**TITLE VI COMPLIANCE REVIEW**

**OF THE**

**TENNESSEE DEPARTMENT OF TRANSPORTATION**

**Nashville, Tennessee**

**Draft Report**

**July 2007**

**Prepared For**

**U.S. DEPARTMENT OF TRANSPORATION**

**FEDERAL TRANSIT ADMINISTRATION**

**OFFICE OF CIVIL RIGHTS**

**Prepared By**

**THE DMP GROUP**

**TABLE OF CONTENTS**

I. GENERAL INFORMATION [1](#__RefHeading___Toc163625325)

II\. JURISDICTION AND AUTHORITIES [2](#__RefHeading___Toc163625326)

III\. PURPOSE AND OBJECTIVES [3](#__RefHeading___Toc163625327)

IV\. BACKGROUND INFORMATION [6](#__RefHeading___Toc163625328)

V. SCOPE AND METHODOLOGY [9](#__RefHeading___Toc163625329)

VI\. FINDINGS AND RECOMMENDATIONS [20](#__RefHeading___Toc163625330)

A. FTA Title VI Program Submittal [21](#__RefHeading___Toc163625331)

B. Findings of the General Reporting Requirements
[21](#__RefHeading___Toc163625332)

C. Findings of the State Administered Programs Requirements (Planning,
Formula and/or Discretionary Grants to Urbanized Areas with a Population
of 200,000 or Less) [24](#__RefHeading___Toc163625333)

D. Findings of the Program-Specific Requirements for States
Administering Elderly and Persons with Disabilities Program (Section
5310) [26](#__RefHeading___Toc163625334)

E. Findings of the Program-Specific Requirements for States
Administering Rural Funding Programs (Section 5311)
[30](#__RefHeading___Toc163625335)

F. Procedures for Filing Title VI Complaints
[33](#__RefHeading___Toc163625336)

G. Other Requirements Pursuant to DOT Order on Environmental Justice and
DOT Policy Guidance Concerning Recipients Responsibilities to Limited
English Proficient (LEP) Persons [34](#__RefHeading___Toc163625337)

VII\. SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
[39](#__RefHeading___Toc163625338)

VIII\. ATTENDEES [43](#__RefHeading___Toc163625339)

I.  []{#__RefHeading___Toc163625325 .anchor}GENERAL INFORMATION

Grant Recipient: Tennessee Department of Transportation (TDOT)

City/State: Nashville, Tennessee

Grantee No: 1007

Executive Official: Mr. Jim Ladieu, Acting Director

Office of Public Transportation, Rail and

> Waterways

Report Prepared By: THE DMP GROUP

5600 Colorado Avenue, NW

Washington, DC 20011

Site Visit Dates: December 5-7. 2006

Compliance Review

Team Members: John Potts, Lead Reviewer

Maxine A. Marshall, Reviewer

Donald Lucas, Reviewer

II. []{#__RefHeading___Toc163625326 .anchor}JURISDICTION AND AUTHORITIES

The Federal Transit Administration (FTA) Office of Civil Rights is
authorized by the Secretary of Transportation to conduct civil rights
compliance reviews. The Tennessee Department of Transportation (TDOT) is
a recipient of FTA funding assistance and is therefore subject to the
Title VI compliance conditions associated with the use of these funds
pursuant to the following directives:

-   Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C.
    2000d),

-   49 U.S.C. Section 5332,

-   Executive Order No. 12898, "Federal Actions to Address Environmental
    Justice in Minority Populations and Low-Income Populations,"
    February 11, 1994, ("Environmental Justice" or "EJ"),

-   Executive Order No. 13166, "Improving Access to Services for Persons
    with Limited English Proficiency," August 11, 2000 ("LEP"),

-   Section 12 of the FTA Master Agreement, FTA MA(11),
    http://www.fta.dot.gov/16000_16002_ENG_HTML.htm

III. []{#__RefHeading___Toc163625327 .anchor}PURPOSE AND OBJECTIVES

**Purpose**

The Federal Transit Administration (FTA) Office of Civil Rights
periodically conducts discretionary reviews of grant recipients and
subrecipients to determine whether they are honoring their commitments,
as represented by certification, to comply with the requirements of 49
U.S.C. 5332. In keeping with its regulations and guidelines, FTA
determined that a Compliance Review of the Tennessee Department of
Transportation (TDOT) Title VI Program was necessary. This review
focused on TDOT \'s administration of transit programs funded by FTA.

The Office of Civil Rights authorized The DMP Group (DMP) to conduct the
Title VI Compliance Review of TDOT. The primary purpose of this
Compliance Review was to determine the extent to which TDOT has met its
Title VI/Environmental Justice requirements in accordance with the
following guidance documents:

-   FTA Circular 4702.1, Title VI Program Guidelines for Federal Transit
    Administration Recipients,

-   FTA Circular 9040.1E, Program Guidelines for State DOT's
    Administering the Section 5311 Program, Chapter IX, Part 4, "Title
    VI Requirements for State DOT's Administering the Section 5311
    Program,

-   FTA Circular 9070.1E, Program Guidelines for State DOT's
    Administering the Section 5310 Program, Part C, "Title VI
    Requirements for State DOT's Administering the Section 5310 Program,

-   Action Memo from the FHWA and FTA Administrators titled
    *Implementing Title VI/EJ Requirements in Metropolitan and Statewide
    Planning* October 7, 1999, and

```{=html}
<!-- -->
```
-   U.S. DOT "Policy Guidance Concerning Recipients' Responsibilities to
    Limited English Proficient (LEP) Persons", 70 Federal Register
    74087, December 14, 2005

The Compliance Review had a further purpose to provide technical
assistance and to make recommendations regarding corrective actions, as
deemed necessary and appropriate.

#### 

#### Objectives

The objectives of FTA's Title VI requirements, as set forth in FTA
Circular 4702.1, "Title VI Program Guidelines for Federal Transit
Administration Recipients," are:

-   To ensure that FTA-assisted benefits and related services are made
    available and are equitably distributed without regard to race,
    color, or national origin;

```{=html}
<!-- -->
```
-   To ensure that the level and quality of FTA-assisted transit
    services are sufficient to provide equal access and mobility for any
    person without regard to race, color, or national origin;

```{=html}
<!-- -->
```
-   To ensure that opportunities to participate in the transit planning
    and decision-making process are provided to persons without regard
    to race, color, or national origin;

-   To ensure that decisions on the location of transit services and
    facilities are made without regard to race, color, or national
    origin; and

-   To ensure that corrective and remedial action is taken by all
    applicants and recipients of FTA assistance to prevent
    discriminatory treatment of any beneficiary based on race, color, or
    national origin.

The Compliance Review is to ascertain the extent to which TDOT is
meeting the Title VI Program objectives.

IV. []{#__RefHeading___Toc163625328 .anchor}BACKGROUND INFORMATION

According to the 2005 Annual Report on the Status of Public
Transportation in Tennessee:

> *The mission of the Tennessee Department of Transportation (TDOT) is
> to plan, implement, maintain, and manage an integrated transportation
> system for the movement of people and products, with emphasis on
> quality, safety, efficiency, and the environment.*

At the time of this Title VI Compliance Review, responsibility for
public transportation was located at TDOT in the Bureau of Public
Transportation, Waterways, and Rail. The Bureau was organized into three
modal offices:

-   Office of Public Transportation (OPT);

-   Office of Rail & Water Transportation; and

-   Office of Rail Safety.

The OPT provides financial assistance to 25 public transit systems
serving all of the counties in the State. Fourteen of the public transit
systems are urban providers that receive FTA funds as direct recipients.
The remaining eleven public transit systems are rural providers that
receive FTA funds as subrecipients to the State. The rural providers
are:

1.  Delta Human Resource Agency (DHRA)

2.  East Tennessee Human Resource Agency (ETHRA)

3.  First Tennessee Human Resource Agency (NET Trans)

4.  Hamilton County Rural Transit System (HCRT)

5.  Hancock County Rural Transit System (HCRPT)

6.  Mid-Cumberland Human Resource Agency (MCHRA)

7.  Northwest Tennessee Human Resource Agency (NTHRA)

8.  South Central Tennessee Development District (SCTDD)

9.  Southeast Tennessee Human Resource Agency (SETHRA)

10. Southwest Human Resource Agency (SWTHRA)

11. Upper Cumberland Human Resource Agency (UCARTS)

At the time of the Compliance Review, the primary FTA functions
administered by the OPT included the following:

-   Transit Planning, Capital and Operating Assistance for Urbanized and
    Non-Urbanized areas

-   Elderly and Disabled Transportation Program

-   Statewide Ridesharing Program

-   Training for Urban and Rural Transit Systems

-   Statewide Student Internship Program

-   Park and Ride Lot Development

-   Research and Technical Assistance

The OPT serves as the recipient and administrator of the following FTA
funded programs:

-   Section 5303 -- Metropolitan Planning

-   Section 5307 -- Urbanized Area Grants

-   Section 5309 -- Capital Investment Grants

-   Section 5310 -- Elderly and Persons with Disabilities Grants

-   Section 5311 -- Non-Urbanized Area Grants

-   Section 5313 (b) -- State Planning and Research Grants

-   Section 5316 -- Job Access and Reverse Commute Grants

As shown on the following table, the total Year 2005 population in the
State of Tennessee is 5,810,590, with the Black/African American
population at 16.4 percent, the Hispanic population at 3.0 percent, and
the Asian population at 1.3 percent.

+-------------------------------------------+-------------+-----------+
|                                           | **          | **        |
|                                           | Tennessee** | Percent** |
+-------------------------------------------+-------------+-----------+
| > Total population                        | 5,810,590   | 100.0     |
+-------------------------------------------+-------------+-----------+
| ![](media/im                              | ![](media   | ![](medi  |
| age1.png){width="1.0416666666666666e-2in" | /image1.png | a/image1. |
| height="1.0416666666666666e-2in"}         | ){width="1. | png){widt |
|                                           | 04166666666 | h="1.0416 |
|                                           | 66666e-2in" | 666666666 |
|                                           | height="1.0 | 666e-2in" |
|                                           | 41666666666 | height    |
|                                           | 6666e-2in"} | ="1.04166 |
|                                           |             | 666666666 |
|                                           |             | 66e-2in"} |
+-------------------------------------------+-------------+-----------+
| > One race                                | 5,743,295   | 98.8      |
+-------------------------------------------+-------------+-----------+
| > White                                   | 4,625,715   | 79.6      |
+-------------------------------------------+-------------+-----------+
| > Black or African American               | 954,287     | 16.4      |
+-------------------------------------------+-------------+-----------+
| > American Indian and Alaska Native       | 15,770      | 0.3       |
+-------------------------------------------+-------------+-----------+
| > Asian                                   | 73,824      | 1.3       |
+-------------------------------------------+-------------+-----------+
| > Native Hawaiian and Other Pacific       | 1,200       | 0.0       |
| > Islander                                |             |           |
+-------------------------------------------+-------------+-----------+
| > Some other race                         | 72,499      | 1.2       |
+-------------------------------------------+-------------+-----------+
| > Two or more races                       | 67,295      | 1.2       |
+-------------------------------------------+-------------+-----------+
| > Hispanic or Latino (of any race)        | 172,704     | 3.0       |
+-------------------------------------------+-------------+-----------+

2005 Racial Breakdown for the State of Tennessee

Source: U.S. Census Bureau, American Community Survey

[]{#__RefHeading___Toc163625329 .anchor}V. SCOPE AND METHODOLOGY

#### Scope

The Title VI Compliance Review of TDOT's FTA funded transit programs
examined the following requirements as specified in FTA Circular 4702.1,
FTA Circular 9040.1E, and FTA Circular 9070.1E:

1.  [FTA Title VI Program Submittal]{.underline}. Per Chapter III, Part
    2 of Circular 4702.1, all applicants, recipients, and subrecipients
    are required to maintain and provide to FTA Title VI information in
    the Circulars. Updates must at a minimum be provided every three
    years.

2.  [General Reporting Requirements]{.underline} -- Per Chapter III,
    Part 2 of Circular 4702.1, all applicants, recipients and
    subrecipients shall maintain and submit the following:

-   A list of active Title VI lawsuits or complaints;

-   A summary of recent civil rights compliance review activities; and

-   A fixed-facility impact assessment analysis, if applicable, for
    construction projects.

3.  [State-Administered Programs]{.underline} -- Per Chapter II, Part 2
    of Circular 4702.1, State Agencies administering FTA planning and
    formula capital and operating assistance programs in urbanized areas
    with a population of 200,000 or less and subrecipients of
    discretionary (earmark) grants are required to maintain the
    following records:

-   Documentation showing how the state ensures that these subrecipients
    are in compliance with the requirements contained in Circular
    4702.1, including documentation of Title VI assessments of these
    subrecipients conducted by the state;

-   Data and other relevant information maintained by the state and
    obtained by these subrecipients to ensure compliance with the
    requirements of Circular 4702.1; and

-   Data and other relevant information submitted by these subrecipients
    to the state relating to compliance with Title VI requirements.

4.  [Program-Specific Requirements -- Section 5310]{.underline} -- Per
    Chapter VI, Part 1 of Circular 9070.1E, State Agencies Administering
    Transit Programs for the Elderly and Handicapped program funded
    under Section 5310 are required to comply with the following data
    collection and reporting requirements:

-   A record of approved and rejected funding requests that identifies
    applicants that are minority organizations or that provide
    assistance to minority communities;

```{=html}
<!-- -->
```
-   A description of the process by which the state develops the annual
    program of projects submitted to FTA as part of its Section 5310
    grant application;

```{=html}
<!-- -->
```
-   A description of the state's criteria for selecting providers to
    participate in the program, especially its efforts to include
    subrecipients serving significant minority populations;

```{=html}
<!-- -->
```
-   A description of the state's efforts to assist subrecipients in
    applying for Section 5310 assistance, especially any efforts made to
    assist minority organizations or those that serve primarily minority
    populations; and

```{=html}
<!-- -->
```
-   A description of the state's ongoing process to monitor
    subrecipients\' compliance with Title VI, such as site visits to
    each subrecipient, review checklists, etc.

5.  [Program-Specific Requirements -- Section 5311]{.underline} -- Per
    Chapter IX, Section 4 of FTA Circular 9040.1E, State Agencies
    Administering Programs for Rural and Small Urban Areas program
    funded under Section 5311 are required to comply with the following
    data collection and reporting requirements:

-   A description of the process by which the state develops the annual
    program of projects submitted to FTA as part of its Section 5311
    grant application, especially the method used to ensure fair and
    equitable distribution of funds, including to Native American tribes
    where present;

-   A description of the state's efforts to assist subrecipients in
    applying for Section 5311 funds, especially any efforts made to
    assist minority applicants;

-   A description of the state's criteria for selecting transit
    providers to participate in the Section 5311 program, especially its
    efforts to include subrecipients serving significant minority
    populations; and

-   A description of the state's ongoing process to monitor
    subrecipients' compliance with Title VI, such as ongoing site visits
    to each subrecipient, review checklists, etc.

6.  [Procedures for Filing Title VI Discrimination
    Complaints]{.underline} -- Per Chapter VIII, Part 1 of Circular
    4702.1, all applicants, recipients and subrecipients that provide
    public transit service are required to develop and implement
    procedures for filing Title VI discrimination complaints.

This compliance review also assessed TDOT's policies, programs, and
activities pursuant to the following guidance that relates to Title VI:

[1. Implementing Title VI Requirements in Metropolitan and Statewide
Planning.]{.underline} This memorandumt, which was issued in 1999 by the
Administrators of the Federal Highway Administration (FHWA) and FTA to
FHWA Division Administrators and FTA Regional Administrators instructed
FHWA and FTA staff to raise questions during reviews of MPOs and State
DOTs to verify their compliance with Title VI. The memorandum stated
that if it becomes evident that the MPO or State DOT's Title VI self
certification was not adequately supported, a corrective action is to be
included to rectify the deficiency. The memorandum recommended that
agency staff seek to verify Title VI self-certification by asking the
following questions:

Overall Strategies and Goals:

-   What strategies and efforts has the planning process developed for
    ensuring, demonstrating, and substantiating compliance with Title
    VI? What measures have been used to verify that the multi-modal
    system access and mobility performance improvements included in the
    plan and Transportation Improvement Program (TIP) or STIP, and the
    underlying planning process, comply with Title VI?

-   Has the planning process developed a demographic profile of the
    metropolitan planning area or State that includes identification of
    the locations of socio-economic groups, including low-income and
    minority populations as covered by the Executive Order on
    Environmental Justice and Title VI provisions?

-   Does the planning process seek to identify the needs of low-income
    and minority populations? Does the planning process seek to utilize
    demographic information to examine the distributions across these
    groups of the benefits and burdens of the transportation investments
    included in the plan and TIP (or STIP)? What methods are used to
    identify imbalances?

2\. *Service Equity:*

-   Does the planning process have an analytical process in place for
    assessing the regional benefits and burdens of transportation system
    investments for different socio-economic groups? Does it have a data
    collection process to support the analysis effort? Does this
    analytical process seek to assess the benefit and impact
    distributions of the investments included in the plan and TIP (or
    STIP)?

-   How does the planning process respond to the analyses produced?
    Imbalances identified?

3\. *Public Involvement:*

-   Does the public involvement process have an identified strategy for
    engaging minority and low-income populations in transportation
    decisionmaking? What strategies, if any, have been implemented to
    reduce participation barriers for such populations? Has their
    effectiveness been evaluated? Has public involvement in the planning
    process been routinely evaluated as required by regulation? Have
    efforts been undertaken to improve performance, especially with
    regard to low-income and minority populations? Have organizations
    representing low-income and minority populations been consulted as
    part of this evaluation? Have their concerns been considered?

-   What efforts have been made to engage low-income and minority
    populations in the certification review public outreach effort? Does
    the public outreach effort utilize media (such as print, television,
    radio, etc.) targeted to low-income or minority populations? What
    issues were raised, how are their concerns documented, and how do
    they reflect on the performance of the planning process in relation
    to Title VI requirements?

-   What mechanisms are in place to ensure that issues and concerns
    raised by low-income and minority populations are appropriately
    considered in the decisionmaking process? Is there evidence that
    these concerns have been appropriately considered? Has the
    metropolitan planning organization (MPO) or State DOT made funds
    available to local organizations that represent low-income and
    minority populations to enable their participation in planning
    processes?

2\. U[.S. DOT Policy Guidance Concerning Recipients Responsibilities to
Limited English Proficient (LEP) Persons]{.underline}. This document,
which was updated in 2005 by the Office of the Secretary of
Transportation, states that Title VI and its implementing regulations
require that recipients take responsible steps to ensure meaningful
access by LEP persons. It instructed recipients to use the guidance to
determine how best to comply with statutory and regulatory obligations
to provide meaningful access to the benefits, services, information, and
other important portions of their programs and activities for
individuals who are LEP.

#### Methodology

Prior to scheduling the Compliance Review, interviews were conducted
with the FTA Region IV Civil Rights Officer and the Equal Opportunity
Specialist in FTA's Headquarters Office of Civil Rights about specific
Title VI issues and concerns regarding TDOT. Following the interviews, a
detailed letter was sent to TDOT advising it of the site visit and
indicating additional information that would be needed and issues that
would be discussed.

In the letter, TDOT was requested to provide the following background
information:

-   A map or chart of the distribution of Section 5310 or 5311 funding
    throughout the state. The areas covered by each recipient and the
    number of vehicles or dollars awarded in the past three years should
    be noted on the map or chart. The map or chart should also identify
    areas where minority populations exceed the statewide averages.

-   Copies of the current funding contracts between TDOT and Section
    5310 and 5311 recipients.

-   Copies of TDOT's most recent Title VI submittal to FTA.

In the letter, TDOT was also requested to provide an update of the
following General Reporting requirements (Chapter VI, Part C of Circular
9070.1E and Chapter IX, Part 4 of Circular 9040.1E) since its most
recent Title VI submittal.

-   A list of any active lawsuits and complaints

```{=html}
<!-- -->
```
-   A summary of all civil rights compliance review activities conducted
    in the last three years

```{=html}
<!-- -->
```
-   An analysis of any environmental and or social economic impacts as
    the result of proposed construction projects, including the impact
    on minority communities.

TDOT was also requested to provide State Administered Program
requirements (Chapter II, Part 2 of Circular 4702.1):

-   Documentation showing how the state ensures that these subrecipients
    are in compliance with the requirements contained in Circular
    4702.1, including documentation of Title VI assessments of these
    subrecipients conducted by the state;

-   Data and other relevant information maintained by the state and
    obtained by these subrecipients to ensure compliance with the
    requirements of Circular 4702.1; and

```{=html}
<!-- -->
```
-   Data and other relevant information submitted by these subrecipients
    to the state relating to compliance with Title VI requirements.

TDOT was also requested to provide Program-Specific requirements for
State Agencies administering Transit Programs for the Elderly and
Handicapped (Chapter IV, Part C of FTA Circular 9070.1.E):

-   A record of approved and rejected funding requests that identifies
    applicants that are minority organizations or that provide
    assistance to minority communities

```{=html}
<!-- -->
```
-   A description of the process by which the TDOT develops the annual
    program of projects submitted to FTA as part of its Section 5310
    grant application.

```{=html}
<!-- -->
```
-   A description of the TDOT's criteria for selecting providers to
    participate in the program, especially its efforts to include
    subrecipients serving significant minority populations.

```{=html}
<!-- -->
```
-   A description of the TDOT's efforts to assist subrecipients in
    applying for Section 5310 assistance, especially any efforts made to
    assist minority organizations or those that serve primarily minority
    populations.

```{=html}
<!-- -->
```
-   A description of the TDOT's ongoing process to monitor
    subrecipients\' compliance with Title VI, such as site visits to
    each subrecipient, review checklists, etc.

Additionally, TDOT was requested to provide Program-Specific
requirements for State Agencies administering Transit Programs for Rural
and Small Urban Areas (Chapter IX, Section 4 of FTA Circular 9040.1E):

-   A description of the process TDOT uses to develop the annual program
    of projects submitted to FTA as part of its Section 5311 grant
    application, especially the method used to ensure fair and equitable
    distribution of funds, including to Native American tribes where
    present.

-   A description of TDOT's efforts to assist subrecipients in applying
    for Section 5311 funds, especially any efforts made to assist
    minority applicants.

-   A description of TDOT's criteria for selecting transit providers to
    participate in the Section 5311 program, especially its efforts to
    include subrecipients serving significant minority populations.

-   A description of TDOT's ongoing process to monitor subrecipients'
    compliance with Title VI, such as ongoing site visits to each
    subrecipient, review checklists, etc.

TDOT was requested to provide a description of the existing Title VI
complaint process, in accordance with Chapter VII, Section 1 of FTA
Circular 4702.1, and copies of materials which are made available to the
public that describe the process for filing complaints.

Finally, pursuant to the 1999 FHWA/FTA Memorandum and the DOT Policy
Guidance Concerning Recipients Responsibilities to Limited English
Proficient (LEP) persons, TDOT was requested to provide the following:

-   Description of efforts to ensure that the state and its
    subrecipients encourage participation in transportation decision
    making from low-income and minority populations;

-   Description of efforts to assess the benefits and burdens of
    transportation system investments throughout the state for different
    socio-economic groups; and

-   Description of efforts to ensure that the state and its
    subrecipients take reasonable steps to provide meaningful access to
    programs, policies, and activities for persons with limited English
    proficiency.

The site visit to TDOT occurred on December 5-7, 2006. The individuals
participating in the Review are listed in Section VIII of this report.
At the entrance conference, the purpose of the Title VI Compliance
Review and the review process were discussed. A detailed schedule for
conducting the site visit was discussed. After the entrance conference,
the Review team initially focused on the status of the information
requested in the letter notifying TDOT of the Compliance Review. The
Review team also reviewed file information on several subrecipients.
Logistics of site visits to subrecipients were discussed and
arrangements were subsequently made for site visits to the selected
subrecipients. These site visits took place on the second and third days
of the Review.

Interviews were then conducted with TDOT staff to provide information on
the extent to which Title VI requirements were incorporated in the
planning and implementation of the FTA programs administered by TDOT.

On the second and third days of the Review, the Review team visited the
following subrecipients:

-   Mid-Cumberland Human Resources Agency

-   Donelson Senior Center

-   Clarksville Urbanized Area Metropolitan Planning Organization

During the site visits to the selected subrecipients, interviews were
conducted to gain insight on how the Section 5303, Section 5310 and
Section 5311 Programs were being operated. Names of the representatives
from the organizations interviewed are in Section VII of this report.

Interviews were also conducted with representatives of minority
organizations in the Clarksville area. These interviews focused on their
perceptions of the involvement of minority and low-income persons in the
decision-making process. The interviews also addressed issues of the
level and quality of transit service provided to area residents. FTA
accepted these comments as opinions and did not use the interviews as a
basis for a determination of non-compliance with FTA regulations.
Rather, the comments provided insight into public perceptions that would
be either confirmed or refuted based on a specific examination of
documentation by the Review team.

At the exit conference, the Review team and TDOT management discussed
the results of the site visit and the next steps.

[]{#__RefHeading___Toc163625330 .anchor}VI. FINDINGS AND RECOMMENDATIONS

The Title VI Compliance Review focused on TDOT \'s role as the
administrator of FTA funded transit programs, including State
Administered Planning, Formula and/or Discretionary Grants (Sections
5303, 5307 and 5309); Elderly and Persons with Disabilities (Section
5310); Rural and Small Urban Areas (Section 5311) and other requirements
related to Environmental Justice and Limited English Proficiency. These
are separate programs, with Title VI General Reporting Requirements
applicable to all FTA recipients and different Program-Specific
Requirements for each of the programs. This section describes the
requirements, findings at the time of the Compliance Review site visit,
and the current status of TDOT\'s compliance with applicable
requirements.

At the time of the site visit, no deficiencies were found with TDOT's
activities pursuant to 16 of the 21 requirements. Deficiencies were
found in the following five areas:

-   Record of approved and Rejected Funding Requests (Section 5310)

-   Efforts to Assist Subrecipients in Applying for Assistance (Section
    5310)

-   Ongoing Efforts to Monitor Subrecipients (Section 5310)

-   Efforts to Involve Low-Income and Minority Populations in the
    Transportation Decision Making Process (Environmental Justice)

-   Efforts to Assess the Benefits and Burdens of Transportation
    Investments (Environmental Justice)

    []{#__RefHeading___Toc163625331 .anchor}A. FTA Title VI Program
    Submittal

[Requirements]{.underline}: In accordance with Chapter III, Section 2 of
Circular 4702.1 and Chapter IX, Part 4 of Circular 9040.1E: *All
applicants, recipients, and subrecipients are required to maintain and
provide to FTA the information in this section. Updates must at a
minimum be provided every three years.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for FTA Title VI Program Submittal. TDOT had submitted its
Title VI Program updates to FTA in a timely manner. FTA approved TDOT's
most recent submittal on February 1, 2006. This approval will expire on
February 1, 2009. The submittal contained all of the required
information.

[]{#__RefHeading___Toc163625332 .anchor}B. Findings of the General
Reporting Requirements

1.  List of Active Title VI Complaints and Lawsuits

[Requirements]{.underline}: In accordance with Chapter VI, Part 1.c. (2)
of Circular 9070.1E: *The state shall maintain for itself and its
subrecipients a description of any complaints alleging discrimination in
service delivery filed within the past year together with a statement of
status or outcome of each such complaint (Chapter VI, Part C of Circular
9070.1E).*

In accordance with Chapter IX, Part 4. b. (1) of Circular 9040.1E: *A
concise description of any lawsuits or complaints alleging
discrimination in service delivery filed against the subrecipient within
the past year together with a statement of status or outcome of each
such complaint or law suit.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for List of Active Complaints and Lawsuits. TDOT maintained
an updated listing of all active lawsuits and complaints against its
subrecipients. This list was submitted to FTA with its Title VI Updates.
TDOT also provided a chart listing each subrecipient and noted any civil
rights lawsuits and complaints for 2004-2006. A review of the listing
identified numerous EEO discrimination complaints and lawsuits and one
Title VI complaint. TDOT also informed FTA on a timely basis of any
Title VI complaints it received. On February 28, 2005, TDOT's Civil
Rights Director sent a memorandum to FTA's Region IV Civil Rights
Officer notifying FTA of a Title VI complaint filed against TDOT and
seven subrecipients on January 12, 2005. Both the matrix listing and the
memorandum described the status and/or outcome of the complaints.

2.  Summary of Civil Rights Compliance Reviews

[Requirements]{.underline}: In accordance with Chapter IX, Part 4.b.(2)
of Circular 9040.1E: *The state meets the general requirements by
submitting to FTA a summary of all civil rights compliance review
activities conducted in the last three years. Each subrecipient must
file the same information with the state. The states and subrecipients
must update this information at least every three years. The state may
wish to require it with each subrecipient application.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Civil Rights Compliance Reviews. TDOT maintained a list
of all civil rights activities, including compliance reviews for itself
and its subrecipients. The most current document, *Civil Rights
Activities -- 2004-2006,* identified Title VI actions such as posting of
notices, as well as the disclosure of any civil rights findings in FTA
Triennial Reviews. There were no external Civil Rights Compliance
Reviews conducted during the period. The listing noted where TDOT had
conducted Title VI training and site visits during that period.

3.  Fixed-Facility (Environmental Justice) Impact Analysis

[Requirements]{.underline}: In accordance with Chapter IX, Part 4.b. (3)
of Circular 9040.1E: *The state meets the general requirements by
submitting to FTA an analysis of any environmental and or social
economic impacts as the result of proposed construction projects,
including the impact on minority communities. This information is
required only for those projects that do not qualify as a categorical
exclusion in the environmental process. Each subrecipient must file the
same information with the state. The states and subrecipients must
update this information at least every three years. The state may wish
to require it with each subrecipient application.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Fixed-Facility (Environmental Justice) Impact Analysis.
TDOT provided a listing of Construction Projects for 2004-2006, for all
transit systems, including the urban systems that received FTA funding
directly and were responsible for their own Environmental Justice (EJ)
assessments. For the three-year period from 2004-2006, only one
subrecipient had a construction project. TDOT reviewed the report
provided by the subrecipient and stated that there were no adverse
impacts on minority communities.

C.  []{#__RefHeading___Toc163625333 .anchor}Findings of the State
    Administered Programs Requirements (Planning, Formula and/or
    Discretionary Grants to Urbanized Areas with a Population of 200,000
    or Less)

1\. Title VI Assessments of Subrecipients

[Requirements]{.underline}: In accordance with Chapter II, Part 2 of
Circular 4702.1: *State agencies shall ensure that subrecipients are in
compliance with the requirements contained in this circular, and shall
conduct Title VI assessments of subrecipients.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding Title VI Assessments of
Subrecipients. TDOT was able to document that it had a process in place
to conduct Title VI Compliance Assessments of its subrecipients. TDOT
had a Title VI Director assigned to the Office of Public Transportation.
During 2006, TDOT conducted on-site compliance Reviews of five transit
systems. TDOT had a compliance review checklist and issued letters of
findings to the subrecipients describing deficiencies and a timeframe
for correcting any problems noted.

2.  Data Maintained to Ensure Compliance with Title VI

[Requirements]{.underline}: In accordance with Chapter II, Part 2 of
Circular 4702.1: *State agencies shall maintain and provide data and
other relevant information to FTA as required in this circular,
including all pertinent data obtained from subrecipients.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding Data Maintained to Ensure
Compliance with Title VI. TDOT provided copies of procedures that
described its efforts to collect and monitor data collection and
planning efforts related to Title VI for each of the planning (Section
5303) and discretionary capital (Section 5309) grants that it
administered. The Program Managers for TDOT and TDOT's Civil Rights
Division monitored the programs and conducted Civil Rights Compliance
reviews of these subrecipients on a periodic basis.

3.  Data Submitted by Subrecipients to State Agencies

[Requirements]{.underline}: In accordance with Chapter II, Part 2 of
Circular 4702.1: *Subrecipients shall be responsible for complying with
these requirements and shall submit all pertinent data to the State
agency.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding Data Submitted by Subrecipients to
State Agencies. TDOT had informed its subrecipients of the requirements
to provide data relating to Title VI Compliance to TDOT for monitoring
purposes. The subrecipients had complied with this requirement.

[]{#__RefHeading___Toc163625334 .anchor}D. Findings of the
Program-Specific Requirements for States Administering Elderly and
Persons with Disabilities Program (Section 5310)

1.  Record of Approved and Rejected Funding Requests

[Requirement]{.underline}: In accordance with Chapter VI, Part 1. c. 3.
of Circular 9070.1E: *The state must keep on file a record of approved
and rejected funding requests that identifies applicants that are
minority organizations or that provide assistance to minority
communities.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
deficiencies were found regarding TDOT's compliance with FTA
requirements for Record of Approved and Rejected Funding Requests. TDOT
did not provide documentation that it keeps on file a record of approved
and rejected funding requests that identified applicants that were
minority organizations. TDOT mailed its 5310 application package
annually to numerous agencies, including all current 5310 recipients,
all prior applicants for funding (both successful and unsuccessful), all
agencies that requested program information, all urban and rural transit
systems in the state, and the eleven metropolitan planning
organizations. The FY 2005 application form provided at the site visit
did request information on whether the applicants provided service to
minority communities but did not request information in order to
identify an applicant as a minority organization. At the site visit,
TDOT provided a record of approved and rejected funding requests for the
current year. The record did not identify whether the applicants were
minority organizations or whether they provided assistance to minority
communities.

[Corrective Action and Schedule]{.underline}: Within 120 days after the
transmittal of the final report, TDOT must submit to the FTA Office of
Civil Rights Equal Opportunity Specialist documentation that it has
procedures in place so that it can keep on file a record of approved and
rejected funding requests that identifies applicants that are minority
organizations or that provide assistance to minority communities.

2.  Description of Process for Developing Annual POP

[Requirements]{.underline}: In accordance with Chapter VI, Part 1. c. 3.
a. of Circular 9070.1E: *State management plans should* *document a
description of the process by which it develops the annual (application)
program of projects submitted to FTA as part of its Section 5310 grant
application, especially the method used to ensure fair and equitable
distribution of funds.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Description of Process for Developing Annual POP. TDOT
was able to provide a description of the process it used to develop its
annual program of projects (POP) submitted to FTA. The process was
documented in a report entitled "Section 5310 State Management Plan"
prepared by the Office of Public Transportation of TDOT, dated September
2004.

3.  Criteria for Selecting Providers to Participate

[Requirements]{.underline}: In accordance with Chapter VI, Part 1. c.
3.b. of Circular 9070.1E: *State management plans should* *document a
description of the state's criteria for selecting providers to
participate in the program, especially its efforts to include
subrecipients servicing significant minority populations.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Criteria for Selecting Providers to Participate. The
"Section 5310 State Management Plan" contained a section entitled
*Project Selection Criteria* that was communicated to all applicants.
That section contained the sentence "Every effort is made to ensure that
all eligible organizations, especially minority applicants are notified
individually". TDOT provided the evaluation form that was used to
evaluate applications. The form did not contain any criteria that
related to efforts to include subrecipients servicing significant
minority populations. However, TDOT indicated that one of the members of
its three person Evaluation Committee was always from the Office of
Civil Rights to ensure that applicants servicing significant minority
populations were given full consideration.

4.  Efforts to Assist Subrecipients in Applying for Assistance

[Requirements]{.underline}: In accordance with Chapter VI, Part 1. c. 3.
c. of Circular 9070.1E: *State management plans should* *document a
description of its efforts to assist subrecipients in applying for
Section 5310 assistance, especially any efforts made to assist minority
organizations or those that serve primarily minority populations.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
deficiencies were found regarding TDOT's compliance with FTA
requirements for Efforts to Assist Subrecipients in Applying for
Assistance. As stated previously, TDOT mailed its 5310 application
package annually to numerous agencies. The FY 2005 application form
provided at the site visit did request information on whether the
applicants provided service to minority communities but did not request
information in order to identify an applicant as a minority
organization. TDOT did not provide documentation that it had made any
efforts to assist minority organizations or those that served primarily
minority populations in applying for Section 5310 assistance.

[Corrective Action and Schedule]{.underline}: Within 120 days after the
transmittal of the final report, TDOT must submit to the FTA Office of
Civil Rights Equal Opportunity Specialist documentation of efforts it
plans to make to assist subrecipients in applying for Section 5310
assistance, especially any efforts made to assist minority organizations
or those that serve primarily minority populations.

5.  Ongoing Efforts to Monitor Subrecipients

[Requirements]{.underline}: In accordance with Chapter VI, Part 1. c. 3.
c. of Circular 9070.1E: *State management plans should* *document a
description of its ongoing process to monitor subrecipients compliance
with Title VI, such as site visits to each subrecipient, review
checklists, etc.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
deficiencies were found regarding TDOT's compliance with FTA
requirements for Ongoing Efforts to Monitor Subrecipients. At the site
visit, TDOT stated that, due to limited resources and staff, it had been
difficult to conduct managerial reviews and that the monitoring of
subrecipients was not documented. The Review team's visit to the
Donelson Center, a Section 5310 subrecipient, confirmed that TDOT had
not performed monitoring of its activities in the recent past. TDOT
indicated that a monitoring tool was being developed to assist in
monitoring subrecipients.

[Corrective Action and Schedule]{.underline}: Within 120 days after the
transmittal of the final report, TDOT must submit to the FTA Office of
Civil Rights Equal Opportunity Specialist documentation that it has
developed an ongoing process to monitor subrecipients' compliance with
Title VI.

[]{#__RefHeading___Toc163625335 .anchor}E. Findings of the
Program-Specific Requirements for States Administering Rural Funding
Programs (Section 5311)

1\. Documentation of Process for Developing POP

[Requirements]{.underline}: In accordance with Chapter IX, Part 4. c. 1.
of Circular 9040.1E: *State management plans should* *document a
description of the process by which it develops the annual program of
projects submitted to FTA as part of its Section 5311 grant application,
especially the method used to ensure fair and equitable distribution of
funds, including to Native American Tribes where applicable.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Documentation of Process for Developing POP. TDOT was
able to provide a description of the process it uses to develop its
annual program of projects (POP) submitted to FTA. The process was
described in a document entitled "Section 5311 State Management Plan",
prepared by the Office of Public Transportation of TDOT, dated December
2005.

2\. Efforts to Assist Subrecipients

[Requirements]{.underline}: In accordance with Chapter IX, Part 4. c. 2.
of Circular 9040.1E: *State management plans should* *document a
description of its efforts to assist subrecipients in applying for
Section 5311 funds, especially any efforts made to assist minority
applicants*.

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Efforts to Assist Subrecipients. The "Section 5311
State Management Plan" contained specific language that *TDOT will make
special efforts to identify potential minority subrecipients by using
the resources of the Department's Civil Rights Office*. TDOT documented
that it did take the special efforts to identify minority subrecipients.

3\. Criteria for Selecting Providers to Participate

[Requirements]{.underline}: In accordance with Chapter IX, Part 4. c. 3.
of Circular 9040.1E: *State management plans should* *document a
description of its criteria for selecting transit providers to
participate in the program, especially its efforts to include
subrecipients serving significant minority populations*.

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were regarding TDOT's compliance with FTA requirements
for Criteria for Selecting Providers to Participate. The "Section 5311
State Management Plan" contained quantifiable factors that were used in
the grant application evaluation process. These factors included
ridership, miles of service efficiency factors and local support.

4\. Ongoing Efforts to Monitor Subrecipients

[Requirements]{.underline}: In accordance with Chapter IX, Part 4. c. 4.
of Circular 9040.1E: *State management plans should* *document a
description of its ongoing process to monitor subrecipients compliance
with Title VI, such as ongoing site visits to each subrecipient, review
checklists, etc.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Ongoing Efforts to Monitor Subrecipients. TDOT did have
a description of its methods and documentation of its efforts to monitor
its Section 5311 subrecipients. During the Review, TDOT provided a copy
of its subrecipient monitoring worksheet entitled "TDOT Title VI Program
On-Site Review". The Worksheet was used by the Title VI Coordinator and
specifically collected information on the minority population of the
service area and checked areas relevant to Title VI requirements. TDOT
also provided documentation of the 5311 subrecipients that it had
conducted on-site reviews of in the past three years. The Review team's
visit to the Mid-Cumberland Human Resources Agency, a Section 5311
subrecipient, confirmed that TDOT had performed an on-site assessment of
its activities in the recent past.

[]{#__RefHeading___Toc163625336 .anchor}F. Procedures for Filing Title
VI Complaints

[Requirements]{.underline}: In accordance with Chapter VIII, Section
2.b(4) of FTA Circular 4702.1: *Each recipient shall make available to
participants, beneficiaries, and other interested parties information
regarding the recipient's Title VI program. At a minimum, this shall
include the display of posters which...Briefly explain the procedures
for filing a complaint. Recipients shall also include disseminating
information on complaint procedures and the rights of beneficiaries in
handbooks, pamphlets, and other materials ordinarily distributed to the
public by the recipient.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with FTA
requirements for Procedures for Title VI Complaints. TDOT had a very
comprehensive complaint process. TDOT had published and distributed
brochures and bulletin board postings notifying the public of its rights
under Title VI of the Civil Rights Act of 1964. Included in the brochure
and the notice was a section on "How to file a complaint". During the
Title VI Compliance Review, the Review team noted that the complaint
process was in full view at subrecipient locations. The complaint
process and form was also available on TDOT's website.

[]{#__RefHeading___Toc163625337 .anchor}G. Guidance Pursuant to
Environmental Justice and Limited English Proficiency

1.  Efforts To Encourage Participation In Transportation Decision Making
    From Low-Income And Minority Populations

[Guidance:]{.underline} The 1999 FHWA/FTA Memorandum recommends that
U.S. DOT staff verify State DOT and MPO compliance with Title VI in part
by determining whether the state and metropolitan public involvement
process has an identified strategy for engaging minority and low-income
populations in transportation decisionmaking, whether strategies have
been implemented to reduce participation barriers for such populations,
whether the effectiveness of these strategies has been evaluated,
whether the public involvement in the planning process been routinely
evaluated, whether efforts have been undertaken improve performance,
especially with regard to low-income and minority populations, whether
organizations representing low-income and minority populations have been
consulted as part of this evaluation and whether their concerns have
been considered.

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
deficiencies were found regarding TDOT's monitoring of the public
involvement process of its subrecipients. TDOT's Statewide Public
Involvement Plan was very inclusive and specifically identified a
special emphasis on drawing the minority and low-income populations into
the planning process, however, TDOT did not appear to ensure that its
subrecipients that had a strategy for engaging these populations.

While TDOT was able to document that it conducted periodic Planning
Status Reviews (PSR) of its Metropolitan Planning Organization (MPO)
subrecipients, TDOT did not demonstrate that the reviews addressed the
public involvement guidance set forth in the October 7, 1999 FHWA/FTA
Memorandum.

During the site visit, the Review team examined files provided by TDOT
showing that PSRs had been conducted and that reviews focused on the
MPO's Public Involvement Plan, including a question regarding efforts to
consider the needs of traditionally underserved. The PSR also asked if
the planning process was consistent with the Title VI Assurance. These
questions did not address the focus of EJ as outlined in the October
1999 Memorandum. During the site visit, the Review team visited one of
TDOT's MPO subrecipients, the Clarksville Urbanized Area Metropolitan
Planning Organization, and interviewed representatives of minority
organizations. The Review team inquired about the MPO's effort to
encourage participation in transportation decision-making from
low-income and minority populations. The MPO described that, during its
most recent long-range planning effort, it had held three public
hearings. Two of those meetings were held in 2004 and did not include
any outreach to low-income or minority populations. The MPO stated that,
as a result of recommendations from TDOT, it expanded its mailing list
to include minority organizations and media for the notice of the final
public hearing held in 2005. The minority community representatives in
the Clarksville area stated that they had not received this notice and
did not feel included in decision-making.

It should be noted that TDOT had conducted several reviews of the
Clarkesville MPO's planning process in the past few years and had
repeatedly cited deficiencies with the outreach efforts. TDOT did not,
however, take any action to require the Clarkesville MPO to correct the
deficiencies.

[Corrective Action and Schedule]{.underline}: Within 120 days after the
transmittal of the final report, TDOT must submit to the FTA Office of
Civil Rights Equal Opportunity Specialist documentation that it has
developed and implemented procedures to:

-   Incorporate into its Planning Status Reviews of subrecipients the
    guidance issued in the October 7, 1999 Action Memo from the FHWA and
    FTA Administrators titled, *Implementing Title VI Requirements in
    Metropolitan and Statewide Planning* .

-   Define the actions that will be taken to ensure that subrecipients
    implement corrective actions in a timely manner.

    1.  Efforts To Assess the Benefits and Burdens of Transportation
        Investments

[Guidance]{.underline}: The 1999 FHWA/FTA Memorandum recommends that
U.S. DOT staff verify State DOT and MPO compliance with Title VI in part
by determining whether the state and metropolitan planning process seeks
to identify the needs of low-income and minority populations, whether
the planning process utilizes demographic information to examine the
distributions across these groups of the benefits and burdens of the
transportation investments included in the plan and TIP and whether the
planning process uses methods to identify imbalances.

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
deficiencies were found regarding TDOT's monitoring of the public
involvement process of its subrecipients. TDOT did not demonstrate that
its Planning Status Reviews addressed the areas related to Environmental
Justice (EJ) as set forth in the October 7, 1999 Action Memo from the
FHWA and FTA Administrators titled, *Implementing Title VI Requirements
in Metropolitan and Statewide Planning*. There were no questions related
to requirements for MPOs to assess the benefits and burdens of
transportation investments.

[Corrective Action and Schedule]{.underline}: The corrective actions
described in the previous deficiency will satisfy this deficiency.

3\. Efforts to Ensure Meaningful Access for LEP Persons

[Requirements]{.underline}: In accordance with DOT Policy Guidance
Concerning Recipients' Responsibilities to Limited English Proficient
(LEP) Persons, dated December 14, 2005: all *applicants, recipients and
subrecipients shall maintain and submit a description of efforts to
ensure that the state and its subrecipients take reasonable steps to
provide meaningful access to programs, policies, and activities for
persons with limited English proficiency.*

[Findings]{.underline}: During this Title VI Compliance Review of TDOT,
no deficiencies were found regarding TDOT's compliance with DOT
requirements on Efforts to Ensure Meaningful Access for LEP Persons.
TDOT's Civil Rights Office produced a document titled *Limited English
Proficiency Guidelines* in October 2005, based on the DOT Guidance
issued in January 2001. TDOT's *LEP Guidelines* described the actions
that each TDOT division/program should take to assess the needs of LEP
persons, provide for language assistance, notify LEP persons of the
availability of language assistance services, train staff, develop
procedures and monitor and evaluate access to language assistance. TDOT
entered into a statewide contract with Open Communications
International, Inc. to provide "over the phone" interpreting,
"face-to-face" interpreting and document translations and training.
According to TDOT, the company had the ability to communicate in 120
languages and dialects. The *LEP Guidelines* stated that TDOT's Civil
Rights Office Title VI Program was responsible for providing TDOT
Division/Programs with technical assistance. The Review team noted that
TDOT's Title VI Program Brochure was printed in both an English and a
Spanish version and that the State's website contained a link titled *En
Espanol de Tennessee.gov* that contained translations for most state
services.

[]{#__RefHeading___Toc163625338 .anchor}VII. SUMMARY OF FINDINGS AND
CORRECTIVE ACTIONS

> **Title VI Report Submittal**

  ----------------------------------------------------------------------------------------
  **Requirement**   **Site      **Description of **Corrective     **Response    **Date
                    Review      Deficiencies**   Action(s)**      Days/Date**   Closed**
                    Finding**                                                   
  ----------------- ----------- ---------------- ---------------- ------------- ----------
  1\. FTA Title VI  ND                                                          
  Program Submittal                                                             

  ----------------------------------------------------------------------------------------

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

**General Reporting Requirements**

+--------------+------+-----------+-------------------+-------+------+
| **Re         | **   | **De      | **Corrective      | **Res | **   |
| quirements** | Site | scription | Action(s)**       | ponse | Date |
|              | Re   | of        |                   | D     | Clos |
|              | view | Defic     |                   | ays/D | ed** |
|              | F    | iencies** |                   | ate** |      |
|              | indi |           |                   |       |      |
|              | ng** |           |                   |       |      |
+==============+======+===========+===================+=======+======+
| 1\. DOT and  | ND   |           |                   |       |      |
| FTA          |      |           |                   |       |      |
|              |      |           |                   |       |      |
| > Title VI   |      |           |                   |       |      |
| > Standard   |      |           |                   |       |      |
| > Assurance  |      |           |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 2\. List of  | ND   |           |                   |       |      |
| Active Title |      |           |                   |       |      |
| VI           |      |           |                   |       |      |
| Complaints   |      |           |                   |       |      |
| and Lawsuits |      |           |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 3\. Summary  | ND   |           |                   |       |      |
| of Civil     |      |           |                   |       |      |
| Rights       |      |           |                   |       |      |
| Compliance   |      |           |                   |       |      |
| Reviews      |      |           |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 4\.          | ND   |           |                   |       |      |
| Fi           |      |           |                   |       |      |
| xed-Facility |      |           |                   |       |      |
| (E           |      |           |                   |       |      |
| nvironmental |      |           |                   |       |      |
| Justice)     |      |           |                   |       |      |
| Impact       |      |           |                   |       |      |
| Analysis     |      |           |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

Requirements For State Administered Planning, Formula and/or
Discretionary Grants to Urbanized Areas with a Population of 200,000 or
Less

  ---------------------------------------------------------------------------------------------
  **Requirements**   **Site      **Description of **Corrective         **Response    **Date
                     Review      Deficiencies**   Action(s)**          Days/Date**   Closed**
                     Finding**                                                       
  ------------------ ----------- ---------------- -------------------- ------------- ----------
  1\. Title IV       ND                                                              
  Assessments of                                                                     
  Subrecipients                                                                      

  2\. Data           ND                                                              
  Maintained to                                                                      
  Ensure Compliance                                                                  
  with Title VI                                                                      

  3\. Data Submitted ND                                                              
  by Subrecipients                                                                   
  by State Agencies                                                                  
  ---------------------------------------------------------------------------------------------

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

**Program Specific Requirements for States Administering**

**Section 5310 Programs (Elderly and Handicapped)**

+--------------+------+--------------+---------------+--------+------+
| **Re         | **   | *            | **Corrective  | **Re   | **   |
| quirements** | Site | *Description | Action(s)**   | sponse | Date |
|              | Re   | of           |               | Days/  | Clos |
|              | view | De           |               | Date** | ed** |
|              | F    | ficiencies** |               |        |      |
|              | indi |              |               |        |      |
|              | ng** |              |               |        |      |
+==============+======+==============+===============+========+======+
| 1\. Record   | D    | Records do   | TDOT must     | 120    |      |
| of Approved  |      | not identify | submit to the | Days   |      |
| and Rejected |      | applicants   | FTA Office of |        |      |
| Funding      |      | that are     | Civil Rights  |        |      |
| Requests     |      | minority     | Equal         |        |      |
|              |      | o            | Opportunity   |        |      |
|              |      | rganizations | Specialist    |        |      |
|              |      | or that      | documentation |        |      |
|              |      | serve        | that it has   |        |      |
|              |      | minority     | procedures in |        |      |
|              |      | communities. | place so that |        |      |
|              |      |              | it can keep   |        |      |
|              |      |              | on file a     |        |      |
|              |      |              | record of     |        |      |
|              |      |              | approved and  |        |      |
|              |      |              | rejected      |        |      |
|              |      |              | funding       |        |      |
|              |      |              | requests that |        |      |
|              |      |              | identifies    |        |      |
|              |      |              | applicants    |        |      |
|              |      |              | that are      |        |      |
|              |      |              | minority      |        |      |
|              |      |              | organizations |        |      |
|              |      |              | or that       |        |      |
|              |      |              | provide       |        |      |
|              |      |              | assistance to |        |      |
|              |      |              | minority      |        |      |
|              |      |              | communities   |        |      |
+--------------+------+--------------+---------------+--------+------+
| 2\.          | ND   |              |               |        |      |
| Description  |      |              |               |        |      |
| of Process   |      |              |               |        |      |
| for          |      |              |               |        |      |
| Developing   |      |              |               |        |      |
| Annual POP   |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 3\. Criteria | ND   |              |               |        |      |
| for          |      |              |               |        |      |
| Selecting    |      |              |               |        |      |
| Providers to |      |              |               |        |      |
| Participate  |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 4\. Efforts  | D    | > Effort to  | TDOT must     | 120    |      |
| to Assist    |      | > assist     | submit to the | Days   |      |
| S            |      | > minority   | FTA Office of |        |      |
| ubrecipients |      | > o          | Civil Rights  |        |      |
| in Applying  |      | rganizations | Equal         |        |      |
| for          |      | > lacking    | Opportunity   |        |      |
| Assistance   |      |              | Specialist    |        |      |
|              |      |              | documentation |        |      |
|              |      |              | of efforts it |        |      |
|              |      |              | plans to make |        |      |
|              |      |              | to assist     |        |      |
|              |      |              | subrecipients |        |      |
|              |      |              | in applying   |        |      |
|              |      |              | for Section   |        |      |
|              |      |              | 5310          |        |      |
|              |      |              | assistance,   |        |      |
|              |      |              | especially    |        |      |
|              |      |              | any efforts   |        |      |
|              |      |              | made to       |        |      |
|              |      |              | assist        |        |      |
|              |      |              | minority      |        |      |
|              |      |              | organizations |        |      |
|              |      |              | or those that |        |      |
|              |      |              | serve         |        |      |
|              |      |              | primarily     |        |      |
|              |      |              | minority      |        |      |
|              |      |              | populations.  |        |      |
+--------------+------+--------------+---------------+--------+------+
| 5\. Ongoing  | D    | > Monitoring | TDOT must     | 120    |      |
| Efforts to   |      | > of         | submit to the | Days   |      |
| Monitor      |      | > s          | FTA Office of |        |      |
| S            |      | ubrecipients | Civil Rights  |        |      |
| ubrecipients |      | > not        | Equal         |        |      |
|              |      | > documented | Opportunity   |        |      |
|              |      |              | Specialist    |        |      |
|              |      |              | documentation |        |      |
|              |      |              | that it has   |        |      |
|              |      |              | developed an  |        |      |
|              |      |              | ongoing       |        |      |
|              |      |              | process to    |        |      |
|              |      |              | monitor       |        |      |
|              |      |              | s             |        |      |
|              |      |              | ubrecipients' |        |      |
|              |      |              | compliance    |        |      |
|              |      |              | with Title    |        |      |
|              |      |              | VI.           |        |      |
+--------------+------+--------------+---------------+--------+------+

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

**Program Specific Requirements for States Administering**

**Section 5311 Programs (Rural and Small Urban)**

  -----------------------------------------------------------------------------------------
  **Requirements**   **Site      **Description of **Corrective     **Response    **Date
                     Review      Deficiencies**   Action(s)**      Days/Date**   Closed**
                     Finding**                                                   
  ------------------ ----------- ---------------- ---------------- ------------- ----------
  1\. Documentation  ND                                                          
  of Process for                                                                 
  Developing POP                                                                 

  2\. Efforts to     ND                                                          
  Assist                                                                         
  Subrecipients                                                                  

  3\. Criteria for   ND                                                          
  Selecting                                                                      
  Providers to                                                                   
  Participate                                                                    

  4\. Ongoing        ND                                                          
  Efforts to Monitor                                                             
  Subrecipients                                                                  
  -----------------------------------------------------------------------------------------

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

> **Procedures for Filing Title VI Complaints**

  ----------------------------------------------------------------------------------------
  **Requirement**   **Site      **Description of **Corrective     **Response    **Date
                    Review      Deficiencies**   Action(s)**      Days/Date**   Closed**
                    Finding**                                                   
  ----------------- ----------- ---------------- ---------------- ------------- ----------
  1\. Procedures    ND                                                          
  for Filing Title                                                              
  VI Discrimination                                                             
  Complaints                                                                    

  ----------------------------------------------------------------------------------------

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

**Other Requirements Pursuant to DOT Order on Environmental Justice and
DOT Policy Guidance Concerning Recipients Responsibilities to Limited
English Proficient (LEP) Persons**

+--------------+------+-----------+-------------------+-------+------+
| **Re         | **   | **De      | **Corrective      | **Res | **   |
| quirements** | Site | scription | Action(s)**       | ponse | Date |
|              | Re   | of        |                   | D     | Clos |
|              | view | Defic     |                   | ays/D | ed** |
|              | F    | iencies** |                   | ate** |      |
|              | indi |           |                   |       |      |
|              | ng** |           |                   |       |      |
+==============+======+===========+===================+=======+======+
| 1\. Efforts  | D    | Subr      | TDOT must submit  | 120   |      |
| to Involve   |      | ecipients | to the FTA Office | Days  |      |
| Low-Income   |      | not       | of Civil Rights   |       |      |
| and Minority |      | monitored | Equal Opportunity |       |      |
| Populations  |      | on        | Specialist        |       |      |
|              |      | efforts   | documentation     |       |      |
|              |      | to        | that it has       |       |      |
|              |      | involve   | developed and     |       |      |
|              |      | l         | implemented       |       |      |
|              |      | ow-income | procedures to:    |       |      |
|              |      | and       |                   |       |      |
|              |      | minority  | -   Incorporate   |       |      |
|              |      | po        |     the areas     |       |      |
|              |      | pulations |     related to    |       |      |
|              |      |           |     Environmental |       |      |
|              |      |           |     Justice (EJ)  |       |      |
|              |      |           |     as set forth  |       |      |
|              |      |           |     in the        |       |      |
|              |      |           |     October 7,    |       |      |
|              |      |           |     1999 Action   |       |      |
|              |      |           |     Memo from the |       |      |
|              |      |           |     FHWA and FTA  |       |      |
|              |      |           |                   |       |      |
|              |      |           |    Administrators |       |      |
|              |      |           |     titled,       |       |      |
|              |      |           |     *Implementing |       |      |
|              |      |           |     Title VI      |       |      |
|              |      |           |     Requirements  |       |      |
|              |      |           |     in            |       |      |
|              |      |           |     Metropolitan  |       |      |
|              |      |           |     and Statewide |       |      |
|              |      |           |     Planning* in  |       |      |
|              |      |           |     its Planning  |       |      |
|              |      |           |     Status        |       |      |
|              |      |           |     Review.       |       |      |
|              |      |           |                   |       |      |
|              |      |           | -   Define the    |       |      |
|              |      |           |     actions that  |       |      |
|              |      |           |     will be taken |       |      |
|              |      |           |     to ensure     |       |      |
|              |      |           |     that          |       |      |
|              |      |           |     subrecipients |       |      |
|              |      |           |     implement     |       |      |
|              |      |           |     corrective    |       |      |
|              |      |           |     actions in a  |       |      |
|              |      |           |     timely        |       |      |
|              |      |           |     manner.       |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 2\. Efforts  | D    | Subr      | The corrective    | 120   |      |
| to Assess    |      | ecipients | actions described | Days  |      |
| the Benefits |      | not       | in the previous   |       |      |
| and Burdens  |      | monitored | deficiency will   |       |      |
| of           |      | on        | satisfy this      |       |      |
| Tr           |      | efforts   | deficiency.       |       |      |
| ansportation |      | to assess |                   |       |      |
| Investments  |      | the       |                   |       |      |
|              |      | benefits  |                   |       |      |
|              |      | and       |                   |       |      |
|              |      | burdens   |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 3\. Efforts  | ND   |           |                   |       |      |
| to Ensure    |      |           |                   |       |      |
| Meaningful   |      |           |                   |       |      |
| Access for   |      |           |                   |       |      |
| LEP Persons  |      |           |                   |       |      |
+--------------+------+-----------+-------------------+-------+------+

Findings at the time of the site visit: C = In Compliance; D =
Deficiency; NA = Not Applicable; NR = Not Reviewed

[]{#__RefHeading___Toc163625339 .anchor}VIII. ATTENDEES

+-------------+---------------------+---------+-----------------------+
| **NAME**    | **TITLE/**          | *       | **E-MAIL**            |
|             |                     | *PHONE/ |                       |
|             | **ORGANIZATION**    | FAX**   |                       |
+-------------+---------------------+---------+-----------------------+
| Diane       | Director of Public  | 615-2   | Diane                 |
| Davidson    | Transit, Rail and   | 53-1055 | .Davidson@state.tn.us |
|             | Waterways Division, |         |                       |
|             | TDOT                | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Jim Ladieu  | Transportation      | 615-2   | J                     |
|             | Manager II, TDOT    | 53-1042 | im.ladieu@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Cammie      | Executive Director, | 615-7   | Cammie.Daven          |
| Davenport   | Civil Rights        | 41-3681 | portWoods@state.tn.us |
| Woodle      | Office, TDOT        |         |                       |
|             |                     | 615-7   |                       |
|             |                     | 41-3169 |                       |
+-------------+---------------------+---------+-----------------------+
| Bill Hayes  | Transportation      | 615-2   | B                     |
|             | Specialist, TDOT    | 53-1028 | ill.Hayes@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Sherri      | Manager, TDOT       | 615-2   | Sherr                 |
| Carroll     |                     | 53-1043 | i.carroll@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Brenda W.   | Transportation      | 615-2   | Brend                 |
| Porter      | Specialist, TDOT    | 53-5815 | a.wilkins@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Susan       | Transportation      | 615-2   | Sus                   |
| Gaines      | Planner, TDOT       | 53-5855 | an.gaines@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Lori A.     | Title VI Director,  | 615-7   | Lor                   |
| Kirby       | TDOT                | 41-3681 | i.a.Kirby@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-7   |                       |
|             |                     | 41-3169 |                       |
+-------------+---------------------+---------+-----------------------+
| Karen       | Transportation      | 615-2   | Karen.c               |
| Cooperwood  | Planner, TDOT       | 53-5298 | ooperwood@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Drew Barrie | Transportation      | 615-7   | Drew.barr             |
|             | Planner, TDOT       | 41-9384 | ie.daruka@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Ollie       | Transportation      | 615-2   | Olli                  |
| Jackson     | Specialist, TDOT    | 53-1040 | e.Jackson@state.tn.ux |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Harris      | Transportation      | 615-2   | Harr                  |
| Gentry      | Planner, TDOT       | 53-1030 | is.gentry@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Jerry       | Transportation      | 615-2   | Jer                   |
| Roache      | Planner, TDOT       | 53-1038 | ry.roache@state.tn.us |
|             |                     |         |                       |
|             |                     | 615-2   |                       |
|             |                     | 53-1482 |                       |
+-------------+---------------------+---------+-----------------------+
| Austin Peay | City Attorney, City | 931-6   | austinpeay@           |
|             | of Clarkesville     | 45-7444 | cityofclarksville.com |
|             |                     |         |                       |
|             |                     | 931-5   |                       |
|             |                     | 52-7479 |                       |
+-------------+---------------------+---------+-----------------------+
| Max Baker   | Transportation      | 931-6   | maxbaker@             |
|             | Planner,            | 45-7448 | cityofclarksville.com |
|             |                     |         |                       |
|             | Clarksville         | 931-6   |                       |
|             | Urbanized Area MPO  | 45-7481 |                       |
+-------------+---------------------+---------+-----------------------+
| J. Stan     | Transportation      | 931-6   | Stanwilliams@         |
| Williams    | Planning Director,  | 45-7448 | cityofclarksville.com |
|             | Clarksville         |         |                       |
|             | Urbanized Area MPO  | 931-6   |                       |
|             |                     | 45-7481 |                       |
+-------------+---------------------+---------+-----------------------+
| Terry Dixon | Director of         | 615-8   | Tdixon@mchra.com      |
|             | Finance,            | 50-3902 |                       |
|             | Mid-Cumberland      |         |                       |
|             | Human Resource      | 615-8   |                       |
|             | Agency              | 34-8776 |                       |
+-------------+---------------------+---------+-----------------------+
| Jeff        | Director,           | 615-8   | Jsimpson@mchra.com    |
| Simpson     | Mid-Cumberland      | 50-3928 |                       |
|             | Human Resource      |         |                       |
|             | Agency              | 615-8   |                       |
|             |                     | 32-8624 |                       |
+-------------+---------------------+---------+-----------------------+
| Liz Martin  | Associate Director, | 615-8   | Lmartin@scitn.org     |
|             | Donelson Senior     | 83-8375 |                       |
|             | Center              |         |                       |
|             |                     | 615-8   |                       |
|             |                     | 83-6326 |                       |
+-------------+---------------------+---------+-----------------------+
| Frank       | FTA Regional Civil  | 404-5   | Frank.Billue@dot.gov  |
| Billue      | Rights Officer,     | 62-3528 |                       |
|             | Region IV           |         |                       |
|             |                     | 404-5   |                       |
|             |                     | 62-3505 |                       |
+-------------+---------------------+---------+-----------------------+
| David       | Equal Opportunity   | 202-4   | Da                    |
| Schneider   | Specialist, FTA     | 93-0175 | vid.Schneider@dot.gov |
| (via        | Office of Civil     |         |                       |
| Tele        | Rights              | 202-3   |                       |
| conference) |                     | 66-3475 |                       |
+-------------+---------------------+---------+-----------------------+
| John Potts  | Lead Reviewer/ The  | 504-2   | John                  |
|             | DMP Group           | 83-7661 | potts@thedmpgroup.com |
|             |                     |         |                       |
|             |                     | 504-2   |                       |
|             |                     | 82-7949 |                       |
+-------------+---------------------+---------+-----------------------+
| Maxine      | Reviewer, The DMP   | 504-2   | Maxine.mar            |
| Marshall    | Group               | 82-7949 | shall@thedmpgroup.com |
|             |                     |         |                       |
|             |                     | 504-2   |                       |
|             |                     | 82-7949 |                       |
+-------------+---------------------+---------+-----------------------+
| Donald      | Reviewer, The DMP   | 202-7   | Donald.               |
| Lucas       | Group               | 26-2630 | lucas@thedmpgroup.com |
|             |                     |         |                       |
|             |                     | 202-7   |                       |
|             |                     | 26-1830 |                       |
+-------------+---------------------+---------+-----------------------+