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Iowa Department of Transportation Title VI Compliance ReviewCity of Dubuque City Council Meeting Consent Items # 013. Copyrighted November 7, 2022 ITEM TITLE: Iowa Department of Transportation Title VI Compliance Review SUMMARY: City Manager recommending City Council approve the Title VI Assurances and Title VI Nondiscrimination Agreement between the Iowa Department of Transportation (Iowa DOT) and the City of Dubuque related to the city's receipt of federal aid funding and give authorization to the Mayor to sign the agreement. RESOLUTION Approving the Iowa Department of Transportation Title VI / Non -Discrimination Assurances DOT Order No. 1050.2A and Title VI Non -Discrimination Agreement SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: Description Type Iowa Department of Transportation Title VI Assurances City Manager Memo and Title VI Nondiscrimination Agreement-MVM Memo Staff Memo Staff Memo Resolution Resolutions Title VI Non -Discrimination Agreement Supporting Documentation Title VI Non -Discrimination Assurances Supporting Documentation THE C DUjIBQTE Masterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Iowa Department of Transportation Title VI Compliance Review DATE: November 2, 2022 Dubuque WAWca 914 ii 2007-2012.2013 2017*2019 City Engineer Gus Psihoyos is recommending City Council approve the Title VI Assurances and Title VI Nondiscrimination Agreement between the Iowa Department of Transportation (Iowa DOT) and the City of Dubuque related to the city's receipt of federal aid funding and give authorization to the Mayor to sign the agreement. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:sv Attachment CC' Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Gus Psihoyos, City Engineer Dubuque THE CITY OF U., D B E-E Akl-AmerieaCiq Masterpiece on the Mississippi �`p pp zoos-zoiz-zo 13 2017*2019 TO: Michael C. Van Milligen, City Manager FROM: Gus Psihoyos, City Engineer SUBJECT: Iowa Department of Transportation Title VI Compliance Review DATE: November 1, 2022 INTRODUCTION This memorandum is to request City Council approval of the Title VI Assurances and Title VI Nondiscrimination Agreement between the Iowa Department of Transportation (Iowa DOT) and the City of Dubuque related to the city's receipt of federal aid funding. The Civil Rights Bureau (CRB) will conduct a Title VI Program review of the City as a sub - recipient of Federal Financial Assistance as required by Title VI requirements of Federal Authority 23 CFR 200.9 (4) (b), (5), (6), and (7). The Iowa Department of Transportation (IADOT) is required to establish, implement, and ensure compliance in program areas of nondiscrimination, equal opportunity status, regulations, and executive orders that apply to the distribution of Federal funds. BACKGROUND Title VI of the Civil Rights Act of 1964, amendments, and related laws state that recipients of federal -aid highway funds cannot discriminate on the basis of race, color, or national origin. The Iowa Department of Transportation (Iowa DOT) receives federal funds, and in turn the county/city receives funds from Iowa DOT. This makes the county/city a sub -recipient of federal funds and responsible for implementing Title VI requirements on ALL contracts and in ALL programs and activities, not just highway related contracts. DISCUSSION In response to an October 11, 2022, request from Iowa DOT Compliance Officer Tracey Bradley, and as required by Federal Regulations, a compliance review will be performed. The Title VI Compliance Site Review Tool is in the process of being completed and will be reviewed with Bradley in an in -person meeting before the end of the calendar year. The primary goals of Title VI reviews are as follows- 0 Ensure compliance with Title VI; • Provide technical assistance in the implementation of the Title VI program; and • To correct deficiencies, when found to exist Each of these goals is addressed throughout the review report. The Title VI review process focuses on, but is not limited to, compliance with 10 major components of Title VI as listed below: 1. Developing Title VI Assurances; 2. Developing a Title VI Policy Statement; 3. Identifying a Title VI Liaison; 4. Developing procedures for processing external discrimination complaints; 5. Providing the Iowa DOT with a list of external discrimination complaints; 6. Providing accommodations for Limited English Proficient (LEP) persons; 7. Ensuring nondiscrimination in the City of Dubuque 's public participation process; 8. Collecting and analyzing data to ensure nondiscrimination in the City of Dubuque programs and activities; 9. Ensuring that contracts contain the appropriate Title VI contract provisions; and 10. Ensuring nondiscrimination in the awarding of contracts. As part of the notification of the upcoming compliance review the City is required to provide Title VI Assurances and Title VI Non -Discrimination to IDOT by November 11, 2022. RECOMMENDATION I recommend that the enclosed Title VI Assurances and Title VI Non -Discrimination Agreement be submitted to the City Council for review, approval, signature and forwarding to IDOT. ACTION TO BE TAKEN I respectfully request that the City Council approve and hereby authorize the mayor to sign the Iowa DOT Title VI Assurances and Title VI Non -Discrimination Agreement with those documents being forwarded to the IDOT. Attach. CC' Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Gisella Aitken, Director of Equity & Human Rights Shelley Stickfort, Human Resources Manager Tony Breitbach, Purchasing & Risk Manager Prepared by Gus Psihoyos City of Dubuque 50 W. 13'^ Street Dubuque IA 52001 (563) 589-4270 Return to Adrienne Breitfelder, City Clerk, City of Dubuque, 50 W. 13th Street, Dubuque, IA 52001 (563) 589-4100 RESOLUTION NO. 348-22 RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION TITLE VI / NON-DISCRIMINATION ASSURANCES DOT ORDER NO. 1050.2A AND TITLE VI NON-DISCRIMINATION AGREEMENT Whereas, the City of Dubuque is a sub -recipient of Federal Financial Assistance which passes through the Iowa Department of Transportation (IADOT); and Whereas, IADOT is required to establish, implement, and ensure compliance in program areas of nondiscrimination, equal opportunity status, regulations, and executive orders that apply to the distribution of Federal funds; and Whereas, the City of Dubuque has been notified up an upcoming compliance review pertaining to the City's Title VI obligations; and Whereas, the compliance review will be performed with the IADOT Affirmative Action Compliance Officer; and Whereas, prior to the compliance review the IADOT Affirmative Action Compliance Officer the City must submit the Iowa DOT Title VI Non -Discrimination Assurances and Non -Discrimination Agreement; and Whereas, the deadline for submission is November 11, 2022. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That the Mayor is authorized and directed to execute the Iowa DOT Title VI Non -Discrimination Assurances Dot Order No. 1050.2A and Title VI Non - Discrimination Agreement between the City of Dubuque and the Iowa Department of Transportation. Section 2. That staff shall submit the signed document to IADOT and prepare the requisite Title VI Compliance Site Review documents for submission to IADOT for the compliance review. Passed, approved and adopted this 7th day of November 2022 Brad Mvanagh, Mayor Attest: A Adrienne N. Breitfelder, City Clerk ;o IOWADOT Form 131024 (07-12) Title VI Non -Discrimination Agreement Iowa Department of Transportation and Agency Information Name and title of adminstrative head: Name: Brad M. Cavanagh Title: Mayor Address:50 W. 13th Street City: Dubuque Phone/FAX 563,589.4120 RECEIVED FEB 15 2023 L RIGHTS IOWA DEPT OF RANSPORTA77ON StateAA ZIPCode:52001 County: Dubuque Email: ctyclerk@cityofdubuque.org Name and title of designated Title VI coordinator: Name: Gus N. Psihoyos Title: City Engineer Address:50 W. 13th City:Dubuque State:IA ZIP Code: 52001 County: Dubuque Phone/FAX:563.589.4120 Email:engineer@cityofdubuque.org "If the Title VI coordinator changes, please contact the Iowa DOT Title VI specialist. Title VI Program Organization and staffing Pursuant to 23 C.F.R. § 200, (Dubuque City) has appointed a Title VI coordinator identified above, who is responsible for implementing and monitoring the local public agency's (LPA's) Title A program per this agreement, and is the representative for issues and actions pertaining to this agreement. The LPA will provide the Iowa Department of Transportation with a copy of the LPA's organizational chart that illustrates the level and placement of the Title VI coordinator. The LPA will notify the Iowa DOT in writing of any changes to the LPA's organization chart, Title VI coordinator or Title VI coordinator contact information. II. Assurances required Pursuant to 49 C.F.R. § 21.7, every application for federal financial assistance or continuing federal financial assistance must provide a statement of assurance and give reasonable guarantee that the program is (or, in the case of a new program, will be) conducted in compliance with all requirements imposed by or pursuant to 49 C.F.R. § 21 (Nondiscrimination in Federally Assisted Programs of the Department of Transportation — Effectuation of Title VI of the Civil Rights Act of 1964). Fully executed standard DOT Assurances (including Appendices A, B and C) are attached to this agreement. Page 1 of 7 III. Implementation procedures This agreement shall serve as the LPA's Title VI plan pursuant to 23 C.F.R. § 200 and 49 C.F.R. § 21. For the purpose of this agreement, "federal assistance" shall include all of the following. Grants and loans of federal funds. The grant or donation of federal property and/or interest in property. The detail of federal personnel. The sale and lease of, and permission to use (on other than a casual or transient basis), federal property or any interest in such property without consideration or at a nominal consideration, or at a consideration that is reduced for the purpose of assisting the LPA, or in recognition of the public interest to be served by such sale or lease to the LPA. Any federal agreement, arrangement or other contract that has as one of its purposes the provision of assistance. The LPA shall: 1. Issue a policy statement, signed by the head of the LPA, which expresses its commitment to the nondiscrimination provisions of Title VI. The policy statement shall be circulated throughout the LPA's organization and to the public. Such information shall be published where appropriate in languages other than English. 2. Take affirmative action to correct any deficiencies found by the Iowa DOT, Federal Highway Administration or U.S. Department of Transportation (USDOT) within a reasonable time period, not to exceed 90 days, to implement Tide VI compliance in accordance with this agreement. The head of the LPA shall be held responsible for implementing Title VI requirements. 3. Designate a Title V1 coordinator who has a responsible position in the organization and easy access to the head of the LPA. The coordinator shall be responsible for implementing and monitoring Title VI activities and preparing required reports. 4. Develop and implement a public involvement plan that includes low-income and minority community outreach and ensures those persons who are limited -English proficient (LEP) can access services. 5. Process complaints of discrimination consistent with the provisions contained in this agreement. Investigations shall be conducted by civil rights personnel trained in discrimination complaint investigations. Identify each complainant by race, color, national origin or gender, the nature of the complaint, date the complaint was filed, date the investigation was completed, disposition, date of disposition, and other pertinent information. A copy of the complaint, together with a copy of the LPA's report of investigation, shall be forwarded to the Iowa DOT's civil rights coordinator within 60 days of the date the complaint was received by the LPA. 6. Collect statistical data (race, color, national origin, age, gender, disability, LEP and income of populations in service area) of participants in, and beneficiaries of, the programs and activities conducted by the LPA. 7. Conduct Title VI self -assessment of the LPA's program areas and activities, and of second - tier sub -recipients, contractor/consultant program areas and activities. Where applicable, revise policies, procedures and directives to include Title VI requirements. Ensure that programs, policies, and other activities do not have disproportionate adverse effects on minority and low-income populations. 8. Conduct training programs on Title VI and related statutes. 9. Prepare a yearly report of Title VI accomplishments and changes to the program covering the prior year, and identify goals and objectives for the coming year. o Annual work plan: Outline Title VI monitoring and review activities planned for the coming year, and indicate a target date for completion. o Accomplishment report: List major accomplishments made regarding Title VI activities. Include instances where Title VI issues were identified and discrimination was prevented. Indicate activities and efforts the Title VI coordinator and program area personnel have undertaken in monitoring Title VI. Include a description of the scope and conclusions of any special internal and external reviews conducted by the Title VI coordinator. List any major problem(s) identified and corrective action(s) taken. Include a summary and status report on any Title VI complaints filed with the LPA. Include a listing of complaints received against second -tier sub -recipients, if any, as well as a summary of complaints and actions taken. 10. Include Title VI compliant language in all contracts to second -tier sub -recipients. Page 2 of 7 IV. Discrimination complaint procedures — allegations of discrimination in federally assisted programs or activities The LPA adopts the following discrimination complaint procedures for complaints relating to federally assisted transportation -related programs or activities. 1. Filing a discrimination complaint: Any person who believes that he or she, or any class of individuals, or in connection with any disadvantaged business enterprise, has been or is being subjected to discrimination prohibited by Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d; the Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12101 at seq.; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. §§ 701 et seq.; and the Civil Rights Restoration Act of 1987, Pub. L. No. 100-259, 102 Stat. 28, has the right to file a complaint. Any individual wishing to file a discrimination complaint must be given the option to file the complaint with the LPA, or directly with the Iowa DOT, FHWA, USDOT and U.S. Department of Justice . Complaints may be filed with all agencies simultaneously. No individual or agency shall refuse service, discharge or retaliate in any manner against any persons because that individual has filed a discrimination complaint, instituted any proceeding related to a discrimination complaint, testified, or is about to testify, in any proceeding or investigation related to a discrimination complaint, or has provided information or assisted in an investigation. 2. Complaint filing time -frame: A discrimination complaint must be filed within 180 calendar days of one of the following. (a) The alleged act of discrimination. (b) Date when the person(s) became aware of the alleged discrimination (c) Date on which the conduct was discontinued, if there has been a continuing course of conduct. The LPA or their designee may extend the time for filing or waive the time limit in the interest of justice, specifying in writing the reason for so doing. 3. Contents of a complaint: A discrimination complaint must be written. The document must contain the following information. a) The complainant's name and address, or other means by which the complainant may be contacted. b) Identification of individual(s) or organization(s) responsible for the alleged discrimination. c) A description of the complainant's allegations, which must include enough detail to determine if the LPA has jurisdiction over the complaint and if the complaint was filed timely. d) Specific prohibited bases of alleged discrimination (i.e., race, color, gender, etc.) e) Apparent merit of the complaint. f) The complainant's signature or signature of his/her authorized representative. In the event that a person makes a verbal complaint of discrimination to an officer or employee of the LPA, the complainant shall be interviewed by the LPA's Title VI coordinator. If necessary, the Title VI coordinator will assist the complainant in reducing the complaint to writing and then submit the written version of the complaint to the person for signature. 4. Complaints against the LPA: Any complaints received against the LPA should immediately be forwarded to the Iowa DOT for investigation. The LPA shall not investigate any complaint in which it has been named in the complaint. The contact information for the Iowa DOT's Title VI program is: Iowa Department of Transportation Office of Employee Services — Civil Rights 800 Lincoln Way Ames, Iowa 50010 515-239-1422 515-817-6502 (fax) dot.civilrights@dot.iowa.gov Page 3 of 7 5. Notice of Receipt: All complaints shall be referred to the LPA's Title VI coordinator for review and action. Within 10 days of receipt of the discrimination complaint, the coordinator shall issue an initial written Notice of Receipt that: a) Acknowledges receipt of the discrimination complaint. b) Advises the complainant of his/her right to seek representation by an attorney or other individual of his or her choice in the discrimination complaint process. c) Contains a list of each issue raised in the discrimination complaint. d) Advises the complainant of the timeframes for processing the discrimination complaint and providing a determination. e) Advises the complainant of other avenues of redress of their complaint, including the Iowa DOT, FHWA, USDOT and USDOJ. 6. Notification of the Iowa DOT of a complaint: The LPA shall advise the Iowa DOT within 10 business days of receipt of the complaint. Generally, the following information will be included in every notification to the Iowa DOT. a) Name, address and phone number of the complainant. b) Name(s) and address(es) of alleged discriminating official(s). c) Basis of complaint (i.e., race, color, national origin, gender). d) Date of alleged discriminatory act(s). e) Date of complaint received by the LPA. f) A statement of the complaint. g) Other agencies (state, local or federal) where the complaint has been filed. h) An explanation of the actions the LPA has taken or proposed to resolve the issue identified in the complaint. 7. Processing a complaint and time -frame: The total time allowed for processing the discrimination complaint is 90 calendar days from the date the complaint was filed. There is no extension available at this level. This time -frame includes 60 calendar days at the LPA level and 30 days for review at the state level, if needed. If the complainant elects to file a complaint with both the LPA and Iowa DOT, the complainant shall be informed that the LPA has 90 calendar days to process the discrimination complaint and the Iowa DOT shall not investigate the complaint until the 90 calendar -day period has expired. Immediately after issuance of the Notice of Receipt to the complainant (step four), the LPA's Title VI coordinator shall either begin the fact-finding or investigation of the discrimination complaint, or arrange to have an investigation conducted. Based on the information obtained during that investigation, the coordinator shall render a recommendation for action in a Report of Findings to the head of the LPA. 8. Alternative dispute resolution/mediation process: The complainant must be given an invitation to participate in mediation to resolve the complaint by informal means. The LPA's Title VI coordinator shall include an invitation to mediation with the Notice of Receipt, offering the opportunity to use the alternative dispute resolution/mediation process. If the complaint selects mediation, it allows disputes to be resolved in a less adversarial manner. With mediation, a neutral party assists two opposing parties in a dispute come to an agreement to resolve their issue. The mediator does not function as a judge or arbiter, but simply helps the parties resolve the dispute themselves. Upon receiving a request to mediate, the LPA's Title VI coordinator shall identify or designate a mediator who must be a neutral and impartial third party. The mediator must be a person acceptable to all parties and who will assist the parties in resolving their disputes. If the complainant chooses to participate in mediation, she or he or the designee must respond in writing within 10 calendar days of the date of the invitation. This written acceptance must be dated and signed by the complainant and must also include the relief sought. Page 4 of 7 After mediation is arranged, a written confirmation identifying the date, time and location of the mediation conference shall be sent to both parties. If possible, the mediation process should be completed within 30 calendar days of receipt of the discrimination complaint. This will assist in keeping within the 90 calendar -day time -frame of the written Notice of Final Action if the mediation is not successful. If resolution is reached under mediation, the agreement shall be in writing. A copy of the signed agreement shall be sent to the Iowa DOT's Title VI program coordinator. If an agreement is reached, but a party to it believes his/her agreement has been breached, the non -breaching party may file another complaint. If the parties do not reach resolution under mediation, the LPA's Title VI coordinator shall continue with the investigation. 9. Notice of Final Action: A written Notice of Final Action shall be provided to the complainant within 60 days of the date the discrimination complaint was filed. It shall contain: a) A statement regarding the disposition of each issue identified in the discrimination complaint and reason for the determination. b) A copy of the mediation agreement, if the discrimination complaint was resolved by mediation. c) A notice that the complainant has the right to file a complaint with the Iowa DOT, FHWA, USDOT or USDOJ within 30 calendar days after the Notice of Final Action, if she or he is dissatisfied with the final action on the discrimination complaint. The LPA's Title VI coordinator shall provide the Iowa DOT's Title VI program coordinator with a copy of this decision, as well as a summary of findings upon completion of the investigation. Should deficiencies be noted in the implementation of these discrimination complaint procedures by the LPA, the Iowa DOT's Title VI program coordinator will work in conjunction with the LPA's Title VI coordinator to review the information and/or provide technical assistance in the discrimination complaint process, mediation process, and/or investigation. 10. Corrective action: If discrimination is found through the process of a complaint investigation, the respondent shall be requested to voluntarily comply with corrective action(s) or a conciliation agreement to correct the discrimination. 11. Confidentiality: LPA and Iowa DOT Title VI program coordinators are required to keep the following information confidential to the maximum extent possible, consistent with applicable law and fair determination of the discrimination complaint. a) The fact that the discrimination complaint has been filed. b) The identity of the complainant(s). c) The identity of individual respondents to the allegations. d) The identity of any person(s) who furnished information relative to, or assisting in, a complaint investigation. 12. Record keeping: The LPA's Title VI coordinator shall maintain a log of complaints filed that alleged discrimination. The log must include: a) The name and address of the complainant. b) Basis of discrimination complaint. c) Description of complaint. d) Date filed. e) Disposition and date. f) Any other pertinent information. All records regarding discrimination complaints and actions taken on discrimination complaints must be maintained for a period of not less than three years from the final date of resolution of the complaint. Page 5 of 7 V. Sanctions In the event the LPA fails or refuses to comply with the terms of this agreement, the Iowa DOT may take any or all of the following actions. a) Cancel, terminate or suspend this agreement in whole or in part. b) Refrain from extending any further assistance to the LPA under the program from which the failure or refusal occurred, until satisfactory assurance of future compliance has been received from the LPA. c) Take such other action that may be deemed appropriate under the circumstances, until compliance or remedial action has been accomplished by the LPA. d) Refer the case to the USDOJ for appropriate legal proceedings. IOWA DEPARTMENT OF TRANSPORTATION Dubuque City d. Signaturel� ra�e� a r r~sl ltu Printed Name and Title Q-bruuru Is. 01023 Date—� Page 6 of 7 Sig—na ure i� Rind M, cavanagh, Mayor Printed Name and Title November 7. 2022 Date Title A Non-discrimination Policy Statement The Dubuque City hereinafter referred to as the LPA, hereby assures that no person shall on the grounds of race, color, national origin, gender, age or disability, as provided by Title VI of the Civil Rights Act of 1964, 42 U.S.C. §2000d, and the Civil Rights Restoration Act of 1987, Pub. L. No. 100-259, 102 Stat. 28, be excluded from participation in, be denied the benefits of or be otherwise subjected to discrimination under any program or activity receiving federal financial assistance. The LPA further assures every effort will be made to ensure nondiscrimination in all of its programs and activities, regardless of whether those programs and activities are federally funded. It is the policy of the LPA to comply with Title VI of the Civil Rights Act of 1964; Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e; Age Discrimination Act of 1975, 42 U.S.C. §§ 6101-6107, Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. §§ 4601-4655, 1973 Federal Aid Highway Act, 23 U.S.C. § 324. Title IX of the Education Amendments of 1972, Pub. L. No. 92-318, 86 Stat. 235, Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. §§ 701 et seq, Civil Rights Restoration Act of 1987, Pub. L. No. 100-259, 102 Stat, 28; Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12101 at seq.; Title VIII of the Civil Rights Act 1968, 42 U.S.C. §§ 3601-3631, Exec. Order No. 12898, 59 Fed. Reg. 7629 (1994) (Federal Actions to Address Environmental Justice in Minority Populations and Low -Income Populations); and Exec. Order No, 13166, 65 Fed. Reg. 50121 (2000) (Improving Access to Services for Persons with Limited English Proficiency). The Civil Rights Restoration Act of 1987, Pub. L. No. 100-259, 102 Stat. 28, broadened the scope of Title VI coverage by expanding the definition of terms "programs or activities" to include all programs or activities of federal -aid recipients, subrecipients and contractorslconsultants, regardless of whether such programs and activities are federally assisted. Pursuant to the requirements of Section 504 of the Rehabilitation Act of 1973, Pub. L. No. 93-112, 87 Stat. 355, the LPA hereby gives assurance that no qualified disabled person shall, solely by reason of disability, be excluded from participation in, be denied the benefits of or otherwise be subjected to discrimination, including discrimination in employment, under any program or activity that receives or benefits from this federal financial assistance The LPA also assures that every effort will be made to prevent discrimination through the impacts of its programs, policies and activities on minority and low-income populations. In addition, the LPA will take reasonable steps to provide meaningful access to services for persons with LEP. The LPA will, where necessary and appropriate, revise, update and incorporate nondiscrimination requirements into appropriate manuals, directives and regulations. In the event the LPA distributes federal -aid funds to a second -tier subrecipient, the LPA will include Title VI language in all written agreements. The LPA's Gus N. Psihoyos, City Engineer is responsible for initiating and monitoring Title VI activities, preparing reports and performing other responsibilities, as required by 23 C.F.R. § 200 and 49 CF.R. § 2J— —� Signature Gus N. P<)hoyos. City ling peer Printed Name and Title Noccinber 2. 2022 Date Page 7 of 7 The United States Department of Transportation (USDOT) Standard Title VI/Non-Discrimination Assurances DOT Order No. 1050.2A The Dubuque City (herein referred to as the "Recipient'), HEREBY AGREES THAT, as a condition to receiving any Federal financial assistance from the United States Department of Transportation (DOT), through the Federal Highway Administration (FHWA), is subject to and will comply with the following: Statutory/Regulatory Authorities Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); 49 C.F.R. Part 21 (entitled Nondiscrimination In Federally -Assisted Programs Of The Department Of Transportation Effectuation Of Title VI Of The Civil Rights Act Of 1964); 28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964); The preceding statutory and regulatory cites hereinafter are referred to as the "Acts" and "Regulations," respectively. General Assurances In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that: "No person in the United States 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, " for which the Recipient receives Federal financial assistance from DOT, including the FHWA. The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973) by restoring the broad, institutional -wide scope and coverage of these non- discrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted. Specific Assurances More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted Federal Highway Program: 1. The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23 (b) and 21.23 (e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or will be (with regard to a "facility") operated, or will be (with regard to a "program") conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations. 2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with all Federal Highway Programs and, in adapted form, in all proposals for negotiated agreements regardless of funding source: "The Dubuque City , in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award." 3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement subject to the Acts and the Regulations. 4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient. 5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith. 6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property. 7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties: a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program. 8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods: a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or b. the period during which the Recipient retains ownership or possession of the property. 9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub -recipients, sub -grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance. 10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance. By signing this ASSURANCE, Dubuque city also agrees to comply (and require any sub - recipients, sub -grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing the FHWA access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by the FHWA. You must keep records, reports, and submit the material for review upon request to FHWA, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. Dubuque city gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal -aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the Federal Highway Program. This ASSURANCE is binding on Iowa, other recipients, sub -recipients, sub - grantees, contractors, subcontractors and their subcontractors', transferees, successors in interest, and any other participants in the Federal Highway Program. The person (s) signing below is authorized to sign this ASSURANCE on behalf of the Recipient. Dubuque City (Name of Recipient) by (Signdture ofA # nzed Official) DATED NoVeM6e_(` , R03 APPENDIX A During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "contractor") agrees as follows: 1. Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the Acts and the Regulations relative to Non-discrimination in Federally -assisted programs of the U.S. Department of Transportation, Federal Highway Administration, as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract. 2. Non-discrimination: The contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor will not participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part 21. Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations, either by competitive bidding, or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified by the contractor of the contractor's obligations under this contract and the Acts and the Regulations relative to Non-discrimination on the grounds of race, color, or national origin. 4. Information and Reports: The contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Recipient or the Federal Highway Administration to be pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish the information, the contractor will so certify to the Recipient or the Federal Highway Administration, as appropriate, and will set forth what efforts it has made to obtain the information. 5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination provisions of this contract, the Recipient will impose such contract sanctions as it or the Federal Highway Administration may determine to be appropriate, including, but not limited to: a. withholding payments to the contractor under the contract until the contractor complies; and/or b. cancelling, terminating, or suspending a contract, in whole or in part. 6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the Regulations and directives issued pursuant thereto. The contractor will take action with respect to any subcontract or procurement as the Recipient or the Federal Highway Administration may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, that if the contractor becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the contractor may request the Recipient to enter into any litigation to protect the interests of the Recipient. In addition, the contractor may request the United States to enter into the litigation to protect the interests of the United States. APPENDIX B CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4: NOW, THEREFORE, the Department of Transportation as authorized by law and upon the condition that the Dubuque city will accept title to the lands and maintain the project constructed thereon in accordance with laws of the state of Iowa, the Regulations for the Administration of Federal Highway Program, and the policies and procedures prescribed by the Federal Highway Administration of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally -assisted programs of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d- 4), does hereby remise, release, quitclaim and convey unto the Dubuque City all the right, title and interest of the U.S. Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof. (HABENDUM CLAUSE) TO HAVE AND TO HOLD said lands and interests therein unto Dubuque City and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the Dubuque City , its successors and assigns. The Dubuque City , in consideration of the conveyance of said lands and interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person will 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 with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the Dubuque City will use the lands and interests in lands and interests in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally -assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended[, and (3) that in the event of breach of any of the above -mentioned non-discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said land, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VL) APPENDIX C CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE ACTIVITY, FACILITY, OR PROGRAM The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the Dubuque City pursuant to the provisions of Assurance 7(a): A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add "as a covenant running with the land"] that: In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations (as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities. B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non- discrimination covenants, Dubuque City will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.* C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the Dubuque City will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the Dubuque City and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VL) APPENDIX D CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE ACTIVITY, FACILITY OR PROGRAM The following clauses will be included in deeds, licenses, permits, or similar instruments/ agreements entered into by Dubuque city pursuant to the provisions of Assurance 7(b): A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add, "as a covenant running with the land") that (1) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on, over, or under such land, and the furnishing of services thereon, no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the Acts and Regulations, as amended, set forth in this Assurance. B. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above Non-discrimination covenants, Dubuque City will have the right to terminate the (license, permit, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.* C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, Dubuque City will there upon revert to and vest in and become the absolute property of Dubuque city and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.) APPENDIX E During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "contractor") agrees to comply with the following non- discrimination statutes and authorities; including but not limited to: • Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21; • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal -aid programs and projects); • Federal -Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex); • Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27; • The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age); • Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or activities" to include all of the programs or activities of the Federal -aid recipients, sub -recipients and contractors, whether such programs or activities are Federally funded or not); • Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131 -- 12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38; • The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low -Income Populations, which ensures non-discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); • Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).