burdens of the transportation 
investments included in the plan and TIP (or STIP)? What methods are 
used to identify imbalances?

2. Service Equity

     Does the planning process have an analytical process in 
place for assessing the regional benefits and burdens of transportation 
system investments for different socio-economic groups? Does it have a 
data collection process to support the analysis effort? Does this 
analytical process seek to assess the benefit and impact distributions 
of the investments included in the plan and TIP (or STIP)?
     How does the planning process respond to the analyses 
produced? Imbalances identified?

3. Public Involvement

     Does the public involvement process have an identified 
strategy for engaging minority and low-income populations in 
transportation decisionmaking? What strategies, if any, have been 
implemented to reduce participation barriers for such populations? Has 
their effectiveness been evaluated?
     Has public involvement in the planning process been 
routinely evaluated as required by regulation? Have efforts been 
undertaken to improve performance, especially with regard to low-income 
and minority populations? Have organizations representing low-income 
and minority populations been consulted as part of this evaluation? 
Have their concerns been considered?
     What efforts have been made to engage low-income and 
minority populations in the certification review public outreach 
effort? Does the public outreach effort utilize media (such as print, 
television, radio, etc.) targeted to low-income or minority 
populations? What issues were raised, how are their concerns 
documented, and how do they reflect on the performance of the planning 
process in relation to Title VI requirements?
     What mechanisms are in place to ensure that issues and 
concerns raised by low-income and minority populations are 
appropriately considered in the decisionmaking process? Is there 
evidence that these concerns have been appropriately considered? Has 
the metropolitan planning organization (MPO) or State DOT made funds 
available to local organizations that represent low-income and minority 
populations to enable their participation in planning processes?

Guidance:

Assessing Title VI Capability--FTA/FHWA Actions

Environmental Justice in State Planning and Research (SPR) and Unified 
Planning Work Programs (UPWPs)

    At a minimum, FHWA and FTA should review with States, MPOs, and 
transit operators how Title VI is addressed as part of their public 
involvement and plan development processes. Since there is likely to be 
the need for some upgrading of activity in this area, a work element to 
assess and develop improved strategies for reaching minority and low-
income groups through public involvement efforts and to begin 
developing or enhancing analytical capability for assessing impact 
distributions should be considered in upcoming SPRs and UPWPs.

Review Public Involvement Efforts During Certification Reviews for 
Title VI Consistency

    In many areas, room for improvement exists in public involvement 
processes regarding engagement of minority and low-income individuals. 
It is appropriate to review the extent to which MPOs and States have 
made proactive efforts to engage these groups through their public 
involvement programs. Further, FHWA and FTA should review the record of 
complaints or concerns raised regarding Title VI in the planning 
process under review. During the on-site element of the metropolitan 
certification review, the public involvement process, now required by 
statute, should make a special effort to engage and involve 
representatives of minority and low-income groups to hear their views 
regarding changes to and performance of the planning process.

Options for FHWA/FTA Metropolitan Certification Review Actions

    (1) FHWA and FTA should seek to determine what, if any, processes 
are in place to assess the distribution of impacts on different socio-
economic groups for the investments identified in the transportation 
plan and TIP. If the planning process has no such capability in place, 
there needs to be further investigation as to how the MPO is able to 
annually self-certify its compliance with the provisions of Title VI.
    (2) If no documented process exists for assessing the 
distributional effects of the transportation investments in the region, 
the planning certification report should include a corrective action 
directing the development of a process for accomplishing this end. This 
will

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serve to put the process on notice regarding existing requirements and 
prepare it for future regulatory requirements. If a minimal effort is 
in place, FHWA and FTA should encourage the planning process 
participants to become familiar with the provisions of the Executive 
Order on Environmental Justice and identify needed improvements based 
on the Order.
    (3) If no formal evaluation of the public involvement process has 
been conducted per the requirement for periodic assessment (see 23 CFR 
450.316(b)), a corrective action to conduct an evaluation should be 
included in the certification report. The formal evaluation should, at 
a minimum, assess the effectiveness of efforts to engage minority and 
low-income populations through the local public involvement process. If 
the MPO or State has conducted a public involvement evaluation, FHWA 
and FTA should determine whether the involvement of minorities and low-
income individuals has been addressed and what strengths and 
deficiencies were identified. Recommended improvements or corrective 
actions for the certification report or STIP findings can be tied to 
the results of the MPO's or State's public involvement evaluation.

[FR Doc. 00-12590 Filed 5-18-00; 8:45 am]
BILLING CODE 4910-22-P