Americans with Disabilities Act (ADA) Paratransit Eligibility Manual
DOT-T-93-17
September 1993
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NOTICE
This document is disseminated under the sponsorship of the
Department of Transportation in the interest of information
exchange. The United States Government assumes no liability for
its contents or use thereof.
NOTICE
The United States Government does not endorse products of
manufacturers. Trade or manufacturers' names appear herein solely
because they are considered essential to the object of this report.
Americans with
Disabilities Act (ADA)
Paratransit Eligibility
Manual
Final Report
September 1993
Prepared by
EG&G Dynatrend
24 New England Executive Park
Burlington, MA 01803
Prepared for
Federal Transit Administration
Office of Grants Management
U.S. Department of Transportation
Washington, D.C. 20590
Distributed in Cooperation with
Technology Sharing Program
U.S. Department of Transportation
Washington, D.C. 20590
DOT-T-93-17
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ADA Paratransit Eligibility Manual
Acknowledgements
This manual was prepared by EG&G Dynatrend under contract to
Battelle. Funding was Provided by the Federal Transit
Administration's Office of Grants Management through the Volpe
National Transportation Systems Center. Several individuals in
each of these organizations were involved in the development of the
manual.
Robert Stout, Nancy Solkowski, Gary DeLorme, and Irv Chor of the
Office of Grants Management, and David Spiller of the
Transportation Systems Center were instrumental in defining and
initiating the project. David Norstrom of Battelle assisted in the
preparation of the initial document outline and provided
administrative support throughout the project.
Nancy Solkowski and David Spiller also served as Project Managers
and provided valuable guidance and input on the structure and
content of the manual.
Much of the information in this report was gathered from selected
transit providers across the country. Several individuals assisted
in identifying providers with particular experience in the
development of ADA paratransit eligibility materials and processes.
Recommendations and referrals were provided by John Balog, John
Morrison, and Anne Schwarz of the Ketron Division of the Bionetics
Corporation, Nancy Coburn of Battelle, David Cyra of the University
of Wisconsin-Milwaukee, Rich Garrity of AG Planning & Management,
David Koffman of Crain & Associates, and Robbie Sarles of RLS
Associates.
This report would not have been possible without the cooperation of
the employees of each of the transit agencies contacted. Special
thanks to each of the following persons for sharing insights and
for developing and providing the materials and information
contained in this manual:
Robin Boshell, Delaware Administration for Specialized
Transportation (DAST)
Daniel Brogan, OMNITRANS, San Bernardino, California
Jan Choti, City of Durango, Colorado
Margaret Coffey, New York City Transit Authority
Lisa Darnall, Mass Transportation Administration, Baltimore,
Maryland
Richard DeRock and Chip Hazen, Los Angeles County Metropolitan
Transportation Authority
Ed Frost, Ben Franklin Transit, Richland, Washington
Gail Heald and Mary Ellen Blunt, Central Massachusetts
Regional Planning Commission, Worcester, Massachusetts
Susan Hafner and Tessie Johnston, Riverside Transit Agency,
Riverside, California
Mark Huddleston, Oshkosh Transit System, Oshkosh, Wisconsin
Robert Johnson, Waukesha Transit System, Waukesha, Wisconsin
Micki Kaplan, Lane Transit District, Eugene, Oregon
Kimberlee Kelly, Greater Bridgeport Transit District
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ADA Paratransit Eligibility Manual
Dianna Lake, San Mateo County Transit District, San Carlos,
California
Paul Laffousse, Madison Metro Transit System
Terry Lathrop, City of Charlotte, North Carolina
John Lee, City of Greeley, Colorado
Avon Makel, Washington Metropolitan Area Transit Authority
Kathy McCune, Utah Transit Authority, Salt Lake City
Tina Morris, Transit Authority of River City, Louisville,
Kentucky
Lynn Ritter Otte and Shirley Fraser, Regional Transportation
Authority, Chicago
Nancy Poultney, Seattle Metro
Jon Roth, Southeastern Pennsylvania Transportation Authority,
Philadelphia
Christopher White, Ann Arbor Transportation Authority
Cathy Williams, Port Authority of Allegheny County, Pittsburgh
Finally, several employees at EG&G Dynatrend provided input,
assistance and support. Karla Karash reviewed draft material.
Carol Schweiger and Larry Hannan provided information on the final
chapter concerning advanced technologies. Marsha Gangi provided
administrative support and assisted in document preparation.
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ADA Paratransit Eligibility Manual
Table of Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Chapter 1. Understanding ADA Paratransit Eligibility . . . . . 3
Section 1. Who Must Develop an ADA Paratransit Eligibility
Determination Process and When Must it be
Implemented? . . . . . . . . . . . . . . . . . 3
Section 2. How is ADA Paratransit Eligibility Defined in
the Regulations? . . . . . . . . . . . . . . . 4
Category 1 Eligibility . . . . . . . . . . . . . . . . . 5
Category 2 Eligibility . . . . . . . . . . . . . . . . . 7
Category 3 Eligibility . . . . . . . . . . . . . . . . . 8
Companions/Personal Care Attendants. . . . . . . . . . .12
Visitors . . . . . . . . . . . . . . . . . . . . . . . .13
Temporary Disabilities . . . . . . . . . . . . . . . . .14
Section 3. Key Differences between ADA Paratransit
Eligibility and Past Paratransit Eligibility .15
ADA Paratransit Eligibility as a Civil Right . . . . . .15
Functionally-based Determinations of Eligibility . . . .16
Conditional or "Trip-by-Trip" eligibility. . . . . . . .16
Determining Eligibility Based on the Most Limiting
Factors. . . . . . . . . . . . . . . . . . . . . . . . .20
Section 4. The Importance of a Thorough Initial
Determination. . . . . . . . . . . . . . . . .21
Managing Demand. . . . . . . . . . . . . . . . . . . . .21
Documenting an Undue Financial Burden. . . . . . . . . .21
Chapter 2. Elements of an ADA Paratransit Eligibility Policy .23
Section 1. Required Elements. . . . . . . . . . . . . . .23
Strictly Limiting Eligibility. . . . . . . . . . . . . .23
Accessible formats . . . . . . . . . . . . . . . . . . .24
Processing Time/Presumptive Eligibility. . . . . . . . .25
Notice of Initial Determination. . . . . . . . . . . . .25
Documentation of Eligibility . . . . . . . . . . . . . .25
Administrative Appeal Process. . . . . . . . . . . . . .26
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ADA Paratransit Eligibility Manual
Section 2. Optional Elements. . . . . . . . . . . . . . .27
Recertification of ADA Paratransit Eligibility . . . . .27
Recertification of Other Paratransit Customers . . . . .28
No-Show Suspension Policy. . . . . . . . . . . . . . . .28
Chapter 3. Establishing an ADA Paratransit Eligibility
Determination Process . . . . . . . . . . . . . . .29
Section 1. General Considerations . . . . . . . . . . . .30
Public Participation . . . . . . . . . . . . . . . . . .30
Public Information and Marketing . . . . . . . . . . . .31
Additional Charges and Fees. . . . . . . . . . . . . . .33
Section 2. Alternative Processes. . . . . . . . . . . . .34
Self-certification with professional verification as
needed . . . . . . . . . . . . . . . . . . . . . . . . .34
Self-certification and professional verification . . . .36
In-Person Assessments. . . . . . . . . . . . . . . . . .39
Combined Approaches. . . . . . . . . . . . . . . . . . .40
Considerations for Future Recertification of Riders. . .42
Section 3. Deciding Who Will Do Initial Determinations. .48
In-House Determinations. . . . . . . . . . . . . . . . .48
Utilizing Contract Reviewers . . . . . . . . . . . . . .48
In-House Determination with Third-Party Assistance as
Needed . . . . . . . . . . . . . . . . . . . . . . . . .51
Reviewer Training. . . . . . . . . . . . . . . . . . . .52
Section 4. Developing Application Forms and Materials . .53
Accessible Formats . . . . . . . . . . . . . . . . . . .53
Terminology. . . . . . . . . . . . . . . . . . . . . . .54
Transmittal Cover Letter . . . . . . . . . . . . . . . .54
Application/Assessment Forms . . . . . . . . . . . . . .55
General Information. . . . . . . . . . . . . . . . . . .57
Questions about Mobility Aids Used . . . . . . . . . . .58
Questions about the Applicant's Disability . . . . . . .59
Questions/Functional Tests Regarding Travel Capabilities60
Travel Training Information. . . . . . . . . . . . . . .68
Other Service Information. . . . . . . . . . . . . . . .69
Administrative Information . . . . . . . . . . . . . . .69
Request for Professional Reference(s). . . . . . . . . .70
Professional Verification Form . . . . . . . . . . . . .72
ADA Paratransit Eligibility Manual
Section 5. Reviewing Applications and Making
Determinations . . . . . . . . . . . . . . . .73
Pre-Tests of Materials . . . . . . . . . . . . . . . . .73
Regulatory Review Timetable and Presumptive Eligibility.73
Establishing a Management Information System to Track
Determinations . . . . . . . . . . . . . . . . . . . . .74
Developing Reviewer Guidelines and Maintaining
Consistency in Reviews . . . . . . . . . . . . . . . . .78
Observing Privacy Rights . . . . . . . . . . . . . . . .79
Recent Certification Experiences of Selected Providers .79
Section 6. Notifying Individuals of Initial Determinations85
Section 7. Documentation of ADA Paratransit eligibility .92
Section 8. Appeals Procedures . . . . . . . . . . . . . .94
Structuring an Appeal Process. . . . . . . . . . . . . .96
Holding an Appeal Hearing. . . . . . . . . . . . . . . 102
Section 9. Refusing, Conditioning, or Suspending Service103
Circumstances Under which Service Can be Refused . . . 103
Circumstances Under which Service Can be Conditioned . 104
Circumstances Under Which Service Can be Suspended . . 104
Developing a "No-Show" Suspension Policy . . . . . . . 105
Process Issues Associated with Suspending Service. . . 111
Section 10. Visitor Policies . . . . . . . . . . . . . . 112
Chapter 4. Applying Eligibility Determinations to Daily
Operations. . . . . . . . . . . . . . . . . . . . 115
Section 1. Important Operational Information. . . . . . 115
Section 2. Trip-by-Trip Eligibility Determinations. . . 118
Review Subscription Trips. . . . . . . . . . . . . . . 119
Review Other Frequently Made Trips . . . . . . . . . . 119
Generalize Limitations of Eligibility. . . . . . . . . 119
Consideration of Easily Tracked Eligibility Conditions 120
Section 3. Using Advanced Technologies to Make Trip
Eligibility Determinations . . . . . . . . . 122
Relational Database Management Systems (RDMS). . . . . 122
Automated Client Information Systems . . . . . . . . . 122
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ADA Paratransit Eligibility Manual
Automated Routing and Scheduling Systems . . . . . . . 123
GIS and Computer Mapping Systems . . . . . . . . . . . 133
Section 4. Providing Alternatives/
Market-Based Approaches . . . . . . . . 133
References . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Appendix A. 49 CFR Part 37 Sections 37.121 through 37.127 and
related sections of Appendix D
Appendix B. ADA Paratransit Eligibility Policy Checklist
Appendix C. Listing of Selected Transit Providers Contacted for
Information in the Preparation of this Manual
Appendix D. Sample Marketing and Public Information Materials
Appendix E. Sample Eligibility Material Developed by the San
Mateo County Transit District (SAMTRANS)
Appendix F. Sample Eligibility Material Developed by the Madison
Metro Transit System
Appendix G. Sample Eligibility Material Developed by the Utah
Transit Authority
Appendix H. Sample Eligibility Material Developed by the
Worcester Regional Transit Authority
Appendix I. Sample Eligibility Material Developed by the
Municipality of Metropolitan Seattle (Metro)
Appendix J. Sample Eligibility Material Developed by the
Washington Metropolitan -Area Transportation Authority
Appendix K. Sample Eligibility Material Developed by the
Delaware Administration for Specialized
Transportation (DAST)
Appendix L. Sample Eligibility Material Developed by the
Regional Transportation Authority (Chicago)
Appendix M. Sample Eligibility Material Developed by the Port
Authority of Allegheny County (PAT)
Appendix N. Information about the Applicant Tracking System used
by Seattle Metro
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ADA Paratransit Eligibility Manual
List of Tables
Table 1. Eligibility by Functional Impairment/Disability. . . . .18
Table 2. Eligibility Determination Processes Used by Selected
Transit Providers. . . . . . . . . . . . . . . . . . . .43
Table 3. Eligibility Determination Results for Selected Transit
Providers. . . . . . . . . . . . . . . . . . . . . . . .80
Table 4. Descriptions of Appeal Procedures for Selected Transit
Providers. . . . . . . . . . . . . . . . . . . . . . . .99
Table 5. Details of No-Show Suspension Policies for Selected
Transit Providers. . . . . . . . . . . . . . . . . . . 107
Table 6. Capabilities of Selected Computer Scheduling and
Dispatching Systems to Capture and Display ADA
Paratransit Eligibility Information. . . . . . . . . . 125
Table 7. Capabilities of Selected Computer Scheduling and
Dispatching Systems to Display the ADA Paratransit
Service Area and Calculate Distances to and From
Stops/Stations . . . . . . . . . . . . . . . . . . . . 127
Table 8. Capabilities of Selected Computer Scheduling and
Dispatching Systems to Track Service
Provided to Visitors . . . . . . . . . . . . . . . . . 129
Table 9. Capabilities of Selected Computer Scheduling and Dispatch
Systems to Track and Analyze Capacity Constraints and
Subscription Service . . . . . . . . . . . . . . . . . 131
List of Figures
Figure 1. Examples of Eligibility Under Category 3 . . . . . . . .11
Figure 2. Required and Optional Policy Elements. . . . . . . . . .23
Figure 3. Steps in Developing an ADA Paratransit Eligibility
Process. . . . . . . . . . . . . . . . . . . . . . . . .29
Figure 4. Examples of Types of Professionals that can Assist with
Eligibility Determinations . . . . . . . . . . . . . . .50
Figure 5. Sample Flow Chart of Eligibility Determination Process
(sheet 1 of 3) . . . . . . . . . . . . . . . . . . . . .75
Figure 6. Sample Photo ID Format for ADA Paratransit Eligibility
Documentation. . . . . . . . . . . . . . . . . . . . . .93
Figure 7. Letter Sent by SEPTA to Riders with Greatest Number of
No-Shows Each Month. . . . . . . . . . . . . . . . . . 110
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ADA Paratransit Eligibility Manual
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ADA Paratransit Eligibility Manual
Introduction
Section 223 of the Americans with Disabilities Act of 1990 (ADA)1
requires that public entities which operate non-commuter fixed
route transportation services also provide complementary
paratransit service for individuals unable to use the fixed route
system. The regulations issued by the U.S. Department of
Transportation2, which implement this portion of the law, specify
to whom and under what circumstances this service is to be
provided. In addition, the regulations require public entities
which are subject to the complementary paratransit requirements to
develop and administer a process for determining if individuals who
request service meet the regulatory criteria for eligibility.
Initial guidance on the development of complementary paratransit
plans, including the establishment of eligibility determination
processes, was provided in the ADA Paratransit Handbook3
immediately following the issuance of the regulations. Since that
time, numerous questions about the definition of eligibility and
about the determination process have been raised. The review of
initial ADA paratransit plans and first year updates also has
identified innovative approaches used by transit providers in the
development of eligibility determination programs.
This manual has been prepared to provide further guidance to
transit providers in the development and implementation of ADA
paratransit eligibility determination processes. The most common
questions raised about eligibility are addressed. Experience
gained in the first one and a half years of implementation of the
paratransit provisions is also summarized. As part of the
preparation of this manual, public entities that had particular
expertise and positive experiences with eligibility determination
were contacted and copies of the forms and procedures which they
had developed were collected. Key issues raised by these transit
providers are included in the text and copies of sample forms and
policies are provided in the appendices.
This manual is organized in three parts. The first part, which
includes Chapters I and 2, presents a thorough discussion of the
concept of ADA paratransit eligibility and describes the regulatory
requirements which apply. The second part, Chapter 3, offers
practical advice in all aspects of designing and administering an
eligibility determination process. This chapter
___________________________
1 Public Law 101-336, July 26, 1990.
2 49 CFR Parts 27, 37 and 38, "Transportation for Individuals
With Disabilities; Final Rule", published in the Federal
Register, September 6, 1991.
3 Thatcher, R.H., and Gaffhey, J.K., ADA Paratransit Handbook:
Implementing the Complementary Paratransit Service
Requirements of the Americans with Disabilities Act of 1990,
USDOT Report #UMTA-MA-06-0206-91-1, prepared for the UMTA Task
Force on the Americans with Disabilities Act, funded through
the Office of Technical Assistance and Safety, September,
1991.
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ADA Paratransit Eligibility Manual
is structured to lead the reader through the process of eligibility
determination as it would occur in actual practice. The sequence
of presentation is:
- deciding on the appropriate process;
- creating appropriate forms for the selected process;
- conducting the initial determination;
- notifying individuals about determinations;
- providing documentation of eligibility;
- establishing and conducting an appeals process;
- policies for suspending service to eligible persons; and
- providing service to visitors.
The final chapter focuses on key operational issues. It discusses
the use of eligibility information in daily operations. Possible
approaches to determining the eligibility of specific trip requests
are reviewed and advanced technologies which can assist with trip-
by-trip determinations are presented.
This manual is also intended to be a comprehensive guide to
eligibility issues. In addition to practical information and
suggestions, all regulatory information has been included. The
full text of those portions of the regulation that address
eligibility issues are reprinted in Appendix A. Applicable sections
of the appendix to the regulation which provide interpretation of
the eligibility provisions are also included. Throughout the
manual, relevant portions of the regulations and interpretive
guidance are inserted.
While this manual offers extensive guidance on the development of
application material and an eligibility process, it does not
provide a single model for eligibility determination applicable in
all cases. As noted in Chapter 3, there are many different ways
that the process can be structured. Application forms and
materials will vary depending on the approach selected. Instead,
the appendices contain several model forms and materials that apply
to all of the possible approaches. Chapter 3 also offers advice on
the types of questions and information that should be included in
eligibility materials, regardless of the approach which is
selected.
Public input is required in the design of the eligibility
determination process. The importance of involving people with
disabilities and local disability organizations in the development
of all aspects of the eligibility policy and process cannot be
overemphasized. The guidance and advice offered in this manual
should be shared with and reviewed together with these individuals
and organizations.
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ADA Paratransit Eligibility Manual
Chapter 1
Understanding ADA Paratransit Eligibility
Section 1. Who Must Develop an ADA Paratransit eligibility
Determination Process and When Must it be
Implemented?
Access to mainline, fixed route transportation services is the main
goal of the transportation provisions of the ADA. The law
recognizes, however, that some persons with disabilities are not
able to use fixed route services even if these services are fully
accessible. The law also acknowledges that many fixed route
systems are not accessible and that alternative means of
transportation are needed until full accessibility is achieved.
Complementary paratransit service is required by Section 223 of the
ADA to serve those persons whose needs cannot be met by fixed route
systems.
All public entities which operate non-commuter fixed route
transportation services for the general public are required to also
provide complementary paratransit service. This paratransit
service must be comparable to the fixed route service. Six service
criteria which define comparability are detailed in the USDOT
implementing regulations.4
Complementary paratransit service is to be provided to those
individuals determined to be ADA paratransit eligible when these
individuals are unable to use the fixed route service to meet
particular trip needs. As described in Section 2 of this Chapter,
the regulations provide detailed guidelines which define who is to
be considered ADA paratransit eligible and what trips are to be
considered eligible.
All public entities which operate complementary paratransit
services must establish a process for certifying individuals as ADA
paratransit eligible. Requests for certification must be accepted
and processed for local residents and long-term visitors.
An eligibility determination process must be established even if
the public entity operates a paratransit system with broader
eligibility requirements than the ADA. All potentially ADA
paratransit eligible persons may be covered by the broader system,
but individuals must have the opportunity to apply for and receive
documentation of ADA paratransit eligibility which can be used in
other areas.
The regulations required that the implementation of complementary
paratransit service begin on January 26, 1992. Services must be
fully implemented (i.e., must meet all of the regulatory service
criteria) by January 26, 1997 unless an "undue financial burden
waiver" is
___________________________
4 For a detailed explanation of the complementary paratransit
service requirements, see the ADA Paratransit Handbook, UMTA-
MA-06-0206-91-1, September, 1991.
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ADA Paratransit Eligibility Manual
granted by the FTA Administrator. The determination of those
persons who are eligible to receive service is a necessary first
step in this process. Therefore, an eligibility determination
process is required early in the five-year implementation period.
Regardless of local implementation schedules, all public entities
should have an eligibility determination process in place by
January 26, 1994.
Section 2. How is ADA Paratransit Defined in the Regulations?
Eligibility for complementary paratransit service is directly
related to the inability of a person with a disability to use the
existing fixed route service. A person's inability to use the
fixed route service could be related to the fact that the system
has not yet been made fully accessible. It could also result from
the nature of a person's disability. The person may not be able,
due to their disability, to get to or from the system or to board,
ride, and disembark from the vehicles even if they are fully
accessible.
While eligibility is conferred on individuals, it is conferred
based on the fact that there are certain trips that the person
cannot make on the fixed route system. For some individuals, their
disabilities may prohibit them from ever using the fixed route
service. For others, however, they may not be able to use the
fixed route service under certain circumstances. ADA paratransit
eligibility can, therefore, be considered as having two elements.
First, an individual is considered ADA paratransit eligible if
there are any circumstances under which the fixed route system
cannot be used. Second, the extent of eligibility conferred on an
individual depends on the conditions and circumstances under which
they are not able to travel on the fixed route service.
Individuals who can never use the fixed route service are
unconditionally eligible. Persons who can use fixed route service
in certain circumstances are conditionally eligible and the
limitations on their eligibility should be determined.
Because the regulations establish this concept of trip-by-trip
eligibility, it is important that the eligibility determination
process be detailed enough to identify not only eligible
individuals but to determine the conditions under which their
specific trip requests would be eligible.
The regulations describe three specific circumstances under which a
person would be considered ADA paratransit eligible. Within the
industry, these have been referred to as the three "categories" of
eligibility. The regulations also require that service be provided
to personal care attendants and companions of eligible individuals
and to visitors from outside a transit district's jurisdiction.
Following is a detailed discussion of each of the three
"categories" of eligibility and of requirements for serving
companions, personal care attendants, and visitors.
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ADA Paratransit Eligibility Manual
Category 1 Eligibility
The first category of eligibility includes those persons unable to
use fully accessible fixed route services. Included in this
category is:
"Any individual with a disability who is unable, as the result of a
physical or mental impairment (including a vision impairment), and
without the assistance of another individual (except the operator
of a wheelchair lift or other boarding assistance device), to
board, tide, or disembark from any vehicle on the system which is
readily accessible to and usable by individuals width disabilities.
" [37.123(e)(1)]
Examples of eligibility under this category would include:
- a person with a mental disability who cannot "navigate the
system". Navigating the system might involve obtaining and
understanding system information, recognizing and boarding the
correct vehicle, having available the correct fare and/or
using the fare collection system, recognizing destinations,
and understanding transfers that might have to be made;
- a person with a vision impairment who cannot "navigate the
system". Entering and traveling through a busy station or
transit center may not be possible. Recognizing and boarding
the correct vehicle, and recognizing the appropriate
destination - even though announcements are made - are also
considerations;
- a person with a physical disability who cannot stand on a
crowded bus or rail car when seats, including priority seats,
may not be available;
- a person with a physical disability who uses a wheelchair and
who cannot get on or off the lift or to or from the wheelchair
securement area without assistance.
It is important to note that eligibility under this category
depends on the complexity of the fixed route system. The type and
extent of disability that would confer eligibility in a rural area
with a one or two route bus system would be different from that in
a large urban system. Transit providers should base determinations
on the characteristics of their fixed route service and the
abilities needed to use it.
Other key issues and questions associated with this category of
eligibility are summarized below.
(1) Travel training: Many persons who cannot negotiate the entire
fixed route system can be travel trained for certain trips.
Typically, training is provided for trips that the person
makes frequently, such as to work or school. These
individuals would only be ADA paratransit eligible for trips
they have not been trained to make. As part of the
application and determination process, it should be determined
if such training has
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ADA Paratransit Eligibility Manual
been provided.
Individuals cannot, however, be required to participate in
travel training. The public entity may choose to offer
training and may encourage individuals to take advantage of
this service. Until the individual takes advantage of this
service and is adequately trained, paratransit service must be
provided.
(2) Operator assistance: Eligibility under this category is not
necessarily based on a person's ability to get on and off the
lift, up and down a ramp, to and from the securement area, or
secure their mobility device. While the regulation states
that a person is eligible for paratransit service if they
cannot independently use the fixed route system, operator
assistance is assumed. The regulations, in fact, specify the
level of assistance that must be provided by the public
entity. Section 37.165(f) of the regulations states that "the
drivers or other personnel must provide assistance with the
use of lifts, ramps, and securement devices." Beyond this
level of required assistance, however, public entities may
choose to offer additional assistance, such as assistance
getting to and from the securement area, in order to enable
persons to utilize the fixed route service. If the individual
is able to use the fixed route system with this assistance,
complementary paratransit service does not have to be
provided. Local policy concerning operator assistance should
be developed with full public participation, including the
input of persons with disabilities;
(3) Assistance of another person: With the exception of assistance
provided by the driver or other employees of the service,
eligibility under this category is based on a person's ability
to independent use the service. A person traveling with a
friend or attendant is still eligible for paratransit service
even if they would be able to use the fixed route system with
this other person's help.
(4) Accommodating mobility aids: The regulations set standards for
vehicle and station/stop accessibility. To be considered
accessible, equipment and facilities must be able to
accommodate mobility aids of a certain size and persons and
mobility aids up to a certain weight. The regulations define
a "common wheelchair" as a "wheelchair" which does not exceed
30 inches in width and 48 inches in length (measured two
inches above the ground) and which does not weigh more than
600 pounds when occupied. A "wheelchair" is defined as any
mobility aid belonging to any class of three or four-wheeled
devices, usable indoors, designed for and used by individuals
with mobility impairments, whether operated manually or
powered.
All common wheelchairs and their users are to be accommodated
on accessible fixed route and complementary paratransit
systems. The regulations do not, however, require public
entities to provide service to persons using mobility aids
that are not "common wheelchairs". An individual would not be
eligible for paratransit service under category 1 if they
could not use an accessible bus because their mobility aid is
too large or too heavy for the lift.
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ADA Paratransit Eligibility Manual
(5) Standees on lifts: The regulations require public entities to
allow persons with ambulatory disabilities who do not use
wheelchairs ( e.g., persons who use leg braces and canes) to
enter the vehicle by standing on the lift. Therefore,
individuals who cannot climb the steps to get into a bus would
not be eligible for paratransit service if they could enter
the vehicle using the lift.
Category 2 Eligibility
The second category of eligibility includes:
"Any individual with a disability who needs the assistance of a
wheelchair lift or other boarding assistance device and is able,
with such assistance, to board, tide, and disembark from any
vehicle which is readily accessible to and usable by individuals
with disabilities if the individual wants to travel on a route of
the system during the hours of operation of the system at a time,
or within a reasonable period of such time, when such a vehicle is
not being used to provide designated public transportation on the
route. " [37.123(e)(2)]
The majority of persons eligible under this category would be those
with ambulatory disabilities who could not enter an inaccessible
rail facility or would need to travel on a vehicle with a lift or
ramp and other accessibility features. This would include persons
who use wheelchairs as well as persons who use other mobility aids
such as walkers, leg braces, or canes.
Eligibility under this category depends on the accessibility of
vehicles and stations/stops. A person is eligible for paratransit
service if the fixed route on which they want to travel is not yet
accessible. Guidance on exactly what constitutes an "accessible"
fixed route is provided in the regulations and explanatory
appendix. For example:
- A person is eligible if the bus route on which they want to
travel is not 100 percent accessible. The requested trip
would be eligible if the fixed route that would otherwise be
used is only partially accessible (e.g., every other bus is
accessible).
- Similarly, a person is eligible if they need to travel on a
rapid or light rail system that is not yet accessible -
meaning that all key stations are accessible and one car per
train is accessible. An individual would be eligible in this
example even if accessible fixed route bus service is provided
in the same area.
- An individual is eligible for paratransit if a vehicle's lift
or boarding device cannot be deployed at the stop which they
want to use.
- An individual who uses a "common wheelchair" but cannot be
served by the fixed route system because the lift on the
vehicle they need to use does not meet the equipment standards
contained in Part 38 of the regulation is eligible for
paratransit service.
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ADA Paratransit Eligibility Manual
One important issue related to category 2 eligibility is the use of
on-call bus services as a way to increase the overall accessibility
of the fixed route service. Basically, on-call bus programs allow
an individual to call in advance and request that an accessible bus
be assigned to a particular route at a time when they need to
travel.5 Typically, an on-call bus program is implemented when a
significant percent of the fixed route fleet is accessible.
Successful programs have been implemented when 20-30 percent of all
peak hour vehicles are accessible.
On-call bus services do not technically make the fixed route fleet
fully accessible. Therefore, even if an on-call bus service is
offered, individuals who are eligible under category 2 must be
certified. On-call bus service is, however, considered an
acceptable form of complementary paratransit service and can be
provided in lieu of a separate van service to those who are
eligible under this category.
A second important issue is how this category of eligibility should
be treated by transit providers whose fixed route systems are fully
accessible. Clearly, individuals who could use accessible vehicles
would not be Category 2 eligible in these areas and transit
districts are not required to include questions that address this
category of eligibility in their application materials or
assessment processes if the fixed route service is 100 percent
accessible. These same individuals may not, however, be able to
use inaccessible vehicles if they travel to other transit
districts. Therefore, transit providers are encouraged to address
this category of eligibility even if it is not applicable to their
local system and to note on the eligibility documentation provided
that individuals are ADA paratransit eligible if accessible fixed
route vehicles are not available when needed.
Category 3 Eligibility
The third category of eligibility includes:
"Any individual with a disability who has a specific impairment-
related condition which prevents such individual from traveling to
a boarding location or from a disembarking location on such
system." [37.123(e)(3)]
Two important qualifiers to this category are included in the
regulations. First, environmental conditions and architectural
barriers not under the control of the public entity do not, when
considered alone, confer eligibility. If, however, travel to or
from a boarding location is prevented when these factors are
combined with the person's specific impairment related condition,
paratransit service must be provided. Examples of architectural
and environmental factors that, in combination with certain
disabilities, could prevent travel include:
___________________________
5 For more, information on on-call bus programs, see Chapter 6
of the ADA Paratransit Handbook, FTA Report #MA-06-0206-91-1,
September, 1991.
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ADA Paratransit Eligibility Manual
- a lack of curb-cuts
- the distance from the stop/station to the trip origin or
destination
- steep terrain
- snow and/or ice
- extremes in temperature (hot or cold)
- major intersections or other difficult to negotiate
architectural barriers
- temporary construction projects
- severe air pollution
Second, the specific impairment-related condition must prevent the
person from using the fixed route system. Conditions which make
getting to or from stops/stations more difficult do not confer
eligibility. A determination of whether travel is difficult rather
than "prevented" will need to be made. Appendix D of the
regulations offers the following guidance to clarify the concepts
of "prevented" travel and the relationship between architectural
and environmental conditions and a person's disability:
"For anyone, going to a bus stop and waiting for a bus is more
difficult and less comfortable than waiting for a vehicle at
one's home. This is likely to be all the more true for an
individual with a disability. But for many persons with
disabilities, in many circumstances, getting to a bus stop is
possible. If an impairment-related condition only makes the
job of accessing transit more difficult than it might
otherwise be, but does not prevent the travel, then the person
is not eligible.
For example, in many areas, there are not yet curb cuts. A
wheelchair user can often 'get around this problem by taking a
less direct route to a destination than an ambulatory person
would take. That involves more time, trouble, and effort than
for someone without a mobility impairment. But the person can
still get to the bus stop. On the basis of these
architectural barriers, the person would not be eligible.
Entities are cautioned that, particularly in cases involving
lack of curb cuts and other architectural barrier problems,
assertions of eligibility should be given tight scrutiny.
Only if it is apparent from the facts of a particular case
that an individual cannot find a reasonable alternative path
to a location should eligibility be granted.
If we add a foot of snow to the scenario, then the same person
taking the same route may be unable to get to the bus stop.
If it is not the snow alone that stops him; it is the
interaction of the snow and the fact that the individual has a
specific-impairment related condition that requires him to
push a wheelchair through the snow that prevents the travel.
Inevitably, some judgment is required to distinguish between
situations in which travel is prevented and situations in
which it is merely made more difficult. In the Department's
view, a case of "prevented travel" can be made not only where
travel is literally impossible (e.g., someone cannot find the
bus stop, someone cannot push a wheelchair through the foot of
snow or up a steep hill) but also where the difficulties
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ADA Paratransit Eligibility Manual
are so substantial that a reasonable person with the
impairment-related condition in question would be deterred
from making the trip.
The regulation makes the interaction between an impairment-
related condition and the environmental barrier (whether
distance, weather, terrain, or architectural barriers) the key
to eligibility determinations. This is an individual
determination. Depending on the specifics of their
impairment-related condition, one individual may be able to
get from his home to a bus stop under a given set of
conditions, while his next-door neighbor may not."
Given the judgement required to determine if travel is truly
prevented and the relationship between environmental conditions and
an individual's disability, making eligibility determinations based
on this third regulatory category is likely to be the most
difficult. Figure I on the following page provides additional
hypothetical examples to further define eligibility under this
category. It includes situations that would result in a person
being determined eligible as well as examples that would not confer
eligibility.
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ADA Paratransit Eligibility Manual
Figure 1. Examples of Eligibility Under Category 3
Situations that would result in category 3 eligibility:
- A person who is blind and who cannot cross a major
intersection that is not equipped with assistive devices such
as audible signals in order to get to or from a stop/station
would be eligible to receive paratransit for that trip.
- A person with a cardiac condition who is sensitive to high
temperatures and cannot wait outside for a bus during
extremely hot weather would be eligible when this
environmental condition exists.
- An individual with severe arthritis or multiple sclerosis
whose disability is aggravated by high humidity would be
eligible when this environmental condition, in combination
with the disability, prevents the use of fixed route service.
- An individual who uses a manual wheelchair, walker, or braces
and who cannot negotiate steep terrain would be eligible for
paratransit if using fixed route service for a particular trip
required crossing a hilly area.
- A person with an ambulatory disability who is unable to get to
or from stops/stations due to a lack of curb cuts.
- A person with a cognitive impairment who is unable to remember
and follow directions to get to and from a stop/station would
be eligible for trips (s)he has not or cannot be trained to
successfully make.
- A person who is frail and cannot independently travel more
than 1/4 of a mile to get to or from stops/stations and whose
particular trip is to a destination that is 1/2 mile from the
nearest fixed route.
- A person with an ambulatory disability who cannot walk or
maneuver a mobility device to or from stops/stations when
there is an accumulation of snow or ice would be eligible in
this type of weather.
- A person with a respiratory condition that is affected by high
levels of air pollution would be eligible if using fixed route
service under such environmental conditions is not advisable.
Situations that would not result in category 3 eligibility include:
- A person with a disability who prefers not to use fixed route
service due to the possibility of crime would not be eligible.
- A person who prefers not to use fixed route service when it is
raining would not be eligible unless the rain or humidity in
combination with a particular disability prevented him/her
from getting to or from a stop/station.
- An infant or child with a disability who is unable to get to
and from a stop/station and use the fixed route service not
because of the disability but because of age.
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ADA Paratransit Eligibility Manual
Companions/Personal Care Attendants
Paratransit service also must be provided to a personal care
attendant (PCA) traveling with an eligible rider. In addition to a
personal care attendant, the regulations require that service be
provided to one companion accompanying an eligible rider. Other
persons accompanying the rider are to be accommodated on a "space
available" basis. Persons are considered to be accompanying the
eligible rider if they are picked up and dropped off at the same
locations as the eligible rider. Companions must be charged the
same fare as the eligible rider and PCAs must ride free.
The following additional guidance on requirements for serving PCAs
and companions is provided in the interpretive appendix to the
regulations:
"The one individual who is guaranteed space on the vehicle can
be anyone-family member, business associate, friend, date,
etc. The provider cannot limit the eligible individual's
choice of type of companion. The transit authority may
require that the eligible individual reserve a space for the
companion when the individual reserves his or her own ride.
This one individual rides even if this means that there is
less room for other eligible individuals. Additional
individuals beyond the first companion are carried only on a
space available basis; that is, they do not displace other ADA
paratransit eligible individuals.
A personal care attendant (i.e., someone designated or
employed specifically to help the eligible individual meet his
or her personal needs) always may ride with the eligible
individual. If there is a personal care attendant on the
trip, the eligible individual may still bring a companion,
plus additional companions on a space available basis. The
entity may require that, in reserving the trip, the eligible
individual reserve the space for the attendant.
To prevent potential abuse of this provision, the rule
provides that a companion (e.g., friend or family member) does
not count as a personal care attendant unless the eligible
individual regularly makes use of a personal care attendant
and the companion is actually acting in that capacity. As
noted under 37.125, a provider may require that, as part of
the initial eligibility certification process, an individual
indicate whether he or she travels with a personal care
attendant. If someone does not indicate the use of an
attendant, then any individual accompanying him or her would
be regarded simply as a companion." [Appendix D to 49 CFR Part
37, 37.123]
As indicated above, a PCA may be an employee of the ADA paratransit
eligible rider or may be a family member or friend. Regardless of
the relationship, a PCA is clearly meant to be someone whose
services are required by the rider. In determining if eligible
individuals require PCA services, it is important to realize that
the need for a personal care attendant is not necessarily related
to travel on the paratransit service. PCAs are often needed by
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ADA Paratransit Eligibility Manual
individuals with disabilities to assist with other activities of
daily living. For example, a quadriplegic may be assisted by a PCA
in fl&g and holding papers at work or in eating meals. A blind
person may need a PCA to assist with shopping or to serve as a
reader at work. Individuals may need PCAs for these activities but
be fully capable of traveling on the paratransit service with the
assistance provided by transit personnel.
The need for PCA services can be intermittent or occasional and
still be considered Irregularly" needed. "Regular" use should be
interpreted to be consistent with the underlying need - for
example, a blind person regularly using a PCA for shopping. It is
also important to note that once a person has been certified as
needing to travel with a PCA, it should be the eligible individual,
not the transit agency, that determines if a PCA is needed for a
particular trip.
Section 4 of Chapter 3 of this manual offers guidance on questions
that can be added to the application form or assessment process to
determine if eligible individuals will need the services of PCAs
when using the paratransit program.
Visitors
The needs of visitors with disabilities who cannot use the fixed
route system also are addressed in the regulations. Complementary
paratransit service must be provided to ADA eligible individuals
who travel to areas outside of the region in which they live. If
these individuals have been certified as "ADA paratransit eligible"
by a public entity, that certification must be honored and the host
transit agency must provide up to 21 days of paratransit service.
If individuals have not been certified as eligible by another
public entity but claim that they are ADA paratransit eligible,
they are entitled to "presumptive eligibility" and must be provided
with 21 days of service. Individuals who are not certified by
another transit provider and who claim presumptive eligibility can
be requested to provide certain documentation such as their place
of residence and the nature of their disability.
Individuals are only considered "visitors" if they reside outside
of the transit provider's jurisdiction. The "jurisdiction" means
the total area within which the provider is authorized to operate,
not the sub-area designated as the ADA paratransit service area.
In joint paratransit plans, the jurisdiction is considered the
total area of all partners in the plan. The interpretive appendix
to the regulation offers the following explanation and example:
"A visitor is defined as someone who does not reside in the
jurisdiction or jurisdictions served by the public entity or
other public entities with which it coordinates paratransit
service. For example, suppose a five-county metropolitan area
provides coordinated paratransit service under a joint plan.
A resident of any of the five counties would not be regarded
as a visitor in any of them. Note that the rule talks in
terms of "jurisdiction" rather than "service area." If an
individual lives in XYZ County, but outside the fixed route
service area of that county's transit provider, the individual
is still not a visitor for purposes of paratransit in PQR
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ADA Paratransit Eligibility Manual
County, if PQR is one of the counties with which XYZ provides
coordinated paratransit service. "
Visitors from communities outside the transit agency's jurisdiction
must be served even if the community in which they reside does not
contribute financially to the transit system.
The "21 days" of service that must be provided are to be calculated
as 21 days of service over a defined period of time, not as a 21
calendar day period of time, beginning from the first day that
service is provided. For example, a person may travel to the ADA
service area two-days a week on the commuter rail system.
Eligibility should be extended in this case over the eleven week
period of time within which 21 days of paratransit service would be
required.
Visitors who require more than 21 days of service within the period
of time established can be required to apply for local eligibility.
Finally, the level of service provided to visitors must be the same
as that provided to local ADA paratransit eligible individuals who
would be traveling in the same area. This means that there can be
no difference in the area within which visitors can travel, the
times that they can travel, the fares charged, or any of the other
service criteria established in the regulations. Visitors are to
be treated exactly like eligible local customers.
Temporary Disabilities
Persons with temporary disabilities are to be considered for ADA
paratransit eligibility. This may include:
- someone with a medical condition such as a broken leg who
temporarily is unable to use the fixed route service;
- someone who has recently undergone an operation or other
medical treatment and who is unable to use the fixed route
service; or
- someone with a cognitive disability that can be expected to be
resolved over time through treatment or medication.
Temporary eligibility should be granted for the period of time that
the disabling condition is expected to last. An expiration date
should be included on the documentation provided to individuals
determined temporarily ADA paratransit eligible. Section 4 of
Chapter 3 of this manual includes a suggested approach for
determining the period of disability as part of the
application/assessment process.
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ADA Paratransit Eligibility Manual
Section 3. Key Differences between ADA Paratransit Eligibility
and Past Paratransit Eligibility
Many public transit providers offered paratransit services prior to
the enactment of the ADA. In the mid-1970's, eligibility was
determined by governing boards based on expressed local needs.
Throughout the 1980's, transit providers which opted to meet their
Section 504 obligations by offering paratransit service adopted the
general definition of eligibility provided in that regulation.
Eligibility for ADA complementary paratransit service is different
from these past notions of paratransit eligibility in four key
ways. These differences are discussed below.
ADA Paratransit Eligibility as a Civil Right
Failure to conduct a ' determination process that meets the
regulations or failure to provide complementary paratransit service
in accordance with the requirements established in the regulations
are violations of the civil rights of the affected individual.
This difference between ADA paratransit and past services has
several important implications for the eligibility determination
process. First, in designing review procedures and policies, it is
important that they adhere to all of the requirements contained in
37.123 and 37.125, described above and in Chapter 2 of this
manual. AR elements of the policy and process also should be
formally adopted by each public entity with the public
participation required in 37.137 of the regulations. Second, due
process standards must be observed in appeals, suspensions of
service, or in any other actions which affect a person's right to
the service. This is particularly true once individuals have been
determined eligible. In addressing the suspension of service for
"no-shows", the interpretive appendix states:
"Once an entity has certified someone as eligible, the
individual's eligibility takes on the coloration of a property
right. (This is not merely a theoretical statement. If one
depends on transportation one has been found eligible for to
get to a job, and the eligibility is removed, one may lose the
job. The same can be said for access to medical care or other
important services.) Consequently, before eligibility may be
removed "for cause" under this provision, the entity must
provide administrative due process to the individual."
[Appendix D to 49 CFR Part 37, Federal Register, Sept. 6,
1991, page 45747].
Finally, transit providers should maintain adequate records of
certification requests, reviews completed, notification provided,
and any appeals requested and should be prepared to demonstrate
that regulatory requirements were met in the handling of each
request for eligibility. Applications should be dated upon
receipt. Decisions made throughout the review process (e.g., the
completeness of the application, the need for more information,
reasons for determinations, requests for appeals, etc.) should be
recorded.
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ADA Paratransit Eligibility Manual
Functionally-based Determinations of Eligibility
Many policies prior to the ADA conferred paratransit eligibility
based on a particular medical condition, disability, or on the use
of a particular mobility aid. For example, persons who were
certified as paratransit eligible if they were "blind" or "legally
blind". Individuals who used wheelchairs, walkers, or leg braces
were considered eligible for paratransit. Certification from a
social service agency or a medical professional that the person
used a particular aid or had a particular disability automatically
conferred paratransit eligibility.
ADA paratransit eligibility, however, is based not just on the
presence of a disability, but on the effect that the disability has
on the person's ability to use the fixed route service. Several
factors must be considered in determining ADA paratransit
eligibility. These include:
(1) the applicant's disability;
(2) the accessibility of the fixed route system;
(3) architectural barriers that, in combination with the person's
disability, prevent use of the fixed route service; and
(4) environmental conditions that, in combination with the
person's disability, prevent use of the fixed route service.
While documentation of a particular disability or use of a mobility
aid is still important, this information alone can not be used to
make an eligibility determination. Questions about the functional
ability of the applicant to use fixed route transit must be
included in the application or assessment process. The
accessibility of the fixed route service and the effects of
environmental and architectural barriers must also be considered.
Conditional or "Trip-by-Trip" Eligibility
The paratransit eligibility processes employed by most transit
providers prior to the ADA used an "all or nothing" determination
approach. If it was determined that certain persons met the
criteria established for eligibility, they could call and request
paratransit service for any trip. If they were determined to not
be eligible, they could not request any rides. The ability to use
the fixed route system for some trips and not for others was not
considered.
Under the ADA, complementary paratransit service is only required
for trips that cannot be made on the fixed route system. Many
persons may qualify because there are certain specific conditions
which prevent them from using the fixed route service. For
example, a paraplegic wheelchair user may be able to use accessible
fixed route buses during most of the year, but may require
paratransit service when traveling on a route that is not fully
accessible or when traveling when there is a significant
accumulation of snow. Such a person would be ADA paratransit
eligible. Eligibility would be for trips that are not served by
accessible
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ADA Paratransit Eligibility Manual
fixed routes and might be limited to certain months of the year.
The documentation of ADA paratransit eligibility provided to this
individual should identify these conditions of eligibility.
While transit providers must identify whether or not applicants are
conditionally or unconditionally eligible and must include
limitations of eligibility in the documentation provided, they are
not required to conduct trip-by-trip determinations in daily
operation. If full compliance with the paratransit requirements
can be achieved within the allowed implementation period, a broader
service can be provided. If an undue financial burden waiver is
eventually requested, however, only those costs associated with the
provision of eligible trips can be used to calculate ADA
paratransit costs. An ability to distinguish between trips that
are eligible and those that are not will be needed.
Table 1 on the following pages, adapted from the ADA Paratransit
Handbook, illustrates the relationship between ADA paratransit
eligibility and selected types of disabilities/medical
conditions/functional impairments. For selected disabilities, the
applicability of eligibility conditions is indicated. The types of
conditions that should be considered are also noted. While the
table is not intended to be an exhaustive listing of disabilities
or eligibility conditions, it does illustrate the fact that
conditions of eligibility need to be considered in most cases.
There are limited instances in which it would be reasonable to
assume that paratransit service is needed "in all cases". This
would include, for example, individuals with profound mental
retardation who are unable to negotiate the fixed route system even
with travel training. It would also include persons with
disabilities that are episodic or intermittent (i.e., the extent of
disability can vary from day to day). In this latter instance, it
would probably be unrealistic to specify the condition that would
trigger an inability to use fixed route service.
17
Click HERE for graphic.
18
Click HERE for graphic.
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ADA Paratransit Eligibility Manual
Determining Eligibility Based on the Most Limiting Factors
Determinations of ADA paratransit eligibility must consider the
ability of applicants to travel to any origins and destinations in
the paratransit service area under all possible conditions.
Determinations cannot be based on a person's ability to use fixed
route service some of the time or under "typical" conditions. For
example, a person with an ambulatory disability may live only one
block from the nearest bus stop and the terrain between their home
and the stop may be level and accessible. They may not be able,
though, to independently travel more than 1/2 mile and may not be
able to negotiate steep terrain. Even though this person could get
to the fixed route system from their home, there would be possible
destinations more than 1/2 mile from fixed routes that she or he
would not be able to reach. There may be other destinations in
areas of steep terrain that would also be inaccessible.
Conditional eligibility would therefore be appropriate.
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ADA Paratransit Eligibility Manual
Section 4. The Importance of a Thorough Initial Determination
The development of a process that can accurately determine ADA
paratransit eligibility, including conditions and limitations of
eligibility, is important for several reasons. First and foremost,
as mentioned in Section 3 above, individuals who are unable to use
fixed route service have a right to receive complementary
paratransit service within the service limits established by the
regulations. Because this is a right established in national law,
the ultimate arbiter of eligibility for complementary paratransit
service is the judicial system. An applicant who feels that a
local determination of eligibility is not consistent with the
regulatory criteria can take this concern to court. It is
therefore in the interest of all involved that initial
determinations of ADA paratransit eligibility are made accurately
and in keeping with the established criteria and procedures.
In addition, an accurate determination of eligibility has important
operational and planning implications. These include:
Managing Demand
In many systems, the level of paratransit service that must be
provided to persons determined ADA paratransit eligible exceeds
that which was provided prior to the ADA. Once complementary
paratransit service is brought into full compliance, individuals
can request any and all trips for which they have been determined
eligible. Essentially, unconstrained service must be provided in
corridors served by fixed routes at all times that the service is
in operation. Unless granted an "undue financial burden waiver,"
transit providers will not be permitted to ration service, by
limiting supply or by other means, for these customers.
If the cost of providing fully compliant ADA paratransit service is
a local concern, it is important to carefully identify those
individuals who are eligible, determine when these persons can use
the fixed route system, and when paratransit is necessary. Unless
eligibility and appropriate limitations/conditions are determined
at the outset, it may not be possible to implement a trip-by-trip
scheduling system (see Chapter 4) as a way to manage paratransit
demand.
Documenting an Undue Financial Burden
In the event that providing fully compliant ADA paratransit service
presents an undue financial burden, the regulations permit transit
providers to request a waiver from the Administrator of the Federal
Transit Administration. Undue financial burden waiver requests
must document the cost of providing fully compliant service and
must detail why this cost is
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ADA Paratransit Eligibility Manual
an undue burden.6 In developing service costs, the regulations
specifically note in 37.155(b) that costs must be limited to those
"required by (the regulations) to ADA paratransit individuals" and
"attributable to ADA-mandated trips".
Transit providers requesting waivers must be able to document that
they have counted only those costs associated with eligible trips
made by persons who have been determined ADA paratransit eligible.
They must also be prepared to show that local determination of
eligible individuals and trips is consistent with the regulations.
The local eligibility determination process is, therefore, an
important concern in any decision regarding a request for an undue
financial burden waiver. If there is reason to believe that the
process has not accurately determined ADA paratransit eligibility
consistent with the regulations, the costs of ADA complementary
paratransit service included in a waiver request may be questioned.
___________________________
6 Factors which must be addressed in an undue financial burden
waiver request are detailed in 37.151 through 37.155 of the
regulations.
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ADA Paratransit Eligibility Manual
Chapter 2
Elements of an ADA Paratransit Eligibility Policy
In addition to providing a definition of ADA paratransit
eligibility, the USDOT regulations establish requirements for
several aspects of the determination process. As shown in Figure 2
below, six specific process requirements are included in 37.125 of
the regulations. Additional process issues are discussed but left
to the option of transit providers. Each of these required and
optional policy elements is described in this chapter.
Figure 2. Required and Optional Policy Elements
Required Elements: Optional Elements:
- Strictly limiting eligibility - Recertification of ADA
- Accessible formats paratransit eligibility
- Processing time - Recertification of other
- Notice of initial determinations paratransit customers
- Documentation of eligibility - No-show suspension policy
- Administrative appeal process
All transit providers should establish a written eligibility policy
as part of their ADA paratransit plan. The policy should detail
exactly how the ADA paratransit eligibility determination process
is structured. The policy must address the requirements of 37.125
and indicate how compliance with each is being achieved. It can
also address the optional elements noted above. A checklist which
can be used to ensure that all key elements are included in an ADA
eligibility policy is provided in Appendix B.
Section 1. Required Elements
Strictly Limiting Eligibility
The certification process that is established must strictly limit
ADA paratransit eligibility to the regulatory definition of
eligibility. Only those persons who meet the regulatory definition
can be given documentation indicating that they are "ADA
Paratransit Eligible". In addition, if individuals who are
determined to be ADA paratransit eligible can use fixed route
service under certain conditions, the documentation which they are
given must indicate the limitations/conditions of their
eligibility.
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ADA Paratransit Eligibility Manual
Public entities which foresee no financial difficulty fully meeting
the complementary paratransit requirements and who wish to offer a
broader service can do so. A parallel process for determining
eligibility for this broader service can be established and
documentation of eligibility for this non-ADA service can be
provided. Documentation for this broader service cannot, however,
indicate that these other customers are ADA paratransit eligible.
Entities also may develop an integrated eligibility determination
process which they use for all local paratransit services.
Questions included in the application material can be used to
determine if individuals qualify for broader services even if they
do not qualify as ADA paratransit eligible. Documentation of
eligibility must, however, distinguish between those who qualify
for the broader service and those who meet ADA paratransit
eligibility standards.
Similarly, if full compliance with the complementary paratransit
requirements poses no undue financial burden, entities may opt to
accept all trip requests, regardless of conditions and
circumstances, from individuals determined ADA paratransit
eligible. It may be too administratively burdensome to implement
trip-by-trip eligibility or may not be cost effective to attempt to
operationalize all aspect of trip eligibility. The determination
process and the documentation provided must still, however, be
designed to identify the extent of eligibility conferred on
individuals. Application or assessment forms and guidelines must
be detailed enough to allow for conditions of eligibility to be
noted where applicable. The process must also be thorough enough
to reasonably ensure that the criteria for eligibility are being
properly interpreted and applied.
As noted in Section 4 of the previous chapter, should it become
necessary to request an undue financial burden waiver, only those
costs attributable to ADA-mandated trips can be counted in the
request.
Accessible formats
Subsection (b) of 37.125 states that "All information about the
process, materials necessary to apply for eligibility, and notices
and determinations concerning eligibility shall be made available
in accessible formats upon request." Accessible formats include
large print, audio tape, braille, and computer disk.
Information does not need to be made available in the format a
requester prefers, but does have to be made available in a format
that the person can use. There is no use, for example,
giving a braille document rather than a document on tape to a
person who does not read braille.
Section 4 of Chapter 3 of this manual includes a more detailed
discussion of this requirement and suggests ways to assist
individuals with sensory impairments.
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ADA Paratransit Eligibility Manual
Processing Time/Presumptive Eligibility
Applicants are to be granted presumptive eligibility if a
determination of eligibility has not been made within 21 calendar
days of the submission of a completed application. Service must be
provided, and the applicant presumed to be eligible, until and
unless the determination is complete and the person is found to be
ineligible.
An application is considered to be complete once the person has
provided all of the information required. Subsequent
investigations or requests for additional information by the public
entity would be considered part of the review process and within
the 21 day timetable. For example, if an application process
requires that individuals complete a form which includes the name
of a professional who can be contacted for further information, the
application would be considered "complete" once the requested
information and professional contact were indicated. Follow-ups by
the public entity in getting additional professional verification
and information would be part of the 21 day review process.
Notice of Initial Determination
Applicants must be notified in writing of the initial determination
of eligibility. If the determination is that the person is not
eligible, the written notification must state the reasons for the
finding.
Appendix D to the regulations indicates that notification of
ineligibility must be specific. Information provided in the
application or obtained in the review process must be related to
the eligibility criteria (e.g., the categories of eligibility) and
to the review process which the entity has designed. Simply
indicating that the person is not ADA paratransit eligible because
it has been determined that they "are able to use the fixed route
system" is not sufficient.
Section 6 of Chapter 3 provides more information and suggestions on
the notification process.
Documentation of Eligibility
If an applicant is determined to be eligible, documentation of
eligibility must be provided. This documentation must specifically
state that the person is "ADA Paratransit Eligible". It must also
contain, at a minimum, the following information:
- the name of the eligible individual;
- the name of the transit provider providing the certification;
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ADA Paratransit Eligibility Manual
- the telephone number of the transit provider's paratransit
coordinator;
- an expiration date for eligibility (if applicable);
- any conditions or limitations on the individual's eligibility;
and
- the need for a personal care attendant.
The telephone number of the transit provider's paratransit
coordinator is meant to facilitate communication between transit
providers if additional eligibility information is needed when the
person travels to another area. The person identified (and the
phone number listed) should be the individual who has access to and
can readily provide eligibility information.
Administrative Appeal Process
Section 37.125(g) of the regulations requires that an
administrative appeal process be available to any individuals who
are determined to be ineligible for complementary paratransit
service. Because the provision of ADA complementary paratransit
service is a civil right, the denial of eligibility is a serious
matter. A fair and effective appeal process is not only required
but is in the interest of all parties.
The appeal process must be available not only to individuals who
are determined ineligible in all situations, but to persons who are
deemed conditionally eligible. Limiting eligibility is in fact
denying eligibility for certain trips.
The appeal process established must comply with the following
requirements:
- Individuals must be permitted to request an appeal within 60
days of the initial eligibility decision;
- Individuals must have an opportunity to be heard in person and
to present additional information and arguments regarding
their disability and ability to use the fixed route service;
- There must be a "separation of function" between those
involved in the initial eligibility determination and those
selected to hear appeals;
- Applicants must be notified of appeal decisions in writing, or
in accessible format if requested, and the notification must
state the reasons for the decision if eligibility is still
denied;
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ADA Paratransit Eligibility Manual
- If a decision on the appeal is not made within 30 days of the
completion of the process, individuals must be considered
"presumptively eligible" and must be provided paratransit
service until and unless a decision to deny the appeal is
issued. Paratransit service does not have to be provided,
however, during other phases of the appeal.
Section 8 of Chapter 3 offers guidance on establishing an appeal
process and includes information about the processes adopted by
several selected transit agencies.
Section 2. Optional Elements
In addition to the above items, eligibility determination policies
can include the following three additional features. These are,
not, however, required elements of the process.
Recertification of ADA Paratransit Eligibility
Transit providers can require that individuals periodically reapply
for ADA paratransit eligibility. While a person's disability may
be permanent, other factors which go into the determination of
eligibility may change. For example, the percent of accessible
vehicles in the fixed route service may increase. Improved
technologies and/or operating procedures also may be introduced
which would permit greater use of the fixed route service by
individuals with disabilities.
While the regulations do not specify the period for which
individuals should be certified as ADA paratransit eligible, some
general guidance is provided. The ADA Paratransit Handbook
suggests recertification every three to five years.7 It also notes
that the period of recertification can be flexible and can consider
the applicant's particular disability. For example, a person who
is frail and 75 years old could be determined eligible without any
expiration date while an. applicant whose disability might be
expected to change can be certified for a specific period of time.
Another important factor in setting the recertification interval is
whether or not changes in the level of fixed route accessibility
are planned. A longer interval might be appropriate in an area
where fixed route service is already 100 percent accessible versus
a system that is just beginning to make fixed route vehicles and
stations accessible.
Regardless of the policy regarding recertification, individuals
have the right to request a new determination if they believe that
there have been changes in their situation. This would
___________________________
7 ADA Paratransit Handbook, USDOT Report Number UMTA-MA-06-0201-
91-1, September, 1991, page 4-11.
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ADA Paratransit Eligibility Manual
include individuals determined ineligible as well as those whose
eligibility has been limited or conditioned.
Recertification of Other Paratransit Customers
If paratransit service was provided prior to the ADA, transit
providers may elect to require that all current riders be
recertified. Such a recertification is not, however, required by
the regulations. Current riders can continue to receive service
and can apply for ADA paratransit eligibility as they choose.
If existing riders are allowed to choose whether or not to apply
for ADA paratransit eligibility, transit providers should make
these riders aware of any potential benefits of certification.
This would include the ability to use paratransit services in other
areas and "priority service" should capacity constraints exist. It
would also provide individuals with certain rights and "due
process" protections.
A recertification of existing riders will become important,
however, if fully compliant paratransit service cannot be developed
in the five year implementation period provided by the regulation.
Any request for an undue financial burden waiver can only count
those costs associated with the provision of required paratransit
service. A recertification of existing riders will be needed to
determine which individuals and which trips are in fact required.
No-Show Suspension Policy
Finally, the regulations permit transit providers to suspend
paratransit service to those persons who establish a "pattern or
practice" of missing scheduled rides (i.e., "no-show"). Service
can be suspended for a "reasonable period of time". Allowances
must be made for missed trips that are beyond the control of the
individual. The number of no-shows considered a pattern or
practice and the period of suspension must be developed through the
public participation process required for the development and
updating of paratransit plans.
Before service can be suspended for cause under this provision,
individuals must be provided with an opportunity to appeal the
proposed suspension. A two-stage notification and appeal process
is detailed in 37.125(h) of the regulations.
Section 9 of Chapter 3 provides further guidance on no-show
policies and includes information about policies established by
selected transit agencies.
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ADA Paratransit Eligibility Manual
Chapter 3
Establishing an ADA Paratransit Eligibility Determination Process
The establishment of an appropriate eligibility determination
process involves several key decisions. Figure 3 summarizes the
basic steps that must be taken to establish a determination
process. At the outset, a decision must be made as to the process
that win be used. It is then necessary to decide who will conduct
initial determinations. An appeal process must be structured and
no-show and recertification policies considered. Application
materials and forms must then be developed. Public participation
in all of these aspects of the process is required.
A management information system for tracking reviews should be
created before the process is implemented. Training also should be
provided to those involved in the process. Consideration should be
given to pre-testing materials before they are widely distributed.
Once established and operational, administrative oversight of the
process should be maintained, particularly in the initial months.
This chapter details and provides guidance on each of these steps
and decisions. Section I discusses overall considerations,
including public participation in the development of the process
and the issue of application/assessment fees and charges. Sections
2 and 3 present alternative processes that can be used for
conducting determinations, and discuss issues
Figure 3. Steps in Developing an ADA Paratransit Eligibility
Process
1. Select the Type of Initial Determination Process to be Used
2. Determine Who will Conduct Initial Eligibility Reviews
3. Design an Appeal Process
4. Establish Recertification Requirements (Optional)
5. Establish a No-Show Policy (Optional)
6. Design Application Forms and Related Materials
7. Design a Management Information System for Tracking Reviews
and Appeals
8. Provide Appropriate Training
9. Pre-test Forms and Process
10. Implement Process
11. Monitor Process and Make Changes as Needed
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ADA Paratransit Eligibility Manual
associated with conducting determination in-house versus
contracting with an outside agency or agencies for this service.
Section 4 addresses the development of application forms and
related materials. Suggestions for the development of application
forms and other materials are presented. Issues associated with
conducting reviews, providing notification of determinations,
structuring an appeal process, and establishing details of a no-
show policy and a visitor policy are discussed in Sections 5
through 10.
Much of the information in this chapter is based on the policies,
procedures, and materials that have been developed by selected
transit providers during the first year and a half of
implementation of the complementary paratransit service
requirement. Detailed information about eligibility determination
was obtained from 25 selected transit providers across the country.
Reference is made to these systems throughout this chapter.
Appendix C provides a listing of the transit systems contacted,
addresses, phone numbers, and contact persons should additional
information be desired.
Section 1. General Considerations
Public Participation
Major elements of the process must be developed with full public
participation, including a public hearing.8 This would include
decisions on the overall initial determination process that will be
used, the structure of the appeal process, or a decision to
establish or change the specifics of a no-show policy. It would
also include major changes to the application/assessment form such
as the addition or deletion of key questions regarding travel
capabilities.
Procedural changes such as the wording of notification letters or
minor changes to the layout of forms and other materials can be
made without full public participation. Obtaining less formal
input is still, however, recommended.
The ongoing mechanism for obtaining the input of persons with
disabilities in the
development and implementation of the paratransit service should be
used throughout. Given the detail involved in developing all
aspects of a determination process, consider establishing a small
but representative working group to help in the development of
draft materials and OP
process recommendations. Make these draft materials and
recommendations available to any advisory committee or distribute
them to agencies and interested individuals for review and comment.
Finally, present the recommended process and materials at a pubic
hearing for broader comment and review. If eligibility materials
are to be revised over time, consider combining the review and
revision with the required annual ADA paratransit plan update
process.
___________________________
8 Public participation requirements are detailed in 37.137 of
the regulations.
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ADA Paratransit Eligibility Manual
Conversations with transit providers that have successfully
implemented an eligibility determination process suggest that
public involvement in the development and implementation of the
process is vital. Individuals with disabilities and agency staff
can assist with the preparation and testing of materials. They
will provide a detailed knowledge about disabilities and travel
capabilities and requirements that the transit provider staff do
not necessarily have. Involving consumers and agencies will also
allow for the development of options for outside assistance with
initial reviews and appeals.
For additional guidance on developing a public participation
process, see the ADA Public Participation Handbook. This document,
funded by FTA and prepared through Project ACTION, offers numerous
suggestions and readily adapted material for strengthening local
public participation.
Public Information and Marketing
In addition to a thorough public participation process, it is
highly recommended that a public information/marketing program be
developed to educate potential applicants and local disability
organizations about ADA paratransit eligibility. The program
should utilize a variety of media to reach persons with different
types of disabilities, and program materials should be made
available in accessible formats. It is likely that individuals and
agencies may not fully understand the functional nature of ADA
paratransit eligibility, the difference between individual and trip
eligibility, the appeal process, or other key issues.
Misunderstanding of the nature of eligibility for service can lead
to incomplete and/or inappropriate applications, as well as
political and customer relations problems.
Communicating the trip-by-trip nature of ADA paratransit
eligibility is particularly important. Several transit agencies
have reported that individuals are hesitant to use fixed route
services for fear this will make them ineligible for ADA
paratransit. The public information program should emphasize that
paratransit may still be appropriate even if fixed route service
can be used some of the time. The eligibility determination
process is intended to determine when each mode is appropriate
rather than to make an absolute distinction between those who are
to use fixed route and those who require paratransit.
Another public perception issue raised by several transit agencies
was that applicants often do not provide information about all of
the difficulties they may have using the fixed route service.
Applicants may think that, as long as the primary difficulty using
transit is noted, they will qualify for paratransit and be able to
request any trip. It is important that they understand that all
difficulties be noted so that appropriate conditions/limitations of
eligibility can be determined.
While a public information campaign is recommended in all cases, it
is particularly important in the following situations:
- If current paratransit customers are being required to reapply
and be recertified as eligible for paratransit service.
Differences between past eligibility policy and ADA
paratransit eligibility will need to be explained;
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ADA Paratransit Eligibility Manual
- If a broader paratransit service will be provided with
priority given to those determined ADA paratransit eligible.
In this situation, it is important that the benefits of
applying for and being determined ADA paratransit eligible be
communicated to all riders.
Some public information and marketing efforts to consider are
listed below.
(1) Develop a brochure that explains ADA paratransit eligibility.
It could be displayed with other service materials and mailed
to current riders. It could also be displayed at locations
which are frequented by the general public and persons with
disabilities such as public libraries, municipal buildings,
senior centers, aggregate housing locations, social service
agencies, and medical facilities. Appendix D contains copies
of brochures developed by Seattle Metro, the Regional
Transportation Authority of Chicago, and the Riverside Transit
Agency of Riverside, California that explain the ADA, ADA
paratransit, eligibility, and the appeals process.
(2) As mentioned in Section 4 of this chapter, include a summary
of ADA eligibility with certification materials that are sent
to applicants.
(3) Work with local human service agencies and disability
organizations to include information about ADA paratransit
eligibility in any publications that they may have.
Organizations such as United Cerebral Palsy councils, local
chapters of the National Easter Seal Society, commissions for
the blind and visually-impaired, commissions for the deaf and
hearing-impaired, area agencies on aging, mental health
agencies, independent living programs, and state,regional, or
local commissions on people with disabilities prepare
newsletters which are sent to members and clients.
(4) Request the opportunity to discuss eligibility issues with the
governing boards of human service agencies and disability
organizations and to make presentations at any workshops,
conferences, or consumer meetings which they may sponsor.
(5) Make a particular effort to explain the details of ADA
paratransit eligibility to the staff of local agencies.
Depending on the certification process employed, these
individuals may be asked to supplement applicant information
or may assist individuals in completing application materials.
Even if not involved in the certification process, agency
staff who are knowledgeable about eligibility issues will be
able to better advise clients.
(6) Sponsor a special public forum at which ADA paratransit
issues, including eligibility, can be discussed. Invite
current riders and other interested agencies and individuals
as well as advertising it to the general public. A notice of
such a forum, prepared by the Worcester Regional Transit
authority, is provided in Appendix D.
(7) Work with local media to develop public interest stories that
help to explain the service and eligibility. Feature a
customer who uses the fixed route service for certain trips
but has been certified for paratransit service for other
trips.
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Additional Charges and Fees
Section 37.5 of the regulations, which defines general requirements
for nondiscrimination for all aspects of transportation services
covered, states that:
"An entity shall not impose special charges, not authorized by
this part, on individuals with disabilities, including
individuals who use wheelchairs, for providing services
required by this part or otherwise necessary to accommodate
them." [37.5(d)]
For determinations of ADA paratransit eligibility, this means that
there can be no charges associated with the process, including the
filing and processing of applications, any in-person assessments
that may be requested, the documentation of eligibility that is
provided, or any other aspect of obtaining eligibility.
In particular, if the process involves obtaining information from a
professional or an in person assessment, the transit provider or
any third-party contractors acting on behalf of the transit
provider cannot impose a fee for this service. If professional
information is needed for the initial application to be considered
complete, alternatives should be made available should the
applicant not be able to obtain this information from a
professional or not be willing to incur any costs that might be
associated with obtaining this information. For example, the
transit provider should make arrangements with local professionals
to whom applicants can be referred and the transit agency should
pay any fees associated with this service. Transportation to and
from any in-person assessments or other appointment required by the
process also should be made available to applicants.
Similarly, a fee cannot be charged for the preparation of
documentation of eligibility, including photo identification cards.
A transit provider may, however, charge a nominal fee, meant to
cover the cost of production, for replacement of lost I.D. cards.
Local policy concerning such charges should be developed with full
public participation, including the input of persons with
disabilities.
In addition to prohibiting obvious direct charges, the regulations
note that the process may not impose "unreasonable administrative
burdens" on applicants.9 Repetitive and superfluous documentation,
questions, or tests must not be included.
___________________________
9 Appendix D to 49 CFR Part 37, Federal Register, September 6,
1991, page 45746.
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Section 2. Alternative Processes
There are several ways that ADA paratransit eligibility
determinations can be conducted. In general, the many approaches
that have been developed can be characterized as one of the
following:
- Self-certification with professional verification as needed;
- Self-certification and professional verification;
- In-person assessment; and
- Combined approaches.
These alternative processes can be conducted either in-house by
transit provider staff or can be contracted out and conducted by a
third-party agency. It is also possible to conduct some
determinations in-house and have third-party assistance available
as needed.
The best process and approach to conducting reviews depends on
local circumstances. Some alternatives are better suited to
smaller systems. Others are more appropriate for larger urban
systems. Whether or not a paratransit service was provided prior
to ADA complementary paratransit service is also an important
consideration in the alternative selected. Each alternative also
has its own benefits and issues that must be considered.
Regardless of the approach selected, the goal of the determination
process should be the same - to enable the public entity to
accurately determine when and under what circumstances the fixed
route service can and cannot be used by applicants. Information
collected and reviewed must be sufficient to enable the reviewer to
identify the relationship between a person's disability and their
travel capabilities given factors such as: the accessibility of the
fixed route service; the distance to and from stops/stations;
environmental factors such as snow, ice, heat, cold; and natural
and man-made architectural barriers such as steep terrain, lack of
curb-cuts, and busy roads and/or intersections.
Following is a description of each of the alternative processes
listed above. For each, general recommendations are made
concerning the applicability of the process to different types of
systems. Major considerations associated with each alternative are
also discussed.
Self-certification with professional verification as needed
This alternative involves the completion of a form by the applicant
or a person assisting the applicant. The form which the applicant
completes typically includes all of the information required for a
determination of eligibility. As part of the form, applicants are
requested to identify a professional who can be contacted if more
information is needed, and are asked to sign a release authorizing
the professional to provide the transit agency with pertinent
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ADA Paratransit Eligibility Manual
information. While the applicant chooses the professional who can
be contacted., the transit agency can request the identification of
particular type(s) of professionals. Professional verification can
be obtained under this model by phone, through the use of a second
form which is mailed to the professional by the transit provider,
or both.
While it is theoretically possible to establish a determination
process that only utilizes information provided by the applicant,
it is highly likely that at least some determinations will require
more detailed information. Verification of "hidden disabilities"
such as cardiac conditions, pulmonary conditions, cognitive
disabilities, and mental illness will be needed. It is therefore
recommended that the ADA paratransit eligibility determination
process allow for professional contact, at least as an option, in
all cases.
In addition to contacting the identified professional when
additional information is needed, some transit providers will
randomly contact named professionals to verify the information
provided by applicants. Verification can also be done following
certification if there is cause to believe that the information
provided by the applicant is not correct.
Applicability
Self-certification with professional verification as needed is used
extensively by smaller fixed route operators in small urban and
rural areas. It is most appropriate in areas where the size of the
system allows transit providers to be familiar with paratransit
riders. It is also appropriate in cases where the transit agency
offered paratransit services prior to the implementation of ADA
service. In these instances, it is likely that the provider
already has information about riders, possibly including
professional verifications, on file. An ADA paratransit
eligibility determination process which does not require
professional verification can be used to reduce unnecessary
duplication of existing eligibility information.
Considerations
This certification process is perhaps the least burdensome on
applicants. Appointments with professionals to have forms
completed or to have personal assessments conducted are not
required. Greater burden is placed on reviewers, however, as
follow-up may be needed if sufficiently detailed information is not
provided in the initial application.
If this alternative is selected, particular attention should be
given to the 21 day timetable allowed by the regulations for
reviewing applications and presumptive eligibility beyond this
time. Applications must be considered complete if applicants
complete all items on the form and name a professional contact as
requested. Any follow-up by reviewers to obtain professional
verification would be part of the 21 day review timetable. An
initial review and decision whether or not professional information
is needed should be made within the first few days after receipt of
the application.
Another important issue associated with this approach is getting
information from the most appropriate professional. Depending on
the nature of an applicant's disability, different types
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ADA Paratransit Eligibility Manual
of professional verification are desirable. For example, for
someone with a physical disability, information from a physical
therapist or occupational therapist may be most helpful. For an
applicant with a vision-impairment, information from an
opthomologist which can provide the degree of sight which the
applicant has may be helpful. It is not always possible, however,
to control the type of professional named by the applicant. If
allowed, many applicants may provide the name of a personal
physician with a knowledge of the person's disability but with
little understanding of their ability to travel on the fixed route
service.
If possible, applicants should be directed to identify
professionals most appropriate to their disability or medical
condition. Section 4 of Chapter 3 of this manual suggests wording
that can be added to the application form to direct applicants to
identify an appropriate professional. It is also possible under
this approach to request that a different professional be
identified if the person originally listed cannot provide adequate
information.
Finally, because this process relies on information provided by the
applicant and/or a professional, it is important that they
understand the nature of ADA paratransit eligibility. A ma or
issue encountered by transit providers using this form of
certification is that applicants/professionals will identify a
primary disability or travel limitation but may not detail all
problems that may be encountered using the fixed route service.
This may be due to the fact that applicants feel they only need to
qualify and that they will then receive service as needed.
Professionals also may have a tendency to provide cryptic medical
information. The introductory section of the form should describe
ADA paratransit eligibility in detail. The notion of trip-by-trip
eligibility also needs to be made clear so that the applicant and
professional understands that detailed information is required in
order to identify appropriate eligibility conditions/limitations.
Self-certification and professional verification
In this eligibility determination process, the initial application
form contains two parts - one part completed by the applicant (or
his/her representative) and the other part to be completed by a
professional familiar with the applicant's condition. The
information from the professional is requested as part of the
initial submission and the application is not considered complete
without it. As with the first alternative described above, each
applicant selects the professional from which they request
additional information. Transit providers can, however, specify
the types of professionals that can provide this information.
The professional verification portion of the application is
typically designed in one of two ways. In some cases, the
questions asked of both the applicant and the professional are very
similar and the separate responses are compared for accuracy and
consistency by the reviewer. In other cases, the applicant is
asked only general information and more detailed information about
travel capabilities and the nature of the person's disabilities is
included in the professional verification section of the form.
While information is requested from both applicants and
professionals under this process,
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ADA Paratransit Eligibility Manual
follow-up may still be required. Contact with the applicant may be
needed if a different professional, with a better understanding of
the person's functional abilities, is needed. Follow-up with
professionals may be necessary if the information provided is not
sufficiently detailed to allow a determination to be completed.
Applicability
This process is often used by larger transit providers who, because
of the expected volume of certification requests, may find it
administratively difficult to do the necessary professional follow-
up within the required processing timetable. The inclusion of
professional information as part of all applications received can
help to facilitate the review process.
It may also be applicable if past eligibility for paratransit
service was not functionally based or if information that may be on
file as part of past determinations needs to be updated.
Considerations
If this approach to certification is used, transit providers must
allow for those instances when applicants are not able to easily
obtain information from professionals. While systems report that
most individuals are able to obtain the needed information from a
professional, there will be some individuals who will not have an
ongoing relationship with a professional or may have to pay for
this information to be provided.
In order for the process to be consistent with the regulatory
prohibition against special charges and unreasonable administrative
burdens, professional verification should be requested. Applicants
should be instructed to contact the transit provider if
professional verification cannot be obtained. A fist of
appropriate professionals to whom applicants can be referred should
be maintained and the cost associated with any required
appointments should be paid by the transit provider.
As with "self-certification with professional verification as
needed", it is important that an effort be made to obtain
information from the most appropriate professional. Applicants can
be instructed to provide verification from particular professionals
or can be directed to contact a professional appropriate to their
disability.
Paratransit eligibility determination prior to the ADA often
specified that this type of professional verification be provided
by a personal physician. Under the ADA, the use of physicians may
not be appropriate in many cases. While personal physicians may be
the professionals most readily available to applicants, they may
not understand the applicants functional capabilities as well as
other professionals. The interpretive appendix to the regulation
offers the following advice concerning the use of information from
physicians:
"The substantive eligibility process is not aimed at making a
medical or diagnostic determination. While evaluation by a
physician (or professionals in rehabilitation or other
relevant fields) may be used as part of the process, a
diagnosis of a disability is not
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dispositive. What is needed is a determination of whether, as
a practical matter, the individual can use fixed route transit
in his or her own circumstances. That is a transportation
decision primarily, not a medical decision." [Appendix D to 49
CFR Part 37, Federal Register, September 6, 1991, page 45746]
In certain instances, information from a physician will be
appropriate. Verification of a cardiac condition or the degree of
vision impairment may, for example, be needed. Transit providers
should consider allowing applicants to obtain information from
several different types of professionals, including physicians.
Direction should also be provided encouraging applicants to obtain
information from a professional most appropriate to their
particular disability.
It is also important that professionals understand that the
verification which they provide is not considered a determination.
Eligibility determinations are to be made by transit providers or
contractors hired to conduct eligibility determinations.
Professionals must understand that they are simply providing
information to the reviewers and that they are not being asked to
make the determination. This should be made clear on the forms
provided. Avoid having professionals answer broad questions which
ask them if they think that the person is ADA paratransit eligible.
They should not be asked to make a final judgement. This will only
cause problems and possible confrontations if the final
determination differs from their professional opinion.
Many systems also indicate that information provided by
professionals is cryptic and general in nature. Transit providers
should make questions concise and explain on the form that detailed
information is needed. The concept of trip-by-trip eligibility
should be explained and professionals should be informed that the
information needs to be of sufficient detail to allow the reviewer
to not only determine that paratransit service is needed but to
decide when and under what circumstances, paratransit service is
needed.
In some cases, transit providers will allow human service agencies
to provide professional verification for their clients. Such
agencies may have conducted assessments of clients to determine
their eligibility for other programs. They often will have
detailed functional information on file which can be of assistance
in the process. Because of the obvious benefit to these agencies
of having clients certified for paratransit service, it is
recommended that consideration be given to the extent of this type
of agency involvement in the process. If the staff of human
service agencies are to be used for professional information and
verification, transit providers may want to consider limiting the
types of agency verifications accepted to those agencies that
promote independent living. It is important that agencies
authorized to provide verifying information be concerned not just
with obtaining a convenient service for their clients but with
mainstreaming them. Independent living centers, certain agencies
for persons with vision-impairments, and rehabilitation centers are
examples of such agencies. As with other types of professional
verification, it is important that information provided by these
agencies be one factor in the determination rather than being used
as a final eligibility decision.
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If reviewers used by the transit provider are skilled in
interpreting standard human service assessments, another option
available under this model would be to request copies of any
functional tests which these agencies may have on file.
In-Person Assessments
Under this model, all applicants are required to meet with a
reviewer selected by the transit provider. At this assessment
meeting, the reviewer will typically ask the applicant a series of
questions, similar to those contained in an application form, meant
to determine the person's disability and ability to use fixed route
service. Often, the reviewer will also elaborate on standard
questions to get more detailed information as appropriate. In
addition to a face-to-face interview, in-person assessments may
also involve the administration of functional tests. These may
include physical tests such as the ability to board and disembark
from an inaccessible bus, use a wheelchair-lift, or see and read
signs or other visual information. It may also involve
administering standard cognitive tests to determine the applicants
ability to perform tasks such as asking for and following
directions.
Because of the skill required to administer and interpret detailed
tests and draw immediate conclusions from such assessments,
determinations under this process are typically performed by third-
party agencies under contract to the transit provider. Transit
providers may also work with contractors to develop testing centers
containing equipment needed to simulate travel on the fixed route
system. The Transit Authority of River City (TARC) in Louisville,
Kentucky, for example, has created a testing center at a local
rehabilitation center that is equipped with a specially constructed
bus stop and a spare bus. The site also contains sidewalks with
varying terrain and varying surfaces. For applicants with visual
impairments, the site includes typical transit signage and symbols
and can simulate varying degrees of light and darkness. For
applicants with mental disabilities, a cognitive and orientation
assessment is conducted by a clinical psychologist.
In addition to information collected by the reviewer, the process
may require applicants to complete a general information form and
sign necessary releases/certifications.
Applicability
In-person assessments may be particularly applicable in larger
urban systems with complex fixed route services. The in-person
process is able, in these circumstances, to obtain detailed
information about using various parts of the system that may be
difficult or complex to collect on standard application forms.
This approach may also be more appropriate in areas that did not
provide paratransit service prior to the ADA. While transit
providers with established paratransit services and longstanding
customers may not deem it necessary to require all riders to
undergo an in person assessment, new systems will have no past
record of riders to rely on. New riders may also be more amenable
to an in-person assessment process.
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Considerations
The use of in-person assessments has many advantages. It allows
eligibility determination to be done by a limited number of
professional who can be trained by the transit provider. Obtaining
information from an appropriate professional, which is a major
concern in self-certification/professional verification models, is
eliminated. In-person assessments also are not bound by standard
application questions. The process can be more personalized to the
person's particular disability. Even though standard
questionnaires are used to guide the process, reviewers can ask
follow-up questions as needed.
This process also allows reviewers to explain ADA paratransit
eligibility in-person and to answer questions about eligibility
which the applicant may have. The applicant also has an
opportunity to request clarification of questions before providing
an answer. The information received is therefore more likely to be
complete and accurate.
Because of the degree of flexibility which reviewers may have, it
is important that efforts be made to maintain consistency in the
process. Transit providers should consider establishing standards
for the types of professionals who are used as reviewers. Detailed
training of reviewers is also vital.
Perhaps the greatest drawback to requiring in-person reviews in all
cases is that many applicants may have disabilities which do not
require such elaborate assessments. To many applicants, such a
required process may seem an unnecessary and burdensome procedure.
Another issue with this type of process is assessing disabilities
that are intermittent or episodic. A single visit and review may
not generate the same level of information about a person's
capabilities that may be available to a professional who has worked
with the individual for years. Consideration should be given, in
such cases, to obtaining supplemental information from a
professional identified by the applicant.
Similarly, an assessment of cognitive ability based on a single
visit or series of tests may not be as complete as information
which can be obtained from the person's social worker or mental
health counselor.
Finally, it may be difficult to simulate all environmental
conditions which may affect a person's ability to use fixed route
service. The limitations of certain physical tests need to be
considered and the applicability of these tests to the process
carefully weighed against the cost of their administration and
inconvenience to the applicant. Regardless of the sophistication
of the tests administered, information obtained in the personal
interview is likely to still be an important part of the
determination.
Combined Approaches
In addition to the basic approaches described above, eligibility
determination can also be conducted by combining the features of
each of these processes. Table 2, presented at the
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end of this section, includes information about the processes used
by several selected transit providers across the country. As can
be seen, many different combined models are possible.
Perhaps the combined model that is most widely used combines self-
certification/professional verification with in-person assessments
as needed. For example, the Madison Metro Transit System in
Madison, Wisconsin relies primarily on a self-certification process
which asks applicants to identify a professional that can be
contacted for verification and additional information. Metro's in-
house reviewers will seek verification as needed. Metro also
reserves the right to ask applicants to appear in-person for an
assessment by a local rehabilitation center.
Several providers, including Lane Transit District, Baltimore's
MTA, Seattle METRO, and the Utah Transit Authority obtain
information from both the applicant and a professional ("self-
certification and professional certification"). In addition, they
will refer applicants for an in-person assessment if a final
determination is still not possible.
The Riverside Transit Agency (RTA) requires an in-person assessment
in most cases. They will, however, accept professional
verification from applicants with severe mental retardation. An
in-person assessment is not required if a psychological evaluation
is provided which indicates severe mental retardation and has been
signed by 4 or more professionals of the regional mental health
program. It is also interesting to note that the RTA has arranged
for in-person assessments to be conducted either at the local
clinic or at the applicant's home.
The Regional Transportation Authority of Chicago, which will be
administering eligibility determinations for CTA and PACE, combines
self-certification with in-person assessments as needed. A similar
process is being established by the New York City Transit
Authority.
It is interesting to note that in systems that employ "combined"
processes using both self-certification/professional verification
and in-person assessments, relatively few in-person reviews are
necessary. As shown in Table 2, 90 percent of all determinations
can typically be completed based on the information supplied by the
applicant and/or the named professional. Seattle Metro, for
example, has found it necessary to refer only 5 percent of all
applicants for an in-person assessment. The Utah Transit Authority
relies on in-person reviews in 7 percent of all cases. The Lane
Transit District, located in a medium sized urban area, finds in-
person assessments necessary in only 1 percent of all
determinations.
As transit providers complete recertification efforts and begin
doing determinations of new riders, in-person assessments may
become more important. Madison Metro reports, for example, that
during the process of recertifying existing riders, only 10 percent
of all determinations of existing riders required in-person
reviews. Following the recertification of existing riders, in-
person assessments have been deemed necessary in 25-30 percent of
all determinations.
Another model developed by the Port Authority of Allegheny County's
ACCESS Program in
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Pittsburgh combines in-person assessment with professional
verification. An in-person assessment is required in all
determinations. In addition, applicants who receive services from
a local human service agency are also encouraged to bring
verification information from that agency to the assessment. PAT
provides a "Professional Verification" form to applicants for this
purpose.
Finally, the Oshkosh Transit System in Oshkosh, Wisconsin uses a
self-certification with professional verification as needed process
but also relies heavily on two local human service agencies for
verification of eligibility. The Oshkosh Transit System recently
consolidated local paratransit services and assumed operating
responsibility from the local Red Cross and the County Committee on
Aging. As the past operators of service, these two agencies were
familiar with existing riders. The Oshkosh Transit System
therefore accepts professional verification from these two agencies
for all existing riders seeking ADA paratransit eligibility.
Applicability and Considerations
Combined models may be appropriate in any number of situations.
The use of in-person assessments as needed or professional
verification to supplement an in-person review process may be
needed to strengthen the original process. As experience is gained
with the eligibility determination process, transit providers and
their reviewers may discover that these additional steps are needed
to ensure the accuracy and consistency of determinations.
Depending on the features combined, the issues noted above for each
of the basic processes would apply.
Considerations for Future Recertification of Riders
As noted in Chapter 2 of this manual, the regulations permit
transit providers to require periodic recertification of riders.
It is possible that the process used for this recertification will
be different from that used in the initial determination or to
certify new riders.
For example, if a self-certification/professional verification
process was used for initial determinations, it may be possible to
forward the information that was originally provided by the
applicant and request that they indicate whether this information
is still current and correct. Updating of the original form may
also be supplemented by a limited number of new questions.
Applicants could be asked if the professional who provided the
initial verification is still the appropriate person to contact and
new verification could be sought only in.those cases where
significant changes in capabilities are noted.
Transit providers using an in-person assessment process for all
initial determinations could opt to not require another detailed
review but instead could use a self-certification type of form that
asks if the persons disability or ability to use the fixed route
service has changed. In-person assessments may be limited to those
recertifications where significant changes are noted.
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Section 3. Deciding Who Will Do Initial Determinations
A second major decision that must be made when designing an
eligibility determination process is who will actually review
application materials or conduct in-person screenings. The basic
choice is to either conduct initial determinations in-house, using
staff of the public entity, or to contract with a third-party to
perform this service. It is also possible to involve staff in part
of the process and utilize outside help for specific functions as
needed. Issues related to each of these options are discussed
below. The approach taken by selected transit providers is also
presented in Table 2 in the previous section.
In House Determinations
If eligibility decisions are to be made by in-house staff, it is
important to be sure that this staff has the capabilities and
qualifications to make accurate and consistent determinations.
While ADA paratransit eligibility is a functional transportation-
related decision, it also involves relating specific types of
disabilities to reported functional capabilities. A knowledge of
various types of disabilities and the likely functional
capabilities of persons with such disabilities is, therefore,
important.
Public entities which operated paratransit services prior to the
ADA and have been conducting eligibility determinations may already
have staff with such capabilities, Others may elect t