Title VI Transit Training Training Facilitated By:

University of Nebraska at Omaha – College of Public Affairs and Community Service Dr. Ethel Williams, Valerie Lefler and Franchell Abdalla UNO CPACS School of Public Administration 6001 Dodge Street Omaha, NE 68182 Nebraska Department of Roads Kari Ruse, Transit Liaison Manager 1500 Highway 2 PO Box 94759 Lincoln, NE 68509 (402) 479-4694

Training Overview

Morning Session • Welcome & Introductions • Title VI Training

• Title VI – Introduction & Background • Program Overview • General Requirements & Guidelines • Title VI Subrecipient Requirements &

Program Compliance • Complaints – Filing & Procedures

• Q & A • Lunch

Afternoon Session • Welcome • Training Review/Q&A • Subrecipient Title VI Compliance

Transit Manual • Template Overview

• Subrecipient Program Plan • Governing Board • Reporting Requirements • Language Assistance Plan • Appendix

• Wrap-Up

Introduction & Background

Nebraska Department of Roads Mission

We provide and maintain, in cooperation with public and private organizations, a safe, reliable, affordable, environmentally compatible and coordinated statewide transportation system for the movement of people and goods.

• The Nebraska Department of Roads (NDOR) has devised the following training in order to ensure that each NDOR sub-recipient, at an early time and in a regular manner, is informed of and compliant with the Federal Transit Administration’s (FTA) Title VI requirements.

• The information contained within this training is meant to serve as a guide to NDOR subrecipients regarding the effort expected for compliance with all levels of compliance for Civil Rights statutes and Title VI requirements.

Federal Transit Administration - FTA

• The Federal Transit Administration (FTA), is one of ten operating administrations within the U.S. Department of Transportation (DOT). Headed by an Administrator who is appointed by the President of the United States, FTA functions through a Washington, DC, headquarters office, ten regional offices, and five metropolitan office that assist transit agencies with public transportation including buses, subways, light rail, commuter rail, monorail, passenger ferry boats, trolleys, inclined railways, people movers, and vans.

• The Federal Government, through FTA, provides financial assistance to develop new

transit systems and improve, maintain, and operate existing systems. FTA oversees thousands of grants to hundreds of State and local transit providers, primarily through its ten regional offices. These grant recipients are responsible for managing their programs in accordance with Federal requirements, and FTA is responsible for ensuring that recipients follow Federal statutory and administrative requirements.

Definitions

• Federal Financial Assistance – The transfer of money, property, services, or anything of value, the principal purpose of which is to accomplish a public purpose of support or stimulation authorized by Federal statute.

• Recipient – Any State, political subdivision of any State, or instrumentality of any State or political subdivision, any public or private agency, institution, or organization, other entity, or any individual, in any State to whom Federal financial assistance is extended, directly or through another recipient, for any program, including any successor, assign, or transferee thereof, but such term does not include any ultimate beneficiary under any such program.

• Sub-recipient – Any entity or individual that receives federal financial assistance from a primary recipient to carry out a program. Sometimes assistance is distributed to an ultimate beneficiary.

• Contractor – Any entity or individual who provides any function or service that requires the performance or delivery of assistance to beneficiaries under the terms of a contract with a state entity.

OVERVIEW OF TITLE VI

Title VI of the Civil Rights Act of 1964 prohibits discrimination on the basis of race, color and national origin in programs and activities receiving Federal financial assistance. The Nebraska Department of Roads is committed to ensuring that no person is excluded from participation in, or denied the benefits of its transit services on the basis of race, color, national origin, age, disability or sex as protected by Title VI in Federal Transit Administration (FTA) Circular 4702.1.B.

Examples of Discriminatory Practices

• Denying benefits or opportunities • Providing services/benefits in a different manner or in a segregated

environment • Retaliation • Restricting privileges • National Origin / Limited English Proficiency (LEP)

Discrimination

FTA Circular 4702.1.B

• http://www.fta.dot.gov/documents/FTA_Title_VI_FINAL.pdf

The Nebraska Department of Roads (NDOR) Transit Section has responsibility for oversight of Section 5310, 5311 and 5304 subrecipients. NDOR’s Title VI Plan addresses the general requirements and oversight responsibilities of Title VI.

PROGRAM OVERVIEW

Program Objectives

The direction, guidance and procedures in this training is to assist subrecipients to:

• Ensure that the 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, age, national origin, disability or sex;

• Ensure meaningful access to transit-related programs and activities by persons with limited English proficiency.

Statutory Authority

Section 601 of Title VI of the Civil Rights Act of 1964 states the following: 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.

• The Civil Rights Restoration Act of 1987 clarified the broad, institution-wide application of Title VI. Title VI covers all of the operations of covered entities without regard to whether specific portions of the covered program or activity are Federally funded.

• This training is meant to provide guidance on the transit-related aspects of a subrecipient’ s activity. Recipients are responsible for ensuring that all of their activities are in compliance with Title VI and administered in a nondiscriminatory manner.

Regulatory Authority

The U.S. Department of Justice (“DOJ”) Title VI regulations can be found at 28 CFR § 42.401 et seq., and 28 CFR § 50.3. The U.S. Department of Transportation (“DOT”) Title VI implementing regulations can be found at 49 CFR part 21. All programs receiving financial assistance from FTA are subject to Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) and DOT’s implementing regulations. In addition, DOJ’s regulations require agencies such as DOT to issue guidelines to recipients to provide Chap. II-2 FTA C 4702.1B detailed information on the requirements of Title VI. In order to assist recipients in carrying out the provisions of DOT’s Title VI regulations, each of the requirements in the FTA Circular include a reference to the corresponding provision of 49 CFR part 21.

Reporting Requirements

Subrecipients must submit all the above information to the Nebraska Department of Roads Transit Unit Section annually, including the following information:

(1) A copy of the subrecipient ’s Title VI notice to the public. (2) A copy of the subrecipient ‘s instructions to the public regarding how to file a Title VI discrimination complaint. (3) A list of any public transportation-related Title VI investigations, complaints, or lawsuits filed with the recipient since the time of the last submission. (4) A public participation plan that includes an outreach plan to engage minority and limited English proficient populations, as well as a summary of outreach efforts made since the last Title VI Program submission. (5) A copy of the subrecipient ‘s plan for providing language assistance to persons with limited English proficiency, based on the DOT LEP Guidance, including Safe Harbor language. (6) Subrecipients that have transit-related, non-elected planning boards, advisory councils or committees, must provide a table depicting the racial breakdown of the membership of those committees, and a description of efforts made to encourage the participation of minorities on such committees or councils.

GENERAL REQUIREMENTS & GUIDELINES

Subrecipient Requirements

• Comply with Title VI Regulations • Provide Title VI Assurances • Develop Title VI Complaint Procedures and Forms • Record and Report Transit-related Title VI Investigations • Promote Public Participation • Provide Access to LEP Persons • Minority Representation on Planning Boards • Train Staff Annually • Maintain a Compliance Officer

Title VI Assurances

Subrecipients of FTA transit programs are required to submit a signed copy of the Certifications and Assurances (Certification of Compliance with Civil Rights) to NDOR’s Transit Section as a part of the annual application process for operating assistance and capital purchases. All program subrecipients are responsible for ensuring that contractors and drivers follow and comply with Title VI program requirements.

Promote Public Participation

• Subrecipients have wide latitude to determine how, when, and how often specific public participation activities should take place, and which specific measures are most appropriate.

• Public participation activities should include the following: Public meetings conducted at convenient and accessible locations at convenient times. The use of visuals to describe plans and projects. Public information should be available in an electronic accessible format (i.e. Internet).

• Outreach activities to minority and low income populations can include direct mailing to minority populations to make them aware of public meetings being held in the community and to make them aware of available transportation services.

Provide Access to LEP Persons

Limited English Proficient Persons (LEP) are defined in FTA Circular 4702.1A as: persons for whom English is not their primary language and who have a limited ability to speak, understand, read, or write English. The LEP Plan will outline reasonable steps to ensure meaningful access to benefits, services, information, and other important activities.

COMPLIANCE WITH TITLE VI REGULATIONS

Compliance Procedures

Compliance Checklist Documented budget figures

Service area

Fare structure

Coordination with other public, private-nonprofit, and private-for profit transportation organizations

Non-duplication of service

Compliance with all applicable Title VI Civil rights requirements (signed assurances are required).

Compliance with U.S. Department of Transportation regulations concerning nondiscrimination on the basis of handicap

Acceptance of Section 5333(b) Labor Protection Warranty

Compliance with FTA charter service regulations (signed certification required).

Public involvement through a prescribed public hearing process

Compliance information is available on the NDOR Transit Section website. Resources available on the website include template policies, sample posters and links to additional information. In addition to the website, the NDOR Transit Section disseminates information via phone calls, the transportation association newsletter and a dedicated listserv.

Effecting Compliance & Monitoring

• To follow-up and review compliance, NDOR staff conducts site visits at each 5310 and 5311 subrecipient locations. During the annual application process for 5311 operating assistance, each sub-recipient is required to sign all appropriate FTA Certifications and Assurances. One of the certifications and assurances required by all applicants is the Title VI Certification and Assurances form. 5310 subrecipients applying for capital assistance to purchase vehicles are also required to complete all FTA Certifications and Assurances.

COMPLAINTS

Title VI Complaint Procedures

Right to File • Anyone who wishes to file a Title VI

discrimination complaint, involving the federal transit programs, against NDOR may submit the complaint in writing to FTA.

• Persons eligible to file complaints are

persons who feel they were subjected to discrimination or retaliation on the basis of: • Race • Color • National origin • Gender • Age • Religion • Disability

How to File Complaints may be filed by the affected individual OR a representative of that individual • Complaints MUST be in writing and contain as

much information as possible about the alleged discrimination. NDOR’s Transit Section has prepared a Complaint Form to be used for the convenience of the complainant. The written complaint should include the following:

• Complainant's name, address and telephone number

• A detailed description of the issues • Name and job titles of individuals perceived as

parties in the complaint Complaints received by telephone will be placed in writing and provided to complainant for confirmation or revision, and signature before processing.

Title VI Complaint Procedures

Filing a Complaint Process Complaint forms will be available on the NDOR Rail and Public Transportation Division website or by contacting the NDOR Transit Liaison Manager. Complaints and substantiating information can be submitted directly to the local transit system. Complaints may also be filed with the State and Federal Transit Administration: • 1. Local transit provider • 2. State of Nebraska Nebraska Department of Roads Kari Ruse, Transit Liaison Manager 1500Highway 2 PO Box 94759Lincoln, NE 68509-4759 402-479-4694 kari.ruse@nebraska.gov • 3. Federal Transit Administration Office of Civil Rights Attention: Title VI Program Coordinator East Building, 5th Floor – TCR 1200 New Jersey Ave., SE Washington, DC 20590

What Information Should be Included? What information should be included in the complaint from the complainant? • Location of discrimination activity • Name, address and telephone number of

complainant • A detailed description of the issues • Name and job titles of individuals perceived as

parties in the complaint

Title VI Complaint Form

Record and Report Complaints

Investigation of a Complaint As part of the review, the investigator will at minimum: - Gather relevant documentation from the complainant not included in the complaint, such as forms, memos, letters, and photographs - Maintain log of all activities associated with complaint - Complete Investigative Report of information, findings, photos, and recommendations for corrective action to the Federal Transit Administration.

A copy of the complaint, together with a copy of the State's report of investigation, shall be forwarded to the FTA Region VII office in Kansas City, MO within 60 days of the date the complaint was received by NDOR.

Dismissal of a Complaint A decision to dismiss a complaint by NDOR can be done for the following reasons: 1. The complaint was not filed within 180 days. 2. The complaint is not covered by the statutes for

which NDOR is responsible. 3. The complaint does not allege any harm covered

under by the statutes for which NDOR is responsible.

4. The complainant requests the withdrawal of the complaint.

5. The complainant fails to respond to repeated documented requests for additional information needed to process the complaint.

6. The complainant cannot be located after documented reasonable attempts.

Letters of Finding, Complaints & Lawsuits

In the event of a complaint or lawsuit being filed within the transit programs, a log will be maintained to include the following information: Date the complaint/lawsuit was filed Summary of the allegations Status of the investigation Actions taken by the recipient/sub recipient in response to the complaint/lawsuit and

investigation. Documentation to be retained includes the complaint form and a summary of the findings.

APPENDIX (FORMS)

NDOR Title VI Forms - Appendix

• Circular FTA 4702 • Title VI Program Checklist • Civil Rights Brochure • Title VI Civil Rights Wall Poster • Title VI Civil Rights Vehicle Poster

Nebraska Department of Roads (NDOR) Transit Section

http://www.transportation.nebraska.gov/rpt/pub-transp.htm#vi

QUESTIONS & ANSWERS

Training Overview

Morning Session • Welcome & Introductions • Title VI Training

• Title VI – Introduction & Background • Program Overview • General Requirements & Guidelines • Title VI Subrecipient Requirements &

Program Compliance • Complaints – Filing & Procedures

• Q & A • Lunch

Afternoon Session • Welcome • Training Review/Q&A • Subrecipient Title VI Compliance

Transit Manual • Template Overview

• Subrecipient Program Plan • Governing Board • Reporting Requirements • Language Assistance Plan • Appendix

• Wrap-Up

Training Review

• Icebreaker and Title VI Quick Review

Subrecipient Title VI Transit Manual

NDOR Subrecipient Portal

XXX Title VI Transit Program & Language Assistance Plan

Demand Response Transit Plan

2014

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