Federal Transit Administration November 4, 2015 Subject: americans with disabilities act (ada): guidance
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- 12.7.1Designation of Responsible Employee
- 12.7.2Complaint Procedures
- Advertising the Process for Filing a Complaint
- Communicating the Response to the Complainant
- Using Contracted Service Providers
- Combining ADA and Title VI Procedures
- 12.7.4Complaint Filing and Resolution
- Investigating Complaints
- Following Up Internally After Complaint Investigations
12.7Transit Agency Complaint ProcessWhile providing good customer service is a goal all transit agencies share, issues arise that lead to customer complaints. Many agencies have robust customer service programs in place to address such issues, and while these are important to agency activities, § 37.17 and § 27.13 require all agencies to designate an employee to coordinate Part 37 and Part 27 compliance, respectively, and to have procedures in place specifically to address complaints alleging ADA violations. 12.7.1Designation of Responsible EmployeeRequirement“Designation of responsible employee. Each public or private entity subject to [Part 37] shall designate at least one person to coordinate its efforts to comply with [Part 37]” (§ 37.17(a)). This requirement is also in § 27.13(a). DiscussionThe regulations require transit agencies to designate at least one individual to coordinate ADA compliance. Many agencies designate this individual as the “ADA Coordinator.” 12.7.2Complaint ProceduresRequirement“Adoption of complaint procedures. An entity shall adopt procedures that incorporate appropriate due process standards and provide for the prompt and equitable resolution of complaints alleging any action prohibited by this part and 49 CFR Parts 27, 38 and 39. The procedures shall meet the following requirements: (1) The process for filing a complaint, including the name, address, telephone number, and email address of the employee designated under paragraph (a) of this section, must be sufficiently advertised to the public, such as on the entity’s Web site; (2) The procedures must be accessible to and usable by individuals with disabilities; (3) The entity must promptly communicate its response to the complaint allegations, including its reasons for the response, to the complainant and must ensure that it has documented its response” (§ 37.17(b)). This requirement is also in § 27.13(b).
DiscussionDOT’s 2015 Reasonable Modification of Policy and Practices final rule included revisions to the local complaint process requirement that affect the local handling of all complaints, not just those involving reasonable modification of policy. The Section 504 regulations have long required transit agencies to have administrative procedures in place that incorporate appropriate due process standards and provide for the prompt and equitable resolution of complaints. The regulations now require additional steps described below. Advertising the Process for Filing a ComplaintSection 37.17(b)(1) requires transit agencies to sufficiently advertise the process for filing a complaint, so that individuals know where to direct their complaints. Having a well-defined and advertised central point for collecting complaints helps prevent riders from mistakenly assuming they have filed formal complaints when communicating with transit personnel outside the established process. At the same time, the procedures help the agency ensure it provides appropriate due process for any actual ADA complaints received. Agencies must advertise the process through means such as agency websites and include the contact information (name, address, telephone number, and email address) for the employee designated to coordinate compliance. In lieu of providing the name of an individual, FTA has found it acceptable to provide a title (e.g., “ADA Coordinator” or “Customer Complaint Representative”) so long as any communications to the job title are directed to the designated employee who can then promptly respond. This can be accomplished by forwarding telephone calls, retrieving recorded messages, forwarding emails, or other means. Section 37.17(b)(2) requires a transit agency’s complaint procedures to be accessible to and usable by individuals with disabilities. Alternative formats must be provided to individuals as necessary. (See Circular Section 2.8.)
To facilitate prompt resolution, many transit agencies offer various means of communication, including written, electronic, in-person, and telephonic. Many agencies have also created interactive forms on their websites to receive complaints and use such procedures to share the information with the agency’s ADA Coordinator. Typically, such interactive forms also generate automated emails to the complainant acknowledging receipt of the complaint and indicating further communications will occur once the investigation is complete. The regulations do not require a written response to the complainant. The agency, however, must communicate its response to the complaint allegations to the complainant and document its response to the complainant in its internal records or database. Using Contracted Service ProvidersFTA notes that establishing complaint policies and procedures is the responsibility of the transit agency, not its contractors, meaning that complaint procedures apply to all transit service provided by the agency, whether directly or by contract. FTA cautions agencies against directing local complaints to their contracted service provider for resolution, since the agency itself is ultimately responsible for ADA compliance. Combining ADA and Title VI ProceduresGrantees have long been required to have procedures for processing complaints from members of the public alleging discrimination based on race, color, or national origin under Title VI of the Civil Rights Act of 1964. (See FTA’s Title VI Circular 4702.1B.) FTA notes that agencies can use the same process for accepting and investigating ADA and Title VI complaints. While agencies may find consolidating the processes more efficient, ADA complaints must be categorized distinctly from Title VI complaints in internal and external communications. For example, it is not appropriate to have a “Title VI Complaint Form” that includes “disability” as one of the bases for filing a complaint; this incorrectly implies that disability is a covered basis under Title VI. Instead, an agency may elect to have one “Discrimination Complaint Form,” or a similarly titled form, that covers both the Title VI and ADA bases and clearly distinguishes the two statutes. 12.7.3RecordkeepingRequirement“Compliance reports. Each recipient shall keep on file for one year all complaints of noncompliance received. A record of all such complaints, which may be in summary form, shall be kept for five years. Each recipient shall keep such other records and submit to the responsible Departmental official or his/her designee timely, complete, and accurate compliance reports at such times, and in such form, and containing such information as the responsible Department official may prescribe. In the case in which a primary recipient extends Federal financial assistance to any other recipient, the other recipient shall also submit compliance reports to the primary recipient so as to enable the primary recipient to prepare its report” (§ 27.121(b)). DiscussionThe regulations require transit agencies to keep all complaints of noncompliance on file for one year and a record of all such complaints (which may be in summary form) for five years. With the development of automated complaint-tracking systems, an optional good practice is to maintain an ongoing database of all complaints and to tag ADA-related complaints accordingly. This practice enables agencies to produce historical reports upon request. It is important for transit agencies to distinguish between complaints that pertain to the DOT ADA requirements versus complaints about services or policies that do not—even if the complainant has a disability. For example, a complaint about wheelchair securements on fixed route buses not functioning properly is an ADA complaint, while a complaint about noisy passengers on a complementary paratransit vehicle is not. In addition, while complementary paratransit service is an ADA requirement, it is important to distinguish between service complaints (e.g., occasional late pickups) and complaints related to regulatory compliance such as a pattern or practice of significantly late pickups. (See Circular Section 8.5.6.) While there are many potential areas of noncompliance, some of the more common types of ADA complaints include: Bus drivers passing by riders using wheelchairs waiting at a bus stop Vehicle operators not announcing stops or identifying routes Personnel refusing to allow a rider’s service animal in a station or on a vehicle ADA paratransit vehicles arriving late The following examples of service-related complaints are not areas of ADA noncompliance: Comfort while riding (e.g., driving style) Lack of or limited fixed route service (e.g., not serving a particular location or limited evening or weekend service) Many transit agencies have developed robust methods for resolving complaints. Circular Section 12.7.4 outlines optional good practices for complaint resolution.
Collecting InformationTo properly investigate complaints, transit agencies typically request the following information: Contact information (name, rider ID (if applicable), address, telephone, email, etc.) Mobility aid used (if any) Date, time, and location of the incident Transit mode and line/route Vehicle ID number Name(s) or ID numbers of agency employee(s) or others Description of what transpired Other documentation such as photographs Because of the unique service requirements of complementary paratransit, many agencies also establish specific information requirements related to such topics as: Telephones (reservations, cancellations, “where’s my ride,” etc.) Lateness and missed trips On-board ride times Transit agencies have flexibility in establishing the best format(s) for receiving ADA complaints. As described above, agencies may decide to have a separate ADA complaint process or combine ADA and Title VI (and any other nondiscrimination requirements) into one process. Some agencies also decide to collect ADA complaints through online comment forms that capture suggestions, compliments, and complaints related to any service issues. A general form can be used to accept ADA complaints; however, any agency using such a form will need to ensure procedures are in place for distinguishing ADA complaints from other service issues, advertising the process, and responding consistently with the complaint requirements in § 37.17. Attachment 12-1 provides a sample comment form that can be used to collect feedback. Setting TimelinesThe regulations do not establish specific timelines for complaint resolution, leaving transit agencies free to establish their own timelines for resolving complaints. However, § 37.17(b) requires agencies to resolve complaints in a manner that is both “prompt” and “equitable” so as not to discriminate against individuals with disabilities. Regardless of local policies for timelines, an optional good practice is to keep track of dates throughout the complaint resolution process, including: Date of receipt Date of assignment for investigation Date of resolution Date of communication to complainant Thoroughly investigating complaints and openly communicating the investigative process and results can help establish positive relationships with riders and potentially reduce the possibility of legal actions and complaints filed with FTA.
Video recordings from facility surveillance and on-board cameras Telephone call recordings Written communications (paper and electronic) System data including location tracking, dispatch records, and reservationist notes and input Driver manifests (paper or electronic) Interviews with transit agency or contractor employees and other riders who may be witnesses to the incident As discussed above, it is important to distinguish between general service complaints and those that rise to the level of noncompliance and to fully investigate complaints of discrimination. Following Up Internally After Complaint InvestigationsSection 37.173 requires transit agencies to ensure their personnel are trained to proficiency as appropriate to their duties. (See Circular Section 2.9.) Rider complaints that reveal issues with the provision of service can be indicators that employees may not be trained proficiently. When complaint investigations confirm ADA violations, the following are optional good practices: Have established follow-up procedures in place. Transit agencies and their contractors typically employ progressive discipline measures, beginning with re-training and counseling followed by more punitive actions after repeat offenses. Use properly investigated complaint findings as case studies in training curricula; these offer real-world examples to trainees. Include supervisor monitoring and follow-up to confirm that employees understand and properly carry out their responsibilities. For ADA violations arising from issues with vehicles, accessibility equipment, or facilities, review operating procedures, maintenance procedures, and technical specifications to identify any needed changes. Directory: sites -> fta.dot.gov -> files -> docs docs -> Federal Transit Administration Safety Advisory 14-1: Right-of-Way Worker Protection docs -> Alternative Fuels and Propulsion Vehicle Incentives docs -> Job Access Reverse Commute (jarc) Program fy 2010 Service Profiles docs -> Review of the new jersey transit corporation docs -> Review of new Jersey Transit Corporation docs -> Review of the jacksonville transportation authority docs -> Jacksonville Transportation Authority Assessment of ada complementary Paratransit Service Capacity Constraints June 8-11, 1999 docs -> Final policy statement docs -> 1200 New Jersey Ave, se washington, dc 20590 Download 1.93 Mb. Share with your friends:
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