FTA Title VI Requirements

Presented at the

NJ Transit Training Seminar

Presented by:

Rich Garrity RLS & Associates, Inc. September 26, 2014

Seminar Overview NJ Transit’s Subrecipient Title VI Compliance Project

Title VI – Historical Perspective

FTA/NJ Transit Role in Title VI Compliance

Subrecipient Responsibilities

NJ TRANSIT’S SUBRECIPIENT TITLE VI COMPLIANCE PROJECT

Module 1

3

Project Overview ♦ Project Purpose

○ To Provide the NJ TRANSIT Office Of Community Mobility with Technical Support Services

○ To Assist Subrecipients In Meeting The Requirements of Title VI

Work Program ♦ Task 1: Update of a Standard Operating Procedure

Document ♦ Task 2: Model Approaches for Each of the Required

Title VI Elements ♦ Task 3: Development of Public Participation

Strategies and Procedures ♦ Task 4: Development of Limited English Proficiency

(LEP) Strategies and Procedures ♦ Task 5: Review of Subrecipient Plans for Compliance

Work Program ♦ Today’s Workshop

○ Focus on Task 2 – Subrecipient Obligations and the Technical Assistance that NJ Transit Will Provide

○ In Future Sessions, We Will Provide More Detailed Assistance In: LEP “Four Factor” Analysis Public Outreach Strategies

TITLE VI – A BRIEF HISTORICAL PERSPECTIVE

Module 2

7

Historical Perspective ♦ Title VI is Part of the Civil Rights Act of 1964

(Pub. L. 88–352) ♦ Arguably the Most Significant Legislation of

the 20th Century ♦ Signed July 2, 1964

Historical Perspective ♦ Purpose

○ Outlawed Discrimination Based on Race Color Religion National Origin

○ Title VII Added Sex/Gender in Addressing Employment Discrimination

Historical Perspective ♦ Twelve Titles That Covered a Range of

Activities and Places ♦ Title VI

○ This Title Prohibited Discrimination In Connection with Programs and Activities Receiving Federal Financial Assistance

Historical Perspective ♦ Basic Principle:

No Person in the United States Shall, on the Ground of Race, Color, or National Origin, Be Excluded From Participation In, be Denied the Benefits of, or be Subjected to Discrimination Under Any Program or Activity Receiving Federal Financial Assistance

TITLE VI – FTA & NJ TRANSIT ROLE IN GRANTS ADMINISTRATION

Module 2

12

Federal Role ♦ All Federal Agencies Responsible Under the

Civil Rights Act to Promulgate Rules Implementing the Act

♦ Governing Documents ○ 49 CFR part 21 – DOT Civil Rights ○ FTA Circular 4702.1B – FTA’s Transit Rule

Federal/State Role ♦ Basic Requirement

○ FTA Requires all Direct and Primary Recipients to Document Compliance by Submitting a Title VI Program to the Regional FTA Office Every Three Years

○ NJ Transit is the Direct/Primary Recipient of FTA Funds

Federal/State Role ♦ NJ Transit is the Primary Recipient ♦ Entities that Receive Grants Awarded by NJ

Transit are Subrecipients ♦ Grants

State Administered FTA Grant Programs

Section 5310 Section 5311

Section 5316 Section 5317

Section 5339

Subrecipient Role ♦ Basic Requirement

○ Subrecipients Must Submit Title VI Programs to the Primary Recipient From Whom They Receive Funding Subrecipients Assist the Primary Recipient In Its

Compliance Efforts Primary Recipient Determines Schedule

Subrecipient Role ♦ Subrecipients With Contractors

○ Contractors and Subcontractors are Responsible For Complying With the Title VI Program of the Entity With Whom They Are Contracting

○ Contractors Are Not Required to Prepare or Submit Title VI Programs

○ Subrecipients Are Responsible for Ensuring That Contractors Are Following the Title VI Program and Complying With Title VI

Primary Recipients ♦ What About Agencies That Receive Grants

Directly From FTA, Not NJ Transit? ○ Primary Recipients Submit Their Title VI

Programs Directly to FTA on a Schedule That is Prescribed by FTA

♦ My Agency Received Funding From Both FTA and NJ Transit? ○ Send Program to Both

Subrecipient Role ♦ Other Special Grantee Circumstances

Circumstance Compliance Requirement

Subrecipient Is Not a Governmental Entity, But a Private Nonprofit Corporation

Preparation of a Title VI Program Required

Subrecipient Does Not Service the Community-at-large, But a Population Strictly Designated By the State

Preparation of a Title VI Program Required

Subrecipient Provides Only Limited Transportation to Clients Only

Preparation of a Title VI Program Required

Entity Is a Primary Recipient and Subrecipient

Preparation of a Title VI Program Required; Submit To All Primary

Who Needs a Plan?

Who Needs a Plan?

Who Needs a Plan?

TITLE VI PROGRAM REQUIREMENTS

Module 2

23

Overriding Principle ♦ Title VI

○ Broad, Institution-Wide Application ○ Encompasses All Programs and Activities of the

Covered Entity ♦ This Workshop is Designed to Address the

Transit Services ○ Does Not Relieve the Obligation of the Entity to

Comply with Other Title VI Requirements

Title VI Goals ♦ Level and Quality of Public Transportation

Service Is Provided In a Nondiscriminatory Manner

♦ Promote Full and Fair Participation In Public Transportation Decision-Making Without Regard to Race, Color, or National Origin

♦ Ensure Meaningful Access To Transit-Related Programs and Activities By Persons With Limited English Proficiency

Basic Requirements ♦ Title VI Assurance ♦ First Time Applicants ♦ Program Submission, Every Three Years

Basic Requirements ♦ Title VI Assurance

○ Referred to as “Standard Assurance” ○ Typically Part of Application and Contract

Process

Basic Requirements ♦ First Time Applicants

○ Compliance History Compliance Reviews Conducted by Other Federal

Entities, Last Three Years • Purpose/Reason for Review • Name of the Agency of That Performed the Review • Summary of Findings/Recommendations • Status and/or Disposition • Recommendations

Basic Requirements ♦ First Time Applicants (Continued)

○ Brief Description of Pending Applications to Other Federal Agencies

○ Statement as to Whether Any Other Federal Agency Finding of Noncompliance

Basis for Requirements ♦ FTA Circular 4702.1B ♦ Effective October 1, 2012 ♦ Download at:

http://www.fta.dot.gov/legislation_law/12349_14792.html

Circular Overview ♦ Applicability and Complexity of Program

Submission Based on Entity/Mode

Entity/Mode Compliance Requirement

Chapter I All Recipients/Subrecipients

Chapter II All Recipients/Subrecipients

Chapter III All Recipients/Subrecipients

Chapter IV Fixed Route Operators +50 Buses, 200,000 Population

Chapter V State DOTs

Chapter VI Metropolitan Planning Organizations (MPOs)

Circular Overview ♦ Other Chapters of the Circular Cover

○ Compliance with DOT Regulations at 49 CFR part 21

○ Civil Rights Compliance Reviews ○ Complaints

Circular Overview ♦ Applicable Provisions to Most Subrecipients

○ First Three Chapters ♦ Demand Response Providers

○ First Three Chapters Chapters I, II – Information Chapter III – Basic Plan Contents for ALL Entities

Title VI Program Elements ♦ Chapter III Provisions

○ Title VI Notice to the Public ○ Complaint Procedures ○ Complaint Form ○ Limited English Proficiency Plan & Public Involvement

Plan ○ List of Investigations, Lawsuits, and Complaints ○ Information Regarding Siting of Fixed Facilities ○ Table Depicting Racial Composition of Membership of

Non-Elected Boards/Committees

Notice to the Public ♦ Prepare Notice

○ Notice States that the Entity Complies With Title VI

○ Basic Statement of Protections ○ The Program Should Include a List of Locations

Where Notice is Posted Generic, i.e., Website, Buses, Service Guide, etc.

Notice to the Public ♦ Notice Content

○ Statement That the Agency Operates Programs Without Regard to Race, Color, or National Origin

○ Procedures the Public Should Follow to Request Additional Information on the Recipient’s Title VI Obligations

○ Procedures to File a Title VI Discrimination Complaint Against the Recipient

Best Practice ♦ Content

○ Where Do Agencies Find Content? Do We Have to Write This? NO

○ A Model Template, Modeled After the Notice Used by NJ Transit, Is Available for Your Use

Best Practice ♦ Content

○ Model Notice That Emulates NJ Transit Notice is a Best Practice Handout Form

Best Practice ♦ What if My Agency/Government Already

Has Language for Title VI Notices and the Governing Board Wants Transit to Use This Language?

♦ NJ Transit Will Not be Prescriptive, However, You Must Ensure Your Notice Must Contains The Three (3) Key Provisions From the “Notice Content” Slide

Best Practice ♦ Dissemination

○ Where Does the Transit Program or Agency Interface/Interact with the Public? Agency Office Buses Website

○ NJ Transit Will Not Be Prescriptive, But Your Program Should Document These Places

Best Practice ♦ Dissemination

○ Document Translation Notices Detailing a Recipient’s Title VI Obligations

and Complaint Procedures Must Be Translated Into Languages Other Than English

○ What Languages? Translate Consistent With LEP “Four Factor” Analysis

Outcome and Your Language Assistance Plan (Discussed Later)

Complaint Procedures ♦ All Covered Entities Must Develop

Procedures For Investigating and Tracking Title VI Complaints

♦ The Procedures For Filing a Complaint Must Be Made Available to the Public

Complaint Procedures ♦ Recipients Must Also Develop a Title VI

Complaint Form ♦ The Form and the Procedure For Filing a

Complaint Shall Be Available On The Recipient’s Website

Best Practice ♦ Segregate This Complaint Process From

General Customer Service Complaints ○ This is Entirely Different Than “My Bus is Late”

or the “Driver Was Rude” ♦ NJ Transit is Obligated to Report Title VI

Complaints of Subrecipients to FTA ♦ Need to Record, Track, and Report Any

Complaints

Best Practice ♦ Subrecipients May Adopt the Title VI

Complaint Investigation, Tracking Procedures, and Complaint Form Developed By the Primary Recipient

NJ Transit On-Line Form

Best Practice ♦ Another, More Traditional Complaint Form

is Found in Appendix D of the Circular ♦ Again, as Title VI Applies to All Federal

Programs, Your Organization May Already Have Developed This Process to Comply with Other Federal Guidance ○ Use of Such Processes is Encouraged

Tracking Complaints ♦ If Complaint Alleges Discrimination on the

Basis of Race, Color, or National Origin, Transit System Must Track: ○ Active Investigations Conducted by Entities

Other Than FTA ○ Lawsuits ○ Complaints Naming the Recipient

Tracking Complaints ♦ Data

○ The Date That The Investigation, Lawsuit, or Complaint Was Filed;

○ A Summary of the Allegation(s) ○ The Status of the Investigation, Lawsuit, or

Complaint ○ Actions Taken By The Recipient In Response to

the Complaint or Final Findings Related to the Investigation, Lawsuit, or Complaint

Best Practice ♦ Complaint Management Software (Tailored

to Civil Rights) ♦ Designation of Specific Title VI Officer

Within Your Organization ♦ Establish Timeframes for Investigation and

Outcomes ♦ Engage Top Management

Inclusive Public Participation ♦ Combines Title VI, the Executive Order on

Limited English Proficiency (LEP), and DOT LEP Guidance

♦ Integration of These Elements Into Each Recipient’s Established Public Participation Plan or Process

Inclusive Public Participation ♦ The Title VI Program Must Explicitly

Describe ○ Proactive Strategies ○ Procedures ○ Desired Outcomes

That Underpin The Recipient’s Public Participation Activities)

Best Practice ♦ There Are a Wide Range of Practices to Meet

These Objectives in a Cost Effective Manner ♦ NJ Transit Will Address These Strategies as a

Separate Task in the Work Program

Meaningful Access to LEP ♦ This Element of the Title VI Program Has

Two Main Components ○ Four Factor Analysis ○ Language Assistance Program

♦ This May Be the Most Challenging Aspect of Title VI Program Development

Meaningful Access to LEP ♦ Four Factor Analysis

○ The Number of LEP Persons in Service Area ○ The Frequency With Which LEP Persons Come

Into Contact With the Program ○ Degree of Importance of the Program ○ LEP Outreach

Resources Costs

Language Assistance Plan ♦ Contents

○ LEP Analysis ○ Description of Language Assistance Services ○ Notice of Availability of Language Assistance ○ How the Recipient Monitors, Evaluates and

Updates the Language Access Plan ○ How the Recipient Trains Employees to Provide

Timely Language Assistance to LEP Populations

Safe Harbor ♦ The Safe Harbor Provision Stipulates That, If

a Recipient Provides Written Translation of Vital Documents For Each Eligible LEP Language Group That Constitutes Five Percent (5%) Or 1,000 Persons ○ …The Transit System is In Compliance

Best Practices ♦ Like Public Participation, NJ Transit Will

Address LEP as a Separate Task in the Work Program ○ NJ Transit Role

Data Mapping

Minority Participation ♦ Identification of Planning and Advisory

Boards ○ Not Governing Board ○ Non-Elected Boards/Committees

♦ Preparation of a Table Depicting Racial Breakdown of Membership

Best Practices ♦ NJ Transit Will Provide a Standard Format

for Preparation of Table

Title VI Program Approval ♦ The Title VI Program Must Be Approved by

the Recipient’s Board of Directors or Appropriate Governing Entity or Official(s) Responsible For Policy Decisions Prior to Submission to NJ Transit

For More Information ♦ Section 5310 (Enhanced Mobility of Seniors and

Individuals with Disabilities Program) and Section 5311 (Non-Urbanized Area Formula Program) ○ Northern Counties – Lea Sheridan, 973-491-

8043, lsheridan@njtransit.com ○ Central Counties – Lauren Williams, 973-491-

7374, lnwilliams@njtransit.com ○ Southern Counties – Hope Hezel, 973-491-8397,

hhezel@njtransit.com

For More Information ♦ Section 5307 (Urbanized Area Formula Program),

Section 5309 (Capital Program) and CMAQ ○ Anna Magri, 973-491-7381,

amagri@njtransit.com ♦ Section 5316 (JARC) and Section 5317 (New

Freedom) ○ Jim Flynn, 973-491-7382,

jpflynn@njtransit.com

For More Information Rich Garrity, Senior Associate

RLS & Associates, Inc.

Corporate: 3131 S. Dixie Highway, Suite 545

Dayton, OH 45439 (937) 299-5007

Rich: 801 S. Shore Drive Surf City, NC 28445

(910) 328-5770 richg@cris.com