DOT Order 1050_2A - Standard DOT Title VI Assurance

U.S. Department of
Transportation

DOT 1050.2A

Office of the Secretary
of Transportation

SUBJECT:

DOT STANDARD TITLE VI ASSURANCES AND NON-DISCRIMINATION
PROVISIONS

1. PURPOSE. This order updates DOT 1050.2, Standard DOT Title VI Assurances.
2. SCOPE. This order applies to the Office of the Secretary and the operating administrations with regard to
any program for which Federal financial assistance is authorized under a law administered by the U.S.
Department of Transportation.
3. BACKGROUND. Section 21.7(a) ofTitle 49, Code ofFederal Regulations, Department of
Transportation, Subtitle A, Office ofthe Secretary, Part 21, Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation- Effectuation of Title VI of the Civil Rights Act of 1964,
requires that all applications for Federal financial assistance from the Department of Transportation must
contain Title VI Assurances. This order requires the Office of the Secretary and each operating
administration to secure from applicants and recipients receiving Federal financial assistance the attached
Standard DOT Title VI Assurances. The reverter clause in Appendices B and C of the assurances should
be used only when it is determined that such a clause is necessary in order to make clear the purposes of
Title VI. The assurances may be supplemented by additional paragraphs by the Office of the Secretary and
operating administrations desiring to expand the assurances in order to make them more applicable to a
particular program. All such changes or expansions shall be coordinated with the Departmental Office of
Civil Rights.
4. RESPONSffiiLITIES.
a.

The Departmental Director of Civil Rights will monitor compliance with this order, including
review of any expansion or addenda to the Standard DOT Title VI Assurances and Non-Discrimination
Provisions by the Assistant Secretary for Administration or an OR
ing administration.

b. The Assistant Secretary for Administration, with respect t pr grams for which Feder
assistance is requested from the Office of the Secretary, sh as re that all application
attached Standard DOT Title VI Assurances and Non is imi ation Provisions.
c.

The Head of Each Operating Administration, wi
assistance is requested from the operating administ
attached Standard DOT Order 1050.2, Standard T
Provisions.

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The United States Department of Transportation (USDOT)
Standard Title VI/Non-Discrimination Assurances
DOT Order No. 1050.2A
The (Title o(Recipient) (herein referred to as the "Recipient"), HEREBY AGREES THAT, as a condition to
receiving any Federal financial assistance from the U.S. Department of Transportation (DOT), through (Title of
Modal Operating Administration), 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 ofrace, color, national origin);
49 C.P.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of

Transportation-Effectuation Of Title VI Of The Civil Rights Act Of 1964);
•

28 C.P.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964);

Modal Operating Administration may include additional Statutory/Regulatory Authorities here.
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 (.Title o(Modal Operating Administration).
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 nondiscrimination statutes and requirements to include all programs and activities ofthe Recipient, so long as any
portion of the program is Federally assisted.

Modal Operating Administration may include additional General Assurances in this section, or reference an
addendum here.

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 (Name o(Appropriate Program):
1. The Recipient agrees that each "activity," "facility," or "program," as defined in§§ 21.23 (b) and 21.23
(e) of 49 C.P.R. § 21 will be (with regard to an "activity") facilitated, or will be (with regard to a
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"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 (Name of
Appropriate Program) and, in adapted form, in all proposals for negotiated agreements regardless of
funding source:
"The (Title o(Recipient), in accordance with the provisions of Title VI of the Civil Rights Act
of 1964 (78 Stat. 252, 42 US. 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

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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.

Modal Operating Administration may include additional Specific Assurances in this section.
By signing this ASSURANCE, {Name of the recipient] 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 {insert Agency name] 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 {insert Agency name]. You must keep records, reports, and submit the material
for review upon request to {insert Agency here], 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.

{Name of Recipient] 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 (Name ofAppropriate
Program). This ASSURANCE is binding on {insert State], other recipients, sub-recipients, sub-grantees,
contractors, subcontractors and their subcontractors', transferees, successors in interest, and any other
participants in the (Name o(Appropriate Program). The person(s) signing below is authorized to sign this
ASSURANCE on behalf of the Recipient.

(Name of Recipient)
by__________________________________________
(Signature ofAuthorized Official)
DATED_________________________

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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, (Title o(Modal Operating 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.[/nclude Modal Operating Administration specific program

requirements.]
3. 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 ofrace,
color, or national origin. [Include Modal Operating Administration specific program requirements.]
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
(Title o(Modal Operating 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 (Title of Modal Operating 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 Nondiscrimination provisions of this contract, the Recipient will impose such contract sanctions as it or the
(Title o(Modal Operating 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 (Title o(Modal Operating 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.

A

APPENDIXB
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 U.S. Department of Transportation as authorized by law and upon the condition that
the (Title o(Recipient) will accept title to the lands and maintain the project constructed thereon in accordance
with (Name o(Appropriate Legislative Authority), the Regulations for the Administration of (Name of
Appropriate Program), and the policies and procedures prescribed by the (Title o(Modal Operating
Administration) of the U.S. Department ofTransportation 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 (Title o(Recipient) 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 (Title o(Recipient) 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 (Title o(Recipient), its successors and assigns.
The (Title of Recipient), 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 (Title o(Recipient) 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, Nondiscrimination 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 ofTransportation 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 VI.)

B

APPENDIXC
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 (Title o(Recipient) 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:
1. 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, (Title o(Recipient) 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 (Title
o(Recipient) 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 (Title of
Recipient) 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.)

c

APPENDIXD
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 (Title of Recipient) 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 Nondiscrimination covenants, (Title o(Recipient) 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, (Title of
Recipient) will there upon revert to and vest in and become the absolute property of (Title o(Recipient) 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.)

D

APPENDIXE
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:

Pertinent Non-Discrimination 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); 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 ofthe 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 § 4 71, Section 4 7123 ), 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.P.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 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).

E