Title VI/Nondiscrimination Program
Massachusetts Department of Transportation
September 2011
Updated as of December 28, 2012
Deval L. Patrick, Governor
Richard A. Davey, Secretary of Transportation
Eddie J. Jenkins, Chief Diversity and Civil Rights Officer, MassDOT
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Contents
1 Introduction ........................................................................................................................................................ 5
1.1 Authorities ................................................................................................................................................... 6
1.2 MassDOT Nondiscrimination Policy ............................................................................................... 11
1.3 Discrimination under Title VI ........................................................................................................... 13
1.4 MassDOT Title VI Assurance.............................................................................................................. 14
2 Organization and Staff Responsibilities................................................................................................. 15
2.1 MassDOT Organizational Structure ................................................................................................ 15
2.1.1 Highway Division ........................................................................................................................... 15
2.1.2 Rail and Transit Division ............................................................................................................ 15
2.1.3 Aeronautics Division .................................................................................................................... 16
2.1.4 Registry of Motor Vehicles ......................................................................................................... 16
2.1.5 Administrative Services .............................................................................................................. 16
2.1.6 Office of Performance Management and Innovation ....................................................... 17
2.1.7 Office of Transportation Planning........................................................................................... 17
2.2 Office of Diversity and Civil Rights: Organizational Structure and Responsibilities ... 17
2.3 Nondiscrimination Responsibilities within Program Areas and Departments of the
Highway Division .......................................................................................................................................... 20
2.4 Subrecipient Nondiscrimination Responsibilities .................................................................... 21
3 Procedures for Ensuring Compliance ..................................................................................................... 22
3.1 Public Participation ............................................................................................................................... 22
3.2 Limited English Proficiency ............................................................................................................... 25
3.3 Training Programs for Staff and Subrecipients .......................................................................... 27
3.3.1 Training Program for Staff ......................................................................................................... 27
3.3.2 Training Program for Subrecipients ...................................................................................... 29
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3.4 MassDOT Title VI/Nondiscrimination Complaint Procedures ............................................. 31
3.4.1 Complaint Process ......................................................................................................................... 32
3.4.2 Record Keeping .............................................................................................................................. 35
3.5 Opportunities for Disadvantaged Business Enterprises......................................................... 35
3.6 Inclusion of Title VI Provisions in Contracts ............................................................................... 36
3.7 Environmental Justice (EJ) ................................................................................................................. 36
4 Program for Conducting Title VI Reviews ............................................................................................ 38
4.1 Data Collection and Analysis ............................................................................................................. 38
4.1.1 Data Collection ................................................................................................................................ 38
4.1.2 Data Analysis ................................................................................................................................... 42
4.1.3 Data Reporting................................................................................................................................ 43
4.2 Process Reviews ..................................................................................................................................... 43
4.3 The Functions and Title VI Roles and Responsibilities for Each Program Area ............ 43
4.3.1 Transportation Planning and Research ................................................................................ 43
4.3.2 Design ................................................................................................................................................. 46
4.3.3 Environmental Services .............................................................................................................. 47
4.3.4 Right-of-Way ................................................................................................................................... 52
4.3.5 Construction and Contracts/Contract Administration ................................................... 54
4.3.6 Maintenance .................................................................................................................................... 56
4.3.7 Safety .................................................................................................................................................. 57
5 Compliance Monitoring................................................................................................................................ 60
5.1 Compliance Monitoring Program .................................................................................................... 60
5.2 Internal Compliance Monitoring ...................................................................................................... 61
5.3 Subrecipient Compliance Monitoring ............................................................................................ 62
5.4 Plan for Bringing Discriminatory Practices into Compliance ............................................... 63
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6 Accomplishments Report ............................................................................................................................ 66
Revised Delivery Schedule .................................................................................................................... 68
FFY 2013 MassDOT Title VI Work Plan ........................................................................................... 68
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1 Introduction
The Massachusetts Department of Transportation (MassDOT), as a recipient of federal
financial assistance, has developed this Title VI/Nondiscrimination Program to ensure full
compliance with Title VI of the Civil Rights Act of 1964, as amended (Title VI) and related
nondiscrimination statutes, Executive Orders, and regulations as detailed in FHWA
Assurances for Title VI and Other Nondiscrimination Statutes and Regulations in all MassDOT
programs and activities.
Title VI of the Civil Rights Act of 1964 provides that “no person in the United States shall,
on the ground of race, color, or national origin, be excluded from participation in, be denied
the benefits of, or be subjected to discrimination under any program or activity receiving
Federal financial assistance.” To fulfill this basic civil rights mandate, each federal agency
that provides financial assistance for any program is authorized and directed by the United
States Department of Justice to apply provisions of Title VI to each program by issuing
applicable rules, regulations, or requirements. The Federal Highway Administration
(FHWA) provides guidelines for implementing a Title VI compliance program in 23 CFR
200 and in Title VI Nondiscrimination in the Federal Aid Highway Program Desk Reference
and Handbook.
Although Title VI is the focal point of nondiscrimination law in this country, FHWA
incorporates a broader application of nondiscrimination statutes, regulations, and
Executive Orders into its Title VI program requirements for states. For example, Section
324 of the Federal-Aid Highway Act of 1973 prohibits discrimination based on sex; Section
504 of the Rehabilitation Act of 1973 prohibits discrimination on the basis of disability
status, as does the Americans with Disabilities Act of 1990; and the Age Discrimination Act
of 1975 prohibits age discrimination. In addition, the Civil Rights Restoration Act of 1987
(FHWA Notice 4720.6)clarified the original intent of Congress with respect to Title VI by
restoring the broad, institution-wide scope and coverage of the nondiscrimination statutes
to include all programs and activities of federal-aid recipients, whether or not such
programs and activities are federally assisted, and enforcing the application of the laws
that include nondiscrimination on the basis of race, color, national origin, age, gender, or
disability.
MassDOT also incorporates the principles of Executive Order 12898 on environmental
justice (EJ) into its programs, policies, and activities to ensure that there are no
disproportionate adverse impacts related to the transportation system on any group of
persons, particularly low-income and minority persons. Additionally, the principles of
Executive Order 13166 on limited English proficiency (LEP) are incorporated to ensure
that meaningful access is provided to persons who have limited proficiency in the English
language.
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1.1 Authorities
Nondiscrimination Statutes
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Title VI of the 1964 Civil Rights Act, 42 U.S.C. § 2000, provides in section 601 that:
“No person in the United States shall, on the ground of race, color, or national origin,
be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal financial assistance.”
(Prohibits discrimination in impacts, services, and benefits of, access to,
participation in, and treatment under a federal-aid recipient’s programs or
activities.)
The Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101, provides that:
“No person in the United States shall, on the basis of age, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under
any program or activity receiving Federal financial assistance.” (Prohibits
discrimination based on age.)
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970, 42 U.S.C. § 4601, provides:
“For the fair and equitable treatment of persons displaced as a direct result of
programs or projects under taken by a Federal agency or with Federal financial
assistance.”(Provides for fair treatment of persons displaced by federal and federalaid programs and projects.)
The Federal-Aid Highway Act, 49 U.S.C. § 306:
Outlines the responsibilities of the U.S. Department of Transportation and, at (c),
outlines the Secretary’s authority to decide whether a recipient has not complied
with applicable civil rights statues or regulations, requires the Secretary to provide
notice of the violation, and requires necessary action to ensure compliance.
The 1973 Federal-Aid Highway Act, 23 U.S.C § 324, provides that:
“No person shall on the ground of sex be excluded from participation in, be denied
the benefits of, or be subjected to discrimination under any program or activity
receiving Federal assistance under this Title or carried on under this title.”
(Prohibits discrimination on the basis of sex.)
The Civil Rights Restoration Act of 1987, P.L. 100-209, provides:
Clarification of the original intent of Congress in Title VI of the 1964 Civil Rights Act,
Title IX of the Education Amendments of 1972, the Age Discrimination Act of 1975,
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and Section 504 of the Rehabilitation Act of 1973.(Restores the broad, institutionwide scope and coverage of the nondiscrimination statutes to include all programs
and activities of federal-aid recipients, subrecipients, and contractors, whether such
programs and activities are federally assisted or not.)
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The Uniform Relocation Act Amendments of 1987, P.L 101-246, provides:
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The Americans with Disabilities Act, P.L. 101-336, provides that:
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“For fair, uniform, and equitable treatment of all affected persons;…(and)
minimizing the adverse impact of displacement…(to maintain)...the economic and
social well-being of communities; and…to establish a lead agency and allow for State
certification and implementation.” (Updated the 1970 act and clarified the intent of
Congress in programs and projects which cause displacement.)
“No qualified individual with a disability shall, by reason of such disability, be
excluded from participation in, be denied benefits of, or be subjected to
discrimination by a department, agency, special purpose district, or other
instrumentality of a State or a local government.” (Provides enforceable standards
to address discrimination against people with disabilities.)
The Civil Rights Act of 1991, in part, amended § 1981 of 42 U.S.C. by adding two new
sections that provide that:
“(b) For the purposes of this section, the term ‘make and enforce contracts’ includes
the making, performance, modification, and termination of contracts and the
enjoyment of all benefits, privileges, terms, and conditions of the contractual
relationship.(c) The rights protected by this section are protected against
impairment by non-governmental discrimination and impairment under color of
State law.”
Title VIII of the 1968 Civil Rights Act, 42 U.S.C. § 3601, provides that:
“It shall be unlawful…to refuse to sell or rent after the making of a bona fide offer, or
to refuse to negotiate for the sale or rental of, or otherwise make unavailable or
deny a dwelling to any person because of race, color, religion or national origin.”
(Prohibits discrimination in the sale or rental of housing; HUD is the primary
interest agency, but FHWA and states under Title VI are responsible for preventing
discrimination in the function of right-of-way.)
The National Environmental Policy Act of 1969, 42 U.S.C. § 4321:
Requires the consideration of alternatives, including the “no-build” alternative;
consideration of social, environmental, and economic impacts; public involvement;
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and use of a systematic, interdisciplinary approach at each decision-making stage of
Federal-aid project development.
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Title IX of the Education Amendments of 1972:
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Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 790, provides that:
Makes financial assistance available to institutions of higher education to: (1)
strengthen, improve and, where necessary, expand the quality of graduate and
professional programs leading to an advanced degree;(2) establish, strengthen, and
improve programs designed to prepare graduate and professional students for
public service; and (3) assist in strengthening undergraduate programs of
instruction in certain instances.
“(N)o qualified handicapped person shall, solely by reason of his handicap, be
excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity that receives or benefits from Federal
financial assistance.” (Prohibits discrimination based on physical or mental
handicap.)
Nondiscrimination Executive Orders
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E.O. 12250 - DOJ Leadership and Coordination of Nondiscrimination Laws
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E.O. 12292 - Amended E.O. 12259 in part and addressed leadership and
coordination in federal fair-housing programs. It affirmatively furthers fair housing
in all Federal programs and activities relating to housing and urban development
throughout the United States.
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E.O. 12259 - HUD Leadership and Coordination of Federal Fair Housing Programs
E.O. 12898 - Federal Actions to Address Environmental Justice in Minority
Populations and Low Income Populations
E.O. 13160 - Nondiscrimination on the basis of race, sex, color, national origin,
disability, religion, age, sexual orientation, and status as a parent in federally
conducted education and training programs
E.O. 13166 - August 11, 2000- Requires Federal agencies and recipients of their aid
to improve access to federally sponsored programs for persons with limited English
proficiency
E.O. 13175 – Consultation and Coordination with Indian Tribal Governments
Nondiscrimination Regulations
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23 CFR Part 200 - FHWA’s Title VI Program Implementation and Review Procedures
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23 CFR § 420.121(h) - The part of FHWA’s planning regulations that specifies the
applicability of Title VI of the 1964 Civil Rights Restoration Act of 1987 to FHWAfunded planning and research activities
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23 CFR Part 450 - FHWA’s and FTA’s Statewide and Metropolitan Planning
Regulations
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23 CFR Part 633, Subpart A - Specifies required contact provisions to be included in
all Federal-aid construction contracts, including Title VI and other proscriptions
included in Form FHWA 1273
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23 CFR § 450.316(b) (2) & (3) - Requires the metropolitan planning process to be
consistent with Title VI of the 1964 Civil Rights Act and the recipient’s Title VI
Assurances
23 CFR Part 633, Subpart B, Appendix A - Specifies the types of contracts to which
Title VI of the 1964Civil Rights Act applies
23 CFR § 771.105(f) - FHWA Policy on Title VI - Expands on 23 CFR 200.7 and
names categories covered with wording similar to Title VI of the Civil Rights Act of
1964: race, color, national origin, age, sex, handicap
28 CFR Part 35 - The Department of Justice’s regulations governing
nondiscrimination on the basis of disability in state and local government services
28 CFR Part 41 – Requires the Department of Justice to coordinate the
implementation of Section 504 of the Rehabilitation Act (provides guidelines for
determining discretionary practices)
28 CFR Part 42, Subpart C - DOJ’s regulation implementing Title VI of the Civil Rights
Act of 1964
28 CFR § 42.200, Subpart D - “Nondiscrimination in Federally-assisted Programs Implementation of Section 815 (c)(1) of the Justice System Improvement Act of
1979” – Also implements Executive Order 12138
28 CFR § 50.3 - DOJ’s guidelines for the enforcement of Title VI, Civil Rights Act of
1964
49 CFR Part 21 - DOT’s Implementing Regulations of Title VI of the Civil Rights Act
of 1964
49 CFR Part 24 - DOT’s regulation implementing the Uniform Relocation and Real
Property Acquisition Act for federal and federally assisted programs requiring
compliance with nondiscrimination statutes and Executive Orders
49 CFR Part 25 - DOT’s implementation of Title IX of the Education Amendments Act
of 1972
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49 CFR Part 26 - Participation by Disadvantaged Business Enterprises in DOT
financial assistance programs
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49 CFR Part 28 - Enforcement of Nondiscrimination on the Basis of Handicap in
Programs or Activities Conducted by the Department of Transportation
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49 CFR Part 27 - DOT’s regulation implementing Section 504 of the Rehabilitation
Act of 1973 as amended
49 CFR Part 37 - Transportation Services for Individuals with Disabilities,
implementing the transportation and related provisions of Title II and III of the ADA
Nondiscrimination Directives and Guidance
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DOT Order 1000.12 - Implementation of the DOT Title VI Program
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DOT Order 5610.2 - USDOT Order on Environmental Justice
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DOT Order 1050.2 - Standard Title VI Assurances
FHWA Order 4710.1 - Right-of-Way Title VI Review Program
FHWA Order 4710.2 - Civil Rights Compliance Reviews of Location Procedures
FHWA Order 4720.6 - Impacts of the Civil Rights Restoration Act of 1987 on FHWA
Programs, September 2, 1992
FHWA Order 6640.23 - Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations (See also DOT Order 5610.2 on
Environmental Justice)
Joint FHWA/FTA memo dated October 7,1999 (published in the Federal Register,
May 19, 2000) -Providing guidance on implementing Title VI in metropolitan and
statewide planning
DOT Policy Guidance Document dated December 14, 2005 – Policy Guidance
Concerning Recipients’ Responsibilities to Limited English Proficient (LEP) Persons
–Federal Register, Vol. 70, No. 239 (DOT’s initial LEP guidance regarding recipients’
obligations was released on January 22, 2001)
DOJ Policy Guidance Document dated October 26, 2001 - Memo re: E.O. 13166,
Improving Access to Services for Persons with Limited English Proficiency
DOJ Policy Guidance Document dated January 11, 2002 - Memo re: E.O. 13166,
Improving Access to Services for Persons with Limited English Proficiency
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DOJ Policy Guidance Document dated January 18, 2002 - Guidance to Federal
Financial Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons
DOJ Policy Guidance Document dated April 18, 2002 - Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National Origin
Discrimination Affecting Limited English Proficient Persons – Federal Register, Vol.
67, No. 75
Nondiscrimination Manuals and Report
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DOJ’s Title VI Legal Manual
(http://www.justice.gov/crt/grants_statutes/indexpg.php)
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Federal Title VI Enforcement to Federally-assisted Programs, June 1996 Report of
the U.S. Commission on Civil Rights
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DOJ’s Investigation Procedures Manual for the Investigation and Resolution of
Complaints Alleging Violations of Title VI and Other Nondiscrimination
Statutes(http://www.usdoj.gov/crt/cor/Pubs/manuals/complain.pdf)
1.2 MassDOT Nondiscrimination Policy
The Massachusetts Secretary of Transportation issued a department-wide policy
directive, dated March 24, 2011, which contains the MassDOT Title VI Policy
Statement. A copy of the signed policy statement can be found here:
https://www.massdot.state.ma.us/portals/0/docs/CivilRights/CR-001.pdf The
process of signing an updated MassDOT Title VI/Nondiscrimination Policy
Statement is currently underway. This document will be updated accordingly as that
process progresses.
Additionally, MassDOT has developed a notice to beneficiaries that will be posted to
MassDOT’s website, available at MassDOT District Offices and metropolitan
planning organizations (MPO’s), and referenced in all contracts, agreements, and
other appropriate documents pertaining to programs, services, and activities where
MassDOT received or administers federal financial assistance. The notice to
beneficiaries is as follows:
Title VI and Nondiscrimination Notice of Rights to Beneficiaries
MassDOT hereby states its policy to uphold and assure full compliance with Title VI of the
Civil Rights Act of 1964, the Civil Rights Restoration Act of 1987, and related federal and
state statutes and regulations. Title VI prohibits discrimination in federally assisted
programs and requires that no person in the United States of America shall, on the grounds
of race, color or national origin, be excluded from participation in, be denied the benefits of,
or be otherwise subjected to discrimination under any program or activity receiving
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federal assistance. Massachusetts law also prohibits discrimination based on race, color
and/or national origin, and MassDOT assures compliance with these laws and related
federal and state civil rights laws prohibiting discrimination based on sex, age, and/or
disability. Individuals who feel they have been discriminated against in violation of Title VI
must file a complaint within 180 days with the MassDOT Title VI/Nondiscrimination
Specialist.
MassDOT also upholds the Massachusetts Public Accommodation Law, M.G.L. c 272 §§92a,
98, 98a, and the Governor’s Executive Order 526, section 4 which provide that access to
programs, services and benefits be provided without regard to religious creed, sexual
orientation, gender identity, veteran's status and/or ancestry, along with the bases
previously referenced.
MassDOT holds meetings in locations accessible to people with disabilities, and provides
reasonable accommodations and/or language assistance free of charge upon request, as
available. MassDOT also provides reasonable accommodation or language assistance,
including alternative formats such as Braille and large print. For further information or to
file a complaint under Title VI or another nondiscrimination provision, please contact:
Title VI Specialist
MassDOT, Office of Diversity and Civil Rights
10 Park Plaza
Boston, MA 02116
857-368-8580
TTY: 857-368-0603
MASSDOT.CivilRights@state.ma.us
This policy statement will be circulated throughout the Commonwealth of Massachusetts
and referenced in all contracts, agreements, programs and services where MassDOT
receives or administers federal financial assistance in its programs and activities. For more
information, visit MassDOT’s Title VI Program website at www.massdot.state.ma.us.
Translation of this document is provided at no cost when requested. If this information is
needed in another language, please contact the MassDOT Title VI Specialist at 857-3688580.
Caso esta informação seja necessária em outro idioma, favor contar o Especialista em Título
VI do MassDOT pelo fone 857-368-8580.
Si necesita información en otro lenguaje, favor contactar al especialista de MassDOT del
Título VI al 857-368-8580.
如果需要使用其它语言了解信息，请联系马萨诸塞州交通部（MassDOT）《民权法》第
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六章专职人员，电话857-368-8580。
如果需要使用其它語言了解信息，請聯系馬薩諸塞州交通部（MassDOT）《民權法》第
六章專職人員，電話857-368-8580。
1.3 Discrimination under Title VI
Title VI and its related statutes prohibit two types of discrimination: intentional
discrimination (or disparate treatment) and disparate impact (or disparate effects). The
first, intentional discrimination, is the result of inconsistent application of rules and/or
policies to one group of people compared to another. This form of discrimination results
when rules and policies are applied in such a way as to intentionally treat a person or
persons differently because of race, color, national origin, age, gender, or disability.
The second type of discrimination, disparate impact or disparate effects, results when rules
and laws have a different and more negative effect on a protected group defined by race,
color, national origin, gender, disability, or age than on nonmembers of that group. This
type of discrimination occurs when a neutral procedure or practice results in fewer
services or benefits, inferior services or benefits, or greater burdens for members of a
protected group. With disparate impact, the focus is on the consequences of a decision,
policy, or practice rather than on the intent.
Under Title VI, MassDOT’s efforts to prevent both types of discrimination must address, but
need not be limited to:
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Unequal access to services, financial aid, or other benefits provided under its
programs
Distinctions in the quality or quantity of a benefit or in the manner in which it is
provided
Segregation or separate treatment
Restriction in the enjoyment of any advantages, privileges, or other benefits
provided without that restriction to others
Different standards or requirements for participation
Methods of administration which, directly or through contractual relationships,
would defeat or substantially impair the accomplishment of effective
nondiscrimination
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Discrimination in any activities related to a highway or other infrastructure or
facility built or repaired, in whole or in part, with federal funds
Discrimination in any employment resulting from a program, the primary purpose
of which is to provide employment
MassDOT has developed this Title VI/Nondiscrimination Program to help ensure that all of
its services, programs, and activities, whether federally assisted or not, are offered,
conducted, and administered fairly, without regard to the race, color, national origin, age,
gender, disability status, economic status, or ability to communicate in English of the
participants or beneficiaries.
1.4 MassDOT Title VI Assurance
The MassDOT Office of Diversity and Civil Rights and the MassDOT Legal Department are
currently in consultation with FHWA on a revised Title VI/Nondiscrimination Assurance. At
the close of consultation, this document will be signed by the Massachusetts Secretary of
Transportation. The current draft document is provided as Appendix A.
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2 Organization and Staff Responsibilities
MassDOT was established on November 1, 2009, by way of a merger of the former
Executive Office of Transportation and Public Works (EOT) and its divisions with the
Massachusetts Turnpike Authority (MTA), the Massachusetts Highway Department (MHD),
the Registry of Motor Vehicles (RMV), and the Massachusetts Aeronautics Commission
(MAC); also, ownership and operation of the Tobin Bridge was transferred to MassDOT
from the Massachusetts Port Authority (Massport). In addition, MassDOT is responsible for
many bridges and parkways previously operated by the Department of Conservation and
Recreation (DCR). The Massachusetts Bay Transportation Authority (MBTA) and regional
transit authorities (RTAs) are subject to oversight by MassDOT.
MassDOTis governed by state laws, rules, and policies. It is administered by a Secretary of
transportation, who is appointed by the Governor to serve as MassDOT’s chief executive
officer. The Governor also appoints a five-member board of directors with expertise in
transportation, finance, and engineering, which oversees the Department and serves as the
governing body of both MassDOT and the MBTA.
As a recipient of federal funding, MassDOT is committed to conducting all of its programs
and activities and operating all of its facilities in compliance with all requirements imposed
by, or pursuant to, the FHWA and FTA Title VI/Nondiscrimination Programs. The following
sections describe MassDOT’s organizational structure and responsibilities.
2.1 MassDOT Organizational Structure
MassDOT includes four divisions, Highway, Rail and Transit, Aeronautics, and the Registry
of Motor Vehicles, in addition to executive offices that include Administrative Services, the
Office of Performance Management and Innovation, and the Office of Transportation
Planning. The Secretary appoints an administrator for each of the divisions.
2.1.1 Highway Division
The Highway Division is responsible for the design, construction, operation, and
maintenance of the state highways and bridges in the commonwealth. The Division is
responsible for overseeing traffic safety and engineering activities, including those of the
Highway Operations Control Center, to ensure safe road and travel conditions.
2.1.2 Rail and Transit Division
The Rail and Transit Division is responsible for all MassDOT transit initiatives and oversees
the Massachusetts Bay Transportation Authority and all regional transit authorities of the
commonwealth. The MassDOT Board of Directors serves as the governing body of the
MBTA. The Community Transit Programs Unit manages all Federal Transit Administration
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(FTA) and state funding programs for the 15 regional transit authorities and nearly 200
public nonprofit agencies that provide public transportation service across the
commonwealth. This unit manages the capital and operations funding programs that
deliver fixed-route, paratransit, and community transit services for over 30 million annual
customers. MassDOT has developed and is implementing an FTA Title VI Program for
monitoring and reporting on these programs.
The Division’s Rail Unit manages the state’s 100 miles of state-owned railroad properties
with their operating railroads and manages the administrative program required by M.G.L.
40/54A and M.G.L. 161(d) that protects railroad corridors. The Unit also provides policy
and technical assistance for major rail and freight initiatives, including high-speed and
intercity rail, major corridor acquisition, and freight access programs.
2.1.3 Aeronautics Division
The Aeronautics Division has jurisdiction over the commonwealth's public-use airports,
private-use landing areas, and seaplane bases. It is responsible for overseeing the
statewide airport system, which encompasses 37 public-use general-aviation airports. The
Aeronautics Division’s responsibilities also include fostering airport development,
enhancing aviation safety, conducting aircraft accident investigation, maintaining
navigational aids, performing statewide aviation planning, licensing of airport managers,
conducting annual airport inspections, and enforcing airport security regulations.
2.1.4 Registry of Motor Vehicles
The Registry of Motor Vehicles Division is responsible for administering the motor vehicle
laws of the Commonwealth related to the issuance of identification cards, driver’s licenses,
and motor vehicle registrations and titles, as well as those related to the inspection of
vehicles, including buses. The Registry oversees commercial-vehicle and noncommercialvehicle inspection stations.
2.1.5 Administrative Services
The Office of Administrative Services manages all MassDOT administrative functions,
ensuring that all employment policies, programs, and procedures comply with state and
federal laws, regulations, and guidelines. In addition to managing administrative functions,
Administrative Services houses the Office of Diversity Civil Rights. The Chief Diversity and
Civil Rights Officer reports directly to the Secretary/CEO of MassDOT on state and federal
civil rights obligations. The Office of Diversity Civil Rights is described in more detail in
section 2.2, below.
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2.1.6 Office of Performance Management and Innovation
The primary focus for the Office of Performance Management and Innovation is to develop
a concentrated performance measurement system that will provide MassDOT and
legislators, stakeholders, and the general public with data warehousing, measurement,
management, and analysis and will facilitate the reporting of all required data. The primary
type of work is to measure and manage the performance of the MassDOT divisions/offices.
2.1.7 Office of Transportation Planning
The Office of Transportation Planning (OTP), the primary source of transportation planning
for MassDOT, develops transportation plans, programs, and projects to advance the
policies and objectives of the Governor and the Secretary. The OTP also ensures compliance
with federal and state transportation and environmental laws and regulations, administers
the statewide research program, and coordinates the metropolitan planning organizations
(MPOs).
2.2 Office of Diversity and Civil Rights: Organizational Structure and
Responsibilities
The Office of Diversity and Civil Rights (ODCR) is responsible for ensuring that MassDOT
fulfills its Title VI obligations through effective management of this Title
VI/Nondiscrimination Program. ODCR also ensures that MassDOT meets its obligations and
commitments on equal opportunity and affirmative action in employment and contracting
and within programs and activities. MassDOT’s focus on diversity in its programs is based
on the simple premise that its transportation services and work force should mirror the
diverse populations they serve.
At MassDOT, the Chief Diversity and Civil Rights Officer serves as the Title VI Coordinator.
In this capacity, the Chief Diversity and Civil Rights Officer reports directly to the
Secretary/CEO of MassDOT on overall state and federal civil rights obligations and to the
MassDOT Administrator of Rail and Transit on civil rights matters concerning FTA-funded
programs.
The Manager of Federal Programs serves as the Title VI Program Manager and reports to
the Chief Diversity and Civil Rights Officer. The Program Manager supervises the Title VI
Specialist, who is charged with the responsibility of implementing, monitoring, and
ensuring MassDOT’s compliance with Title VI regulations in terms of both the day-to-day
administration and the annual reporting obligations of MassDOT’s Title
VI/Nondiscrimination Program. The Program Manager is a senior leader within MassDOT
and will focus on the following efforts to manage the development and implementation of
the Title VI/Nondiscrimination Program.
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•
•
•
•
•
•
•
•
•
•
•
•
•
•
Provide technical assistance and advice on Title VI/Nondiscrimination matters to
Department program officials
Supervise the conduct of Title VI/Nondiscrimination reviews on special emphasis
program areas and activities when necessary to cover aspects not covered through
the day-to-day approach
Investigate complex Title VI/Nondiscrimination complaints, prepare reports of
findings and conclusions, and make recommendations
Interact with MassDOT project managers in developing Title VI/Nondiscrimination
information for dissemination to the public
Interact with other civil rights program personnel in the review of Title
VI/Nondiscrimination activities and issues
Develop and implement methods for the processing of discrimination complaints
pursuant to Title VI/Nondiscrimination
Work with the Title VI Specialist and program managers to resolve problems
identified as discriminatory practices and policies, pursuant to Title
VI/Nondiscrimination
Oversee MassDOT’s subrecipients’ implementation of Title VI/Nondiscrimination
activities and compliance monitoring
Establish procedures to resolve noncompliance determinations
Coordinate Title VI/Nondiscrimination training programs
Supervise the preparation of an annual report summarizing all Title
VI/Nondiscrimination activities, accomplishments, complaints, and future plans
Update the Title VI/Nondiscrimination Program as necessary to reflect changes in
organization, policy, or implementation
Increase public/community awareness of Title VI/Nondiscrimination
Develop and update Title VI/Nondiscrimination information for dissemination to
the public and, where appropriate, in languages other than English
Under the direction of the Program Manager, the Title VI Specialist manages all elements of
MassDOT’s commitment and obligations to prohibit discrimination. The Title
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VI/Nondiscrimination Program covers the requirements, procedures, actions, and
sanctions through which MassDOT enforces Title VI and related nondiscrimination
statutes, Executive Orders, and regulations. The program is designed to ensure that
discrimination does not occur in connection with programs or activities that benefit from
the federal funding that MassDOT receives.
The Title VI Specialist is responsible for developing, implementing, coordinating, and
monitoring MassDOT’s Title VI/Nondiscrimination Program and ensuring MassDOT’s
compliance with Title VI regulations in terms of the day-to-day administration and annual
reporting requirements of Title VI. The Title VI Specialist:
•
•
•
•
•
•
•
•
Assists in the preparation and issuance of information within MassDOT on FHWA
Title VI requirements, guidelines, and program directives and ensures that all
department managers and subrecipients are informed of FHWA Title VI
requirements
Provides technical assistance, guidance, and advice on the MassDOT Title
VI/Nondiscrimination Program
Conducts Title VI/Nondiscrimination compliance reviews through the collection and
analysis of statistical data to determine the effectiveness of program activities,
prepares reports on those reviews, and establishes procedures to resolve
determinations of noncompliance
Conducts complaint intakes, investigates discrimination complaints, and prepares
reports and recommendations based on investigatory findings
Maintains liaison relationships and works cooperatively with upper-level
administrators, managers, and program personnel across all agency functions on
Title VI/Nondiscrimination compliance and develops Title VI/Nondiscrimination
training for MassDOT officials, employees, and subrecipients
Conducts Title VI/Nondiscrimination training programs
Develops Title VI/Nondiscrimination–related information for dissemination to the
general public, including, where appropriate, information in languages other than
English
Collaborates with the ADA/504 Coordinator in meeting certain of the Department’s
Title VI/Nondiscrimination obligations
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•
•
Prepares and submits annual MassDOT Title VI/Nondiscrimination
Accomplishments Report and Work Plan to FHWA
Updates the Title VI/Nondiscrimination Program and related plans as necessary to
reflect organizational, policy, or implementation changes
The Title VI Coordinator, Program Manager, and Specialist are supported by the dedicated
staff within the Office of Diversity and Civil Rights. If needed, the Office of Diversity and
Civil Rights is also able to obtain assistance from the MassDOT Enterprise Services
departments under MassDOT’s Chief Administrative Officer, which include Human
Resources, Employee Relations, Labor Relations, Payroll, and similar administrative
functions.
2.3 Nondiscrimination Responsibilities within Program Areas and
Departments of the Highway Division
The MassDOT Highway Division has identified key individuals across the functional areas
who are critical to effective Title VI/Nondiscrimination Program design and
implementation. These individuals were convened as a group and provided with an
orientation to Title VI and other nondiscrimination requirements. To date, this group
includes representatives from Construction, Roadway Maintenance, Training,
Environmental, Planning, Research, and Design, as well as the MassDOT Highway Districts.
Some of these individuals also participate in a working group that is designing and
implementing MassDOT’s restated ADA/Section 504 Transition Plan. The Title VI Specialist
will work with the designated Highway Division individuals to establish a multidisciplinary
Title VI Working Group. The Working Group will be composed of representatives from each
of the functional areas within MassDOT, who will become the stewards of the Title VI
process and be responsible for implementing the Title VI/Nondiscrimination Program in
their respective areas. These individuals will serve as liaisons, coordinating with the
Federal Program Manager and the Title VI Specialist for program implementation and
periodic Title VI reviews and reporting. Specifically, the Title VI Liaisons will assist in
developing and implementing MassDOT’s Title VI/Nondiscrimination Program in the
following ways:
•
•
•
•
Conduct periodic process reviews
Inform the Title VI Specialist of any Title VI/Nondiscrimination-related issues or
discrimination complaints
Request that the Federal Program Manager and/or Title VI Specialist be involved in
the development of projects where there may be Title VI/Nondiscrimination issues
Complete and submit an annual Title VI/Nondiscrimination Compliance Checklist
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•
•
Complete and submit an annual Title VI/Nondiscrimination Goals and
Accomplishments Report
Address Title VI/Nondiscrimination deficiencies
Going forward, the Title VI working group will meet to establish objectives, identify
issues/areas of vulnerability or need, share ideas, and find commonalities regarding
workable Title VI compliance strategies. Working group members will be encouraged to
present and discuss proposals for all functional groups’ reporting, as well as other topics
and processes necessary for ensuring that compliance with Title VI obligations becomes a
part of the MassDOT culture.
2.4 Subrecipient Nondiscrimination Responsibilities
Subrecipients who receive any federal assistance are obligated to comply with Title VI and
other nondiscrimination requirements. MassDOT’s subrecipients include metropolitan
planning organizations, local public agencies, colleges, and universities. MassDOT
subrecipients may adopt or adapt MassDOT’s Title VI program and practices. Subrecipients
have the following obligations:
•
•
•
•
Avoid discrimination in programs, activities, and employment practices
Submit signed Title VI/Nondiscrimination Assurances
Voluntarily comply with Title VI/Nondiscrimination obligations
Keep accurate and complete records for use in evaluating Title
VI/Nondiscrimination compliance and submit reports in a timely manner
On March 24, 2011, the Secretary of Transportation released a Notice to Subrecipients on
their Title VI/Nondiscrimination obligations. A copy of that notice can be found in
Appendix M.
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3 Procedures for Ensuring Compliance
3.1 Public Participation
MassDOT recognizes that early and continuing public participation can help guide project
planning and development to best meet the overall public interest. Public input provides
critical information that enables MassDOT to understand potential issues, problems, and
impacts as viewed by the community; to discuss them more comprehensively; and to
determine how to address such concerns. This receipt and consideration of the
community’s opinions and values places MassDOT in a better position to avoid, minimize,
and mitigate impacts, as well as to more incisively narrow the field of alternatives (for
planning) and alignments (for projects). MassDOT actively seeks for the public to provide
insight, directly or indirectly, into what a given community would find acceptable in the
way of mitigation and into how a project can fit most harmoniously into a community.
Fostering public involvement helps MassDOT provide improvements that respond to
transportation needs with a minimum of community and environmental impact. Early
public participation also provides MassDOT with the opportunity to explain the constraints
and tradeoffs of the transportation planning and project development processes to
stakeholders and to obtain “buy-in” to the assessment of transportation needs and
definition of a project’s purpose.
The Office of Diversity and Civil Rights (ODCR)has developed a draft Public Participation
Plan. During the final quarter of FFY 2012, the draft plan received two rounds of internal
vetting and comment incorporation. In January 2013, a final draft of the plan is scheduled
for posting and dissemination to begin a forty five (45) day public comment period on the
document. The feedback received during this public comment period will be used to
further revise the document and prepare it for finalization and implementation. A copy of
the draft plan can be found attached in Appendix C. Implementation of this plan will
reinforce MassDOT’s longstanding commitment to public involvement in its planning,
programming, project development, and implementation efforts.
As MassDOT works to refine this plan, it will ensure that its Public Participation Program
(PPP) adheres to the requirements of 23 CFR 450.210:
(a) In carrying out the statewide transportation planning process, including
development of the long-range statewide transportation plan and the STIP, the
State shall develop and use a documented public involvement process that provides
opportunities for public review and comment at key decision points.
(1) The State’s public involvement process at a minimum shall:
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(i) Establish early and continuous public involvement opportunities that
provide timely information about transportation issues and decisionmaking processes to citizens, affected public agencies, representatives of
public transportation employees, freight shippers, private providers of
transportation, representatives of users of public transportation,
representatives of users of pedestrian walkways and bicycle transportation
facilities, representatives of the disabled, providers of freight transportation
services, and other interested parties;
(ii) Provide reasonable public access to technical and policy information
used in the development of the long-range statewide transportation plan
and the STIP;
(iii) Provide adequate public notice of public involvement activities and
time for public review and comment at key decision points, including but
not limited to a reasonable opportunity to comment on the proposed longrange statewide transportation plan and STIP;
(iv) To the maximum extent practicable, ensure that public meetings are
held at convenient and accessible locations and times;
(v) To the maximum extent practicable, use visualization techniques to
describe the proposed long-range statewide transportation plan and
supporting studies;
(vi) To the maximum extent practicable, make public information available
in electronically accessible format and means, such as the World Wide Web,
as appropriate to afford reasonable opportunity for consideration of public
information;
(vii) Demonstrate explicit consideration and response to public input
during the development of the long-range statewide transportation plan
and STIP;
(viii) Include a process for seeking out and considering the needs of those
traditionally underserved by existing transportation systems, such as lowincome and minority households, who may face challenges accessing
employment and other services; and
(ix) Provide for the periodic review of the effectiveness of the public
involvement process to ensure that the process provides full and open
access to all interested parties and revise the process, as appropriate.
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(2) The State shall provide for public comment on existing and proposed
processes for public involvement in the development of the long-range
statewide transportation plan and the STIP. At a minimum, the State shall
allow 45 calendar days for public review and written comment before the
procedures and any major revisions to existing procedures are adopted. The
State shall provide copies of the approved public involvement process
document(s) to the FHWA and the FTA for informational purposes.
(b) The State shall provide for non-metropolitan local official participation in the
development of the long-range statewide transportation plan and the STIP. The
State shall have a documented process(es) for consulting with non-metropolitan
local officials representing units of general purpose local government and/or local
officials with responsibility for transportation that is separate and discrete from
the public involvement process and provides an opportunity for their participation
in the development of the long-range statewide transportation plan and the STIP.
Although the FHWA and the FTA shall not review or approve this consultation
process(es), copies of the process document(s) shall be provided to the FHWA and
the FTA for informational purposes.
(1) At least once every five years (as of February 24, 2006), the State shall
review and solicit comments from non-metropolitan local officials and other
interested parties for a period of not less than 60 calendar days regarding the
effectiveness of the consultation process and any proposed changes. A specific
request for comments shall be directed to the State association of counties,
State municipal league, regional planning agencies, or directly to nonmetropolitan local officials.
(2) The State, at its discretion, shall be responsible for determining whether to
adopt any proposed changes. If a proposed change is not adopted, the State
shall make publicly available its reasons for not accepting the proposed change,
including notification to non-metropolitan local officials or their associations.
(c) For each area of the State under the jurisdiction of an Indian Tribal
government, the State shall develop the long-range statewide transportation plan
and STIP in consultation with the Tribal government and the Secretary of Interior.
States shall, to the extent practicable, develop a documented process(es) that
outlines roles, responsibilities, and key decision points for consulting with Indian
Tribal governments and Federal land management agencies in the development of
the long-range statewide transportation plan and the STIP.
MassDOT’s PPP serves as a program guide for the public participation process of MassDOT.
It describes the MassDOT policies and principles that guide its communications and
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coordination with interested parties such as residents, neighborhood associations, private
and public agencies, transportation providers, and other members of the public.
Additionally, the PPP serves as a tool for planners and decision makers to engage residents,
community groups, organizations, and businesses in the process of planning the
transportation system.
3.2 Limited English Proficiency
In order to provide meaningful access to persons with limited English proficiency (LEP),
MassDOT has developed a Language Access Plan (LAP; see Appendix D). This plan was
designed in accordance with DOT LEP guidance and includes all of the required elements:
•
•
•
•
•
A four-factor analysis to identify LEP individuals who need language assistance and
identify appropriate language assistance measures, examining: 1) the number and
proportion of persons in MassDOT’s service area who are LEP; 2) the frequency
with which LEP individuals come into contact with MassDOT programs, activities, or
services; 3) the nature and importance of MassDOT’s programs, activities, or
services to LEP persons’ lives; and 4) the resources available to MassDOT and costs
of providing the program, activity, or service
Language assistance measures that MassDOT will use to accommodate LEP
individuals
Strategies for training staff and subrecipients regarding their LEP responsibilities
Notice to LEP persons regarding availability of language assistance
A plan for monitoring and updating the LAP
MassDOT will implement the LAP on the schedule shown in Table 3-1 (the schedule is also
included in the LAP document).
Table 3-1 LAP IMPLEMENTATION SCHEDULE
Activity/Task
Completion Date
Frequency of contact
•
•
Complete frequency-of-contact surveys of functional area heads
Compile list of job functions and front-line employees who are
likely to come into contact with LEP populations
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Complete
Complete
Activity/Task
•
•
Completion Date
Complete frequency-of-contact surveys of front-line employees
Update four-factor analyses for all identified program area
segments
Importance of MassDOT programs, activities, services, and documents to
LEP individuals
•
•
•
Evaluate the importance of MassDOT programs, activities, and
services with regard to language translations
Identify vital documents and determine languages for
translation
Determine the need to translate any “non-vital” documents
Language assistance measures
•
•
•
•
•
•
•
January 2013
February 2013
April 2013
April 2013
Select and implement translation service for MassDOT website
Complete
Select and implement services for formal written translation,
oral interpretation, and on-call phone translation
Partially complete,
January 2013
Determine existing in-house language expertise for informal
communications and formal translations/interpretation
Translate the Notice to Beneficiaries and the associated
complaint procedures and forms into Spanish, Portuguese,
Chinese, Vietnamese, and Haitian Creole
Develop a phased schedule for implementing translation
services and identify the resources that will be used.
June 2013
Complete
January 2013
Distribute “I speak” cards to employees who are likely to come
into contact with LEP individuals
December 2012
Develop LEP training module as part of the three-tiered Title
VI/Nondiscrimination training program described in section 3.3
of this report
February 2013
Training staff and subrecipients
•
Complete
Training staff
o Train high-level managers
o Train Title VI Liaisons and Highway Division representatives
o Train front-line employees who interface with LEP
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March 2013
Activity/Task
•
Completion Date
populations
Training subrecipients
o Provide training to all MPO, college, and university
subrecipients
o Provide training to local public agency subrecipients
TBD, based on Rail
and Transit grant
award schedule and
schedule for other
FHWA grantees
June 2013
Outreach to CBOs
•
•
•
•
Compile statewide list of CBOs
Meet with CBO representatives from top three LEP languages in
the city of Boston (in Highway District 6) and Highway District 5
Meet with CBO representatives from top three LEP languages in
District 6 outside of Boston and in Highway District 4
Meet with CBO representatives from top three LEP languages in
Highway Districts 1, 2, and 3
Completed
May 2013
June 2013
September 2013
3.3 Training Programs for Staff and Subrecipients
3.3.1 Training Program for Staff
MassDOT recognizes that the effectiveness of its nondiscrimination program depends upon
the ability and commitment of responsible employees to understand and implement the
principles and requirements of Title VI. MassDOT has taken an initial step through the
orientations it has given to senior Highway Division officials and the department heads
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they have designated to work on Title VI matters. This orientation gave the top managers of
the Highway Division background on the law and legal responsibility for Title VI, as well as
a sense of the need for integrating the principles of Title VI into the day-to-day functioning
of MassDOT. These initial presentations were intended to increase awareness of the
nondiscrimination requirements and facilitate preliminary discussions about how
MassDOT should incorporate Title VI considerations throughout the agency.
In order to ensure that Title VI principles are integrated into MassDOT culture, the Federal
Program Manager and the Title VI Specialist will continue to provide training and
workshops for employees at all levels of the organization. MassDOT currently has plans to
provide three types of internal Title VI/Nondiscrimination training: one for high-level
managers, one for Title VI Liaisons and Highway Division representatives, and for frontline employees who interface with LEP.
Training for the high-level managers will provide comprehensive information on Title
VI/Nondiscrimination provisions and responsibilities, application of the principles to
program processes and operations, and identification of potential Title VI issues. The
presentation will include a handout that gives an overview of Title VI from the agency’s
standpoint. This training program will be conducted in a workshop format initially but may
be expanded to other formats to diversify learning and interaction opportunities,
depending on the results of our preliminary efforts. Relevant scenarios will be discussed,
and managers will be asked to identify potential vulnerabilities in current processes and
opportunities for improvement. The participants will be encouraged to share ideas and find
commonalities regarding workable Title VI compliance strategies. They will also be
encouraged to present and discuss proposals for all functional groups, as well as other
topics and processes necessary for implementation of the MassDOT Title
VI/Nondiscrimination Program. When warranted, a follow-up to this training effort may be
provided to individuals in small groups or one-on-one discussions to focus on the Title VI
issues directly related to their core functions. Periodic training will be systematically
conducted over the three-year duration of this Program to ensure that each functional area
receives general or focused training to address needs identified by the Federal Program
Manager and/or Title VI Specialist, the Title VI Liaisons, or the functional area designees in
the Districts. This responsibility will be shared with and monitored by the Professional
Development unit in its “How Can I Help You Today?” training effort.
The training program for all employees who interact with the public is an expansion of a
recently established training initiative developed by the Human Resources Department’s
Office of Professional Development focused on customer service and built on the concept of
“How Can I Help You?”. This training initiative was originally designed for front-line
employees of MassDOT, the Massachusetts Bay Transportation Authority (MBTA), and the
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Massachusetts Bay Commuter Rail Company (MBCR) 1 who come into frequent contact with
the public, and it includes a broad diversity-training component. Thirty front-line
“ambassador” employees from every division of MassDOT assisted with the development of
this program for their peers to ensure that every customer, no matter where he or she is
served, will receive the same level of high-quality, friendly, professional, and helpful
customer service. ODCR developed four slides about Title VI/Nondiscrimination for
inclusion in this training that will serve as a “teaser” for the more detailed training to come.
The slides provide an overview of Title VI; explain what it means for employees and why
MassDOT must comply; and identify resources available to employees, where to find
information, and where to direct complaints.
Training for the Title VI Liaisons will include, but not be limited to: data collection and
reporting requirements, language assistance/access resources and procedures, and general
monitoring and compliance processes in the major program areas. The training method for
the Liaisons will include periodic working-group discussion sessions to provide
opportunities to discuss practical situations and how Title VI/Nondiscrimination
requirements may apply. The aim is to ensure that the Title VI Liaisons have a thorough
understanding of how the processes involved in the work of their sections may have Title
VI/Nondiscrimination implications.
The MassDOT Title VI Specialist is currently working on coordinating training efforts with
existing agency training programs. Examples of these efforts include incorporation of a
Title VI module in the District Winter Training Schedule for all construction engineers who
work off-site, hosting of a Title VI “brown bag” at the Office of Environment, and providing
training for the ODCR staff who handle investigations/complaints.
As appropriate, the Title VI Specialist will periodically schedule training to further program
efforts and to address changes in regulatory requirements. The FHWA Division Office’s
Civil Rights Specialist may provide technical assistance in this effort. Special efforts will be
made in areas identified in the Annual Work Plan focus areas, based on priority and
relevance to Title VI/Nondiscrimination. Title VI-related training conducted at the agency
level will be recorded and entered in the Department’s training database.
3.3.2 Training Program for Subrecipients
In order to ensure that public funds distributed by MassDOT are not spent in a way that
encourages, subsidizes, or results in discrimination, MassDOT will provide Title
VI/Nondiscrimination training for its subrecipients. As a starting point, MassDOT has
developed a brochure that will be distributed to all subrecipients as an initial guide to
1
MBCR operates the MBTA’s commuter rail system under contract.
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implementing Title VI. The brochure (Appendix F) will be distributed to subrecipients at
least once a year and during training efforts.
The MassDOT Federal Program Manager and the Title VI Specialist will develop training
programs to provide comprehensive information on FHWA’s Title VI/Nondiscrimination
Program and associated requirements for subrecipients. The Specialist will develop
materials that may include webinars, PowerPoint guides, and/or manuals, and will provide
detailed information about the measures subrecipients must take to comply with Title VI.
MassDOT will also assist subrecipients in implementing these measures. Specifically,
subrecipients will be informed of the following requirements:
•
•
•
•
•
Provision of signed assurances.
Appointment of a Title VI/Nondiscrimination Coordinator.
Development of Title VI/nondiscrimination–related procedures and mechanisms to
ensure nondiscrimination in all programs, activities and services. Subrecipients may
develop their own plans or adopt MassDOT’s Title VI/Nondiscrimination Program.
Production of a Title VI/Nondiscrimination Annual Update Report detailing the
results of all Process Reviews and of analysis of statistical data collected during the
reporting period.
Identification of processes to address identified deficiencies in an expeditious
manner.
MassDOT will organize, conduct, and lead additional training efforts in order to provide
more direct guidance and answer questions that may be region-specific. At least two
training efforts will be provided for subrecipients each year, beginning with an orientation
to the Title VI/Nondiscrimination Program and key considerations for subrecipients. These
sessions will also provide a forum for learning and sharing best practices. As the MassDOT
Title VI/Nondiscrimination Program and our experience evolve, these sessions will be
more focused and targeted to the particularities of distinct types of subrecipients.
Because not all subrecipients receive the same level of funding or have the same degree of
impact on the public, the requirements prescribed for the subrecipients will differ based on
several criteria: how much federal funding the subrecipient receives through MassDOT and
how often, the impact the subrecipient’s work has on the public, and the resources the
subrecipient has available to meet its obligations. The Federal Program Manager and/or
Title VI Specialist will work with the MPOs, LPAs, and the colleges and universities that
receive a large share of the federal highway-planning funds in order to develop training
programs that both comply with federal requirements and are tailored to the needs of the
various subrecipients. The Federal Program Manager and/or Title VI Specialist will hold
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three workshops in the first year in different geographic areas of the state to assist MPOs
and colleges and universities in each area with developing Title VI policy statements and
notices to beneficiaries; public participation procedures, including outreach to traditionally
underserved populations; LEP procedures; complaint procedures; and data collection and
reporting procedures. A sample Title VI Plan, including relevant documents and forms, will
be distributed to the MPOs, colleges, and universities to be used as a reference tool.
Since municipal resources are generally limited, MassDOT will provide templates and other
documents for municipal subrecipients to use in developing processes that are required
under Title VI. The Federal Program Manager and/or Title VI Specialist will hold three
workshops in the first year in different geographic areas of the state to provide training to
local-government subrecipients in those areas regarding their Title VI responsibilities.
Through these workshops and other informal training, the Federal Program Manager
and/or Title VI Specialist will work with the municipalities to streamline the complainthandling process throughout the state so that the information communicated to a
complainant is consistent and a complainant is able to file a complaint directly with
MassDOT or FHWA, should she or he desire to do so. The Federal Program Manager and/or
Title VI Specialist will also work with the Construction Compliance Officer to ensure that
the assurances are included in all construction contracts between the municipalities and
the Commonwealth of Massachusetts.
In subsequent years, the Federal Program Manager and/or Title VI Specialist will hold,
annually, at least one workshop for MPOs and colleges and universities and one for localgovernment subrecipients to provide ongoing assistance. The Federal Program Manager
and/or Title VI Specialist are always available to answer individual subrecipients’
questions as they arise.
3.4 MassDOT Title VI/Nondiscrimination Complaint Procedures
It is MassDOT policy and practice to use best efforts in ensuring that all programs, services,
activities, and benefits are implemented without discrimination and in such a way that
minority and protected-class interests are addressed through its civil rights policies and
procedures. MassDOT policy, in accordance with Title VI, is that no person or group of
persons shall, on the grounds of race, color, or national origin, be excluded from
participation in, be denied benefits of, or be otherwise subjected to discrimination under
any and all programs, services, or activities administered by its departments, agencies, or
subrecipient organizations. Additionally, related federal and/or state laws, regulations, and
executive orders provide similar protections on the basis of a person’s income, gender,
religion, age, disability, sexual orientation, and other protected characteristics. Where there
are protections expressly covered under Title VI, as amended, those interests will be
subject to protections under the MassDOT Title VI/Nondiscrimination Program. Where
protected class status is not recognized under Title VI, such as sexual orientation or
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veterans’ status, those individuals will be protected under MassDOT and the
Commonwealth of Massachusetts legal authority and obligation to prevent and eradicate
discrimination.
Title VI prohibits intentional disparate treatment, disparate impacts/effects, and
retaliation. A claim of intentional discrimination/disparate treatment is an allegation that
similarly situated persons are treated differently because of their race, color, national
origin, income, gender, age, and/or disability. To prove intentional discrimination, one
must show that “a challenged action was motivated by the intent to discriminate.” This
requires a showing that a recipient of federal funds not only was aware of the
complainant’s race, color, national origin, income, gender, age, and/or disability, but acted,
at least in part, because of the complainant’s status as a member of one of these protected
classes. A claim of disparate impact/effect discrimination is an allegation that a neutral
policy or procedure has a disproportionate negative impact on a protected class. Under the
disparate impact/effect theory, a recipient uses a neutral procedure or practice that has a
disparate impact on protected-class individuals, and such practice lacks a legitimate
nondiscriminatory justification. In a disparate impact case, the focus of the investigation
concerns the consequences of the recipient’s practices, rather than the recipient’s intent.
A claim of retaliation is an allegation that the complainant was intimidated, threatened,
coerced, or discriminated against for the purpose of interfering with any right or privilege
secured for protected classes by Title VI and related federal and/or state laws, etc., or
because he or she has made a complaint, testified, assisted, or participated in any manner
in an investigation, proceeding, or hearing under MassDOT’s Title VI/Nondiscrimination
Program.
The following discussion provides a summary of MassDOT’s process for handling
complaints made under its Title VI/Nondiscrimination Program. A detailed description of
MassDOT’s process for investigating discrimination complaints is provided in Appendix G.
3.4.1 Complaint Process
All formal complaints under MassDOT’s Title VI/Nondiscrimination Program will be filed in
accordance with the following complaint procedures. These procedures do not deny the
right of the complainant to file formal complaints with other state or federal agencies or to
seek private counsel for complaints alleging discrimination. Every effort will be made to
obtain early resolution of complaints at the lowest organizational level possible. The option
of informal mediation meeting(s) between the affected parties and MassDOT will be
developed and utilized for achieving resolution.
Any person(s) alleging to have been subjected to a discriminatory action or practice may, in
person or through a legal representative, obtain a MassDOT Title VI/Nondiscrimination
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Complaint Reporting Form (Appendix H), fill it out, and file said complaint with the
MassDOT Title VI Specialist or Title VI Coordinator within 180 days following:
•
•
the date of the alleged discriminatory action or
the date when the person(s) became aware of the alleged discriminatory action or
practice.
Complaints maybe filed in writing without using the form; the MassDOT Title VI Specialist
may complete the Complaint Reporting Form and attach a letter or other statement from
the complainant. Written complaints must be signed by the complainant or representative,
include the complainant’s name, address, and telephone number or other means by which
the complainant may be contacted, and identify the individual(s) and/or organization(s)
responsible for the alleged discrimination. The complaint may also be filed with the USDOT.
Signed allegations of discrimination received by facsimile or email will be acknowledged
and processed.
Complaints will be accepted in languages other than English. In a case where a complainant
is unable to provide or incapable of providing a statement in writing, an alternative format
will be used to file the complaint. Verbal complaints may be submitted (either in person, by
telephone, or via a recording) to the Title VI Specialist. The Title VI Specialist will convert
the verbal allegations to writing and provide the complainant with the written document
for confirmation, revision, and signature (or equivalent mark) before processing. In cases
where the complainant is assisted in converting an oral complaint into a written complaint,
the complainant is required to sign the written complaint. All complainants and parties
making informal inquiry will be advised of their right to seek recourse within appropriate
federal and/or state agencies that have authority to resolve the matter presented.
All complaints will be referred to the Specialist for initial review and processing.
Individuals will never be discouraged from filing a complaint. When feasible, the
complainant will be encouraged to explain as fully as possible the facts and circumstances
surrounding the alleged discrimination, and when it is the Specialist who completes the
Complaint Reporting Form, he or she will include the fullest possible description of those
circumstances. The Specialist will consult with the Federal Programs Manager and/or the Title
VI Coordinator to address the processing of complaints, as needed.
If a complaint is deemed incomplete, additional information will be requested, and the
Complainant will be provided 60 business days to submit the required information. Failure
to do so may be considered good cause for a determination of no investigative merit.
Upon receiving a written complaint, the Specialist will date-stamp it and review it to ensure
that it includes the required information, is timely, and is within the appropriate
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jurisdiction. The complaint will be accepted unless it is withdrawn, is not filed within the
required interval of time, or fails to provide the required information after a written followup request for the missing information. The Titel VI Specialist will immediately notify the
MassDOT Title VI Coordinator of the complaint, who will apprise the Secretary/CEO of any
pending complaint matters. Within 10 business days, the Specialist will send a letter to the
complainant acknowledging that the correspondence was received and will inform the
appropriate respondent that he or she has been named in a complaint.
•
•
Complaints Filed Against MassDOT
Written complaints filed with MassDOT in which MassDOT is named as the
respondent will be forwarded to FHWA for investigation. The FHWA Title VI
Specialist may conduct an independent evaluation regarding affected agency policy
and may direct that actions be taken within the agency to address any policy
deficiencies.
Complaints Filed Against a Subrecipient
Written complaints filed with MassDOT in which a subrecipient is named as the
respondent will be analyzed and investigated by the subrecipient, after notifying
and consulting with the Title VI Specialist. The Federal Program Manager or Titel VI
Specialist has the authority to assume direct responsibility for complaint
investigation if warranted under the circumstances of an allegation. Either
alternatively or supplementally, the Specialist may forward a complaint against a
subrecipient to the FHWA Division Office for consideration of possible federal-level
investigation.
If MassDOT has jurisdiction over the complaint, MassDOT will conduct an
investigation and produce an investigative report (IR). The Title VI Coordinator will
forward a copy of the complaint and a copy of the IR within 60 days of receipt of the
complaint to the FHWA Division Office of Civil Rights.
MassDOT will transmit to the complainant and the subrecipient one of the following
three letters based on its findings:
a. A letter of resolution that explains the steps the subrecipient has taken or
promises to take to come into compliance with Title VI.
b. A letter of finding that is issued when the subrecipient is found to be in
compliance with Title VI. This letter will include an explanation of why the
subrecipient was found to be in compliance and provide notification of the
complainant’s appeal rights.
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c. A letter of finding that is issued when the subrecipient is found to be in
noncompliance. This letter will include each violation reference as to the
applicable regulations, a brief description of proposed remedies, notices of the
time limit on the conciliation process, the consequences of failure to achieve
voluntary compliance, and an offer of assistance to the recipient or subrecipients
in devising a remedial plan for compliance, if appropriate.
Letters of finding and resolution will offer the complainant and the subrecipient the
opportunity to provide additional information that would lead MassDOT to
reconsider its determinations. Parties named in the complaint should provide this
additional information within 60 days of the date the letter of finding was
transmitted. After reviewing this information, MassDOT will respond either by
issuing a revised letter of resolution or finding to the appealing party, or by
informing the appealing party that the original letter of resolution or finding
remains in force.
In the event that the complainant is not satisfied with the result, he or she may
forward the complaint to the FHWA Division Office of Civil Rights. The allegation(s)
will be analyzed by FHWA, and the complainant will be notified by FHWA of the
status of the complaint.
A flowchart representing this complaint process can be found as Figure 3-1 in Appendix N.
3.4.2 Record Keeping
A complaint log will be maintained for all USDOT complaints filed with and investigated by
MassDOT. The log will identify: each complainant by race, color, national origin, income,
age, gender, and disability status; the subrecipient (when applicable); the nature of the
complaint; the dates the complaint was filed and the investigation completed; the
disposition; the date of disposition; and any other pertinent information. A separate log
will be maintained that will include USDOT and state-level matters that are on our docket.
3.5 Opportunities for Disadvantaged Business Enterprises
MassDOT has developed a separate DBE Program that includes a broad series of policies,
procedures, and standards that apply to business firms that seek to perform work on
federally aided projects. These rules are focused on inclusion of firms within this program,
program governance, and means to address complaints or concerns raised by or about the
participating DBEs. For a complete description of the DBE Program, including how DBEs
are selected, and of the methodology for setting DBE goals and assessing DBE achievements
within MassDOT, please refer to Appendix J.
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3.6 Inclusion of Title VI Provisions in Contracts
All federally funded contracts are handled by Construction Contracts and include Appendix
A of MassDOT’s Federal Highway Assurance for Title VI. These provisions require the
prime contractors and subcontractors to acknowledge that they adhere to Title VI
regulations.
3.7 Environmental Justice (EJ)
To ensure that minority and low-income individuals are included and respected in all
aspects of the transportation planning processes, MassDOT has developed a demographic
map using data from the 2000 U.S. census to show areas of concentrations of EJ
populations. 2 These data have been used to shade census tracts that are classified as
minority, low-income, or both minority and low-income. For the purposes of these maps,
minority areas are defined as areas were the percentage of minority residents exceeds the
percentage minority population for the state as a whole.
To identify low-income areas, MassDOT is using a different threshold than is suggested by
FHWA, which suggests that low-income persons should be defined as those whose median
household income is at or below the U.S. Department of Health and Human Services’
poverty guidelines, which are the same for all 48 contiguous states. Because the cost of
living in Massachusetts is much higher than the national average, tying the definition of
low-income to the median income of the area provides a more accurate representation of
income status in relation to the region. MassDOT is, therefore, defining a low-income
census tract as one in which the median household income is less than 60 percent of the
median household income for the area as a whole. This definition is comparable to that
adopted by the MBTA and the Boston Region Metropolitan Planning Organization (MPO)
for the purposes of Title VI and environmental-justice analyses.
Statewide, using these definitions, any census tract in which the percentage of minority
residents exceeds 18.12 percent is designated as minority, and any census tract having an
annual household income less than $30,301 is designated as low-income.
Since 2000, Massachusetts has grown more racially diverse, a trend confirmed by the 2010
U.S. Census which showed a racial breakdown of population at 76% white non-Hispanic
and 24% racial and ethnic minority. In 1980, 92% of Massachusetts’ residents identified
themselves as white/non-Hispanic and 8% as racial or ethnic minority.
The Commonwealth’s population grew 3.1% between 2000 and 2010 to 6,547,629; nearly
25% of the statewide population increase took place in Boston, Worcester, Revere,
Lawrence and Quincy. The modest statewide population growth took place despite a
2Because 2010 census data is not yet available regarding income status, MassDOT is currently using 2000 data. As soon as the American
Community Survey data for 2006-2010 are released, the demographic map will be updated.
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decline of almost 2% in residents identifying themselves as white. Across Massachusetts,
the number of minorities rose 40% from 1 million in 2000 to 1.4 million in 2010. According
to the 2010 Census, minority groups make up more than half the population in eight
communities: Boston, Lawrence, Chelsea, Springfield, Brockton, Holyoke, Lynn and
Randolph.
MassDOT will continue to update and map its EJ data to share internally and with
subrecipients for use in identifying areas of concern to ensure inclusion in public outreach
efforts and for evaluating the benefits and burdens of transportation projects during the
planning process.
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4 Program for Conducting Title VI Reviews
Each functional area is required to conduct its activities in compliance with Title
VI/Nondiscrimination. The objective of conducting recurring reviews throughout the
agency is to keep staff members aware of the Title VI/Nondiscrimination implications in
their work as well as provide the Office of Diversity and Civil Rights with an opportunity to
review process and suggest areas of improvement as well as identify viable sources of data
collection and methods for its analysis.
This chapter describes the data collection, analysis, and reporting processes that will be
carried out for evaluating the Title VI/Nondiscrimination implications throughout
MassDOT. In addition, the elements of the Title VI/Nondiscrimination process review are
outlined, along with the Title VI/Nondiscrimination roles and responsibilities within each
program area at MassDOT.
4.1 Data Collection and Analysis
4.1.1 Data Collection
An integral part of the Title VI/Nondiscrimination Program is the review and analysis of
program, service, and activity-related processes and data to identify any indicators of
potential discrimination, whether intentional or disparate impact. The MassDOT Title VI
Working Group is comprised of Title VI Liaisons from throughout the agency. Among their
responsibilities is identifying programs, services, and activities that affect or involve the
public from within their respective units or those with which they are familiar. Once
identified, these instances of public impact will be reviewed and analyzed by the Title VI
Liaisons in collaboration with the Title VI Specialist. Collecting and analyzing data on these
processes allows MassDOT to determine whether compliance with Title VI is being
maintained. Relevant findings and/or suggested corrective actions will be relayed to
department heads and considered for inclusion into the annual MassDOT Title
VI/Nondiscrimination Accomplishments and Work Plan report.
MassDOT’s Office of Diversity and Civil Rights will work with the Title VI Liaisons for each
functional area to ensure that all requisite Title VI–related data associated with each
federal Program Area—Planning/Research, 3 Design, Environment, Right-of-Way,
Contracts/Contract Administration, Construction, Maintenance, Safety, and Training—is
collected. Pursuant to 28 CFR 42.406(b), the following data will be collected 4:
The Planning and Research Program Areas are considered together because they are both in the Office of
Transportation Planning at MassDOT.
4 The descriptions of data are taken from the regulation.
3
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•
•
•
•
•
•
The manner in which services are or will be provided by the program in
question, and related data necessary for determining whether any persons
are or will be denied such services on the basis of prohibited discrimination
The population eligible to be served by race, color and national origin
Data regarding covered employment, including use or planned use of
bilingual public-contact employees serving beneficiaries of the program
where necessary to permit effective participation by beneficiaries unable to
speak or understand English
The location of existing or proposed facilities connected with the program,
and related information adequate for determining whether the location has
or will have the effect of unnecessarily denying access to any persons on the
basis of prohibited discrimination
The present or proposed membership, by race, color and national origin, in
any planning or advisory body which is an integral part of the program
Where relocation is involved, the requirements and steps used or proposed
to guard against unnecessary impact on persons on the basis of race, color or
national origin
Additional data required by FHWA that will be captured includes:
•
•
•
•
•
•
Allocated funds or other financial assistance
Demographic profile of affected communities
Demographics of owners of property to be taken and persons or businesses to be
relocated or adversely affected, including race, color, national origin, age, gender,
and disability status
Lawsuits filed (including status) alleging discrimination based on protected
categories
Brief description (including status) of applications to other federal agencies for
assistance and of other federal assistance provided
Statements on compliance reviews
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•
•
Record of complaints and a description of how they were processed
Training and technical assistance provided and attendance records
Each federal program area will be responsible for ongoing data collection for its programs
and activities. The Federal Program Manager, the Title VI Specialist, and the staff of the
Office of Diversity of Civil Rights will collaborate with each federal program area to
accomplish these data collection requirements. One such method of collaboration is the
recurring internal reviews described below. While new sources of data or new methods of
analysis may be identified through the recurring internal review process described below,
the Office of Diversity and Civil Rights is available for consultation on these issues by any
MassDOT unit, as needed.
Identified Data Sources
During preliminary discussions with each functional area, a number of data collection
systems and processes were identified, as described below. The Title VI Specialist will
require each functional area to identify and assess the data collection methods used and
submit this information to the Office of Diversity and Civil Rights. This information will be
included in an agency-wide inventory that can be used by anyone at MassDOT.
Identification of these systems will be the first step; the next will be to address how to
leverage them to adequately capture Title VI information. This task will be a joint venture
between the Federal Program Manager, the Title VI Specialist, the Title VI Liaisons, and
high-level managers within the functional areas.
Office of Construction: A number of databases are used by the headquarters office as well as
the six District offices:
•
•
•
The Construction Contracts Database captures advertised projects until they are
awarded with a Notice to Proceed (NTP).
The Construction Division System captures payments and changes after the NTP.
The Equitable Business Opportunities (EBO) Database tracks DBE/WBE and is
overseen by the OCR Construction Compliance Officer. A bond bill recently passed
by the Massachusetts state senate requires wage rates to be updated each year. The
ability to compare Department of Labor wage rates with the wage rates in
Massachusetts is currently under development. Once complete, this information can
be used to identify any relevant discrepancies.
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•
•
•
•
The Construction Management System (CMS) will be debuted next year; it will link
all Construction-related databases into one easily accessible system.
Comm-PASS and Bid Express, which are the Commonwealth’s online procurement
sites, publicly post information on bid results and tabulations on a weekly basis.
At the Cashier’s Office, a Plan Holders List for job numbers is kept, which is a log of
all parties (official bidders and the public) who sign out information on a job
contained in the Blue Book. This log includes anyone who requests information and
tracks company name, address, telephone and fax numbers, email address, purchase
date, and price.
Each District currently maintains a Contractor Library where one can search for
prime contractors, contracts, and certifications. The Director of District 2 has
proposed tracking the same information on subcontractors who work within each
district. A contractor has been hired to streamline the process statewide.
Office of Highway Operations and Roadway Maintenance: The Artery Maintenance
Management Information System tracks the assets inventory and maintains a rotating
maintenance schedule. The Asset Management Group conducts the surveys to collect
information for this system.
Office of Design: Comm-PASS is used for solicitations and bids.
Design and Environmental Offices: ProjectInfo is used for internal project management.
ProjectInfo includes information about the progression of projects: PNF, PIF, PNC,
Approved, 25%, 75%, 100%, Final, and Advertising. Information stored in ProjectInfo is
available throughout the agency, and the user can search by project or contract number.
The system currently manages information for 806,611 MassDOT vendors. ProjectInfo
includes a planning and mapping tool that allows the user to zoom in to any municipality at
street level and see the project number or contract code for MassDOT projects in that area
on the map. GIS, incorporating census and other data, is used to display the level of detail
required to perform this function.
The Title VI Specialist will continue to work with the Liaisons and high-level managers to
explore pre-existing databases to identify and/or develop data collection methods that can
be used to satisfy the data collection and analysis requirements under the Title
VI/Nondiscrimination Program. Special efforts will be made to identify and collect
information on environmental-justice (EJ) populations affected by the projects listed in
ProjectInfo.
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The Office of Construction is seeking to capture more information on subcontractors as it
consolidates databases moving forward under the CMS project. The Office of Highway
Operations and Roadway Maintenance could add a category on its asset inventory sheet to
capture EJ-community data. The Offices of Environment, Design, and Planning all currently
capture demographic data under the NEPA process that can be refined to use in addressing
the needs of low-income and minority populations.
Having completed internal reviews of Right of Way, Design, Environmental, and Planning in
FFY 2012, ODCR has developed a number of specific proposals for the collection and
analysis of data in each of those units. Those proposals are captured in unit-specific work
plans that will guide the Title VI efforts of each federal program area over the FFY 2013.
Examples of the proposals include utilizing a voluntary survey form to collect demographic
data of those impacted by Right of Way processes and providing a demographics survey
card at public meetings. These methods allow MassDOT to track the demographics of
members of the public impacted by agency programs, services, and activities.
4.1.2 Data Analysis
The Title VI Specialist, assisted by staff from the Boston Region MPO’s Central
Transportation Planning Staff (CTPS), is responsible for analyzing the data collected to
identify any patterns of discrimination and recommend corrective action as appropriate.
These analyses consider the impacts of MassDOT’s programs and activities on low-income,
minority, elderly, disability, and LEP populations, as appropriate.
The following types of analyses, when feasible, will be conducted to address compliance
with Title VI:
•
•
•
Based on demographic data, comparison of benefits and burdens on individuals and
communities impacted by MassDOT programs, services, and activities
Distribution of benefits (dollars, facilities, systems, projects)
Impact of investments
Through these analyses, patterns or practices leading to potential discriminatory impact
may be discovered to be inherent in a process or procedure on its face or may be found as
the result of a process or procedure being implemented in a discriminatory manner. This
analysis of data will also help identify strategies and options for addressing impacts and
avoiding future disparate treatment and impacts. Recommendations based upon the data
analysis will be included in MassDOT’s annual Title VI/Nondiscrimination
Accomplishments and Work Plan report to FHWA.
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4.1.3 Data Reporting
The Title VI Liaisons will be responsible for submitting periodic Title VI reports to the Title
VI Specialist, and for engaging with their liaison colleagues, the Federal Program Manager,
and the Title VI Specialist. The Title VI Specialist will act as the clearinghouse for all Title VI
reports, provide input regarding Title VI corrective actions, and meet periodically with the
Title VI Liaisons to discuss Title VI and related issues. The Specialist is responsible for
compiling the information received from the Liaisons in MassDOT’s annual Title
VI/Nondiscrimination Accomplishments and Work Plan report to FHWA. The Federal
Program Manager will review the submissions to ensure completeness and identify areas
where additional information is required prior to signature from the Title VI Coordinator
and transmission to FHWA.
4.2 Process Reviews
Title VI Liaisons, with the assistance and oversight of the Title VI Specialist, will be
responsible for coordinating and conducting periodic Title VI/Nondiscrimination Program
process reviews to identify and address potential discrimination issues within their
functional areas. These reviews will focus on specific functions within each of the federal
program areas (Planning/Research, 5 Design, Environment, Right-of-Way,
Contracts/Contract Administration, Construction, Maintenance, Safety, and Training). The
functions and Title VI roles and responsibilities of the program areas are described in
section 4.3. Each Title VI Liaison will be responsible for identifying the sources of the
relevant data and documentation that will be collected and reviewed to determine if
processes have the potential to lead to patterns of discrimination. Finally, each Title VI
Liaison will submit a yearly report to the Title VI Specialist on the outcome of the Title VI
process review activities. The Federal Program Manager will be responsible for oversight
of this process and for ensuring that the process and/or any corrective actions needed are
adopted and implemented.
4.3 The Functions and Title VI Roles and Responsibilities for Each Program
Area
4.3.1 Transportation Planning and Research
The Office of Transportation Planning (OTP) is responsible for implementing state and
federal planning requirements. It oversees the federally mandated metropolitan planning
process and development of Long-Range Transportation Plans, Transportation
Improvement Programs, and Unified Planning Work Programs. It develops the Statewide
Strategic Plan and State Transportation Improvement Program.
5The
Planning and Research Program Areas are considered together because they are both in the Office of
Transportation Planning at MassDOT.
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Services, functions, and products of OTP include:
•
•
•
•
•
•
•
Sustainable transportation programs
GIS planning and mapping
Major-development review and traffic mitigation negotiation
Transportation research and analysis
Transit planning and programs
Statewide freight planning
Intelligent-transportation-systems planning
In addition, all contracted MassDOT research projects are administered by OTP. If
MassDOT decides to hire a university or consultant, and more than one university or
consultant has the desired capabilities, a request for proposal may be sent to eligible
universities or consultants.
Title VI Role
The OTP Executive Director makes every effort to identify and eliminate discrimination in
the planning process. MassDOT employs civic engagement to identify mobility problems
and strategies to address them. Through the solicitation of public input and coordination
with the various MPOs and regional planning agencies (RPAs), potentially disparate
adverse impacts from a project are identified and addressed prior to preliminary design.
The Department’s planning process also includes the monitoring and collection of varied
data pertaining to transportation issues. Additionally, OTP coordinates public involvement
through MPOs and RPAs and provides technical support when needed.
The OTP Executive Director also ensures that the Title VI nondiscrimination requirements
are applied to all research-related activities.
Title VI Responsibilities
To fulfill its Title VI role with regard to planning and research, OTP must:
1. Employ an effective public involvement and participation process; this must include
disseminating program information (in languages other than English where
appropriate) through minority and ethnic media, through local organizations, and
via outreach to minority and low-income communities to ensure participation of a
cross section of various social, economic, and ethnic interest groups and individuals
in the planning process. Specifically:
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a) Recognize specific and prominent community issues and circumstances
b) Utilize mechanisms for eliciting and soliciting minority involvement
c) Ensure availability of and accessibility to information
d) Make use of multiple mechanisms for involving the public
e) Make the process accessible
2. Consider public input, particularly from minority groups/persons
3. Conduct planning with the goal of providing equitable transportation facilities and
services; review all proposed projects for their potential to have a disproportionate
negative impact on low-income, minority, and other disadvantaged populations that
are subject to additional consideration in accordance with applicable Title VI and
environmental-justice provisions; develop strategies to offset negative impacts
(social, economic, and environmental) across investments
4. Coordinate with Native American tribal governments
5. Outreach to minorities and women with research contracting opportunities
6. Work with the Title VI Specialist to conduct pre-federal-assistance reviews
7. Work with the Title VI Specialist to conduct reviews for compliance and verification
8. Work with the Title VI Specialist to conduct annual post-federal-assistance reviews
of each MPO’s and RPA’s Unified Planning Work Program
9. Ensure nondiscrimination in the distribution/solicitation of research contracts and
in the consultant selection process
10. Identify minority colleges and universities (or minority technical/research
associations within colleges and universities) and ensure that they receive all
proposal/problem statement solicitations and instruct on how to develop/tailor the
services they offer to participate in MassDOT projects
11. Ensure that Disadvantaged Business Enterprise (DBE) participation in consultant
contracts is monitored and reported to the Department’s DBE Liaison Officer
12. Ensure that MassDOT’s work program, in accordance with 23 CFR 420.209,
describing Research, Development, and Training program activities is submitted to
FHWA by October 1 annually
13. Maintain records of all Title VI efforts
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14. Provide MassDOT’s Title VI Coordinator (via the Federal Program Manager and Title
VI Specialist) with an annual Goals and Accomplishments Report (due September 1)
15. Complete and submit an annual Title VI Compliance Checklist (due September 1)
16. OTP’s MPO Liaisons will assist in the recurring review of MPO Title
VI/Nondiscrimination submissions, such as triennial Title VI Programs and annual
updates
4.3.2 Design
The Deputy Chief Engineer, Design, oversees the project development process and manages
all aspects of Highway Division design projects to ensure that projects comply with
MassDOT’s Project Development and Design Guide, as well as state and federal regulations.
Design projects have many origins, including metropolitan planning organizations’
priorities, bridge or highway maintenance requirements, federal funding programs
(enhancements or Congestion Mitigation and Air Quality [CMAQ]), and MassDOT Highway
District requests. Project designs are generated by engineering consultants or in-house
staff and generally follow the process outlined in the Project Development and Design Guide.
The 25%, 75% and 100% design completion points are milestones at which project plans
are reviewed for compliance with environmental regulations, adherence to design criteria,
utility and right-of-way considerations, and budget constraints.
During the preliminary design process, information regarding the social, economic, and
environmental project impacts is reviewed to determine what mitigation, if any, is needed.
Design engineers also ensure that all design criteria are met for walkways, street crossings,
and pedestrian facilities in accordance with the most current Americans with Disabilities
Act Accessibility Guidelines (ADAAG), including the modifications prescribed by 49 CFR
Part 37, Appendix A. With regard to transportation system facilities within the public rightof-way, design engineers ensure that the standards set forth in49 CFR Part 37.9 are
applied.
Title VI Role
During the design process, provisions are made to ensure that Title VI criteria are met for
each project by obtaining and acting on information pertaining to the potential adverse
impacts on both the cultural and natural environments. Under this Program, the Title VI
Liaison from Design will ensure that public involvement, including the involvement of
minority, low-income, and LEP communities, is solicited at public information meetings, as
appropriate, for all projects. Project managers ensure that all letters and public notices
regarding public meetings contain appropriate Title VI/Nondiscrimination language and
that reasonable accommodations are made available for people with disabilities or limited
English proficiency, as needed.
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Title VI Responsibilities
To fulfill its Title VI role with regard to project design, the Design Unit must:
1. Ensure that efforts are made and documented to solicit involvement of minority, lowincome, elderly, LEP, and disability communities/populations and that appropriate Title
VI/Nondiscrimination language is used in all notification letters and public notices
regarding public meetings
2. Establish and follow procedures to document the level of participation of minority
persons, low-income persons, elderly persons, LEP persons, and persons with
disabilities at public meetings to the extent practical and as appropriate
3. Ensure that pertinent design criteria, as mandated by the ADA and implementing
Section 504 regulations, are considered and incorporated, to the extent practical, into
all projects
4. Coordinate with MassDOT’s DBE Liaison Officer to identify DBE consultants available to
perform related work and ensure solicitation to the same
5. Ensure that DBE participation on all consultant contracts is monitored and reported to
MassDOT’s DBE Liaison Officer
6. Maintain records of all Title VI efforts
7. Provide MassDOT’s Title VI Coordinator (via the Title VI Program Manager and
Specialist) with an annual Goals and Accomplishments Report (due September 1 )
8. Complete and submit an annual Title VI Compliance Checklist (due September 1)
4.3.3 Environmental Services
The Environmental Services section (Environmental) is responsible for overseeing the
environmental compliance activities for MassDOT to ensure that the roadway and bridge
construction and repair program as well as maintenance depot operations are conducted in
an environmentally sound manner. To effectuate environmental justice and to eliminate
disparate impacts on populations protected under Title VI and related nondiscrimination
statutes, Executive Orders, and regulations, Environmental provides the technical expertise
required for analyzing the social, economic, and environmental impacts of each project.
Environmental’s work is done through several component units and programs:
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Cultural Resources Unit
The Cultural Resources Unit's review of MassDOT projects is generally conducted either
under Section 106 of the National Historic Preservation Act of 1966 (if federally funded or
permitted) or M.G.L. Chapter 9, Section 26-27C, as amended by Chapter 254 of the Acts of
1988 (if state funded). In 2004, MassHighway (now the Highway Division of MassDOT)
entered into a programmatic agreement with the Massachusetts State Historic Preservation
Officer (SHPO), the FHWA, and the Advisory Council on Historic Preservation that allows a
streamlined Section 106 review for minor highway projects with federal funding.
The work of the Cultural Resources Unit includes:
•
•
•
•
•
•
•
Ensuring that early coordination with the appropriate local historical commissions
and Tribal Historic Preservation Officers is conducted
Maintaining and expanding the Massachusetts Historic Bridge Inventory
Performing or directing documentary research and architectural and archaeological
field surveys, evaluating the historical/archaeological significance of all properties
within a proposed project impact area, and reviewing project plans to identify and
evaluate the project’s effect on historically significant properties
Coordinating and consulting with the FHWA, the SHPO/Massachusetts Historical
Commission, local historical commissions, Tribal Historic Preservation Officers,
other federal and state agencies, and interested parties regarding impacts on
historic properties
Seeking alternatives to minimize or mitigate impacts on historic properties (for
example, approaches described in MassDOT’s Adaptive Reuse of Bridges)
Preparing and filing clearance documentation with the appropriate regulatory
authority
Providing assistance to state and federal agencies (for example, the Cultural
Resources Unit evaluated the National Register eligibility of the Interstate Highway
System within Massachusetts for the FHWA)
Environmental Management System (EMS) and Sustainability Unit
The EMS and Sustainability Unit is responsible for the development and implementation of
MassDOT’s Environmental Management System and documentation of MassDOT’s efforts
in the area of sustainability. The EMS and accurate documentation are management tools
that assist MassDOT in complying with state and federal regulations by reducing waste,
promoting the efficient use of resources, and preserving customer confidence. The Unit has
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staff in the Highway Division’s Boston headquarters and an EMS Compliance Coordinator in
each of the six Highway Districts.
MEPA/NEPA Unit
The primary duties of the MEPA/NEPA Unit consist of project review pursuant to the
Massachusetts Environmental Policy Act (MEPA) and the National Environmental Policy
Act (NEPA). The MEPA/NEPA Unit is also responsible for completing environmental design
reviews throughout the various design stages of projects. The Unit is consulted early in the
preliminary design process to identify a project’s potential impacts on environmental
resources and guide the designers through its permitting requirements. The initial 25%
design review includes the review of interactive GIS-based maps, coordination with other
MassDOT environmental units, and careful analysis of the project design as it relates to
applicable environmental laws and regulations.
Hazardous Materials Investigation and Remediation Unit
This Unit’s staff performs hazardous-materials reviews on project designs for possible oil
and hazardous waste/materials impacts, and if appropriate, recommends that special
provisions be included in the construction contract to address identified issues. Unit staff
members also have direct oversight of remedial activities at MassDOT-controlled oil and
hazardous-materials release sites to ensure compliance with M.G.L. Chapter 21E and the
Massachusetts Contingency Plan. The Unit also consults on right-of-way properties that
have contamination issues.
Salt Remediation Program
Another primary function of the Environmental Services Section is administration and
management of the Salt Remediation Program. Because salt application in winter
maintenance operations can potentially have impacts on drinking water supplies in the
form of elevated sodium and chloride concentrations, the MassDOT Highway Operations
and Maintenance Unit has implemented a progressive program to address this issue. This
program includes the Water Supply Salt Contamination Complaint Policy, which guides
investigation and remediation.
Environmental Project Development Unit
The focus of the Environmental Project Development Unit is on initiating early project
coordination with the affected communities and the environmental agencies; reviewing
roadway and bridge construction designs to assess impacts on the surrounding
communities and the natural environment; and determining proper impact-avoidance,
minimization, and mitigation strategies. Emphasis is placed on continual refinements of the
Project Development Process to improve coordination with the public, local government
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boards, and area legislators and to become more efficient in the acquisition of permits and
project approvals.
The Project Development Unit was instrumental in initiating the Early Environmental
Coordination for Design Projects Engineering Directive. This directive established a
standard process in which designers initiate early coordination with local groups and
MassDOT ensures that community concerns and issues are appropriately addressed in the
25% design submission. This directive encompasses the full range of environmental and
local concerns so as to help designers create projects that are environmentally sound and
fit into the context of the communities in which they are constructed. Project designers are
required to include written confirmation of coordination with the appropriate local boards,
commissions, and interested parties and to submit sufficient detail in the 25% design for
environmental permitting to be initiated.
Wetlands and Water Resources Unit
The primary role of the Wetlands and Water Resources Unit is to ensure that all projects
scheduled for construction receive the applicable federal and state wetland permits prior
to advertising for construction bids. Staff prepare and/or review wetland permits and
wetland/storm water mitigation designs, delineate wetland boundaries in the field,
conduct habitat evaluations, and determine wetland functions and values in accordance
with the Department of Environmental Protection (DEP) and U.S. Army Corps of Engineers
(ACOE) methodologies.
Staff review proposed projects, provide technical and regulatory advice on wetland and
water quality issues, recommend design changes where possible to avoid and minimize
impacts, and determine the proper mitigation based on the extent of the impact relative to
the feasibility of the mitigation.
In order to meet the Department’s advertising goals and to facilitate expeditious
environmental agency reviews, this unit holds monthly meetings with the ACOE, holds
quarterly meetings with the U.S. Coast Guard, and routinely meets with DEP regional offices
and local Conservation Commissions to review projects and discuss policies and
procedures related to wetland and water quality protection.
Noise Barriers Program
In order to address noise issues in a fair and equitable manner, MassHighway’s Noise
Barrier program is founded on FHWA noise abatement criteria and policies and
MassHighway’s noise abatement guidelines. There are essentially two programs: Type I
and Type II. The Type I Program covers noise barrier construction coincident with
construction of major highways at new locations or physical alteration of an existing
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highway, such as substantial realignment or widening to increase the number of through
traffic lanes, thereby increasing capacity. The Type II Program is a voluntary effort to
construct noise barriers along existing interstate roadways where reasonable and feasible
and as funding priorities allow.
Title VI Role of the Environmental Services Section
The Environmental Services Section utilizes a systematic process to study and evaluate all
necessary environmental aspects of proposed projects in order to avoid, mitigate, and
minimize disproportionately high adverse impacts on the social, economic, and
environmental well-being of minority and low-income communities, among others.
Environmental Services classifies each project according to the categories identified by the
National Environmental Policy Act of 1969. The environmental studies to be conducted are
determined by the magnitude of potential impact. Environmental Services maintains
information regarding potential adverse social and economic impacts of each project. This
information is communicated to the Title VI Coordinator, Federal Program Manager, and
Title VI Specialist, who assist, as appropriate, in determining effective alternatives or
mitigation measures and ensures they are incorporated into project plans. To ensure Title
VI coverage across all of MassDOT’s Highway Districts, the Title VI Liaison will coordinate
with the Title VI Program Manager and Specialist to identify designees in each district
office to carry out Title VI responsibilities.
Title VI Responsibilities of the Environmental Services Section
To fulfill its Title VI role with regard to environmental impacts and the equity of their
distribution, Environmental Services must:
1. Conduct early and continuous public involvement
2. Ensure that thorough analyses are conducted for each project to identify
disproportionate adverse social, economic, and environmental(SEE) impacts and
ensure that mitigation measures are implemented to avoid or minimize adverse impact
3. Maintain demographic data on minority, low-income, LEP, elderly, and disability
communities/persons
4. In conformance with Title VI requirements, provide information regarding project
impacts and mitigation measures at public meetings/hearings and to affected
communities, and ensure public participation in evaluating mitigation measures
5. Maintain and provide to the Title VI Coordinator (via the Title VI Program Manager and
Specialist)general information concerning the status of Class I and Class III projects
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with respect to environmental assessments, environmental impact statements, and the
implementation of mitigation
6. Provide oversight/consultation for environmental activities related to federally assisted
projects provided through or by MassDOT
7. Ensure that DBE participation on all consultant contracts is monitored and reported to
MassDOT’s DBE Liaison Officer
8. Coordinate with the MassDOT DBE Liaison Officer to identify DBE consultants available
to perform related work and ensure solicitation to the same
9. Maintain records of all Title VI efforts
10. Provide MassDOT’s Title VI Coordinator (via the Federal Program Manager and Title VI
Specialist) with an annual Goals and Accomplishments Report (due September 1)
11. Complete and submit an annual Title VI Compliance Checklist (due September 1)
4.3.4 Right-of-Way
The MassDOT Right of Way Bureau (ROW) is responsible for securing and managing all
property and rights in land required for the road and bridge program.
The Project Section reviews preliminary ROW plans, gathers parcel and owner data relative
to the project, and provides data to the Conveyance and Appraisal Sections. This Section
also contacts property owners and explains the project and its impact to them.
The Conveyance Section prepares and reviews titles, prepares leases, deeds, memoranda of
understanding, and other legal documents, and records plans, orders of taking, and other
related documents at the various Registries of Deeds.
The Appraisal Section prepares and reviews appraisals to establish the value of fee
acquisitions, permanent and temporary easements, and other rights in property.
The Negotiation Section meets with property owners to explain the situation and answer
questions about the impact of road and bridge projects on their property and inform them
of the amount of compensation being offered. The negotiators also answer questions,
address concerns, and explain the owner’s rights in the eminent-domain process.
The Relocation Section ensures that all personal property is moved from the acquired land
and the owners or tenants are reimbursed for the eligible cost of the move. Relocation
agents meet with the property owners or tenants living or conducting business at the
acquired property, explain what benefits they are entitled to, and offer relocation
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assistance to them. When moves are completed, the relocation agents present the claims
for payment approval and processing; they then tender the payments to the claimants.
The Community Compliance Section ensures that municipalities follow all applicable state
and federal regulations prior to the issuance of a right-of-way certificate, which allows the
city or town to proceed with roadway and bridge projects.
The Property Management Section performs typical property management duties when
structures are included in the acquisition. Fair-market rent is determined and charged to
the occupant of the structure acquired. Property Management is also responsible for
maintenance until the structure is vacated. This Section maintains Commonwealth-owned
property, collects rent, and removes or demolishes all structures acquired by MassDOT. It
also handles the disposition of MassDOT-owned property.
The Finance Section develops the annual administrative and capital budgets and is
responsible for timely payments for goods, services, and property acquisitions.
The Clerical Section provides administrative support to the other Sections of the ROW
Bureau through document preparation and distribution, filing, and file maintenance.
The Outdoor Advertising Section regulates and controls the erection and maintenance of
off-premise billboards, signs, and other advertising devices. Licenses are issued to firms
and individuals wishing to engage in the business of outdoor advertising, and permits are
issued on an annual basis for the erection and maintenance of signs, in accordance with
711 CMR 3.00, et seq.
Title VI Role
To ensure Title VI compliance, the Right of Way Bureau’s property acquisition process is
conducted in accordance with the Project Development and Design Guide and all applicable
laws and regulations. Throughout all phases of acquisition, MassDOT ensures that all Title
VI requirements of nondiscrimination are observed and implemented. The Director of
Right of Way establishes and enforces procedures to ensure nondiscrimination in
appraisal, negotiation, acquisition, management, relocation, and adjustment of utilities. To
ensure Title VI coverage across all of MassDOT’s Highway Districts, the Title VI Liaison
from ROW will coordinate with the Federal Program Manager and the Title VI Specialist to
identify designees in each district office to carry out Title VI responsibilities.
Title VI Responsibilities
To fulfill its Title VI role with regard to acquiring and maintaining rights-of-way, the Right
of Way Bureau must:
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1. Ensure participation by DBEs in Personal Services Contracts; typically these are
appraisal contracts, but they can cover all services of real estate, including negotiation,
relocation, and property management
2. Maintain data on the race, color, national origin, age, gender, and disability status of all
individuals impacted by the ROW process
3. Ensure that appraisal activity complies with Title VI and Title VII
4. Equitably advise affected property owners, tenants, and others involved of their rights
and options regarding negotiation, relocation, condemnation, and other aspects of the
acquisition process
5. Ensure that appraisal and negotiation operations do not have a disparate impact on
minority or low-income populations
6. Coordinate the preparation of deeds, permits, and leases to ensure the inclusion of the
appropriate Title VI clauses
7. Ensure that the determination of rent amounts is equitable and that the maintenance of
rental properties is adequate and consistently performed for all renters
8. Establish procedures to document the level of participation of minority, low-income,
LEP, and disabled persons at public hearings to an extent practical and appropriate
9. Ensure that hearing formats are designed to encourage participation by and comments
from underrepresented persons and communities
10. Establish notification and advertising procedures to ensure that efforts are made to
notify minority and low-income populations and that appropriate Title VI language is
used in all letters and public notices
11. Maintain records of all Title VI efforts
12. Provide MassDOT’s Title VI Coordinator (via the Federal Program Manager and the Title
VI Specialist) with an annual Goals and Accomplishments Report that includes the
status of contract awards to DBE service providers (due September 1)
13. Complete and submit an annual Title VI Compliance Checklist (due September 1)
4.3.5 Construction and Contracts/Contract Administration
The Construction Department manages all aspects of MassDOT construction projects,
including contract administration, to ensure that all construction complies with MassDOT
Highway plans and specifications and to ensure that construction proceeds safely and in
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accordance with established schedules and budgets. The Construction Department includes
a Boston Construction Office, construction departments in each of the six District offices,
and the Research and Materials Section.
The Boston Construction Office is headed by the Deputy Chief Engineer for Construction. It
includes Construction Management and Construction Finance. Construction Management
handles all technical issues related to MassDOT Highway construction, including evaluating
bids, recommending contract awards, processing contract changes, and coordinating
responses to technical questions that arise during construction. Construction Finance
handles all financial paperwork for construction contracts, including funding
appropriations, fiscal tracking for spending, extra work order funding, and processing of
contractor pay estimates.
The Construction Office in each of the six Districts is headed by a District Construction
Engineer, supported by assistant construction engineers, area engineers, resident
engineers, and field engineers. These individuals have direct responsibility for monitoring
construction onsite, day-to-day to ensure that construction proceeds safely and in
accordance with established schedules and budgets.
Title VI Role
The Construction Department monitors project construction to minimize social and
environmental impacts on communities. In fulfilling this role, contract administrators
ensure that prescribed mitigation measures to reduce health and safety risks, as well as
environmental impacts, are effectively implemented. To further ensure compliance with
Title VI, Sections II and III of Form FHWA-1273 will be closely monitored by the contract
administrators to facilitate the goal of increased participation of minorities and females in
the federal-aid highway program.
Title VI Responsibilities
To fulfill its Title VI role with regard to project construction, contracts, and contract
administration, the Construction Department must:
1. Ensure that all contract administrators are trained and cognizant of contractual
requirements with respect to nondiscrimination as outlined in 23 CFR 230, Sub-part A/
FHWA Form 1273
2. Ensure that no barriers exist in prequalification, approval of subcontractors, and
bonding and licensing requirements
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3. Ensure that uniformity exists in the approval of plan changes and supplemental
agreements, and in the assessment of sanctions, liquidated damages, withholding
payments, suspension/termination of contracts, and decertification
4. Ensure that all mitigation measures are effectively implemented; for example, in the
areas of health and safety, noise and air impacts, and employment and contracting goals
5. Monitor contractor activities to prevent discrimination against or disparate treatment
of persons or communities, such as in the handling of waste/spill disposal or
environmental compliance or in the form of harassment
6. Maintain records of all Title VI efforts
7. Provide MassDOT’s Title VI Coordinator (via the Federal Program Manager and the Title
VI Specialist)with an annual Goals and Accomplishments Report (due September 1)
8. Complete and submit an annual Title VI Compliance Checklist (due September 1)
4.3.6 Maintenance
MassDOT Highway operations and maintenance is conducted in the six Districts according
to the Maintenance Program. The Maintenance Program is developed on the basis of a
comprehensive process of inspection, evaluation, and prioritization of maintenance efforts.
The Highway Division’s Boston office makes the policy decisions that lead to the road
improvement projects that are planned or are ongoing across the commonwealth. The
Highway Division identifies roads and bridges that are in need of repair, reconstruction, or
replacement and works to make the appropriate upgrades. MassDOT’s priority is safety
with as little inconvenience as possible to Massachusetts motorists.
Each district is under the direction of the District Highway Director (DHD), who reports to
the Chief Engineer. The District Office supervises all construction within its jurisdiction,
performs on-site engineering, implements maintenance and preventive maintenance
programs, generates proposals for maintenance and construction work, and provides
engineering support to cities and towns.
Title VI Role
Each Highway District office ensures that the development and implementation of the
Maintenance Program is compliant with Title VI/Nondiscrimination requirements. Each
office considers demographic information when developing maintenance plans and
conducting maintenance operations to ensure that the allocation of materials and
resources is fair and uniform. To ensure Title VI coverage across all of MassDOT’s Highway
Districts, the Title VI Liaisons will coordinate with the Federal Program Manager and the
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Title VI Specialist to identify designees in each District office to carry out Title VI
responsibilities.
Title VI Responsibilities
To fulfill its Title VI role with regard to roadway maintenance, each Highway District office
must:
1. Monitor maintenance activities and inspect work to ensure the Maintenance Program is
being implemented in a nondiscriminatory manner
2. Ensure that all mitigation measures are effectively implemented; for example, in the
areas of health and safety, noise and air impacts, and employment and contracting goals
3. Maintain records of all Title VI efforts
4. Provide MassDOT’s Title VI Coordinator (via the Title VI Program Manager and
Specialist)with an annual Goals and Accomplishments Report (due September 1)
5. Complete and submit an annual Title VI Compliance Checklist (due September 1)
4.3.7 Safety
The MassDOT Highway Traffic Engineering Section is responsible for overseeing traffic
engineering activities to ensure that the roadway and bridge construction and maintenance
programs comply with the federal Manual of Uniform Traffic Control Devices (MUTCD) and
the Commonwealth of Massachusetts General Laws. This includes preparing and reviewing
various traffic engineering documents such as:
•
•
•
•
•
•
•
Traffic signal permits
Speed limit regulations
Traffic control agreements
Highway sign policy
Traffic Management Plan Manual
Traffic impact studies and functional design reports
Highway Safety Improvement Program
The Traffic Engineering Section provides technical review services for all construction and
maintenance projects prepared for MassDOT, including private development mitigation
and municipal construction projects. The staff provides regulatory guidance and technical
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expertise to support compliance with current state and federal standards. In addition,
Traffic Engineering staff is engaged in numerous field activities to support Department
policy, including traffic signal inspection, road safety audits, work zone inspections, rightof-way investigations, speed zoning, sign and pavement marking inspection, and fatal-crash
investigations.
The Safety Management group of Traffic Engineering maintains a database of crash data in
support of the records collected by the Registry of Motor Vehicles. Staff uses the crash data
to identify locations for safety improvement projects and works with the regional planning
agencies to produce a priority listing of safety project needs under the Highway Safety
Improvement Program. In addition, the Safety Management staff participates in numerous
statewide safety initiatives aimed at reducing fatal and severe-injury crashes and
increasing safety belt usage.
Title VI Role
The Traffic Engineering Section provides safe work zones for all workers and road users
while also providing for the highest level of mobility. It notifies the general public of
upcoming construction work and the associated impact the work is expected to have on the
public way.
Traffic Engineering effectuates Title VI, Title II of the ADA, and Section 504 of the
Rehabilitation Act of 1973 by ensuring that traffic control devices and signals are designed
and located in a uniform manner. The Chief Engineer ensures that signals, signs, and
auxiliary devices are considered in the development of all MassDOT projects and that they
conform to the standards prescribed in the Americans with Disabilities Act Accessibility
Guidelines (ADAAG) and the MUTCD and to the Commonwealth’s applicable provisions
from the Architectural Access Board. These standards will soon be more focused through
the anticipated adoption of the Public Right-of-Way Accessibility Guidelines. Additionally,
Traffic Engineering incorporates methods of communication into traffic control systems to
ensure that communications provided to persons with disabilities are as effective as
communications with others. To ensure Title VI coverage across all of MassDOT’s Highway
Districts, the Title VI Liaisons will coordinate with the Federal Program Manager and the
Title VI Specialist to identify designees in each District office to carry out Title VI
responsibilities.
Title VI Responsibilities
To fulfill its Title VI role with regard to safety, Traffic Engineering must:
1. Equitably provide safe work zones for all workers and road users while also providing
for the highest level of mobility
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2. Ensure that traffic control plans, systems, and devices are provided in such a manner as
not to have a disproportionate negative effect on minority or low-income populations
3. Ensure that pedestrian signals are designed and placed to accommodate persons with
various disabilities in accordance with the ADAAG, Chapter 3.5, the MUTCD, and/or
other applicable laws or regulations
4. Ensure that pedestrian signage complies with the criteria outlined in the MUTCD and
other applicable laws or regulations
5. Ensure that DBE participation on all consultant contracts is monitored and reported to
the Department’s DBE Liaison Officer
6. Maintain records of all Title VI efforts
7. Provide MassDOT’s Title VI Coordinator (via the Title VI Program Manager and
Specialist)with an annual Goals and Accomplishments Report (due September 1)
8. Complete and submit an annual Title VI Compliance Checklist (due September 1)
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5 Compliance Monitoring
Pursuant to 23 CFR § 200.9(b)(5), (6), and (7), MassDOT is required to implement a Title
VI/Nondiscrimination Compliance Monitoring Program for both its own and its
subrecipients’ programs and activities. The purpose of compliance monitoring is to
evaluate whether or not MassDOT and its subrecipients are meeting their respective
nondiscrimination obligations. The monitoring process provides an opportunity to identify
deficiencies and corrective actions to bring programs and activities into compliance with
the terms of this Title VI/Nondiscrimination Program.
MassDOT is required to perform the following Title VI/Nondiscrimination programmonitoring activities:
•
•
•
Develop a program to conduct Title VI/Nondiscrimination compliance reviews of
MassDOT’s federal program areas
Conduct an annual Title VI/Nondiscrimination review of the federal program areas
to determine the effectiveness of nondiscrimination activities and implement
corrective actions, as needed
Conduct Title VI reviews of subrecipients (e.g.,MPOs, colleges and universities, and
local public agencies)
The Title VI Specialist, as directed by the Federal Program Manager and with the support of
the Title VI Liaisons, has the primary responsibility for monitoring implementation of the
Title VI/Nondiscrimination Program and ensuring compliance. MassDOT’s monitoring
program includes observation and documentation of processes and analyses of statistical
data. In partnership with the Title VI Liaisons, the Title VI Specialist will conduct process
reviews of program area activities and review and analyze statistical data to identify Title
VI implications. The Title VI Specialist is responsible for preparing required annual reports
to FHWA for review by the Federal Program Manager and approval by the Title VI
Coordinator.
5.1 Compliance Monitoring Program
The Title VI Specialist is working with the Title VI Liaisons to identify the federal program
area segments that should be monitored for Title VI compliance and the types of data that
are available. In addition, the Title VI Specialist is working with the Liaisons to identify
methods to analyze the available data to determine if there are any patterns of
discrimination in any process within the identified federal program areas.
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The Title VI Specialist will work with the Title VI Liaisons to develop an annual compliance
review schedule for approval by the Federal Program Manager and the Title VI
Coordinator. The compliance review schedule will include process reviews and reviews of
annually identified special-emphasis areas, as required. Additionally, the Title VI Specialist
will develop procedures and methods for evaluating subrecipient compliance, subject to
the review and approval of the Federal Program Manager and the Title VI Coordinator.
5.2 Internal Compliance Monitoring
In accordance with 23 CFR § 200.9(b)(1), MassDOT’s Title VI Specialist is responsible for
initiating and monitoring Title VI activities. Each Title VI Liaison will be responsible for
working with the Title VI Specialist to establish and implement strategies for eliminating
potential discrimination in their areas and to develop procedures for collecting and
analyzing data that can be used to monitor compliance. The Title VI Liaisons will also be
responsible for performing periodic Title VI self-reviews and reporting the results to the
Title VI Specialist. To facilitate these reviews, the Title VI Specialist with work with each
Title VI Liaison to develop a compliance-review questionnaire.
In the Fall of 2011, MassDOT will establish a Title VI Working Group that will be comprised
of the Title VI Liaisons, the Title VI Program Manager, and the Title VI Specialist. This group
will meet periodically (not less than once every two months) to develop an agenda and
establish strategies for implementing the Title VI/Nondiscrimination Program. It is
anticipated that this Working Group will address the following broad objectives:
•
•
•
To help Working Group members and delegated District staff understand how Title
VI impacts their areas
To present a framework that will enable MassDOT to continuously maintain
compliance
To introduce MassDOT’s Title VI/Nondiscrimination Program plan of action
In addition, the Working Group will discuss and address a range of recurring activities
designed to build fluidity and consistency in the implementation of the MassDOT Title
VI/Nondiscrimination Program. The following activities will be included in these efforts:
•
•
•
•
Identification of District-level staff in each functional area
Collaboration on training and data collection
Identification of the roles and responsibilities of each federal program area
Administration of quarterly surveys
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•
•
Development of policies and procedures
Identification and provision of tools for implementation
To build the interdisciplinary aspect of this Title VI/Nondiscrimination Program, team
members will share information, approaches, and the results of their activities in the
following areas:
•
•
•
•
Self‐assessments
Quarterly surveys
Resolution of Title VI issues
Establishment of procedures for Program Areas
The Title VI Liaisons will be responsible for completing and submitting a Goals and
Accomplishments Report to the Title VI Specialist by September 1, annually, to be
incorporated in the submittal to FHWA. Each report will consist of a narrative activity
summary and a completed Compliance Review Questionnaire (see Appendix K for a draft of
the report framework for Right-of-Way). The Title VI Specialist will review the Goals and
Accomplishments Report and the completed compliance review questionnaire. Progress on
these initiatives will be documented in the annual Title VI Accomplishment Report to
FHWA.
Should any of the programs or activities present a pattern of discrimination, the Title VI
Specialist will work with the Title VI Liaison to identify and implement corrective actions
after, if needed, consultation with the Federal Program Manager and/or the Title VI
Coordinator.
5.3 Subrecipient Compliance Monitoring
Each MassDOT subrecipient will be required to sign the standard FHWA Title
VI/Nondiscrimination Agreement and Subrecipient Assurances document and update as
needed.
MPOs and RPAs will be required to appoint a Title VI/Nondiscrimination Coordinator and
may either adopt MassDOT’s Title VI/Nondiscrimination Program or develop their own.
Likewise, they may adopt MassDOT’s complaint disposition process and/or Language
Access Plan or they may develop their own. All subrecipients will be required to selfmonitor, maintain a record of how they maintain compliance with Title
VI/Nondiscrimination requirements, and provide an annual Title VI/Nondiscrimination
Update Report to the Title VI Specialist. This report should document the outcome of any
process reviews and data analyses conducted to evaluate compliance with Title VI.
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Summaries of completed reports will be included in an annual MassDOT Title VI Update
Report to FHWA.
Subrecipients other than MPOs and RPAs may only be required to provide an annual Title
VI/Nondiscrimination Update Report to the Title VI Specialist, depending on their size, the
extent of federal assistance they receive, the nature of their programs, and the potential for
discrimination, among other factors.
A schedule will be developed for periodic subrecipient reviews. Priority will be given to
reviewing MPOs and other recipients of federal financial assistance with the greatest
potential Title VI implications. At least one MPO will be reviewed each year, through both
desk audit and on-site visits. The Program Areas to be covered in these reviews will be
determined based on previous report submissions, complaint data received, and other
relevant factors.
MassDOT will include the following in its compliance reviews of subrecipients:
•
•
•
•
Review of subrecipient files to determine the nature of subrecipient services, type of
federal assistance, and Title VI assessment
Review of pertinent assurance statements and policy statements
Review of compliance reports to determine subrecipient’s self-evaluation activities
and any action taken in response to the findings
Review of any complaints, lawsuits, or previous investigations of subrecipient
MassDOT will issue written findings and determinations of Title VI compliance after
completing desk audits and on-site reviews. To facilitate compliance reviews, subrecipients
are required to keep and submit records for review, as requested, as well as provide access
to these records. The results of compliance reviews will be documented in writing and will
include specific findings regarding compliance and recommendations for corrective actions
if any deficiencies are found.
5.4 Plan for Bringing Discriminatory Practices into Compliance
The monitoring process provides an opportunity to identify patterns of discrimination and
noncompliance with Title VI obligations. If noncompliance is found, it is the responsibility
of the Title VI Specialist to collaborate with the appropriate Title VI Liaison or subrecipient
to identify and implement corrective actions to achieve compliance. MassDOT expects
voluntary action on the part of its federal program areas and subrecipients to correct
deficiencies and ensure continued compliance with Title VI.
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A compliance review schedule will be created each fall that covers both desk and on-site
reviews of three to four federal program areas. Programs scheduled for review will be
notified in writing at least 60 days in advance to coordinate a date that ensures the
attendance of the Department Director, Division Chief or District Chief, and key personnel.
The notice of review (NOR) will include a compliance review questionnaire that the
Programs are required to complete in writing and return 30 days prior to the scheduled
on-site review.
The Title VI/Nondiscrimination Program staff will review the response to the
questionnaire during the desk review process in advance of the on-site review. The on-site
review will be conducted over a five-day period and consist of an entrance conference,
review of files and documentation, staff interviews, and an exit conference.
A Determination of Findings (DOF) will be issued within a 30-day period following the exit
conference. A copy of the findings will be provided to the Department Director, Division or
District Chief, Civil Rights Director, and the appropriate executive staff of the Program
being reviewed. No action on the part of the Program will be required on findings of
compliance, unless a condition of compliance is specified. However, Programs found out of
compliance will be required to develop a Corrective Action Plan (CAP) to overcome any
deficiencies noted in the DOF within a period not to exceed 90 days. If it is determined that
the matter cannot be resolved voluntarily, by informal means, action will be taken to
effectuate compliance. The Corrective Action section that follows explains these actions.
District compliance reviews will follow the process described above with the exception of
the on-site review period. District on-site review periods range from 5 to 10 days, allowing
time to include review of various Program Areas, which may include planning,
environmental, right-of-way, construction, contracting, and research.
Corrective Action
Effective compliance with Title VI requires MassDOT to take prompt action to achieve
voluntary compliance in all instances in which noncompliance is found.
If a Program or subrecipient is determined to be out of compliance or is believed to be out
of compliance with Title VI, MassDOT has three potential remedies:
1. Resolution of the noncompliance status or potential noncompliance status through
voluntary means by entering into an agreement which becomes a condition of
assistance,
2. Where voluntary compliance efforts are unsuccessful, a refusal to grant or continue the
assistance is initiated, or
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3. Where voluntary compliance efforts are unsuccessful, the violation is referred to FHWA,
which will forward it to the U.S. Department of Justice for judicial consideration.
Every effort will be made to obtain compliance through voluntary corrective action.
Similarly, when an applicant fails to file an adequate assurance or apparently breaches its
terms, notice will be promptly given of the nature of the noncompliance problem. The
notice will include the identification of possible consequences, and an immediate effort will
be made to secure voluntary compliance.
Oversight monitoring of contract/grant/permit/loan subrecipients is critical to ensuring
compliance with Title VI. This responsibility lies with each division and District. In the
event that noncompliance cannot be corrected by voluntary action, the Title VI Coordinator
should be contacted for assistance.
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6 Accomplishments Report
MassDOT will submit an annual update report to the FHWA Massachusetts Division Office
by December 1 of each year. The Title VI/Nondiscrimination Annual Accomplishments and
Work Plan Report will list major accomplishments made regarding Title VI since the last
plan update and goals for the next year. It will include instances where Title VI issues were
identified and discrimination was prevented, indicate activities and efforts the Title VI
Specialist and program area personnel have undertaken in monitoring Title VI, and include
a description of the scope and conclusions of any special reviews conducted by the Title VI
Specialist. Finally, the Title VI/Nondiscrimination Annual Update Report will list any major
problems identified and corrective actions taken, including any Title VI complaints filed
with the state and the status of the resulting investigations.
The Title VI/Nondiscrimination Annual Update Report will address the following:
• Issues discovered through the internal monitoring program
Results of Federal Program Area Process Reviews:
On an annual basis, each federal program area (Planning, Environment, Design, Rights-ofWay, Contract Administration/Contracts, Construction, Maintenance, Safety, Research, and
Training) will conduct a process review of a segment of a process. MassDOT will describe
the segment of each federal program area reviewed and the results of the process review,
and identify any corrective actions that were developed to address an identified
trend/pattern. This description will include the status of any corrective actions from
previous process reviews. While MassDOT is not required to forward copies of all Process
Review Reports to the Division Office, the Division Office Civil Rights Specialist will have
the opportunity to review any of the Process Review Reports at any time.
Trends/Patterns Identified through Data Collection/Data Analysis:
MassDOT will describe any trends/patterns identified through data collection and data
analysis separate and apart from the process reviews.
• Issues discovered through the external monitoring program
MassDOT will describe any trends/patterns identified through the ongoing efforts to
monitor subrecipients. MassDOT, through a combination of reviews of subrecipient reports
and on-site reviews of specific subrecipients to ascertain Title VI/Nondiscrimination
compliance, will describe any issues identified and actions being taken to address the
issues.
• Annual Work Plan for the next fiscal year
The findings of the internal monitoring (process reviews and data collection/data analysis)
will be used to identify areas for process reviews and any special focus area(s) for the next
federal fiscal year. MassDOT will set a work plan for each upcoming year to delineate the
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focus of the program implementation for that year. This will contain an updated listing of
process reviews scheduled to be conducted during the upcoming federal fiscal year.
Listed below are the significant accomplishments achieved during FFY2011 by the
MassDOT Office of Diversity and Civil Rights (ODCR) and other significant MassDOT
accomplishments or events relevant to MassDOT’s Title VI review process.
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MassDOT published its Title VI Policy Statement in March 2011.
A Title VI Specialist was hired to handle compliance and monitoring on a full-time
basis.
MassDOT developed an LEP Plan and started to conduct a four-factor analysis.
MassDOT identified resources for interpretation and translation services, needed to
fulfill LEP requirements, at the University of Massachusetts, Boston.
MassDOT OCR installed a TDD phone at its office to take calls from members of the
public who have hearing impairments. MassDOT is adding this phone number to all
publications and phone listings, in addition to the number for the general MassDOT
TDD/TTY phone service.
MassDOT’s Director of Civil Rights and the Title VI Specialist developed and
conducted orientations on Title VI for the senior managers of the Highway Division
and for the District Highway Directors; this facilitated the identification of lead
individuals to represent the functional areas to be addressed within this Title
VI/Nondiscrimination Program.
The Title VI Specialist interviewed functional area managers and those District
managers selected as Title VI Liaisons to obtain information about processes that
impact the public, how Title VI is relevant, and the ways Title VI is currently taken
into consideration throughout MassDOT. These interviews were used to identify
potential Special Emphasis Areas and to develop the Title VI/Nondiscrimination
Program in general.
The Title VI Liaisons provided information about potential Title VI implications and
the types of data they collect that can be used to assess compliance with Title VI.
The incoming Secretary of Transportation has established a position of Manager of
Federal Programs within Civil Rights to focus on Title VI and the Americans with
Disabilities Act Transition Plan that MassDOT is seeking to restate
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MassDOT OCR retained the services of the Central Transportation Planning Staff
(CTPS) for conducting demographic analyses to inform public outreach and to
assess the equity of impacts of MassDOT’s programs and activities.
Funding was identified and set aside in order to commission a Disparity Study that
will include a review of five years’ contracting data, enabling MassDOT to refine its
DBE and state business opportunity programs and consider policy innovation. In the
spring of 2011, RFPs went out and six proposals were submitted. The contract
should be awarded by the end of October 2011.
There were no Title VI-related complaints filed during the period.
A copy of MassDOT’s FFY2012 Title VI/Nondiscrimination Accomplishments and Work
Plan report can be found in Appendix L.
The following work plan describes the activities and tasks that will be addressed over the
next fiscal year.
Revised Delivery Schedule
FFY 2013 MassDOT Title VI Work Plan
Activity/Task
Responsible
Partners
Completion Date
Restructure Title VI Working Group
Title VI Specialist
and Federal
Program
Manager,
Department
Heads
February 2013
Coordinate with Planning, Public
Affairs, and senior leadership to
complete and implement MassDOT’s
Public Participation Plan.
Planning/Public
Affairs/Title VI
Specialist/senior
leadership
January 2013
Develop tiered training for high-level
managers, Title VI Liaisons, Title VI
District designees, and employees who
come into direct contact with the
Title VI Specialist,
Federal Program
Manager,
Training (ODCR),
March 2013
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Activity/Task
public.
Responsible
Partners
Completion Date
Admin Services
and MassDOT U
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Train high-level managers
April 2013
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Train Liaisons and District
designees
May 2013
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Train front-line employees
July 2013
Incorporate Title VI training in the
diversity training established by HR for
all MassDOT front-line employees.
Title VI Specialist/ Complete
HR
Establish an outline of responsibilities
and obligations to reinforce the
collaboration between OCR, Planning,
and Public Affairs.
Planning/Public
Affairs/ Title VI
Specialist
January 2013
Complete implementation of Language
Access Plan
CTPS/ Title VI
Specialist
October 2014
Continue work on developing and
implementing MassDOT’s Americans
with Disabilities Act Transition Plan.
During FFY 2013, the inventories of all
Districts will be initiated, including the
completion of work to develop a GIS
spatial layer and database from which
reports and maps can be generated.
The development of this database is
the first step in the work required to
develop a transition plan.
Deputy Chief
Engineer/Federal
Program
Manager
March 2013 and ongoing
Identify Special Focus Areas through
implementation of the Internal
Monitoring Program (process reviews
and data collection/data analysis).
Title VI Specialist
September 2013
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Activity/Task
Responsible
Partners
Completion Date
Prepare Title VI/Nondiscrimination
Annual
Update Report
Title VI Specialist
Completed for December 2012
and Ongoing
Through recurring meetings, audits,
and other
activities, maintain contact with
functional areas, their Title VI Liaisons,
and the Highway Districts, and conduct
annual surveys to evaluate data and
methods of analysis for compliance
reviews.
Title VI Specialist
Ongoing
Conduct Internal Monitoring Program
Title VI Specialist,
over a
Federal Program
three-year cycle:
Manager
• Planning/Right of Way/ Design/
Environment
• Construction/Contract
Compliance
•
Training/Safety/Research/Maintenance
Completed
September 2013
September 2014
Refine the process and materials used
in monitoring MPOs for Title VI
compliance.
Title VI Specialist,
Federal Program
Manager
March 2013
Develop a schedule for periodic
subrecipient reviews. Priority for
conducting reviews will be given to
MPOs and other recipients of federal
financial assistance with the greatest
potential for impact on those groups
protected by Title VI. At a minimum,
one MPO will be reviewed each year,
through both desk audit and on-site
visits. This process will be collaborative
with FHWA and tie into FHWA’s cycles
Title VI Specialist,
Federal Program
Manager, Chief
Diversity and Civil
Rights Officer
Ongoing
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Activity/Task
Responsible
Partners
Completion Date
of MPO reviews.
Based on findings gathered through
Title VI Specialist,
the monitoring activities, develop and
Federal Program
conduct training for the MPOs,
Manager
municipalities, and other local agencies
as needed in order to ensure that they
thoroughly understand their Title VI
obligations.
Ongoing
Implement and monitor DBE, EEO, and
related civil rights contract compliance
obligations as to prime contractors and
subcontractors.
Ongoing
Contract
Compliance, Title
VI Specialist,
Federal Program
Manager
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