**Limited Scope**

**TITLE VI FARE INCEASE**

**COMPLIANCE REVIEW**

**OF THE**

**SANTA CLARA VALLEY**

**TRANSPORTATION AUTHORITY**

**(VTA)**

**Final Report**

**September 2006**

**Prepared For**

**U.S. DEPARTMENT OF TRANSPORATION**

**FEDERAL TRANSIT ADMINISTRATION**

**OFFICE OF CIVIL RIGHTS**

**Prepared By**

**THE DMP GROUP**

**5600 Colorado Avenue N.W.**

**Washington, DC 20011**

**[TABLE OF CONTENTS]{.underline}**

**I. GENERAL INFORMATION [1](#__RefHeading___Toc142231639)**

**II. JURISDICTION AND AUTHORITIES [2](#__RefHeading___Toc142231640)**

**III. PURPOSE AND OBJECTIVES [5](#__RefHeading___Toc142231641)**

**IV. BACKGROUND INFORMATION [6](#__RefHeading___Toc142231642)**

**V. SCOPE AND METHODOLOGY [11](#__RefHeading___Toc142231643)**

**VI. FINDINGS AND RECOMMENDATIONS [15](#__RefHeading___Toc142231644)**

1\. Utilize a Public Participation Process to Involve Protected Groups
[15](#__RefHeading___Toc142231645)

2\. Consideration of Equity Issues Prior to Fare Increases
[20](#__RefHeading___Toc142231646)

3\. Title VI Complaint Process [22](#__RefHeading___Toc142231647)

**VII. SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
[24](#__RefHeading___Toc142231648)**

**VIII. ATTENDEES [25](#__RefHeading___Toc142231649)**

###  {#section .unnumbered}

I.  []{#__RefHeading___Toc142231639 .anchor}GENERAL INFORMATION

Grant Recipient: Santa Clara Valley Transportation Authority (VTA)

City/State: San Jose, California

Grantee No: 1674

Executive: Michael Burns

> General Manager
>
> VTA
>
> 3331 North First Street
>
> San Jose, CA 95134-1927

Report Prepared By: THE DMP GROUP

5600 Colorado Avenue N.W.

Washington, DC 20011

Site Visit Dates: May 16-18, 2006

Compliance Review

Team Members:

> John F. Potts, Lead Reviewer

Maxine A. Marshall, Reviewer

Donald Lucas, Reviewer

II. []{#__RefHeading___Toc142231640 .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 and assessments. The Santa Clara Valley
Transportation Authority (VTA) 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:

-   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"),

-   FTA Circular 4702.1, "Title VI Program Guidelines for Urban Mass
    Transportation Recipients,\" May 26, 1988

This Title VI Compliance review was limited to the Program-Specific
requirements for transit providers related to the conduct of Title VI
analyses prior to implementing a fare increase, as described in FTA
Circular 4702.1. and in Executive Order No. 12198.

Relevant Sections of FTA Circular 4702.1, Title VI Program Guidelines
for FTA Recipients, include:

-   **Chapter I, Part 2, Objectives.** Ensure that benefits and related
    services are made available and are equitably distributed without
    regard to race, color, or national origin. Ensure that the level and
    quality of transit services are sufficient to provide equal access
    and mobility for any person without regard to race, color, or
    national origin. Ensure that opportunities to participate in the
    transit-planning and decision-making processes are provided to
    persons without regard to race, color, or national origin. Ensure
    that corrective and remedial action is taken to prevent
    discriminatory treatment of any beneficiary based on race, color, or
    national origin.

-   **Chapter III, Part 3. a. \[3\] \[a\] and \[c\], Assessment of
    Compliance by Grantees** *(Applies to grantees in service areas with
    populations over 200,000)* Establish procedures for developing and
    maintaining local standards for compliance with Title VI. Evaluate
    systemwide service changes and proposed improvements at the planning
    and programming stages to determine whether the overall benefits and
    costs of such changes or improvements are distributed equally, and
    are not discriminatory.

-   **Chapter III, Part 3. a. \[4\] \[a\] Changes in Service Features.**
    *(Applies to grantees in service areas with populations over
    200,000)* Provide a description of the type of service changes
    proposed by the transit authority over the next three (3) years, and
    a statement of the effect of these changes on minority communities
    and minority transit users. In particular, the transit system should
    describe significant service changes relating to hours or days of
    operation, headways and fares, and provide the schedule reflecting
    such change.

-   **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.

Relevant Sections of the US Department of Transportation Order To
Address Environmental Justice in Minority Populations and Low-Income
Populations include:

-   **Section 5, Integration with Existing Operations, Part b, (1) and
    (2)**. Planning and programming activities that have the potential
    to have a disproportionately high and adverse effect on human health
    or the environment shall include explicit consideration of the
    effects on minority populations and low-income populations.
    Procedures shall be established or expanded, as necessary, to
    provide meaningful opportunities for public involvement by members
    of minority populations and low-income populations during the
    planning and development of programs, policies and activities
    including the identification of potential effects, alternatives and
    mitigation measures. Steps shall be taken to provide the public,
    including, members of minority populations and low-income
    populations access to public information concerning the human health
    or environmental impacts of programs, policies and activities
    including information that will address the concerns of minority and
    low-income populations regarding the health and environmental
    impacts of the proposed action.

-   **Section 7, Preventing Disproportionately High and Adverse Effects,
    Part c.** Statutes governing DOT operations will be administered so
    as to identify and avoid discrimination and avoid disproportionately
    high and adverse effects on minority populations and low-income
    populations by: (1) identifying and evaluating environmental, public
    health, and interrelated social and economic effects of DOT
    programs, polices and activities; (2) proposing measures to avoid,
    minimize and/or mitigate disproportionately high and adverse
    environmental and public health effects and interrelated and social
    and economic effects, and providing offsetting benefits and
    opportunities to enhance communities, neighborhoods, and individuals
    affected by DOT programs, policies and activities; (3) considering
    alternatives to proposed programs, policies, and activities, where
    such alternatives would result in avoiding and/or minimizing
    disproportionately high and adverse human health or environment
    impacts; and (4) eliciting public involvement opportunities and
    considering the results thereof, including soliciting input from
    affected minority and low-income populations in considering
    alternatives.

    I.  []{#__RefHeading___Toc142231641 .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 Limited Scope Compliance Review of VTA was necessary.

The Office of Civil Rights authorized The DMP Group to conduct the Title
VI Limited Scope Compliance Review of VTA. The Compliance Review was not
an investigation to determine the merit of any specific discrimination
complaints filed against VTA.

#### Objectives

The objectives of the Compliance Review for Fare Increases are:

-   To determine the type of fare increase (flat or percentage), the
    modes of services impacted, and the effect on each major protected
    group in the service area;

-   To determine if the grantee utilized a public participation process
    preceding the fare increase that adequately responded to concerns
    expressed by protected groups;

-   To determine if the grantee took into consideration equity issues
    when planning for the change; and

-   To determine if a recent or planned fare increase was
    discriminatory.

[]{#__RefHeading___Toc142231642 .anchor}IV. BACKGROUND INFORMATION

Countywide public transit service in Santa Clara County began in 1972,
with the creation of the Santa Clara County Transit District by the
California Legislature. In 2000, the name of the organization was
changed to the Santa Clara Valley Transportation Authority (VTA). VTA is
an independent special district responsible for bus, light rail and
paratransit operations, congestion management, specific highway
improvement projects, and countywide transportation planning in Santa
Clara County. A twelve-member Board of Directors governs VTA. The Board
members and five alternates are all elected officials and are appointed
by the jurisdictions they represent.

VTA operates an active fleet of 430 diesel-powered buses for its fixed
route bus service. Bus service is provided on 69 routes throughout the
urbanized area of Santa Clara County. The core bus service includes
primary grid routes, secondary grid routes, feeder routes, rapid service
and express routes. VTA currently operates a fleet of 100 light rail
vehicles over nearly 42 miles of light rail on two lines providing
service to 62 stations. Light rail service on the Alum Rock-Santa Teresa
Line operates 22 hours a day, seven days a week. Service on the Mountain
View-Winchester Line operates approximately 19 hours a day on weekdays
and 18 hours on weekends. VTA also provides several shuttle services,
connecting passengers from VTA light rail stations and commuter train
stations to major employment sites. No fares are charged for the light
rail shuttles. Operating costs are subsidized by a combination of
revenue from local employers and public (Federal, State and VTA)
sources. A paratransit broker operates complementary ADA paratransit
service under contract to VTA. The broker receives and schedules trip
requests and contracts for services with taxi, sedan and accessible van
service providers.

Annual ridership on VTA bus and rail services peaked at over 55 million
trips in 2001. Since that time, ridership has steadily declined,
reflecting an economic downturn in the area. In 2005, annual ridership
was less than 40 million trips. VTA receives local funding primarily
from local sales tax proceeds which declined by as much as 24.3 percent
from 2001 to 2004, during the period of a major downturn in the local
economy.

In response to the reduction in local revenues, in 2001, VTA hired a
consultant, Booz Allen Hamilton, to study the fare structure and develop
a proposed fare structure. The goals of the fare structure were to
increase fare revenues

by fifteen percent from FY 2002 to FY 2003. The study examined VTA
ridership by service type, passenger type and payment type but did not
examine any socioeconomic impacts of the fare increase. In April 2002,
the VTA Board approved a fare increase, to take effect July 1, 2002 as
shown below:

  ------------------------------ ---------------- ------------------------
  Adult Fare Category            2000 Fare        7/1/02 Increase

  Local Single Ride              \$1.25           \$1.40

  Local Day Pass                 \$3.00           \$4.00

  Local Monthly Pass             \$39.00          \$45.00

  Express Single Rider           \$2.00           \$2.25

  Express Day Pass               \$5.00           \$6.00

  Express Monthly Pass           \$63.00          \$72.00
  ------------------------------ ---------------- ------------------------

Fares were also raised for the other fare categories including youth,
senior/persons with disabilities, express, and paratransit.

Following the implementation of this fare increase, VTA continued to
address issues regarding VTA's long-term financial situation. An Ad Hoc
Financial Stability Committee was created in December 2002. The
Committee hired a team of three independent consultants to identify and
analyze actions to address VTA's short and long-term financial needs.
The consultants' scope included:

-   Defining the magnitude and nature of the revenue shortfall

-   Identifying revenue enhancement opportunities

-   Identifying potential cost efficiencies

-   Identifying service productivity improvement

-   Reviewing capital impacts on operating finances.

> In August 2003, a second fare increase was implemented. By this time,
> the VTA Board had utilized a Fares Analysis Model developed for VTA by
> Booz Allen Hamilton. The computerized system, called FARES, is
> described as a decision support tool to assist in conducting both fare
> structure and fare pricing planning efforts over a five-year horizon.
> FARES employs a five-step methodology to estimate the ridership and
> revenue implications of a proposed fare structure and/or pricing
> change. FARES does not address impacts on protected minority groups or
> low-income groups. The August 2003 fare increase is added to the
> previous table:

  ----------------------------- --------------- ------------- -----------
                                                Fare          
                                                Increases     

  Adult Fare Category           2000 Fare       7/1/02        8/1/03

  Local Single Ride             \$1.25          \$1.40        \$1.50

  Local Day Pass                \$3.00          \$4.00        \$4.50

  Local Monthly Pass            \$39.00         \$45.00       \$52.50

  Express Single Rider          \$2.00          \$2.25        \$3.00

  Express Day Pass              \$5.00          \$6.00        \$9.00

  Express Monthly Pass          \$63.00         \$72.00       \$90.00
  ----------------------------- --------------- ------------- -----------

Once again, in April 2004, the VTA Board approved a fare increase to go
into effect on January 1, 2005. This fare increase is added to the
previous table:

  ------------------------ ------------- ------------- ----------- ----------
                                         Fare                      
                                         Increases                 

  Adult Fare Category      2000 Fare     7/1/02        8/1/03      1/1/05

  Local Single Ride        \$1.25        \$1.40        \$1.50      \$1.75

  Local Day Pass           \$3.00        \$4.00        \$4.50      \$5.25

  Local Monthly Pass       \$39.00       \$45.00       \$52.50     \$61.25

  Express Single Rider     \$2.00        \$2.25        \$3.00      \$3.50

  Express Day Pass         \$5.00        \$6.00        \$9.00      \$10.50

  Express Monthly Pass     \$63.00       \$72.00       \$90.00     \$122.50
  ------------------------ ------------- ------------- ----------- ----------

The following table shows the racial/ethic breakdown of the VTA service
area, which is comprised of the urbanized area of Santa Clara County:

[]{.mark}

**Racial/ Ethnic Breakdown of the VTA Service Area**

######### 2000 Census

+------------------------------+-------------------+-------------------+
| **Racial/ Ethnic Group**     | #### VTA          | #### VTA          |
|                              |                   |                   |
|                              | #### Service Area | #### Service Area |
|                              |                   |                   |
|                              |                   | #### Percent      |
+------------------------------+-------------------+-------------------+
| #### White                   | **952,941**       | **57.3**          |
+------------------------------+-------------------+-------------------+
| #### Black                   | **56,319**        | **3.4**           |
+------------------------------+-------------------+-------------------+
| #### Americ                  | **22,281**        | **1.3**           |
| an Indian and Alaska Native  |                   |                   |
+------------------------------+-------------------+-------------------+
| #### Asian                   | **460,312**       | **27.7**          |
+------------------------------+-------------------+-------------------+
| #### Nativ                   | **11,882**        | **0.7**           |
| e Hawaiian/ Pacific Islander |                   |                   |
+------------------------------+-------------------+-------------------+
| #### Some Other Race         | **241,118**       | **14,5**          |
+------------------------------+-------------------+-------------------+
| #### Total Population        | **1,661,927**     | **100 %**         |
+------------------------------+-------------------+-------------------+

+-----------------------------+-------------------+-------------------+
| #### Hispanic Origin\*      | **398,969**       | **24.0**          |
+-----------------------------+-------------------+-------------------+

Per the 2000 Census, people of Hispanic origin can be, and in most cases
are, counted in two or more race categories. In the case of the
urbanized area of Santa Clara County this resulted in the
"double-counting" of some individuals of Hispanic origin, or some of the
398,969 people. As the table above indicates, this figure represents
about 24 percent of VTA's service area population.

The population of VTA's service area is 1,661,927. Asians represent 27.7
percent, Hispanics represent 24 percent, and Blacks represent 2.8
percent of the service area population. The chart includes Hispanics in
all races as counted by the 2000 Census. The number of people of
Hispanic origin included in all races is shown in the row "Hispanic
Origin".

[]{#__RefHeading___Toc142231643 .anchor}V. SCOPE AND METHODOLOGY

#### Scope

The Limited Scope Title VI Compliance Fare Assessment of VTA examined
the following requirements as specified in FTA Circular 4702.1:

-   **Chapter I, Part 2, Objectives.** Ensure that benefits and related
    services are made available and are equitably distributed without
    regard to race, color, or national origin. Ensure that the level and
    quality of transit services are sufficient to provide equal access
    and mobility for any person without regard to race, color, or
    national origin. Ensure that opportunities to participate in the
    transit-planning and decision-making processes are provided to
    persons without regard to race, color, or national origin. Ensure
    that corrective and remedial action is taken to prevent
    discriminatory treatment of any beneficiary based on race, color, or
    national origin.

-   **Chapter III, Part 3. a. \[3\] \[a\] and \[c\], Assessment of
    Compliance by Grantees** *(Applies to grantees in service areas with
    populations over 200,000)* Establish procedures for developing and
    maintaining local standards for compliance with Title VI. Evaluate
    systemwide service changes and proposed improvements at the planning
    and programming stages to determine whether the overall benefits and
    costs of such changes or improvements are distributed equally, and
    are not discriminatory.

    -   **Chapter III, Part 3. a. \[4\] \[a\] Changes in Service
        Features.** *(Applies to grantees in service areas with
        populations over 200,000)* Provide a description of the type of
        service changes proposed by the transit authority over the next
        three (3) years, and a statement of the effect of these changes
        on minority communities and minority transit users. In
        particular, the transit system should describe significant
        service changes relating to hours or days of operation, headways
        and fares, and provide the schedule reflecting such change.

    -   **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.

#### Methodology

Initial interviews were conducted with the FTA Headquarters Civil Rights
staff and the FTA Region IX Civil Rights Officer to discuss specific
Title VI issues and concerns regarding VTA. Following these discussions,
an agenda letter was sent to VTA advising it of the site visit and
indicating additional information that would be needed and issues that
would be discussed.

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

-   Current Description of VTA's service area, including general
    population and other demographic information using Census 2000 (or
    more recent) data.

-   Current description of VTA's fixed route and rail services,
    including system maps, public timetables, transit service brochures,
    etc.

-   Any studies or surveys conducted by VTA, its consultants or other
    interested parties (colleges or universities, community groups,
    etc.) regarding fare issues during the past three years.

-   Base Map showing census tracts from 2000 census or traffic analysis
    zones (TAZs), identification of major streets and highways, fixed
    transit facilities, and major activity centers or trip generators
    (from most recent Title VI Update).

-   Map overlays which show areas with significant minority population
    using 2000 census tract data or TAZ, and which show transit services
    (e.g., bus routes, rail lines, transit centers, garages, etc.), from
    most recent Title VI Update.

-   A population/racial distribution chart that shows the number and
    percentage of each minority group population in each 2000 census
    tract or TAZ (from most recent Title VI Update).

-   Description of the existing Title VI or service complaint process
    and copies of materials which are made available to the public which
    describe the process for filing complaints.

-   Details on VTA fare increases for the past three years, to include:

    -   Timeline of fare change (i.e. from financial planning to public
        hearings to initiation date(s) of increases)

    -   Modes affected

    -   Fare instruments affected (i.e. base fare, transfers,
        paratransit fares, discounted sales)

```{=html}
<!-- -->
```
-   Any analysis on the impact of the fare increase on protected groups
    (i.e., minorities, low income, Limited English Proficiency).

-   VTA's public participation process for fare increases.

-   Details on public meetings held (dates, locations, meeting
    summaries)

-   Documentation of all methods to disseminate information about the
    fare increase to protected groups.

-   Complaints or lawsuits regarding the proposed or enacted fare
    increases.

-   Contact information for community groups that were provided an
    opportunity to comment on the fare increases.

VTA assembled most of the documents prior to the site visit and provided
them to the Compliance Review team for advance review. VTA did not
provide the last item, contact information for community groups that
were provided an opportunity to comment on the fare increases. Following
an initial review of the documents, the Review team developed a detailed
schedule for the three-day site visit.

The site visit to VTA occurred May 16-18, 2006. An Entrance Conference
was conducted at the beginning of the Compliance Review with VTA senior
management, staff, FTA's Region IX Civil Rights Officer, the Equal
Opportunity Specialist from FTA Headquarters' Office of Civil Rights,
and the contractor Review team. During the Entrance Conference, the
Review team explained the goals of the Assessment and the needed
cooperation of staff members. The detailed schedule for conducting the
on-site visit was discussed.

Following the Entrance Conference, the Review team met with the staff
responsible for assembling the documents requested for the site visit.
The staff described the process that occurred prior to the 2003 and 2005
fare increases. VTA has experienced significant staff turnover and many
of the current staff members were not present during the fare increases.
During the second day of the site visit, the Review team conducted field
visits of major bus routes, transit centers, transfer points for shuttle
bus services, and selected light rail lines and stations. The purpose of
the tours was to observe riders and the types of fare media used on
different modes and in different parts of the VTA service area. Review
team members also arranged and conducted several interviews with
community representatives to obtain perceptions on the public
participation involvement prior to fare increases.

[]{.mark}

At the end of the site visit, an Exit Conference for the Compliance
Review was held with VTA senior management staff, the Region IX Civil
Rights Officer, the Equal Opportunity Specialist from FTA Headquarters
Office of Civil Rights, and the contractor Review team. At the Exit
Conference, initial findings and corrective actions were discussed.

[]{#__RefHeading___Toc142231644 .anchor}VI. FINDINGS AND RECOMMENDATIONS

The Title VI Compliance Review focused on VTA\'s compliance with the
requirements related to the implementation of fare increases. This
section describes the requirements and findings at the time of the
Compliance Assessment site visit. In summary, three requirements were
reviewed and three deficiencies were identified. At the time of the site
visit, VTA did not document that it: 1) utilized a public participation
process preceding the fare increase that adequately responded to
concerns expressed by protected groups; 2) considered equity issues
prior to implementing recent fare increases; and 3) had a Title VI
Complaint process. Following the site visit, VTA took corrective actions
to correct the deficiencies related to the public participation and
complaint process.

#### 

1.  []{#__RefHeading___Toc142231645 .anchor}Utilize a Public
    Participation Process to Involve Protected Groups

**Requirement:** *In accordance with Chapter I, Part 2, Objectives, of
FTA Circular 4702.1**:** The grantee should* *ensure that opportunities
to participate in the transit-planning and decision-making processes are
provided to persons without regard to race, color, or national origin.
Ensure that corrective and remedial action is taken to prevent
discriminatory treatment of any beneficiary based on race, color, or
national origin.*

**Findings:** During this Title VI Compliance Review of VTA,
deficiencies were found regarding VTA's compliance with FTA requirements
for ensuring that grantees provide adequate opportunities from persons
to participate in transit decision-making process without regard to
race, color or national origin. While VTA appears to have met FTA
requirements to provide an opportunity for public comment prior to a
fare increase, VTA was unable to document any efforts to reach out to
minority and low-income groups to allow full participation in the
decision-making processes leading to the 2003 or 2005 fare increases.

Prior to and during the site visit, the Review team requested that VTA
provide a list of community organizations and/or individuals with whom
VTA communicates regularly about service changes, including fare
increases. VTA did not provide the requested list prior to or during the
site visit. In response to our request, VTA did, however, provide the
Review team with a list of retail and community outlets that sell VTA
fare media. Several of these outlets served minority or low-income
communities.

After compiling a list of community organizations from the San Jose
telephone directory, the Review team conducted interviews with VTA
community representatives to obtain information on the extent to which
VTA incorporates Title VI requirements when making service changes, in
particular, fare increases. Interviews were conducted with seven
individuals, of which four represented the following organizations:

-   Mexican American Community Services Agency (MACSA)

-   MACSA Academia Colmecac

-   Santa Clara Valley VTA Riders Union

-   Transportation Land Use Coalition

The interviews with community representatives focused on the
availability of information on proposed fare increases, VTA's efforts to
address the community's concerns about recent fare increases, and the
perceptions of the minority communities on VTA's fare increase policies
and the resulting impacts. The Review Team accepted the comments as
opinions or perceptions 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, in this case,
confirmed the findings of the Review team.

The majority of those interviewed acknowledged that VTA did attempt to
communicate with the public through public notices, public hearings,
ethnic media, the VTA website, and brochures. However, most felt that
the communication was ineffective and did not provide the community with
a realistic opportunity to voice concerns. Many felt that VTA's outreach
efforts were seemingly perfunctory and that VTA did the minimum as
required by law. They felt that communication about services changes and
fare increases could be improved if VTA, as a practice, considered the
unique needs of protected groups and low-income individuals in their
community when planning and carrying out its outreach efforts.

One individual indicated that public meeting times were inconvenient and
too infrequent for most low-income, minority, and transit-dependent
members of the community to attend. For example, the most
transit-dependent populations tended to work long-hours, often working
multiple jobs. This individual felt that many of these people could not
voice their opinions because VTA did not hold meetings at convenient
locations and did not schedule enough meetings at convenient times in
the interest of getting as much public input as possible. The individual
stated that VTA held regular meetings open to the public to discuss
issues before the agency, but these meetings were held during the
weekday in the morning and were very poorly attended. This individual
suggested that VTA could improve its outreach and inclusion of protected
groups by providing several "rolling" public hearings at various times
and at strategic locations that were considerate of the community's
needs (i.e., in the evening near schools and/or day care centers so
people can pick up their children before or after the meeting).

Another individual indicated that VTA could also improve attendance at
public meetings by giving adequate public notice. This individual
provided an example of a notice for a VTA public hearing that was to be
held three days after the notice was made public. This same individual
felt VTA could better engage protected groups by advertising public
meetings on television.

Another individual stated that VTA should be more consistent with its
outreach and suggested that VTA make a greater effort to engage the
public on certain issues and not on others. For example, VTA held a
public hearing prior to developing its long-range transit plans, which
was very well attended. This individual indicated that VTA did a great
job reaching out to organizations and individuals in the community,
which resulted in a public turnout of over 100 people. On the contrary,
the individual felt that the same effort was not put into encouraging
people to participate in public hearings about the fare increases.
According to this individual, it was important to VTA to include and
garner support from the public on VTA's long range transit plans, in
particular, with respect to the proposed BART extension that would
primarily benefit individuals outside of the VTA service area more than
the most transit dependent populations within the VTA service area. This
individual suggested that this was indicative of VTA's practice of not
prioritizing the needs of those who rely on the service the most.

One individual representing the predominately Mexican MACSA Academia
Colmecac Charter School suggested that VTA should improve its outreach
to community organizations. This individual did not learn of VTA's plans
to increase fares from VTA either directly or via any form of media.
Rather, he heard about the fare increases from the parents of the
students who attended his school and who also rely on VTA to transport
their children to and from school. According to this individual, the
proposed and subsequently implemented fare increases have created
serious transportation problems for the parents and school
administrators.

In general, the community representatives interviewed all felt that VTA
could and should improve its outreach to protected groups when
considering service changes, including fare increases. Many suggested
minor changes to existing methods of communication like "rolling" or
"traveling" public meetings, while others suggested incorporating new
methods of communication like television. Another suggestion was that
VTA should be more sensitive to and aware of the communication
tendencies of the people they serve. The example given was that VTA
would be more effective if they actually got out and talked to the
riders of its service. One individual felt that the most transit
dependent populations were best reached through a more "grassroots"
approach rather than through official public hearings and meetings. This
individual felt that through better relationships with community
organizations or by VTA representatives simply getting out on the
vehicles and soliciting input from riders, more effective communication
could be achieved.

Following the site visit, VTA Marketing & Public Affairs compiled a list
of interested parties and community representatives that have a vested
interest in and/or provide services to individuals and groups protected
under Title VI of the Civil Rights Act of 1964. VTA stated that this
list would be used to provide notification to these interested parties
and community representatives for future proposed or adopted VTA fare
and/or service changes.

This action and assurance closes the deficiency in this area. VTA is
encouraged to consider public participation methods, such as those
recommended by the community groups interviewed, to encourage greater
participation in decisions that directly affect minority and low-income
residents.

2.  []{#__RefHeading___Toc142231646 .anchor}Consideration of Equity
    Issues Prior to Fare Increases

**Requirement: In accordance with Chapter I, Part 2, Objectives and
Chapter III, Part \[3\] \[a\] and \[c\] of FTA Circular 4702.1:** *The
grantee should demonstrate that it evaluated planned service changes
relating to hours or days of operation, headways and fares* *to
determine the overall effect of such change on minority communities and
minority transit users.*

[]{.mark}

**Finding:** During this Title VI Compliance Assessment of VTA,
deficiencies were found regarding VTA's compliance with Title VI
requirements to evaluate actual or planned fare increases for equity
considerations. In information provided before and during the site
visit, the Review Team determined that VTA did not demonstrate that its
method to evaluate the impact of actual or proposed fare increases took
equity into consideration and was not discriminatory, as required by FTA
Circular 4702.1. VTA was able to document that it had conducted an
equity assessment for service reductions. However, VTA did not conduct
the equity assessment for the fare increases despite reminders from FTA
in 2004 about the Title VI requirement.

VTA staff and consultants performed considerable analyses of the fare
increases. As previously described, VTA hired three independent
consultants to study cost reduction and revenue enhancement measures.
The consultants developed a fare policy and a computerized fare
structure analysis model that was utilized to assess the impact of fare
increases on ridership and revenue. VTA's fare structure is quite
complex, involving different fares for local bus service, light rail
service, express bus service and specialized shuttle bus service.
Passengers use a variety of fare media, from cash to tokens to daily or
monthly passes. A market research study conducted of VTA riders in
August of 2000 showed, among other things, that minority riders tended
to pay cash for daily passes and ride the bus, while non-minority riders
more frequently rode the light rail service and purchased monthly
passes, which are more heavily discounted than daily passes or single
cash fares. These differences, combined with the fact that shuttle
service from commuter rail stations, used mostly by non-minorities, is
often free, demonstrates that a fare increase that appears to be
non-biased on the surface could have a disparate impact on minority and
low-income persons.

At the conclusion of the site visit, FTA provided VTA with sample Fare
Increase Title VI Equity Assessments used by other transit systems. VTA
agreed to conduct an analysis of its fare increase to determine if the
most recent increase had any disparate effect. VTA expected to complete
this study following the publication of the results of its most recent
rider survey that included information on fare payment and socioeconomic
data on passengers.

Following the site visit, VTA reported that it would perform a fare
equity assessment of the most recent fare increase in accordance with
FTA Circular 4702.1. VTA staff will use data obtained from the 2005-2006
On-Board Survey of riders to calculate the impact of the fare change on
low-income persons, racial minorities and other population groups.

[]{.mark}

**Corrective Actions and Schedules**: Within 90 days after the
transmittal of the final report, VTA must submit to the FTA Office of
Civil Rights Equal Opportunity Specialist documentation that it has
conducted a fare equity assessment in accordance with FTA Circular
4702.1 and that it has established a process to conduct the assessments
prior to implementing fare increases in the future.

[]{.mark}

3.  []{#__RefHeading___Toc142231647 .anchor}Title VI Complaint Process

**Requirement: 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.*

**Finding:** During this Title VI Compliance Review of VTA, deficiencies
were found regarding VTA's compliance with FTA requirements for Title VI
Complaint Process. Although VTA has a well-established process for
receiving and responding to complaints, this process did not address the
requirements of FTA Circular 4702.1, VIII 2b. VTA did not provide
information on the Title VI complaint filing and resolution process to
the general public on its website or in information brochures.

During the site visit, the Review team discussed with VTA staff ways for
the agency's complaint process to meet the Title VI Circular
requirements. VTA's complaint outreach to the public could include, but
should not be limited to, information on its web site informing the
public of its right to file a complaint of discrimination based on race,
color, or national origin. The Review team also suggested that VTA add
"Title VI" or "Discrimination" to the list of complaint types on the
customer comment intake form.

Following the issuance of the draft report, VTA developed and submitted
a Title VI Complaint process that meets the requirements of FTA Circular
4702.1. VTA created a Title VI Official Site on its website. The site
informs riders of their rights to equal access under Title VI and
describes the process for filing and resolving Title VI complaints. VTA
also developed a Title VI Compliant Form. Finally, VTA developed a
notice to be included in appropriate VTA printed materials intended for
the public. The notice states:

> *Your Rights Under Title VI of the Civil Rights Act of 1964*
>
> *The United States Department of Transportation (DOT) ensures full
> compliance with Title VI of the Civil Rights Act of 1964 by
> prohibiting discrimination against any person on the basis of race,
> color or national origin in the provisions of benefits and services
> resulting from federally assisted programs and activities. Any person,
> who believes the Santa Clara Valley Transportation Authority (VTA) has
> violated his/her Title VI protections should contact the VTA Office of
> Civil Rights at (408) 321-5571. VTA's Title VI information can be
> found at [www.vta.org](http://www.vta.org/). For federal Title VI
> information please contact the Federal Transit Administration (FTA),
> Region 9, Office of Civil Rights at (415) 744-2729. Title VI
> information, including filing complaints, can also be accessed on the
> FTA web site at: [www.fta.dot.gov](http://www.fta.dot.gov/).*

These actions close the deficiency in this area.

[]{.mark}

[]{.mark}

[]{#__RefHeading___Toc142231648 .anchor}VII. SUMMARY OF FINDINGS AND
CORRECTIVE ACTIONS

+--------------+------+-----------+-------------------+-------+------+
| **Title VI   | **   | **De      | **Corrective      | **Res | **   |
| Requirements | Site | scription | Action(s)**       | ponse | Date |
| For Transit  | Re   | of        |                   | D     | Clos |
| Providers**  | view | Defic     |                   | ays/D | ed** |
|              | F    | iencies** |                   | ate** |      |
|              | indi |           |                   |       |      |
|              | ng** |           |                   |       |      |
+==============+======+===========+===================+=======+======+
| 1\. Public   | D    | > VTA did | > VTA must submit | ####  | 6/3  |
| P            |      | > not     | > to the FTA      | ##### | 0/06 |
| articipation |      | >         | > Office of Civil |  120  |      |
| Process to   |      |  document | > Rights Equal    | Days  |      |
| Involve      |      | > efforts | > Opportunity     |       |      |
| Protected    |      | > to      | > Specialist a    |       |      |
| Groups       |      | > ensure  | > list of         |       |      |
|              |      | > part    | > community       |       |      |
|              |      | icipation | > groups that     |       |      |
|              |      | > by      | > represent       |       |      |
|              |      | >         | > minority and    |       |      |
|              |      |  minority | > low-income      |       |      |
|              |      | > and     | > residents. VTA  |       |      |
|              |      | > l       | > must also       |       |      |
|              |      | ow-income | > provide an      |       |      |
|              |      | > groups. | > assurance that  |       |      |
|              |      |           | > it will provide |       |      |
|              |      |           | > this            |       |      |
|              |      |           | > information on  |       |      |
|              |      |           | > future fare     |       |      |
|              |      |           | > increases       |       |      |
|              |      |           | > and/or service  |       |      |
|              |      |           | > changes to      |       |      |
|              |      |           | > persons on this |       |      |
|              |      |           | > list in the     |       |      |
|              |      |           | > future.         |       |      |
|              |      |           | >                 |       |      |
|              |      |           | > []{.mark}       |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 2\.          | D    | > No      | > VTA must submit | ###   |      |
| C            |      | > Equity  | > to the FTA      | ##### |      |
| onsideration |      | > A       | > Office of Civil | # 90  |      |
| of Equity    |      | ssessment | > Rights Equal    | Days  |      |
| Issues Prior |      | >         | > Opportunity     |       |      |
| to Fare      |      | Conducted | > Specialist      |       |      |
| Increases    |      |           | > documentation   |       |      |
|              |      |           | > that it has     |       |      |
|              |      |           | > conducted a     |       |      |
|              |      |           | > fare equity     |       |      |
|              |      |           | > assessment in   |       |      |
|              |      |           | > accordance with |       |      |
|              |      |           | > FTA Circular    |       |      |
|              |      |           | > 4702.1 and that |       |      |
|              |      |           | > it has          |       |      |
|              |      |           | > established a   |       |      |
|              |      |           | > process to      |       |      |
|              |      |           | > conduct the     |       |      |
|              |      |           | > assessments     |       |      |
|              |      |           | > prior to        |       |      |
|              |      |           | > implementing    |       |      |
|              |      |           | > fare increases  |       |      |
|              |      |           | > in the future.  |       |      |
+--------------+------+-----------+-------------------+-------+------+
| 3\. Title VI | D    | > No      | > VTA must submit | 120   | 9/1  |
| Complaint    |      | > Title   | > to the FTA      | Days  | 5/06 |
| Process      |      | > VI      | > Office of Civil |       |      |
|              |      | >         | > Rights Equal    |       |      |
|              |      | Complaint | > Opportunity     |       |      |
|              |      | > Process | > Specialist a    |       |      |
|              |      |           | > complaint       |       |      |
|              |      |           | > process that    |       |      |
|              |      |           | > conforms fully  |       |      |
|              |      |           | > to the          |       |      |
|              |      |           | > requirements    |       |      |
|              |      |           | > found in FTA    |       |      |
|              |      |           | > Circular        |       |      |
|              |      |           | > 4702.1.         |       |      |
+--------------+------+-----------+-------------------+-------+------+

Findings at the time of the site visit: ND = No Deficiencies; D =
Deficiency; NA = Not Applicable;

NR = Not Reviewed;

VIII. []{#__RefHeading___Toc142231649
      .anchor}A**[ttenDEES]{.underline}**

+-------------+--------------------+---------+------------------------+
| **NAME**    | **TITLE/**         | **P     | **E-MAIL**             |
|             |                    | HONE/** |                        |
|             | **ORGANIZATION**   |         |                        |
|             |                    | **FAX** |                        |
+=============+====================+=========+========================+
| Roger       | Chief Financial    | 408-3   | R                      |
| Contreras   | Officer, VTA       | 21-5630 | oger.contreras@vta.org |
|             |                    |         |                        |
|             |                    | 408-9   |                        |
|             |                    | 55-9750 |                        |
+-------------+--------------------+---------+------------------------+
| Kevin D.    | Assistant General  | 408-3   | Kevin.allmand@vta.org  |
| Allmand     | Counsel, VTA       | 21-7552 |                        |
|             |                    |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-7547 |                        |
+-------------+--------------------+---------+------------------------+
| David A.    | Manager, Market    | 408-9   | David.lopez@vta.org    |
| Lopez       | Development, VTA   | 52-4295 |                        |
|             |                    |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-7537 |                        |
+-------------+--------------------+---------+------------------------+
| Gary        | Compliance Review  | 408-3   | Gary.epstein@vta.org   |
| Epstein     | Manager, VTA       | 21-5683 |                        |
|             |                    |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-5521 |                        |
+-------------+--------------------+---------+------------------------+
| Kevin       | Sales and          | 408-9   | Kevin.kurimoto@vta.org |
| Kurimoto    | Promotion Manager, | 52-4198 |                        |
|             | VTA                |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-7537 |                        |
+-------------+--------------------+---------+------------------------+
| Roberta     | Manager, Real      | 408-3   | Robe                   |
| Notrangelo  | Estate and Project | 21-5778 | rta.notrangelo@vta.org |
|             | Administration,    |         |                        |
|             | VTA                | 408-9   |                        |
|             |                    | 55-0896 |                        |
+-------------+--------------------+---------+------------------------+
| Ali Hudda   | Finance Manager,   | 408-5   | Ali.hudda@vta.org      |
|             | Fiscal Resources,  | 46-7922 |                        |
|             | VTA                |         |                        |
|             |                    | 408-9   |                        |
|             |                    | 55-0894 |                        |
+-------------+--------------------+---------+------------------------+
| Grace       | Fiscal Resources   | 408-3   | Gr                     |
| Salandanan  | Manager, VTA       | 21-7019 | ace.salandanan@vta.org |
|             |                    |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-5521 |                        |
+-------------+--------------------+---------+------------------------+
| Marcella    | Transportation     | 408-3   | Marcella.rensi@vta.org |
| Rensi       | Planning Manager,  | 21-5717 |                        |
|             | Programming and    |         |                        |
|             | Grants, VTA        | 408-3   |                        |
|             |                    | 21-5722 |                        |
+-------------+--------------------+---------+------------------------+
| William     | Manager Service    | 408-3   | William.capps@vta.org  |
| Capps       | and Operations     | 21-7059 |                        |
|             | Planning, VTA      |         |                        |
|             |                    | 408-9   |                        |
|             |                    | 55-9754 |                        |
+-------------+--------------------+---------+------------------------+
| James       | Manager Operations | 408-3   | James.unites@vta.org   |
| Unites      | Planning, VTA      | 21-7032 |                        |
|             |                    |         |                        |
|             |                    | 408-9   |                        |
|             |                    | 55-9754 |                        |
+-------------+--------------------+---------+------------------------+
| Jeffery     | Senior             | 408-3   | Jeffery.ballou@vta.org |
| Ballou      | Transportation     | 21-5628 |                        |
|             | Planner, VTA       |         |                        |
|             |                    | 408-9   |                        |
|             |                    | 55-9754 |                        |
+-------------+--------------------+---------+------------------------+
| Olga Medina | Secretary, Fiscal  | 408-3   | Olga.medina@vta.org    |
|             | Resources, VTA     | 21-7019 |                        |
|             |                    |         |                        |
|             |                    | 408-3   |                        |
|             |                    | 21-5521 |                        |
+-------------+--------------------+---------+------------------------+
| David       | Equal Opportunity  | 202-4   | <david.                |
| Schneider   | Specialist, FTA    | 93-0175 | schneider@fta.dot.gov> |
|             | Office of Civil    |         |                        |
| (via        | Rights             | 202-3   |                        |
| tele        |                    | 66-3475 |                        |
| conference) |                    |         |                        |
+-------------+--------------------+---------+------------------------+
| Derrin J.   | FTA Regional Civil | 415-7   | <derri                 |
| Jourdan     | Rights Officer,    | 44-2729 | n.jourdan@fta.dot.gov> |
|             | Region IX          |         |                        |
|             |                    | 415-7   |                        |
|             |                    | 44-2726 |                        |
+-------------+--------------------+---------+------------------------+
| John Potts  | Lead Reviewer, DMP | 202-7   | <john                  |
|             |                    | 26-2630 | potts@thedmpgroup.com> |
|             |                    |         |                        |
|             |                    | 202-7   |                        |
|             |                    | 26-1830 |                        |
+-------------+--------------------+---------+------------------------+
| Maxine      | Reviewer, DMP      | 202-7   | <maxine.mar            |
| Marshall    |                    | 26-2630 | shall@thedmpgroup.com> |
|             |                    |         |                        |
|             |                    | 202-7   |                        |
|             |                    | 26-1830 |                        |
+-------------+--------------------+---------+------------------------+
| Donald      | Reviewer, DMP      | 202-7   | <donald.               |
| Lucas       |                    | 26-2630 | lucas@thedmpgroup.com> |
|             |                    |         |                        |
|             |                    | 202-7   |                        |
|             |                    | 26-1830 |                        |
+-------------+--------------------+---------+------------------------+