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									                   TITLE VI PROGRAM ANNUAL ELEMENT UPDATE
                          FEDERAL FISCAL YEAR 2000-2001

The Title VI Program Annual Element Update reports the accomplishments for the past year,
October 1, 2000 through September 30, 2001, and goals for the upcoming year, October 1, 2001
through September 30, 2002. This report is prepared in accordance with 23 CFR, Part 200,
Section 200.9 (b) State actions.

                            CIVIL RIGHTS TITLE VI PROGRAM


Policy Statement                                    Title VI Interdisciplinary Team
The Title VI Policy Statement was renamed           Conducted five meetings in the reporting
and revised to include protections for              period. Representatives of Federal Highway
disability and age discrimination afforded by       Administration (FHWA) were invited and
other nondiscrimination laws under the              attended every meeting. There was a 60
purview of the Title VI Program. It is in the       percent average attendance by Team
Director’s office for signature.                    members representing the following
Organization, Staffing Structure
                                                        Construction     Maintenance
There were no organizational changes to the
                                                        Design           Local Programs
Title VI Program.
                                                        Right of Way     Office Engineer
                                                        Research         Traffic Operations
Title VI Program Plan                                   Civil Rights     Transportation
The Title VI Program coordinated with                                    Planning
Program Area Administrators to develop a                Legal            Procurement and
comprehensive Title VI Program Plan Part                                 Contracts
III. Part III now describes how the programs            Environmental    Project Management
collect and analyze data to eliminate
discrimination and the affirmative measures         The major agenda topics discussed are listed
taken to ensure nondiscrimination. The plan         below:
also identifies when processes will be
implemented if not already in place. The                Title VI Plan, Part III
enhanced Part III was re-submitted to                   Limited English Proficiency
FHWA for approval in September 2001.                    Data Collection
When approved, the plan will be printed,                Title VI and Related Statutes Guidelines
disseminated and implemented statewide.
                                                    The following presentations were delivered
                                                    to the Team members:

                           FEDERAL FISCAL YEAR 2000-2001

   FHWA, Western Resource Center                    project provided great insight into process
    Presentation                                     requirements and application. The review
    delivered by Willie Harris, Civil Rights         instrument and Guidelines are being
    Director                                         finalized to better meet customer needs.
   FHWA, California Division Presentation
    delivered by Lance Yokota, Civil Rights          Title VI and Related Statutes Guidelines
    Manager                                          The Guidelines are designed to assist
   Tribal Governments/Native Americans              Department personnel and sub-recipients to
    Presentation delivered by Cynthia                recognize the need to install processes to
    Gomez, Chief, Native American Liaison            maintain quantifiable proof of compliance
    Branch Division of Transportation                with Title VI. Drafts of the following
    Planning and Lorn ElkRobe, Tribal                guideline components are completed:
    Transportation Liaison, Civil Rights             Introduction; Purpose; Authority; Director’s
                                                     Policy Statement; Organization;
Title VI Program Resource Directory                  Interdisciplinary Approach; Illustration;
A Civil Rights Title VI Program Resource             Roles and Responsibilities—General and
Directory containing pertinent laws,                 Specific; Emphasis Programs: Planning
legislation, executive orders and regulations        Process, Project Development,
governing the implementation of Title VI of          Environmental, Right of Way, Pre-
the Civil Rights Act of 1964 and related             construction Contracts, Construction,
statutes was developed and distributed               Post-construction Maintenance and Other
statewide. This document is updated                  Services. These final draft Guidelines were
quarterly. Its purpose is to provide                 distributed statewide, October 10, 2001, for
transportation officials and staff an                district and program/division input.
understanding of the Civil Rights Title VI
Program mandates, authority to carry out             Presentations/Training
monitoring functions and data collection             The Title VI Program Coordinator delivered
requirements.                                        an overview of Title VI Policy and related
                                                     statutes to 45 percent of the Department’s
Pilot Compliance Review Project                      executive management, to a private business
A compliance review of the Planning process,         in San Diego that was building a toll bridge,
in the Stockton District office, was conducted       to participants of the Equal Employment
in April and a report of findings issued in          Opportunity Conference, to the Fifth Annual
May. In June, conducted a compliance                 Tribal Conference and to the Transportation
review of the Division of Transportation             Tribal Academy. The Discrimination
Planning process and issued a report of              Complaint Investigation Unit conducted four
findings in July. Evaluation surveys were            Title VI investigation related training
distributed to 43 of the persons involved in         sessions in Federal Fiscal Year (FFY) 2001.
the pilot including representatives from
Federal Highway Administration and                   Title VI Program staff participated in a five
Federal Transit Administration. The pilot            day course on training module development,

                           FEDERAL FISCAL YEAR 2000-2001

coordinated and conducted three meetings             Complaints
with internal and external training                  There were no formal Title VI complaints
programs to discuss Training for Trainers            filed during the year.
Modules. Developed a Needs Assessment
database to determine specific training              Data Collection and Reporting
                                                     The Title VI Program coordinated cluster
The Title VI investigation process is                meetings with Construction, Maintenance,
discussed as part of the larger discrimination       Design, Local Programs, Office Engineer,
complaint process at conferences, seminars           Right of Way, Research, Traffic Operations,
and Headquarters, District and Regional              Civil Rights, Legal, Environmental,
supervisor and manager orientations. Fifty           Transportation Planning, Procurement and
percent of investigative staff have received         Contracts, Project Management,
formal Title VI training.                            Aeronautics, Mass Transportation and Rail
                                                     to discuss existing data collection activities
                                                     and data required to be collected. Based on
Brochures                                            inconsistencies of data being collected, the
The brochure, ―Caltrans and You, Your                statute requirement and the Department’s
Rights Under Title VI,‖ was revised, printed         assurances, a legal opinion was requested.
and distributed to all District Right of Way         The legal opinion and the Department’s
Agents and manual coordinators.                      assurances state that data collection will
                                                     include race, color, national origin, sex, age
A study of the English proficiency of                and disability. Data collection requirements
California’s population, 5 years and older1          will be issued in the Title VI Program
and the readability statistics2 of the most          Guidelines.
current brochure was conducted. As a result
of the study, the brochure is converted to
fourth grade reading level to be more easily
understood by a larger population. The
revision cleared administrative review and
will be used as the master for translation of
the brochure to alternative non-English

1 U.S. Census Bureau, Population Division,
Education and Social Stratification Branch,
Table 1. Language Use and English Ability ,
Persons 5 Years and Over, by State: 1990
2 Microsoft Word, Flesch-Kincaid Grade


                          FEDERAL FISCAL YEAR 2000-2001


                                                  • Translation to Spanish, Hmong,
Compliance Reviews                                  Cantonese, Cambodian, Korean,
                                                    Armenian, Vietnamese, Russian,
• The Title VI Program will conduct
                                                    Japanese, Portuguese.
  compliance reviews of the following five
  emphasis programs/divisions:
                                                  Performance Measure/Monitoring
   •   Environmental                              • Work with emphasis programs/divisions
   •   Right of Way                                 to develop and implement or improve self-
   •   Construction                                 monitoring activities.
   •   Research
   •   Contracts                                  Technical Assistance
                                                  • Provide ongoing technical assistance to
• Provide technical assistance when                 internal and external customers.
  corrective action is necessary.                 • Maintain an up to date Resource
• Monitor corrective action to ensure               Directory.
  compliance is met.
                                                  • Monitor complaint administration for
• Implement Title VI Guidelines statewide.          prompt investigation and resolution.
• Explore an eighth grade literacy level
  translation as an effort to ensure an
  understanding by a large population.            Data Collection
                                                  • Assist emphasis divisions to develop and
Presentations/Training                              implement data collection mechanisms.
Implement statewide Training for Trainers:
• Field test (Southern, Bay and Northern).
• Title VI Policy overview presentations to       PROGRAM AREA DIVISIONS
  executive management and other
  recipients and subrecipients as required.       The following presents the accomplishments
                                                  and goals reported starting with Division of
Title VI Brochure – “Caltrans and You,            Transportation Planning, followed by the
Your Rights Under Title VI and Related            Divisions of Environmental Analysis, Right
Statutes”                                         of Way, Construction, New Technology and
                                                  Research and Procurement and Contracts.
• Low-literacy translation to fourth grade


                           FEDERAL FISCAL YEAR 2000-2001


Eligible Population Activities and                   intent, especially those provisions that
Studies:                                             address public involvement in decision
                                                     making. For example, an OCP project to
The Office of Transportation Economics
                                                     inventory all of the Department’ PP
initiated the development of statistical
                                                     activities, including those of the Office of
reports that are used to produce economic
                                                     Statewide Planning, will enable the
analyses for travel forecasting. The reports
                                                     development of a more coordinated and
will enable comparisons for transportation
                                                     complete approach to public involvement in
improvements and provide the travel
                                                     all aspects of the Department’s activities. PP
patterns of ethnic, minority, low income,
                                                     inventory process will include planning,
senior and disabled groups. This study is
                                                     programming, right-of-way work,
being monitored through periodic technical
                                                     environmental processing, design, operations
memoranda and person-to-person contact.
                                                     and construction.
Quarterly progress reports are also reviewed.
                                                     The Office of State Planning (OSP)
The Office of Community Planning (OCP)
                                                     contracted with the University of California,
supported studies that provide the ethnic,
                                                     Berkeley to deliver the initial phase of a
minority, low income, senior and disabled
                                                     Trends and Demographic Projection Study to
groups data and address Title VI issues in
                                                     provide data for the California
the form of selection criteria that emphasize
                                                     Transportation Plan (CTP). Included in the
public involvement and affirmative measures
                                                     study is a Geographic Information System
to ensure nondiscrimination. Included
                                                     tool graphically depicting the distribution of
among the selection criteria were:
                                                     Native American, ethnic, minority and low
                                                     income groups based on Census 2000 data.
   The project demonstrates local support by
                                                     The distribution of the demographic groups
    way of specific resolutions/letters of
                                                     will be projected over the next twenty years
    support from regional transportation
                                                     based on California’s past demographic
    planning agencies, city councils, planning
                                                     trends. This data will be used as a
    commissions, county boards of
                                                     framework for the CTP that will enable
    supervisors, and the general public;
                                                     decision makers to better understand the
   The project incorporates a collaborative
                                                     projected changes and trends that will
    planning process with broad participation
                                                     impact future transportation demands in
    from community stakeholders; and
                                                     California. This data may also be used in
   The project is located in an economically
                                                     conjunction with Title VI and Environmental
    disadvantaged, blighted or in-fill area.
                                                     Justice compliance efforts.
OCP’s public participation (PP) activities are
                                                     The Trends portion of this effort will also
relevant to the Department’s overall
                                                     describe the travel needs and behavior of
compliance with Title VI Guidelines and
                                                     ethnic, minority, low income, senior and

                          FEDERAL FISCAL YEAR 2000-2001

disabled groups. Travel behavior coupled            and hearing impaired communication
with the demographic growth and                     services to facilitate obtaining completed
distribution projections will assist planners       surveys from a representative sample of the
to provide for future mobility needs of             population.
specific demographic groups. At least two
presentations will be made specifically about       The demographic information, including
the findings of the study, and local agencies       ethnicity, income levels and disabilities
will be notified once a summary version of          collected as a voluntary activity by
this study is made available to the public on       participants at district CTP Workshops, was
the Internet.                                       delivered to the OSP for analysis. The data
                                                    will be returned to the Districts and
OSP contracted with the UCLA’s Public               compared to available data on the
Policy Extension Program to conduct a               communities in the District. This
symposium and conference to explore the             comparison will assist Districts in
challenges facing California’s future               determining whether the District’s public
mobility. The symposium held in fall of 2000        outreach efforts are reaching all segments of
addressed population growth and                     the population.
distribution, and senior, low income,
minority and ethnic groups travel behavior          The Office of Policy Analysis and Research
and mobility needs.                                 (OPAR) awarded a contract to ICF
                                                    Consulting in June for an Environmental
OSP is sponsoring a series of focus groups          Justice Study. This important study will
and an external customer telephone survey           identify best practices in engaging low
in partnership with the Director’s Office. A        income and minority communities in
series of 54 focus groups are being conducted       transportation planning, transportation
during 2001 including transportation                enhancements that reflect environmental
stakeholders and users. Native American             justice, improving inter-agency relations and
representatives were included in both the           producing a comprehensive desk reference on
stakeholder groups and the user groups. The         environmental justice for state and regional
transportation users were representative of         planners. Both hard copies and electronic
the general public. Participants in each of         files of this desk reference will be shared
the 38 user focus groups represented a              with state, regional, local and community-
diverse range of age, ethnicity, income,            based agencies, so planners and interested
employment status and gender. Translators           citizens have a common understanding of
were available and some of the focus groups         environmental justice. This common
were conducted in Spanish. The focus                understanding will make future planning
groups were filmed and documented.                  and citizen participation more effective. The
                                                    consultant for this study has been directed to
A telephone survey in June 2001 captured            work with diverse community-based
the respondent’s demographic data including         organizations and regional agencies to form
income group, ethnicity, gender and age             an advisory council for the desk reference.
group. The contractor provided translation

                           FEDERAL FISCAL YEAR 2000-2001

OPAR’s Environmental Justice Grant                    purposes.
program is specifically designed to support
issues concerning low income and minorities,          San Joaquin Valley Growth Response Study
including studies and analysis related to             - Fresno District Office received a State
areas listed above. The effort is                     Planning and Research (SPR) grant of
instrumental in advancing Title VI objectives         $325,000. The intent of the study is to
and in demonstrating analytical basis of              integrate transportation/land use planning
Title VI issues.                                      decisions to make effective use of
                                                      transportation infrastructure and resources
OPAR also conducts expert research and                as they respond to high population growth in
analyses in support of the Department’s               the San Joaquin Valley.
mission and strategic objectives. The effort
includes providing information and                    Pedestrian Safety Summit – A workshop,
assistance to policy makers and                       sponsored by the Surface Transportation
transportation communities in support of an           Policy Project (STPP), was held to
inclusive and equitable transportation                investigate street designs and improvements
planning process; sustainable transportation          that could make communities more bicycle
investment and livable communities;                   and pedestrian friendly. Efforts were made
transportation energy efficiency and                  for inclusion of low income, minority
strategic financing; and the regulatory basis         neighborhood associations of southeast,
of planning requirements.                             southwest and central City of Fresno.

Districts                                             Farmworker Transportation – Fresno
The Marysville District Office personnel              District Office received SPR funding to
administered planning funds to the                    conduct the San Joaquin Valley Agricultural
Metropolitan Planning Organizations                   Industries Transportation Study which is
(MPOs)/Regional Transportation Planning               primarily a farmworker transportation
Agencies (RTPAs) for studies that provided            study.
data relative to minority persons,
neighborhoods, income levels, physical                The Boggs Tract Community – A Stockton
environment and travel habits. Sacramento             District Office cooperative effort with the
Area Council of Governments (SACOG)                   San Joaquin Council of Governments
completed the "2000 Sacramento Area                   (SJCOG), San Joaquin County and the City
Household Travel Survey," which is a                  of Stockton – involving ongoing studies of
collection of data on travel characteristics          low income and minority communities
from a sampling of the region's residents.            adjacent to Port of Stockton and the effects of
This data will be used for SACOG's new                increased usage of the port.
Regional Travel Demand Model based on
household level characteristics, which is still       San Diego District Office studies:
in the design phase. Eventually, this model
will provide a tool for forecasting activity-         • Calexico/Mexicali Border Transportation
travel needs for transportation planning                Study

                          FEDERAL FISCAL YEAR 2000-2001

  The goal of the study was to identify
  border crossing improvement concepts             • Provide early and continuing public
  that would improve traffic flow and better           involvement,
  serve the downtown community of                  • Utilize innovative communication tools
  Calexico, California. The City of Calexico           and media,
  is heavily represented by the Hispanic           • Provide adequate public notice,
  and low income communities.                      • Ensure reasonable public access,
• State Route 98 Value Analysis Study              • Go to where the people are, and
  A goal of this project was to identify           • Tailor public involvement to the issues.
  potential project alternatives and receive       The Department, in cooperation with the
  input from the community within the City         MPOs and RTPAs, uses a combination of
  of Calexico and residents of the County of       advisory committees, fully noticed public
  Imperial.                                        hearings, workshops, forums, surveys,
• Imperial County Transit Development              publications, the Internet, public access
  Committee                                        television and focus groups to inform, gauge
  The goal of this effort was to identify          and respond to regional issues and public
  unmet transit service needs for Imperial         questions and concerns. This also includes
  County. The County of Imperial has high          public information meetings associated with
  concentration of low income and minority         Capital Projects.
• Environmental Justice Data Collection            Office of Advance System Planning (OASP)
  To assist in the environmental/project           is in the process of renewing its system
  development process the Planning                 planning guidelines and will include
  Division collects and provides regional          provisions to identify guidelines for public
  and sub-regional data; i.e., ethnic              meetings and informational workshops as a
  composition, dwelling unit type,                 means to seek and convey information on
  homeowners, renters, income levels, etc.         proposed corridor project improvements. As
                                                   part of the ongoing planning processes,
Santa Ana District Office works with               articles in newspapers and public
Southern California Association of                 information notices extend the invitation for
Governments (SCAG) to assure the                   public attendance and participation.
demographic inputs that go into their model        Outreach activities include targeting
are consistent and appropriate for the             presentations to special interest groups for
district and the region.                           their input and participation into the
                                                   continuing planning process.
Public Participation
                                                   Public participation is continuing and
In its statement of principles for public
                                                   extensive in the development of the CTP.
involvement, the Division clearly recognizes
                                                   For 13 months, over 50 statewide and
the importance of place, time and
                                                   regional public workshops are being held.
communication. Following is a recap of the
                                                   Some workshops were scheduled in the
                                                   evening, assistance for the hearing impaired

                           FEDERAL FISCAL YEAR 2000-2001

and translators for the non-English speaking         attendance, from Orange County Council of
were made available. Additionally, the               Governments (OCCOG) lists the Districts’
recent focus groups included sessions in             Public Information Officer and others)
Spanish and Chinese. CTP meetings will               showing interest in various projects, public
include locations within urban or rural              hearings, meetings and plans.
communities. Scheduling considerations
were not restricted to the assumption that           These lists include representatives and
the public will only attend functions in             individuals that are low income, minority,
central or urban areas. Interpreters and             women, Native Americans, elderly (senior
facilitators from the various ethnic groups          centers) and the disabled. Brochures are
participate in CTP meetings, and the                 often printed in Spanish and Braille, when
locations are fully American with Disabilities       appropriate, in an effort to expand
Act (ADA) accessible. CTP developed a                participation. In some cases, flyers were also
Public Participation data collection card,           distributed to transit locations, senior
which they used to capture sex, age,                 centers and social service agencies that
disability, ethnicity, first and second              traditionally provide services to minorities,
language, income and group (such as low              women, elderly, disabled and low income
income or elder population) represented.             citizens. Workshops meet ADA standards.

Other significant Division of Transportation         The Districts also participate in the
Planning (DOTP) activities (the                      workshops for the CTP and have assisted in
Environmental Justice Program and the                developing a database to capture comments
Community Based Planning Program, e.g.)              received during the CTP Public Participation
are addressing location, meeting times and           Program. The database is designed to
translation services.                                answer who, what, when, where and how the
                                                     comment was received and when possible the
Districts                                            demographic groups representative of
District planning meetings and hearings are          persons making comments.
held using Title VI Guidelines to ensure
adequate Title VI participation.
                                                     There was an average of one meeting a
Districts keep mailing lists made up of              month in Tuolumne County for a total of 15
citizens, specific agencies and organizations        that were all Native American related.
(MPO’s, RTPA’s, cities, counties, Chambers           There were a total of six meetings in
of Commerce, County Farm Bureaus,                    Stanislaus, San Joaquin, Amador, and
Building Industry Association, San Joaquin           Calaveras counties that were all Native
Valley Unified Air Pollution Control District,       American related.
The Great Valley Center, Valley Vision,
County of Orange for the different Social            The San Diego District Office Planning
Service Agencies, from Orange County                 Division participated in the following public
Transportation Authority (OCTA) and other            meetings:
transit agencies, past public hearing

                          FEDERAL FISCAL YEAR 2000-2001

• Calexico/Mexicali Border Transportation            CTP Public Participation Program. The
  Study - Three public meetings were held            database will be designed to answer who,
  with approximately 20-25 in attendance             what, when, where and how the comment
  at each meeting.                                   was received, and when possible, the
• State Route 98 Value Analysis Study -              demographic group the person making the
  Four public meetings were held with                comment represents. This work is being
  approximately 20-30 people in attendance           coordinated with the Office of Community
  at each meeting.                                   Planning, which is working on a
• Imperial County Transit Development                Department-wide public participation effort.
  Committee - Two public meetings were
  held with approximately 25-30                      Districts
  representatives in attendance at each              The Districts have used innovative as well as
  meeting.                                           standard methods to ensure public
                                                     participation and track under-represented
Representation at these meetings included            groups including utilizing an electronic
minority and low income residents.                   Audience Response System. Data was
                                                     gathered at the start of CTP workshops
Representation                                       asking which attendees represented certain
                                                     groups: ethnicity, income, disability, age and
The Division of Planning has not collected
                                                     rural/urban populations. Other District
nor maintained statistics which would allow
                                                     efforts included sign-in sheets or cards.
identification of what communities
                                                     District staff contacted Valley Vision,
(minorities, women, elderly, disabled and low
                                                     MPOs/RTPAs and Community-Based
income) were represented at public
                                                     Organizations (CBOs) in their regions for
meetings/hearings. However, this
                                                     their mailing lists and distributed press
information must be obtained (on a
                                                     releases. In addition, listings of community
voluntary basis) and analyzed so we are
                                                     organizations, Asian, African-American,
devising methods to accommodate this
                                                     Hispanic communities and women’s
requirement. At the upcoming Grant
                                                     organizations (Metro Ministry, Latino Issues
Workshops, OCP will ask workshop
                                                     Forum, El Concilio de Fresno, League of
participants to volunteer information about
                                                     Women Voters and Proteus) were used. Also
their race, gender, income status, etc.
                                                     used were directories of Native American
                                                     Tribes-State of California, Department of
OSP maintains a contact database for the
                                                     Housing and Community Development,
purpose of developing the CTP. The
                                                     California Indian Assistance Program, 2000
database currently includes over 1,800
                                                     Field Directory of the California Indian
listings with all of the California Tribal
                                                     Community and a Fresno District Office
Governments and numerous organizations
                                                     Native American Advisory Committee
representing minority, ethnic, low income,
                                                     compilation of Indian communities and
senior and disabled communities. The
                                                     organizations throughout the five counties in
database will be modified by the end of 2001
                                                     the Fresno District Office. Many districts
to capture comments received during the
                                                     are now compiling databases for future

                          FEDERAL FISCAL YEAR 2000-2001

public participation efforts. Some districts         letters were sent to each of these agencies
and Headquarters staff performed a visual            asking them three questions as specified in
identification to ensure adequate                    the Circular. These questions were to
representation of low income, minority and           provide:
disabled groups. In a few instances, pictures
are taken of attendees and kept in project           • A list of active lawsuits or complaints
files. Notes of comments are taken at                  naming the MPO/RTPA or sub-recipient
meetings. Some districts have and will                 which alleges discrimination on the basis
continue to use public opinion or direct               of race, color or national origin.
follow-up surveys as a method for measuring          • A description of all pending applications
the benefit or success of their outreach               for Federal assistance from all Federal
programs.                                              agencies.
                                                     • A summary of all civil rights compliance
This data helps provide information on how             review activities conducted in the last
well the Districts’ Title VI outreach efforts          three years. The summary should include
worked in gathering input from groups                  the following: the purpose or reason for
historically underrepresented in                       the review; the name of the agency or
transportation planning efforts such as the            organization that performed the review; a
CTP and Transportation Concept Reports.                summary of the findings and
OASP currently monitors the district system            recommendations of the review; a report
planning activities through quarterly and              on the status and/or disposition of such
annual work program reporting documents,               findings and recommendations.
both electronically and in hard copy. OASP
is planning to update its electronic                 The Office of Regional and Interagency
monitoring and reporting methodologies and           Planning (ORIP) will compile and
procedures and will be integrating them              summarize the MPO/RTPA responses.
within the context of updating the system            These responses are due by
planning guidance documents, of which Title          September 30, 2001. Once the summary is
VI will be one of several new components             prepared, it will be sent to FTA Region IX
included within the updated Guidelines.              Civil Rights Officer.

Self-Monitoring                                      The Office of Project and Plan Coordination
                                                     (OPPC) will monitor the District work
UMTA (now Federal Transit Administration
                                                     programs for compliance with Title VI.
(FTA)) Circular 4702.1 ―Title VI Program
Guidelines for Urban Mass Transportation
                                                     OPPC will verify that the System Planning
Administration Recipients‖ specifies every
                                                     section of the PIDs describes Title
three years, states will prepare a Title VI
                                                     VI/environmental justice issues presented in
summary for all MPOs/RTPAs receiving FTA
                                                     the system planning documents. Complete
Section 5303 and 5313(b) funds. These funds
                                                     identification of and resolution of Title
are administered through this Office by the
                                                     VI/environmental justice issues should occur
Plan and Grant Liaison Branch. Last July,
                                                     in the project approval/environmental

                           FEDERAL FISCAL YEAR 2000-2001

document phase, if projects are advanced for         American, Hispanic, African-American,
Programming.                                         Asian, the elderly, disabled and women.

OPAR includes in its area of responsibilities        In Los Angeles District Office, the
the Title VI Program Area Administrator.             Community Based Planning unit is using
Those duties include:                                information provided by headquarters (HQ)
                                                     OCP to emphasize public involvement and
• DOTP representative on the Title VI                affirmative measures to ensure
  Interdisciplinary Team.                            nondiscrimination in issuance of grants.
• Actively reaching out to the 12 Districts          Such HQ guidance ensures a collaborative
  in the Department to support and                   process with broad participation. Included in
  strengthen Title VI activities and                 grant project selection criteria is the degree
  considerations within the districts.               of support from local citizens, transportation
• Providing assistance during compliance             agencies and locally elected officials.
                                                     Stockton District Office Regional Planning
Districts                                            staff has started reviewing Overall Work
The Community Planning Branch Public                 Plan (OWP) activities and work elements to
Participation Survey was the initial step            ensure that proactive approaches for
Oakland District Office took towards                 community involvement have been
monitoring of District Public Participation          considered in their plans. These activities
activities.                                          are then documented in the form of quarterly
                                                     reports and meeting minutes.
As part of the Districts’ responsibility for
administering federal funds, staff ensure            Training
that each of the MPOs/RTPAs receiving                OCP’s Intergovernmental Review
federal funds complete the annual ―FTA               (IGR)/CEQA unit has provided training for
Certifications and Assurances‖ and                   DOTPs Tribal Academies.
―Metropolitan Transportation Planning
Process Certification.‖ Both require                 The Native American Liaison Branch within
compliance with Title VI and Environmental           ORIP provides assistance to California’s
Justice provisions. Staff also review                Tribal Governments as well as the
MPO/RTPA public participation plans to               Department. The Branch continues to
ensure compliance with Title VI and                  provide the District Offices, MPOs/RTPAs
Environmental Justice requirements.                  with aid in eliminating discrimination
                                                     through facilitation, arbitration and
The compilation prepared for the CTP                 training.
workshops in Fresno District Office has been
the foundation for public participation and          Specific Title VI training has not been
Title VI coordination. The effort to compile         provided by DOTP. However, OPAR will be
this listing was focused on including                providing training to Headquarters Division
underrepresented groups such as Native

                          FEDERAL FISCAL YEAR 2000-2001

of Planning and in all Districts during              Many of the Districts’ staff have attended
2001/02. Also, OPAR’s Environmental                  the Title VI training put on by FHWA last
Justice study includes two workshops, one on         spring. Some districts will provide training
the policy level featuring MPO and state             to staff and others will send staff to FHWA
executives and one on a technical level aimed        training when offered during 2001/02. Some
at state, local and regional agencies as well        District staff will attend the Environmental
as community organizations.                          Justice Workshop planned for fall 2001.

Three Listening Skills classes were provided         Corrective Action
by the San Luis Obispo District Office               The Department’s Civil Rights Title VI
Planning Program to about 65 district                Review Team determined, based on the
employees, covering the need for                     DOTP written and oral responses and
understanding cultural diversity to                  supporting documentation, that the DOTP is
communicate well.                                    in compliance with Title VI of the Civil
                                                     Rights Act of 1964, requirements and related
In Eureka District Office, Planning staff            statutes. They recommended the following
attended and participated in the statewide           improvements:
Native American Transportation Planning
Academy by making presentations on the                  In General:
Transportation Planning Program and                     Revise the DOTP Operations Work Plan
Intergovernmental Review process.                       to include the Core Program Management
                                                        and Support function and related
Eureka District Office provided 23 Enhanced             monitoring activities and performance
Services Training courses to local agencies.            measures. The Title VI Program is
Training sites were ADA compliant and                   looking at the Operations Work Plan as a
invitations and enrollment forms included               monitoring mechanism to: 1) ensure
ADA statements.                                         nondiscrimination of DOTP programs,
                                                        activities and services including grant
Stockton District Office held a training                administration, 2) quantify comparison
session for Department employees on Native              between the actual result and the
Americans.                                              intended result, 3) document performance
                                                        agreements within headquarters and
The recent involvement in Title VI                      district offices.
Compliance Review procedures provided
extensive training opportunities. The                   Improve documenting data collection,
intensive interviews and analyses prepared              analysis and identification of impact and
as a part of the review have re-focused the             resulting decision(s).
Division staff to a new awareness of the
many nuances of Title VI compliance.                    Service Equity:
                                                        As part of Phase 2 of the Trends and
                                                        Demographic Projections study, identify

                        FEDERAL FISCAL YEAR 2000-2001

specific characteristics of ethnic minority           be part of the scope of work and to what
populations and different socioeconomic               degree.
                                                      Complaint Procedures
It is important to know that the elderly              Improve communication with DOTP
population is growing and will be the                 personnel regarding Title VI complaint
largest it has ever been. It is equally               administration. Communicate who the
important to know what the ethnic                     DOTP single point of contact is and the
composition of that projected growth                  role and responsibilities as the DOTP
population will be. This is an example of             Title VI Program Area Administrator.
what we would expect the demographic                  Identify the Discrimination Complaint
analysis to elaborate on.                             Investigation Unit (DCIU) within the
                                                      Office of Equal Opportunity as the
Consider including language                           investigative authority for the
characteristics as a factor of Phase 2 of             Department.
the Trends and Demographic Projections
study.                                                Training
                                                      Supply DOTP staff with a copy of the
Network with other State departments                  Title VI Program's District Title VI
(e.g., Department of Education or                     Liaison listing to assist in providing
Department of Finance) to see if there is             technical assistance at the district level.
a language study and analysis of                      Train DOTP personnel on how to inform
California's population.                              the public of their right to file a complaint
                                                      under Title VI and related statutes.
Public Involvement and Public Hearings                Train Contract Managers on the Title VI
For future public meetings, consider                  contract language requirements and Title
developing and implementing a                         VI Complaint handling process.
mechanism that will capture the
participant’s name, the organization                  Districts
represented, the ethnicity of the                     Note was made of the lack of a database
population that the organization                      for stakeholder agency/individuals in San
represents and the gender and ethnicity               Luis Obispo District Office, particularly
of the individual participant. This                   those who represent Title VI groups. The
mechanism is considered a requirement.                District Director asked staff to develop
However, the information provided is on a             such a database. CPB will complete this
voluntary basis. The form must indicate               by December 2001.
that providing the information is
voluntary.                                         Two Title VI problem areas were identified
                                                   in FY 2000/01 as a result of the Self-
Consultant Contracts                               Evaluation and Review in Bishop District
When studies are conducted, consider               Office. Those items were 1) appropriate
whether demographic analysis needs to              language for meeting notices concerning the

                          FEDERAL FISCAL YEAR 2000-2001

Department’s commitment to Title VI and 2)           • Documentation – when participating,
staff training on Title VI. Appropriate                providing oversight and monitoring the
language was developed and implemented in              RTPAs and MPOs, the District shall
all public meeting notices. Training is being          document their observations,
scheduled for the 2001/02 fiscal year.                 participation and recommendations.
Facilities inspections and Title VI training         • During participation with RTPAs, MPOs,
are scheduled.                                         CBOs and local programs; the District
                                                       shall provide guidance on deficiencies and
Some concerns were voiced by tribal                    recommendations for improvements upon
governments to have input in the                       observation of deficiency/ies. These
development of State highway projects.                 actions shall be documented and placed in
Planning will work with Environmental                  respective plan or project files.
Planning to include tribal concerns as               • The Stockton District Office shall provide
routine work in project development.                   leadership and guidance to regional,
                                                       metropolitan and local agencies to
The former Environmental Planning Office               develop demographic analysis of their
in Los Angeles District Office, which had              areas. The Stockton District Office would
extensive experience in Title VI training,             benefit from a demographic analysis of
became a separate Division. The Planning               their district when conducting planning
and Public Transportation Division would               activities. Proactive alternative language
often rely on Environmental Planning staff             considerations must be considered and
for implementation of Title VI provisions.             documented.
Now the Environmental Planners are                   • Stockton District Office Tribal
advising Division employees on the                     Government relations need to be
implementation of Title VI.                            nurtured toward improvement,
                                                       specifically at the scoping stage and
Stockton District Office Planning Division             during short-term and long-term
was reviewed for Title VI compliance in April          planning activities. Emphasis on verbal
2001 by the Department Civil Rights Title VI           communications is strongly encouraged to
Program. At the exit interview, the Title VI           address or clarify written correspondence
review team determined, based on the                   regarding issues affecting Tribal
District’s written and oral responses and              Governments. All actions and activities
supporting documentation, that the District            must be documented. Accountability for
is in compliance with Title VI of the Civil            Tribal Government relations shall be at
Rights Act of 1964.                                    the District Management level.
                                                     • The Stockton District Office management
                                                       shall direct the identification of a single
                                                       point of contact (SPC) for Title VI
Suggestions for enhancing the District                 complaints. The District’s SPC shall:
Planning program included:
                                                        • Work closely with the Central Region
                                                          Title VI Liaisons;

                           FEDERAL FISCAL YEAR 2000-2001

   • Maintain a log of telephone inquiries           themes, concepts, requirements and case
     and/or personal contacts regarding              studies in EJ for interested parties
     Title VI issues;                                throughout the state. The brochure and
   • Direct training to educate staff on the         bulletin will be distributed widely by mail
     District SPC and the Title VI complaint         and email within the Department and with
     handling process; and                           local and regional planning agencies that
   • The District shall ensure that the              have contacts with CBOs. The information
     District SPC is trained on complaint            will also be posted on DOTP’s website.
                                                     OPAR prepared a Director's Policy to
San Diego District Office Planning Division          establish a foundation for integrating the
has identified the need for more staff to be         concepts of EJ into our plans, projects and
trained in Title VI law as well as techniques        activities. OPAR shared drafts of the Policy
for implementing their outreach activities.          for comment within the Planning, Title VI
The Planning Division will be working with           and Environmental Programs. The Policy
their District Equal Employment Office to            was submitted to the Office of Program
carry out future training for Division               Evaluation and Analysis (OPEA) for formal
personnel. The District will participate in          review and circulation within the
the Title VI Program Training when                   Department. The Planning Program has a
scheduled.                                           review process in place and used it for the
                                                     Director's Policy.
Major Accomplishments
The entire Division’s emphasis on public             OPAR assists planning and modal programs
involvement and community based planning             and the Districts to integrate EJ into
is consistent with the legislative intent of         transportation planning processes through
Title VI.                                            the EJ Grant Program and an
                                                     Interdisciplinary Title VI Team which meets
The Native American Indian Branch drafted            once a month and includes staff from the
Director’s Policy (19) – Working with Native         Office of Civil rights. OPAR also has the
American Communities. This was signed by             lead in Title VI training and support for the
the Director on August 29, 2001. This policy         Division of Transportation Planning and the
concerns the relationship between the                Districts. The Program Area Administrator
Department and the Tribal Governments. It            for the Division is part of OPAR.
calls for respect and sensitivity in all
dealings with Native Americans.                      Districts
                                                     Eureka District Office coordinated proposed
OPAR has prepared a brochure on                      mitigation efforts on Indian Island with
Environmental Justice (EJ) to promote its            tribal representative and explored options
concepts within the Planning Program and             for joint eel grass mitigation.
the Department. A bulletin will be published
periodically of EJ activities within the             Major accomplishments have been in the
Department that will highlight important             area of coordination with the Tribal

                          FEDERAL FISCAL YEAR 2000-2001

Governments in the Fresno District Office.           development along SR 63 and its intersecting
Efforts have been made with all of the               streets in downtown Cutler and Orosi; 2)
RTPAs and MPOs to establish government-              explore enhancements to SR 63 and other
to-government relationships between the              major roads which would provide for the
Tribal Governments and the regional and              needs of both regional (vehicular) and local
local governments. Success is most notable           (multi-modal) transportation users. The
with the Kings County Association of                 area is primarily Mexican/Chicano, low
Governments where the Santa Rosa Tachi               income, farmworker populations.
Rancheria Tribe is now part of the Technical
Advisory Committee, and there are                    Coordinated efforts with Tulare County
coordinating efforts involving the Tulare            Association of Governments, Fresno County
County Association of Governments, Tulare            Council of Governments, Kings County
County and the Department to address the             Association of Governments, Kern County
Tule River Indian Tribe’s concerns related to        Council of Governments for the inclusion of
the State Route (SR) 190 and Reservation             tribes and Indian communities in the
Road intersection. The work is aimed at              transportation planning process. Efforts
establishing and maintaining positive                proved successful for the inclusion of the
government-to-government relationships               Santa Rosa Tachi Indian Rancheria Tribe in
among the jurisdictions.                             the Kings County Association of
                                                     Governments Technical Advisory Committee.
The District was also involved in the
coordination for the Job Access and Reverse          Stockton District Office Planning staff is
Commute funded transportation project for            initiating an effort to establish government-
farmworkers in Kings, Tulare, Kern and               to-government relations with Native
Fresno counties. Headquarters recognized             American groups, specifically with three
the value of the efforts started by Fresno           federally recognized tribes this fiscal year.
District Office and conducted a statewide—           The following are examples of the steps the
rather than a regional—study in March                District is working on:
2001. The farmworker population generally
falls in the categories of Hispanic and low          • Improve communication with the tribes
income communities. It is important to note            and develop a strategy to establish a
the indigenous groups of Mexico such as the            Memorandum of Understanding (MOU)
Mixtecos, Zapotecos, Purepechas are low                with each federally recognized tribe.
income farmworker communities in the San             • Hired a full time Cultural Resources
Joaquin Valley.                                        Coordinator to deal with cultural resource
                                                       issues with tribal governments, other
Cutler Orosi Community Design Charrette                Native American communities and
on SR 63 – Fresno District Office received an          interested parties.
SPR grant of $52,000 through OCP. The                • Hired a part-time Native American
intent is to: 1) create a broad, community-            Liaison to direct issues to the appropriate
based vision for the design of future                  program within the Department.
industrial, commercial and retail

                          FEDERAL FISCAL YEAR 2000-2001

Stockton District Office, in partnership with
regional and local partners, accomplished the        In addition, San Diego District Planning
speedy delivery of Roosevelt School                  Division was successful in carrying out the
Soundwall Project with the SJCOG for                 following activities/studies:
environmental and safety considerations of a
school in a low income area of Stockton. The         • Calexico/Mexicali Border Transportation
South Stockton Hwy 99 widening projects /              Study
SR 99 Major Investment Study (MIS) with              • California Transportation Plan 2025
SJCOG; the SR 132 Corridor-West Modesto              • San Diego District Public Opinion Survey
public involvement effort and the SR 132             • State Route 98 Value Analysis Study
MIS with the Stanislaus Council of                   • Environmental Justice Data Collection
Governments (StanCOG) involved extensive
public involvement meetings.                         Santa Ana District Office participated in the
                                                     ongoing Four Corners Study which utilizes
In the San Diego District Office, two                demographic information to assure that the
Community Based Transportation Planning              multi-modal strategies encompass all income
Grants were awarded to the City of San               groups and transportation-disadvantaged
Diego and the City of Oceanside. District            persons. The District also participated in
Planning staff assisted the two cities and           public meetings such as the American
their community representatives in                   Legion, Rotary Club, Board of Realtors and
development of their public participation            private community associations in regards to
plan elements. The goal of the City of San           multi-modal transportation plans for the
Diego’s project is to prepare a Sustainable          future that include most of the Title VI
Development Master Plan. The goal of the             groups (ethnic, age and transit-dependent).
City of Oceanside’s project is to develop            In addition, the District developed the
simulated development scenarios linked to            Workshop contact lists that include a cross-
transit-oriented development and a General           selection of all targeted groups within the
Plan Amendment. Both communities have a              County. They incorporated all Title VI
high concentration of various minority and           mandates into designing the actual CTP
low income groups.                                   Workshop and its location.


                           FEDERAL FISCAL YEAR 2000-2001

As a general goal for the Division of                 demonstration grants will eventually serve
Transportation Planning, the Division will            as models for different communities. Eligible
take a proactive approach in implementing             activities include identifying methods for
the recommendations made by the Office of             engaging diverse communities in planning,
Civil Rights as a result of their Title VI            interpretive materials and services,
compliance review.                                    enhancing interagency cooperation, planning
                                                      for the elderly and disabled and encouraging
A new contract for services is being prepared         private sector partnerships.
by OTE staff that will require considerable
public outreach in areas deemed                       OPAR will assist in forming a
economically depressed. The scope of the              statewide/regional community advisory
study will be to determine what is needed to          council to provide advice and perspectives in
improve transportation in these                       developing the EJ program, especially the
communities. This will be a statewide study           Demonstration Grant Project. The
utilizing the services of an outside                  membership will draw from various CBOs,
consultant. The contract will require the             local and regional planning agencies, private
consultant to conduct interviews with civic           sector entities, non-profit organizations,
officials, local business owners, community           planning agencies and research institutions.
based organizations, minority organizations           OPAR will use a list of CBOs used by State
and their representatives to determine their          Planning and will be consulting with the
perceived transportation needs for their              Title VI and Environmental Planning
areas. All this work will be documented with          Programs, MPOs and RTPAs for
oversight from OTE staff. The consultant              recommendations of groups or persons who
work and recommendations will be strictly             are informed about EJ and transportation.
within Title VI provisions.
                                                      OPAR, through its Program Area
OPAR will be implementing a statewide,                Administrator, will conduct training classes
competitive demonstration grant program for           for both Headquarters and the Districts in
EJ in FY 2001/02, which will demonstrate              how to incorporate Title VI and EJ into all
and highlight different strategies for meeting        public meetings, hearings, plans, programs,
the needs and concerns of diverse                     products, activities and studies. The
communities in transportation planning.               Coordinator will help each Branch, as
Using SPR funding, this demonstration                 requested, to implement the
grant program will target local and CBOs,             recommendations made by Civil Rights as a
emphasize innovation and partnerships in              result of their Title VI audits earlier this
planning to promote investments in low                year. The Coordinator will work with the
income and minority communities. CBOs,                Districts on ways to monitor MPOs and
Native American Tribal Governments, cities,           RTPAs for their compliance to Title VI and
counties, planning agencies and transit               EJ regulations.
agencies will be eligible to compete for these
one-time demonstration grants in EJ. The              OCP’s 2001/02 and 2002/03 grant program
different projects and experiences from these         will be essentially the same as the 2000/01

                           FEDERAL FISCAL YEAR 2000-2001

program, but will be funded at a higher level         prepare a final PPP document that lists
($3 million per year versus $1.5 million).            techniques and best practices for the entire
There will also be a more deliberate effort to        Department’s use. An improved PPP will
build awareness of the grant program among            allow for the development of a Public
minority persons, etc., through the use of the        Participation Resource Guide that identifies
DOTP Core Program’s CBO database and                  effective public participation techniques and
will prepare guidelines for working                   tools and will make public participation
effectively with California’s CBO                     resources available to the Department’ staff.
communities on transportation project                 This project is in the beginning phases and
development and implementation.                       would not be implemented until the
                                                      completion of the PPP final report.
For example, we will:
                                                      OCP will participate in a series of four Grant
Use the database as a resource for                    Workshops around the State during
distribution of information;                          September and October 2001. The purpose
• Use it as a resource for identifying CBO            of these workshops is to ensure that a broad
   contractors/consultants for public                 and diverse audience receives information
   participation and involvement activities           and guidance on OCP’s Community Based
   (e.g., public meeting facilitators);               Transportation Planning Grant Program.
• Incorporate CBO guidelines into the                 Workshop notices will be sent to all parties
   Department’ overall public participation           included in the DOTP Core Program’s
   effort; and                                        statewide database of CBOs.
• Use as a resource for identifying CBO
   representatives for project specific and           OCP’s IGR/CEQA unit will participate in
   other advisory committees.                         future Tribal Academy training events.

Also, OCP grant application materials for             The Office of Advanced System Planning
the 2001/02 and 2002/03 grant program will            (OASP) is currently reviewing its system
include a clearly written Title VI                    planning guidance documents for
Nondiscrimination Requirement.                        Transportation System Development
                                                      Programs, District System Management
For FY 2001/02, rather than responding                Plans, Route Concept Reports (RCRs),
strictly to State and Federal environmental           Transportation Corridor Reports and district
processing requirements, the OCP will seek            system planning work activities. Through
to develop a Public Participation Plan (PPP)          the course of that research, they will be
that results in a more empowered and                  transmitting updated guidance documents
comprehensive public involvement effort,              for these products and activities to the
permeating the Department transportation              districts beginning 2001/2002 and continuing
project development process.                          thereafter. It is anticipated during this next
                                                      fiscal year that the new guidance documents
OCP will be convening a Public Participation          will provide the Department the ability to
Task Force and developing a work plan to

                           FEDERAL FISCAL YEAR 2000-2001

better monitor compliance to Title VI and              development of the Regional Transportation
public participation.                                  Improvement Program (RTIP), the
                                                       Interregional Transportation Improvement
OASP recommends that:                                  Program (ITIP), State Transportation
                                                       Improvement Program (STIP) and State
• System planning products include an EJ               Highway Operation and Protection Program
  component to comply with Title VI public             (SHOPP) processes. State law (Section
  participation elements;                              14526 (3) (d) of the Government Code (SB
• Revised System Planning guidance                     45)) requires that projects in the ITIPs must
  documents contain specific EJ                        be consistent with the RTPs. This means
  components;                                          RTIP and ITIP projects must go through the
• Headquarters Planning OASP monitor                   public review process, and formal public
  the district work programs for compliance            comments are received and addressed at the
  with Title VI;                                       regional plan level before inclusion in the
• State, Regional and System Planning                  STIP. Public and special interest groups
  efforts be coordinated to document early             have additional opportunity for involvement
  public participation on concepts, mobility,          through the STIP development process; e.g.,
  plans and major corridors; and                       public information notices for adoption of the
• OASP coordinates through district                    programming documents via meetings
  planning offices in developing procedures            conducted by the California Transportation
  to document that appropriate public                  Commission.
  participation and EJ issues are being
  addressed in the development of its                  OASP will begin to update system planning
  system planning products to ensure                   product guidelines and upgrade the methods
  nondiscrimination per Title VI.                      by which system planning activities are
                                                       monitored and reported.
System planning guidance is being updated
to require that RCRs reflect elements of               In September and October 2001, the Plan
public participation including discussion of           and Grant Liaison Branch will participate
EJ issues. The Department is the                       with several other offices within DOTP to
owner/operator of the State Highway System             present a series of four workshops
and route concepts are the result of a                 throughout the state. The purpose of these
coordinated planning process that includes             workshops is to disseminate information on
input from regional agencies, cities, counties,        the various grants available to agencies
transit providers and operators. These                 through DOTP. Along with MPOs/RTPAs,
concepts then are brought forward for                  Tribal Governments and CBOs will be
inclusion in the Regional Transportation               heavily targeted to attend these workshops
Plans (RTPs), which are in turn circulated to          and apply for the grants.
local cities and counties and regional
agencies for their review and comment.                 The Native American Liaison Branch has
Future projects are identified in the RTPs             organized a series of four Tribal
and the Department plans and are linked to             Transportation Academies to be held around

                           FEDERAL FISCAL YEAR 2000-2001

the state to assist tribes in learning more           The draft outline for the first objective reads
about the transportation process in                   as follows:
California. The Tribal Transportation
Handbook prepared by the Branch will be               Facilitate regional coordination and local
handed out at the academy.                            community involvement early in the
                                                      transportation decision making process
CTP events and workshops will be noticed in           through:
a timely manner. Invitations will be
transmitted with relevant information and             • ―Public Participation;‖
documents, and notices will be placed in local        • Livable Communities;
newspapers. Winter and spring 2002 will be            • IGR/CEQA;
devoted to review and comment of the CTP.             • OWP’s and Regional Coordination;
A brochure summarizing the CTP will be                • EJ and Title VI, non-traditional
widely distributed with instructions on how             customer, partners and stakeholders; and
to receive copies of the full document and            • ―Environmental Streamlining.‖
opportunities to offer comments. The
brochure will be published in English,                OSP maintains a contact database for the
Spanish, Chinese, Vietnamese and Braille.             purpose of developing the CTP. The
CTP will also be translated into alternative          database currently includes over 1,800
languages and formats. Formal hearings                listings with all of the California Tribal
will be noticed in advance. Additionally,             Governments and numerous organizations
OSP will transmit invitations to the                  representing minority, ethnic, low income,
workshops and place public service                    senior and disabled communities. The
announcements with the regional radio                 database will be modified by the end of 2001
stations.                                             to capture comments received during the
                                                      CTP Public Participation Program. The
OSP also provides a website with electronic           database will be designed to answer who,
copies of documents and information on                what, when, where and how the comment
opportunities to participate in the CTP’s             was received, and when possible, the
development. Select CTP materials will also           demographic group the person making the
be posted on the website in Spanish.                  comment represents.

All offices will incorporate notification and         OPPC will coordinate with State, regional
information procedures into their work                and System Planning efforts to document
plans. The methods will be based on the               early public participation on potential
efforts of the CTP and comprehensive Public           projects.
Participation Plan.
As part of its approach, DOTP is                      Goals for most of the districts include
highlighting public participation next fiscal         enhancing and increasing public
year as part of its planning strategy themes.         participation efforts to not only notify but
                                                      actively engage citizen participation,

                           FEDERAL FISCAL YEAR 2000-2001

particularly minorities, the elderly, women’s
organizations, Tribal Governments, disabled           Stockton District Office—the only district to
and low income representatives, the African-          experience a Title VI audit this year—will
American and Asian communities and the                fully respond to audit recommendations.
indigenous groups from Mexico. This effort            (Other districts will be audited in the
includes the extensive use of the database of         upcoming fiscal year.)
CBOs for all direct outreach activities; i.e.,
California Transportation Plan, Community             Stockton District Office will focus on
Planning outreach and participation, Grant            establishing relationships with Native
programs, etc., and the expansion of mailing          American Tribal Governments:
lists, inspection of meeting facilities to
ensure that reasonable accommodation can              • Accomplish introductory series of
be provided and additional outreach efforts.            meetings with every federally recognized
Outreach materials will include appropriate             Tribe;
ADA notifications and will be available in            • Initiate preparation of government to
alternate formats as appropriate.                       government MOUs with each Tribe;
                                                      • Assess assistance opportunities with each
More effort will be made to build awareness             tribe and make recommendations; and
of HQ OCP’s grant program among minority              • Facilitate initial relationship between
persons, requesting and recording Title VI              Tribe and RTPA.
related data from all participants at public
meetings and the continued use of public              Santa Ana District Office is taking a
opinion or direct follow-up surveys as a              proactive role in promoting the OCP Grant
method for measuring the benefit or success           and the accompanying Workshop to all of our
of programs.                                          identified CBOs. The District will also
                                                      ensure that all District Planning documents
In addition, districts will continue to work          incorporate language that supports all Title
with the MPOs/RTPAs to ensure compliance              VI requirements, and outreach is provided
with Title VI and Environmental Justice               that will encourage Public Participation in
requirements. They will also document that            developing our future plans.
appropriate public participation and EJ
issues are being addressed.

Many districts will send staff to Title VI


                            FEDERAL FISCAL YEAR 2000-2001

Environmental Impact Statements                        held with local agency representatives and
                                                       planning departments to ensure impacts to
Last year two Environmental Impact
                                                       their citizens are addressed. A review of
Statement drafts were reviewed at public
                                                       local agency plans, such as community plans
meetings. There were no adverse impacts
                                                       are assessed for compatibility with our
identified in the study or by public

Public Hearings/Non-English Language
Considerations                                         As a means of Title VI self-monitoring
                                                       activities, we have standard operating
One public hearing was held during the
                                                       procedures incorporated into our publication,
reporting period concerning location of a
                                                       notification and hearing processes to ensure
project. Adequate notification is always
                                                       that impacted persons are reached and
provided to low income and minority
                                                       accommodations are made for their
communities. In addition, announcement
                                                       attendance at public meetings.
that access and accommodation is provided
to those who require it to attend hearings.
Notification is provided through newspaper             Training
ads, posters, mailings to citizens and their           In the reporting period, no Title VI training
representatives. Bilingual advertisements              was provided by the Environmental
and announcements are provided. In this                program. However, Environmental program
particular case, the Hispanic community is             employees have attended Environmental
in the majority, so obviously Spanish was              Justice courses which cover some of the same
used in the notification. Boiler plate                 material.
information is also given to those who may
require assistance in attending (e.g., sign            All of Environmental program personnel
language interpreters, etc.).                          attended the Civil Rights and Prevention of
                                                       Sexual Harassment training. The Seniors
Eligible Population Representation                     and Managers attended the Reasonable
                                                       Accommodation and ADA training.
It is the standard operating procedure of
Environmental Services to identify
minorities, women, elderly, disabled and low           Corrective Action
income community representatives through               There were no issues identified this year that
the analysis of census data. Meetings are              require corrective action.


It is our goal to continue to meet all Title VI

                           FEDERAL FISCAL YEAR 2000-2001

                                DIVISION OF RIGHT OF WAY


Negotiations                                          following self-monitoring activities were
There were 1,872 negotiations conducted
statewide. All files and negotiator’s logs
                                                      • Appraisals: The Title VI brochure,
indicated compliance with Title VI. There
                                                        ―Caltrans and You, Your Rights Under
was no evidence that minorities were treated
                                                        Title VI, ‖ which contains information
any differently than non-minorities during
                                                        regarding the complaint process, along
the acquisition process. The number of
                                                        with a complaint form are sent with each
concerns regarding the acquisition process
                                                        Notice of Decision to Appraise letter.
raised by minorities, women, the disabled
                                                        Having the appraiser note this action in
and low income citizens were not more than
                                                        the parcel diary monitors the distribution
those raised by the general public.
                                                        of these documents. In their review of
                                                        each appraisal, the Senior confirms that
During the Environmental phase of the
                                                        the appropriate materials were sent to
project, Relocation Impact Documents are
                                                        the grantor as well as adherence to Title
prepared. This documentation addresses the
                                                        VI policies. The appraisal staff are
demographics of those affected by the
                                                        trained on the importance of sending this
project. There is currently no mechanism
                                                        information and on the importance of an
that ascertains specifics regarding ethnicity,
                                                        appraisal being an unbiased product.
gender or economic status affected during
the actual negotiation phase.
                                                      • Acquisition: The acquisition agent
                                                        verifies with the grantor/lessee that Title
Relocation                                              VI information was distributed by the
Statewide, 746 relocations were conducted.              appraiser. This is documented in the
Approximately 400 of these involved the                 parcel diary, which is reviewed by the
relocation of the contents of mini storage              Senior. If necessary, new Title VI
facilities. There were no concerns raised by            information is given.
minorities, women, elderly, disabled and low
income groups regarding replacement                   • Relocation Assistance Program (RAP):
housing, referral housing, appraisals,                  Immediately upon receipt of the RAP file,
relocation assistance payments and property             RAP agents send all relocatees General
management.                                             Information Notices along with the Title
                                                        VI information and complaint form. This
Self-Monitoring                                         information is then discussed with the
In accordance with the provisions of the                relocatee during the first RAP call.
Department’s Right of Way Manual, the                   Parcel diaries are annotated accordingly.

                          FEDERAL FISCAL YEAR 2000-2001

                                                    Headquarters Right of Way performs annual
• Property Management: Each rental                  Quality Enhancement Joint Reviews. The
  applicant receives an application form            headquarters Title VI coordinator ensures
  indicating that the law prohibits                 that Title VI issues are amongst those
  discrimination, and if they feel that they        reviewed during these reviews.
  have experienced discrimination, to
  contact the California Fair Employment            Training
  Practices Commission. With each new               In the past year Right of Way’s Title VI
  tenant, the Title VI informational                training module was presented to Right of
  brochure is given along with the
                                                    Way agents statewide.
  complaint form and instructions.

Each Region/District Right of Way office has        Title VI Information
a dedicated Title VI liaison who acts to            All recipients of Right of Way services
inform, train, handle complaints or concerns        received the necessary Title VI information.
and distribute Title VI materials to the
relevant sections.


Right of Way plans to:                              • Create an appropriate mechanism for
                                                      gathering data with regard to
• Continue with ongoing Title VI training.            discrimination during the Right of Way
• Have District/Region Title VI liaisons              process. District/Region input will be
  attend the Civil Rights Title VI training.          solicited concerning this endeavor.
• Continue to be diligent with regard to the        • Ensure that Title VI liaisons discuss the
  distribution of Title VI documents and              necessity of Title VI adherence with staff
  information.                                        at least once each year.
• Expeditiously handle any complaints
  received regarding violation of Title VI

                               DIVISION OF CONSTRUCTION


                           FEDERAL FISCAL YEAR 2000-2001

Projects Initiated                                     project status may be printed in the primary
                                                       language of the impacted community to
Upon approval, the construction phase began
                                                       facilitate communication.
for 573 projects in the reporting period.
Prior to award of construction contracts for
the projects, all federal Title VI requirements        Self-Monitoring
are incorporated.                                      The Construction Division does not have
                                                       unique or construction-specific Title VI
Mitigation Measures                                    monitoring activities. However, in the
                                                       course of referring Title VI complaints to
Most Title VI mitigation measures are
                                                       Civil Rights Discrimination Complaint
associated with complex projects in urban
                                                       Investigation Unit (DCIU), the Construction
areas. Mitigation efforts within the
                                                       Division collects data, tracks the status and
construction phase of a project are contract
                                                       progress of investigations. As needed,
change orders (CCOs). No Title VI
                                                       Construction staff will assist the DCIU in
mitigation measures were taken during the
                                                       investigations. No Title VI complaints were
reporting period. Of the 4,544 CCOs, none
                                                       received in the reporting period.
had Title VI implications.

Public Meetings
                                                       Title VI training is part of the Equal
Construction staff adhere to community
                                                       Employment Opportunity/Disadvantaged
agreements, comply with mitigation
                                                       Business Enterprises instruction given in the
measures and preserve all Title VI
                                                       RE Academy. After six months assigned as
requirements as an integral part of contract
                                                       an RE, engineers attend the RE Academy.
administration. If the project addresses
                                                       Last year’s attendance was 120 engineers.
specific Title VI contract administration
                                                       The Civil Rights Title VI Coordinator, Laura
requirements, the Resident Engineer (RE)
                                                       Schaufel, made a Title VI presentation at a
may hold public meetings, prepare press
releases and hire public relations firms to            Construction Division All Staff Meeting.
keep the community apprised of the project
schedule and scope. Reports or notices of the


The Construction Division will:                           significant CCOs that require Title VI
• Continue to provide RE training –
  including Title VI training;
• Develop a Title VI Complaint Resolution
  Process and distribute statewide.
• Develop direction and policy guidance
  and disseminate to REs for handling

                          FEDERAL FISCAL YEAR 2000-2001



Research Projects                                  correction of this oversight is a goal for next
                                                   year. We did not have any findings,
The Division has approximately 130 active
                                                   recommendations or action items that
research projects/contracts underway.
                                                   needed to be addressed as a result of this
We have not taken any specific action(s) to
                                                   self-monitoring activity.
encourage universities to specifically use
minority, female, disabled and low income
students to participate on highway research        Training
projects.                                          Civil Rights provided "Sexual Harassment
                                                   Prevention & Civil Rights Refresher"
Self-Monitoring                                    training to our Division through a contractor
                                                   (Cooperate Personnel Services) in February
As result of the Division’s self review, we
                                                   and March 2001.
found some of our contracts did not contain
language addressing nondiscrimination and
the Americans with Disabilities Act. The

                                                boilerplate language is included on all our
Our intent is to explore, examine, select and   contracts.
implement actions and goals that will assist  • Work with Civil Rights to obtain
the Division to most efficiently meet our       additional Title VI training for the
Title VI responsibilities by the end of 2002.   Division's employees.
To that end, the Division plans to:           • Work with Civil Rights to obtain
                                                examples of successful self-monitoring
• Work with University contractors to           instruments (i.e., checklists) that have
   ensure that their method of recruiting       been used to track contract compliance
   students to participate on highway           with Title VI.
   research projects is in compliance with
   Title VI.
• Work with Division of Procurement and
   Contracts to ensure that Title VI


                           FEDERAL FISCAL YEAR 2000-2001

Disadvantaged Business Enterprises                      quarterly on the Division of Procurement
Contracts                                               and Contracts internet website.
                                                      • Revised and distributed approximately
Re-Cap of Disadvantaged Business
                                                        2500-3000 copies of the How to Do
Enterprises (DBE) Contract Awards from
                                                        Business with Caltrans publication.
FHWA 1405 Quarterly Reports FY 00-01
                                                      • Procurement and Contracts staff
Total Value DBE prime and subcontracts
                                                        participated in the following How to Do
awarded for service contracts, Architectural
                                                        Business with Caltrans business
and Engineering consultant contracts and
                                                        opportunity workshops and seminars:
construction contracts under $117,000 for
the first three quarters is $58,840,076. Total
                                                         • Orange County Transportation
DBE prime and subcontractor participation
                                                           Workshop on How to Do Business with
to date is 33 contracts for a total of
                                                           the Public Sector
$11,393,119. Total DBE committed
                                                         • Southwestern College Contracting
participation in all contracts through the
                                                           Opportunities Center Workshop for
third quarter is 19.36 percent. The figures
for the fourth quarter ending September 30
                                                         • Businesses in San Diego County
are not available at this time.
                                                         • Asian Business Association of Orange
This information is reported to the Civil
                                                         • Bay Area Small Business Fair
Rights Business Enterprise program on a
                                                         • Black Contractors Association of
quarterly basis.
                                                           Southern Los Angeles
                                                         • Greater Los Angeles Vendor Faire
Outreach                                                 • Small Business Development Center
• Created two small business marketing                     Workshop, Marysville
  brochures for outreach activities. The                 • California and San Francisco Black
  ―Selling Goods and Services to Caltrans‖                 Chambers of Commerce Conference
  brochure identifies the many commodities
  and services procured by the department.            • We continue to:
  The ―Contractor Reference Guide‖
  provides phone numbers and internet                    • Participate in the Caltrans Business
  addresses for obtaining DBE certification,               Enterprise Program Small Business
  contract bid and award information.                      Council, and
• Created a report of proposed                           • Support and encourage small business
  Architectural and Engineering (A&E)                      participation in the Department
  contracts scheduled to be advertised.                    federal-assisted contracts.
  Approximately 2500 notices about the
  report were mailed out to small business            Self-Monitoring
  firms. The A&E Look Ahead Report will
                                                      Contract Managers are responsible for
  provide DBE primes and subcontractors
  advance notice of proposed A&E                      monitoring compliance with the contract
                                                      requirements. Should a contract manager
  contracts. The report will be updated

                          FEDERAL FISCAL YEAR 2000-2001

become aware of any violation of the contract        A nondiscrimination clause is contained in
nondiscrimination provisions, such violations        all state and/or federal funded contracts.
are to be reported to the Civil Rights               There have been no changes to the
Program for appropriate action. The                  nondiscrimination clause in the past year.
Division did not receive any information
from contract managers that contractors did          Training
not comply with the provisions of the                There was no Title VI training attended by
contract regarding nondiscrimination.                staff this fiscal year.


• Continue participation and support of the
  efforts of the Caltrans Small Business
• Continue participation in other public
  and private organizations to increase
  small business participation in federal-
  aid contracts.
• Continue to participate in workshops and
  other outreach programs sponsored by
  the Caltrans Civil Rights Business
  Enterprise Program and other public and
  private agencies.
• Continue compliance with federal and
  state nondiscrimination program
  requirements in the procurement of


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