CIRCULAR U.S. Department of Transportation FTA C 4702.1B Federal Transit Administration October 1, 2012 Subject: TITLE VI REQUIREMENTS AND GUIDELINES FOR FEDERAL TRANSIT ADMINISTRATION RECIPIENTS 1. PURPOSE. The purpose of this Circular is to provide recipients of Federal Transit Administration (FTA) financial assistance with guidance and instructions necessary to carry out U.S. Department of Transportation (“DOT” or “the Department”) Title VI regulations (49 CFR part 21) and to integrate into their programs and activities considerations expressed in the Department’s Policy Guidance Concerning Recipients’ Responsibilities to Limited English Proficient (“LEP”) Persons (70 FR 74087, December 14, 2005). 2. CANCELLATION. This Circular supersedes FTA Circular 4702.1A “Title VI and Title VI- Dependent Guidelines for Federal Transit Administration Recipients,” dated May 13, 2007. 3. AUTHORITY. a. Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d et seq. b. Federal Transit Laws, Title 49, United States Code, Chapter 53. c. 49 CFR § 1.51. d. 49 CFR part 21. e. 28 CFR § 42.401 et seq. 4. WAIVER. FTA reserves the right to waive any requirements of this Circular to the extent permitted by law. 5. FEDERAL REGISTER NOTICE. In conjunction with publication of this Circular, FTA published a notice in the Federal Register on August 28, 2012, addressing comments received during development of the Circular. 6. AMENDMENTS TO THE CIRCULAR. FTA reserves the right to update this Circular to reflect changes in other revised or new guidance and regulations that undergo notice and comment, without further notice and comment on this Circular. FTA will post updates on our Page 2 FTA C 4702.1B website at www.fta.dot.gov. The website allows the public to register for notification when FTA issues Federal Register notices or new guidance. Please visit the website and click on “Sign Up For Email Updates” for more information. 7. ACCESSIBLE FORMATS. This document is available in accessible formats upon request. To obtain paper copies of this Circular as well as information regarding these accessible formats, call FTA’s Administrative Services Help Desk, at 202-366-4865. Individuals with hearing impairments may contact the Federal Relay Service at 1-800-877-8339 for assistance with the call. _/s/______________ Peter Rogoff Administrator FTA C 4702.1B Page i TITLE VI GUIDELINES FOR FTA RECIPIENTS TABLE OF CONTENTS CHAPTER PAGE I INTRODUCTION AND BACKGROUND ................................................................ Chap. 1−1 1. The Federal Transit Administration (FTA). ...................................................... Chap. 1−1 2. Authorizing Legislation. .................................................................................... Chap. 1−1 3. How to Contact FTA ......................................................................................... Chap. 1−1 4. Grants.gov ......................................................................................................... Chap. 1−1 5. Definitions ......................................................................................................... Chap. 1−2 6. Environmental Justice ....................................................................................... Chap. 1−6 II PROGRAM OVERVIEW .......................................................................................... Chap. 2−1 1. Program Objectives ........................................................................................... Chap. 2−1 2. Statutory Authority ............................................................................................ Chap. 2−1 3. Regulatory Authority ......................................................................................... Chap. 2−1 4. Additional Documents ....................................................................................... Chap. 2−2 5. Reporting Requirements .................................................................................... Chap. 2−2 6. Applicability to Contractors .............................................................................. Chap. 2−3 III GENERAL REQUIREMENTS AND GUIDELINES................................................ Chap. 3−1 1. Introduction ....................................................................................................... Chap. 3−1 2. Requirement to Provide Title VI Assurances.................................................... Chap. 3−1 3. Requirements for First-Time Applicants ........................................................... Chap. 3−1 4. Requirement to Prepare and Submit a Title VI Program .................................. Chap. 3−1 5. Requirement to Notify Beneficiaries of Protection Under Title VI .................. Chap. 3−4 6. Requirement to Develop Title VI Complaint Procedures and Complaint Form .................................................................................................................. Chap. 3−5 7. Requirement to Record and Report Transit-Related Title VI Investigations, Complaints, and Lawsuits ................................................................................. Chap. 3−5 8. Promoting Inclusive Public Participation .......................................................... Chap. 3−5 9. Requirement to Provide Meaningful Access to LEP Persons ........................... Chap. 3−6 10. Minority Representation on Planning and Advisory Bodies ............................. Chap. 3−9 11. Providing Assistance to Subrecipients ............................................................ Chap. 3−10 12. Monitoring Subrecipients ................................................................................ Chap. 3−10 13. Determination of Site or Location of Facilities ............................................... Chap. 3−11 14. Requirement to Provide Additional Information Upon Request ..................... Chap. 3−12 IV REQUIREMENTS AND GUIDELINES FOR FIXED ROUTE TRANSIT PROVIDERS .............................................................................................................. Chap. 4−1 1. Introduction ....................................................................................................... Chap. 4−1 2. Implementation………………………………………………………………..Chap. 4−2 3. Requirement to Prepare and Submit a Title VI Program .................................. Chap. 4−3 4. Requirement to Set System-Wide Service Standards and Policies ................... Chap. 4−4 Page ii FTA C 4702.1B 5. Requirement to Collect and Report Demographic Data .................................... Chap. 4−7 6. Requirement to Monitor Transit Service ........................................................... Chap. 4−9 7. Requirement to Evaluate Service and Fare Changes ...................................... Chap. 4−10 V REQUIREMENTS FOR STATES ............................................................................. Chap. 5−1 1. Introduction ....................................................................................................... Chap. 5−1 2. Requirement to Prepare and Submit a Title VI Program .................................. Chap. 5−1 3. Planning ............................................................................................................. Chap. 5−2 4. Requirements for Program Administration ....................................................... Chap. 5−3 VI REQUIREMENTS FOR METROPOLITAN TRANSPORTATION PLANNING ORGANIZATIONS .................................................................................................... Chap. 6−1 1. Introduction ....................................................................................................... Chap. 6−1 2. Requirement to Prepare and Ssubmit a Title VI Program ................................. Chap. 6−1 3. Planning ............................................................................................................. Chap. 6−2 4. Designated Recipient ......................................................................................... Chap. 6−3 5. Direct Recipient ................................................................................................. Chap. 6−3 6. Requirements for Program Administration ....................................................... Chap. 6−3 VII EFFECTING COMPLIANCE WITH DOT TITLE VI REGULATIONS ................ Chap. 7−1 1. Introduction ....................................................................................................... Chap. 7−1 2. Procedures for Securing Voluntary Compliance ............................................... Chap. 7−1 3. Proceedings ....................................................................................................... Chap. 7−2 4. Judicial Review ................................................................................................. Chap. 7−4 VIII COMPLIANCE REVIEWS ..................................................................................... Chap. 8−1 1. Introduction ....................................................................................................... Chap. 8−1 2. Compliance Procedures ..................................................................................... Chap. 8−1 3. Criteria ............................................................................................................... Chap. 8−1 4. Scope ................................................................................................................. Chap. 8−1 5. Determinations .................................................................................................