Title VIRequirements & Guidelinesfor Sub-Recipients of FTAGrantsGrants

New York State Department of Transportation

Public Transportation Bureau

July 2013

Title VITitle VI of the Civil Rights Act of 1964 prohibitsdiscrimination on the basis of race, color, or nationalorigin.

The basic premise of Title VI:

Prohibits sub-recipients of Federal financial assistanceProhibits sub-recipients of Federal financial assistancefrom discriminating on the basis of race, color, ornational origin in their programs or activities

Sub-recipients are responsible for ensuring that all oftheir activities are in compliance with Title VI

Title VI issues may arise during any phase of theFederal-aid project and/or transportation process

Achieve “Environmental justice...by identifying andaddressing, as appropriate, disproportionately high andadverse human health or environmental effects of itsprograms, policies, and activities on minority populationsand low-income populations...”

Environmental Justice (EJ)

Now a stand-alone FTA Circular 4703.1 “EnvironmentalJustice Policy Guidance for Federal Transit AdministrationRecipients”

NYSDOT incorporates EJ principles into its programs,policies, and activities to ensure there are no transportationsystem-related disproportionate adverse impacts,particularly to low-income and minority populations.

Environmental Justice & Title VIEnvironmental Justice is now separate from currentTitle VI circular to reduce confusion

EJ

FTA C4703.1

Title VI

FTA C4720.1B FTA C4703.1

Executive Order (EO)

Applies to Federalagencies

Recipients facilitateFTA compliance withEO

FTA C4720.1B

Statute

Applies to recipientsand sub-recipients

FTA overseesrecipients’ Title VIcompliance

Americans with Disabilities Act(ADA) & Transit“No qualified handicapped person shall, solely by reason of his disability,be excluded from participation in, be denied the benefits of, or otherwisebe subjected to discrimination under any program or activity thatreceives Federal financial assistance administered by the Department ofTransportation.”Transportation.”

Each application shall contain, or be accompanied by, written assurancethat the program or activity complies with all requirements

General information materials/publications shall include statement thatrecipient does not discriminate on the basis of disability

Keep on file all complaints of non-compliance received in one year;summary record of complaints shall be kept for five years

More information on ADA service requirements by type of transit serviceoperated can be found at: https://www.dot.ny.gov/divisions/policy-and-strategy/public-trans-respository/demandparatransitplanguidance.pdf

FTA Title VI Circular 4720.1B(10/1/12) Highlighted Changes

Provides grantees with clear guidance on therelationship between Title VI Programrequirements and USDOT’s Title VI regulationsrequirements and USDOT’s Title VI regulations

Revised format clearly describes what granteesmust include in their Title VI programs

Adds in-depth appendices to provide examplesto grantees (Includes graphs, sample forms, andflow charts)

Enhanced Appendix Section

Included appendices provide sample checklists,templates, standards, policies, tables and maps forFTA sub-recipients to consult when preparing theirTitle VI program

A more thorough checklist for all sub-recipients,fixed route transit providers, Transit providers thatoperate 50 or more fixed route vehicles in peakservice and are located in UZA of 200,000 or more,States, and MPOs

Clear Guidance on Service and Fare Equity Analysis

What is a Title VI Program?

The Title VI Plan describes how the sub-recipientcomplies with Title VI requirements

How they implement their Title VI Program

Sub-recipients may choose to adopt NYSDOT’s TitleSub-recipients may choose to adopt NYSDOT’s TitleVI Program

Notice to beneficiaries Complaint procedures and complaint form Public participation plan and Language

assistance plan (where appropriate) May need modification due to operational

differences

Title VI Program RequirementsSub-recipients ensure compliance by submitting:

Title VI Program every three years to NYSDOTList of Title VI complaints, investigations, or lawsuits since

last submission

Notify NYSDOT’s Office of Civil Rights at time of Notify NYSDOT’s Office of Civil Rights at time ofcomplaint

Semi-annual complaint reports (Section 5310)

Annual Section 5311 reports (going forward)

Grantee’s governing entity must approve Title VIProgram and submit documentation of such action

Title VI Programs due 60 days prior to expiration date

Primary Recipients (NYSDOT)Provide Sub-Recipients

Sample public notices, Title VI complaintprocedures, and recipient’s Title VI complaint form

Sample procedures for tracking and investigating Sample procedures for tracking and investigatingTitle VI complaints filed with a sub-recipient

Demographic information of residents served by thesub-recipient

Any other recipient-generated or obtained data

Title VI Program Requirementsfor ALL Sub-Recipients1. Notice of Beneficiaries Rights under Title VI

2. Complaint Procedures and complaint form

3. List of transit-related Title VI complaints,investigations, or lawsuitsinvestigations, or lawsuits

4. Public Participation Plan

5. Limited English Proficiency (LEP) Plan

6. Minority representation of advisory councils

7. Service/Fare Equity Analysis

8. Documentation demonstrating Board of Directorsapproval of Title VI Program

Additional Requirements forFixed Route Transit Providers

1. Notice of Beneficiaries Rights

Title VI notice to the public that indicates the sub-recipient operates programs without regard torace, color, and national origin

Informs members of the public the anti-discrimination protections afforded to them byTitle VI

Includes list of locations where the notice is posted

Agency’s website and in public areas of theagency’s office(s), stations or stops, transitvehicles

Sample Notice to Beneficiaries

The (Sub-recipient Name) operates its programs and serviceswithout regard to color, race, or national origin in all in accordancewith Title VI of the Civil Rights Act of 1964. Any person who believesshe or he has been aggrieved by any unlawful discriminatory practiceunder Title VI may file a complaint with the (Sub-recipient Name).

For more information on the (Sub-recipient Name) Civil Rights For more information on the (Sub-recipient Name) Civil Rightsprogram, and the procedures to file a complaint, contact (includewebsite, TTY, email, phone numbers, and address).

A complaint may be filed directly with the Federal TransitAdministration by filing a complaint with the Office of Civil Rights,Attention Title VI Program Coordinator, East Building, 5th Floor-TCR, 1200 New Jersey Ave., SE Washington, DC, 20590.

If information is needed in another language, contact (providenumber)

2. Complaint Procedures & Forms

Procedures for filing a complaint and the Title VIcomplaint form must be available to members ofthe public

Available on the sub-recipient’s website Available on the sub-recipient’s website Translated into languages other than English, as

needed

Sub-recipients may adopt NYSDOT’s Title VItracking procedures and complaint form

The “Notice to Beneficiaries” may contain the sub-recipient’s Title VI Discrimination ComplaintInstructions

NYSDOT Public TransportationPrograms Complaint Procedures

NYSDOT Public Transportation ProgramsAppendix B

Tracking and Investigating Title VI Complaints

All applicants for Federal Transit Administration (FTA) financial assistance are required to ensure their programs, policies, and activities complywith US Department of Transportation (USDOT) Title VI of the Civil Rights Act of 1964. In order to comply wi th 49 CFR Section 21.9(b),subrecipients must develop procedures for investigating and tracking Title VI complaints filed against them , submit the procedures to NYSDOTas part of the Title VI Program, and make their procedures for filing a complaint available to the public.

When developing procedures for investigating Title VI complaints, consider the following:

How do you identify a complaint under Title VI?

What is your agency’s timeframe for accepting a Title VI complaint? Regulations require the public report Title VI complaints within180 days of the incident.

What is the timeframe for investigating and providing resolution to Title VI complaints? Regulations require your agency to respond to, What is the timeframe for investigating and providing resolution to Title VI complaints? Regulations require your agency to respond to,and investigate Title VI complaints within 90 days of receiving a complaint from the public.

Who will investigate complaints?

Who will resolve complaints?

What reasons are there for dismissing a complaint?

How will your agency respond to Title VI complaints, will you produce a report, a letter of finding?

How can complaints be filed by the public, TTY, written, email, address? Complaint procedures and complaint forms are vitaldocuments, which are required to be translated for LEP populations.

How will your agency provide language assistance to the LEP population?

When will your agency submit complaints to NYSDOT and/or FTA? NYSDOT process requires your agency to submit a Title VI ComplaintLog (attached) semi-annually, with a final report at the end of the fiscal year.

Subrecipients must develop tracking procedures for Title VI complaints. The tracking procedures must be sufficient to allow your a gency toprepare and maintain a list of any active investigations conducted by entities other than FTA, lawsuits, or complaints naming your a gency thatallege discrimination on the basis of race, color, or national origin. This list shall include:

The date of the investigation, lawsuit, or when the complaint was filed;

A summary of the allegation(s);

The status of the investigation, lawsuit, or complaint;

Actions taken by your Agency in response to the investigation, lawsuit, or complaint.

Subrecipients are required to provide a list of investigation complaint tracking information semiannually, with a final report at the end of thefiscal year. The Title VI Investigations, Complaints, & Lawsuits Log is for this reporting requirement.

In order to reduce the administrative burden associated with this requirement, subrecipients may adopt the Title VI complaint procedures andinstruction to the public developed by NYSDOT; however, your a gency should notify the public that they may file discrimination complaintsdirectly with your agency. NYSDOT process is outlined below.

NYSDOT has a standard process for investigating complaints of alleged violations of Title VI. Members of the public may file a signed,written complaint within 180 days from the date of the alleged discrimination. OCR has developed a Title VI complaint procedure to help

NYSDOT Public TransportationPrograms Complaint Log

NYSDOT Public Transportation ProgramsSubrecipient Title VI Compliance RequirementsINVESTIGATIONS, COMPLAINTS & LAWSUITS LOG

In order to comply with 49 CFR Section 21.9(b), recipients and subrecipients shall prepare andmaintain a list of any active investigations conducted by entities other than FTA, lawsuits, orcomplaints naming the recipient and/or subrecipient that allege discrimination on the basis ofrace, color, or national origin.

Subrecipients awarded Federal grants through NYSDOT must complete this log at the end ofeach quarter and at the end of each Fiscal Year, providing the requested information. Specifieddata is required semi-annually, as instructed below. Certain information is required only at theend of the Fiscal Year, as instructed below. End-of-year information must be provided in printand electronically, using Microsoft Word.

AGENCY: ______________________________________________________________________

TITLE VI OFFICER: _______________________________________

E-MAIL: ______________________________ CONTACT____________________________

FISCAL YEAR FY _______

REPORTING PERIOD (check appropriate box):

1ST Half 2nd Half Complete Fiscal Year(July-December) (January-June) (July-June)

1. Were any investigations, lawsuits or complaints filed during this time period? _______

2. If YES, please provide the following information for each investigation, lawsuit or complaintreceived during this time period:

Date the investigation, lawsuit or complaint was filed, and

Summary of the allegation(s) and status if resolved.

3. Based on the investigations, lawsuits or complaints filed during the Fiscal Year, pleaseprovide a status of each allegation. (Report on separate paper at the end of the FiscalYear).

3. List transit-related Title VIcomplaints, investigations orlawsuitsInclude only those investigations, complaints, or lawsuitsthat pertain to allegations of discrimination on the basis ofrace, color and/or national origin in transit related Title VIrace, color and/or national origin in transit related Title VIactivities and programs that pertain to the sub-recipient

Submit prior three years activity since last Title VI Programsubmission

NYSDOT monitors sub-recipients by requiring semi-annual(Section 5310) and annual (Section 5311) Title VI complaintreports

4. Public Participation PlanInclude outreach methods to engage minority and limitedEnglish proficient populations (LEP) and a summary ofoutreach efforts made since last Title VI Program submission

Provide adequate notice of public participation activities, aswell as early and continuous opportunities for public reviewand comment at key decision pointsand comment at key decision points

Suggested strategies and examples

Meetings at convenient times and accessible locations

Utilizing different meeting sizes and formats

Alternative advertising platforms

Social media, personal interviews, video or audio communications

Varying community interaction (non-traditional methods) Posting notices in hair salons, street fairs, faith based institutions,

libraries, etc.

Public Participation Outreach

Contact local organizations for LEP populations prior tochange

Community Based Organizations, Advocacy groups forimmigrants, Independent Living Centers, etc

When and how groups were contacted, and type of meetingWhen and how groups were contacted, and type of meeting

Minutes and records of responses must be in writing andbe available for review and response

Public information sessions provide translation for LEPpopulations

Location must be accessible by transit to impacted people

Include summary of outreach efforts in Title VI Programsubmission to fulfill Inclusive Participation requirement

Reasonable steps to ensure meaningful access to Benefits,Services, Information, and other important activities

The Limited English Proficient (LEP) plan shall include:

Results of the Four Factor Analysis, including a

5. Language Assistance Plan (LAP)

Results of the Four Factor Analysis, including adescription of the LEP population(s) served

Description how the sub-recipient:

Provides language assistance services by language

Provides availability of language assistance to LEP

Monitors, evaluates and updates language access plan

Trains employees to provide timely and reasonablelanguage assistance to LEP populations

LEP Map Example

LEP – Four Factor Analysis

1. Number or proportion of LEP persons served orencountered in the eligible service population

2. Frequency with which LEP persons come intocontact with the programcontact with the program

3. Nature and importance of the program, activity,or service provided by the program

4. Resources available and the costs associatedwith outreach

Post Four-Factor AnalysisSafe Harbor Provision (for written material)

Provide written translation of vital documents for each eligibleLEP group (constitutes 5% or 1,000 persons, whichever is less oftotal population eligible), then such action will be consideredstrong evidence of compliance with the sub-recipient’s writtentranslation obligationstranslation obligations

Translate vital documents identified through theFour-Factor Analysis

Consent and complaint forms

Intake and application forms

Written notices of rights

Notice of denial, loss, or decrease in benefits or services

Notice of person’s rights under Title VI

6. Minority Representation onPlanning and Advisory Bodies

Sub-recipients that have transit-related advisorycouncils or similar bodies, the membership ofwhich is selected by the sub-recipient, mustwhich is selected by the sub-recipient, mustprovide:

1) Table depicting racial breakdown ofmembership

2) Description of efforts made to encourage theparticipation of minorities

7. Title VI Service/Fare EquityAnalyses

Construction of a facility (vehicle storage ormaintenance facility, operation center, etc.)

Complete Title VI equity analysis during the Complete Title VI equity analysis during theplanning stage with regard to facility location

If disparate impact on the basis of race, color, ornational origin, may locate project in that locationif substantial legitimate justification, and noalternatives with a less disparate impact

7. Service/Fare Equity Map

Proper AnalysisService and/or fare equity analyses since last TitleVI Program submission Disparate Impact Analysis

Disproportionate burden (impacts on low-incomepopulations for service and fare changes)

MinorityPopulation Only

(no Low-Income)

Disparate ImpactAnalysis

MinorityPopulation that isalso L0w-Income

Disparate ImpactAnalysis

Low-IncomePopulation Only

(no Minority)

DisproportionateBurden Analysis

populations for service and fare changes)

8. Advisory Board Approval

Title VI Program must be approved by theappropriate governing entity or official(s)responsible for policy decisions prior tosubmitting the Program to NYSDOT

Sub-recipients should submit a copy of the boardresolution, meeting minutes, or similardocumentation with the Title VI Program asevidence the Program was approved

Additional Links & InformationNYSDOT

http://www.dot.ny.gov

Office of Civil Rights: https://www.dot.ny.gov/main/business-center/civil-rights/title-vi-ej

Public Transportation Bureau: https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation

Public Transportation Programs Title VI Compliance Requirements for Sub-recipients:recipients: https://www.dot.ny.gov/main/business-center/civil-rights2/civil-rights-repository/Title%20VI%20guidance%20for%20FTA%20sub%20recipients%203-1-13.pdf

Public Involvement Manual for Transportation Planning:https://www.dot.ny.gov/divisions/policy-and-strategy/planning-bureau/public-involvement

FTA

http://www.fta.dot.gov

Title VI Circular 4702.1b: http://www.fta.dot.gov/legislation_law/12349_14792.html

Title VI Guidance: http://www.fta.dot.gov/civilrights/12881.html

Civil Rights Title VI training materials: http://www.fta.dot.gov/civilrights/12885.html

E-mail: FTATitleVItraining@dot.gov

Questions?

NYSDOT ContactsMansour Aghili, Acting Director

Office of Civil Rights

NYS Department of Transportation

50 Wolf Road, 6th Floor

Albany, NY 12232

Phone (518) 457-1129

Fax (518) 485-5517

Tom Vaughan, Acting Director

Public Transportation Bureau

NYS Department of Transportation

50 Wolf Rd - POD 54

Albany, NY 12232

(518) 457-7248

Fax (518) 485-7563