Federal Transit Administration November 4, 2015 Subject: americans with disabilities act (ada): guidance
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- 12.5.1Compliance Review Selection Criteria
- 12.5.2Compliance Reporting and Follow-up
- 12.6FTA Complaint Process
- 12.6.1Complaint Investigations
- 12.6.2Administrative Closures
- 12.6.3How to File a Complaint
12.5FTA On-Site ReviewsRequirement“Periodic compliance reviews. The responsible Departmental official or his/her designee, from time to time, reviews the practices of recipients to determine whether they are complying with [Part 27]” (§ 27.123(a)). DiscussionFTA’s onsite reviews for ADA compliance include Triennial or State Management Reviews and a select number of discretionary compliance reviews. FTA conducts Triennial or State Management Reviews of all § 5307, § 5310, and § 5311 funding recipients on a rotating basis. Other reviews are conducted following the criteria outlined below. 12.5.1Compliance Review Selection CriteriaThe following factors contribute to the selection of grantees for civil rights specialized reviews or enhanced reviews through the Triennial and State Management Review process: Risk factors identified by the FTA annual Grantee Oversight Assessment FTA complaints (triggered either by the volume of complaints or the scope of a specific complaint, requiring an in-person investigation) ADA findings or recommendations on prior Triennial, State Management, or other reviews that grantees have not sufficiently resolved or implemented, or repeat findings in any FTA review concerning ADA Lawsuits, complaints, or investigations conducted by organizations other than FTA alleging a grantee’s noncompliance Alleged noncompliance brought to FTA’s attention by other entities 12.5.2Compliance Reporting and Follow-upAfter conducting an on-site review, FTA issues a report that includes findings of deficiency or no deficiency for each of the relevant requirements. Transit agencies are required to undertake corrective actions to address findings of deficiency within a specified timeframe following finalization of the report. FTA works with agencies to confirm implementation of corrective actions. 12.6FTA Complaint ProcessRequirement“Complaints. Any person who believes himself/herself or any specific class of individuals to be harmed by failure to comply with [Part 27] may, personally or through a representative, file a written complaint with the responsible Departmental official. A Complaint must be filed not later than 180 days from the date of the alleged discrimination, unless the time for filing is extended by the responsible Departmental official or his/her designee” (§ 27.123(b)). “Investigations. The responsible Departmental official or his/her designee makes a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with [Part 27]. The investigation includes, where appropriate, a review of the pertinent practices and policies of the recipient, and the circumstances under which the possible noncompliance with [Part 27] occurred” (§ 27.123(c)). “Resolution of matters. (1) If, after an investigation pursuant to paragraph (c) of this section, the responsible Departmental official finds reasonable cause to believe that there is a failure to comply with [Part 27], the responsible Departmental official will inform the recipient. The matter is resolved by informal means whenever possible. If the responsible Departmental official determines that the matter cannot be resolved by informal means, action is taken as provided in § 27.125. (2) If an investigation does not warrant action pursuant to paragraph (d)(1) of this section, the responsible Departmental official or his/her designee so informs the recipient and the complainant, if any, in writing” (§ 27.123(d)). DiscussionAs part of its ADA oversight responsibilities, FTA processes complaints filed against transit providers by members of the public alleging noncompliance. Under DOJ’s 2010 Title II regulations in 28 CFR § 35.172, FTA is charged with investigating complaints generally, not necessarily “each” complaint received as stated in DOJ’s 1991 regulations. With this rule change, FTA has discretion in determining which complaints it will investigate. FTA does not represent the interests of individual complainants but rather the interests of the Federal government. FTA’s objective during the complaint process is to ensure grantees comply with the ADA requirements as a condition to receiving Federal funds and that they correct any deficiencies identified in order to provide ADA compliant service. FTA also investigates complaints filed against non-grantees consistent with Part 37. This involvement is unique to the ADA, as generally civil rights statutes require the presence of Federal funding in order for FTA to intervene. Appendix D to § 37.11 states: Under the DOJ rules implementing title II of the ADA (28 CFR Part 35), DOT is a “designated agency” for enforcement of complaints relating to transportation programs of public entities, even if they do not receive Federal financial assistance. When it receives such a complaint, the Department will investigate the complaint, attempt conciliation and, if conciliation is not possible, take action under Section 504 and/or refer the matter to the DOJ for possible further action. 12.6.1Complaint InvestigationsIf FTA investigates a complaint, it contacts the affected transit agency, notifying it of the complaint and asking it to provide a response to the allegations, along with supplemental information. After reviewing all of the information gathered, FTA issues a decision letter detailing whether any concerns or deficiencies were identified through the investigation. For any deficiencies, FTA typically requests a response from the agency, usually within 30 days, outlining the corrective actions taken or a timetable for implementing changes. If FTA cannot work with an agency to resolve apparent violations of the ADA or the DOT ADA regulations by voluntary means, it may pursue the enforcement provisions discussed previously. In responding to complaints, FTA considers the facts and circumstances at issue. Determinations resulting from FTA’s investigations are not intended to be an expression of an opinion about a transit agency’s overall compliance with ADA requirements. To assist transit agencies and others, FTA publishes complaint decision letters on the FTA website. Generally, these letters, which are normally addressed to a specific individual or agency, set forth FTA’s determinations regarding an issue involving a specific factual situation. FTA notes that these determinations are applicable to only the specific facts in question and, as such, are not necessarily broadly applicable to other situations, which may or may not involve the same facts. References to FTA complaint decision letters provided in this Circular serve as illustrative examples of how regulations have been applied by FTA in specific instances. In lieu of sending an information request to the transit provider and issuing a decision letter, FTA may address a complaint through a civil rights specialized review or a Triennial or State Management Review when the complaint allegations are within the scope of a recent or upcoming review. In this case, the final review report serves as the response to the complaint allegations. 12.6.2Administrative ClosuresFTA will generally administratively close ADA complaints, shortly after the intake stage or later in the investigative process, under any of the following circumstances: The complainant decides to withdraw the complaint. The complainant is not responsive to FTA’s requests for information. FTA obtains credible information that the allegations raised by the complaint have been resolved. FTA has conducted or plans to conduct a related compliance review of the agency against which the complaint is lodged, as mentioned in Circular Section 12.6.1. The complaint has been investigated by another agency and the resolution of the complaint meets the DOT regulatory standards. The complaint allegations are foreclosed by previous decisions of the Federal courts, the Secretary, DOT policy determinations, or the DOT’s Office of Civil Rights. The complaint is identified to be a continuation of a pattern of previously filed complaints involving the same or similar allegations against the same recipient or other recipients that have been found factually or legally insubstantial by FTA. The same complaint allegations have been filed with another Federal, state, or local agency, and FTA anticipates that the other agency will provide the complainant with a comparable resolution process under comparable legal standards. Litigation has been filed raising similar allegations involved in the complaint.54 The death of the complainant or injured party makes it impossible to investigate the allegations fully. Most administrative closures do not involve outreach to the affected transit agency. 12.6.3How to File a ComplaintIndividuals or any specific class of individuals, personally or through a representative, may submit a complaint to FTA. Those wishing to submit a complaint may do so independent of a transit agency’s complaint process. FTA provides an optional Civil Rights Complaint Form on its website for complainants to complete within 180 days from the date of the alleged discrimination. FTA’s practice is to encourage riders and others to resolve issues with local agencies when possible before filing a complaint with FTA. 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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