**TITLE VI COMPLIANCE REVIEW**

**OF THE**

**NEW YORK STATE DEPARTMENT OF TRANSPORTATION**

**(NYSDOT)**

**Albany, New York**

**Final Report**

**November 2004**

**Prepared For**

**U.S. DEPARTMENT OF TRANSPORTATION**

**FEDERAL TRANSIT ADMINISTRATION**

**OFFICE OF CIVIL RIGHTS**

**Prepared By**

**MILLIGAN & COMPANY, LLC**

[Table of Contents]{.underline}

I. GENERAL INFORMATION [1](#__RefHeading___Toc51057800)

II\. JURISDICTION AND AUTHORITIES 2

III\. PURPOSE AND OBJECTIVES 3

IV\. BACKGROUND INFORMATION 4

V. SCOPE AND METHODOLOGY 5

VI\. FINDINGS AND RECOMMENDATIONS 11

VII\. SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS 23

VIII\.
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I.  []{#__RefHeading___Toc51057800 .anchor}GENERAL INFORMATION

Grant Recipient: New York State Department of Transportation

5-504 Harriman State Office Campus

1220 Washington Avenue

Albany, New York 12232

City/State: Albany, New York

Grantee No: 1791

Executive Official: Mr. Joseph H. Boardman

Commissioner

New York State Department of Transportation

5-504 Harriman State Office Campus

> 1229 Washington Avenue

Albany, New York 12232

Report Prepared By: MILLIGAN & COMPANY, LLC

105-107 N. 22^nd^ Street, 2^nd^ Floor,

Mulberry Atrium North

Philadelphia, PA 19103

Site Visit Dates: December 2, 2003 to December 4, 2003

Compliance Review

Team Members: Sandra Swiacki Lead Reviewer Milligan & Company, LLC

Jim Buckley

Reviewer

Milligan & Company, LLC

> Joseph Herzog
>
> Reviewer

Milligan & Company, LLC.

II. 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. Reviews are undertaken to ensure compliance of
applicants, recipients, and subrecipients with Title VI of the Civil
Rights Act of 1964, as amended (42 U.S.C. 2000d); Section 12 of the
Master Agreement, Federal Transit Administration C.A. (9), October 1,
2002; and 49 U.S.C. 5332, "Non-Discrimination."

The New York State Department of Transportation (NYSDOT) 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
FTA Circular 4702.1, "Title VI Program Guidelines for Federal Transit
Administration Recipients," dated May 26, 1988. The program guidelines
of FTA Circular 4702.1 define the components that must be addressed and
incorporated in NYSDOT's Title VI Program and were the basis for the
selection of compliance elements that were reviewed in this document.

III. 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 New York State Department of
Transportation (NYSDOT) Title VI Program was necessary. This review
focused on NYSDOT\'s role as a State administering transit programs for
the Elderly and Disabled funded by FTA under Section 5310 and Programs
for Rural and Small Urban Areas funded by FTA under Section 5311.

The Office of Civil Rights authorized Milligan & Company, LLC to conduct
the Title VI Compliance Review of NYSDOT. The primary purpose of this
Compliance Review was to determine the extent to which NYSDOT has met
its General Reporting and Program-Specific requirements, in accordance
with FTA Circular 4702.1, "Title VI Program Guidelines for Federal
Transit Administration Recipients," as represented to FTA. 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;

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-   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;

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-   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.

**IV. [BACKGROUND INFORMATION]{.underline}**

The Governor of New York designated New York State Department of
Transportation (NYSDOT) as the responsible agency for administering the
Section 5310 and 5311 programs. NYSDOT's Office of Passenger and Freight
Transportation is comprised of the Passenger Transportation Division,
the Freight and Economic Development Division and the Passenger and
Freight Safety Division. The Transit Services Bureau within the
Passenger Transportation Division administers the Section 5310 and
Section 5311 programs.

According to the State Management Plan, there are 63 individual transit
operators receiving Section 5311 program funds. **Nine** are cities
operating transit systems themselves or through a contract with a
private operator; 31 counties sponsor a total of **44** transit
operations provided by the counties themselves or through contracts with
public or private operators; and 4 public transportation authorities are
providing service in the rural portion of **10** counties. NYSDOT
distributed in excess of \$23 million for both operating and capital
assistance during the past three years.

As of August of 2003, NYSDOT's Section 5310 Program had approximately
312 active recipients and 824 vehicles. During the past three years,
NYSDOT distributed over \$15 million in program funds.

General demographic characteristics for the State of New York, obtained
from the 2000 census, are summarized below.

+---------------------------+------------------+----------------------+
| ####                      | ####             | ####                 |
|                           |                  |                      |
| **Race/Ethnicity**        | #### Total       | #### Percentage      |
+---------------------------+------------------+----------------------+
| #### White                | #### 12,893,689  | #### 67.9            |
+---------------------------+------------------+----------------------+
| #### African American     | #### 3,014,385   | #### 15.9            |
+---------------------------+------------------+----------------------+
| #### Americ               | #### 82,461      | #### \<1.0           |
| an Indian/Alaskan Native  |                  |                      |
+---------------------------+------------------+----------------------+
| ###                       | #### 1,053,794   | #### 5.5             |
| # Asian/Pacific Islander  |                  |                      |
+---------------------------+------------------+----------------------+
| #### Hispanic\*           | #### 2,867,583   | #### 15.1            |
+---------------------------+------------------+----------------------+
| #### Total Population     | #### 18,976,457  | #### 100             |
+---------------------------+------------------+----------------------+
| #### Total Minorities     | **7,018,223**    | #### 36.9            |
+---------------------------+------------------+----------------------+

\*Hispanics may be of any race, so also are included in applicable race
categories.

V. SCOPE AND METHODOLOGY

#### Scope

The Title VI Compliance Review of NYSDOT's 5310 and 5311 transit
programs examined the following requirements as specified in FTA
Circular 4702.1:

1.  [General Reporting Requirements]{.underline} - all applicants,
    recipients and subrecipients shall maintain and submit the
    following:

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a.  A list of active Title VI lawsuits or complaints;

b.  A description of pending applications for financial assistance;

c.  A summary of recent civil rights compliance review activities;

d.  A signed FTA Civil Rights Assurance;

e.  A signed standard DOT Title VI Assurance; and

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

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2.  [Program Specific Requirements]{.underline}

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a.  State Agencies Administering Transit Programs for the Elderly and
    Disabled funded under Section 5310 are required to comply with the
    following data collection and reporting requirements.

    i.  Grant Administration

    ii. Program Management Assurance

b.  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.

i\. Title VI Program Management

> ii\. Title VI Reporting

3.  [Procedures for Filing Title VI Discrimination
    Complaints]{.underline} -- all applicants, recipients, and
    subrecipients that provide public transit service are required to
    develop and implement procedures for filing Title VI discrimination
    complaints.

#### Methodology

At the beginning of the Compliance Review, an interview was conducted
with the Regional Civil Rights Officer about specific Title VI issues
and concerns regarding NYSDOT. Following the interview, a detailed
letter was sent to NYSDOT advising it of the site visit and indicating
additional information that would be needed and issues that would be
discussed.

In the letter, NYSDOT 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 NYSDOT and Section
    5310 and 5311 subrecipients

-   Copies of NYSDOT's procedures to obtain Title VI general reporting
    information from Section 5311 subrecipients.

In the letter, NYSDOT was also requested to provide an update of the
following General Reporting requirements (Chapter III, Section 2 of FTA
Circular 4702.1) since its most recent Title VI submittal.

-   A list of any active lawsuits and complaints including a statement
    of their status or outcome

-   Pending grant applications

-   Other civil rights compliance reviews during the past three years
    including the name of the agency or organization that performed the
    review; a summary of the findings and recommendations of the review;
    and, a report on the status and/or disposition of such findings and
    recommendations

-   Fixed facility analysis and, if needed, a program or other measures
    to mitigate any identified adverse impact on the minority community.

NYSDOT was also requested to provide Program Specific requirements for
State Agencies administering Transit Programs for the Elderly and
Disabled (Chapter III, Section 3.c of FTA Circular 4702.1):

-   A description of NYSDOT's process and criteria for selecting private
    nonprofit organizations to receive financial assistance

-   A list of applicants requesting assistance, identifying whether the
    applicant is a minority organization or an organization providing
    assistance to minority communities and whether the application was
    approved

-   A description of NYSDOT's methods for identifying and assisting
    nonprofit organizations operated by minorities or groups serving
    predominately minority communities

-   A description of NYSDOT's methods for ensuring that subrecipients
    satisfy the general data collection and reporting requirements of
    Title VI and otherwise comply with Title VI.

Additionally, NYSDOT was requested to provide Program Specific
requirements for State Agencies administering Transit Programs for Rural
and Small Urban Areas (Chapter III, Section 3.d of FTA Circular 4702.1):

-   A description of the process NYSDOT uses to develop its application
    for Section 5311 funding, especially the method used to ensure fair
    and equitable distribution of funds, including to Native American
    tribes where applicable

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

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

-   A description of NYSDOT's ongoing process to monitor subrecipients'
    compliance with Title VI.

Finally, NYSDOT 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 and describe the process for filing complaints.

The site visit to NYSDOT occurred December 2 through December 4, 2003.
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. Arrangements were
also made for site visits to selected subrecipients and interviews with
minority community representatives.

After the entrance conference, interviews were conducted with NYSDOT's
staff to provide information on the extent to which Title VI
requirements are incorporated in the planning and implementation of the
Section 5310 and 5311 programs. The review team also reviewed file
information on selected subrecipients that were recommended, as well as
applicants that were rejected for funding during the past three years.
On the second day of the review, an on-site visit was conducted with
Liberty Enterprises, a Section 5310 Program recipient, and Amsterdam
Community Transit, a Section 5311 Program recipient, to ascertain how
the programs are implemented by NYSDOT.

To obtain a comprehensive sample of Section 5310 and 5311 program
recipients, telephone interviews were also conducted with various
transit providers throughout the State of New York. These included:
Hispanos Unidos de Buffalo, Inc.; St. Regis Mohawk Tribe; Services for
the Underserved; Orleans Community Action Committee; Watertown CitiBus
System; Tompkins County Area Transit; and Ulster County Area Transit.
Additionally, telephone interviews were conducted with leaders within
the community to gain insight on how the minority community is
represented and participates in NYSDOT's planning process. Those
interviewed included representatives from the Rural Opportunities, Inc.;
Family of Woodstock, Inc.; and the Resource Center for Independent
Living.

At the exit conference, the review team and NYSDOT's management
discussed the preliminary results of the site visit and the next steps,
which included the submittal of additional data and documentation needed
to meet FTA requirements for Title VI. Subsequent to the site visit, in
response to the preliminary findings, NYSDOT provided a revised mailing
list of community-based organizations.

VI\. FINDINGS AND RECOMMENDATIONS

The Title VI Compliance Review focused on NYSDOT\'s role as the
administrator of FTA funded transit programs for the Elderly and Persons
with Disabilities (Section 5310) and for Rural and Small Urban Areas
(Section 5311). These are separate programs with a common set of 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 NYSDOT\'s
compliance with requirements in each of the following categories:

-   General Reporting Requirements - applies to both the Section 5310
    and the Section 5311 programs (FTA C. 4702.1, Chapter III-2)

-   Program Specific Requirements for State Agencies Administering
    Transit Programs for the Elderly and Disabled - Section 5310 (FTA C.
    4702.1, Chapter III- 4c)

-   Program Specific Requirements for State Agencies Administering
    Programs for Rural and Small Urban Areas - Section 5311 (FTA C.
    4702.1, Chapter III- 4d)

#### 

#### A. Findings of the General Reporting Requirements

1.  List of Active Complaints and Lawsuits

**Requirement:** All applicants, recipients and subrecipients shall
maintain and submit a list of any active lawsuits or complaints naming
the applicant who alleges discrimination on the basis of race, color, or
national origin with respect to service or other transit benefits.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with the FTA requirement for List of Active
Complaints and Lawsuits. NYSDOT demonstrated that it had a process in
place to secure information regarding complaints and lawsuits alleging
discrimination in service delivery from its subrecipients during the
subrecipient application process. At the time of the site visit, neither
NYSDOT nor its Section 5310 or 5311 subrecipients had any Title VI
lawsuits or complaints. This information was also reported in their most
recent Title VI/Environmental Risk Assessment Program.

**2.** **[Pending Applications for Financial Assistance]{.underline}**

**[Requirement:]{.underline}** All applicants, recipients and
subrecipients shall maintain and submit a description of all pending
applications for financial assistance, and all financial assistance
currently provided by other Federal agencies.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Pending Applications
for Financial Assistance. NYSDOT has no pending applications for funding
at the present time.

3\. Summary of Civil Rights Compliance Reviews

**Requirement:** All applicants, recipients and subrecipients shall
maintain and submit a summary of all civil rights compliance review
activities conducted in the last three years.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Summary of Civil
Rights Compliance Reviews. According to the most recent Title
VI/Environmental Risk Assessment Program, and as demonstrated during
this compliance review, no Civil Rights Compliance Review activities
have been conducted in the past three years other than the State
Management Review that found NYSDOT to be in compliance with its Title
VI obligations. Neither FTA, nor any other oversight agency, has
conducted a civil rights compliance review of NYSDOT's Section 5310 and
5311 subrecipients during the period being reviewed.

**4. [FTA Civil Rights Assurance]{.underline}**

**Requirement:** All applicants, recipients and subrecipients shall
maintain and submit a signed FTA Civil Rights Assurance that all of the
records and other information required have been or will be compiled, as
appropriate**.**

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for FTA Civil Rights
Assurance**.** NYSDOT provided a copy of its most recent signed Civil
Rights Assurance, dated June 2003, which was contained in their Title
VI/Environmental Justice Risk Assessment Program. NYSDOT also requires
the most current Certifications and Assurances from each of its Section
5310 and 5311 subrecipients at the time of application. A record review
further confirmed that these assurances are maintained on subrecipients
in their application files.

5\. DOT Title VI Assurance

**Requirement:** All applicants, recipients and subrecipients shall
maintain and submit a signed standard DOT Title VI Assurance. This is a
\"One-Time Submission\".

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for DOT Title VI
Assurance. NYSDOT provided a copy of its most recent signed standard DOT
Title VI Assurance, dated June 2003, which was contained in their Title
VI/Environmental Justice Risk Assessment Program. NYSDOT also requires
the most current Certifications and Assurances from each of its Section
5310 and 5311 subrecipients at the time of application. A record review
further confirmed that these assurances are maintained on subrecipients
in their application files.

6\. Fixed-Facility Impact Analysis

**Requirement:** For construction projects, all applicants, recipients
and subrecipients shall conduct a fixed-facility impact analysis to
assess the effects on minority communities. This information can be
included in the environmental assessment or environmental impact
statement.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Fixed Facility Impact
Analysis. NYSDOT demonstrated during the review that it has an adequate
process in place to ensure compliance with this requirement. Under the
Section 5311 Program, NYSDOT funded the construction of a transit garage
in the City of Watertown. Documentation of a Class II Categorical
Exclusion from the FTA for the project was provided to the review team.
In accordance with FTA Circular 9040.1E, Non-Urbanized Area Formula
Program Guidance and Grant Application Instructions, Chapter IX, Part b,
Section 2, this exempts NYSDOT from conducting an analysis of any
environmental and or social economic impacts as the result of the
proposed construction project, including the impact on minority
communities. For the Section 5310 Program, funding is only provided for
vehicles; therefore these requirements are not applicable.

7\. [Title VI Complaints]{.underline}

**Requirement:** All applicants, recipients and subrecipients shall have
a process in place for receiving and resolving Title VI complaints in a
timely manner.

**Finding:** During this Title VI Compliance Review of NYSDOT,
deficiencies were found with FTA requirements for Title VI Complaints.
NYSDOT provided documentation of its written process for receiving and
resolving Title VI complaints. However, there was no evidence provided
to the review team to demonstrate how the procedure is communicated to
subrecipients or the riding public. Additionally, there was no evidence
that NYSDOT requires its subrecipients to develop and implement their
own complaint process.

Subsequent to the site visit, NYSDOT provided documentation that it has
changed its policy to document its telephone calls with subrecipients
who report Title VI complaints.

**[Corrective Actions and Schedule]{.underline}:** Within 60 days,
NYSDOT must submit to the FTA Region II Civil Rights Officer
documentation that their complaint procedure has been made available to
the public. NYSDOT should provide additional documentation that it will
require its subrecipients to develop and implement a process for
receiving and resolving Title VI complaints.

#### B. Findings of the Program-Specific Requirements for States Administering Elderly and Persons with Disabilities Program (Section 5310) 

1\. Documentation of Process for Developing Program of Projects (POP) to
Ensure Equitable Distribution of Funds

**Requirement:** State agencies must be able to provide a description of
the process by which it develops the annual 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, including to Native American tribes where applicable.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Documentation of
Process for Developing POP to Ensure Equitable Distribution of Funds.
NYSDOT solicits applications by sending a letter announcing the
availability of program funds to existing Section 5310 Grantees, members
of an Inter-Agency Review Committee and their clients, State
Legislators, Native American tribes in the State, and various
community-based organizations. The announcement of Section 5310 funding
is also advertised in newspapers of general circulation throughout the
State.

Each grant application is reviewed and numerically rated against various
selection criteria, described below, by an Inter-Agency Review Committee
comprised of representatives from various state agencies. These include
the New York State Departments of Transportation, State, and Health; its
various Offices for the Aging; Vocational and Educational Services for
Individuals with Disabilities, Mental Health, Mental Retardation and
Developmental Disabilities; and the Advocate for Persons with
Disabilities.

The process used to develop the annual program of projects is documented
in the State Management Plan. The process appears to ensure that funds
are distributed in a fair and equitable manner. This determination is
based on NYSDOT's outreach efforts, their selection criteria and
evaluation method. Over the past three years, the approval rate for
minority applicants was 76% in 2001, 71% in 2002, and 52% in 2003. In
terms of actual total dollars allocated to minority-based organizations,
this equated to approximately \$2,126,530 or 14% of the Section 5310
program funds.

2\. [Record of Funding Request]{.underline}

**Requirement:** State agencies shall maintain a record of funding
requests received from private nonprofit organizations and shall advise
FTA on the manner in which it selects applicants for funding. The record
should indicate whether the applicant is a minority organization or an
organization providing assistance to minority communities and whether
the application was approved.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Record of Funding
Requests. NYSDOT does maintain a record of organizations that request
funding from the Elderly and Persons with Disabilities Program. The
record indicates the designation of an applicant as a minority
organization or an organization providing assistance to minority
communities, the results of the application review, and the basis for
rejection, if applicable.

3\. Criteria Used to Select Providers

**Requirement:** State agencies must provide a description of its
criteria for selecting private nonprofit organizations to receive
financial assistance, especially its efforts to include subrecipients
serving significant minority populations.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Criteria Used to
Select Providers. NYSDOT demonstrated that it has specific criteria in
place to evaluate and recommend applications for funding under the
Section 5310 Program. The criteria utilized in the selection process are
indicated in the State Management Plan and the Application Manual and
appear to be consistently applied to all applicants. These include the
following: coordination with other transportation service providers;
privatization; past performance, if an existing grantee; mobility
limitations of clients and their inability to use existing services;
number of persons traveling daily; number of hours vehicle utilized and
number of riders per trip; administrative and financial ability of
applicant; written findings of local and regional reviews; and meeting
the requirements of the Americans with Disabilities Act. Lastly, special
preference is given to minority organizations by moving those who meet a
minimum eligibility threshold to the top of the list of projects for
funding. This is a written policy that has been in effect during the
past three years of the program.

4.  Efforts to Identify and Assist Minority Applicants Apply for Funding

**Requirement:** State agencies must provide a description of its
efforts to identify and assist nonprofit organizations operated by
minorities or groups serving predominately minority communities in
applying for Section 5310 funds.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Efforts to Identify
and Assist Minority Applicants Apply for Funding. NYSDOT provided
sufficient evidence that it announces the availability of program funds
to Native American tribes identified in the State of New York and
various community based organizations that include minority
organizations or groups that appear to serve predominantly minority
communities. NYSDOT also meets with organizations dealing with state
agencies to inform them of the program, funding criteria and other
useful information for prospective applicants. Additionally, the
application manual provides prospective applicants appropriate contact
information and notice that various workshops will be conducted
throughout the State to assist them in preparing the application for
submittal.

Applicants are requested to identify minority consumers needing
transportation services. This information is utilized by NYSDOT to
identify an organization as minority**-**based. Those who provide
service to 50% or more minorities are designated as minority**-**based
organizations and, as mentioned above, are given special preference in
the selection process.

While the review team concluded that sufficient efforts were
demonstrated to comply with this requirement, it is recommended that
NYSDOT provide notice of the workshops prior to, rather than after, the
applicant has expressed an interest in the program. Advance notice of
technical assistance could further encourage and possibly increase the
number of potential applicants for the program, including organizations
that represent the interests of minorities.

**5. [Internal Monitoring Procedures]{.underline}**

**Requirement:** State agencies must develop and implement procedures to
ensure that participating nonprofit organizations satisfy the applicable
Title VI general data collection and reporting requirements.

**Finding:** During this Title VI Compliance Review of NYSDOT,
deficiencies were found with FTA requirements for Internal Monitoring
Procedures. NYSDOT requires its subrecipients to provide information
regarding assurances, complaints, and civil rights reviews at the time
of the application process. Updates are also required as part of a
semi-annual report. During a record review of these reports, the team
noted in several instances that subrecipients had indicated
discrimination complaints had been filed against their organization.
However, there was no evidence of any follow-up by program staff to
secure additional information or clarification. Based on the above, it
does not appear that NYSDOT has adequate procedures in place to
effectively monitor and or document its subrecipients' compliance with
Title VI requirements.

**Corrective Actions and Schedule:** Within 60 days, NYSDOT must submit
to the FTA Region II Civil Rights Officer documentation of its
monitoring procedure to ensure that participating subrecipients satisfy
the applicable Title VI general data collection and reporting
requirements. The procedure should be documented in the State Management
Plan.

#### Findings of the Program-Specific Requirements for States Administering Programs for Rural and Small Urban Areas (Section 5311)

1\. Documentation of Process for Developing Program of Projects (POP) to
Ensure Equitable Distribution of Funds

**Requirement:** 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 applicable.

**Finding:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Documentation of
Process for Developing POP to Ensure Equitable Distribution of Funds.
The process by which NYSDOT develops the annual program of projects to
FTA is fully described in their State Management Plan.

According to the plan, NYSDOT provides funding for both capital and
operating needs. With respect to capital assistance, a comprehensive
inventory of all buses and equipment used in eligible Section 5311
funded service is conducted every two years. At the same time as the
inventory, the systems are asked to complete applications for vehicles,
equipment and facility funding. Based on the inventory data and funding
requests, and available Federal and State funding from all sources, a
two**-**year capital project program is developed using the project
selection criteria described below. For operating assistance, NYSDOT
announces the annual allocations for two years of funding to all current
eligible subrecipients and establishes a timetable for application
submission every other year. Applications are reviewed and evaluated
against the project selection criteria described below.

The process appears to ensure that funds are distributed in an equitable
manner. NYSDOT periodically advises Indian reservations of the
availability of Section 5311 funding. However, no Indian reservations
have elected to participate in the program at the present time.

2\. [Criteria Used to Recommend Subrecipients for Funding]{.underline}

**Requirement:** State agencies must provide a description of its
criteria for selecting and/or recommending approval of funding requests
from rural and small transit providers, especially its efforts to
include subrecipients with significant minority populations.

**Findings:** During this Title VI Compliance Review of NYSDOT, no
deficiencies were found with FTA requirements for Criteria Used to
Select Providers. NYSDOT demonstrated that it has specific criteria in
place to evaluate and recommend applications for funding under the
Section 5311 Program. However, NYSDOT was deficient in providing a
description of its efforts to include subrecipients with significant
minority populations in this process.

According to the State Management Plan, transit providers must qualify
for and receive funding from the Statewide Mass Transportation Operating
Assistance Program (STOA) in order to be eligible to participate in the
Section 5311 program. The criteria used reflect equity of funding per
capita statewide (population), service effectiveness (passengers per
mile), equity based on costs to provide services (number of buses) and
promoting local commitment and oversight (local government tax
resources). For capital projects, vehicle and other acquisition needs
are evaluated and prioritized based on the following project selection
criteria: service to non-urbanized areas; replacement of vehicles or
equipment needed for existing service; provision of service where
applicant has maximized opportunities for human service agency clients
to use public transit; existence of no other sources of funds reasonably
available to the system; demonstration of need for expanded service; and
enhancement of service in ways that improve quality and increased
ridership.

Subsequent to the draft report, NYSDOT submitted a revised Section 5311
Program State Management Plan which incorporates the draft Civil Rights
Section as well as additional language concerning the Title VI complaint
procedure.

**Corrective Actions and Schedule:** Within 60 days, NYSDOT must submit
to the FTA Region II Civil Rights Officer documentation of its procedure
to include subrecipients with significant minority populations in the
selection of transit providers for participation in the Section 5311
Program. The procedure should also be documented in the State Management
Plan.

3\. [Efforts to Assist Subrecipients Apply for Funding]{.underline}

**Requirement:** State agencies must provide a description of its
efforts to assist subrecipients in applying for Section 5311 funds,
especially any efforts made to assist minority applicants.

**Finding:** During this Title VI Compliance Review of NYSDOT,
deficiencies were found with FTA requirements to submit a Description of
Efforts (i.e., a substantial expenditure of time or specific actions) to
Assist Subrecipients in Applying for Section 5311 Funding, especially
any efforts made to assist minority applicants. NYSDOT's State
Management Plan does not describe such efforts. Merely providing written
instructions and personal assistance in completing applications whenever
requested does not appear to sufficiently address this requirement.

While NYSDOT indicates that eligible applicants for funding do not vary
considerably from year to year, there was no evidence provided to
substantiate specific actions utilized on a consistent basis to inform
all potential entities of the availability of program funds, assistance
with the overall application process, STOA information and eligibility
requirements. The only evidence of outreach to minority applicants on
the part of NYSDOT appears to be the periodic announcement of program
funds to various Native American tribes within the State. NYSDOT
primarily relies on county and city sponsors to meet the needs of all
minority groups with transit services at the local level.

However, there was no evidence of regular oversight and monitoring of
subrecipients to ensure their efforts are fully responsive and comply
with this requirement.

**Corrective Actions and Schedule:** Within 60 days, NYSDOT must submit
to the FTA Region II Civil Rights Officer documentation of its procedure
to assist subrecipients in applying for Section 5311 funds, including
efforts to assist minority applicants. The procedure should also be
documented in the State Management Plan.

**4.** **[Internal Monitoring Procedures]{.underline}**

**Requirement:** State agencies must develop and implement procedures to
ensure that participating subrecipients satisfy the applicable Title VI
general data collection and reporting requirements.

**Finding:** During this Title VI Compliance Review of NYSDOT,
deficiencies were found with FTA requirements for Internal Monitoring
Procedures. NYSDOT requires its subrecipients to provide information
regarding assurances, complaints, and civil rights reviews at the time
of the application process. Site visits are also conducted on a periodic
basis to assess subrecipients' compliance with all Federal and State
requirements including its Title VI obligations. However, a sample of a
report confirming one such site visit provided by NYSDOT during the
review did not demonstrate that the general reporting requirements of
the subrecipient had been adequately addressed. Based on the above, it
does not appear that NYSDOT has adequate procedures in place to
effectively monitor and or document its subrecipients' compliance with
Title VI requirements.

Subsequent to the compliance review, NYSDOT submitted revised procedures
that more effectively document subrecipients' compliance with Title VI
requirements. No further corrective action is needed in response to the
finding.

VII. SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS

**General Reporting Requirements for States Administering Section 5310
Programs and Section 5311 Programs**

  -------------------------------------------------------------------------------------------
  **Title VI       **Site      **Description of **Corrective         **Response    **Date
  Requirements For Review      Deficiencies**   Action(s)**          Days/Date**   Closed**
  Transit          Finding**                                                       
  Providers**                                                                      
  ---------------- ----------- ---------------- -------------------- ------------- ----------
  1\. List of      C                                                               
  Active                                                                           
  Complaints and                                                                   
  Lawsuits                                                                         

  2\. List of      C                                                               
  Pending Grant                                                                    
  Applications                                                                     

  3\. Summary of   C                                                               
  Compliance                                                                       
  Reviews                                                                          

  4\. Signed Civil C                                                               
  Rights Assurance                                                                 

  5\. Signed DOT   C                                                               
  Title VI                                                                         
  Assurance                                                                        

  6\.              C                                                               
  Fixed-Facility                                                                   
  Impact Analysis                                                                  

  7\. Title VI     D           No notice of     Provide              60 days       
  Complaints                   complaint        documentation                      
                               procedure to the complaint procedure                
                               public. No       has been made                      
                               requirement for  available to the                   
                               subrecipients to public. Provide                    
                               have complaint   documentation                      
                               process          requiring                          
                                                subrecipients to                   
                                                develop and                        
                                                implement a process                
                                                for receiving and                  
                                                resolving Title VI                 
                                                complaints.                        
  -------------------------------------------------------------------------------------------

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

**Program Specific Requirements for States Administering Section 5310
Programs**

+--------------+------+--------------+---------------+--------+------+
| **Re         | **   | *            | **Corrective  | **Re   | **   |
| quirements** | Site | *Description | Action(s)**   | sponse | Date |
|              | Re   | of           |               | Days/  | Clos |
|              | view | De           |               | Date** | ed** |
|              | F    | ficiencies** |               |        |      |
|              | indi |              |               |        |      |
|              | ng** |              |               |        |      |
+==============+======+==============+===============+========+======+
| 1\.          | C    |              |               |        |      |
| D            |      |              |               |        |      |
| ocumentation |      |              |               |        |      |
| of process   |      |              |               |        |      |
| for          |      |              |               |        |      |
| developing   |      |              |               |        |      |
| POP          |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 2\. Record   | C    |              |               |        |      |
| of approved  |      |              |               |        |      |
| and rejected |      |              |               |        |      |
| funding      |      |              |               |        |      |
| requests     |      |              |               |        |      |
| that         |      |              |               |        |      |
| identifies   |      |              |               |        |      |
| minority     |      |              |               |        |      |
| applicants   |      |              |               |        |      |
| or           |      |              |               |        |      |
| communities  |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 3\. Criteria | C    |              |               |        |      |
| used to      |      |              |               |        |      |
| select       |      |              |               |        |      |
| providers,   |      |              |               |        |      |
| including    |      |              |               |        |      |
| efforts to   |      |              |               |        |      |
| serve        |      |              |               |        |      |
| minority     |      |              |               |        |      |
| populations  |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 4\. Efforts  | C    |              |               |        |      |
| to identify  |      |              |               |        |      |
| and assist   |      |              |               |        |      |
| minority     |      |              |               |        |      |
| applicants   |      |              |               |        |      |
| apply for    |      |              |               |        |      |
| funding      |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 5\.          | D    | > Inadequate | Provide       | 60     |      |
| Monitoring   |      | > monitoring | documentation | Days   |      |
| Procedures   |      | > procedure  | of revised    |        |      |
|              |      |              | monitoring    |        |      |
|              |      |              | procedures to |        |      |
|              |      |              | ensure        |        |      |
|              |      |              | subrecipients |        |      |
|              |      |              | comply with   |        |      |
|              |      |              | Title VI      |        |      |
|              |      |              | General       |        |      |
|              |      |              | Reporting     |        |      |
|              |      |              | Requirements. |        |      |
+--------------+------+--------------+---------------+--------+------+

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

**Program Specific Requirements for States Administering Section 5311
Programs**

+--------------+------+--------------+---------------+--------+------+
| **Re         | **   | *            | **Corrective  | **Re   | **   |
| quirements** | Site | *Description | Action(s)**   | sponse | Date |
|              | Re   | of           |               | Days/  | Clos |
|              | view | De           |               | Date** | ed** |
|              | F    | ficiencies** |               |        |      |
|              | indi |              |               |        |      |
|              | ng** |              |               |        |      |
+==============+======+==============+===============+========+======+
| 1\.          | C    |              |               |        |      |
| D            |      |              |               |        |      |
| ocumentation |      |              |               |        |      |
| of process   |      |              |               |        |      |
| for          |      |              |               |        |      |
| developing   |      |              |               |        |      |
| POP          |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 2\. Criteria | D    | No efforts   | Provide       | 60     |      |
| used to      |      | to include   | documentation | days   |      |
| select       |      | s            | of procedure  |        |      |
| providers,   |      | ubrecipients | to include    |        |      |
| especially   |      | with         | subrecipients |        |      |
| efforts to   |      | significant  | with          |        |      |
| include      |      | minority     | significant   |        |      |
| s            |      |              | minority      |        |      |
| ubrecipients |      | Populations  | populations   |        |      |
| with         |      |              | in the        |        |      |
| significant  |      |              | selection of  |        |      |
| minority     |      |              | providers     |        |      |
| populations  |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 3\. Efforts  | D    | > No efforts | Provide       | 60     |      |
| to assist    |      | > to assist  | documentation | days   |      |
| su           |      | > s          | of procedure  |        |      |
| brecipients, |      | ubrecipients | for assisting |        |      |
| especially   |      | > or         | subrecipients |        |      |
| efforts to   |      | > minority   | including     |        |      |
| assist       |      | > applicants | minority      |        |      |
| minority     |      | > apply for  | applicants    |        |      |
| applicants   |      | > funding.   | apply for     |        |      |
| apply for    |      |              | funding.      |        |      |
| funding      |      |              |               |        |      |
+--------------+------+--------------+---------------+--------+------+
| 4\.          | D    | > Inadequate | NYSDOT        | NA     | 8/04 |
| Monitoring   |      | > monitoring | provided      |        |      |
| Procedures   |      | > procedure  | documentation |        |      |
|              |      |              | of revised    |        |      |
|              |      |              | monitoring    |        |      |
|              |      |              | procedure to  |        |      |
|              |      |              | ensure        |        |      |
|              |      |              | subrecipients |        |      |
|              |      |              | comply with   |        |      |
|              |      |              | Title VI      |        |      |
|              |      |              | General       |        |      |
|              |      |              | Reporting     |        |      |
|              |      |              | Requirements. |        |      |
+--------------+------+--------------+---------------+--------+------+

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

VIII. ATTENDEES

  ----------------- ---------------------------- ------------- ------------------------------
  **NAME**          **ORGANIZATION/TITLE**       **PHONE**     **E-MAIL**

  Steven F. Lewis   NYSDOT/Director, Passenger   \(518\) 457   <slewis@dot.state.ny.us>
                    Transportation Division      -- 7664       

  Mike Baker        NYSDOT/Section 5310 Program  \(518\) 457   <mbaker@dot.state.ny.us>
                    Manager                      -- 8335       

  Stephanie Mielnik NYSDOT/Section 5311 Program  \(518\) 457-  <smielnik@dot.state.ny.us>
                    Manager                      8335          

  William Ross      NYSDOT/OEODC/Title VI        \(518\) 457   <wross@dot.state.ny.us>
                    Compliance Specialist II     -- 0948       

  Emery Moore       NYSDOT/OEODC/Compliance      \(518\) 485   <ewmoore@dot.state.ny.us>
                    Specialist I                 -- 1528       

  Janice A. Simpson NYSDOT/Assistant/Acting Sect \(518\) 457   <jsimpson@dot.state.ny.us>
                    HD Spec Trans                -- 7664       

  Marjan Schiereck  NYSDOT/Internal Auditor      \(518\) 457   <mschiereck@dot.state.ny.us>
                                                 -- 4680       

  Linda Zinzow      NYSDOT/ Acting Director      \(518\) 457   <lzinzow@dot.state.ny.us>
                    Contract Audit               -- 4700       

  Bob Fetterly      Amsterdam Community Transit/ \(518\) 843   <bfetterly@hotmail.com>
                    Director                     2831          

  Chris Larman      Liberty                      \(518\) 842   
                    Enterprises/Transportation   5080          
                    Coordinator                                

  Ramon Rodriquez   Resource Center fir          \(518\) 842   
                    Independent Living/Director  -- 3561       

  Laura Murphy      St. Regis Mohawk Tribe/      \(518\)       
                    Family Support Program       358-9481      
                    Manager                                    

  Jennifer Cancel   Hispanos Unidos de Buffalo,  \(716\)       
                    Inc./Assistant Director      856-7110      

  Minjung Park      Services for the             \(212\) 633   
                    Undeserved/Grants Manager    -6900         

  Edward Fancher    Orleans Community Action     \(585\) 589 - 
                    Committee, Inc/Supervisor    7700          
                    Transportation                             

  Kathy Webster     Watertown Citi Bus /Transit  \(315\) 785   
                    Supervisor                   -- 7772       

  Dwight Mengel     Tompkins County Area         \(607\) 277-- 
                    Transit/ Service Development 9388          
                    Manager                                    

  Cynthia Ruiz      Ulster County Area Transit/  \(845\)       
                    Administrator                340-3335      

  Michael Berg      Family of Woodstock          \(845\)       
                    Inc/Executive Director       331-7080      

  Diane Dellinger   Rural Opportunities,         ((585) 589    
                    Inc./Placement and Career    7027          
                    Services Developer                         

  Sandra Swiacki    Milligan & Company/ Lead     \(215\) 735   <Sswiacki48@aol.com>
                    Reviewer                     -- 4557       

  Jim Buckley       Milligan & Company/ Reviewer \(410\) 732 - <jbuckley@milligancpa.com>
                                                 4626          

  Joseph Herzog     Milligan & Company/Reviewer  \(215\) 496 - <jherzog@milligancpa.com>
                                                 9100          
  ----------------- ---------------------------- ------------- ------------------------------