I. GENERAL INFORMATION 1 II. JURISDICTION AND AUTHORITIES 2 III. PURPOSE AND OBJECTIVES 3 IV. BACKGROUND INFORMATION 5 V. SCOPE AND METHODOLOGY 11 VI. FINDINGS AND RECOMMENDATIONS 18 1. Inclusive Public Participation 19 2. Language Access to LEP Persons 20 3. Title VI Complaint Procedures 21 4. Record of Title VI Investigations, Complaints, and Lawsuits 21 5. Notice to Beneficiaries of Protection Under Title VI 22 6. Annual Title VI Certification and Assurance 23 7. Environmental Justice Analysis of Construction Projects 24 8. Submit Title VI Program 25 9. Statewide Planning Activities 27 10. Program Administration 29 11. Providing Assistance to Subrecipients 33 12. Monitoring Subrecipients 34 VII. SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS 36 VIII. ATTENDEES 39
Findings: During this Title VI Compliance Review of SDDOT, deficiencies were found regarding SDDOT’s compliance with FTA requirements to Submit Title VI Program. SDDOT submitted its most recent Title VI Program to the FTA on February 23, 2010 and received approval as of July 15, 2010. The Submittal, however, did not contain all the required elements in accordance with the current guidance, FTA Circular 4702.1A. The following table summarizes SDDOT’s 2010 Title VI Program with respect to the Circular: ELEMENTS REQUIRED FOR VI PROGRAM GENERAL REQUIREMENTS And GUIDELINES (Per FTA C. 4702.1A, IV, 7. a. (1) – (5)) In SDDOT Title VI Program Submittal? A summary of public outreach and involvement activities undertaken the last submission and a description of steps taken to ensure that minority and low-income people had meaningful access to these activities. Yes A copy of the agency’s plan for providing language assistance for persons with limited English proficiency that was based on the DOT LEP Guidance or a copy of the agency’s alternative framework for providing language assistance. Yes A copy of the agency procedures for tracking and investigating Title VI complaints. Yes A list of any Title VI investigations, complaints, or lawsuits filed with the agency since the time of the last submission. This list should include only those investigations, complaints, or lawsuits that pertain to the agency submitting the report, not necessarily the larger agency or department of which the entity is a part. Yes A copy of the agency’s notice to the public that it complies with Title VI and instructions to the public on how to file a discrimination complaint. Yes pROGRAM SPECIFIC REQUIREMENTS AND GUIDELINES for dots (Per FTA C. 4702.1A, VI, 5. a. (1) – (4)) A copy of the procedures used for certifying that the statewide planning process complies with Title VI. No A description of the procedures the agency uses to pass-through FTA financial assistance in a non-discriminatory manner. No A description of the procedures the agency uses to provide assistance to potential subrecipients applying for funding in a non-discriminatory manner. No A description of how the agency monitors its subrecipients for compliance with Title VI and a summary of the results of this monitoring. No
equitable distribution of funds to subrecipients that serve predominantly minority and low-income populations, as described in the Circular. SDDOT did not develop a Record of Requests as described in the Circular. SDDOT indicated that it did provide assistance to potential subrecipients but did not document any efforts to assist applicants that would serve predominantly minority and low-income populations. In its January 4, 2012 letter to FTA, SDDOT submitted as an attachment its procedures implemented to ensure that adequate considers is given minority and low-income populations in its competitive selection process and documented according to FTA Circular 4702.1A. SDDOT also provided the following documents: Section 5311 and Title III-B Application and Guide SDDOT – Office of Air, Rail and Transit, Section 5311, Record of Requests – FY 2013 Office of Public Transit, / Public Transit / Forms and Publications (website) Dakota Management Plan For the Section 5310, 5316 and 5317 Programs South Dakota Management Plan For the Section 5311 Program The document entitled, Section 5311 and Title III-B Application and Guide, was SDDOT’s application and guide for requesting public transportation assistance funding. The document included the following excerpts: 1. Project Description This section must include a description of the proposed project, including a summary of any proposed or implemented improvements within the current
Language Access to LEP Persons D Lacking assessment or provisions for LEP persons must submit to the Equal Opportunity Specialist in the FTA Headquarters an Implementation Plan to require its subrecipients to complete the four factor analyses and LAPs, if appropriate, for its subrecipients that have not completed the analyses. 120 Days Closed 10/14/2011 Title VI Complaint Procedures ND Record of Title VI Investigations, Complaints, and Lawsuits ND Notice to Beneficiaries of Protection Under Title VI ND Annual Title VI Certification and Assurance ND Environmental Justice Analysis of Construction Projects ND Submit Title VI Program D Most recent Title VI Submittal did not contain required elements must submit to the Equal Opportunity Specialist in the FTA Headquarters an annotated Table of Contents for the next FTA Title VI Program Submittal that contains all the required elements. 120 Days Closed 9/17/2011