vi: investigating external complaints of discrimination · 2018-02-09 · title vi: investigating...
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Title VI: Investigating External Complaints of Discrimination
2016 AASHTO National Civil Rights Training Symposium
Nichole McWhorterDivision ManagerCoordination and Compliance [email protected]
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• Understand the legal theories of discrimination under Title VI complaints
• Understand the investigative process
• Understand effective conduct for investigations
Learning Objectives
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Two primary theories:–Disparate Treatment–Disparate Impact
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Legal Theories of Discrimination
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What is Disparate Treatment?• Similarly situated persons are treated differently because of
their race, color, or national origin.
• Does not require “bad faith, ill will or any evil motive.”
• Direct or circumstantial
• Potential sources: statements by decision‐makers, past history, the sequence of events, departure from standard procedure, administrative history (e.g., minutes of meetings), impact on a protected group
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Disparate Treatment
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If direct evidence unavailable, then McDonnell Douglas burden shifting may be used:
1. Prima Facie Case:a. Member of protected classb. Eligible as beneficiary for federally‐assisted programc. Rejected despite eligibilityd. Similarly situated beneficiaries received benefit
2. Burden shifts to respondent—must articulate legitimate, nondiscriminatory reason
3. Then, investigating agency must determine whether reason offered is a pretext for discrimination
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Disparate Treatment
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What is Disparate Impact?
1. Facially neutral procedure or practice,
2. Disproportionate, adverse impact on protected individuals, and
3. Practice lacks a substantial legitimate justification.
4. Causal connection between policy and the impact. Often through statistical data
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Disparate Impact
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Where are investigative procedures and standards found?
1. USDOJ Complaint Procedures Manual: https://www.justice.gov/sites/default/files/crt/legacy/1998/11/30/complain.pdf
USDOJ Title VI Legal Manual:https://www.justice.gov/sites/default/files/crt/legacy/2011/06/23/vimanual.pdf
2. FHWA Manual For Processing External Complaints of Discrimination:http://www.fhwa.dot.gov/civilrights/programs/finalcomplaintmanual110410.cfm
2. USDOT Title VI Regulations (49 C.F.R. Part 21)7
Complaints ‐ Generally
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What is a complaint?
– Written and signed by Complainant or representative
– Contact information
– Name of Respondent entity
– Explanation of discriminatory acts/policies
– Basis: race, color, national origin,
– Date(s) of the alleged act(s)8
Complaints ‐ Filing
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What does not constitute a complaint?
1. An anonymous complaint
2. Inquiries seeking advice or information
3. Courtesy copies of court pleadings
4. Newspaper articles (e.g. FYIs)
5. Courtesy copies of internal grievances
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Complaints ‐ Filing
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Where to file?
Complaints may be filed with a Recipient (State DOT), Subrecipient (city, Metropolitan Planning Organization), FHWA Divisions, the FHWA Headquarters Office of Civil Rights, the USDOT Departmental Office of Civil Rights, or the USDOJ
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Complaints ‐ Filing
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When to file?
• A complaint must be filed not later than 180 days after the date of the last instance of alleged discrimination, unless the time for filing is extended by the investigating agency.
• The filing date of the complaint is the earlier of: 1. the postmark of the
complaint, or 2. the date the complaint is
received by any office authorized to receive complaints. 11
Complaints ‐ Filing
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How are complaints routed?Complaint against STA (filed with STA or FHWA)
• Refer to FHWA Headquarters (HCR)• HCR investigates & HCR issues Letter of Finding (LOF)• Division receives notification & copy of LOF
Complaint against STA’s sub‐recipients (filed with STA)• STA investigates• STA issues LOF• Division receives copy of LOF 12
Complaints ‐ Processing
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What are the processing Agency’s options?
1. Accept: if complaint filed within timely, has sufficient information, and concerns matters under the Agency’s jurisdiction, then Agency sends complainant, respondent, and FHWA Division written acceptance
2. Preliminary Review: if unclear whether complaint alleges prima facie case, then Agency may (1) dismiss or (2) engage in preliminary review to get additional information
3. Procedural Dismissal: if complaint not filed within 180 days, not in writing, and signed, or has other procedural issues, then Agency will send complainant, respondent, and FHWA Division written dismissal
4. Referral\Dismissal: if complaint procedurally sufficient but (1) Agency lacks jurisdiction over the legal matter or (2) lacks jurisdiction over the public entity, then Agency will either dismiss complaint or refer it to agency that does have jurisdiction. If Agency dismisses, will send the complainant, respondent, and FHWA Division written dismissal. For transfers, Agency will send transfer notice with copy of complaint to proper agency and copy to the USDOT Departmental Office of Civil Rights.
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Complaints ‐ Processing
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Complaints – Investigation Process
1. Create an Investigative Plan (IP) ‐ working document to define issues and lay out the blueprint to complete the investigation. IPs typically contain:
• Parties and contact info• Allegations• Relevant authorities• Interviewee list• Data sources• Activity log
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2. Send a Request for Information (RFI) –
• Introduces you, Complainant, allegations and timeframes for investigation
• Requests position statement and specific documents within a set timeframe
• Send to agency head – request appropriate future contact
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Complaints – Investigation Process
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3. Conduct interviews and analyze data and information
• Stay objective• Talk and listen to all sides• Polite, patient, and professional
• Manage expectations• Balance time with thoroughness
Complaints – Investigation Process
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4. Write a Report of Investigation (ROI). Tips for ROIs:• Use IRAC:
• Issue• Rule• Analysis• Conclusion
• Support each finding • Educate reader on topics discussed
• If data is inconclusive, say so• Recommend a course of action
Complaints – Investigation Process
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Questions & Comments?
Discussion
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Thank you for your hard work and assistance!