New York State Department of Transportation
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NEW YORK STATE
DEPARTMENT OF TRANSPORTATION
TITLE VI ACCOMPLISHMENTS REPORT &PLAN for FFY 2014-2015
Submitted October 2015
Office of Civil Rights
Sondra little
Director
Contents
INTRODUCTION 3
NYSDOT NONDISCRIMINATION POLICY STATEMENT 5
TITLE VI ASSURANCE 5
ORGANIZATION AND STAFFING – OFFICE OF CIVIL RIGHTS 5
INVESTIGATION OF COMPLAINTS 7
PROCESS TO INDENTIFY AND ELIMINATE DISCRIMINATION 8
COMMUNITY OUTREACH AND PUBLIC EDUCATION 16
NYSDOT PROCEDURES, MANUALS AND DIRECTIVES 17
AMERICANS WITH DISABILITIES ACT 18
LIMITED ENGLISH PROFICIENCY (LEP) 19
TITLE VI ANNUAL ACCOMPLISHMENTS – SUMMARY 20
ANNUAL WORK PLAN FOR FFY 2015-2016 25
PROGRAM AREA AND REGIONAL TITLE VI GOALS FOR 2015-2016 26
LIST OF ATTACHMENTS 30
Title VI ACCOMPLISHMENTS - Main Office Program Areas and Regions 70
INTRODUCTION
In compliance with Title 23, Code of Federal Regulations (CFR), Part 200 — Title VI Program and Related Statutes — Implementation and Review Procedures, the New York State Department of Transportation (NYSDOT) has prepared this annual Title VI Plan (the Plan) for Federal Fiscal Year (FFY) October 2014 through September 2015. In addition to highlighting several of NYSDOT’s Title VI-related accomplishments, the Plan specifies NYSDOT's implementation and enforcement procedures, strategies, and activities to facilitate and ensure nondiscrimination.
The foundation of the NYSDOT’s Title VI Program is that no person on the grounds of race, color, national origin, age, sex, disability, low income or Limited English Proficiency (LEP);[1] will be discriminated against under any program administered by NYSDOT. These nondiscrimination protections stem from Title VI of the Civil Rights Act of 1964 (as amended) and related statutes, regulations and executive orders.
As a recipient of Federal financial assistance, NYSDOT must not restrict any individual from receiving any service, financial aid or other benefit under its programs, policies, procedures or projects.
The primary objectives of NYSDOT’s Title VI Program are to:
➢ Assign roles, responsibilities and procedures for ensuring compliance with Title VI of the Civil Rights Act of 1964 and related regulations and directives;
➢ Ensure individuals and communities affected by NYSDOT programs and activities receive the services, benefits and opportunities to which they are eligible without regard to race, color, national origin, age, sex, disability, low income or LEP[2]
➢ Prevent discrimination in NYSDOT programs and activities, whether or not those specific programs and activities within NYSDOT are federally funded;
➢ Establish procedures to annually review Title VI compliance within specific program areas within NYSDOT and federal funding sub recipients;
➢ Establish procedures for identifying affects in any program, service or activity that may create an illegal adverse impact on persons because of their race, color, national origin, sex, age, disability, low income or LEP status;
➢ Establish procedures for filing and processing complaints by persons who believe they have been unlawfully discriminated against under Title VI in any NYSDOT service, program or activity.
NYSDOT MISSION AND OVERVIEW
It is the mission of NYSDOT to ensure our customers— who live, work and travel in New York State— a safe, efficient, balanced and environmentally sound transportation system.
As the transportation agency for the State of New York, NYSDOT is responsible for building and maintaining the State’s highways and bridges. By law, NYSDOT inspects locally-owned bridges, but NYSDOT is not responsible for the construction or maintenance of roads and bridges owned by municipalities (village, town, county), the New York State Thruway, or those roads and bridges under the jurisdiction of other authorities, such as the Metropolitan Transportation Authority and the New York State Bridge Authority.
However, NYSDOT does administer a variety of state and federal aid used to support local government highway and bridge construction, transit systems, rail, airport and canal programs. For example, on average for the last five federal fiscal years, NYSDOT has received approximately $1.6 billion in funding from the FHWA, and approximately $370 million (or 23%) was provided in support of local projects, with NYC receiving about $193 million (or 52% of the local award) and $177 million (48%) going to support local projects outside of NYC.
NYSDOT's Main Office is in Albany, with eleven Regional offices located in Albany, Utica, Syracuse, Rochester, Buffalo, Hornell, Watertown, Poughkeepsie, Binghamton, Hauppauge and New York City (see map below). NYSDOT also maintains highway maintenance and equipment repair facilities across the State. Employees of NYSDOT perform such activities as highway maintenance, snow and ice removal, highway and bridge design and construction inspection. In addition, NYSDOT's staff inspects school and charter buses, regulates commercial transportation, and oversees public transportation systems and State-owned airports.
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NYSDOT REGIONS
NYSDOT NONDISCRIMINATION POLICY STATEMENT
It is the policy of NYSDOT to prevent and eliminate discrimination on the basis of race, color, national origin, age, sex, disability, low income and limited English proficiency in all of its operations and services as well as all aspects of employment.
NYSDOT Commissioner Matthew J. Driscoll is responsible for implementing Title VI requirements for the agency (23 CFR 200.9 (a)(3)). NYSDOT's Civil Rights Policy Statement is attached (Attachment 1). In addition to the Civil Rights Policy Statement, OCR has issued a Title VI Assurance Statement (Attachment 1A) to further explain how NYSDOT will comply with Federal Title VI/Nondiscrimination requirements.
The Director of NYSDOT's Office of Civil Rights (OCR) Sondra Little, in coordination with managers from NYSDOT's Divisions, Bureaus, Offices and Regions, oversees NYSDOT's Civil Rights program activities in accordance with this policy and is responsible for the development and implementation of NYSDOT's Civil Rights programs.
TITLE VI ASSURANCE
The Title VI Assurance Statement (Attachment 1A) reflects NYSDOT's continued commitment to comply with Title VI of the Civil Rights Act of 1964, as amended, and NYSDOT's long-standing policy to ensure equal opportunity and to prevent and eliminate discrimination.
The Title VI Assurance requires NYSDOT to include specific language in all of its solicitations, contracts, permits, licenses, leases, and documents transferring real property. In some cases, the language required by the Title VI Assurance supplements NYSDOT's existing equal opportunity and nondiscrimination provisions.
ORGANIZATION AND STAFFING – OFFICE OF CIVIL RIGHTS
The Director of OCR serves as NYSDOT’s Title VI Coordinator and is charged with overseeing the implementation of NYSDOT's external and internal Civil Rights program activities to ensure equal opportunity for all. The implementation of NYSDOT’s external and internal Civil Rights program includes monitoring and implementing NYSDOT's Title VI programs and activities in compliance with the following:
• Americans with Disabilities Act (ADA);
• Executive Order 13166,"Improving Access to Services for Persons with Limited English Proficiency," and
• Executive Order 12898, Environmental Justice (EJ)
The OCR Director reports directly to the NYSDOT Commissioner regarding civil rights-related matters. The OCR Director is assisted by a Title VI Program Manager who is responsible for managing OCR’s Title VI Unit which includes three compliance specialists.
As Title VI/Nondiscrimination is an enterprise-wide effort, in addition to the Title VI staff within OCR, NYSDOT administers its Title VI program responsibilities with the assistance of eleven Regional and nine Main Office Title VI Coordinators. The Title VI Coordinators help to support and promote Title VI/Nondiscrimination across and within NYSDOT. See Attachment 2 for an organization chart outlining NYSDOT’s Office of Civil Rights/Title VI functions and Attachment 3 for information on the roles and responsibilities of Title VI Coordinators.
OCR's primary Title VI role is to promote NYSDOT compliance with USDOT (mostly FHWA and FTA) Title VI policies and mandates. Specifically, OCR is charged with developing procedures and guidance documents to help NYSDOT and its sub recipients to comply with USDOT/FHWA policies and mandates. To this end, OCR provides and/or facilitates training to NYSDOT employees and sub recipients on how to comply with the Title VI requirements. This includes the identification and elimination of discriminatory activities or practices or the absence or neglect of certain activities and practices that could have a discriminatory outcome. OCR arranges training and provides technical assistance for NYSDOT employees who serve persons who benefit from NYSDOT's programs and services. OCR works with NYSDOT Main Office and Regional personnel including Title VI Coordinators, Metropolitan Planning Organizations (MPOs), and other sub recipients. Collectively, the Title VI staff plans, develops, monitors and enforces standards for compliance with Title VI requirements. These responsibilities include but are not limited to the following:
• Developing and providing training related to Title VI requirements including provisions regarding LEP, EJ and ADA;
• Providing oversight and monitoring of compliance with Title VI requirements including provisions regarding LEP, EJ and ADA;
• Conducting Title VI reviews of NYSDOT program areas, MPOs, local sponsor programs and other sub recipients;
• Receiving, investigating and responding to complaints of Title VI discrimination;
• Providing information and technical guidance to NYSDOT program areas, MPOs, local sponsor programs, and other sub recipients;
• Participating in community meeting and hearings as part of oversight of public outreach and participation;
• Working directly with Main Office Title VI Coordinators and Regional Title VI Coordinators to develop and share best practices;
• Collecting and maintaining data and conducting research for inclusion in reports;
• Attending planning meetings, reviewing proposed policies and procedures; and
• Conducting risk assessments and adverse impact analyses of specific programs, policies, procedures, and initiatives to ensure NYSDOT's compliance with Title VI requirements.
INVESTIGATION OF COMPLAINTS
NYSDOT has a standard procedure for logging, filing and investigating complaints of alleged discrimination violations of Title VI. Members of the public may file a signed, written complaint within 180 days from the date of the alleged discrimination violation. Information on filing a complaint, including the complaint form, can be accessed at the NYSDOT website:
Discrimination Complaints must be in writing, signed by the complainant or their representative, and must include the complainant’s name, address, and telephone number. When completed, the complaint is then sent to:
Office of Civil Rights
New York State Department of Transportation
50 Wolf Road, 6th Floor
Albany, New York 12232
Phone: (518) 457-1129
Fax: (518) 485-5517
E-mail: OCR-TitleVI@dot.
Once OCR receives the complaint, the complainant will be notified by OCR, in writing, within 10 business days, of its receipt. From there, OCR works with NYSDOT Office of Legal Affairs[3] and others if necessary to determine if the complaint has merit and is within NYSDOT’s jurisdiction. If the complaint meets the basic test, the complaint will be investigated. As part of the investigation, all pertinent documents will be obtained and interviews may be conducted.
OCR maintains all complaint information in a Complaints Log. The Log captures the following information: a) complainant identified by race, color, national origin, age, sex, disability, and those with Limited English Proficiency; b) complainant’s name; c) nature of the complaint; d) date complaint was filed; e) date investigation was completed; f) disposition; g) date of the disposition; and h) other pertinent information.
Allegations of discrimination received by fax or email are acknowledged and processed according to the standard NYSDOT complaint procedures. Complaints investigated by OCR and the report that is generated are forwarded to the FHWA New York Division Office within 60 days of the date of receipt of the complaint as required by 23 CFR 200.9(b)(3). In instances where FHWA is directly notified of a complaint either before or at the same time that NYSDOT is notified, NYSDOT is not required to notify FHWA. Complainants are also notified of their right to appeal to USDOT and/or FHWA if the complainant is dissatisfied with the final decision rendered by NYSDOT.
OCR Staff references USDOT and the Justice Department’s Title VI Discrimination Complaints Investigations Guidelines to assist in processing complaints.
NYSDOT’s Investigations Unit delivered investigations training to OCR Staff on April 1, 2015. The Investigations Unit operates under the direction and authority of the NYSDOT’s Office of Legal Affairs and is experienced with conducting a range of reviews.
PROCESS TO INDENTIFY AND ELIMINATE DISCRIMINATION
NYSDOT’s Title VI discrimination complaints procedure is the primary vehicle by which it pursues allegations of discrimination. NYSDOT makes concerted efforts - through training and program oversight - to eliminate discrimination when found to exist. NYSDOT investigates such allegations, and if proven to exist, takes corrective action. To this end, education and training serve as a hedge against discrimination, underscoring how employees’ personal and organizational attitudes and behaviors can result in allegations of discrimination.
OCR has developed a variety of formal policies and procedures to further describe and guide efforts to ensure nondiscrimination, including a Title VI Policy, Title VI Complaints Procedure, a Title VI Program Review Procedure and a Draft Title VI Data Policy Statement. The Title VI Data Policy Statement (Attachment 9) outlines Program area responsibilities to utilize Title VI data (race, color, national origin, ethnicity, sex, disability, income and LEP) in its project planning, design, and construction activities.
Review of Agency Documents for Nondiscrimination language
Principle responsibility for review of agency documents rests with the OCR with assistance from the Title VI Coordinators and their respective program area and regional contacts. Review of these documents (that also includes procedures, manuals and directives) is ongoing; documents are modified as necessary to reflect consistency with Title VI Law and Regulations, and that NYSDOT’s business practices are consistent with these same laws and regulations.
OCR reviewed the Procedures for Locally Administered Federal-Aid Projects Manual (PLAFAP) Chapter 13 (Civil Rights) and provided numerous edits and comments which were incorporated in the chapter. This document is finalized and available at .
OCR reviewed several documents for nondiscrimination language and for consistency with current FHWA regulations. The documents that we reviewed included the following:
• Office of Civil Rights Manual of Operations
• Title VI Policy Including Coordinator Roles and Responsibilities
• Processing External (Title VI) Complaints of Discrimination
• Title VI Review Procedures
• Chapter 13 of the PLAFAP
Of the documents OCR reviewed, Chapter 13 received the greatest attention resulting in numerous edits and a more polished Title VI-focused document.
The Title VI Review Procedure for sub recipients was overhauled and includes an orientation session at the beginning and a conference call at the end with top officials or their designees.
Along with annual program area reviews, OCR will periodically examine the above documents to ensure that Title VI language is included and updated as necessary. Subject to FHWA approval, NYSDOT proposes to review these documents at least every two years. Using the current FFY as the starting point, the next review will occur during FFY 2016-2017.
TRAINING
OCR continues its coordination, facilitation and delivery of Title VI orientation and training mostly targeted to NYSDOT Federal aid sub recipients. OCR utilizes customized PowerPoint presentations and FHWA’s Resource Room for this purpose. OCR staff and Title VI Coordinators also receive training and attend presentations, workshops, and access on-line resources to expand their knowledge and understanding of Title VI issues. See the accomplishments section of this report for more information on the training activities this past year.
TITLE VI MONITORING AND REVIEW PROCESS
Selecting Sub recipients for Title VI Program Reviews
New York State has more than 1,600 sub recipients (counties, cities, towns, villages, consultant contractors, suppliers, colleges and universities), many of which receive Federal financial assistance from NYSDOT and from other sources. Although the majority of these serve small communities or populations, NYSDOT prioritizes its monitoring efforts of these sub recipients.
To determine which sub recipients NYSDOT decides to review for Title VI compliance, OCR uses a risk-based process, relying mostly on population size of the sub recipient’s geographic area. OCR also factors in the number of projects and amount of FHWA funds received during a particular period, funding history and history of sub recipient reviews as well as prior allegations of Title VI violations or other civil rights related complaints.
OCR notifies sub recipients in writing at least 30 days in advance of the program reviews. Ample notification helps ensure the attendance of top elected/appointed officials or their designees. The Title VI Program Review notice includes questions and a request for documents.
NYSDOT continues to perform compliance reviews of Metropolitan Planning Organizations (MPOs) to coincide with the federal planning self-certification process which is conducted every four years for Transportation Management Areas (TMAs).
TMAs are defined as an urbanized area with a population of 200,000 or more. For those MPOs with an urbanized area under 200,000, the self-certification process will continue to be included during the development of the State Transportation Improvement Programs (STIPs). Where possible, NYSDOT will include and address additional FHWA, FTA and other USDOT review processes as well.
Title VI Program Reviews is a mechanism to monitor how program areas and sub recipients are complying with Title VI provisions (23 CFR 200.9 (b) (7)). To help ensure compliance, NYSDOT engages in ongoing monitoring and provides direction, training and technical assistance to internal and external stakeholders.
Title VI Program Reviews for NYSDOT sub recipients include a desk review by OCR at which point documentation is collected and reviewed. OCR staff meets with program personnel to discuss specific processes and procedures (e.g., public outreach, LEP, EJ, data collection, complaints).
The Title VI Program Review process for sub recipients focuses on documentation of the following major components of a Title VI Program:
a. Nondiscrimination Agreement
a. Has the sub recipient signed an agreement to accept Federal funds from NYSDOT?
b. Does the agreement contain nondiscrimination provisions?
c. Have they incorporated all the NYSDOT mandated Construction Contract Requirements from Chapter Twelve (12) of the Procedures for locally administered Federal Aid Projects (PLAFAP) into all of its construction contracts involving Federal Aid?
d. Have they also included the NYSDOT Appendix A-1 Supplemental Title VI Provisions as part of these construction contract requirements?
e. For consultant contracts, have they included nondiscrimination requirements requiring the compliance with all applicable Federal, State, and Local Civil Rights and Human Rights laws?
b. Title VI Coordinator
a. Have they identified an individual to serve as a Title VI Coordinator?
b. Does the Title VI Coordinator have direct and easy access to the organization’s top official?
c. Have they provided an organizational chart showing the reporting relationship between the Title VI Coordinator and the organization’s top official?
c. Complaints Procedure
a. Do they have formal, written procedures for prompt processing and disposition of external discrimination complaints or do they use the procedure of their host (in the case of MPOs)?
b. How do they notify the public of their complaint procedure?
c. Have they received any title VI related complaints in the past 3 years?
d. Do they maintain a complaints log?
d. Public Outreach (to include ADA, EJ and LEP)
a. Do they promote full and fair participation by all segments of the population, including minority or low income communities and populations who are not proficient in English?
b. Do they have a public outreach plan or can they explain their outreach process?
c. Can they demonstrate efforts undertaken to identify and address the needs of LEP and minority or low-income populations?
e. Data Collection (to include ADA, EJ and LEP)
a. Do they have procedures for the collection and analysis of statistical data of participants in and beneficiaries of the agency’s programs and activities?
b. Can they cite examples of how they have collected and used this type of information?
f. Sub recipient Monitoring Procedures
a. Assuming they have sub recipients, (e.g., contractors), how do they monitor their sub recipients for Title VI compliance?
g. Issue Resolution
a. Have they had any Title VI related issues in the last 3 years?
b. If so, what is the status?
c. Will they commit to addressing issues within 90 days?
h. Training
a. Training is a critical aspect of the NYSDOT Title VI program. Sub recipients are required to1) highlight Title VI related training they have participated in during the last year, 2) identify Title VI training needs and 3) deliver the same to their workforce.
Note: Training may include both classroom and web based training seminars and less formal information sessions focused on sharing Title VI information with staff, community groups, local project sponsors or other federally funded sub recipients.
NYSDOT Internal Program Reviews[4]
When monitoring the NYSDOT special emphasis program areas (Planning, Environment, Design, ROW, Construction, Maintenance, Safety and Research), OCR outlines the Title VI, ADA, LEP and EJ aspects of the program area to be reviewed such as public outreach and participation, data collection, environmental justice, etc.
Special emphasis program areas are required to annually complete a Title VI Questionnaire. Their responses are reviewed by Title VI staff during the desk review process prior to meeting with program area staff. Meetings with internal program areas are scheduled with senior management of the program area and Title VI staff.
OCR provides a Title VI Review Report of its findings to the program area within 30 days following the exit conference. A copy of the final Title VI Review Report is shared with the program area director, designated staff and with the OCR Director.
Further action on the part of the program area is not required if the program area has demonstrated and documented compliance. When necessary, OCR recommends actions to improve Title VI implementation, soliciting responses from executive management in the process.
If program areas cannot demonstrate compliance with Title VI, EJ, ADA and LEP requirements, they are notified in writing and required to develop a corrective action plan within 90 days. OCR monitors the corrective action plan and provides technical assistance to the program area to ensure corrective actions are in place. If it is determined that there are issues that cannot be resolved voluntarily, corrective action is taken to ensure compliance. Voluntary compliance with the requirements is the preferred option. Program monitoring is approached via several methods: self-monitoring, internal program reviews, and external monitoring.
A. Self-Monitoring
Self- monitoring requires program areas, divisions, offices and bureaus to track, observe and regulate their processes to ensure compliance with Title VI.
Documentation is a particularly important component of the self-monitoring process. It supports claims of compliance and lays the foundation for follow-up and on-site program reviews if necessary. OCR continues to advocate for the documentation of policies, decisions, procedures, analysis, actions and outcomes as part of a program area’s operations.
OCR works with internal program area Title VI Coordinators in Planning, Environment, Design, Right-of-Way, Construction, Research, Traffic Safety and Maintenance to understand and respond to staff training needs to help them self-monitor for Title VI compliance. In addition, OCR provides guidance and responds to specific inquiries regarding all facets of Title VI compliance. The mix of training and guidance combined with program area observation and tracking helps ensure compliance with Title VI.
Successful self-monitoring can be achieved by having program areas respond to the following questions supplemented by appropriate documentation:
1. What records and reports are maintained that specifically reflect compliance with Title VI?
2. What data does the internal program area maintain that reflects the extent to which members of minority groups are beneficiaries of your program?
3. Who is responsible for developing, maintaining, monitoring and reporting this data?
4. How is this data specifically used?
Other questions to help ascertain compliance may include the following:
1. How do you notify the public of your responsibility to provide services and benefits to them in a nondiscriminatory manner?
2. How is the public informed of its right to file a Title VI complaint?
3. How is Title VI complaint procedures disseminated to program personnel?
4. When awarding a contract, grant, loan or permit, what procedure is used to ensure that the applicant does not have any unresolved Title VI violations?
Expecting sub recipients to objectively self-monitor their compliance with Title VI u0nderstandably is a challenge that OCR addresses by one or more of the following measures:
1. Conducting random checks or inquiries (phone, e-mail, in person);
2. Performing unscheduled program reviews and site visits;
3. Requesting specific documentation; and
4. Periodically monitoring sub recipient web-sites.
Combined, these measures provide a hedge against noncompliance. Finally, OCR continues to research how other STAs ensure compliance of their sub recipients and apply their best practices to ours. To date, OCR examined the following STAs: Florida, Ohio, Washington State, Oregon, Michigan and Minnesota to name a few.
B. NYSDOT’s Internal Title VI Program Reviews
The OCR annually conducts Title VI reviews of select NYSDOT program areas and routinely interacts with program area personnel to ensure Title VI compliance. Findings of Program area reviews are filed with NYSDOT, Office of Civil Rights in Albany.
The OCR annually reviews its program areas and functions including administrative procedures, staffing and resources available for Title VI compliance. The Title VI Accomplishments section contains activities and practices to evaluate the NYSDOT’s Title VI program area’s compliance.
Program areas scheduled for reviews are notified in writing 30 days in advance to ensure preparation by and attendance of key personnel. The notification includes a Title VI Program Review template containing questions that program areas are required to answer in writing and return within 30 days.
The following criteria are used to select NYSDOT program areas for review:
1. Deficiencies or observations encountered by FHWA Division and
2. Title VI complaints/history of deficiencies or observations identified in the process of reviewing Title VI Annual Report submissions from program areas and regions.
Corrective Action
Effective compliance with Federal regulations requires NYSDOT to take corrective action to resolve Title VI deficiencies in all instances when deficiencies are found. NYSDOT will take steps to ensure compliance with all Title VI Program requirements. If a NYSDOT program area is found to have deficiencies, the program area, with the assistance of the Title VI Coordinator, will prepare a written corrective action plan for implementation within 90 days. The Title VI Coordinator will seek the cooperation of the program area in correcting deficiencies found during the program review. OCR will also provide technical assistance and guidance to assist the program area.
No action on the part of the program area is required on findings of compliance, unless a condition of compliance is specified. However, if the review contains deficiencies and recommended actions, the program area, with the assistance of the Title VI Coordinator, is required to develop a Corrective Action Plan (CAP) to address any findings within a period not to exceed 90 days.
NYSDOT monitors agency activities to ensure Title VI requirements are met by providing guidance and assistance to the Title VI Coordinators as well as through its monthly teleconferences. Title VI teleconference calls follow an adjusted monthly agenda that provides opportunities for the Title VI Coordinators to introduce or discuss Title VI related issues and discuss ways to monitor, address and resolve them.
Monthly Title VI teleconferences also increase awareness, understanding and sensitivity towards Title VI, ADA, EJ and LEP groups and populations. The Title VI monthly teleconferences provide opportunities for each Regional Title VI Coordinator to share best practices and to rededicate themselves to ensuring non-discriminatory practices. In addition to hosting teleconferences, the Title VI Unit maintains regular contact with Title VI Coordinators via email, telephone exchanges and other meetings, if required.
Further, OCR administers an annual Title VI survey to gather information from all Regions and designated internal program areas regarding their Title VI activities, initiatives, issues, accomplishments and potential areas of concern. The Title VI Report Questionnaire (Attachment 4) is a key monitoring tool used to develop the annual Title VI Plan/Accomplishments Report and also to track and monitor statewide Title VI efforts.
C. External Monitoring
OCR works with the program areas to ensure that the Title VI/Nondiscrimination Assurances are included in all relevant sub recipient documentation, including solicitations, contracts, and grant funding agreements. Although the NYSDOT is ultimately responsible for ensuring sub, recipients are aware of their Title VI responsibilities, NYSDOT Program areas do aid in this effort by assisting with outreach and education to their respective constituencies. For example, when new funding solicitations are announced, the Local Program Bureau may hold Federal Aid training which includes Civil Rights related requirements. This information has also been incorporated into the bid documents and contracts for federally-assisted contracts. OCR continues to work with Local Programs Bureau, the FHWA and other stakeholders to ensure sub recipient compliance with Title VI requirements (Attachment 5).
As it relates to MPOs, the NYSDOT’s Policy and Planning Division is responsible for monitoring MPO sub recipients through MPO self-certification with federal planning requirements and reviewing MPO reports and annual work programs. All 13 of the MPOs in New York State have approved Title VI Assurances, Title VI complaint processes and Public Participation Plans.
The MPOs must certify compliance with all federal planning requirements, including Title VI provisions related to EJ, LEP and ADA. The MPOs must report on these areas as part of the self certification process; in addition, the MPO Section works with OCR to gather and review Title VI information, including its most recent MPO Triennial Title VI Review Report.
The notification letter (Attachment 7) is accompanied by a Title VI Sub recipient Program Review Questionnaire (Attachment 6) that sub recipients are required to answer and return 30 days after receipt.
OCR completes a program report for each sub recipient that is reviewed. OCR will retain reports for at least 3 years. A copy is sent to FHWA’s New York Division to monitor the process and review individual reports.
NYSDOT will seek the cooperation of the sub recipient in correcting deficiencies found during the Title VI Program Review. NYSDOT will also provide the technical assistance and guidance needed to aid the sub recipient to comply voluntarily.
If a sub recipient fails or refuses to voluntarily comply with requirements within the time frame allotted, NYSDOT will submit to the FHWA – New York Division - copies of the case file and a recommendation that the sub recipient be found in non-compliance. Appropriate sanctions may apply, if after follow-up actions, the sub recipient refuses to correct deficiencies.
Follow-up Monitoring
The NYSDOT’s Policy and Planning Division is responsible for monitoring the MPO sub recipients through MPO self-certification with federal planning requirements and reviewing MPO reports and annual work programs. All MPOs in New York State have Title VI Assurances, a Title VI complaint process, a Title VI Coordinator and Public Participation Plans. All MPOs are required to implement, monitor and comply with federal planning requirements, including Title VI provisions related to EJ, LEP and ADA. The MPOs are required to comply with and must report on EJ, LEP and ADA areas as part of the self-certification process. The MPO program area assists and works with OCR to collect, monitor and review Title VI information, including the most recent MPO Triennial Title VI Review Reports.
Pre-/Post-Award Reviews
In accordance with the Title VI requirements, state transportation agencies are required to have procedures in place to ensure nondiscrimination during both “pre-award” and “post-award” activities. To comply with this requirement, as part of the compliance review process outlined above, NYSDOT examines the processes and procedures for the program areas involved in “pre-award” or pre-construction activities (e.g., Planning, Environment, Design, etc.) and those involved in “post-award” or post-construction activities (e.g., Construction, Maintenance, etc.). Given that it is impossible to examine every possible project or activity, NYSDOT again utilizes a risk-based or priority approach to determine what specific procedures/actions are analyzed in depth and may examine a sampling of projects or actions to ensure decisions are made in a non-discriminatory fashion.
DATA COLLECTION AND REPORTING REQUIREMENTS
State transportation agencies are also required to have procedures in place to collect and analyze statistical data (e.g., race, color, national origin, age, sex, disability, etc.). Data can help inform decision making and avoid inadvertent discriminatory practices. Most program areas are responsible for collecting and analyzing data in some capacity, and they share information on their data collection efforts as part of the annual Title VI reporting process. Data collection/utilization practices may also be examined during program area reviews. Examining data collection and utilization information allows OCR to better understand how the programs are using data and what strategies could be employed to better leverage data tools and resources.
NYSDOT uses Title VI data to develop a variety of maps and tools to visualize and understand community demographics and potential adverse effects to the community (see Attachment 8 for some examples of maps created based on Title VI data).
COMMUNITY OUTREACH AND PUBLIC EDUCATION
NYSDOT conducts public outreach activities to ensure public involvement in its short-term capital program and long-range capital planning efforts. The Statewide Planning Bureau developed the Public Involvement for Transportation Manual which includes provisions to conduct outreach to EJ, ADA and LEP populations. In addition, the Office of Design maintains the Public Involvement Manual, which is Appendix 2 of the Project Development and governs project level pubic outreach. For example, nontraditional media may be utilized when promoting a study or plan, including community papers that are distributed free as well as newsletters within community groups.
NYSDOT also conducts public participation at the project level. The level of public participation is driven by the scope of the project. For a simple resurfacing project, public notification and participation might be limited to a letter to the town supervisor or local mayor notifying them of the scope and schedule of the project and offering to provide further information. For a project of greater scope and magnitude, NYSDOT would apply a more formal public involvement process with a number of public meetings and, for example, creation of a project advisory committee composed of local officials and citizens. Such key stakeholder groups can provide early input to project planning and design and minimize or eliminate costly errors. This level of involvement also increases confidence in the project from public perspective.
Public information meeting notifications are transmitted by mail to people and businesses living and located within the project area; notifications to local newspapers are usually conveyed via press releases. A project mailing list is created and kept current to ensure those who want to be involved are kept involved. The process begins in the Initial Project Proposal (IPP) phase and continues into Construction. Larger projects usually have their own websites where project information is posted, and NYSDOT is now using social media (Face book and Twitter) to share information with the public.
NYSDOT also works with community boards to identify key community-based organizations (CBOs) within a project study area. The CBOs may identify other groups to help communicate to all residents who might be affected by a NYSDOT project. The community boards and CBOs also help to generate mailing lists for affected residents within a project study area. When necessary, main office and regional NYSDOT personnel contact CBOs directly to facilitate compliance with federal, state and local laws including Title VI requirements.
NYSDOT PROCEDURES, MANUALS AND DIRECTIVES
NYSDOT maintains numerous procedures, manuals and directives that are applicable to the Federal-aid Highway Program. OCR independently and - through NYSDOT Program areas (e.g., Right-of-Way, Planning and Design) – periodically reviews these documents, including updates, to ensure Title VI/Nondiscrimination provisions are included.
Examples of some of the more relevant documents are listed below. They also can be found on the Publications and Guidance portion of the NYSDOT website:
• Public Involvement for Transportation Planning
• Procedures for Locally Administered Federal Aid Projects Manual
• The Environmental Manual (TEM)
• Project Development Manual
• Office of Civil Rights Operations Manual
Other examples of Regional and Program area document reviews follow:
• Region updates the Public Involvement Plan as necessary throughout project design and into construction based on identification of emerging issues or additional stakeholders as well as discussions with other regional office functional units including the Traffic Safety/Mobility and Construction Groups.
ENVIRONMENTAL JUSTICE
The 1994 Environmental Justice Executive Order 12898 supplements the existing requirements of Title VI of the Civil Rights Act, going further to ensure that any adverse human health or environmental effects due to governmental activities do not disproportionately affect minority or low-income populations.
NYSDOT makes a concerted effort to understand community demographics, avoid potently negative impacts to specific populations (e.g. minority, low-income), and ensure equal opportunity for all to participate in the planning process through public hearings and other mechanisms used to gather community feedback. Additionally, all projects with the potential for significant adverse environmental outcomes include a social impact analysis, and EJ is a component of that analysis.
The Office of Environment (OE) utilizes The Environmental Manual (TEM) as its primary guidance tool to ensure environmental justice. In addition, OE provides direct guidance to NYSDOT regional staff via information provided by the Environmental Specialists and Landscape Architects (ESLA) quarterly Newsletter which provides updates on Title VI and EJ issues to ensure an awareness and understanding of the responsibilities related to environmental justice and examples of best practices. The newsletter is shared electronically with all of NYSDOT’s Environmental and Landscape Architecture staff statewide.
Finally, the OE researches other State DOTs to promote compliance in NYSDOT.
AMERICANS WITH DISABILITIES ACT
The Americans with Disabilities Act (ADA) of 1990 encourages the involvement of people with disabilities in the development and improvement of transportation plans and Para-transit plans and improvement services. In accordance with ADA Guidelines, all meetings conducted by NYSDOT and MPOs must be in locations that are accessible to persons with mobility limitations. Other accommodations may be necessary, such as telecommunication devices for hearing-impaired persons and publishing information on web sites in an accessible electronic format.
The Director of OCR also currently serves as the agency’s ADA Coordinator and OCR's Title VI staff work with program areas, the MPOs, external advocacy organizations and other stakeholders to help ensure compliance with ADA regulations.
NYSDOT continues to make transportation investments in projects which address the safety of pedestrians consistent with the ADA Transition Plan developed in 2010. The ADA Transition Plan has been updated and posted to the NYSDOT’s website. The Transition Plan updates the inventory of necessary enhancements, and prioritization of upgrades to NYSDOT facilities. Based on this prioritization, NYSDOT continues to work to ensure that sidewalks, curb ramps and crosswalks on the State highway system are brought into ADA compliance.
In addition to the ongoing and long-term effort to address existing infrastructure, ADA provisions have been incorporated into design manuals and processes to ensure ADA issues are considered as part of project development.
LIMITED ENGLISH PROFICIENCY (LEP)
Executive Order 13166 requires recipients of federal funding (such as the State and MPOs) to examine the services they provide, to identify any need for services to LEP individuals and to develop and implement a system to provide those services so LEP persons can have meaningful access. In accordance with Executive Order 13166, and Executive Order 26 issued by Governor Andrew Cuomo, NYSDOT developed a Language Access Plan (Plan) to ensure that LEP populations have meaningful access to NYSDOT program services and activities. The 2015 updated Language Access Plan:
1. details when and how NYSDOT provides language assistance services;
2. identifies existing translated documents and the languages into which they have been translated;
3. identifies NYSDOT’s public contact positions, the number of bilingual and multi-lingual employees in public contact positions and the languages they speak; and,
4. Includes plans for training NYSDOT employees, annual internal monitoring of LEP compliance, and notifications of language assistance services.
The Plan was developed using the US Department of Justice’s Four Factor Analysis for consideration in deciding what reasonable steps should be taken to ensure meaningful access to LEP persons. The factors include:
1. The number or proportion of LEP persons eligible to be served or likely to be encountered by NYSDOT programs
2. The frequency with which LEP persons come in contact with NYSDOT services
3. The nature and importance of the programs, activities or services provided to LEP persons
4. The resources available and the cost
The same Four Factor Analysis is used by NYSDOT program areas to determine if LEP populations may be affected by a project or initiative, and to what degree efforts can/should be done to accommodate LEP populations.
TITLE VI ANNUAL ACCOMPLISHMENTS – SUMMARY
MAJOR HIGHLIGHTS
NYSDOT made significant strides in the administration of Title VI (Nondiscrimination). Most of these gains were linked to 1) Public Outreach and Participation, 2) ADA Compliance and 3) program area and sub recipient monitoring.
With respect to public outreach, NYSDOT program areas and regions greatly expanded their efforts to reach out to broader community segments. They employing strategies that included the use of non-traditional media, community based organizations and social media such as Facebook and Web-pages. By tapping into and relying more and more on these communications networks, NYSDOT has embraced the currently technology to inform the public of its activities and of its interest in engaging all population segments.
Effort to increase ADA compliance have sharply risen mostly because of FHWA, FTA and NYSDOT training in this area. Virtually every Region reported examples of projects that address sidewalk and curb cut deficiencies and projects with actual or potential ADA implications. The Regions and MO programs itemized numerous ADA-related projects that demonstrate NYSDOT’s commitment to ADA compliance. Some examples are captured below. Most can be found in Attachment 11 (Title VI Accomplishments and Best Practices).
OCR increased in activity with respect to its monitoring of main office and regional special emphasis program areas for compliance with Title VI. During the period, NYSDOT performed approximately eight (8) main office program reviews and another 15 program reviews of its sub recipients.
To date, NYSDOT completed reviews for 7 sub recipients. An additional 8 are at various stages of review.
OCR re-drafted a Title VI Data Policy to provide guidance to program areas and sub recipients in the use of Title VI Data (race, color, national origin, sex, age, disability, low income and Limited English Proficiency) in their work. See Attachment 9. The data policy memorializes practices that NYSDOT already has implemented.
Other highlights immediately follow and detailed reporting of accomplishments, efforts, initiatives and best practices are found in Attachment 11.
COMPLAINTS PROCESSING
OCR processed three Title VI/ADA related complaints for FFY 2015. One complaint against an upstate city was determined to be outside the NYSDOT’s jurisdiction; however, a Title VI program review was conducted to determine the City’s compliance with Title VI. The review concluded that, while there are opportunities for improvement, the city was found in compliance.
Another ADA complaint in an upstate County was finally resolved following numerous exchanges between NYSDOT, the County, and the Para-Transit provider. The complaint was ultimately resolved by the retention of a new Para-Transit provider and with an admonishment to the County to be more vigilant and responsive to such complaints in the future.
Another complaint related to an apprentice working on a federally funded NYSDOT construction project who alleged sexual discrimination. This matter is still being investigated.
During this period, OCR again revised the Title VI Complaints Form to capture other protected groups and to improve its appearance. The amended Title VI Complaints Form was posted to the Title VI external web-page and is available as well in six non-English languages.
In addition, OCR revised its Title VI Complaints Log by expanding the categories of discrimination complaints and by improving its overall appearance.
TRAINING
OCR (including Title VI Coordinators and partners) participated in various Title VI related training during this period. Examples of training follow:
|Dates |Training Topic |
|2/3-5/2015 |Civil Rights Symposium, a three day online webinar training |
|4/1/2015 |NYSDOT Discrimination Complaint Training |
|6/3/2015 |US EPA EJ SCREEN - Presentation & Demonstration |
|6/9/2015 |FHWA Training on Program Reviews |
|1/28/2014 |LAP Breakdown the Language Barrier |
Details regarding NYSDOT’s training activities are found in Attachment 11.
MONITORING AND PROGRAM REVIEWS
NYSDOT completed compliance reviews for the following main office program areas: Policy and Planning, Design, Office of Right of Way, Construction, Environment, Local Programs, Technical Services, etc.
OCR completed Title VI Program Reviews for the following sub recipients:
Suffolk County; Westchester County; Nassau County; Town of Islip; Town of Babylon; the Town of Huntington, NY; the Town of Brookhaven; City of Cohoes; Town of Queensbury; Columbia County; and Rockland County.
Ongoing Title VI Program Reviews to be concluded prior to the end of 2015 include Onondaga County, Ontario County, Monroe County, and Putnam County.
OCR worked collaboratively with several sub recipients who were encouraged to develop a Title VI Plan. Many recipients, also recipients of FTA funding, submitted, with modification, their FTA approved Title VI Plans for OCR approval. OCR allowed the submittal of the FTA Plan because many FHWA requirements are contained in sub recipients’ FTA Title VI Plans and documents.
For program reviews, OCR noted that sub recipients appointed Title VI Coordinators who have direct or easy access to the agency’s Chief Executive Officer. However, OCR also observed that some sub recipients confused the D/M/WBE and EEO mandates with Title VI requirements. This became increasingly clear during the review of documents in the desk audit phase of program reviews.
In response, OCR has directly and immediately clarified to sub recipients the distinction among these important efforts and of their understanding and responsibility to comply with Title VI. OCR has already noted an increased understanding by sub recipients because of our direct intervention. OCR will continue to monitor sub recipient understanding and respond as needed.
Consistent with this response, OCR continues to provide training and technical assistance and provide sample documents to facilitate sub recipient compliance. Some of these guidance documents that continue to be provided include a Title VI Plan template, an LEP template and a link to the NYSDOT’s ADA Transition Plan. In addition, OCR will host training sessions for sub recipients to eliminate and confusion regarding Title VI Requirements and Title VI.
Details regarding NYSDOT’s monitoring and program reviews are found in Attachment 12.
PUBLIC AWARENESS AND OUTREACH
To ensure public awareness and participation related to plans and projects, NYSDOT has employed different communications approaches, both traditional and non-traditional (e.g., social media). Most regions rely on community outreach via listings of community based organizations and its own network of professional and cultural affiliations. OCR posts a listing of CBOs on its web-site to assist program areas with their outreach efforts.
During this period, NYSDOT reported numerous and creative examples of public outreach approaches. Many of these approaches accessed non-English language media.
PROCEDURES, MANUALS AND DIRECTIVES
OCR continues to review its Operations Manual for consistency with FHWA Title VI Regulations and with Program area manuals and guidance documents.
OCR prepared a Draft Title VI Data Policy Statement (Attachment 9) that directs program areas in the general use of Title VI data in their respective program area. The Policy Statement essentially outlines FHWA’s requirement for NYSDOT to use Title VI data in its planning, design, construction and other activities.
Main Office and Regional efforts regarding the review of procedures, manuals and directives are cited in Attachment 11.
ENVIRONMENTAL JUSTICE
The Office of the Environment (OOE) staff continues to develop and provide guidance and direction to Regional staff on the environmental justice analysis process. This was accomplished over the past year with the development and posting of the OOE’s Social – Economic Program Area webpage, previously cited with screen save attached “OOE Social – Economic webpage Screensave.”
OOE staff is preparing a draft Social Justice Chapter of The Environmental Manual (TEM) for review. The Social Justice Chapter will include direct references to Title VI nondiscrimination provisions and other guidance.
Other examples of environmental justice efforts can be found in Attachment 11.
DATA COLLECTION AND ANALYSIS
OCR re-issued a Title VI Data Policy Statement that underscores NYSDOT’s commitment to apply Title VI data to its activities. This document has been shared with the Data Team and lays the foundation for the data procedures document that is forthcoming.
Numerous examples of NYSDOT’s Title VI data usage practices are cited in Attachment 11.
AMERICANS WITH DISABILITIES ACT
In accordance with Federal laws and regulations, all NYSDOT project development manuals and associated specifications address ADA requirements. NYSDOT also makes a concerted effort to ensure those with disabilities have the opportunity to participate in the transportation planning and project development processes. Other NYSDOT’s ADA related activities and accomplishments are highlighted in Attachment 11.
LIMITED ENGLISH PROFICIENCY (LEP)/LANGUAGE ACCESS
Since Governor Cuomo’s announcement of Executive Order 26 (Language Access Initiative), NYSDOT has aggressively pursued its implementation. NYSDOT:
• Twice revised its Language Access Plan (LAP) and posted it to OCR’s Title VI webpage.
• Launched an internal on-line, menu driven volunteer language access data bank. The data bank identifies NYSDOT employees who speak one or more of the six (6) foreign languages identified in the Governor’s Executive Order.
• Approximately 2, 907 NYSDOT employees, including security guards, were trained to respond to language access needs. Training was part of the SLMS.
• Interpretation services were made available at the following public meetings: the I-81 project in Syracuse, the Peace Bridge project in Niagara Falls, and several other projects that continue to require targeted outreach to LEP populations.
• OCR staff regularly attends the Governor’s quarterly Language Access Coordinators (LAC) meeting.
Numerous examples of NYSDOT’s application of LEP principles are cited in Attachment 11.
TITLE VI COMPLAINTS
NYSDOT received and investigated an ADA complaint filed against a sub recipient. The complainant charged that the sub recipient Para transit service provider failed to provide services to an individual as required. Since first knowing about the complaint, the sub recipient has replaced the Para transit provider and has instituted procedures to ensure such violations do not recur.
ANNUAL WORK PLAN FOR FFY 2015-2016
NYSDOT plans to implement or advance the following activities by September 30, 2016. The work plan includes action items, deliverables and target due dates to help track progress.
|Action Item |Deliverable (s) |Due dates |
| | | |
|Participate in a minimum of five (5) Title VI-related training sessions throughout |Title VI Plan, Public |Training completed by |
|the year to include program area staff and Title VI Coordinators. Two sessions |Outreach, Limited English |7/31/16 |
|specifically focused on sub recipients (including MPOs) |Proficiency | |
|Subject to the assignment of additional OCR personnel, conduct Title VI program |50% completed by March, 2016 |All scheduled reviews |
|reviews for special emphasis program areas and 15 sub recipients (including colleges | |completed by 9/30/15 |
|and universities | | |
|Host at a minimum quarterly Title VI Teleconferences for Title VI Coordinators |WebEx-based conference calls |October, January, |
| | |April, July |
|As directed, refer complaints of discrimination to FHWA within 60 days from the date |Complaint Reports |Ongoing |
|that the compliant was received. | | |
|Continue to update NYSDOT’s external and internal website to provide additional Title |Revised information on Title |Ongoing |
|VI guidance and tools to increase understanding and awareness of Title VI |VI Webpage | |
|requirements. | | |
|Continue to review and update (as necessary) NYSDOT manuals to ensure compliance with |Updated manuals |Ongoing |
|relevant Title VI, ADA, EJ and LEP requirements. | | |
|Conduct quarterly reviews of the NYSDOT’s LEP efforts and ensure vital documents are |List of translated documents |December, March, June, |
|translated in appropriate non-English languages. | |September |
|OCR will continue to use a risk based approach to help select sub recipients for |Schedule of Program Reviews |Ongoing |
|program reviews | | |
|A new monitoring effort of MPOs will begin Oct 1. OCR will monitor on line MPOs |Incorporation of Title VI |Beginning October, 2014|
|Planning Committee agendas via their web page in addition to monthly reporting being |elements in discussion and |and continuing |
|requested from each MPO. This should help with NYSDOT’s monitoring of MPOs. This |plans |throughout the FFY |
|approach will help bolster Regional Title VI Coordinator’s involvement with their | | |
|local MPO. | | |
PROGRAM AREA AND REGIONAL TITLE VI GOALS FOR 2015-2016
NYSDOT identified numerous Title VI goals for the 2015-2016 FFY. These cover all Title VI focus areas: 1) training; 2) public outreach and public involvement; 3) ADA (including ADA Transition Plans); 4) Title VI data usage, 5) monitoring and oversight of special emphasis program areas and sub recipients; 6) environmental justice, 7) LEP; and 8) Review of Title VI guidance documents. Details of program areas and regional goals follow:
MO Office of Environment Goals
1. To continue informing NYSDOT’s Environmental Specialist and Landscape Architecture staff across the State in all the Regions on Environmental Justice and Title VI (Non-discrimination) practices through the OOE online quarterly newsletter ESLA.
2. To continue progressing the draft Environmental Justice Abstract to be included as Chapter 4.2.4.4 in the repository for NYSDOT’s guidance on environmental issues, entitled “The Environmental Manual (TEM).”
3. To continue facilitating the Socio-Economic Team consisting of OOE staff, regional staff and other Main Office staff by meeting on a regular basis and progressing identified Environmental Justice and Title VI goals.
4. To continue developing and updating the OOE’s Social – Economic Program Area webpage.
5. To continue to track and document all mandatory training requirements and completion of training (repeated as often as required) related to Environmental Justice and Title VI compliance. OOE staff will research future training and educational opportunities regarding Title VI Compliance.
Policy and Planning Goals
1. The LPB Director plans to lead a LEAN effort to reduce the time for contract award and updated internal controls, including business process considerations of the 2014 Disadvantaged Business Enterprise (DBE) Final Rule with the Office of Civil Rights, Construction, and Contracts.
2. The PPD Statewide Planning Bureau is surveying the MPOs to determine Title VI training needs. Based on the survey results, a training webinar will be developed and/or a guidance document will be prepared by staff.
Region 1 Goals
The Region intends to continue its practice of initiating Title VI-related analyses as early as possible in its projects’ life cycles – ideally, early in the scoping phase. R-1’s efforts to date (including reviews of approximately 450 projects over the past six years) have ensured that Project staff were made aware of potential Title VI issues with plenty of time to address them during the design process; this in turn helps ensure that projects are delivered as scheduled.
R-1 will work to ensure that the Region meets the statewide goal of having 100% of its front line employees complete the current Language Access Training course by December 31, 2015.
The Region will continue to review materials forwarded by the Office of Civil Rights and participate in Webinars and other opportunities to learn more about both analytic and public involvement techniques that will enhance project design and public involvement efforts.
Region 2 Goals
1. Analyze GPS collected snow plow beat data
2. Continually assess training needs.
3. Maintain comprehensive public involvement process.
4. Continuous communication and reminders of awareness of people’s training needs
5. Keep track of training requirements and to remain receptive to new initiatives.
Region 3 Goals
Getting community members to use the I-81 Viaduct display located at the Carnegie Building as a resource for questions and concerns has been a challenge. Very limited activity is reported during the hours this display is made available to the general public.
Planning’s goal is to increase ADA compliance to all areas of need within the region
Region 4 Goals
1. Planning group wants to continue to ensure that there are continuous updates, reviews, and self evaluation throughout any Title VI practices.
2. Identify and add to our Public Involvement Database, community groups that represent the Title VI groups that we want to engage in public outreach for our programmed projects.
3. Continue to review and improve our methods of collecting and reporting Title VI activities.
4. To have no Title VI-related complaints or violations during the next reporting period.
5. Continue to maintain a master log of all Title VI complaints received in the regional construction office and field offices. Once logged, complaints will be forwarded to the Office of Civil Rights for resolution.
6. Provide contractors with a copy of the Department’s most current Civil Rights Policy Statement.
7. The OROW will continue to be compliant with monitoring policies and procedures.
8. Continue to provide follow up training on Title IV related subject matter throughout the year. Insure monitoring of Title IV compliance by all the residency management staff and include this as a performance standard in their annual evaluations. Include Title IV related discussion topics at management level staff meetings and at the annual spring and fall employee safety meetings.
Region 7 Goals
1. Provide all members of the public safe access through our construction sites – this includes motorized, pedestrian and limited mobility members of our communities.
2. Continue to upgrade/improve existing facilities and incorporate ADA standards into new projects to ensure accessibility for all.
3. Ensure that outreach includes all socio-economic classes for their input and inclusion in our planning/design phases.
Region 8 Goals - 100% Completion by regional personnel of on-line language access training.
Region 9 Goals
1. The region intends to be fully compliant with mandated Reasonable Accommodation Training and Language Access Training again this year.
2. The region will continue to follow guidance from the Office of Civil Rights.
Region 10 Goals
1. Provide refresher training for Title VI, EJ and LEP for all Construction personnel in the field and the regional office to increase staff knowledge. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
2. Provide refresher training for Title VI, EJ, and LEP for Regional staff and continue to participate in Title VI related training to improve or maintain staff knowledge. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
3. Provide refresher training for Title VI, EJ and LEP for relevant planning staff. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
4. Comply with the Title VI program as it relates to ROW and offer services as needed. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
5. Comply with the Title VI program as it relates to traffic and safety issues and offer services as needed. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
6. Continue to create awareness of statutory non-discrimination requirements to Transportation Maintenance staff by disseminating statutes/regulations to staff; educate staff through training; and continue the public involvement process that engages communities and avoid or minimize adverse impacts to the communities affected by maintenance related activities. Attend monthly Title VI Coordinator’s monthly telephone conference call meetings and attend Title VI webinars.
LIST OF ATTACHMENTS
Attachment 1: Civil Rights Policy Statement
Attachment 1A: Title VI Assurance Statement
Attachment 2: Office of Civil Rights Organizational Chart
Attachment 3: Title VI Coordinator Roles and Responsibilities
Attachment 4: 2014-2015 Title VI Annual Report Questionnaire
Attachment 5: Title VI Requirements for Sub recipients
Attachment 6: Title VI Sub recipient Program Review Questionnaire
Attachment 7: Title VI Sample Letter to Sub recipient
Attachment 8: Sample Title VI Data Maps
Attachment 9: Office of Civil Rights Draft Title VI Data Usage Policy
Attachment 10: Sub recipient Title VI Program Review Schedule (2015-2016)
Attachment 11: Title VI Accomplishments and Best Practices – 1) Training, 2) Monitoring and Program Review, 3) Public Awareness and Outreach, 4) Procedures, Manuals and Directives, 5) Environmental Justice, 6) Data Usage, 7) Americans with Disabilities Act, and 8) Limited English Proficiency
Attachment 1
Civil Rights Policy Statement
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Attachment 1A
Title VI Assurance Statement
Standard Title VI/Nondiscrimination Assurances
DOT Order No. 1050.2A
The (Title of Recipient) (herein referred to as the “Recipient”), HEREBY AGREES THAT, as a condition to receiving any Federal financial assistance from the U.S. Department of Transportation (DOT), through the Office of the Assistant Secretary for Research and Technology (OST-R), is subject to and will comply with the following:
Statutory/Regulatory Authorities
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin);
• 49 C.F.R. Part 21 (entitled Nondiscrimination In Federally-Assisted Programs Of The Department Of Transportation—Effectuation Of Title VI Of The Civil Rights Act Of 1964);
• 28 C.F.R. § 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964);
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects;
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, prohibits discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), prohibits discrimination on the basis of age);
• The Civil Rights Restoration Act of 1987, (PL 100-209, (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not);
• Title II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation regulations 49 C.F.R. parts 37 and 38;
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).
The preceding statutory and regulatory cites hereinafter are referred to as the “Acts” and “Regulations,” respectively.
General Assurances
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:
“No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity,” for which the Recipient receives Federal financial assistance from DOT, including the OST-R.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and other Nondiscrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope and coverage of these nondiscrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its federally assisted University Transportation Centers Program:
1. The Recipient agrees that each “activity,” “facility,” or “program,” as defined in §§ 21.23 (b) and 21.23 (e) of 49 C.F.R. § 21 will be (with regard to an “activity”) facilitated, or will be (with regard to a “facility”) operated, or will be (with regard to a “program”) conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with all University Transportation Centers Program and, in adapted form, in all proposals for negotiated agreements regardless of funding source:
“The (Title of Recipient), in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively insure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.”
3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement subject to the Acts and the Regulations.
4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient.
5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith.
6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property.
7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.
8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the property.
9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, (Name of recipient) also agrees to comply (and require any sub-recipients, sub-grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing the OST-R access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by OST-R. You must keep records, reports, and submit the material for review upon request to OST-R, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance.
(Name of Recipient) gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the University Transportation Centers Program. This ASSURANCE is binding on (Name of Recipient), other recipients, sub-recipients, sub-grantees, contractors, subcontractors and their subcontractors’, transferees, successors in interest, and any other participants in the University Transportation Centers Program. The person(s) signing below is authorized to sign this ASSURANCE on behalf of the Recipient.
____________________________________________________
(Name of Recipient)
by_____________________________________________________
(Signature of Authorized Official)
DATED_________________________________
Links to Appendices A,B,C,D, E
Appendix A:
Appendix B:
Appendix C:
Appendix D:
Appendix E:
Attachment 2
Office of Civil Rights Organizational Chart
OFFICE OF CIVIL RIGHTS ORGANIZATION CHART- 2015
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Attachment 3
Title VI Coordinator Roles and Responsibilities
Title VI Coordinator Roles and Responsibilities
The specific roles and responsibilities of the Title VI Coordinators are outlined below. The frequency and scope of these activities may differ depending on the program area or Region, but these roles and responsibilities encompass an assortment of potential activities for the Title VI Coordinators.
Main Office Title VI Coordinators
Specific program areas in the Main Office have a Title VI Coordinator due to the nature of their work, the fact that the program area benefits from federal funds, and/or interacts with sub recipients (e.g., municipalities, Metropolitan Planning Organizations) or the public in a greater capacity than other program areas.
Specific roles and responsibilities of the Main Office Title VI Coordinators:
• Share information related to Title VI, Limited English Proficiency (LEP), Environmental Justice (EJ) and American with Disability Act (ADA) with program staff and sub recipients as appropriate.
• Attend training to increase one’s understanding of Title VI, LEP, EJ, and ADA.
• Encourage program area staff and sub recipients to attend Title VI training; notify OCR of training needs.
• Understand NYSDOT’s policies and procedures for Title VI/EJ/LEP/ADA compliance to ensure that the program area’s practices are consistent with these policies and procedures.
• As applicable to the program area, review program area policies, announcements, manuals and written procedures to ensure that Title VI language, where appropriate, is included.
• Direct Title VI complaints to the Title VI Unit and assist OCR with effort to gather complaint information, if necessary.
• Encourage (to the degree applicable) outreach and community involvement in planning and project development activities.
• Help OCR gather and organize Title VI information and data from program areas.
• Compile information and materials for inclusion in NYSDOT’s annual Title VI Report.
• Attend Title VI meetings and conference calls and other Title VI-related meetings as needed.
• Assist OCR with program area and/or sub recipient on-site compliance reviews, if needed.
• Review and comment on Title VI-related documents developed by OCR.
Regional Title VI Coordinators
Regional Directors are ultimately responsible for ensuring Regional activities comply with Title VI, and it is up to each Regional Director to identify a Regional Title VI Coordinator. The Regional Title VI Coordinator should have a broad understanding of Regional activities and easy access to the Regional Director, as the Regional Title VI Coordinator serves as a centralized point of contact to coordinate, gather and disseminate Title VI information to the Region.
Specific roles and responsibilities of the Regional Title VI Coordinators:
• Share information related to Title VI, LEP, EJ and ADA with Regional program staff
• Attend training to increase one’s understanding of Title VI, LEP, EJ, and ADA.
• Encourage Regional staff and sub recipients to attend Title VI training; notify OCR of training needs.
• Understand NYSDOT’s policies and procedures for Title VI/EJ/LEP compliance to ensure that NYSDOT’s Regional practices are consistent with these directives.
• Direct Title VI complaints to the Title VI Unit and assist OCR with the effort to gather complaint information, if necessary.
• Encourage (to the degree applicable) outreach and community involvement in planning and project development activities.
• Help OCR gather and organize Title VI information and data from the Regions.
• Provide material for inclusion in NYSDOT’s annual Title VI report.
• Attend Title VI meetings and conference calls and other Title VI-related meetings as needed.
• Assist OCR with Regional and/or sub recipient compliance reviews, if needed.
• Review, comment and contribute to Title VI-related documents developed by OCR.
Training
It is OCR’s responsibility to provide and/or coordinate training for NYSDOT staff and sub recipients, including Title VI Coordinators. In doing so, OCR will work to ensure that the Title VI Coordinators receive training and guidance to carry out their roles and responsibilities. However, it will be up to the Title VI Coordinators to take advantage of these training opportunities and to seek guidance if and when necessary.
Time Commitment
Title VI Coordinators are not intended to be full-time positions; however, there will be a certain level of effort required to carry out the roles and responsibilities outlined above. All Title VI Coordinators should be prepared to devote an appropriate amount of time to their Title VI responsibilities.
Additionally, as each Region has different types of projects that require different levels of Title VI involvement, it is to be expected that some Regional Title VI Coordinators may be more active than others at various times throughout the year.
Attachment 4
2014-2015 Title VI Report Questionnaire
New York State Department of Transportation
Office of Civil Rights
Title VI Accomplishment Report Questionnaire for 2014-2015
Title VI of the Civil Rights Act of 1964 and subsequent statutes, regulations and executive orders require recipients of Federal financial assistance to take affirmative measures to ensure that no person shall be excluded from participation in, denied the benefits of, or otherwise be subjected to unlawful discrimination on the basis of race, color, national origin, sex, age, disability, or low income or limited-English proficiency[5] in the operation, implementation, access and use of the recipients’ programs, activities and facilities.
As a recipient of Federal funds, and in accordance with Federal Title VI/Nondiscrimination regulations, NYSDOT is required to develop an annual Title VI Implementation Plan and Accomplishments Report to highlight how NYSDOT is complying with the Federal Title VI/Nondiscrimination requirements. As such, the Office of Civil Rights must collect information from the Main Office Program Areas and Regions regarding its activities and accomplishments.
INSTRUCTIONS
Below are a number of questions for your response. Answers should cover the reporting period between October 1, 2014 and September 30 2015. Provide responses in narrative form using specific examples and details (dates, locations and data, etc.). The use of charts and graphs is encouraged.
Return completed questionnaires by Friday, August 28, 2015 to the Office of Civil Rights at dot.sm.mo.ocr.title.vi. Please forward in MS Word format. Activities for September can be submitted as an addendum.
REGIONAL Title VI Coordinators: Distribute the questionnaire to all special emphasis program areas (Planning, Design, Right-of-Way, Environment, Construction, etc.) in your region. Compile program areas responses into one report for submission.
QUESTIONS
1. Planning and Public Outreach: Highlight how your Program/Region has worked to engage all segments of the population in the planning process and your public outreach efforts and activities (meeting, hearings, etc.). Specifically describe your efforts to include the eight protected groups under Title VI. Please cite specific examples (project name and brief description (exclude Project Number). Examples can include one or more of the following:
a. Engaging community based organizations/advocacy groups in planning or outreach efforts
b. Ensuring diverse representation on planning groups and advisory bodies
c. Targeting outreach to those groups protected under Title VI to ensure attendance at public hearings and other public outreach events
d. Advertising public hearings/meetings in ethnic and community newspapers
e. Using newsletters, websites, social media and other communications resources to reach a broad audience
f. Holding meetings at convenient and accessible locations and at convenient times
g. Using visuals aids at public meetings
h. Outreach to Tribal governments
2. Americans with Disabilities Act (ADA): Please highlight examples of ADA related projects and/or activities within your Program/Region. Examples can include one or more of the following:
----------------------------
a. Updating existing facilities or infrastructure (e.g. sidewalks) to be ADA-compliant in accordance with NYSDOT’s ADA Transition Plan (cite specific examples).
b. Ensuring new project designs have considered the needs of individuals with disabilities (cite specific examples).
c. Ensuring appropriate access to/around work zones for those with disabilities.
d. Holding public meetings and hearings in ADA-compliant facilities.
e. Providing sign-language and/or close captioning accommodations when needed.
3. Limited English Proficiency: Describe how your Program/Region responded to LEP needs. Examples can include one or more of the following:
a. Translating documents in languages other than English
b. Providing language interpretation services
c. Utilizing interpreters at public meetings and events
d. Collaboration with and assistance from community based organizations, colleges, universities and government agencies.
4. Environmental Justice: Describe projects or activities in your program area or Region that included an Environmental Justice analysis and explain what action was taken to address a) negative environmental effects or b) potential negative effects to minority and/or low-income populations because of the analysis.
5. Data Collection and Analysis: Provide specific examples of how Title VI related data was used to engage Title VI communities (Refer to Question #1, Planning and Public Outreach, above) and assess potential impacts to these groups. Examples may include one or more of the following sources:
a. Collection/analysis of data as part of social impact/environmental justice analysis.
b. Collection/analysis of data as part of the “four factor” analysis associated with identifying potential Limited English (LEP) populations.
c. Using Census data and/or other data sources to identify affected or potentially affected communities.
d. Using GIS and/or other spatial analysis tools to develop community or demographic maps.
e. Gathering relevant demographic data as part of the Right of Way process.
f. “Boots on the ground” assessment to confirm demographic (census) data
6. Plans/Manuals/Guidance: Identify Title VI-related language in your plans, manuals and/or other guidance documents to which your region or program area refers in the performance of its tasks. Provide a hyperlink to the section(s) of the document(s) where Title VI (nondiscrimination) language is found or attach copies of relevant pages.
7. Training: Cite Title VI-related training that members of your Program Area/Region participated in this year. Training can include classroom and web-based training, seminars, and other less formal training sessions. Provide the number of individuals involved and training dates where possible.
8. Complaints: Cite Title VI related complaints received by your Program/Region and describe how they were handled.
9. Self-Monitoring: Cite examples of how the Program area/Region self-monitors for Title VI (nondiscrimination) compliance. Examples can include one or more of the following:
a. Reviewing and editing polices and/or procedures to ensure compliance with Title VI requirements
b. Reviewing and editing program manuals, directives, M.A.Ps. or other documents for the inclusion of Title VI provisions
c. E-mail reminders from management or others
d. Division, Office or Bureau newsletter, bulletin or communiqué
10. Goals for Next Year: Identify goals for your region/program area that can help improve Title VI (Nondiscrimination) practices.
Attachment 5
Title VI Requirements for Sub recipients
Title VI Requirements for Sub recipients
In accordance with 23 CFR Section 200.9, NYSDOT has defined a series of requirements for all sub recipients. To ensure these requirements are met, the NYSDOT Office of Civil Rights (OCR) will conduct reviews of sub recipients. The sub recipients selected for review will need to demonstrate how they meet the requirements.
In addition to the NYSDOT oversight, all sub recipients will be expected to self-monitor as well. Self-monitoring requires sub recipients to monitor and manage their processes to ensure they meet the Title VI requirements.
Documentation is a critical element of the monitoring/review process as it helps to provide proof of meeting the Title VI requirements. NYSDOT strongly recommends that policy decisions, procedures, analysis, actions, and outcomes be routinely documented. For large planning organizations and sub recipients routinely involved in planning and project development activities, the development of a Title VI Plan document may be a means of documenting Title VI activities and processes. However, the development of a Title VI Plan is not a requirement and is only one mechanism that can be used to help document how sub recipients are meeting the Title VI requirements. An organization can subscribe to the oversight agency’s Title VI Plan to be in compliance.
Sub recipient Requirements:
• Nondiscrimination Agreement: NYSDOT has incorporated Title VI nondiscrimination provisions into all contracting agreements, and all sub recipients must accept these provisions to receive Federal funding. As such, by accepting the Federal funds, all sub recipients must take measures to prevent and eliminate unlawful discrimination in their programs, activities and facilities. In the event that a sub recipient fails to meet the nondiscrimination requirements, NYSDOT will require an improvement plan be developed to meet the requirements. If a sub recipient is unwilling or unable to meet the requirements, the sub recipient’s Federal funding reimbursements and/or the future receipt of Federal funds may be adversely impacted.
• Title VI Coordinator: Sub recipients must identify an individual to serve as a Title VI Coordinator. The Title VI Coordinator is responsible for helping to monitor and promote Title VI compliance and will serve as the primary point of contact for NYSDOT on Title VI-related issues, to include the receipt of information on Title VI training opportunities.
• Complaints Procedures: Sub recipients must develop procedures for prompt processing and disposition of external discrimination complaints, or utilize NYSDOT’s complaint procedures or the procedures of their host in the case of Metropolitan Planning Organizations. Complaints in which the sub recipient is named as the respondent should be forwarded to NYSDOT for investigation within 10 business days. Sub recipients must also maintain a complaints log and provide notice to the public about its complaint procedures.
• Planning and Public Outreach: For any planning or project development effort sub recipients must promote full and fair participation by all segments of the population, including minority or low‐income communities and populations who are not proficient in English. Sub recipients must be able to demonstrate efforts undertaken to identify and/or address the needs of Limited English Proficiency (LEP) and minority or low-income populations in outreach activities. Sub recipients are required to make communications accessible and available to persons with impaired vision and hearing or other disabilities as well, to include holding meetings in ADA-compliant/accessible locations. Planned public meetings should be within time and schedule of public transportation, where available.
• Data Collection/Analysis: Sub recipients must have procedures for the collection and analysis of statistical data (e.g., race, color, national origin, age, sex, and disability) of participants in, and beneficiaries of the agency’s programs and activities. These procedures should include efforts to analyze data (e.g., census data) to determine transportation investment benefits and burdens to the eligible population, including minority and low‐income populations.
• Monitoring: If the sub recipient enters into any additional contracts or funding agreements, the sub recipient must utilize NYSDOT’s Title VI nondiscrimination contract provisions and develop procedures to monitor and review these vendors/contractors and third tier recipients. The sub recipient must also have procedures to ensure nondiscrimination in the award of contracts.
• Training: Training is a critical aspect of the NYSDOT Title VI program. Sub recipients are required to:
➢ Note Title VI related training they have participated in during the last year
➢ Identify additional Title VI training needs
➢ Schedule and deliver training for their workforce
Note: Training may include both classroom and web based training seminars and less formal information sessions focused on the transfer of Title VI information “to include Title VI related presentations to staff, community groups, local project sponsors or other Federal funded sub recipients.
• Issue Resolution: To remain eligible for funding, sub recipients will need to correct any issues identified by NYSDOT within 90 days (23 CFR Section 200.11). If it is determined that issues cannot be resolved voluntarily, by informal means, NYSDOT will take further action to effect compliance. However, voluntary compliance will always be the preferred option.
Attachment 6
Title VI Sub recipient Program Review
Questionnaire
[pic]
Office of Civil Rights
Sub recipient Title VI Program Review Questionnaire
Name of Sub recipient:
Name/Title of Person
Completing Program Review:
Email Address:
Telephone Number:
Date:
Purpose
The purpose of a sub recipient Title VI Program Review is to ensure the New York State Department of Transportation complies with the Code of Federal Regulations (CFR) 200.9 (b) (7) State highway agency responsibilities.
The New York State Department of Transportation’s (NYSDOT) Office of Civil Rights (OCR) conducts program reviews of its sub recipients to determine how effective they are implementing and complying with Title VI of the Civil Rights Act of 1964, as amended.
The Title VI Program Review helps ensure that federal funded benefits and related services monitored by the NYSDOT are made available and are equitably distributed by its sub recipients without regard to race, color, national origin, age, sex or disability.
Requested Documentation
Please provide complete answers to the following questions. A “No” answer does not necessarily mean you are in noncompliance.”
As outlined in NYSDOT contract provisions, by accepting federal funding, sub recipients agree to Title VI nondiscrimination regulations and requirements. As such, sub recipients are expected to comply with NYSDOT’s Office of Civil Rights (OCR) regarding Title VI Program Reviews including taking action to address Title VI issues and vulnerabilities. Title VI and related nondiscrimination regulations apply to all sub recipients’ programs, services and activities, not just to those program area and activities receiving federal assistance.
In addition to NYSDOT oversight, all sub recipients are required to self-monitor. Self-monitoring requires sub recipients to manage their processes to ensure they meet the Title VI requirements.
1. Nondiscrimination Agreement
NYSDOT has incorporated Title VI nondiscrimination provisions into all contract agreements. Subsequently, all sub recipients must accept these provisions to receive federal funding. By accepting federal funds, all sub recipients must take measures to prevent and to eliminate unlawful discrimination in their programs, activities and facilities. If a sub recipient fails to meet the nondiscrimination requirements, NYSDOT will require a corrective action plan to be developed. If a sub recipient is unwilling or unable to meet the requirements, the sub recipient’s federal funding reimbursements and/or future receipt of federal funds may be delayed, reduced or eliminated.
a. Have you signed an agreement to accept federal funds from NYSDOT? If yes, submit documentation.
b. Provide sample contract documents that include nondiscrimination provisions
c. Provide a copy of your organization’s Title VI (Nondiscrimination) Assurance Statement.
2. Title VI Coordinator (see below, Title VI Coordinator’s Responsibilities)
Sub recipients are required to designate an individual to be its Title VI Coordinator. The Title VI Coordinator is responsible for coordinating efforts to monitor and promote Title VI compliance. The Title VI Coordinator will be the primary point of contact for NYSDOT on Title VI related issues including the exchange of information related to Title VI training opportunities. The Title VI Coordinator must have a responsible position in the organization and have easy access to the head of the agency in accordance with 23 CFR 200.9.
a. Provide the name and contact information for your organizations Title VI Coordinator.
b. Provide an updated organization chart showing the Title VI Coordinators reporting position to the head of your organization.
3. Complaints Procedures
Sub recipients must develop procedures for the prompt processing and disposition of external
complaints of discrimination or use NYSDOT’s complaint procedure or the procedure of their host (in the case of a Metropolitan Planning Organization). Complaints in which the sub recipient is named as the respondent must be forwarded to NYSDOT for investigation within 10 business days. Sub recipients also must maintain a complaints log and notify the public about its complaint procedures.
a. Provide written procedures for the prompt processing and disposition of external discrimination complaints.
b. How do you inform the public of your complaint procedure?
c. List all Title VI discrimination complaints received in the past 3 years and the resolution.
d. Provide a copy of your discrimination complaints log (if one exists) or develop one and submit along with the name of the person/ office that maintains or is assigned to maintain it.
4. Planning and Public Outreach (to include LEP, EJ, and ADA) [6]
For project planning and development, sub recipients must promote full and fair participation by all segments of the population including minority or low-income communities and populations that are none English proficient. Sub recipients must be able to demonstrate efforts undertaken to identify and/or address the needs of Limited English Proficient (LEP) and minority or low-income populations in its outreach activities.
Sub recipients must make communications accessible and available to persons with impaired vision and hearing or other disabilities. This includes hosting meetings in ADA-compliant and accessible locations. Public meetings should be planned to align with public transportation route schedules where possible.
a. How do you promote full and fair participation by all segments of the population, including communities that are minority, low‐income and/or none English proficient?
b. How do you demonstrate efforts to identify and/or address the needs of LEP, minority and low-income populations in your public outreach activities?
c. How do you ensure communications are accessible to persons with impaired vision, hearing or other disabilities? Provide examples to demonstrate public meetings are held in ADA-compliant/accessible locations. Provide locations and address where public meetings were held.
d. Provide a copy of, or access to your ADA Transition Plan. If you do not currently have a Plan, let us know when we can expect to receive (no later than 90 days from the date of this communication).
e. How do you ensure that your ADA Transition Plan complies with nondiscrimination requirements?
5. Data Collection (to include LEP, EJ, ADA)
Sub recipients are required to have a procedure for the collection and analysis of census and other types of demographic data for the population that it serves. This procedure should include steps to analyze demographic data to assist with decisions related to transportation project planning, design and construction as applied to race, color, national origin, sex, low income, Limited English Proficiency, etc. Data collection and analysis are used to:
1. Identify problem areas such as LEP populations, low-income and minority communities
affected by transportation decisions;
2. Provide statistical evidence of the actual benefits paid by beneficiaries;
3. Evaluate the effectiveness of policies and programs to ensure nondiscrimination (fare changes, route changes, relocates);
4. Compare the relationship between specific programs and beneficiaries to develop non-
discrimination strategies (public meeting locations);
5. Focus attention and resources to resolve problems and challenges;
6. Provide justification of funding or the need for additional funding; and to
7. Document program needs.
a. Describe how you collect and analyze statistical/census data regarding the race, color, national origin, sex, low-income, LEP, etc., for the community that you serve.
b. Explain how the data is used in project planning, design, and construction.
6. Monitoring Procedures
FHWA requires federal fund recipients to annually review its operation to ensure compliance
with Title VI. This applies to all programs in your organization and extends to your vendors, consultants and contractors.
If a sub recipient enters into additional (third tier) contracts or funding agreements, the sub
recipient is required to use NYSDOT’s Title VI nondiscrimination contract provisions and
develop a procedure to monitor and to review the third tier vendors, consultants and contractors.
a. Do you have sub recipients to whom you channel federal funds for projects, studies or other purposes?
b. How do you monitor these sub recipients for Title VI compliance? Explain or attach a copy
of the procedure that describes how Title VI monitoring is administered.
7. Title VI Training
a. How do you conduct Title VI training for program area staff and your sub recipients? List
the training provided in the past year, the number of persons receiving the training and the training topic(s).
8. Issue Resolution
a. Describe any Title VI (discrimination-related) issues you encountered in the past year.
b. What action(s) did you take to address these issues?
This concludes the Title VI Program Review. Thank you for your assistance. If you have questions please contact me:
__________________, Compliance Specialist
Office of Civil Rights
Title VI Program Area
Name of Contact Person
Tel. # (518) xxx-xxxx
Responsibilities
The Title VI Coordinator is responsible for implementing, monitoring, and ensuring the sub recipient’s compliance with Title VI and related nondiscrimination regulations.
The Title VI Coordinator is required to hold a position in the organization with easy access to the chief executive officer.
The Title VI Coordinator is responsible for:
1. Processing Title VI complaints received by the sub recipient unless the complaint is against the sub recipient. In that instance, the Title VI Coordinator is required to submit the complaint directly to the Office of Civil Rights, NYSDOT.
2. Collecting statistical data of participants in, and beneficiaries of, state highway programs.
Beneficiaries include a) individuals and families who are required to move, b) businesses whose
operations are disrupted or potentially disrupted by construction projects, and c) other affected individuals and groups.
3. Reviewing directives and operating manuals of its operation and where applicable, including
Title VI Language and related requirements.
4. Conducting Title VI (nondiscrimination) reviews of construction contractors, consultant contractors, suppliers, and other sub recipients of federal-aid highway funds administered through your organization.
5. Conducting training on Title VI (nondiscrimination) and other related statutes for employees and program areas under your authority.
6. Develop Title VI information for dissemination to the public and, where appropriate, in languages other than English. This includes providing interpretation services when required.
7. Establishing procedures for promptly resolving Title VI nondiscrimination deficiencies within 90 days.
Attachment 7
Title VI Program Review
Sample Letter to Sub recipient
[pic]
Date
The Honorable
Address
Dear Town Supervisor, Mayor, etc.:
Re: Title VI Program Review
Title VI of the Civil Rights Act of 1964 and subsequent statutes, regulations and executive orders protect individuals and groups from discrimination in programs and activities that receive Federal financial assistance. Discrimination on the basis of race, color, national origin, sex, age, disability, low income or Limited English Proficiency status is prohibited and unlawful.
In accordance with 23 CFR Section 200.9, the New York State Department of Transportation (NYSDOT) is required to monitor and conduct program reviews of its FHWA funding sub recipients (e.g., Metropolitan Planning Organizations, Municipalities, Non-Governmental Organizations, State Agencies) to ensure their programs and activities are operated in a nondiscriminatory manner.
As part of this process, NYSDOT has incorporated Title VI nondiscrimination provisions into all contracting agreements, and all sub recipients must accept these provisions to receive Federal funding. As such, by accepting the Federal funds, all sub recipients agree not to discriminate in their programs and activities.
The OCR has developed a checklist to assist sub recipients with evaluating their efforts to comply with Title VI. The attachment accompanying this email titled, New York State Department of Transportation Office of Civil Rights Sub recipient Title VI Program Review is a series of questions to evaluate compliance with Title VI.
In addition to the NYSDOT oversight, all sub recipients are expected to self-monitor as well. Self-monitoring requires sub recipients to monitor and manage their processes to ensure compliance with Title VI, as amended.
Documentation is a critical element of the sub recipient monitoring process as it helps to provide proof of compliance. NYSDOT strongly recommends that policy decisions, procedures, analysis, actions, and outcomes be routinely documented. For planning organizations and sub recipients routinely involved in planning and project development activities, NYSDOT encourages the development of a Title VI Plan as a means of documenting Title VI activities and processes. However, the development of a Title VI Plan is not a requirement and is only one mechanism that can be used to help document compliance efforts.
• Sub recipient Monitoring: If the sub recipient enters into any additional contracts or sub recipient funding agreements, the sub recipient is required to use NYSDOT’s Title VI nondiscrimination contract provisions and develop procedures to monitor and review compliance of its sub recipients. The sub recipient must also have procedures to ensure nondiscrimination in the award of contracts.
• Deficiency Resolution: To remain eligible for FHWA funding, sub recipients will need to correct any deficiencies identified by NYSDOT within 90 days. If it is determined that deficiencies cannot be resolved voluntarily, by informal means, NYSDOT will take further action to effect compliance. However, voluntary compliance will always be the preferred option.
All of the requirements outlined above can be achieved by adhering to NYSDOT planning, project development and construction manuals and related guidance documents. Additionally, OCR will provide technical assistance, training and additional guidance (e.g., templates) as necessary.
Although NYSDOT will not require annual plans or reports from sub recipients, the sub recipients selected for a program review will need to demonstrate compliance in the areas outlined in the New York State Department of Transportation Office of Civil Rights Sub recipient Title VI Program Review. Accordingly, NYSDOT strongly encourages all sub recipients to develop and maintain the requisite processes, policies, procedures, documentation, and record-keeping to demonstrate compliance.
Title VI Program Reviews
As part of the program review, OCR will examine all relevant documentation and conduct teleconference or onsite meetings (as necessary) to discuss polices, processes and procedures. The meetings will also allow OCR to substantiate and compare what is documented versus what is verbalized.
At the conclusion of the review, OCR will issue a Determination of Findings (DOF). No action on the part of the sub recipient is required on findings of compliance. However, sub recipients found out of compliance are required to develop a Corrective Action Plan (CAP) to overcome any deficiencies noted in the DOF within a period not to exceed 90 days. OCR will monitor the CAP and work with the sub recipient to ensure progress is made to address any identified deficiencies. If it is determined that the matter cannot be resolved voluntarily, by informal means, action will be taken to effect compliance. However, voluntary compliance will always be the preferred option.
Due to the large number of municipalities that receive Federal funding, OCR uses a risk-based approach to identify the municipalities to review in a given year. The decision to conduct review of sub recipients is driven by the following metrics:
• the size of the municipality (population);
• the number of projects and FHWA funding received by the municipality;
• funding history;
• whether or not the municipality has been reviewed in the past by NYSDOT or the USDOT (or its component agencies); and
• whether or not the municipality has been the subject of civil rights related complaints.
If you have any questions regarding the email attachment, New York State Department of Transportation Office of Civil Rights Sub recipient Title VI Program Review, please contact me by email or by phone at (518)***-****.
Thank you for your assistance.
Name of OCR contact person
New York State Department of Transportation
Office of Civil Rights
Title VI Program Area
Attachment 8
Sample Title VI Data Maps
[pic]
Attachment 9
Office of Civil Rights Title VI Data Policy
I. POLICY STATEMENT
Title VI of the Civil Rights Act of 1964 and subsequent statutes, regulations and executive orders require recipients of Federal financial assistance to ensure that no person shall be excluded from participation in, denied the benefits of, or be subject to unlawful discrimination on the basis of race, color, national origin, sex, age, disability, or low income or limited-English proficiency in, the operation, implementation, access and use of the recipients’ programs, activities and facilities.
As a recipient of Federal funds, and in accordance with Federal Title VI Nondiscrimination regulations, NYSDOT is required to have procedures in place to collect and analyze statistical data on participants and beneficiaries of NYSDOT programs (i.e., relocates, impacted citizens, and affected communities).
II. POLICY SCOPE AND GUIDANCE
Title VI related data is used to understand communities, community demographics and to aid community outreach as part of the transportation planning and project development process. Title VI data can also be helpful to analyze programmatic trends and impacts, and as a resource to help identify opportunities to mitigate potential unlawful discrimination. As such, the data collected should be maintained for reporting purposes.
Title VI data includes information on Environmental Justice (EJ), Limited English Proficiency (LEP) and the Americans with Disabilities Act (ADA) in addition to race, color, national origin, sex, and income. See below (Related Policy and Authoritative Sources) for Title VI Data Resources.
The following identifies various data applications related to NYSDOT’s activities:
Planning: Will gather and analyze census data to maintain an awareness of demographic trends, including the location, growth/decline and migration of Title VI populations. This information will be one of many factors considered during transportation planning, and should be incorporated into MPO Long Range Plans, Corridor Plans and the project selection process associated with the Transportation Improvement Program (TIP) and the State Transportation Improvement Programs (STIP). Additionally, the Title VI data provides information to facilitate public involvement, ensuring that Title VI populations have an opportunity to participate in public hearings and other related outreach. More information on the transportation planning process can be found in NYSDOT’s Public Involvement for Transportation Planning Manual.
Initial Project Proposal (IPP): The IPP is the initial planning and programming document used to select a project based on broad program goals. It briefly describes a candidate project and how the project will address an identified purpose and need. Using existing community demographics or census data analyses, the IPP should identify a project’s potential to impact the eight protected groups identified above under Title VI based on the project’s proximity to known clusters (or concentrations) of those protected groups.
Scoping: During the scoping stage, Title VI data is refined for projects identified (in the IPP) as having the potential to impact Title VI populations. First and foremost, the data helps to identify key stakeholders and informs the Public Involvement Plan (PIP) (as described in the Public Involvement Manual). This includes the development of outreach efforts (i.e., Does the project include LEP, disabled, low-income or minority populations? What is the best way to engage these population cohorts? Scoping should also evaluate it will have on public transportation lines and/or stops, which are vital for many populations covered by Title VI. In addition, affects on multiple modes of transportation must be factored in.
For most projects, the level of public involvement is a function of project complexity and potential for community concerns. When Title VI populations are involved, the public involvement process may necessitate extraordinary measures to ensure that targeted populations become informed and involved. The public involvement process also helps establish a project’s design criteria, define project alternatives and determine a project’s NEPA and SEQR classification and level of environmental review. More information on the public involvement process can be found in Appendix 2 (Public Involvement Manual) of Project Development Manual (PDM).
Design: Title VI data is further refined during the design stages for projects with identified affects to targeted populations. For example, environmental justice analyses focus on a proposed project’s (potential) social, economic and environmental impacts on minority and low-income populations. Project documentation, completed in accordance with State (SEQR) and/or Federal (NEPA) environmental review processes, should include all appropriate Title VI analyses and utilizing mapping, tables, and written summaries of foreseeable impacts. The level of geographic area should be appropriate to the project – from the broader tract for large scale projects, to track or block groups for smaller ones. In preliminary design, these analyses will cause additional scrutiny of (and possible revision to) feasible design alternatives, impact identification and assessment, real estate and rights-of–way issues and public hearings (if warranted). Title VI data is integral to the design process. More information on project design phases and processes can be found in the PDM.
Construction: During the construction phase, ongoing efforts are made to ensure the public is aware of the project and any associated impacts. Project complexity, location and the potential for community concerns will again drive the outreach efforts. During construction the Engineer-in-Charge of the project or other designated construction staff shall verify that procedures for maintaining public awareness of the project during construction is implemented particularly in projects with identified Title VI populations. Should there be significant environmental or construction changes to the project that require a change in scope, Title VI data will be re-examined.
Ill. RELATED POLICY AND AUTHORITATIVE SOURCES
▪ NYSDOT Policy 1.1-4 (Civil Rights Policy Statement)
▪ NYSDOT Official Order 1715
▪ NYSDOT Public Involvement for Transportation Manual
▪ NYSDOT Project Development Manual (PDM)
▪ NYSDOT Title VI Plan and Accomplishments Report
▪ NYSDOT ADA Management Plan/ADA Transition Plan
▪ NYSDOT LEP Plan/NYSDOT LEP Guide
▪ Civil Rights Act of 1964
▪ Americans with Disabilities Act (ADA) of 1990
▪ Executive Order No. 12898 (Environmental Justice)
▪ Executive Order No. 13166 (Limited English Proficiency).
▪ FHWA Title VI Regulations (23 CFR Part 200)
▪ NYS Executive Order # 26
ATTACHMENT 10
Sub Recipient Title VI Program Review Schedule
2015-2016
Sub Recipient Title VI Program Review Schedule 2015-2016
| |Sub recipient - Cities |Proposed Date of Review |
|1 |Niagara Falls |3/1/16 |
|2 |Schenectady |3/1/16 |
| 3 |Elmira |3/1/16 |
|4 |Watertown |3/1/16 |
|5 |Utica |3/1/16 |
| |Sub recipient – Counties |Proposed Date of Review |
|6 | Orange County |3/1/16 |
|7 |Rensselaer County |3/1/16 |
|8 |Tompkins County |4/1/16 |
|9 |Yates County |4/1/16 |
|10 |Steuben County |4/1/16 |
| |Sub recipient – Towns |Proposed Date of Review |
|11 | North Greenbush |4/1/16 |
|12 |Town of Perinton |4/1/16 |
|13 |Town of Orchard Park |4/1/16 |
|14 |Town of Fenton |4/1/16 |
| |Sub recipient – Villages |Proposed Date of Review |
|15 |Kinderhook |5/1/16 |
|16 |Scarsdale |5/1/16 |
|17 |Lake Placid |5/1/16 |
| |Universities/Colleges |Proposed Date of Review |
|18 |SUNY Albany |6/19/16 |
|19 |SUNY Plattsburgh |6/19/16 |
|20 |RPI |6/19/16 |
|21 |Syracuse |6/1/16 |
|22 |Union College |6/1/16 |
ATTACHMENT 11
Title VI Accomplishments
Main Office Program Areas and Regions
Title VI Accomplishments - Main Office Program Areas and Regions
I. Training
MO - Office of Environment
All Office of Environment (30 plus) staff participated and completed the following mandatory training over the past year:
• Language Access for Frontline Employees (GOER-Language Access)
• Reasonable Accommodations (GOER-RA2015): Series 1. Disability; 2. Religious Observance or Practices; and 3. Program and Services for Individuals with Disabilities
• Reasonable Accommodations in Programs and Services for Individuals with Disabilities, Reasonable Accommodations for the Public (GOER-RAPublic2014)
• Equal Employment Opportunity: Rights and Responsibilities (GOER-EEORR2015)
All OOE staff mandatory training requirements and completion of these training responsibilities and requirements are tracked and documented. All OOE staff are currently in the process of repeating these trainings as a required refresher.
MO - Policy and Planning Division
• Feb. 3, 2015 - staff attended Session One - Civil Rights 2014, A Year in Review, through the U.S. Department of Transportation.
• July 15, 2015- staff attended STI webinar on Equity & Transportation.
• The PPD Staff completed online training on Language Access for Frontline Employees and Reasonable Accommodations in Programs and Services for Individuals with Disabilities through training courses offered by GOER.
• The PPD Local Programs Bureau recently held a webinar to illustrate to potential Sponsors (Municipalities, airport operators, etc.) as well as Regional staff how to properly use the Equitable Business Opportunities (EBO) Reporting Software.
Region 1 reported that its front-line staff will have completed the required Language Access training by December 31, 2015. Toward this end, it issues regular reminders to its front-line people regarding the training requirement.
R-1 Operations Group continues to include a Title VI awareness component in its periodic internal training and briefing sessions for residency staff.
The Regional Title VI Coordinator took the opportunity to learn about USEPA’s new EJSCREEN environmental justice screening and mapping tool during its recent rollout, and subsequently met with Main Office Planning staff to discuss the potential for Department-wide use of EJSCREEN as the analytic platform for consideration of EJ issues in the course of planning and project development. During the meeting the Title VI Coordinator noted that EJSCREEN was not quite as flexible as ArcMap (the platform used in Region One and other Regions) to address the Department’s EJ, and that the Main Office would benefit working with its partners in FHWA’s New York Division to develop additional tools within the EJSCREEN application that would better meet NYSDOT’s needs.
Region 2 – Operations and Planning staff completed the Reasonable Accommodation and Language Access training, and Planning staff completed the Reasonable Accommodations for Supervisors. Training for OROW employees included Language Access and Reasonable Accommodations for the Public.
Region 3 reported that all required Regional staff completed the on-line Language Access Training.
Region 4 reported that all planning staff completed the online Language Access course. Staff will continue to participate in future Title VI training. Ninety-three (93) Design employees completed language access training. ADA (Reasonable Accommodations) training for all 93 Design employees was completed June, 2015.
Two regional construction employees were members of the Region 4 Title VI committee during the reporting period and participated in monthly teleconferences hosted by the Office of Civil Rights (OCR). They also participated in FHWA Title VI webinar training.
Residency employees participated in Language Access and Reasonable Accommodations training session.
Region 5 - Design staff participated in a Federal Environmental Approvals Workshop on 10/2014 and in a NEPA Administrative Record keeping training in April 2015.
Ninety-three Region 7 employees participated in the mandatory Language Access Program (LAP) Training.
Region 8 – On-line training is mandated for all personnel. Training courses include Language
Access and Reasonable Accommodation, among others.
Region 9 - All front line employees are required to take web based Language Access Training annually. The region had a 100% completion rate in 2014 and, as of August, 2015, 44% have completed the training this year. Employees have until December 31st to complete the training.
With respect to reasonable accommodations training, front line employees were 100 percent compliant in 2014. For 2015 and as of this report, compliance is over 33 percent.
All regional employees have taken or will take Promoting a Positive and Productive Workplace, which isn’t specifically a Title VI training session, but deals with issues of diversity and stereotyping, which are core considerations when dealing with Title VI protected individuals.
Region 10 - Construction staff has taken GOER’s Language Access training. 40 Design staff hours were spent on participating ELATS’ webinars for in the following Title VI related training: Federal Environmental Approvals Worksheet Workshop Level 1, Area of Potential Effect, Section 106 – Level 2, and NEPA Administrative Record – Level 1.
The supervisory staff (front line employees) completed the Statewide Language Access Policy training by the end of 2014. Front Line Planning employees completed Reasonable Accommodations for the Public and Language Access Training. Traffic & Safety staff attended ADA compliance training. Transportation Maintenance including Regional Maintenance Office and Residency supervisory staff (front line employees) completed the Statewide Language Access training.
II. Monitoring and Program Reviews
Policy and Planning Division
➢ On a periodic basis, PPD reviews existing procedures to ensure compliance with Title VI.
➢ PPD has a Title VI Coordinator who attends monthly OCR meetings.
Office of Environment
The Office of Environment has an ongoing process of reviewing and editing policies and/or procedures to ensure Title VI requirements, such as The Environmental Manual (TEM) and the Environmental Tool Box. The OOE Title VI coordinator attends monthly meetings facilitated by the Office of Civil Rights and responds to all reminders from management or others regarding Title VI requirements. The OOE online quarterly newsletter ESLA regularly features guidance on Environmental Justice and Title VI compliance.
The Main Office Engineering Division’s annual update included data collection methodology, Title VI monitoring procedures and public involvement requirements that reflect major elements contained in a Title VI Program Review.
Region One - All of the region’s functional units have designated Title VI Coordinators, responsible for ensuring dissemination of and compliance with Title VI guidance and requirements applicable to their units’ activities. In addition, the Coordinators serve as contacts for assistance with Title VI matters within their units. Following are two specific examples of self-monitoring activities led by functional units’ Title VI Coordinators during the reporting period.
The Region’s Title VI Coordinator also serves as Design’s Community Participation Coordinator, and assists project managers with development and execution of public involvement strategies for all projects in design, incorporating Title VI-related measures as needed.
Region 2 - Compliance is monitored and ensured by established quality assurance and quality control procedures and practices during the work planning process and daily business activities.
Region 4 - The region’s planning group continuously self-evaluates to ensure compliance. Staff examines daily operations to ensure that all self-monitoring policies are met. Further, Design has implemented a new Regional Design Instruction for the Title VI Scoping Checklist that involves the Design Title VI Coordinator and the Regional Title VI Coordinator in the early stages of design. Each project requires an Environmental Scoping meeting and a Public Involvement meeting in the early stages of planning.
Design established a method of collecting Title VI data quarterly, rather than annually in order to improve reporting of Title VI activities. The Design Title VI Coordinator sends an email notification to each design squad each quarter asking them to complete the Title VI Reporting Notice for the corresponding quarter. Design Squad Leaders are given 30 days to provide those reports, which are used to complete this Title VI Annual Report.
Construction - Two regional construction employees were members of the Region 4 Title VI Committee during this reporting period:
1. Tom Martin, Regional Construction Environmental Coordinator – ADA/EJ/LEP issues
2. Troy Salley, Regional Compliance Specialist – Discrimination issues
The Regional Construction Environmental Coordinator conducts periodic site visits to confirm ADA-compliant access routes are available at construction work zones.
The Regional Construction Environmental Coordinator (RCEC) periodically reviews draft design plans to confirm the inclusion of ADA-compliant facilities. The RCEC sends a questionnaire to EICs and Office Engineers every three months and reports Title VI-related training, activities or accomplishments during the previous quarter.
Regional and Statewide staff perform annual Work Zone Traffic Control (WZTC) reviews, including pedestrian accommodations within work zones.
Right of Way – The Office of Right-of-Way has a Title VI Coordinator who regularly attends scheduled meetings. Ongoing communications within the Office of Right-of-Way has been a key factor to ensure compliance and non-discrimination.
Operations - Resident Engineer meets individually with supervisory staff to discuss Title VI compliance concerns and provides follow up.
Operations performs self-monitoring through annual training, routine communications, and supervisor/manager discussions concerning highway maintenance service requests. This communication network also alerts staff of potential LEP concerns.
Region 10 –
• Construction: Construction has two Regional Compliance Specialists to ensure compliance with required provisions. The Regional Compliance Specialists conduct two annual compliance reviews of construction firms; the review is an in-depth evaluation of the firms’ practices including Title VI procedures. The Regional Construction Group has a designated Program Area Title VI coordinator.
• Design: The Regional Design Group has a designated ADA and Program Area Title VI coordinator.
• Planning: The Regional Planning Group has a designated Program Area Title VI coordinator.
• OROW: Periodic reviews of policies and/or procedures for Title VI compliance are conducted.
• Traffic & Safety: There was no follow-up during the reporting period. The Regional Director’s office has a designated Regional Title VI coordinator and the Regional Traffic Group has a designated Program Area Title VI coordinator.
• Transportation Maintenance: In August 2015, Maintenance completed the annual “Environmental Audit.” This is a self-audit of its facilities for compliance with environmental requirements. The process begins each May for activities that occurred during the previous year. Tthe Regional Transportation Maintenance Group has a designated Program Area Title VI coordinator.
III. Public Awareness and Outreach
MO - Office of Environment
Over the past year, the OOE staff developed and added a Social - Economic webpage to the OOE website. The Social – Economic webpage provides Department staff with guidance and direct electronic links to Environmental Justice, Environmental Justice Screening, Title VI, the Department’s Office of Civil Rights and the Department’s Title VI Discrimination Complaints Procedures.
The OOE staff continues to produce an electronic formatted OOE quarterly newsletter titled OOE’s ESLA (Environmental Sciences and Landscape Architecture) Newsletter. The newsletter is shared electronically with all Department environment and landscape architecture staff across the State and with other Department staff outside of OOE. As a regular feature, each issue provides guidance and related electronic links on Title VI and Environmental Justice content.
Mo - Policy and Planning
1. The Policy Bureau has conducted one meeting (June 30, 2015) for transportation stakeholders (shippers, industry, MPOs, etc) on the plan development process for a new Freight Plan. Two meeting options were offered, in person or via webinar, as circumstances allowed. A website to share information more broadly is being developed.
2. Indirectly the Statewide Planning Bureau participated in public outreach by sponsoring 4 community Complete Streets Workshops in 2014 that were attended by bike/pedestrian groups, local health organizations and elected officials. This group provided perspectives from a broad array of community interests.
Region 1
The region distributed 700 information flyers regarding six projects via mail and door-to-door. Of these 500 were distributed door-to-door.
During the reporting period, public meetings, direct mailings and other outreach to local residents and business owners as well as discussions with municipal officials provided opportunities for local input both on project design and on the potential effects of construction activity on the surrounding area. Field visits, mail notices and other local outreach efforts were conducted to introduce projects to the community and solicit community input on concerns which should be considered in project design.
Design conducted three public informational meetings during the reporting period: one on December 11, 2014 for a project which will replace the Route 23 bridge over the Schoharie Creek in the Greene County (23 residents signed in at this meeting), one on April 23, 2015 for a project to replace the Route 150 bridge over the Wynantskill Creek in the Rensselaer County (20 residents signed in at this meeting), and one on July 29, 2015 for a safety improvement project in Schenectady County (33 residents signed in at this meeting). All of these meetings were held in locations accessible to individuals with disabilities.
A fourth public information meeting was planned for August 27, 2015 for a project to replace a bridge in Essex County and partly in Clinton County. An estimated that 30 people were expected to attend this meeting at a location that is fully ADA accessible. Together, the Region reports that at least 106 members of the public attended these meetings.
Although there was not a need for LEP assistance, nevertheless project staff are always prepared to respond in the event of any late determinations requiring LEP accommodations. The Region has placed copies of the “One Moment Please” poster, the Language Identification Tool poster and the guidance material regarding working with translators in supply boxes that Design staff takes with them to all public meetings.
In addition to the four public meetings, Design conducted one public hearing. The hearing held May 27, 2015 was at a fully-accessible site attended by 45 people.
There were ten design phase project information mail-outs to area residents and property owners during the reporting period, reaching approximately 1,650 recipients.
When warranted, Design notifies local officials, emergency responders, school districts and affected county/state agencies of every project in design or starting construction, and encourages these parties to use their Web sites, local newsletters and other means to supplement standard public communication measures (e.g., press releases and the use of variable message signs) notify the community of these projects. Such “officials only” notices were distributed regarding 15 projects during the reporting period. In addition, officials were notified of 16 other projects (6 starting construction, 10 in design) previously referenced.
Design screens all projects for Title VI issues and uses various local media outlets to provide information on projects to potentially affected populations. They also work closely with local officials to identify and contact community groups or representatives of unique constituencies that could be affected by projects. The public informational meetings held during the reporting period continued the practice of using visual presentation, including PowerPoint presentations and display boards showing project concepts on orthoimage backdrops, pedestrian’s eye-level illustrations and photosimulations. While reports and other project documents require significant amounts of regular narrative, Design avoided exclusive reliance on narrative to explain concepts.
Region 2 - The Regional Office of Operations, working with Residency field offices, undertakes the following measures to ensure that work activities are implemented in a Title VI/Nondiscrimination manner:
• Maintenance operations are monitored to ensure nondiscrimination.
• Activities and programs are reviewed to ensure that maintenance efforts and resources are applied uniformly and fairly.
• Projects are reviewed for application of DBE program requirements.
• DBE general special provisions are included in projects with assigned goals.
• Title VI language is included in contract advertisements and award letters to encourage the utilization of DBE firms. Contracts are awarded on the basis of the lowest responsive bidder including DBE requirements.
• Working with existing DBE firms to identify possible barriers to their participation in contracts.
• Providing supportive services to DBEs.
Public information meetings typically are held at a municipal building near project sites at convenient and accessible locations and at convenient times. Visual aids are used at all public meetings. Meetings are advertised via press releases and affected individuals receive direct mailings. For larger projects with greater impact, the Region uses the Department Website and social media (Facebook and Twitter) to communicate to the publc. Scope, Cost and Schedule information for all projects is available on the Department’s website (Projects in Your Neighborhood). During the reporting period, public information meetings were held for the following projects:
• 12/4/14 – Route 365A Safety Improvement Project, City of Oneida
• 2/5/15, 2/10/15, & 2/12/15, 4/9/15 – Critical Bridges over Water Program
• 4/9/15 – Route 28 Paving Project, Town of Forestport
• 4/22/15 – Route 28 Paving Project, Town of Webb (2 sessions, afternoon & evening)
• 6/25/15 – Route 5S Safety Improvement Project, City of Utica (2 Sessions, afternoon & evening)
The Planning group held a public hearing was held on 7/20/15 to discuss the Unit Management Plan for the Remsen-Lake Placid Travel Corridor.
The Region’s liaison has worked with the region’s tribal group (The Oneida Indian Nation) since 1992 and has established a good working relationship.
The Region also notes the following outreach details:
• North-South Arterial facebook page has been added to social media
• Public advisory/travel announcements are sent to various resources (newspapers, radio, and television) to reach a broad audience.
• Visual aids at public meeting include several large boards showing potential project designs, along with Powerpoint presentations. (Route 5S Project, Dustin Road over Kayuta Lake Project)
CONSTRUCTION GROUP -
Region 2 Construction staff attends all required or upon request public meetings. They are active with local community based organizations including providing student tours. Most of their Public Outreach is in collaboration with other Regional Departments. Using regional communication channels, they provide information to the public regarding construction work.
Region 3 - Beginning August 2014 and continuing through to September 2015, the Onondaga Nation liaison has been in close contact with the Onondaga Nation regarding Route 11 MBC Project through the Nation.
Re: I-81 Viaduct project, Eileen Moore (Office of Right of Way) serves as a NYSDOT representative at the I-81 Viaduct informational display at the Carnegie Building in Syracuse. The display is open to the general public and provides visual displays/detailed information of the various project alternatives being considered.
Traffic and Safety has used interpretation services multiple times in the last year to assist applicants obtain information, or has directing clients to the appropriate office for assistance.
Region 4 – Regarding the public outreach for the City of Rochester’s project (Dewey/Driving Park Intersection Realignment), the Region created a public participation plan to identify the number and type of meetings that could be conducted to solicit input from a wide variety of groups in the design process. The plan included visual aids such as renderings and graphics that were displayed at the meetings.
For this and other projects, Region 4 prepared a Public Involvement Plan (PIP) in the early stages of development. In the preparation of each PIP, the design engineer consulted with the regional Title VI coordinator to discuss Title VI populations that could be affected by the project in order to mitigate or eliminate negative outcomes.
The Design group created a Public Involvement Database in 2014 to store and organize the names and addresses of potential stakeholders including public officials and community groups. This database can be sorted by the municipalities that they have indicated an interest, and then used to alert those contacts via email or the USPS whenever projects are planned in those areas. Design sent fifty-six mailings of public outreach letters/emails to project stakeholders using the Public Involvement Database this past year.
During the reporting period, the Public Information Officer managed a regional Twitter account - @NYSDOT Rochester. The account is accessed by a number of diverse Environmental Justice groups and interested individuals. All press releases and travel advisories are posted to this Twitter account. The Region also utilizes social media in the public involvement plans for each project to announce public meetings and hearings. Local municipalities also play a role to promote the Region’s work via social media. In addition, the NYSDOT Main Office manages a NYSDOT Face Book page and twitter account, @NYSDOT, to emphasize and support regional efforts.
Region 4 Design held the following meetings this past FFY:
• On October 21st, 2014, Design held an open house public information meeting at the Webster Village Hall in the Town of Webster, Monroe County, to encourage public participation and input concerning a pavement rehabilitation project in the village. The Webster Village Hall is within walking distance of the project limits, is easily accessible, ADA-compliant, and on a city bus route. Approximately two weeks before the meeting, letters announcing the event were sent to all of the interested and relevant project stakeholders listed in the Public Involvement Database. The Region advertised the meeting in the Rochester Democrat and Chronicle as well as the local weekly, the Messenger Post Media. The town and village websites relayed the announcement via their respective websites. R-4 also announced this meeting on Twitter and posted pictures and information during the meeting.
• The second public meeting was held February 5, 2015. It was an open house meeting and formal public hearing concerning the 531 Terminus project at the Spencerport High School located in the Town of Ogden, Monroe County. The Region selected a location that is easily accessible to the local community, ADA-compliant, and intersects with a city bus route. Approximately two weeks before the meeting, letters announcing the event were sent to all interested project stakeholders listed in the Public Involvement Database.
For this meeting, the Region advertised in the Rochester Democrat and Chronicle as well as the local weekly, the Messenger Post Media and announced it on Twitter. Public hearing information and project details were available on NYSDOT Region 4 project website.
• R-4 held a third public meeting and formal hearing on June 25th, 2015 at the Gates Town Hall, centrally located near the 390/490/Lyell Avenue project. This location intersects a city bus route, is ADA-compliant, and easily accessible to the public. Approximately two weeks before the meeting, letters announcing the event were sent to all interested project stakeholders in the Public Involvement Database. Advertisements were placed in the Rochester Democrat and Chronicle as well as the local weekly, the Messenger Post Media and announced it on Twitter. Public hearing information and project details were posted to Region 4’s project website.
• Construction project information is posted to the Department’s public website under the “Projects in Your Neighborhood” tab. This tab features a search function and an interactive map showing construction projects. ()
• Press releases are issued by the Regional Public Information Officer (with assistance from the Engineer-In-Charge) to inform the general public of traffic impacts that may occur during construction.
• The Engineer-in-Charge (EIC) receives a mailing list of stakeholders from the project designer at the start of construction. The EIC uses this list to reach out to stakeholders during the construction phase.
• The Regional Construction Office has a published phone number and hundreds of project-related calls are answered each year.
• The Right-of-Way staff participated at two public meetings during the projects’ design phase. The first was held February 5, 2015 for the Route 531 project that include 5-6 relocations. The second meeting was held June 26, 2015 for the 390/490 project that include 6 relocations.
• Work is continuing on five parcel surplus properties for the Office of Right-of-Way auction that will be held in October 2015. The parcels can be viewed on the NYSDOT surplus property website. The website will include information about the overall auction process, date of the auction, and an auction brochure. The site states that an assistive listening system, sign language interpretation, or other accommodations are available upon request.
• The website links directly to the region’s e-mail, where individuals can contact us directly and ask to be included on the mailing list for future auctions.
Region 5 – The Design Group hosted a public information meeting Tuesday April 14, 2015 to discuss the proposed detours and traffic controls associated with the I-290 over Delaware Ave. and Military Road project. The meeting was held at the Sheridan Parkside Community Center, 169 Sheridan-Parkside Drive, in Tonawanda, NY.
Flyers were distributed to invite the public to the meeting. Large work zone traffic control displays and a continually running Traffic Model of the project and surrounding area were used to visually present project information at the meeting. Some of the traffic model clips were uploaded to the project specific webpage.
The Region mailed and hand-delivered flyers to business owners potentially affected by the project.
The Design Group also contacted a few specific businesses (Kenmore Mercy & GM Powertrain) some of whose employees were recruited to distribute flyers.
The Town and City of Tonawanda officials and emergency services were invited to the meeting. The Town of Tonawanda police posted the meeting flyer to their Facebook page. Letters were sent to elected officials representing the areas affected by construction. A similar ad was placed in the Kenton Bee and a press release was distributed via social media. The public information meeting was staffed by the Regional Design & Construction Engineers, Project Manager, Design Job Manager, Construction Supervisor, Engineer-in-Charge and the Public Information Officer. Small groups of (1-4) were shown the WZTC displays by a NYSDOT representatives who discussed the WZTC scheme, construction schedule and anticipated impacts. Meeting attendees had the opportunity to ask questions. Approximately 40-45 people attended the public information meeting. Other public meetings follow:
• April 14, 2015 at D’Youville College for the New York Gateway Connections Improvement Project at the US Peace Bridge Plaza. The notification was published in both English and Spanish in the Buffalo news and local/community publications. Local officials were notified via e-mail, and local media outlets received a press release announcing the meeting. The construction activities planned for the summer of 2015 and the planned detour and ramps restrictions were shown on display boards and in handouts. Project staff was present to discuss construction impacts.
• April 16, 2015 for the US Route 62 and Sowles Road intersection reconstruction project, at Hilbert College in Hamburg, NY. An ad was placed in the local weekly Hamburg Sun newspaper to advertise the meeting. Also, letters informing the community of the meeting were sent to affected property owners, and flyers were distributed to individual households and businesses in the vicinity of the project. The meeting was held in open-forum format with displays and information stations staffed with NYSDOT representatives familiar with the details of the proposed project.
• April 28, 2015 for the Niagara Falls Blvd, Sy Road to Bergholtz Creek Project. The event was held at the Wheatfield Community Center. The notification was published in local/community publications. More than 30 residences and businesses in the project vicinity were notified of the meeting by mail. The meeting included an informal session at which project plans details/alternatives were displayed and DOT staff were present to answer questions.
• May 14, 2015 for the proposed highway improvement project on Sweet Home Road (NY 952T), from Maple Road to Rensch Road, at Sweet Home Senior High School in Amherst, NY. An ad was placed in the local weekly Amherst Bee and the University at Buffalo Spectrum newsletter to advertise the meeting. Additionally, flyers were distributed to individual households and businesses in the vicinity of the project. The meeting was held as an open forum format with displays and information stations staffed by NYSDOT representatives familiar with aspects of the proposed project.
• June 22, 2015 for the Walden Central Intersection Improvement Project. The event was held at the Lancaster Village Hall. The notification was published in numerous local/community publications. More than 12 residence and business owners in the project vicinity were notified about the hearing by mail. The hearing included a formal presentation as well as an informal session at which project plans details/alternatives were displayed and NYSDOT staff were present to answer questions.
• June 24, 2015 for the Chestnut Ridge Road and South Buffalo Street Rehabilitation Project. The event was held at the Orchard Park Village Hall. The meeting notification was published in numerous local/community publications. Residence and business owners in the project vicinity were notified about the meeting via information flyers.
• A Public Information Meeting is scheduled for July 30, 2015 for the Scajaquada Corridor Reconstruction Project. The event will be held at the Fredrick Law Olmsted School (Public School #64) in the City of Buffalo. Project staff will attend to answer questions and provide information about the project studies from 6:00 to 9:00 p.m. A formal presentation will also be included. The meeting notification will be published in the Buffalo News in both English and Spanish.
• In addition, representatives from Design meet monthly with Jody Clark, the Director of Dept. of Transportation, Seneca Nation of Indians, to discuss current capital improvement projects on the Seneca (Tribal) Nation. Current capital improvement projects on the Seneca Nation include the Red House Bridge Project and the I-86 Phase II Project. Design staff regularly consult with the Nations as part of the Section 106 process for capital projects on Tribal Areas of Interest.
Region 7 – R-7’s five counties - Clinton, Franklin, Jefferson, Lewis, and St. Lawrence – are rural, and employ a number of approaches in reaching out to elected/appointed officials, the public and other individuals as transportation decisions affecting local communities are made. Examples of these approaches include the following:
• Distributing a public outreach survey to over 200 local officials, interest groups, and individuals to determine interest in the Region's program development process and to help establish a mailing list;
• Holding project meetings at the City, County, Village and Town levels to elicit public comments and suggestions from individuals, local government officials, the traveling public, property owners, businesses and local interest groups;
• Hosting Transportation Enhancement Program (TEP) workshops at three different locations within the Region.
• Meeting with County Highway Superintendents, City Engineers, local officials, planning boards, and community groups to discuss local project selection for the Region's Capital Program and other issues of mutual concern;
• Holding regional workshops attended by Regional staff and local officials to discuss local highway and bridge projects;
• Arranging meetings between the Region's Consolidated Highway Improvement Program (CHIPS) Coordinator and the various highway superintendents at the Town level to discuss the use of CHIPS funding to improve the overall transportation system;
• Conducting annual training seminars for newly elected public officials in rural areas and highway superintendents throughout the region regarding the Consolidated Highway Improvement. Program (CHIPS). Topics include program overview, eligible projects, networking, and the administrative process for obtaining funding;
• During the Scoping Phase of each major highway/bridge projects, the Planning Department issues an outreach letter to obtain input from municipalities and those with political interest in the proposed project. Where economically feasible implement the local needs of the municipality;
• Region 7 includes the St. Regis Mohawk Indian Reservation. For projects on or near the reservation, special meetings are arranged with the tribe to discuss the project throughout the scoping/design process.
• The Franklin County Resident Engineer has frequent contact with the various tribal government officials including the Director of Infrastructure and Director of Economic Development, via meetings, emails and telephone conversations. The Resident Engineer provides technical advice and assistance to the Tribal Director of Infrastructure as it relates to the various reservation roads, while working in partnership with the tribe to maintain the road network.
The Amish community has a significant presence in Jefferson, Lewis and St. Lawrence Counties but typically does not participate in government affairs. Projects that have a significant effect on the community such a bridge closing or culvert replacement are the exception. In the case of a site detour, R-7 officials meet with individuals and elders from the community.
Whenever the Region reconstructs a highway segment in an area populated by Amish (even if only for a culvert project), R-7 tries to adjust the work to include the current standard for shoulder width for their use and safety.
The Saint Regis (Akwesasne) Mohawk Tribe and Sovereign Territory is located within the Region. Currently, there is one safety improvement project in the design phase on the Reservation at Route 37 at Frogtown Road. R-7 officials have met once with tribal leaders and environmental staff and will be continue discussions on the project.
The following public meetings and/or hearings were or will be held during FFY 2014/2015:
|703409 - RT. 345 @ CR.35 (SAFETY) |
|714332 - RT. 11 over CSX RR (DEKALB) (BIN 1008750) |
|711516 - RT.3, ARSENAL ST / CSX & CEDAR (BIN 1000500) |
|780589 - BLACK RIVER TRAIL EXTENSION (01/15/15) |
|775353 - ARTHUR JARVIS RD / LITTLE AUSABLE RIVER (06/15/15) |
|775315 - RT.283, FACTORY ST., WATERTOWN (06/2015) |
Region 7 staff is present at each public meeting and/or public hearing to answer questions, identify individuals who may be affected by proposed projects, and provide information concerning the land acquisition process to alleviate stress and anxiety about upcoming projects. Part of this presence is the disbursement of information concerning the availability of language interpreters, other public agencies who may be able to provide assistance, and contact information for the local Office of Right of Way that may be handling acquisitions for the project. At such public meetings, the public’s ADA concerns are evaluated in conjunction with the ADA Accessibility Guidelines to ensure meeting access for all.
Region 8 - Planning and Public Outreach is primarily accomplished through the Metropolitan Transportation Organizations (MPO’s). MPO’s meetings are conducted at convenient times and accessible locations. Websites are used to announce meetings and provide information.
Region 9 - To facilitate consistently good public outreach best practices, a cross functional Regional Public Involvement Team meets monthly to discuss public outreach policies, best practices, and upcoming public outreach events including Title VI topics. During the reporting period, a staff member from the Regional Real Estate Group regularly began attending meetings to better increase awareness of public interactions.
Each capital project is assigned a public involvement coordinator, who prepares a public involvement plan, which identifies stakeholders, including Title VI populations and community based organizations and recommends public outreach activities as appropriate to the project. The list of stakeholders is identified using a variety of resources, including, but not limited to, experience; GIS data; field visits; local websites; internet searches; local input; and county contact books.
The Regional Planning & Program Management Office is also responsible for oversight of local projects. The Regional Local Project Liaisons work with the Public Involvement Coordinators to provide guidance to the locals on public outreach best practices.
Meeting notices, letters, and other project correspondence are sent to local officials and other stakeholders in a project area. Hand distribution of meeting announcements is also frequently used and is one way to reach low income individuals, who may change addresses frequently.
The region continues to maintain a Facebook page for the Prospect Mountain Project.
Broome County, a sub-recipient, is creating Facebook pages as a standard practice for projects. For one federally funded trail project, they used signs along a trail that is to be upgraded to inform people about the project and encourage them to visit the Facebook page or contact the Project Manager.
Public meetings, hearings, and other outreach events are held at locations familiar to the community such as schools, town halls, or fire stations. Meetings are usually held in the evening. Open houses are often used to maximize the time that NYSDOT staff is available to the public. Additionally anyone who can not attend a public meeting is encouraged to contact NYSDOT staff to make arrangements to meet separately or discuss the project by phone or e-mail.
During the reporting period, NYSDOT staff also held smaller on-site meetings to accommodate needs of stakeholders especially impacted property owners, who are most affected by the project. This can be especially important if a property owner has limited mobility or limited transportation options.
R-9 held twenty-six public outreach events during the reporting period (October 1, 2014 to September 30, 2015 in various locations accessible to the general public. At these meetings, visual aids were used. These ranged from basic handouts or PowerPoint presentations to more detailed visualizations of completed projects or traffic animations as appropriate to the project.
The regional cultural resource coordinator works with the designated tribal representatives (for nine tribal nations) to extend to them an opportunity to review and comment on projects that partially or completely cross each nation’s “Area of Interest.”
Region 10 Construction area supervisors and engineers in charge of projects attend community informational meetings to explain the construction activities in the community. If LEP assistance is needed, Construction staff contacts the Regional Title VI Coordinator.
During the reporting period, project managers, with assistance of the Regional Public Involvement Coordinator, sent out notification letters for approximately 13 different projects to public officials to notify them of projects in their communities. As a quick reference for department staff, public officials and local municipal staff, a project information sheet or location map is often included with the public official’s notification letter. The information outlines the proposed project improvements to assist in responding to project information requests from their constituents. Additionally, project managers rely on press releases/travel advisories prepared by the regional public information officer and posted to NYSDOT’s website, TWITTER, FACEBOOK and notices to local news outlets to reach a broad range of stakeholders.
Two public informational meetings were held for the purpose of receiving responses from the public relating to the Sagtikos/Sunken Meadow State Parkway Operational Study in Suffolk County. The consultant, in conjunction with the Regional Title VI Coordinator, conducted a Title VI review and identified a significant Hispanic population within the study area. When advertising the two scheduled public information meetings, an ad was placed in Noticias, a local periodical which serves the Spanish speaking population.
Office of Right of Way public outreach meetings include a booth in order for staff to discuss OROW issues related to the project area. Interpretation services, if required, are available.
The Traffic staff and public involvement coordinator organized a meeting of a safety improvement project on NY27 between the NYC/Nassau County line in Nassau County and Monroe Avenue in Suffolk County. NYSDOT staff reached out to villages, school districts, police departments within the project limits for their ideas/input for the types of safety improvements needed in their respective areas.
The Planning and Design groups conduct the initial planning and public outreach efforts and work to promote full and fair participation by all segments of the population. Six regional Maintenance Residencies provided highway maintenance operations for approximately 5,300 lane miles of the state highway system and approximately 543 bridge structures for the entire length of Long Island from the Queens/Nassau County line in Nassau County to the end of the Twin Forks in Suffolk County.
IV. Procedures, Manuals and Directives
Policy and Planning Division - The PPD Local Programs Bureau has incorporated updates into Chapter 13 of their Local Programs manual to include information on Local Agencies Title VI requirements, Title VI Complaints, Title VI Program Reviews and a sample Title VI Plan. These revisions are in the final Clearance Review process and are expected to be released to the public in the near future.
The Office of Environment (OOE) staff have prepared a draft Environmental Justice Abstract to be included as Chapter 4.2.4.4 in the repository for Department guidance on environmental issues, titled “The Environmental Manual (TEM)”. This draft is currently being circulated informally for review and comments prior to final editing and issuance.
OOE staff established a Socio-Economic Team, consisting of OOE staff, regional staff and other Main Office staff who meet regularly. The Team drafted a Socio-Economic Team Charter that continues to be refined.
OOE staff developed and posted a OOE’s Social – Economic Program Area webpage, previously cited with screen save attached: “OOE Social – Economic webpage Screensave.”
Region 1 - Planning and project development activities rely on the Department reference materials as well as procedures discussed in this report.
Region 2 – Design Group - Title VI/nondiscrimination provisions are included in the Project Development Manual, (),
Highway Design Manual ()
and the Public Involvement Manual ()
These policy and guidance documents are developed and maintained by various Main Office groups.
Publication 6 (Acquisitions) and Publication 8 (Relocation) brochures are available in various languages upon request.
Title VI/nondiscrimination provisions are included in the Project Development Manual, (), the
Highway Design Manual ()
and the Public Involvement Manual ()
These policy and guidance documents are developed and maintained by various Main Office program areas.
Region 4 – The Genesee Transportation Council is currently in the process of updating the its Long Range Transportation Plan (LRTP) that the Region 4 Planning Group uses in its work. The LRTP specifies that special attention is needed for those groups of persons traditionally underrepresented in the transportation process to increase their involvement.
The planning group also uses the Transportation Improvement Program (TIP), which identifies the timing and funding of all projects scheduled for implementation in the region during the next five years using federal transportation funds. The TIP recognizes the need to incorporate Title VI and describes the methods taken to ensure environmental justice.
The planning group uses the Unified Planning Work Program (UPWP), which is the program of federally-funded transportation planning activities to be undertaken each year. This program identifies the need to pay special attention for those groups of persons traditionally underrepresented and to identify/address the environmental justice implications of planning processes and investment decisions.
In March 2015, the Regional Design Title VI Coordinator authored a new Regional Design Instruction (RDI) to issue the Title VI Scoping Checklist, Title VI Quarterly Reporting Notice, Title VI Background and Definitions, and Title VI Frequently Asked Questions in an effort to streamline and improve consistency in Title VI processing and documentation.
The following documents used by Right of Way have Title VI-related language in them:
• Surplus Property Purchase Agreement ROW 430 Clause 17 is Title VI
• Rentals would be ROW 75 Clause 21 is Title VI
Operations’ primary function is maintenance of the highway system. The design/development of manuals and guidance documents for the DOT and the inclusion of the Title VI provisions into these documents is generated by the Department’s Office of Civil Rights.
Region 5 - Appendix 2 of the Project Development Manual (Public Involvement Manual), is used for planning and conducting public outreach in project scoping and design. Every project progressed through Design includes a Public Involvement Plan that is developed before project scoping, and updated during design and construction.
Region 6 Right of Way utilizes the brochures and documents that are provided to us by Main Office Right of Way which incorporate Title VI provisions. Planning relies on the following documents:
NYSDOT Project Development Manual Appendix 1:
NYSDOT Project Development Manual Appendix 2, Public Involvement Manual:
NYSDOT Highway Design Manual Chapter 7, revised by EB 14-036
NYSDOT Highway Design Manual Revision 80, Engineering Bulletin 14-036, dated 10/24/2104
Region 8 - Planning and Program Management: Title VI/Environmental Justice information and data are used in the development of the MPO’s long range plans, TIPs, UPWP, and studies to insure that specific interests are addressed. Each MPO certifies Title VL compliance and is reviewed periodically by FHWA and FTA. Municipalities with large numbers of minority and/or low income population are represented on the MPO and advocate for their citizens.
Region 10 Title VI non-discrimination language is incorporated by reference and is part of the contract agreement for each project under Article 17. Non-discrimination requirements are included in the Standard Specifications.
ADA compliance requirements are addressed in various projects and in the ADA Compliance Block Grant projects which identify, upgrade, and construct curb ramps. As an additional check point for Complete Streets and pedestrian facility improvements, all projects, regardless of scope, prepare a GreenLITES program form which includes consideration for upgrading or constructing new pedestrian facilities.
For all projects in the Initial Project Proposal stage on or after September 1, 2015, staff will begin implementing the new NYSDOT’s Capital Projects Complete Streets Checklist issued under the NYSDOT’s Statewide Engineering Bulletin 15-019, approved June 24, 2015.
Planning: During the planning stages of projects or studies, the data is utilized to determine Title VI implications. The planning group will also adhere to the new Complete Streets Checklist issued under NYSDOT’s Statewide Engineering Bulletin 15-019.
OROW provides comments at meetings related to the preparation of manuals and materials when asked.
Traffic & Safety staff follows the Federal MUTCD and all Traffic Safety & Mobility Instructions.
V. Environmental Justice
The Main Office Policy and Planning Division uses the “Public Involvement for Transportation Planning” manual that describes outreach responsibilities, including EJ populations..
The Office of Environment (OOE) staff continue to develop and provide guidance and direction to Regional staff on the environmental justice analysis process. This is aided by the development and posting of the OOE’s Social – Economic Program Area webpage, previously cited with screen save attached: “OOE Social – Economic webpage Screensave”.
Region 3’s Office of Right-of-Way (OROW) participated in three declaration and decrees which released and annulled “without access” highway boundary lines to accommodate designated, signaled crosswalks and sidewalks for the public. This covers the City of Syracuse where a significant percentage of minority and low-income people reside. The Region worked closely during this period on a Maintenance by Contract (MBC) project through the Onondaga Nation. Also, the OROW erected signage in the Onondagan language on I-81 and along Route 11.
Region 4’s environmental staff worked with the engineering staff and determined that the 390/490/Lyell Avenue project is likely to increase traffic noise affecting adjacent residential neighborhoods. Affected residents were invited to several public meetings in 2013 at which they expressed interest in the installation of sound barriers. Sound barriers have been included in the design of this project.
Region 5 The Regions conducted a preliminary Environmental Justice Analysis for the “Old Route 17, Bunker Hill Road to Breeds Run Road (Red House)” project. The analysis examined land use, neighborhoods, community cohesion, social groups, community facilities and services, and environmental justice populations within the project area. The analysis identified low-income and minority populations within the study area. Based on anticipated effects and the study area composition, the Region determined that the project would not directly or indirectly unlawfully discriminate against this population.
Region 6 - The Region identified “Alfred Station Intersection Upgrades, BIN 1042910 over Canacadea Creek” project as being located within a designated Environmental Justice area. The project will not divide neighborhoods, isolate any part of a neighborhood, displace residents or businesses, generate new development or otherwise disrupt or interfere with community cohesion since it is located in a rural area. The project is expected to improve the connectivity of the SNI Allegany Territory.
Region 10 - NY 347 Reconstruction project between Terry and Gibbs Pond Road is progressing as a Design-Build project, and is part of the Final Environmental Impact Statement for the original 15 mile corridor-wide NY347 project. There were no EJ concerns identified in the specific areas covered by the initial project phase. For FEIS documentation, refer to .
Examples of EJ activities in Transportation Maintenance include:
• Removing noxious plants (poison ivy, sumac and oak) and hazardous trees that were encroaching on sidewalks;
• Removing bird droppings from sidewalks under bridges;
• Inspecting outfall pipes to identify sanitary sewage and toxic household products that were improperly dumped into storm drains; and
• The Pavement Marking crew continues the use of epoxy paint for pavement markings. Epoxy paint does not release harmful solvents into the air.
VI. Title VI Data Usage
Policy and Planning Division
The Policy and Planning Division has consistently participated in a Title VI Data working group to develop a guidance document related to the use of Title VI data collection, analysis, and reporting. Customers for this document include NYSDOT main office and regional program areas, MPOs (and other sub recipients) and other stakeholders. A draft Title VI Data Policy statement is attached to this report.
The MPOs are collecting and analyzing Title VI data for their respective metropolitan planning areas. This includes identification of the locations of socio-economic groups (low income, minority, ADA, LEP, and elderly). Refer to Attachment 11 for specific references to MPO data collection activities.
The Office of Environment staff provides guidance to the Regions and Main Office staff on collecting and analyzing data regarding race, color and national origin. The OOE Social – Economic Program Area webpage provides a direct link to the US Environmental Protection Agency’s EJSCREEN () for reference and as a tool for demographic reporting on Environmental Justice, LEP and ADA data gathering. The EPA’s EJSCREEN provides a method to display demographic and environmental information for a project area using publicly available data. Refer to the link as an example of a demographic report produced using EJSCREEN for the Pine Hills area of Albany () and a screenshot attached, entitled: “OOE EJScreen, Pine Hills, Albany, NY”.
New York State’s 13 MPOs conduct EJ analysis of Plans and TIPs based on Census and ACS data for their planning areas. Information on specific MPOs can be accessed from this link: http//.
The Statewide Planning Bureau has oversight functions of the 13 MPOs in NYS. Its oversight function is to ensure the MPOs are collecting and analyzing Title VI data for their respective metropolitan planning areas. This includes identification of the locations of social-economic groups (low-income, minority, ADA, LEP and elderly).
Region 1 The EJSCREENS identified 26 NYSDOT projects that were in or near Environmental Justice areas, but none were immediately adjacent to EJ populations. The disposition of the 26 projects is summarized as follows:
• The Region conducted “Four Factors” analyses for 75 NYSDOT projects and 30 local projects. Regarding Factor 1, “The number and proportion of LEP persons potentially served by the recipients programs or activities and languages spoken in the recipient’s service area,” each project’s surrounding area was screened for the potential need for accommodation of LEP populations in project outreach. R-1 recognizes that nearby populations not only live near a transportation facility but also make use of it themselves; in addition, other populations do not live near the facility but use it.
Accordingly, R-1 looked at the setting for each project to identify where LEP populations living near and/or most likely to use the facility are located, and in turn, to determine whether there was a need for signage, brochures or other guidance provided in appropriate languages to ensure that LEP individuals understood the nature of the work to take place and how to travel safely in the area of the project. Of the 75 NYSDOT projects analyzed, four were initially flagged as exceeding the 5% LEP threshold, but in all four instances these were cases of remote corners or edges of large LEP tracts that were not in NYSDEC-designated LEP areas and the projects were not of types expected to require detailed communication of project details or safety information with people traveling through the project area.
• Regarding Factor 2, “The frequency with which LEP persons are affected by the programs or activities,” the Region understood “affected by” as a reference to adverse impacts of a project, such as (1)noise, dust or construction vehicle traffic during construction, (2)the introduction of additional traffic to an area because of the construction of a new facility and (3)adverse aesthetic or social impacts (the latter e.g., “would the project introduce a physical barrier separating parts of the community from one another?). During the reporting period, R-1 considered all of these variables and concluded that LEP persons would no be adversely affected by R-1 projects.
• Regarding Factor 3, “The importance of the effects of the recipient’s program or activity on LEP persons,” the Region considered whether a project would maintain or enhance local mobility or safety for LEP populations. R-1 assessed that its projects will in fact provide benefit to all populations living near and/or using the facilities to be constructed or improved.
• Regarding Factor 4, “The resources available to the recipient,” determinations on local outreach requirements are based on the nature of the project and the characteristics (including LEP status) and location of potentially affected communities. R-1 views LEP accommodation as well within the resource-related capabilities of the agency. Where LEP accommodations are necessary, it will be pursued.
The Department’s LEP and Environmental Justice GIS layers are key to data analyses. R-1 uses these layers to determine the general LEP and EJ presence in the general area of each project and to conduct a Four Factors analysis, after which it uses the Office of Real Property Services (ORPS) layers showing land use by parcel to spot residential units near the project.
The Region then estimates noise envelopes, evaluates potential material delivery and equipment access routes and uses other techniques to get a fuller sense of the likely areas of impact of project construction. The result is a more thorough consideration of whether Title VI populations will be affected by our projects than what would result from only considering the question of which Census tract and blocks sit adjacent to a project location.
R-1 also notes that it routinely uses American Community Survey and decennial Census data to establish baselines for comparison of the immediate areas surrounding projects to the surrounding counties as a whole, to better understand how populations in need of translation assistance, additional information on how transportation projects are developed and carried out, and other support might be distributed about the area near a project.
In addition to these technical analyses, design process for every Region One project starts with an extensive field examination which includes the project team’s surveying the area for all “features of the landscape” potentially needing to be reflected in project design, including LEP presence. Indicators of potential language assistance needs would include storefronts or civic organization offices with signage in languages other than English, streetside newspaper kiosks containing papers in languages other than English, or posters/flyers in languages other than English tacked to utility poles or to bulletin boards in common areas. (The Region also looks to local officials for information on the presence of non-English-speaking populations in the project area.).
Region 2 – The Region employed all data methods (4 Factors Analysis, census data, GIS and/or other spatial analysis tools including boots on the ground) and consulted with elected officials, community leaders, and community organizations. Further, GPS technology is being introduced to the Region’s Snow & Ice plow fleet for the 2015/16 winter season. The collection of data for plow routes will provide information to further ensure compliance with Title VI. Lastly, the Regional Construction Group interacts with all other Departments to ensure data collection avoids or mitigates social and environmental injustices.
Region 4 - Design uses a GIS mapping program to identify Title VI populations in the scope of each project. The program contains census information layered over local maps. When the project limits are entered into the program, it generates a map showing where significant numbers of Title VI groups are located in relation to the project. From those maps, our GIS program generates a chart that lists each Title VI group and the number of environmental census tracts within the project limits and specifically identifies the significant Title VI populations.
The Engineer-in-Charge (EIC) receives a mailing list of stakeholders from the project designer at the start of construction. The EIC uses the mailing list to reach out to stakeholders (as needed) during the construction phase.
As in previous years, Right of Way performs a neighborhood and regional analysis during the valuation process of the appropriation. The findings help determine whether impacts are going to be made to Title VI communities.
Region 5 - The Design Group (DG) uses GIS data and maps developed in the Region and those provided by Main Office to identify the number and proportion of LEP communities and populations near all design projects. The DG identified groups and reached out to community leaders and organizations to ensure that LEP groups have ample opportunity to participate in the development of its design projects.
The Regional ADA team maintains a list of contacts/stakeholders for ADA-related issues. The Region reaches out to the various contacts to ensure that ADA-specific issues are identified during the project development process.
Region 6 - Right of Way follows the above examples as well as utilizes information that is gathered during the interview process that takes place with the claimant while the Real Estate Specialist performs the physical inspection of the property to be acquired. For the “Alfred Station Intersection Upgrades and PIN 6079.01, BIN 1042910 over Canacadea Creek” project, published maps were used to determine that these locations are within a designated EJ area.
Right of Way follows utilizes information that is gathered during the interview process that takes place with the claimant while the Real Estate Specialist performs the physical inspection of the property to be acquired.
Region 7 – relies on the Environmental Justice layer of NYSDOT’ss GIS program and knowledge of local Amish and Native American populations.
Census data is utilized for demographics of project areas to ensure that there are adequate numbers of minorities/females for workforce utilization purposes. While the census data does not provide exact locations of protected class or low-income socio-economic groups, on-site visits of the proposed project area reveal such areas. This on-site look helps ensure that there are no adverse construction effects to protected class members due to construction activities.
Region 8 – Data gathered by the Office of Right of Way for appraisal purposes is independent
of the eight protected classes referenced in this report. All federal-aid projects are subject to the
“Uniform Relocation Assistance and Real Property Acquisition Act of 1970, as amended” for
compliance with all applicable laws.
MPOs have mapped the location and geographic extent of the minority and low-income
populations. Transit development plans consider the distribution of minority and low income
populations and their needs. During the development of the ADA Sidewalk and Ramp program,
the Region utilized census information in GIS to identify minority and low-income populations to prioritize projects. Planning also identified ADA populations to prioritize work.
Region 9 uses existing GIS data sources on individual projects to assist with the preparing of public involvement plans and to prepare materials for public outreach events.
Region 10 - The project manager assigned to reconstruct NY112 between the LIE/I495 to Granny Road in the Town of Brookhaven, Suffolk County utilized the 2008-2012 American Community Survey data to determine if LEP populations existed in the project area.
The Sagtikos/Sunken Meadow Operational Study consultant team utilized the most recent American Community Survey (ACS) census data available at to conduct its Title VI analysis to identify non-English speaking populations. The team concluded that the only group requiring language accommodation was the Hispanic sector.
VII. Americans with Disabilities Act
Policy and Planning Division
The PPD Local Programs Bureau completely revised Chapter 13 of the “Procedures for Locally Administered Federal Aid Projects (PLAFAP)” Manual . These revisions expand the responsibilities of local sponsors (sub recipients) to adhere to Title VI of the Civil Rights Act. Title VI adherence includes sponsor self-evaluations and, for many sub recipients, submission of an ADA Transition Plan. Other PPD activities follow:
• The PPD Local Programs Bureau held its first ADA related webinar to inform all Regional Offices of the ADA requirements and ensure compliance with all local projects.
• NYSDOT assisted the Capital District Transportation Authority in developing its ADA Transition Plan. The discussion included requirements in fixed route transit services, para-transit services, signing and bus stops and shelters. The Department is developing additional training sessions for local agencies that will focus on the information/guidance in the PLAFAP. NYSDOT will continue to provide assistance and customized training to local transportation agencies upon request.
• PPD Statewide Policy & Performance Bureau staff worked with regional staff to update and verify the ADA deficient inventory of sidewalks, ramps and crosswalks to ensure accuracy prior to updating the statewide ADA Transition Plan.
• Each Regional Office submitted an updated draft regional ADA plan to the Main Office that contained a report of ADA accomplishments and a list of sidewalk, crosswalk and curb ramp locations that will need to be modified or improved to ensure compliance with ADA regulations.
• PPD staff is currently preparing the revised statewide ADA Transition Plan. The 2015 ADA update emphasizes NYSDOT’s commitment and progress to achieve the goals of the Department by 2025. It describes the efforts and accomplishments of various Department programs such as new construction and design standards, various efforts of the Local Programs, Transit accomplishments and training opportunities. As of August 2014, 82 percent of NYSDOT sidewalks (1,846 of 2,249 miles) and 63% of curb ramps (23,562 out of 37,124) are compliant with ADA standards.
The Office of Environment (OOE) staff is updated on ADA requirements. OOE staff are trained regarding ADA requirements and NYSDOT’s’s procedures for implementing Reasonable Accommodation assurances. OOE staff completed training titled Reasonable Accommodation in Programs for Individuals with Disabilities and Reasonable Accommodation for the Public.
Region 1 - The Region sponsored three (3) active projects specifically focused on providing enhanced pedestrian facilities and furthering ADA compliance at various locations. Construction on all three projects will be completed by the end of the 2015 construction season.
In addition to the ADA projects, the Region had two active traffic signal upgrade projects which will include improved signal heads, pedestrian buttons/countdown timers, new pavement markings and other enhancements. One project, covering nine (9) locations, was awarded and will be constructed by the end of the current construction season; the second, covering twelve (12) locations, is anticipated to be constructed in 2016.
In addition to designing projects which specifically have the goals of enhanced pedestrian mobility and/or furthering ADA compliance, the Region considers the potential for ADA-related elements such as the installation or repair of sidewalks and curb ramps for all projects. Several pavement maintenance, bridge rehabilitation or traffic operations improvement projects designed during the reporting period will include repair and/or expansion of pedestrian facilities. In addition, all projects work zone traffic control plans are developed so as to ensure that pedestrians, cyclists and wheelchair-bound persons are able to continue their trips through work zones comparable to how they travel under non-construction conditions.
Region 2 - When needs of individuals with disabilities are identified, the Operations Group develops and designs existing facilities to be ADA compliant. This includes sidewalks, curb ramps, detectable warnings, and pedestrian crossing signals. Project designs ensure appropriate access to/around work zones for those with disabilities. All public meetings and hearings are held in ADA compliant facilities. Sign language, close captioning, translator, assistive listening system, or other accommodations are provided to facilitate participation in public meetings and hearings.
The Planning Group developed a regional ADA Transition Plan. The Plan identifies barriers on State-owned roads, related facilities and NYSDOT offices that restrict accessibility to programs, services and activities with various disabilities; identifies accommodations and/or modifications that can be provided to make programs and services accessible; and evaluates the effectiveness of the accommodations or modifications in providing accessibility. Non-compliant facilities identified in the Plan are expected to be addressed within ten years.
The Traffic Group Systems Technicians are installing accessible pedestrian stations for multiple traffic signals in the Village of Cazenovia and one signal in the City of Utica. These stations will include audible speech messages for the visually impaired. All Special Hauling customers are accommodated by OGS regulated accommodations at the Utica State Office Building.
OROW reports that sidewalks are being updated within projects in order to be ADA compliant (City of Oneida Project). Close communications with property owners help ensure individual needs are met when projects may interfere with the use of existing sidewalks. Sidewalks are being kept open on one side of a bridge during construction to accommodate residents of a home for disabled people who frequently use this sidewalk.
Regional staff review and inspect all project designs to ensure ADA compliance for pavement marking, traffic signals, and work zone safety set-up, as well as any other ADA requirements contained in the construction contracts.
Region 3 – The following summarizes ADA-related construction activities this period:
• One project required the placement of thirty-nine (39) handicap ramps with cast iron embedded detectable warning units at project intersections.
• Another contract includes all new sidewalks on Routes 281 and 222 in the City of Cortland. Project plans require ADA requirements for all sidewalk ramp sections.
• Traffic and Safety All signal in several locations were replaced under the requirements contract (upgrade pedestrian facilities to ADA-compliant).
• Traffic and Safety issued 5 permits for sidewalk specific work (approximately 10 that included sidewalk work), 9 requests for School Bus “Stop Ahead” signs (3 involving specific mention of students with physical disabilities
• 19 crosswalk marking and signage projects were initiated this reporting period.
Region 4 - All projects in the planning stages address ADA deficiencies. To ensure that ADA requirements are met during the planning stage of projects, the planning group develops an IPP document which identifies possible ADA upgrades to meet ADA compliance. Design hosted three public meetings this past year, all of which were held at ADA-compliant facilities: the Webster Village Hall, Spencerport High School, and the Gates Town Hall. The Region also
Four projects included upgrades and/or installation of detectable warning devices, sidewalks and ramps. Those projects include the Route 441 MBC in Penfield, Monroe County; the Route 383 (Scottsville Road) MBC in Chili, Monroe County; the Village of Webster MBC in Webster, Monroe County; and the Route 63 MBC in the Towns of Geneseo, Groveland and York, in Livingston County.
The design of the new Amtrak Station in the City of Rochester, Monroe County, replaces the current Amtrak Station built in 1978, and includes many long-needed upgrades to meet ADA requirements. The current station platform is at ground level, and requires passengers to climb up and down a removable set of stairs. The new platform will be flush with the interior floor of the trains so that passengers can enter much more easily.
The platform will include a tactile warning strip at the edge nearest the tracks that will run the length of the platform. The new train station also includes ADA-compliant restrooms for the public and staff, and two entry ramps on opposite sides of the station.
The Region is building a temporary station while the permanent station is being built. The temporary parking lot features two ADA-compliant parking spots and 11 tactile warnings. The permanent station features six ADA parking spots and 21 tactile warnings. The new station includes ADA-compliant features: ticket counter, two elevators, contrasting color strips at the top of two staircases, and accessible automatic door opening buttons at all entrance and exit doors.
The Regional Construction Environmental Coordinator conducts periodic site visits to confirm ADA-compliant access routes are available in construction work zones.
Regional and statewide staff perform annual Work Zone Traffic Control (WZTC) reviews that include pedestrian accommodations in work zones.
In October 2014, a person with a disability seen walking through a work zone ((Route 39 project in the Village of Arcade), was assisted by the Engineer-In-Charge (EIC).
In May 2015, a visually-impaired person was observed walking through a work zone in the City of Rochester (Rehabilitation of Inner Loop Bridge over Brown’s Raceway & Genesee River). The EIC provided assistance. Accommodations were made to ensure construction equipment and materials did not encroach into the temporary path during sidewalk closure.
During this period, ADA-compliant pedestrian features (sidewalks, curb ramps, detectable warning units and/or pedestrian signals) were installed on the following construction projects:
• Route 33 (Buffalo Road) Pavement Reconstruction in Town of Gates (D262485)
• Route 89 Bridge over Erie Canal in Town of Tyre (D262543
• Route 5&20 Pavement Rehabilitation in City of Geneva (D262618)
• Route 31 Pavement Reconstruction in Village of Clyde (D262647)
• Route 78 over East Koy Creek in Town of Wethersfield (D262701)
• Sidewalk Improvement Contract in Genesee & Monroe Counties (262705)
• Routes 441, 250, and 31 Pavement Rehabilitation in Brighton, Penfield, Perinton & Fairport (D262807)
• Route 383 Pavement Rehabilitation in Town of Chili (D262834)
• Route 404 & 250 Pavement Rehabilitation in Town of Webster (D262846)
• Traffic Signal Improvements in Various Towns (D262906)
• Route 33A Pavement Rehabilitation in Town of Gates (D262957)
The Region’s surplus property auction will be held at the ADA-compliant regional office building. The auction brochure notes that an assistive listening system, sign language interpretation, or other accommodations will be available upon request.
Region 5’s Design office has an ADA Team whose mission is to oversee the implementation of the ADA Transition Plan and Regional ADA Action Plan to ensure that the facilities owned by the region are ADA compliant. The Region maintains a GIS database of pedestrian facilities (curb ramps, sidewalks, and crosswalks) to identify ADA non-compliant facilities and help establish a schedule to update them in accordance with the ADA Transition Plan.
The Design Group reviews each project (including simple paving projects) to ensure that, to a practical extent, facilities and other assets are constructed or reasonably modified to comply with ADA requirements. Other assets include curb ramps, sidewalks, crosswalks, rest stops, pedestrian bridges, pedestrian signals, and bus stops.
A Pedestrian Generator Checklist is completed for all projects that are classified as new construction, reconstruction, bridge replacement, bridge rehabilitation, signal requirement contracts, safety, 3R, or 2R, as well as locally administered projects similar to the preceding project types. Recent ADA-related projects include:
5017.29 MOF – NY Rte 242 Sidewalks, Holimont – Greer Hill (Under Construction)
5758.94 Grand Island Safe Routes to School Project (Design Phase)
5760.70 Williamsville Safe Routes to School Project (Design Phase)
5807.99 Signal Replacements SFY 15_16 (Design Phase)
5812.49 NY RTE 324, Harlem Road to Hopkins/Evans (Design Complete)
5812.55 NY Rte 60; US Rte 62 – Jamestown SCL (Under Construction)
5812.83 PMI Route 39-From Rte 16 to Wyoming County Line (let July 9, 2015)
In addition, the Region designates and progresses ADA-specific Block Projects, which address ADA and system deficiencies such as sidewalk gaps, curb ramps, and pedestrian crossing aids. Recent and current Block Projects include:
5808.28 ADA Compliance and Pedestrian Signal Project – City of Buffalo (Design Phase)
5808.29 ADA Compliance, Erie and Niagara Counties (Under Construction)
5808.30 ADA Compliance on Sidewalks (Design Phase)
5812.94 ADA Compliance, Chautauqua and Cattaraugus Counties (Under Construction)
Region 7’s Construction Office managed the construction of over one mile of sidewalk replacement including curb ramps to meet ADA standards in the Village of Saranac Lake. The project replaced existing asphalt and concrete sidewalk that was in disrepair along a stretch of highway that receives heavy pedestrian traffic.
Two other ADA improvement projects at or near completion are the 1) Route 22B Bridge replacement in Morrisonville and 2) a signal improvement project that will update non-ADA-compliant curb ramps.
Other projects that include ADA sidewalk ramps and ‘pedestrian pushbuttons” follow:
• D 262787 NY 3 & NY 30, V/ Tupper Lake is currently under construction and the new three-color traffic signal location at NY 3 and Pleasant Avenue will be fully ADA-compliant with sidewalk ramps and ADA pedestrian pushbuttons.
• 780526 - ALEXANDRIA BAY RIVERWALK, Building new sidewalk connection, new sidewalk curb cuts and ramps.
• 780481 - Tupper Lake Multi-Use Trail Connector, Building new multi-use trail along with new sidewalk, replace existing sidewalk including curb cuts and delineators.
• 775314 - RT.22, S. CATHERINE ST., PLATTSBURGH, Reconstruct sidewalk, curb ramps and detectible warnings.
• 775299 - PATERSON ST – OGDENSBURG, Reconstruct sidewalk, curb ramps and detectible warnings.
• 775315 - RT.283, FACTORY ST., WATERTOWN, Reconstruct sidewalk, curb ramps and detectible warnings.
• 780574 - SRTS, PERU CENTRAL SCHOOL, Cross-walk improvements with ramps, detectible warnings and flashing beacons.
Region 8 - The Region has completed two projects to upgrade sidewalk and curb ramps to be ADA compliant and has several other projects in its Capital Program to address the entire region. Public meetings regarding these projects were held in ADA compliant facilities.
The local projects unit reviewed the following locally sponsored ADA related projects:
|Project Description |Location |
|Pearl River Downtown Revitalization |T/Orangetown |
|North Broadway Sidewalk Improvements |Sleepy Hollow |
|Village of Chatham SRTS Pedestrian Safety Enhancement & Intersection Improvements |Village of Chatham |
|V/Saugerties Pedestrian Improvements |V/Saugerties |
|Palentine Path |T/Germantown |
|SRTS Liberty St: Spring St - Grove St Sidewalks |C/Beacon |
|SRTS Kossar, Clinton, Canal & Yankee Sidewalks |V/Ellenville |
Regional Maintenance as well as a few of our residencies hired a sign-language provider to attend both large scale employee meetings as well as potential employee interviews where the candidate was hearing impaired.
Maintenance contracted with OGS to construct a new ADA compliant bathroom and locker room facility at the Maybrook yard.
Region 9 - The Route 434 paving project which replaced 34 non-compliant ramps in the Town of Vestal has been completed as has the paving project which replaced 29 non-compliant ramps in the Village of Walton on Route 10/206. All paving replacements are ADA compliant.
The 2014 ADA upgrade project, which will upgrade 154 ramps and over 7000 linear feet of sidewalk in Broome and Tioga Counties, is under construction and is about 50% complete.
The Region has begun construction on a paving project in the Village of Norwich to replace eleven non-compliant ramps on Route 12. Also, a contract for the Region’s ADA upgrade project has been awarded. This project will upgrade 27 ramps and 7000 linear feet of sidewalk in Broome, Tioga and Delaware Counties.
Region 10 Planning and Design groups coordinate public meetings and ensure that the facility is ADA compliant. Constructions filed offices are rented for each project and most are located in office buildings which are accessible to individuals with disabilities. The construction group ensures that ADA project plans developed by the design group are built according to the plans and specifications. The following are ADA projects currently under construction:
• Upgrade sidewalk ramps to comply with current Americans with Disability Act (ADA) standards on various state highways in the Towns of Brookhaven, Huntington and Babylon in Suffolk County; and in the Towns of Oyster Bay and Hempstead in Nassau County.
• Reconstruct one mile of NY Route 110 (Broad Hollow Road) between the North Service Road of the Long Island Expressway (I495) and Arlington Street and between the Melville Mall and Amityville Road in the Town of Huntington, Suffolk County. Continuous sidewalk networks with handicap ramps and curbs on both sides of the road are included in this project.
• Upgrade pedestrian facilities that focus on pedestrian safety on NY27 (Sunrise Highway) between the Queens/Nassau County Line (Town of Hempstead, Nassau County) and North Niagara Ave (Town of Babylon, Suffolk County) including crosswalks that have (where possible/applicable) pedestrian indications, countdown timers, latching pushbuttons, ADA compliant pedestrian ramps with detectable warnings and high visibility pavement markings.
• Reconstruct a section of NY Route 347 from NY Route 111 to Mt. Pleasant Road in the Town of Smithtown, Suffolk County. A separate bike and shared-use pedestrian path; installation of new and upgraded traffic signals, as well as pedestrian signals; major intersection improvements; enhanced bus stops for transit riders; and environmentally sustainable amenities are included in this project. This project was recently completed.
• Reconstruct a section of NY Route 347 from Mt. Pleasant Road to Terry Rd in the Town of Smithtown, Suffolk County. A separate bike and shared-use pedestrian path; installation of new and upgraded traffic signals, as well as pedestrian signals; major intersection improvements; enhanced bus stops for transit riders; and environmentally sustainable amenities are included in this project.
• Replace the Carl’s Straight Path Bridge over I495/Long Island Expressway in the Town of Huntington, Suffolk County. The contract plans include Work Zone Traffic Control (WZTC) schemes where applicable in order to keep sidewalks open for pedestrians. Temporary signs and cross walks are placed when necessary. The construction group ensures that the WZTC is adhered to during the construction phase of the project.
The Design staff has been working on approximately eight different projects to improve ADA related facilities to current standards, which include the following features: upgrading of existing curb ramps and minor sidewalk repairs; upgrading existing curb ramps, repairing existing sidewalk, constructing new sidewalk where gaps exist; and constructing new curb ramps to improve the transitions at grade crossings.
Two public information meetings were held as part of the Sagtikos/Sunken Meadow Operational Study. One meeting took place at the Deer Park High School on April 14, 2015 and the second meeting was held at the William T. Rogers Middle School in Kings Park on April 16, 2015. To prepare for the meetings, the project manager accompanied the consultant team to the proposed meeting sites to verify that the sites were ADA compliant.
The OROW group identifies claimants with disabilities through interviews conducted during the Report of Physical Inspection and/or Relocation Questionnaire. Individuals identified at these interviews in need of services receive the appropriate assistance. This includes sign language interpreters among other accommodations. In addition, the region addresses ADA compliance subject to project scope limitations. Projects may include the acquisition of ROW to bring the curb/sidewalks into ADA compliance.
As part of Traffic Signal Requirements contracts, state facilities are upgraded to meet ADA compliance to ensure more accessible facilities to all individuals. The following elements are included in these contracts: audible pedestrian signals where needed or requested; adjust traffic signal timing where necessary to ensure that pedestrian clearance times are conform with the latest Federal Manual of Uniform Traffic Control Devices (MUTCD) recommendations; and ensure that all proposed transportation improvements as a result of traffic control or safety studies meet ADA compliance where applicable. A pedestrian safety improvement study was conducted for the entire length of NY110 in the Towns of Babylon and Huntington. The proposed improvements (sidewalks, crosswalks, pedestrian signals) are currently being designed by the Design staff.
The majority of maintenance yards are accessible to individuals with disabilities. The Maintenance Residency staff may assist in updating sidewalks to be ADA compliant and ensure that new project designs consider ADA in all NYSDOT permit projects that involve sidewalk reconstruction. In addition, staff ensures access to sidewalks around work zones by permit holders.
VIII. Limited English Proficiency
The Main Office Policy and Planning Division (PPD) follow guidelines by OCR to reach out to LEP populations. The Division has developed a “Public Involvement” brochure on public involvement opportunities and “how” to” guidance on getting involved in transportation planning. This brochure can be translated into other languages depending on the need.
The PPD Local Programs Bureau updated Chapter 13 of the Procedures for Locally Administered Federal Aid Projects (PLAFAP) Manual to include LEP guidance.
New York State’s 13 MPOs conduct LEP analysis of Public Involvement Plan (e.g., Bridge Replacement Project in Saratoga Springs) and TIPs based on Decennial Census and ACS data for their planning areas. For information on specific MPOs, refer to .
Policy and Planning Division
• The PPD follows protocols established by OCR for reaching out to the LEP populations.
In general, the PPD does not provide routine critical services to the public that would require access by LEP persons. Nevertheless, the Division has developed a “Public Involvement” brochure on public involvement opportunities and “how to” guidance on getting involved in transportation planning. The brochure is available for translation to other languages, upon request.
• NYSDOT has oversight responsibilities of the 14 MPOs in New York State. The MPOs conduct LEP analysis of Plans and TIPs based on Census and ACS data for their planning areas. Many of the MPOs have developed specific LEP Plans which describe the LEP populations in their area, and strategies to provide outreach. For example, the Syracuse MPO developed a joint Title VI and LEP Plan which was adopted by the SMTC Policy Committee on February 17, 2015. An electronic version is available on the SMTC web site at:
• The PPD Local Programs Bureau updated Chapter 13 of the “Procedures for Locally Administered Federal aid Projects (PLAFAP) manual” to include LEP specific references. These revisions are in the final Clearance Review process and are expected to be released to the public in the near future.
• The PPD completed a project involving Translation enhancement (Google) of the Statewide 511 NY Rideshare website ( ). This enhancement supports translation of the website making information accessible in 90 languages.
Office of Environment staff completed Language Access for Frontline Employees training. This took place over the past year and will be repeated in 2015.
Office of Right of Way reported that language access information including toll free #’s was distributed to its staff. The information also was distributed to Design’s frontline employees.
Region 1 - Region 1 conducted a “Four Factors” analyses for 75 NYSDOT projects and 30 local projects. While four NYSDOT projects were found to be near LEP populations, the Region concluded that LEP accommodations were not necessary in any of these cases.
Region 2 - Operations undertaken by Regional Maintenance staff, e.g. snow plowing, bridge and highway repairs, and mowing typically have no significant adverse impacts on LEP populations. No LEP issues/concerns were identified during the reporting period.
In conformance to NYSDOT’s Public Involvement Manual, public involvement plans are developed for all projects to ensure full and fair participation by all potentially affected communities in the transportation decision-making process. These plans consider the need for identifying stakeholders with special needs, including LEP populations. When necessary, the plans include strategies and techniques for communicating with special needs stakeholders. Projects included in the regional capital program typically have no significant adverse impacts on LEP populations.
When the need arise for special accommodations - whether providing language interpretation services or translation of documents - the Construction Group is prepared.
As part of their I-81 Viaduct Project, Region 3 utilized a consultant who prepared an LEP document that included the following:
• Four Factor analysis to help determine LEP impacts/accommodations and the identification of documents for translation. The Right of Way group provided interpretation services for Mandarin Chinese.
• In April and in August, 2014, Region 3 consultants provided community outreach to LEP persons/refugees, at the Westside Learning Center and for the relocation of two families.
Region 4 - Language assistance information was distributed throughout the region including the language access 24 hour toll free numbers. This included language access guidance documents (e.g., how to use translation and interpretation services). The Region reported that a construction employee utilized interpretation services on 10/9/13 for a resident who wanted information about paving work being done in front of her house.
The planning group did not encounter individuals with Limited English Proficiency this reporting period. However, when a public meeting is scheduled, the planning staff work to determine LEP impacts and accommodations; determine the need of translating documents; and provide a language interpreter.
In the past year, projects in which the Region identified Limited English Proficiency populations were highway projects in which the impact on the surrounding area was minimal. Our outreach during these projects included the utilization of our Public Involvement Database to inform all of our stakeholders of planned projects during the design phase. We continuously add new community-based groups to our Public Involvement Database and actively seek out ways to diversify this resource.
Regional construction office staff and all construction field offices have been provided with hard copies of the following LEP resources: Interpreter Call Center instructions and toll free phone number; Tips for working with interpreters; NYS Language Identification tool; and “One Moment Please” tool.
Approximately 20 construction field offices set up public bulletin boards during the reporting period. Many of the posters required to be displayed on the boards are Title VI-related. The LEP resources listed above are also posted on bulletin boards.
All Right-of-Way staff have been provided Interpreter Call Center instructions and a toll-free number for assistance.
Information on the availability of interpreter services is annually reviewed with the Residency office and supervisory staff. In addition staff posts information on language identification at each of Residency’s public access facilities. Employees who are required to take the “Language Access Training for Front Line Employees” have completed the training.
Region 5 - The Region’s Public Informational Meetings and informational materials advertising public meetings always include the following statement: “Please notify (DOT Contact) if a sign language interpreter, assistive listening system or any other accommodation will be required to facilitate your participation in this public meeting.” In addition, any informational materials/meeting notifications for projects in identified LEP areas would be translated to the appropriate language.
Region 7 - Historically, the Region has not encountered LEP populations with the possible exception of some Amish community members. In such instances, communications with the Elders of this community in English overcomes the need to communicate with the entire Amish population.
The Traffic Unit has assisted with the issuance of over sixty (60) special hauling permits for an individual hauler who has LEP/Computer limitations.
Region 8 - On a current design build project, Region 8 is sending out a flyer to a residential community in another language to advise them of upcoming construction in their neighborhood.
Region 10 - LEP needs are addressed during the design and planning phase. The construction group coordinates with the Regional Title VI Coordinator to provide assistance with this task when needed, especially for construction field office personnel. LEP needs for public meetings are handled by the design and planning group. Personnel in the construction unit and some area supervisors received on line training on how to use Language Identification Tools.
The majority of projects designed during the reporting period were limited in scope and/or included multiple state highways throughout Long Island. Project managers relied on the public official notification letters and press releases/travel advisories posted by the Regional Public Information Officer on the NYSDOT public website, TWITTER and FACEBOOK, as well as notices to local news organizations to raise awareness about the project to capture the attention of a broad spectrum of stakeholders.
In conjunction with the Sagtikos/Sunken Meadow Operational Study public meetings, an informational Spanish language statement was included in meeting-related public documents and a dedicated phone line with a Spanish language greeting was established. NYSDOT and the consultant provided on-site interpreters at the public meeting.
The ROW group discovers any person(s) in need of translation through interviews conducted during the Report of Physical Inspection and/or Relocation Questionnaire, Appraisal Inspections or completion of written forms. During these interviews, if it is evident that someone is in need of services due to limited English proficiency, the staff arranges for interpretation services to ensure that the individual is provided the opportunity to understand questions being asked.
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[1] Low Income and Limited English Proficiency protections were added via Presidential Executive Orders 12898 and 13166
[2] OCR regularly collaborates with the Office of Legal Affairs to address complaints and to assist in the interpretation of Title VI regulations that affect NYSDOT’s implementation of Title VI requirements.
[3] Parts of this apply to external (sub recipient) reviews
[4] Race, color, national origin, sex, age, disability, low income and limited-English proficiency represent the eight protected groups under Title VI as amended
[5] Limited English Proficiency, Environmental Justice, Americans with Disabilities Act
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