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Federal Civil Rights Requirements Incorporates Key Federal Practices' 
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GAO-13-697R: 

GAO:
United States Government Accountability Office: 
441 G St. N.W. 
Washington, DC 20548: 

July 25, 2013: 

The Honorable Tim Johnson: 
Chairman: 
The Honorable Mike Crapo: 
Ranking Minority Member: 
Committee on Banking, Housing, and Urban Affairs: 
United States Senate: 

The Honorable Bill Shuster: 
Chairman: 
The Honorable Nick Joe Rahall, II: 
Ranking Minority Member: 
Committee on Transportation and Infrastructure: 
United States House of Representatives: 

Public Transit: FTA's Process for Overseeing Compliance with Federal 
Civil Rights Requirements Incorporates Key Federal Practices: 

The Federal Transit Administration (FTA), within the Department of 
Transportation (DOT), is responsible for assuring that recipients of 
federal transit funding comply with a variety of federal requirements, 
including laws, regulations, and other requirements related to civil 
rights. The Moving Ahead for Progress in the 21ST Century Act (MAP-
21)[Footnote 1] mandated GAO to study the FTA's oversight of federal 
transit funding recipients' compliance with public transportation-
related civil rights requirements and its process for handling 
complaints alleging violations of such civil rights. We focused our 
review on 1) the methods FTA uses to oversee federal transit funding 
recipients' compliance with federal civil rights requirements, and 2) 
the extent to which FTA's process for handling civil rights complaints 
is consistent with key federal practices for addressing complaints of 
discrimination. We focused on FTA's oversight of recipients' 
compliance with the Americans with Disabilities Act (ADA) of 1990, as 
amended[Footnote 2] and disability-related provisions in Section 504 
of the Rehabilitation Act of 1973;[Footnote 3] as well as Title VI of 
the Civil Rights Act of 1964 (Title VI), as amended.[Footnote 4] We 
briefed your staff on the results of our review on June 11, 2013 (see 
enclosure). This letter summarizes the information that we presented 
at these briefings. 

To identify methods FTA uses to oversee recipients' compliance with 
federal civil rights requirements we reviewed applicable laws, 
[Footnote 5] and other guidance, including the laws cited above; DOT, 
FTA and Department of Justice (DOJ) guidance on processing civil 
rights complaints;[Footnote 6] and FTA's Title VI Circular. We 
reviewed and analyzed data from DOT's civil rights complaints tracking 
system (XTRAK) database on ADA complaints and Title VI complaints to 
determine the number of complaints FTA received from Fiscal Year 2009 
through Fiscal Year 2012.[Footnote 7] To assess the reliability of the 
XTRAK data, we reviewed relevant documentation, interviewed 
knowledgeable officials about data collection procedures and use of 
the data, and conducted electronic testing of the data. We found the 
data to be sufficiently reliable for the purposes of this report. We 
also interviewed FTA officials about the agency's oversight of 
recipients' compliance with laws and other requirements as well as the 
agency's complaints process. 

To identify key federal practices for addressing complaints of 
discrimination, we reviewed the Department of Justice's (DOJ) 
Investigation Procedures Manual for the Investigation and Resolution 
of Complaints Alleging Violations of Title VI and Other 
Nondiscrimination Statutes.[Footnote 8] Based on our analysis, we 
identified nine key federal practices for processing civil rights 
complaints. We then assessed FTA's process against the key practices 
by examining FTA's policies and procedures, and interviewing FTA 
officials to determine whether FTA's process incorporated the key 
practices. We also reviewed and analyzed data from DOT's XTRAK 
database to determine the length of time FTA took to resolve 
complaints and the results of complaint investigations. While we 
examined FTA's policies and procedures and determined the length of 
time it took to resolve complaints and the results of complaint 
investigations, we did not evaluate the extent to which FTA followed 
its policies and procedures for handling complaints. 

We conducted this performance audit from January 2013 to July 2013 in 
accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe 
that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. 

In summary, we identified four methods FTA uses to assure that 
recipients of federal transit funding comply with civil rights 
requirements: 

* Requiring recipients to self-certify that they assure compliance 
with applicable civil rights requirements--Each year, agencies 
receiving federal transit funding must self-certify and assure that 
they will comply with applicable federal laws, regulations, and 
guidance.[Footnote 9] 

* Issuing guidance to inform recipients of their responsibilities--FTA 
revised its Title VI guidance in 2012. FTA also issued draft guidance 
for ADA in October 2012, and anticipates issuing this guidance in June 
2014. Other guidance includes webinars FTA developed to help grantees 
become familiar with the revised Title VI guidance and frequently 
asked questions and other documents to assist grantees with ADA 
requirements. 

* Administering a complaints process--FTA's complaints process allows 
the public, advocates, and others to file complaints about transit 
agencies' and other funding recipients' potential violations of civil 
rights. FTA tracks complaints in DOT's XTRAK database. From 2009 
through 2012, FTA received 547 complaints of potential violations of 
the ADA and Title VI. Of these, 510 concerned violations of the ADA. 
As of April 2013, FTA had closed all but 9 of these complaints. 

* Conducting oversight reviews of funding recipients' compliance with 
laws and requirements--FTA conducts the following periodic oversight 
reviews: 

- Triennial reviews covering 24 areas of a transit agency's 
operations, including a grantee's compliance with ADA and Title VI 
(conducted once every 3 years). 

- State management reviews examining state DOTs' implementation of 
FTA's grants for rural areas and the elderly and disabled, typically 
once every 3 years. 

- Discretionary reviews for compliance within specific areas such as 
ADA and Title VI. According to FTA officials, complaints can trigger 
these reviews. Additionally, FTA may consider negative findings from 
triennial reviews in selecting agencies for these reviews. As we have 
previously reported, FTA has limited resources for discretionary 
reviews and thus conducts relatively few of these reviews each 
year.[Footnote 10] 

FTA's policies and procedures for processing civil rights complaints 
incorporate the nine key federal practices that we identified based on 
our analysis of DOJ guidance. Table 1 shows a comparison of identified 
key federal practices with FTA's policies and procedures for 
processing civil rights complaints. 

Table 1: Key Federal Practices for Addressing Civil Rights Complaints 
Compared with FTA's Policies and Procedures: 

DOJ key federal practice: 1. Ensure a timely complaint process; 
FTA policies and procedures: Policy is to use a processing time goal 
of 180 days for complaints. 

DOJ key federal practice: 2. Provide a complaint process that is 
accessible to the Public; 
FTA policies and procedures: Procedures--such as providing accessible 
complaint forms and providing phone assistance to those unable to 
complete forms--are aimed at providing an accessible complaint process. 

DOJ key federal practice: 3. Acknowledge receipt of complaint to 
complainant; 
FTA policies and procedures: Policy is to acknowledge receipt of 
complaints by sending an acknowledgment letter, in most cases. 

DOJ key federal practice: 4. Document complaint allegations to be 
resolved, even those not resulting in formal investigations; 
FTA policies and procedures: Procedures include documentation of any 
complaint allegations received in DOT's civil rights complaints 
tracking system (XTRAK). 

DOJ key federal practice: 5. Document the results of any complaint 
investigations; 
FTA policies and procedures: Procedures require documentation of the 
results of all complaint investigations in XTRAK. 

DOJ key federal practice: 6. Use informal methods to resolve 
complaints when possible; 
FTA policies and procedures: Policy is to use informal methods, such 
as counseling recipients, whenever possible. 

DOJ key federal practice: 7. Provide a formal or an informal appeals 
process for the results of complaints investigations; 
FTA policies and procedures: Procedures include an informal appeals 
process whereby complainants who believe information has been 
overlooked can contact FTA investigators. 

DOJ key federal practice: 8. After a complaint investigation is 
completed, monitor the recipient based on the issues involved in the 
complaint; 
FTA policies and procedures: Procedures require that if a recipient's 
noncompliance is identified in a complaint investigation, FTA should 
monitor the recipient for compliance. 

DOJ key federal practice: 9. Oversee an effective program of 
compliance reviews for recipients and subrecipients; 
FTA policies and procedures: Procedures include conducting civil 
rights compliance reviews and other oversight reviews. 

Source: GAO analysis of agency information. 

[End of table] 

In addition, our review and analysis of XTRAK data showed that: 

* FTA's average times for resolving complaints greatly decreased in 
recent years. In 2008 and 2009, FTA had a large backlog of ADA 
complaints, which made up the majority of civil rights complaints FTA 
received in those years. However, FTA has since taken actions to 
reduce the backlog and address issues that caused it. As a result, 
average processing times for ADA and Title VI complaints greatly 
decreased from Fiscal Year 2009 through Fiscal Year 2012. FTA's 
average processing times for processing such complaints in 2009 and 
2012 were about 401 days and 63 days, respectively. 

* Few FTA investigations of complaints resulted in findings of 
violations. Of the total ADA and Title VI complaints received from 
Fiscal Years 2009 through 2012, about 5 percent resulted in Letters of 
Findings of violations[Footnote 11] and another 6 percent resulted in 
Letters of Concern--where no violations are found, but related 
problems are found. 

See the enclosure for additional details of our findings. 

We provided a draft of this correspondence to DOT for its review and 
comment. DOT officials generally agreed with the findings of the 
correspondence and offered technical corrections that we incorporated, 
as appropriate. 

We are sending copies of this report to the appropriate congressional 
committees and the Secretary of Transportation. This report will also 
be available at no charge on the GAO website at [hyperlink, 
http://www.gao.gov]. Should you or your staff have questions 
concerning this report, please contact me at (202) 512-2834 or 
wised@gao.gov. Contact points for our Offices of Congressional 
Relations and Public Affairs may be found on the last page of this 
report. Key contributors to this report were Heather MacLeod 
(Assistant Director), Jessica Bryant-Bertail, Leia Dickerson, Lynn 
Filla-Clark, Geoffrey Hamilton, Ying Long, Josh Ormond, and Elizabeth 
Wood. 

Signed by: 

David Wise: 
Director: 
Physical Infrastructure Issues: 

Enclosure: 

[End of section] 

Enclosure: 

Public Transit: 

FTA’s Process for Overseeing Compliance with Federal Civil Rights 
Requirements Incorporates Key Federal Practices: 

For more information, contact David Wise at wised@gao.gov. 

Mandate and Objectives: 

The Moving Ahead for Progress in the 21st Century Act (MAP-21) 
mandated GAO to study the Federal Transit Administration’s (FTA) 
oversight of federal transit funding recipients’ compliance with 
public transportation-related civil rights requirements and its 
process for handling complaints alleging violations of such civil 
rights. 

This briefing addresses: 

1) the methods FTA uses to oversee federal transit funding recipients’ 
compliance with federal civil rights requirements, and; 

2) the extent to which FTA’s process for handling civil rights 
complaints is consistent with key federal practices for addressing 
complaints of discrimination. 

Scope: 

Our review focused on: 

* FTA’s oversight of federal transit funding recipients’ compliance 
with the Americans with Disabilities Act (ADA) of 1990, as amended, 
and the disability-related provisions in Section 504 of the 
Rehabilitation Act of 1973, as amended, as well as Title VI of the 
Civil Rights Act of 1964 (Title VI), as amended. 

* Complaints FTA received from 2009 through 2012 that relate to 
violations of the ADA and Title VI. 

We did not include: 

* Complaints received by FTA related to other civil rights areas, such 
as Equal Employment Opportunity and Disadvantaged Business Enterprises. 

* Complaints received by federal transit funding recipients, such as 
local transit providers, or the processes recipients used to address 
such complaints. 

Methodology: 

Reviewed applicable laws and other guidance, including the ADA; Title 
VI; Department of Transportation (DOT), FTA, and Department of Justice 
(DOJ) guidance on processing civil rights complaints; and FTA’s 
October 2012 Title VI Circular. 

Reviewed and analyzed DOT’s agency-wide civil rights complaints 
tracking system (XTRAK) database to determine the number of complaints 
received; the length of time to resolve complaints; and the results of 
complaint investigations. 

* This includes complaints submitted to FTA through DOT from Fiscal 
Years 2009 through 2012. 

* We determined the data to be sufficiently reliable for our purposes 
by reviewing data documentation, interviewing officials, and 
conducting electronic testing of the data. 

* We did not review complaints received directly by transit agencies. 
Interviewed FTA officials. 

To assess the extent to which FTA’s process for handling civil rights 
complaints is consistent with key practices, we reviewed the 
Department of Justice’s Investigation Procedures Manual and identified 
key practices. 

We then assessed FTA’s process against the key practices by examining 
FTA policies and procedures, and interviewing FTA officials. 

While we examined FTA’s policies and procedures and determined the 
length of time it took to resolve complaints and the results of 
complaint investigations, we did not evaluate the extent to which FTA 
followed its policies and procedures for handling complaints. 

Background: Civil Rights Requirements: 

Federal statute prohibits discrimination by federal public 
transportation financial assistance recipients on the basis of race, 
color, religion, national origin, sex, disability, or age. This 
prohibition implicates a variety of federal civil rights laws, such as: 

* Disability-related provisions such as those prohibiting 
discrimination 1) on the basis of disability in programs or activities 
that receive federal financial assistance (Section 504 of the 
Rehabilitation Act of 1973) and 2) against individuals with 
disabilities in several areas, including public transit, that apply to 
public entities whether or not they receive federal financial 
assistance (the ADA). 

* Title VI, which prohibits discrimination on the basis of race, 
color, or national origin in programs and activities that receive 
federal financial assistance. 

* Other federal civil rights laws prohibiting discrimination on the 
basis of age (Age Discrimination Act of 1975 as amended) or sex (Title 
IX of the Education Amendments of 1972, as amended) in programs or 
activities receiving federal financial assistance, as well as a 
variety of laws prohibiting religious discrimination. 

Background: Federal Agency Responsibilities: 

DOT and DOJ have key roles in monitoring, overseeing, and enforcing 
civil rights requirements and providing technical assistance. 

DOT has authority to: 

* Issue regulations to carry out the section of the ADA governing 
paratransit as a complement to fixed-route service as well as 
implement Title VI as it relates to transit programs receiving federal 
financial assistance from DOT. 

* Administer these regulations, including oversight. FTA’s Office of 
Civil Rights oversees compliance with these requirements. This office 
has 28 staff in headquarters and regional offices; 5 of these staff 
are directly involved in complaint processing. 

DOJ is responsible for coordinating the implementation and enforcement 
of various nondiscrimination provisions—-such as the ADA and Title VI—-
by federal agencies. 

Background: FTA Complaints Process: 

Parties who believe a funding recipient has discriminated on the basis 
of race, color, sex, age, national origin, religion, or disability may 
file a complaint with FTA. 

* For example, if a transit agency proposes cuts to services or a fare 
increase that might disproportionately impact minority riders, riders 
could file a Title VI complaint with the transit agency or FTA. 

* FTA encourages riders and others to resolve issues with local 
agencies before filing a complaint with FTA. According to FTA, many 
complaints are resolved without the parties ever contacting FTA. 

Objective 1: Methods FTA Uses to Help Ensure Compliance With Civil 
Rights Requirements: 

FTA uses four methods to ensure that recipients of federal funding 
comply with federal civil rights requirements, including: 

* Method 1: Requiring recipients to self-certify that they assure 
compliance with applicable civil rights requirements; 

* Method 2: Issuing guidance to inform recipients of their 
responsibilities; 

* Method 3: Administering a complaints process for the public; and 

* Method 4: Conducting oversight reviews of funding recipients’ 
compliance with laws and requirements. 

Method 1: FTA Requires Recipients to Self-Certify Compliance: 

DOT is required to take affirmative action to ensure that recipients 
of federal financial assistance—-including those receiving federal 
transit funding—-are in compliance with specified nondiscrimination 
protections. 

Each year, agencies that receive federal transit funding must self-
certify and assure that they will comply with applicable federal laws, 
regulations, and guidance. 

Method 2: FTA Issues Guidance to Inform Recipients of Their 
Responsibilities to Ensure Compliance: 

Formal guidance includes: 

* Recently revised guidance on Title VI (2012), which has been posted 
on FTA’s website. 

* Draft guidance for ADA. In October 2012, FTA issued a proposal for 
this guidance and anticipates this guidance will be issued by June 
2014.    

Other guidance includes: 

* Webinars to help grantees become familiar with Title VI 
requirements, and; 

* Frequently Asked Questions and other documents to assist grantees 
with ADA requirements. 

Method 3: FTA Administers a Complaints Process for the Public and 
Others: 

FTA provides a process for the public, advocates, and others to file 
complaints with FTA about transit agencies’ and other funding 
recipients’ potential violations of civil rights, and for FTA to 
investigate and resolve those complaints. 

FTA provides information about the complaints process on its website, 
including the complaint forms and a phone number for complainants to 
call regarding complaints. 

FTA tracks complaints in DOT’s agency-wide civil rights complaints 
tracking system (XTRAK) database. 

Most Complaints FTA Received Concern Violations of the Americans with 
Disabilities Act of 1990: 

Table: ADA and Title VI complaints FTA received 2009-2012: 

Fiscal year: 2009; 
Type of complaint: 
ADA[A]: 153; 
Title VI[B]: 7; 
ADA and Title VI: 4; 
Totals: 164. 

Fiscal year: 2010; 
Type of complaint: 
ADA[A]: 131; 
Title VI[B]: 10; 
ADA and Title VI: 1; 
Totals: 142. 

Fiscal year: 2011; 
Type of complaint: 
ADA[A]: 127; 
Title VI[B]: 8; 
ADA and Title VI: 0; 
Totals: 135. 

Fiscal year: 2012; 
Type of complaint: 
ADA[A]: 99; 
Title VI[B]: 6; 
ADA and Title VI: 1; 
Totals: 106; 

Total: 
Type of complaint: 
ADA[A]: 510; 
Title VI[B]: 31; 
ADA and Title VI: 6; 
Totals: 547. 

[A] Also includes complaints related to ADA combined with another 
civil rights area besides Title VI. 

[B] Also includes complaints that are related to Title VI combined 
with another civil rights area besides ADA. 

Source: GAO Analysis of FTA data. 

538 complaints were closed as of April 2013, while 9 remained open. 

[End of table] 

Method 4: FTA Conducts Oversight Reviews of Recipients’ Compliance 
With Laws and Requirements: 

FTA’s periodic oversight reviews of funding recipients include: 

* Triennial reviews (conducted every 3 years). 

- The reviews cover 24 areas of a transit agency’s operations, 
including review of grantee’s compliance with ADA, Title VI, and other 
requirements in general. 

* State management reviews (typically conducted once every 3 years). 

- This review examines state DOTs’ implementation of FTA program 
requirements for rural areas and the elderly and disabled, including 
how states monitor their subrecipients’ compliance with ADA and Title 
VI. 

* Discretionary reviews for compliance with ADA, Title VI, and other 
civil rights requirements. According to FTA officials, complaints are 
one of several factors that can trigger this type of review. 

- FTA may also consider negative findings from triennial reviews in 
selecting transit agencies for discretionary reviews. 

FTA Conducts Periodic Oversight Reviews of Funding Recipients’ 
Compliance With Laws and Requirements: 

As we have previously reported, FTA has limited resources for 
conducting discretionary reviews and thus conducts few each year (GAO-
13-17). 

* Over 2,000 entities receive FTA funding and therefore could be 
subject to a Title VI compliance review. 

* From 2002 through 2012, FTA issued 57 Title VI compliance reviews, 
and, from 2009 through 2012, conducted about 8 Title VI compliance 
reviews per year. 

* Similarly, recipients that provide ADA paratransit services could be 
subject to an ADA paratransit compliance review. We estimated that as 
of 2010, 546 agencies provided ADA paratransit service (GAO-13-17). 

* From 2000 through 2012, FTA issued 47 ADA paratransit compliance 
reviews. Additionally, FTA could conduct no more than about two to 
three ADA paratransit compliance reviews per year from 2008 through 
2011. 

Objective 2: FTA’s Civil Rights Complaints Process Incorporates Key 
Federal Practices Identified by DOJ: 

DOJ’s guidance establishes key practices for federal agencies 
addressing civil rights complaints about funding recipients such as 
transit agencies. 

FTA’s policies and procedures for processing civil rights complaints 
incorporate all nine key federal practices that we identified, based 
on our analysis of DOJ guidance. 

Figure: Key Steps in FTA’s Process for Handling Civil Rights 
Complaints[A]: 

[Refer to PDF for image: process illustration] 

FTA receives complaint; 
FTA enters complaint into XTRAK; 
Timeframe: 2-3 days. 

FTA sends acknowledgment letter to complainant; 
Timeframe: 10 days. 

Remainder steps goal: 180 days (recipient to close): 

FTA collects and analyzes data on alleged discrimination including 
through: 
* Document reviews; 
* Interviews/consultations with complainant and/or recipient. 

FTA makes determination. 

FTA sends closure letter to complainant and recipient. 

FTA takes any needed post-investigation steps, such as: 
* Monitoring; 
* Oversight reviews. 

Source: GAO analysis of DOT data. 

* Chart shows key process steps for complaints submitted to FTA. 
Complainants may also submit complaints directly to local transit 
agencies, which can help to resolve issues more quickly according to 
FTA officials. 

[End of figure] 

Table: FTA Incorporates All Identified Key Federal Practices into its 
Civil Rights Complaints Process: 

DOJ key federal practice: 1. Ensure a timely complaint process; 
FTA policies and procedures: Policy is to use a processing time goal 
of 180 days for complaints. 

DOJ key federal practice: 2. Provide a complaint process that is 
accessible to the Public; 
FTA policies and procedures: Procedures--such as providing accessible 
complaint forms and providing phone assistance to those unable to 
complete forms--are aimed at providing an accessible complaint process. 

DOJ key federal practice: 3. Acknowledge receipt of complaint to 
complainant; 
FTA policies and procedures: Policy is to acknowledge receipt of 
complaints by sending an acknowledgment letter, in most cases. 

DOJ key federal practice: 4. Document complaint allegations to be 
resolved, even those not resulting in formal investigations; 
FTA policies and procedures: Procedures include documentation of any 
complaint allegations received in DOT's civil rights complaints 
tracking system (XTRAK). 

DOJ key federal practice: 5. Document the results of any complaint 
investigations; 
FTA policies and procedures: Procedures require documentation of the 
results of all complaint investigations in XTRAK. 

DOJ key federal practice: 6. Use informal methods to resolve 
complaints when possible; 
FTA policies and procedures: Policy is to use informal methods, such 
as counseling recipients, whenever possible. 

DOJ key federal practice: 7. Provide a formal or an informal appeals 
process for the results of complaints investigations; 
FTA policies and procedures: Procedures include an informal appeals 
process whereby complainants who believe information has been 
overlooked can contact FTA investigators. 

DOJ key federal practice: 8. After a complaint investigation is 
completed, monitor the recipient based on the issues involved in the 
complaint; 
FTA policies and procedures: Procedures require that if a recipient's 
noncompliance is identified in a complaint investigation, FTA should 
monitor the recipient for compliance. 

DOJ key federal practice: 9. Oversee an effective program of 
compliance reviews for recipients and subrecipients; 
FTA policies and procedures: Procedures include conducting civil 
rights compliance reviews and other oversight reviews. 

Source: GAO analysis of agency information. 

[End of table] 

Practice 1: To Ensure a Timely Complaint Process, FTA’s Policy is to 
Use a Processing Time Goal: 

DOJ guidance encourages federal agencies to ensure a timely complaints 
process but does not suggest a time frame. 

According to FTA officials, FTA’s goal is to resolve complaints in 180 
days or less from the date of receipt, consistent with DOT guidance. 

FTA officials noted, however, that meeting this goal is not always 
possible due to the complexity of some cases and other factors. 

In 2008 and 2009, FTA’s Office of Civil Rights (OCR) had a large 
backlog of ADA complaints, which made up over 80 percent of civil 
rights complaints FTA received in those years, according to FTA 
officials. 

OCR has since taken actions to clear out the backlog and resolve some 
issues that had caused it. 

* Specifically, OCR changed its ADA complaints process. It now uses a 
classification system whereby senior staff typically handle complex 
complaints while less senior staff handle simpler complaints. 

* In addition, OCR temporarily brought in law students through an 
internship program to help resolve the backlog of complaints. 

As a result of these OCR actions, average processing times for ADA and 
Title VI complaints greatly decreased from FY 2009 through FY 2012. 

Table: Average processing times for ADA and Title VI complaints FTA 
received 2009-2012: 

Fiscal Year: 2009; 
Average processing time for complaints: 401 days. 

Fiscal Year: 2010; 
Average processing time for complaints: 191 days. 

Fiscal Year: 2011; 
Average processing time for complaints: 98 days. 

Fiscal Year: 2012; 
Average processing time for complaints: 63 days. 

Source: GAO Analysis of FTA data. 

[End of table] 

Practice 2: FTA Has Procedures Aimed at Providing a Complaint Process 
That is Accessible to the Public: 

DOJ guidance recommends that complaint processes should be accessible 
to the public, including those with limited English proficiency. 

FTA’s website provides directions for submitting complaints and 
complaint forms. 

FTA provides options for requesting accessible formats of complaint 
forms, including large print, audio tape, and telecommunications 
devices for the deaf (TDD). 

According to FTA officials: 

* Staff members contact persons who are unable to complete complaints 
forms by phone, so that staff can then complete the form on the 
complainant’s behalf. 

* Several bilingual staff members are available to help complainants 
with limited English proficiency. 

Practice 3: FTA’s Policy is to Acknowledge the Receipt of Complaints: 

DOJ guidance suggests that federal agencies should acknowledge the 
receipt of complaints to the complainant. 

According to FTA officials, in most cases, acknowledgment letters are 
sent to complainants within 10 days of receipt, in line with DOT 
guidance. 

FTA officials indicated they do not send acknowledgment letters for 
complaints they expect to close within a few weeks. 

Figure: FTA Sample Acknowledgment Letter: 

[Refer to PDF for image: illustration] 

U.S. Department of Transportation:
Federal Transit Administration Headquarters:
East Building, 5th Floor — TCR: 
1200 New Jersey Avenue, SE: 
Washington, DC 20590: 

[date] 
[address] 
Re: FTA No. [no.] 

Dear [name]: 

This letter acknowledges receipt of your complaint against [transit 
agency] alleging discrimination based on disability. The Federal 
Transit Administration (FTA) Office of Civil Rights is responsible for 
ensuring that providers of public transportation are in compliance 
with the Americans with Disabilities Act of 1990, Section 504 of the 
Rehabilitation Act of 1973, and the U.S. Department of 
Transportation's implementing regulations at 49 CFR Parts 27, 37, 38, 
and 39. 

We will first review your allegations and determine whether FTA has 
authority to process the complaint, and then assign an investigator if 
needed. You will receive further communications about the complaint 
after our review. 

Any additional correspondence related to this complaint should 
reference FTA No. [no.] and be addressed to: 

Director, Office of Civil Rights (TCR-1): 
Federal Transit Administration: 
1200 New Jersey Avenue, SE, Room E54: 
Washington, DC 20590: 

Thank you for bringing this matter to our attention. 

Sincerely, 

ADA Team: 
Office of Civil Rights: 

[End of figure] 

Practice 4: FTA Has Procedures for Documenting Complaint Allegations 
to be Resolved: 

DOJ guidance indicates that agencies should document any 
discrimination complaint allegations to be resolved, even those not 
resulting in formal investigations. 

FTA has procedures to maintain complaint information in XTRAK, and to 
maintain separate case files documenting investigation steps taken. 

According to FTA and other DOT officials, XTRAK also allows for 
tracking correspondence that does not constitute a complaint. 

Practice 5: FTA Has Procedures for Documenting the Results of 
Complaint Investigations: 

DOJ guidance states that agencies must document the results of any 
discrimination complaint investigation. 

According to FTA officials, the agency’s procedures require that the 
results of any investigation resulting from a civil rights complaint 
be maintained in XTRAK. 

* Complaints to FTA can be resolved in several ways, including: 

- Letter of Findings (violations found on the part of the recipient);
- Letter of No Findings (no violations); 
- Letter of Concern (no violations, but related problems found);
Resolved before Letter of Findings Issued (recipient comes into 
compliance);
- Administrative closure (due to complainant not being responsive; or 
other reasons);
- Administrative closure - Compliance Review Initiated. 

Figure: Results of ADA and Title VI complaints received by FTA 2009–
2012: 

[Refer to PDF for image: pie-chart] 

Administrative closure (due to complainant not being responsive, and 
other reasons: 234 complaints; 43%; 
Letter of No Findings: 173 complaints; 32%; 
Resolved Before Issuing Letter (recipient comes into compliance): 46 
complaints; 9%; 
Letter of Concern (no violations, but related problems): 32 
complaints; 6%; 
Letter of Findings (one or more violations found): 26 complaints; 5%; 
Administrative closure--compliance review initiated: 18 complaints; 3%; 
No DOT jurisdiction: 9 complaints; 2%. 

Source: GAO analysis of FTA data. 

[End of figure] 

Few FTA complaint investigations (only about 5 percent) resulted in 
findings of violations, based on our analysis of the 538 ADA and Title 
VI complaints received from FTA 2009-2012 and closed as of April 2013. 

Practice 6: FTA’s Policy is to Use Informal Methods to Resolve 
Complaints, When Possible: 

DOJ guidance strongly encourages agencies to use informal methods to 
resolve complaints when possible, noting that this can help to address 
complaints more quickly and with less staff resources. 

According to FTA officials, the agency’s policy is to use informal 
methods to resolve complaints whenever possible. 

* For example, in some cases, FTA officials may advise the recipient—-
such as a transit agency-—of a potential deficiency and ways to 
address it and then ensure the recipient acts accordingly. 

Practice 7: FTA Procedures Include an Informal Appeals Process for 
Complaints: 

DOJ guidance suggests that agencies should provide a formal or 
informal appeals process for the results of complaint investigations. 

FTA procedures include an informal appeals process. 

* Closure letters—which are sent to all complainants and recipients 
when complaint cases are closed-—include the investigator’s contact 
information, so those who believe information has been overlooked can 
contact FTA. 

* FTA officials noted that complaint cases may be reopened if 
complainants point out information that was overlooked. 

Practice 8: FTA Procedures Require that When a Complaint Investigation 
Uncovers Noncompliance, FTA Should Monitor the Recipient for 
Compliance: 

DOJ guidance states that if a complaint investigation reveals 
noncompliance on the recipient’s part, the federal agency should 
monitor the recipient afterward for compliance with requirements. 

According to FTA officials, if they identify noncompliance during a 
complaint investigation, FTA procedures require the recipient to take 
steps to correct the noncompliance and for FTA to then monitor the 
recipient’s progress. 

* For example, if FTA issues a Letter of Findings of violations, it 
generally gives the recipient 30 days to demonstrate that it has 
addressed the violations and come into compliance. 

* FTA monitors the recipient’s progress in the identified area(s) of 
noncompliance until satisfied the recipient has come into compliance. 

* According to FTA officials, of the 26 Letters of Findings issued to 
recipients from 2009 through 2012, only 1 was still being actively 
monitored by FTA as of May 2013 to ensure that the recipient was 
taking corrective actions. In all other cases, FTA determined that 
recipients had achieved compliance. 

Practice 9: FTA Procedures Include Conducting Civil Rights Compliance 
Reviews: 

DOJ guidance states that federal agencies are required to oversee 
effective programs of compliance reviews for recipients and 
subrecipients. 

As previously mentioned, FTA’s procedures include conducting oversight 
reviews of funding recipients—-including discretionary civil rights 
compliance reviews-—but the agency has limited resources for 
conducting these and thus conducts few per year. 

Complaints are a factor for selecting a recipient for a compliance 
review. 

* Based on our analysis of FTA data, of the total 538 ADA and Title VI 
complaints received from FY 2009 through FY 2012 that had been closed 
as of April 2013, FTA closed 18 complaints-—or about 3 percent—-by 
initiating compliance reviews of the respective recipients. These 
included 10 Title VI complaints, 7 ADA complaints, and one combined 
ADA-Title VI complaint. 

FTA can keep compliance reviews open until problems are resolved. 

GAO on the Web: 

Web site: http://www.gao.gov/:   

Congressional Relations: 

Katherine Siggerud, Managing Director, siggerudk@gao.gov: 
(202) 512-4400, U.S. Government Accountability Office: 
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Public Affairs: 
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441 G Street, NW, Room 7149, Washington, DC 20548: 

Copyright: 

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[End of briefing slides] 

Footnotes: 

[1] Pub. L. No. 121-141, 126 Stat. 405.717-18 (2012). 

[2] Pub. L. No. 101-336, 104 Stat. 327 (1990). 

[3] Pub. L. No. 93-112, 87 Stat. 354 (1973). 

[4] Pub. L. No. 88-352, 78 Stat. 241, 252 (1964). Title VI of the 
Civil Rights Act of 1964, as amended, prohibits the exclusion from 
participation in denial of benefits of, and discrimination under 
federally assisted programs on the ground of race, color, or national 
origin. 

[5] In addition to Title VI, the ADA and the disability-related 
provisions in Section 504 of the Rehabilitation Act of 1973, we also 
reviewed age discrimination provisions in the Age Discrimination Act 
of 1975, as amended (Pub. L. No. 94-135, 89 Stat. 728 (1975), sex 
discrimination provisions in Title IX of the Education Amendments of 
1972, as amended (Pub. L. No. 92-318, 86 Stat 235-373 (1972)) and 
various laws prohibiting religious discrimination (e.g., 42 U.S.C. § 
1981, and 42 U.S.C. §§ 2000b. 2000e). 

[6] DOJ is responsible for coordinating the implementation and 
enforcement of various nondiscrimination provisions by agencies (E.O. 
12250). 

[7] DOT implemented XTRAK during 2008 and 2009. We analyzed complaints 
from the 2009 through 2012 timeframe in order to obtain 4 full years 
of complaint data. 

[8] Under Executive Order 12250, DOJ is to coordinate and ensure the 
enforcement of Title VI and similar nondiscrimination statutes by 
federal agencies that provide federal financial assistance. DOJ's 
manual is designed to provide guidance on the investigation of 
complaints of discrimination against recipients of federal financial 
assistance. 

[9] DOT is required to take affirmative action to ensure that 
recipients of federal financial assistance are in compliance with 
specified nondiscrimination protections. See, 42 U.S.C. § 5332(c). 

[10] GAO, ADA Paratransit Services: Demand Has Increased, but Little 
is Known about Compliance, [hyperlink, 
http://www.gao.gov/products/GAO-13-17] (Washington, D.C.: Nov. 15, 
2012). 

[11] All Letters of Findings of violations were related to ADA 
complaints. For example, one recipient was found in violation because 
it had operated vehicles with non-functioning lifts for more than five 
days, making it difficult for some riders with disabilities who depend 
on such lifts to access the vehicles. In another example, another 
recipient was found in violation because in times when the lift on its 
fixed route buses was non-operative, it failed to provide alternate 
transportation within 30 minutes to disabled riders. 

[End of section] 

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[End of document]