PARATRANSIT OPERATIONS AUDIT REPORT Prepared for North County Transit District (NCTD) LIFT ADA Complementary Paratransit Service AUDIT DATE June 18 - June 22, 2012 FINAL REPORT August 2012 Prepared by McCloud Transportation & Associates, LLC Paratransit Operations Audit Report TABLE OF CONTENTS 1. EXECUTIVE SUMMARY ..................................................................................................................................... 5 1.1 Key Findings of Paratransit Audit .......................................................................................................................... 6 2. INTRODUCTION AND BACKGROUND ........................................................................................................... 8 2.1 Service Description.................................................................................................................................................. 8 3. PURPOSE OF PARATRANSIT AUDIT............................................................................................................... 9 4. AUDIT METHODOLOGY AND APPROACH ................................................................................................. 10 4.1 Pre-Audit ............................................................................................................................................................... 10 4.2 On-Site Audit ........................................................................................................................................................ 11 4.3 Peer Review ........................................................................................................................................................... 15 5. CONTRACTOR'S OBLIGATIONS .................................................................................................................... 16 5.1 Subcontractors' Oversight ..................................................................................................................................... 16 5.2 Drug and Alcohol Regulations .............................................................................................................................. 16 5.3 Required Meetings ................................................................................................................................................. 16 5.4 Training Requirements .......................................................................................................................................... 17 5.5 Reporting Requirements ........................................................................................................................................ 17 5.6 System Security and Emergency Preparedness ..................................................................................................... 18 5.7 Findings ................................................................................................................................................................. 18 5.8 Recommendations for Corrective Action .............................................................................................................. 18 6. NCTD'S RESPONSIBILITES ............................................................................................................................. 19 6.1 Oversight and Monitoring of Contractor's Performance ....................................................................................... 19 6.2 Grant and Contract Management ........................................................................................................................... 19 7. CONTRACTOR'S PERSONNEL REQUIREMENTS ...................................................................................... 20 7.1 Key Personnel ........................................................................................................................................................ 20 7.2 Changes in Key Personnel ..................................................................................................................................... 20 7.3 Vehicle Operators .................................................................................................................................................. 21 7.4 Vehicle Mechanics ................................................................................................................................................ 21 7.5 Dispatchers ............................................................................................................................................................ 22 7.6 Road Supervisors ................................................................................................................................................... 22 7.7 Reservationists ....................................................................................................................................................... 22 7.8 Schedulers/Routers ................................................................................................................................................ 22 7.9 Findings ................................................................................................................................................................. 23 7.10 Recommendations for Corrective Action ............................................................................................................ 24 2 Paratransit Operations Audit Report 8. OPERATIONS AND MAINTENANCE REQUIREMENTS ............................................................................ 25 8.1 On-Time Performance ........................................................................................................................................... 25 8.2 No-Shows and Late Cancellations ......................................................................................................................... 25 8.3 Customer Service .................................................................................................................................................. 25 8.4 Trip Completion .................................................................................................................................................... 25 8.5 Vehicles ................................................................................................................................................................ 26 8.6 Vehicle Maintenance ............................................................................................................................................ 26 8.7 Regulation Inspections........................................................................................................................................... 26 8.8 Preventive Maintenance......................................................................................................................................... 27 8.9 Vehicle Maintenance System (VMS) Record Keeping ......................................................................................... 27 8.10 Response Time and Action .................................................................................................................................. 27 8.11 Facilities ............................................................................................................................................................. 27 8.12 Findings .............................................................................................................................................................. 27 8.13 Recommendations for Corrective Action ............................................................................................................ 28 9. SERVICE QUALITY ............................................................................................................................................ 29 9.1 Site Visits............................................................................................................................................................... 29 9.2 Mystery Rider Observations ................................................................................................................................. 31 9.3 Telephone Hold Time and Customer Service Assessment .................................................................................... 35 9.4 Findings ................................................................................................................................................................. 35 9.5 Recommendations for Corrective Action .............................................................................................................. 36 10. DRUG AND ALCOHOL TESTING .................................................................................................................. 37 11. COMPENSATION FOR SERVICES ............................................................................................................... 38 11.1 Liquidated Damages and Incentives .................................................................................................................... 38 11.2 Findings ............................................................................................................................................................... 39 11.3 Recommendations for Corrective Action ............................................................................................................ 39 12. PEER REVIEW AND BEST PRACTICES ..................................................................................................... 40 12.1 Methodology and Approach ................................................................................................................................ 40 12.2 Peer Analysis ...................................................................................................................................................... 42 12.3 Cost-Reasonableness of Service .......................................................................................................................... 43 12.4 Review of Best Practices and Industry Standards ................................................................................................ 46 13. SUMMARY OF FINDINGS ............................................................................................................................... 48 3 Paratransit Operations Audit Report ATTACHMENTS ...................................................................................................................................................... 51 Attachment A: Paratransit Audit Checklist Attachment B: Paratransit Audit Schedule Attachment C: March Summary Report of LIFT Paratransit Operations Attachment D: April Summary Report of LIFT Paratransit Operations Attachment E: May Summary Report of LIFT Paratransit Operations Attachment F: Customer Service and Mystery Rider Checklist Attachment G: Peer Review Survey Attachment H: Corrective Action Plan 4 Paratransit Operations Audit Report 1. EXECUTIVE SUMMARY In accordance with the Americans with Disabilities Act (ADA), 49 C.F.R. ? 37.23 Service Under Contract, "when a public entity enters into a contractual relationship with a private entity to operate demand response/paratransit service, the public entity is required to ensure that the private entity meets the requirements of the law that would apply to the public entity, if the public entity itself provided the service." North County Transit District (NCTD) contracts with American Logistic Company (ALC) of St. George, Utah to provide its ADA complementary paratransit service effective July 1, 2011. The contract is for a base term of six years through June 30, 2017, with an option for three additional years. The paratransit service is operated based on a brokerage model. As the service broker, ALC provides a small portion of the trips, and operates the call center from its St. George, Utah headquarters, which includes reservations, scheduling and dispatch. ALC subcontracts the majority of the paratransit trips, and identifies and matches passengers' transportation needs with available local service providers in the North County area who operate taxis, vans and sedans. On February 21, 2012, NCTD issued a Request for Proposal (RFP) for Professional Services for On Call Business Management, Financial Services, and Paratransit Services. The RFP was comprised of six (6) separate tasks (Tasks I - VI). McCloud Transportation submitted a proposal and was selected by NCTD as the successful bidder for Task V - Audit Paratransit Operations, and Task VI - Create ADA Policy and Paratransit Standard Operating Procedures Manual. A contract was entered into on April 28, 2012 and a Notice to Proceed was issued. The goal of Task V was to determine the quality of ADA paratransit service being delivered and to assess ALC's compliance with contract provisions and relevant ADA laws and regulations. In addition, the RFP required the consultant to conduct a peer review of best practices to shed light on how NCTD's paratransit operation compares with other systems of similar size and attributes. Task V also required an analysis of the cost of services provided by ALC, and an evaluation of the reasonableness of the costs for the amount of service provided. The audit was conducted in three phases; pre-audit, on-site audit and exit meeting. The pre-audit was conducted on June 4-15, 2012 prior to the commencement of the on-site audit. The on-site audit was conducted on June 18-21, 2012, and the exit meeting conducted on June 25, 2012. The purpose of the audit was to determine the quality of ADA paratransit service being provided by ALC, assess compliance with contract provisions and relevant ADA laws, and conduct a peer review and analysis of best practices to shed light on how NCTD's paratransit operation compares with other systems of similar size and attributes. 5 Paratransit Operations Audit Report 1.1 Key Findings of the Paratransit Audit NCTD is moving in a positive direction in stabilizing the management team with the recent addition of an ADA coordinator. This should help promote uniform and consistent contract management oversight. The new management team and the organizational strategy should also result in increased accountability of the paratransit service contract with ALC. The findings of the audit are based on the documents reviewed during the pre-audit and the onsite audit. These documents included the LIFT Paratransit Service Agreement, Supplemental Agreements, the Scope of Work, Attachments and the NCTD's Summary Report of LIFT Service for March, April and May 2012. Items listed in Attachment G of the LIFT Paratransit Services Agreement are proprietary to ALC and were excluded from review. These items include: ? ? ? ? ? ? ? Transition and Start-up Plan Staffing and Personnel Plan Training Program Vehicle Maintenance Plan and Preventive Maintenance Program Safety Security and Emergency Management Program Drug and Alcohol Plan Driver's Handbook Below are some of the key findings of the paratransit audit: 1. It appears that ALC has a high turnover rate for its service delivery subcontractors. ALC is not providing NCTD with all proposed subcontracting agreements and documents (including scope of work and terms of compensation) as required by the Agreement [Sec. 6.9(a). 2. NCTD staff reports that ALC has a 0% trip denial rate; however, it appears that the trip booking process established by ALC does not correctly negotiate requested pickup times in accordance with the requirements of the ADA [49 C.F.R. Section 37.131(b)(2)]. Clients at key activity centers discussed several instances in which passengers were given pickup times that were more than 1 hour before or after their requested pickup time, which should be recorded as a denial even if the trip was accepted by the rider and provided by ALC. 3. Based on site visits and observations of pickups and drop-offs, some drivers did not properly display the required NCTD/LIFT placards to identify their vehicle. 4. ALC is not conducting driver fitness for duty inspections as required by the Agreement. Twenty-five percent (25%) of all subcontractors' drivers are required to have a random fitness for duty inspection each week, and 100% of all subcontracted drivers are required to have at least one fitness-for-duty inspection each month. Fitness-for-duty data is not being posted or recorded on ALC's web-based portal for review by NCTD staff. 6 Paratransit Operations Audit Report 5. ALC is not informing NCTD when key personnel assigned to the NCTD project is replaced as required by the contract. For example, Mr. Bill Beale was ALC's original senior project manager at the start-up of the contract as indicated in a February 3, 2011 memo from Mike Dunne of ALC; however, NCTD staff was unaware that he was no longer with ALC until calls and emails to Mr. Beale's were not answered. 6. ALC's schedulers are not putting notes in the notes section of the manifest to aid drivers in locating riders. Notes are beneficial in alerting schedulers, dispatchers, and vehicle operators to constraints for riders as service is being delivered. 7. ALC does is not conducting drug and alcohol testing for its subcontractors performing maintenance work on revenue service vehicles or equipment. The NCTD contract requires ALC to conduct drug and alcohol testing consistent with FTA requirements. 8. ALC is not submitting to NCTD all of the reports required as outlined in the contract. 9. NCTD does not have the ability to monitor ALC's performance in real time. 10. ALC is not properly documenting all of the Medi-Cal trips provided, and NCTD is not expeditiously billing Medi-Cal for the trips provided. This means that NCTD may not be receiving full reimbursement for the Medi-Cal trips provided. 11. ALC consistently provided early drop-offs and late pickups to and from key activity centers observed, which necessitated the centers to open early, close late, and pay staff overtime. 12. During the Customer Service Assessment, on three different occasions, auditors experienced extensive telephone hold times of 26 minutes and 15 minutes. On the third occasion, the auditor was placed on hold and the ALC representative hung up, which required the auditor to call back and be placed back into the telephone queue. ALC is required to ensure that 95% of the calls does not exceed the three-minute hold time standard. NCTD's staff turnover in the paratransit department has resulted in fragmentation of the management oversight of the LIFT paratransit service contract; however, with the new leadership and hiring of a new ADA coordinator, this should result in stability and enhanced contract oversight. This report incorporates detailed results of the Paratransit Audit and provides recommendations for corrective action for each area of noncompliance. The report also provides NCTD with the opportunity to review the results of the anonymous on-board service observations, the Customer Service Survey, and the results of the comparative analysis of ALC's performance with other peer systems and industry standards. The local ALC management team was not available during the audit. McCloud Transportation extends its thanks to NCTD staff for their cooperation and support throughout the audit. 7 Paratransit Operations Audit Report 2. INTRODUCTION AND BACKGROUND NCTD was created by California Senate Bill 802 on September 20, 1975. NCTD's geographical service area encompasses 1,020 square miles of north San Diego County extending from Del Mar in the South, northeasterly to Escondido, north to the Riverside County line and west to the Orange County line. The service area includes the unincorporated communities of Fallbrook and Ramona as well as the Camp Pendleton Marine Corp Base. Other cities in the service area include Solana Beach, Encinitas, Carlsbad, Oceanside, Vista and San Marcos. The total population of the NCTD service area is more than 800,000. NCTD moves more than 12 million passengers annually by providing public transportation for North San Diego County. The family of transit services includes the BREEZE bus system, LIFT Paratransit, the SPRINTER light rail line and the COASTER commuter rail service. 2.1 Service Description NCTD provides paratransit service for individuals with disabilities who are unable to utilize the fixed route service. Paratransit service provided by NCTD is operated under "LIFT." Individuals who are certified as "ADA Paratransit Eligible" by NCTD's certification contractor; ADARIDE, can call ALC to schedule a trip. LIFT service connects with fixed route bus or rail service at NCTD's transit centers, and is provided within 3/4 mile of a bus route or rail station, during the same hours and days of operation as the fixed route bus and rail system. In February 2012, NCTD contracted with ALC to operate LIFT service effective July 1, 2012. The contract is based on a new brokerage model that utilizes coordinated transportation. As the broker, ALC subcontracts service delivery to third party operators or service providers. The goal of the brokerage model is to maximize productivity of the LIFT paratransit service. ALC provides trip scheduling, dispatching, and a small portion of the trips. The majority of the paratransit trips are subcontracted to local taxi companies and other non-dedicated service providers in the North County area. In accordance with the requirements of the contract, ALC is required to provide NCTD with all proposed subcontracting agreements and documents including scopes of work and terms of compensation for each subcontractor. ALC is also required to include in each subcontract the terms and conditions to assure that the subcontractor has the same duties and obligations to ALC for its work that ALC has to NCTD, and that the subcontractor complies with the applicable provisions of the Agreement, including Federal laws and regulations. Entering into a subcontract does not relieve ALC of its liability and obligations, which underscores FTA's "stand in the shoes" requirement for private entities who perform work for public transit agencies. LIFT service is provided by ALC with six (6) subcontractors operating a fleet of eighty-two (82) vehicles. These vehicles include three (3) lift-equipped body-on-chassis minibuses purchased and owned by NCTD, and leased to ALC, who provides a small portion of the LIFT paratransit service. Maintenance of the NCTD-owned vehicles is performed by First Transit. 8 Paratransit Operations Audit Report 3. PURPOSE OF PARATRANSIT AUDIT Public entities that operate fixed route transportation services for the general public are required by the U.S. Department of Transportation's (DOT) regulations implementing the Americans with Disabilities Act of 1990 (ADA) to provide ADA complementary paratransit service for persons who, because of their disability, are unable to use the fixed route system. As a Federal grantee, NCTD is responsible for ensuring its contractors' compliance with the DOT's regulations implementing the ADA. As a private entity providing service under a contract with a public entity, ALC "stands in the shoes" of NCTD and is subject to the requirements applicable to NCTD. While the public entity may hire contractors, it may not "contract away" its ADA responsibilities [49 CFR Section 37.23]. NCTD's contract with ALC to operate its LIFT paratransit service represents a shift in NCTD's previous business model, and transitions NCTD from a dedicated fleet to a brokerage model. As the broker, ALC operates the call Center and provides a small portion of the paratransit trips. ALC subcontracts the majority of the paratransit trips to local service providers who operate taxis, vans and sedans in the NCTD service area. ALC is responsible for the following key requirements: 1. Manage all operations and maintenance 2. Designate key personnel to the LIFT operation (operations manager, safety and training manager, call center/dispatch supervisor, vehicle maintenance manager, assistant operations support manager) 3. Maintain operating performance standards (on-time performance, no-shows, late cancellations, trip denials, telephone hold time, complaints) 4. Collect fare revenue 5. Provide reports and monitor service levels The purpose of the audit was to achieve the following primary goals: ? ? ? ? ? ? ? Determine the quality of ADA paratransit service being provided by ALC Determine ALC's compliance with the contract provisions, and relevant ADA laws and regulations Conduct a peer review and analysis of best practices to shed light on how NCTD's paratransit operation compares with other systems of similar size and attributes Assess NCTD's compliance with FTA regulations regarding grant and contract management Review operating performance as identified in the Agreement Summarize the findings Create a suggested corrective action plan for each area of noncompliance McCloud Transportation conducted the on-site audit from June 18 - 21, 2012. 9 Paratransit Operations Audit Report 4. AUDIT METHODOLOGY AND APPROACH McCloud Transportation's methodology and approach for conducting the paratransit audit consisted of five (5) phases; a pre-audit, on-site audit, peer review, summary of findings, and recommendations for corrective action. 4.1 Pre-Audit The pre-audit was conducted from June 4 -15, 2012. Prior to the on-site visit, the audit team requested and received from NCTD information that enabled the audit team to examine and identify ALC's obligations for operation of the paratransit service. The documents were also used to develop the Audit Checklist for use during the on-site review to assess the quality of paratransit service being delivered, and compliance with contract provisions, relevant laws and regulations. Please see Attachment A - Audit Checklist. The audit team reviewed the following documents: ? ? ? ? ? LIFT Paratransit Services Agreement dated February 2, 2011 a. General Obligations b. Reporting Requirements c. Required Meetings d. Computer and Technology Requirements e. Operating Performance Standards f. Driver Selection Criteria g. Dispatcher, Scheduler and Reservations Center Obligations h. Road Supervisor Obligations i. Training Requirements j. Drug and Alcohol Compliance Program k. Vehicle Requirements l. Vehicle Cleanliness and Appearance Policy Scope of Services Supplemental Agreements Federal Requirements Liquidated Damages and Incentives Provisions At the request of McCloud Transportation, NCTD provided the following additional information during the on-site visit; ALC's performance data for the last three months; March -May, 2012, which included revenue hours, passengers per revenue hour (productivity), on-time performance, early trips, late trips, complaints, service hours, revenue miles, service miles, and passenger types ( PCAs, companions, and children). 10 Paratransit Operations Audit Report The review team also examined NCTD's draft Rider's Guide for Using LIFT Paratransit Service. Recommendations were made to enhance the guide such as the inclusion of a welcome message, important contact names and telephone numbers, and commonly used terms. NCTD's draft noshow policy was also reviewed and a comparative analysis was conducted of the no-show policies of several California-based paratransit operations with similar attributes to NCTD. The following ALC proprietary documents noted in Attachment G of the Agreement were excluded from the review: ? ? ? ? ? ? 4.2 Transition and Start-up Plan Staffing and Personnel Plan Training Program Vehicle Maintenance Plan and Preventive Maintenance Program Drug and Alcohol Plan Driver's Handbook On-Site Audit The on-site audit was conducted from June 18-21, 2012. An opening meeting was held at 8:00 a.m. on Monday, June 18, at NCTD's administrative offices located at 810 Mission Avenue in Oceanside, California. The following individuals participated in the opening meeting: Johnny Dunning Tim McCormick Elaine McCloud Bill McCloud Deputy Chief Operations Officer Director of Service Planning McCloud Transportation & Associates (Reviewer) McCloud Transportation & Associates (Reviewer) Johnny Dunning is project manager for the paratransit audit and opened the meeting by making introductions and welcoming the audit team to NCTD. He also provided an overview of the paratransit operation and NCTD's paratransit brokerage model. ALC schedules all trips from its St. George, Utah Call Center, and outsources most of the trips to local providers, non-profit agencies and taxicab companies. Mr. Dunning also discussed NCTD's certifications contractor; ADARIDE and its role in providing ALC with the names of persons who are certified as "ADA paratransit eligibile" to use LIFT services. The audit team thanked Mr. Dunning and NCTD's staff for providing the requested information for the pre-audit. The audit team also presented and discussed the key areas of review and the on-site audit schedule. Please see Attachment B - Audit Schedule. 11 Paratransit Operations Audit Report The team noted that the on-site audit would include on-board observations utilizing mystery riders, field visits to key activity centers, client interviews, and a customer service assessment to evaluate reservations, scheduling and telephone hold time. The audit team also discussed previously scheduled plans to meet with ALC's local staff assigned to the contract. The purpose of scheduling the meeting with ALC's local staff was to examine key requirements of the LIFT paratransit service, and to assess overall compliance with the paratransit services contract. FTA's stand in the shoes provision was discussed, which requires private contractors to adhere to the same requirements as the public transit entity. Following the opening meeting, the review team met with NCTD staff to discuss the information sent during the pre-audit and additional documents that were requested for the on-site audit. Tim McCormick provided a brief overview of the Medi-Cal program. Medi-Cal is California's Medicaid health care program. This program pays for a variety of medical services for children and adults with limited income and resources, and is supported by federal and state taxes. NCTD provides Medi-Cal trips through its paratransit broker ALC, who is required to submit monthly reports to NCTD summarizing the number of Medi-Cal trips provided. NCTD staff noted that Medi-Cal reimbursement to NCTD for paratransit trips is a significant source of revenue; however, ALC is not properly reporting the number of trips and NCTD is not properly being reimbursed for the trips. The audit team was scheduled to meet at 10:00 a.m. with ALC's local project manager; Alfred Lindenfelser; however, the team was informed that neither Mr. Lindenfelser or Mary Jane Taylor were available and were out of town at ALC's corporate office in St. George, Utah. Based on the unavailability of ALC's key personnel assigned to the LIFT program, the audit team was unable to visit ALC's local office to review and assess compliance with the requirements of the paratransit contract. The audit schedule was revised to reflect these changes. For the remainder of the morning until 11:30 a.m. the audit team discussed operating performance and contract compliance of the LIFT service. On the afternoon of June 18, the audit team met with Mr. Johnny Dunning and the following NCTD staff: Mike Wygant Brian Killian Manager of Contract Bus Operations and Maintenance Quality Control Supervisor Mr. Wygant and Mr. Killian conduct field observations and monitoring of the LIFT paratransit service. Based on complaints of late pickups, several field observations have been conducted at two keys activity centers; Partnerships with Industry (PWI) located in Oceanside, and The Arc of San Diego located in San Marcos. The audit team requested a list of scheduled pickups for these locations and subsequently scheduled site visits and observations for Wednesday, June 20 and Thursday, June 21, 2012. Mr. Wygant noted that ALC has a total of six (6) paratransit service subcontractors and pointed out that ALC frequently changes subcontractors without notification to NCTD. For example, one company performed poorly and ALC replaced then without written notification to NCTD. The audit team also requested copies of the Monthly Summary Report of the LIFT Service for the months of March, April and May, 2012. Please see Attachments C, D, and E - Summary Report of LIFT Service. 12 Paratransit Operations Audit Report The Monthly Summary Reports are prepared by Mr. Wygant utilizing data obtained from ALC's Web-based portal. A copy of the performance reports prepared by ALC was requested by the audit team; however, was not provided. Based on the performance reports prepared by NCTD for March -May, 2012, ALC's on-time performance averaged 95.3%. ALC does not use a Vehicle Maintenance System (VMS); thus, preventive maintenance standards for the vehicles used by ALC and its subcontractors are not included in the report. Staff noted that ALC's subcontractors' preventive maintenance inspections are inconsistent and lacks standardization. NCTD does not have the ability to conduct real-time monitoring of the paratransit service provided by ALC, who is also responsible for monitoring and reporting the performance of its service subcontractors. On Tuesday, June 19, 2012, the review team conducted a site visit to Partnerships with Industry (PWI). PWI is a key activity center that is served by ALC. Interviews with PWI staff and management was conducted and a facility tour. On Wednesday, June 20, the audit team also met with the following ALC's corporate staff to discuss the requirements of the contract; specifically, personnel and reporting requirements, and performance operating standards and training: John Grant James Warrick Contract Manager Corporate Representative On the afternoon of Wednesday, June 20, 2012, the review team conducted a site visit and tour of The Arc of San Diego, which is a key activity center whose clients are transported by ALC. Passenger pickups and drop-offs were observed to assess compliance with training requirements, NCTD's Vehicle Cleanliness and Appearance Policy and other service requirements. On Friday, June 22 and Monday, June 25, 2012, anonymous on-board observations by mystery riders were conducted, and a Customer Service Assessment to evaluate the quality of ALC's service and the reservations and scheduling process. Auditors also assessed compliance with telephone hold time standards. At the request of NCTD, the audit team conducted a survey and analysis to examine the no-show policies of several California-based paratransit agencies with similar attributes to NCTD. The purpose of the analysis was to provide input to NCTD's draft LIFT Paratransit Service Rider's Guide no-show policy. On-board observations were conducted by Mystery Riders to anonymously observe safety and driving skills, ADA compliance, driver courtesy, fare collection, vehicle appearance, ride comfort, driver appearance and on-time performance. Calls were also made to ALC's Call Center to assess customer service and compliance with telephone hold time standards, and compliance with the trip scheduling and reservations process. On Monday, June 25, the audit team met with Ramona Edwards, NCTD's contract administrator and Johnny Dunning. During the meeting, the review team inquired about contract management, reporting and training requirements, drug and alcohol testing, vehicle maintenance/vehicle requirements, fare collection procedures, and subcontractors' oversight. 13 Paratransit Operations Audit Report The audit team requested Ms. Edwards to provide copies of the following non-proprietary items previously requested from ALC: ? ALC's organization chart with names of individuals assigned to NCTD's LIFT paratransit program and their physical location. ? Copies of letters from ALC to NCTD notifying of changes in the originally proposed key personnel/project management ? Address for ALC's local office and telephone number ? Monthly reports summarizing key maintenance activities for vehicles used in the LIFT service ? Summary of training activities for personnel assigned to LIFT ? Documentation of drug and alcohol testing for ALC's safety-sensitive personnel/subcontractors ? List of ALC's safety-sensitive employees and subcontractors assigned to the LIFT program. ? ALC's plan for on-site supervision of the LIFT service ? ALC's process for reporting PMIs and other maintenance for vehicles assigned to the LIFT program including subcontractors' vehicles ? List of ALC's current subcontractors, address, and contact information. Subsequent requests were made by the audit team for these non-proprietary items and neither ALC nor NCTD produced the requested documents. An exit meeting was conducted on Monday, June 25, 2012 at the administrative offices of NCTD. Attending the meeting was Johnny Dunning, NCTD's project manager for the Parartransit Audit. The review team was represented by Elaine McCloud and Bill McCloud. The audit team discussed the schedule for the draft audit report and the next phase of the audit, which included a Peer Review and further analysis of the mystery rider on-board observations and the Customer Service Assessment. 14 Paratransit Operations Audit Report 4.3 Peer Review NCTD is one of a few transit agencies in the U.S. that operate a paratransit system based on a brokerage model where the contractor performs the trips and scheduling, reservations and dispatch. McCloud Transportation conducted a Peer Review of several public transit agency paratransit operations. The purpose of the review was to examine best practices and to shed light on how NCTD's paratransit operation compares with other systems of similar size and attributes. A comparison of ALC's performance with similar systems, and industry standards was conducted. The peer review included an analysis of the cost of the services provided, productivity and evaluated the reasonableness of the costs for the amount of the service provided based on NCTD's brokerage model. For comparison purposes, none of the three peer agencies use NCTD's paratransit contractor; ALC for its paratransit operation. The audit team researched several transit agency paratransit programs to identify paratransit agencies that operate a brokerage model and the following selected four (4) peer agencies: 1. 2. 3. 4. East Bay Paratransit, Oakland, CA Valley Metro Regional Public Transportation Authority(RPTA) - Phoenix, AZ King County Metro Access, Seattle, WA ACCESS Paratransit, Pittsburgh, PA Resources to conduct the Peer Review were obtained from telephone interviews with paratransit operators, agency websites, the American Public Transportation Association (APTA), and the National Transit Database (NTD). 1 To obtain uniform responses from the peers, McCloud Transportation developed a web-based survey that was comprised of thirteen (13) questions. Please see Attachment G - Peer Review Survey. Peer paratransit operations were selected based on the following attributes and criteria: 1. Operates a paratransit brokerage model 2. Contracts operation of the call center to a broker who performs scheduling, reservations and dispatch A summary of the Peer Review and Best Practices is provided in Section 12 of this report. 1 American Public Transportation Association "Transit Ridership Report." National Transit Database: Transit Agency Listing by Region. Data Source, 2011. TRID is a newly integrated database that combines the records from TRB's Transportation Research Information Services (TRIS) Database and the OECD's Joint Transport Research Centre's International Transport Research Documentation (ITRD) Database. 15 Paratransit Operations Audit Report CONTRACTOR'S OBLIGATIONS 5. ALC is required to manage the operation of the LIFT paratransit service, assign an operations manager who has the full responsibility for the performance of the work and provide reports. Maintenance of the fleet of revenue and service vehicles is conducted by ALC's subcontractors, who perform the majority of the paratransit trips. ALC is responsible for any acts and omissions of its subcontractors. 5.1 Subcontractors Oversight ALC provides trip scheduling and dispatching, while trips are provided by subcontracted local taxi companies and other non-dedicated service providers. ALC is responsible for ensuring that its subcontractors are in compliance with the following: ? Administrative and management arrangements for control, driver check-in and supervision, trip assignment, communications and reporting, and quality control ? Qualifications and experience of the proposed non-dedicated service providers ? Staffing and training plan for ensuring that drivers operating non-dedicated services meet the qualifications and receive equivalent training outlined in the RFP ? Trips served by subcontractors comply with DOT, FTA, CHP, NCTD, and local regulations, guidelines and service quality standards. Subcontractors' service, including but not limited to driver background checks and training, drug and alcohol testing, vehicles used, maintenance program for those vehicles, and the level to which those vehicles are insured, are consistent with LIFT, DOT, FTA and ADA requirements ? Subcontractors' drivers must have a random fitness-for-duty inspection each week; 100% of all subcontracted drivers must have at least one fitness-for-duty inspection each month 5.2 Drug and Alcohol Regulations ALC is required to comply with all applicable FTA Drug and Alcohol Regulation requirements, including for its subcontractors or contracted taxi operators. 5.3 Required Meetings ALC's operations manager/project manager is required to assist NCTD in ADA-related community relations by attending ADA-related NCTD Board and Executive Committee meetings when requested, and NCTD ADA Review Group meetings and other meetings and outreach forums as requested. ALC is also required to conduct monthly safety meetings and submit to NCTD the safety meeting agenda and minutes, including corrective actions taken as a result of items identified. 16 Paratransit Operations Audit Report 5.4 Training Requirements Drivers are required to be fully trained and qualified to operate vehicles for the LIFT paratransit service. ALC is required to implement all aspects of its approved Training Program throughout the term of the contract. In addition, all new ALC employees, or subcontractors are required to complete the NCTD-approved Training Program. Any material changes to ALC's Training Program must obtain prior written approval from NCTD. All dispatch personnel must complete ALC's Training Program, and all road supervisors (supervisors) must fully meet the training requirements for both vehicle operators and dispatchers. Training for all maintenance personnel must be commensurate with the vehicle type they service. 5.5 Reporting Requirements To document service provided, ALC is required to maintain all data and records requested by NCTD, ensure monitoring of service levels, and maintenance and operations activities related to the provision of the LIFT paratransit service. Management level reporting must be submitted to NCTD on a monthly basis that includes detailed information describing and quantifying the level and the quality of service provided. The following required reports must be submitted ALC to NCTD in hard copy and electronic format: ? Immediate Reports (accident reports; notify NCTD within 15 minutes ? Weekly Reports (operational performance for preceding week including passenger vehicle trips, revenue hours, total hours, revenue miles, total miles, total passengers transported, productivity, number of early, late and missed trips) ? Monthly Reports o Compilation of weekly operational reports and on-time performance compliance o Passenger vehicle trips, revenue vehicle miles o Ridership o Summary of key maintenance activities o Summary of training activities o List of current employees, certified driver list o System safety security, and safety meeting agenda and minutes, major incidents o Drug and alcohol testing for safety-sensitive employees o Detailed phone reports o Medi-Cal billing trip data o Customer service complaint tracking sheet o Late/missed trips, on-time performance percentage o Fleet maintenance data (PMI, wheelchair lift maintenance, accidents, road calls) ? Quarterly Reports (Safety and security incident trend analysis, safety training sessions) o DBE, EEO Affirmative Action, FTA Reports (National Transit Database (NTD) ? Annual Operations Report (60 days after the end of each year contract term) 17 Paratransit Operations Audit Report 5.6 System Security and Emergency Preparedness NCTD requires ALC to assign safety and emergency preparedness duties to a staff person. This individual is required to have sufficient training and experience to assist NCTD in the coordination of emergency preparedness activities, write and amend ALC's supplement to NCTD's System Security and Emergency Preparedness Plan, and generate required reports. The staff person is also required to attend, on behalf of ALC, security group meetings and specials meetings with NCTD at the request of staff. ALC is required to conduct a self-audit on safety, security and emergency preparedness on an annual basis and to participate annually in NCTD's audit, based on APTA's Bus Safety Management Program checklist. 5.7 Findings 1. ALC does not appear to properly generate monthly and quarterly billing statements for Medi-Cal with all supporting documents. 2. The audit team was unable to obtain documentation that ALC is meeting the requirements of the contract for subcontractors' oversight due to the absence of ALC local personnel throughout the audit. 3. ALC is not in compliance with the LIFT Paratransit Services Agreement; Article 3; Section D: Changes in Key Personnel. This provision states that "ALC shall not without prior written notice to and written consent by NCTD, remove or reassign any key personnel, or appoint any new individual to a key personnel position (whether in acting or permanent capacity), at any time during the contract period." NCTD requires the vacancy to be filled with an individual whose qualifications meet or exceed the requirements of the position." ALC has made several changes to its originally proposed key personnel and did not notify NCTD or obtain written approval from NCTD of the change. 4. ALC is not submitting to NCTD all of the reports required as outlined in the Agreement. 5.8 Recommendations for Corrective Action NCTD should require ALC to provide written notification when key personnel are changed. NCTD should ensure that replacement meets or exceeds the requirements of the position, and provide written approval to ALC.ALC should also provide NCTD with an updated organizational chart of its local key personnel assigned to the LIFT program. 18 Paratransit Operations Audit Report NCTD's RESPONSIBILITIES 6. NCTD is responsible for the oversight and monitoring of ALC's performance, and for the establishment of policies pertaining to operation of the LIFT service 6.1 Oversight and Monitoring of Contractor's Performance NCTD is responsible for the oversight and monitoring of ALC performance of the work as follows: ? Operations and maintenance requirements ? Performance standards and policies ? Establishment of fare policies ? Required operating hours based on NCTD's routes and schedules ? Marketing activities and for determining the assessment of liquidated damages ? ADA compliance ? Monitor the paratransit certification process to ensure ALC transports only passengers who are certified as "ADA paratransit eligible" ? Medi-Cal billing ? National Transit Database reporting 6.2 Grant and Contract Management ALC utilizes three (3) NCTD-owned, FTA-funded vehicles. ALC is required to follow FTA's guidelines (Circular FTA 5010.1D page IV - 21) in maintaining these vehicles. Vehicles must be maintained at a high level of cleanliness, safety and mechanical soundness under maintenance procedures outlined by FTA through NCTD. NCTD or FTA has the right to conduct periodic maintenance inspections for the purpose of confirming the existence, condition, and proper maintenance of the vehicles. NCTD is responsible for ensuring that ALC provides NCTD with evidence that these vehicles are being maintained on a continuous basis in accordance with FTA's requirements. 19 Paratransit Operations Audit Report CONTRACTOR'S PERSONNEL REQUIREMENTS 7. ALC is responsible for managing all operations and maintenance of the paratransit service. Prior to the commencement of the contract on July 1, 2011, ALC was required to submit to NCTD its initial organization chart showing the proposed organization established by ALC for the performance of NCTD's LIFT paratransit program. 7.1 Key Personnel ALC is required to assign key personnel to the LIFT paratransit service project. Required key personnel include the following: ? ? ? ? ? Operations manager Safety and training manager Call Center/dispatch supervisor Vehicle maintenance manager Assistant operations support manager ALC's operations manager is responsible for overseeing the proper operation of the service, and the overall performance of the work. The operations manager must have the full authority to act for ALC and should act as a single point of contact in all matters on behalf of ALC. ALC's current operations manager is Al Lindenfelser and Mary Jane Taylor, who "covers" for him. Neither Mr. Lindenfelser nor Ms. Taylor was a part of the originally proposed key personnel. Bill Beale was the initial senior project manager based on a February 3, 2011 memo from Mike Dunne of ALC to NCTD staff. Ramona Edwards noted that the organization chart originally provided by ALC is outdated. An updated chart had not been provided to NCTD by ALC at the time of the audit. Mike Wygant noted that on several occasions he tried unsuccessfully to contact Bill Beale by both telephone and email. The LIFT Paratransit Services contract states "voice mail or email inquiries should be responded to immediately by ALC and always within 24 hours." The contract also states that anytime key personnel are out of the office exceeding one (1) business day, voicemail should specify the anticipated date of response to inquiries, and an alternate contact number should be provided for someone that is available. NCTD's project manager must also be notified whenever ALC's project manager will be away from the office for any business day. 7.2 Changes in Key Personnel Before making any changes in its personnel, ALC is required to provide NCTD with prior written notice, and is required to obtain written consent from NCTD. 20 Paratransit Operations Audit Report 7.3 Vehicle Operators ALC is required to maintain a level of vehicle operators sufficient to meet the daily operator shift requirement, adjusted proportionally with changes in the service level. Driver selection criteria for vehicle operators include the following standards: ? No more than 2 moving violations and/or chargeable accidents within the previous 2-year period at the time of hire ? Speak English clearly and fluently ? Background check that includes a motor vehicle record. Perform a re-check every two years. If a re-check reveals a felony conviction within the past 7 years, or more than 2 moving violations or chargeable accidents within the previous 2 years, the operator must be removed ? Valid state of California driver's license, type and class required per the vehicle type being operated ? Taxicab operators must have a taxicab driver's ID card ? Non-dedicated vehicle operators other than taxicabs must have a valid driver's certificate for driving the developmentally disabled (required by the state of California Vehicle Code (VC) Section 12523.6), or other certificate that exempts the driver from this requirement. Note: This section does not apply to a driver who has successfully completed a background investigation prescribed by law, or to a d river that provides transportation on a non-commercial basis to persons with developmental disabilities ? Pre-employment drug and alcohol screening test NCTD has a zero tolerance drug and alcohol policy and operators who test positive on drug/alcohol screening are terminated. 7.4 Vehicle Mechanics ALC is required to ensure that maintenance personnel in sufficient numbers with proper skills to maintain and service LIFT service revenue and support vehicles, is maintained. ALC subcontracts vehicle maintenance and is therefore required to provide oversight to vehicle maintenance subcontractors. Subcontractors must maintain personnel by skill level category and number. Mechanics are deemed by NCTD as safety-sensitive and must be subject to drug and alcohol testing that complies with federal requirements. 21 Paratransit Operations Audit Report 7.5 Dispatchers Dispatching is performed from ALC's headquarters in St. George, Utah. ALC is required to employ dispatch personnel sufficient to assign vehicles and operators to facilitate the deployment of the LIFT paratransit service, assist supervisors and vehicle operators with in-service problems resolution, and assist in emergency response coordination. Dispatchers are deemed safety sensitive and are subject to drug and alcohol testing that complies with federal requirements. The dispatching system used by ALC required approval by NCTD. Dispatchers are required to be on duty whenever a revenue vehicle is in service. 7.6 Road Supervisors ALC is required to provide a sufficient number of supervisors to effectively supervise the LIFT paratransit operation and to timely respond to service problems and issues. Supervisors also are required to be equipped with communications that allows for direct communication with the dispatcher, safety equipment, and assigned a designated support vehicle suitable for response to emergencies, in-service problems and other events. ALC's subcontractors deliver the paratransit service; however, ALC is required to arrange for "adequate" supervision in the field to assure that trips are assigned and departures are timely during peak hour pull-out periods. Supervisors are also required to perform fitness for duty inspections on at least 25% of the operators per week with every operator being inspected at least once monthly. Road supervisors are deemed by NCTD as safety-sensitive and must be subject to drug and alcohol testing that complies with federal requirements. 7.7 Reservationists ALC is required to provide customer service through its Reservation Center from 5:00 a.m. through 8:00 p.m. seven days per week. 7.8 Schedulers/Routers ALC's schedulers are required to review, refine and adjust all run start and end times, and trips scheduled to those runs prior to the service day. Schedulers are also required to initiate call-backs to LIFT passengers as needed to adjust scheduled service, monitor and adjust service resources to maximize system efficiency and performance, and analyze service performance. ALC's schedulers are also responsible review, maintenance of subscription trip requests, and the scheduling of subscription trip request and advance reservation trip requests into efficient vehicle runs that maximize productivity. 22 Paratransit Operations Audit Report 7.9 Findings 1. ALC's organization chart is outdated and is no longer current. Several changes in key personnel have been made without written notification to NCTD or written approval from NCTD. 2. Throughout the audit, neither ALC's project manager nor his assistant was available. The absence of required key ALC personnel prevented the audit team from being able to review driver records to assess compliance with NCTD's and federal requirements; including examining records to assess compliance with drug and alcohol testing. 3. Driver records were not made available by ALC to assess compliance with driver selection criteria and drug and alcohol testing. 4. A list of ALC's subcontractors was not provided to the audit team to enable the team to visit each subcontractor to assess the quality of service delivered and compliance with NCTD and federal requirements. 5. NCTD's project manager was not notified that the project manager and his assistant would be out of the office for more than one (1) business day. 6. NCTD did not have a list of ALC's current subcontractors' names and addresses. It is important that ALC provides NCTD with a list of the current subcontractors and copies of the subcontractors' agreements to determine whether all required clauses are included in the agreement, and to enable the audit team to conduct future compliance reviews. 7. NCTD should more clearly define ALC's role for providing "adequate" supervision in the field. ALC is required to assure that paratransit trips are assigned and departures are timely; particularly during peak hour pull-out periods. 8. Based on the audit team's evaluation, it appears that supervision in the field is not sufficient to assure that trips are assigned and departures are timely during peak hour pull-out periods. Trips observed by the audit team at key activity centers with known service issues such as PWI and the Arc of San Diego did not have any supervisors present to observe pickups and drop-offs during peak periods. 9. Service is not consistently scheduled to maximize productivity. The review team received several reports from activity centers and made observations where two or more vehicles were sent to pickup customers with the same origin and destination. When the review team discussed the observation with ALC's corporate representatives, it was stated that ALC's payment policy for a group trip does not provide an incentive because NCTD pays ALC for one trip only when there are two or more persons in a vehicle with the same origin and destination. 23 Paratransit Operations Audit Report 7.10 Recommendations for Corrective Action ALC should immediately provide NCTD with an updated organization chart for the required key personnel positions for the LIFT program. NCTD should be notified by ALC in writing of any changes in key personnel and ALC should obtain written approval from NCTD of the replacement. ALC personnel should respond immediately to inquiries made by NCTD and within 24 hours. In addition, ALC should notify NCTD's LIFT service project manager, anytime key personnel will be out of the office exceeding one business day and provide the name and contact number for someone that will be available. In accordance with the contract between NCTD and ALC; Section 6.3 Audit and Inspection of Records, "the Contractor [ALC] agrees that the District [NCTD] or any of its authorized representatives, shall for the purpose of audit and examination, be permitted to inspect all work, materials, payrolls, and other data and records, and to audit the books, records, and accounts relating to the performance of the Agreement. NCTD should notify ALC is advance of future audits and the audit team should be allowed to review driver records to assess compliance with NCTD's contract and federal requirements such as drug and alcohol testing for safety sensitive positions such as operators, dispatchers, vehicle mechanics, etc. NCTD should direct ALC to require its subcontractors to assign field supervisors to key activity centers to monitor service problems regarding pickups and drop-offs; including drivers failing to provide door-to-door service as required by the contract. 24 Paratransit Operations Audit Report 8. OPERATIONS AND MAINTENANCE REQUIREMENTS ALC operates a small portion of LIFT service trips using three (3) vehicles provided by NCTD. The majority of the paratransit trips are subcontracted to local providers. Subcontractor-provided vehicles are required to meet all specifications, rules, and regulations outlined in the LIFT Services Agreement. 8.1 On-Time Performance ALC is required to maintain on-time performance as follows: ? ? Advanced trip request - vehicle arrives within the quoted 20-minute pickup (ready) window All services - the on-time performance goal is 95% of passenger vehicle trips One (1) minute past the scheduled pickup window is considered late. ALC is responsible for monitoring and reporting on-time performance, which must be reported to NCTD on a monthly basis. The audit team review ALC's on-time performance for a three-month period; March through May 2012: Number of Trips Below 95% On-Time Performance Goal March Trips Below 95% Days Below 95% April May Total 400 17 881 23 1208 26 2489 66 8.2 No-Shows and Late Cancellations ALC is required to achieve a monthly no-show and late cancellation rate of less than 2%. 8.3 Customer Service (Trip Denial, Telephone Hold Time, Complaints) ALC is required to schedule all trips and have no trip denials. Although a 0% trip denial rate was reported by NCTD staff, in accordance with the ADA law, ALC may negotiate pickup times with an ADA paratransit eligible individual, up to one hour before or after the individual's desired departure time. Any deviation from this one-hour window would exceed the bounds of comparability. This means that in the event an individual accepts and takes a trip negotiated to begin more than one hour before or after his or her desired departure time, ALC must still record a denial based on its inability to provide the trip within the timeframe specified under DOT ADA regulations. The review team interviewed two activity centers and both reported that their clients accept and take trips negotiated to begin more than one hour before or their desired departure time, which should be recorded by ALC as a trip denial. ALC is also required to ensure that 95% of calls do not have hold times that exceed three (3) minutes, and maintain a complaint ratio of one valid complaint or fewer for every 1,000 passenger trips. ALC is not to exceed a ratio of 1 1/2 valid complaint in any single month. 25 Paratransit Operations Audit Report 8.4 Passenger Vehicle Trip Completion A passenger vehicle trip is incomplete or is a missed trip as follows: ? ? The trip was scheduled to be served but was not served The vehicle arrived at the designated pickup location more than 30 minutes late (i.e. 30 minutes past the pickup window, or 90 minutes after the will-call return request is placed) regardless of whether the trip is completed or the customer cannot be located or cancels at the door or via telephone. ALC is not compensated for missed trip. 8.5 Vehicles Vehicles provided by NCTD and utilized for LIFT paratransit services can be used by ALC only for LIFT paratransit services except when directed by NCTD in writing. In a Supplemental Agreement dated June 13th 2011 between NCTD and ALC, the Agreement was modified to require that that all dedicated vehicles provided by ALC must not be more than seven (7) years old, nor have more than 200,000 accrued miles. Taxicab vehicles used to absorb overflow ridership not handled by dedicated vehicles must not be more than seven (7) years old and have more than 350,000 accrued miles. All vehicles, regardless of whether dedicated or overflow support, are subject to the same on-going maintenance, inspection, certification and approval program. 8.6 Vehicle Maintenance ALC is required to comply with the standards outlined in the Vehicle Maintenance Plan and Preventative Maintenance Program in the contract. Vehicles provided by ALC must not be more than seven years old nor have more than 200,000 accrued miles, unless approved by NCTD. All vehicles used in the LIFT paratransit program must be kept clean and washed at least two times weekly, and interiors must be swept or vacuumed daily. All dirt, debris, and trash must be removed daily, and any worn, broken, cut, torn or vandalized components that are visible or accessible by the public must be repaired or replaced promptly to eliminate hazards, minimize discomfort, and maintain appearance. Vehicle must be waxed at least once every six months. ALC's subcontractors must have NCTD/LIFT placards located on them which are visible to passengers. The placards must be approved by NCTD in advance. 8.7 Regular Inspections Each revenue and support vehicle must receive a daily pre-trip inspection by the operator prior to being placed in service and at each change in operators. An electronic record of all inspections must be kept by ALC in the Driver's Daily Reports. Each revenue vehicle is required to receive weekly inspections to ensure proper operating condition. ALC is required to maintain electronic records of all inspections and utilize the records in submitting reports via the Vehicle Maintenance Management System (VMS) or comparable software designated by NCTD. 26 Paratransit Operations Audit Report 8.8 Preventive Maintenance ALC is required to follow its Vehicle Maintenance and Preventative Maintenance Inspection (PMI) Plan. PMIs are required to be performed on revenue vehicles per the vehicle manufacturer's recommendations. Commercial vehicles cannot go more than 45 days without a maintenance and safety inspection to ensure compliance with California Highway Patrol (CHP) commercial carrier requirements. All PMIs must be performed on schedule, which means that PMIs will be performed within +/-10% of the scheduled mileage mark each month. 8.9 Vehicle Maintenance System (VMS) Record Keeping ALC is required to provide an automated Vehicle Maintenance Management System (VMS) for use in recording, monitoring, and reporting on all revenue and support vehicle maintenance inspections, parts utilizations, fueling and repair activities. ALC must enter the required data into the VMS system on a daily basis. The VMS must generate reports for NCTD to review on a daily basis, and should provide data extracts from import and interface with NCTD's internal systems. 8.10 Response Time and Actions In the event of a trouble call, ALC or is required to promptly dispatch a substitute revenue vehicle. The maximum response time (the time between the receipts of a trouble call until the arrival of a substitute vehicle) is 30 minutes. 8.11 Facilities ALC is required to provide adequate facilities to provide the services. When the audit team inquired about the address of ALC's local office, NCTD was unable to provide an address. 8.12 Findings 1. The Vehicle Maintenance Plan and Preventative Maintenance Program is "proprietary" and was not provided to the audit team for review. The team was unable to assess ALC's compliance with the NCTD-approved Plan and Program. 2. Some of the vehicles observed by the audit team did not have proper NCTD/LIFT placards to identify the vehicle. 3. NCTD staff was unable to provide the audit team with the address for ALC's local office 4. ALC has not provided a VMS that allows NCTD to download, review and monitor all revenue and support vehicles maintenance from ALC's web-based portal. This includes subcontracted vehicle maintenance performance. 27 Paratransit Operations Audit Report 8. 13 Recommendations NCTD should ensure that ALC provides each subcontractor with a supply of NCTD-approved placards to identify the vehicles. NCTD should ensure that ALC's local team is conducting inspections of the sub-contractors' maintenance records to ensure that vehicles used for the LIFT service are acceptable. NCTD should inspect ALC's records to ensure weekly vehicle inspections are being conducted for cleanliness and appearance and all items listed in ALC's Random Inspection list are inspected. NCTD should strengthen and enforce its no-show and late cancellation policies to help ALC achieve the required no-show rate of less than 2%. NCTD should require ALC to provide a valid address for its local facility used to provide oversight for LIFT paratransit services. NCTD should require ALC to provide the VMS as required by the contract. 28 Paratransit Operations Audit Report 9. SERVICE QUALITY NCTD's paratransit service is a brokerage model that utilizes several different subcontractors and is delivered in a setting with limited supervision. During the on-site audit, the review team conducted field visits to key activity centers to interview staff, management and to observe pickups and drop-offs. An anonymous on-board audit was conducted to assess service quality and ALC's compliance with the contract. 9.1 Site Visits The sites selected were based on complaints received from customers and clients served by ALC at the following key activity centers: Partnerships with Industry (PWI) On Tuesday, June 19, 2012 the audit team met with Partnership with Industries (PWI) staff and Julia Savoy, executive director. The team was also provided a tour of the facility and observed afternoon pickups by ALC's subcontractors. PWI is a non-profit agency that has been in business for over 26 years. The center seeks jobs for persons with intellectual and cognitive disabilities and provides job and interview skills training. Some of the agency's clients live in group homes. There are five group sites in the community including Carlsbad, Vista, and Encinitas. The agency performs contract work with six clients and packages products such as irrigation system components. It was noted that ALC frequently places them on hold and no-one comes to the phone. On other occasions, their call is transferred from "Joe, then Sue, then starts all over again." An ALC corporate representative met with PWI a month ago, whom the staff described as a "Florida man" who was "condescending." PWI's office closes at 4:00 p.m.; however, clients are frequently left waiting until 5:00 p.m. or 5:30 p.m. to be picked up. Ms. Savoy stated that ALC sent a corporate representative to meet with her a month ago to discuss some of the service problems being experienced by PWI. She also noted that NCTD's Mike Wygant has been great in trying to correct some of the service issues. A PWI client missed three doctor appointments and another client missed an appointment for signing a lease for an apartment. The audit team discussed NCTD's 20-minute pickup (ready) window of which PWI was unaware of. ALC was reported to be dropping clients off at the center at 6:30 a.m., which creates a liability for the center, who is not allowed to accept clients until 9:00 a.m. It was noted that some clients who live in the area are in the vehicle for two hours. The audit team explained that LIFT service is a shared ride adding program and that in-vehicle time must be comparable to the amount of it would take on a fixed route vehicle. Ms. Savoy pointed out that that 100% of the trips to PWI are subscription trips that recur and clients schedules (time, and days of the week) do not change, which should result in more reliable service. 29 Paratransit Operations Audit Report ALC frequently sends three different vans for clients with identical origins and destinations. It was also reported that drivers collect tickets from customers who cancelled their trip even if the trip is not taken. The audit team observed pickups made by the following subcontracted providers: ? ? ? Alpha Transportation, LLC Secure Transportation SOL Transportation The audit team did observe a pickup in which two persons living at the same group home were pickup by two different vans; Secure Transportation and SOL Transportation. The Arc of San Diego On Wednesday, June 20, 2012 the audit team met with Kristen Kacirek, supervising case manager II for The Arc of San Diego and staff. The audit team was also provided a tour of the facility and observed afternoon pickups by ALC's subcontractors. The Arc of San Diego is the fifth largest non-profit agency in San Diego and serves people with developmental disabilities. Two different buildings serve 100 clients and the hours of operation are from 9:00 a.m. until 3:00 p.m. It was reported that ALC is making early drop-offs to the center. Some clients arrive at 7:00 a.m. and 7:30 a.m. which requires staff to arrive at the center before the office opens at 9:00 a.m. It was noted that ALC is not grouping trips. When the center requests certain times, they are told by ALC that those times are not available. The Center stated that the biggest problem is failure to arrive on-time, and failure to call the Center to notify them that the vehicle will be late. ALC calls the home of clients; however, Ms. Kacirek stated that ALC should call her at the Arc of San Diego. She also noted that when the service began in July 2011, the attitudes of dispatchers were "horrible" however; she added their attitudes are now "seventy-five percent better." During the site visit, the audit team observed a pickup that arrived 40 minutes past the scheduled pickup time. Service by the following providers was observed: ? ? No Vacancy Transport SOL Transportation The Center also reported that when they make calls to ALC's dispatch to obtain an estimated time of arrival (ETA), they are told that the vehicle is four miles away from their location, however in most instances four miles equate to 30 minutes in traffic. 30 Paratransit Operations Audit Report 9.2 Mystery Rider Observations Over a two-day period from June 21-22, 2012 mystery riders conducted anonymous on-board observations of the LIFT paratransit service to assess compliance and the quality of service delivery. Mystery riders evaluated and recorded observations for trips based on the following metrics: 1. On-time performance 2. In-vehicle time 3. Driver courtesy and passenger assistance techniques 4. Fare collection 5. Wheelchair securement skills/ADA compliance 6. Deployment of the lift 7. Safety 8. Wait time and no-shows 9. Driver appearance 10. Vehicle cleanliness Mystery riders conducted the assessment from a customer and quality assurance perspective. A total of six (6) assessments were conducted using the NCTD-approved web-based audit checklist. Mystery riders were trained and thoroughly briefed thoroughly on NCTD's paratransit system, with an emphasis on the above observation categories. Utilizing these ten (10) categories, McCloud Transportation developed a mystery rider observation checklist with 33quesrtions to obtain quantitative and qualitative observations. Assessment data was collected for each trip on both days and recorded into McCloud Transportation's web-based data collection system the same day the ride occurred. See Attachment F - Customer Service and Mystery Rider Audit Checklist. Trips were randomly selected to obtain a representative picture of operations and service quality. An electronic report card for each area assessed was generated based on the data collected and electronically submitted. Listed below are some of the key observations: 1. Mystery riders rated ALC with high marks for on-time performance, vehicle cleanliness and safety. 2. Area that did not score well included telephone hold time where ALC staff placed one caller on hold for 15 minutes. After 20 minutes, the called tried again, was placed on hold, and again was disconnected. The ARC of San Diego reported similar instances of being placed on hold and being disconnected when checking on the estimated arrival time (ETA) of their clients. Even when given an ETA, it was seldom accurate. 3. The driver did not ask for a fare payment for 50% of the trips taken. 4. Drivers were generally courteous in rendering assistance; however, one driver never made an attempt to get out of the vehicle to assist the customer. 5. Drivers did not consistently display NCTD/LIFT placards to identify the vehicles. 31 Paratransit Operations Audit Report Mystery Rider Observations On-Time Performance 100% of trips observed by Mystery Riders were on time. Telephone Hold Time 33.3% of trips call made to ALC's call center exceeded three (3) minutes. These were the major concerns: ? The caller waited on hold for 15 minutes then the call center representative hung up. ? The caller called back, was placed on hold, then the call was disconnected. This is what ALC can do to improve the experience: ? Ensure call center personnel is qualified. ? Ensure call center personnel is proficient in scheduling software. 32 Paratransit Operations Audit Report Vehicle Cleanliness 100% of Mystery Riders were satisfied with the cleanliness of the vehicles. Fare Collection 50% of the Mystery Riders found that the driver did not collect a fare for their trip. These were the major concerns: ? Driver never asked for payment. This is what ALC can do to improve the experience: ? Ensure all fare revenue is collected, counted and accounted for. ? Ensure drivers have a description of fare collection policies and procedures. ? Ensure drivers track the method of payment electronically if payment is different from the electronic manifest given. 33 Paratransit Operations Audit Report Vehicle Identification 50% of the vehicles observed were not properly identified with NCTD/LIFT placards. These were the major concerns: ? Some drivers did not display a placard, which makes it difficult to identify the vehicle. This is what ALC can do to improve the experience: ? Provide placards to ALC to supply to subcontractors. ? Enforce the display of placards during pickup and drop-off of LIFT passengers. Safety 100% of the drivers wore seatbelts and did not use a cell phone while operating the vehicle. 34 Paratransit Operations Audit Report 9.3 Telephone Hold Time and Customer Service Assessment Auditors placed random calls to ALC to assess telephone hold times and customer service provided to NCTD's customers. ALC is required have a telephone system (including a telephone device for the deaf [TDD/TYY] staffed by a qualified supervisor and telephone operators/dispatchers available for customer service calls from 5:00 a.m. through 8:00 p.m. Pacific Time seven (7) days per week. Reservation agents must be proficient in ALC's scheduling software to enter reservations, negotiate trip times and schedule and confirm rides. Schedulers are to be available between the hours of 8:00 a.m. and 5:00 p.m. Pacific Time weekdays, weekends and holidays. 9.4 Findings 1. Some of the vans used by the service providers are difficult to board due to the height of the van. 2. Some trips have excessive in-vehicle time, which creates capacity constraints and violates the ADA. 3. If a trip is cancelled in before two hours, drivers collect fare tickets from customers for a trip that the trip that was not provided. 4. ALC is not grouping trips which results in lower productivity and inefficiency, including the need to use more vehicles to provide the trips. Properly grouping trips would result in greater efficiencies and would reduce the need for additional vehicles and drivers. 5. ALC is dropping off clients two hours early before the center opens, which requires clients to wait 1 1/2 - 2 hours before work begins. 6. Telephone hold times for some calls exceeded NCTD's hold time standard of three (3) minutes 7. On one occasion, ALC's Call Center representative place the call on hold, then hung up. 8. The ALC representative took 26 minutes to find the caller's name in the system to schedule the first pickup, and the telephone representative appears to lack understanding of visitor status. 9. Of the six observations made, the driver failed to collect a fare 50% of the time. 35 Paratransit Operations Audit Report 9.5 Recommendations for Corrective Action NCTD should educate clients and key activity centers about the 20-minute "ready" window. Flyers should be distributed to drivers to provide to customers to enhance their understanding about the 20-minute window. The audit team discussed educating riders with ALC's corporate representative; however, ALC stated that it is not their responsibility to educate NCTD's customers. ALC or subcontractor oversight personnel should be assigned at key activity centers; particularly those that are reporting service delivery problems. NCTD should also investigate the practice of drivers collecting fare tickets even if the trip was not provided and clarify NCTD's fare collection procedures. NCTD should have a standing roundtable meeting on a monthly basis with key activity centers and ALC's local staff to address and resolve service delivery problems. NCTD should analyze the requested pickup time and the actual pickup time to ensure that trip denials are being accurately recorded. In accordance with the ADA, ALC may negotiate the pickup time up to one hour before or after the individual's desired departure time. Any deviation from this one-hour window would exceed the bounds of comparability. This means that in the event an individual accepts and takes a trip negotiated to begin more than one hour before or after his or her desired departure time, ALC must still record a denial based on its inability to provide the trip within the timeframe specified under ADA regulations. It appears that ALC is operating with capacity constraints which are not in compliance with the ADA. The constraints include excessive in-vehicle time and early pickups that exceed one hour before/after the requested time. This is a trip denial although technically the trip was provided. ALC's dispatchers should base the ETA on travel time that factors in traffic conditions which is more reliable than providing an ETA based on mileage. ALC should ensure that call center personnel are qualified reservation agents are proficient in ALC's scheduling software to enter reservations, negotiate trip times, and schedule and confirm rides. NCTD should require ALC to provide updated scheduling procedures and staffing for LIFT service. ALC should continuously train its reservations and scheduling staff to ensure proficiency in the use of its NCTD-approved scheduling software and its capabilities. NCTD should ensure that ALC maintains a complaint ratio of one (1) valid complaint or fewer for every 1,000 passenger trips, and NCTD's future audits should examine ALC's proof of completion of training of its reservationists, scheduling and dispatchers.ALC should ensure that call center personnel assigned to the LIFT program understands the visitor's policy for scheduling trips in accordance with NCTD and ADA requirements. ALC should ensure all fare revenue is collected, counted and accounted for and provide drivers with a copy of the fare collection policies and procedures. ALC should also ensure that drivers track the method of payment electronically if payment is different from the electronic manifest. 36 Paratransit Operations Audit Report 10. DRUG AND ALCOHOL TESTING POLICY The Federal Transit Administration's (FTA) drug and alcohol program addresses the administration's first strategic goal: "Promote the public health and safety by working toward the elimination of transit-related deaths, injuries, property damage, and the improvement of personal security and property protection." The purpose of the FTA's drug and alcohol testing rules is to "help prevent accidents, injuries, and fatalities resulting from the misuse of alcohol and use of prohibited drugs by employees who perform safety-sensitive functions." ALC stands in the shoes of NNTD and is required to comply with the FTA's Drug and Alcohol Testing Program. During the month of August 2012, NCTD is scheduled to undergo an FTA triennial review. The triennial review is one of the FTA's management tools for examining grantee performance and adherence to current FTA requirements and policies. One of the 24 areas of review is the Drug and Alcohol Program. During the June 18- June 22 audit, the review team was scheduled to conduct an audit of ALC's and its subcontractors Drug and Alcohol Testing Program. During the on-site audit, ALC's local team was not available, nor was the audit team provided the requested information to examine ALC's drug and alcohol testing records. During the Wednesday June 20 meeting with ALC's corporate representatives, John Grant provided a copy of the Medical Review Officer's (MRO) Certificate; however, contact information was not provided. Findings 1. ALC's local team was not available throughout the audit review, which prevented the audit team from being able to discuss compliance with the FTA's Drug and Alcohol Testing Program. Recommendations for Corrective Action NCTD should schedule a follow-up audit to assess ALC's compliance with FTA's Drug and Alcohol Testing Program. This should include the following: ? ? ? ? ? ? Interviews with ALC's Drug Alcohol Program Manager and Designated Employer Representative (DER) Records management MRO interview and/or interview with Third Party Administrator Random drug testing pool Visit collection site Review Chain of Custody Forms (CCF) 37 Paratransit Operations Audit Report 11. COMPENSATION FOR SERVICES The term of the ALC contract is for a base term of six (6) years, with one three-year options. The contract started on July 1, 2011. Compensation is based on ALC's base monthly fee and the rate per Passenger Vehicle Trip. The applicable rates and fees are as follows: ALC Applicable Rates and Fees Base Monthly Fee Rates Per Passenger Trip Year 1 $12,671 Year 2 $12,015 Year 3 $12,195 Year 4 $12,378 Year 5 $12,564 Year 6 $12,752 $22.27 $22.54 $22.82 $23.10 $23.39 $23.69 11.1 Liquidated Damages and Incentives In order to promote compliance with the performance requirements of the LIFT service, NCTD has the right, in its discretion to impose liquidated damages and/or incentives in accordance with the contract and Attachment J of the contract. If ALC fails to meet the schedule and other performance requirements under the contract, ALC is required to compensate NCTD. One goal of the service is to provide reliable, efficient and effective transportation in a courteous manner for LIFT passengers. ALC is required to accomplish this goal while minimizing the cost of service to NCTD. ALC is also required to maximize passenger productivity and dispatch trips so that the number of passengers carried per mile or per hour will be optimized. Drivers and dispatchers are required to coordinate service in a manner that will optimize the number of passengers carried and minimize circuitous routing while maintaining on time performance. NCTD provides financial incentives to ALC in the event that agreed upon operational goals are exceeded. NCTD and ALC agreed to a 90-day waiver (July 1 - October 1, 2011) of liquidated damages during the start-up period for the new contract. 38 Paratransit Operations Audit Report 11.2 Findings 1. NCTD has not assessed or collected liquidated damages from ALC for failure to meet certain performance standards after the 90-day waiver period. NCTD's quality control team began developing a monthly performance report for the LIFT service in March 2012. The reports reviewed by the audit team for the period March - May 2012 identify liquidated damages that could be assessed against ALC for failure to meet the required on-time performance standards. 2. ALC is not maximizing passenger productivity through group trips and stated that NCTD's group trip payment policy does not provide an incentive to optimize service. 3. ALC drivers are collecting fare tickets the next day from riders who cancelled their trips the previous day. 11.3 Recommendations NCTD should immediately begin assessing and collecting the liquidated damages for failure to perform at the required levels, or grant an extension of the waiver. NCTD should instruct ALC to discontinue collecting fare tickets from customers who cancelled their trips. 39 Paratransit Operations Audit Report 12. PEER REVIEW AND BEST PRACTICES NCTD is one of a few transit systems in the country that operates a paratransit system brokerage model where the broker performs reservations, scheduling and dispatch, and subcontracts service delivery. McCloud Transportation conducted a Peer Review of public transit agency paratransit operations to examine best practices and to shed light on how NCTD's paratransit operation compares with other systems of similar size and attributes. 12.1 Methodology and Approach The audit team researched several transit agency paratransit programs that operate a paratransit brokerage model with elements similar to NCTD selected and four (4) systems. To conduct the comparative analysis, none of the agencies selected use NCTD's paratransit contractor; ALC as its paratransit service broker. Resources to identify the peer transit systems were obtained from research that included telephone interviews with paratransit management at each operation, agency websites and data from the American Public Transportation Association (APTA) and the National Transit Database (NTD).2 Please see Attachment G - Peer Review Survey. McCloud Transportation developed a web-based survey instrument that was comprised of fifteen (15) questions to collect the information obtained from the peers, who were selected based on the following criteria: 1. Operates a paratransit brokerage model 2. Contracts operation of the call center (reservations, scheduling and dispatch) to a broker 3. Subcontracts paratransit service delivery The following paratransit operations were identified as peers: 1. East Bay Paratransit, Oakland, CA 2. Valley Metro Regional Public Transportation Authority(RPTA) - Phoenix, AZ 3. King County Metro Access, Seattle, WA 4. Port Authority of Allegheny County ACCESS Paratransit, Pittsburgh, PA 2 American Public Transportation Association "Transit Ridership Report." National Transit Database: Transit Agency Listing by Region. Data Source, 2011. TRID is a newly integrated database that combines the records from TRB's Transportation Research Information Services (TRIS) Database and the OECD's Joint Transport Research Centre's International Transport Research Documentation (ITRD) Database. 40 Paratransit Operations Audit Report Paratransit Peer Agencies Transit Agency Service Model Paratransit Broker Door-to-Door or Curb-toCurb Service East Bay Paratransit, Oakland, CA Contracted Brokerage Model Veolia Transportation is the broker and operates the call center, optimizes vehicle routes, dispatches trips to three (3) service delivery subcontractors, and conducts ADA paratransit certification. Valley Metro Regional Public Transportation Authority (RPTA) Phoenix, AZ Contracted Brokerage Model Total Transit is the broker, operates the call center and provides 50% of the paratransit trips. Total Transit subcontracts the remaining 50% of the trips to six (6) local service delivery providers, which includes one non-profit agency. Door to door King County Metro ACCESS Seattle, WA Contracted Brokerage Model ACCESS Paratransit, Pittsburgh, PA Contracted Brokerage Model First Transit is the broker and provides reservations, scheduling and dispatch. There are two (2) service providers who are contracted directly by King County Metro. Veolia Transportation is the broker and also operates the call center. Veolia contracts with seven (7) service delivery providers. Both. Assistance is provided beyond the curbside, if required or requested Door to Door NCTD/ALC Contracted Brokerage Model ALC is the broker and provides reservations, scheduling, dispatch and operates a small portion of the paratransit service. ALC subcontracts with six (6) local service delivery providers. Both. Assistance is provided beyond the curbside, if required or requested Door to door Group Trip Payment Policy (One trip or each Trip) Broker and providers are paid on a revenue hour basis and not by the trip. One trip Broker and providers are paid on a revenue hour basis and not by the trip. Broker and providers are paid on a revenue hour basis and not by the trip. One trip The peer transit agencies are located in four different states; California, Arizona, Washington and Pennsylvania. Each peer agency outsources its paratransit operations to a broker, who performs reservations, scheduling, dispatch and subcontracts service delivery. East Bay Paratransit's broker also performs paratransit certification and eligibility, and Valley Metro RPTA's broker operates fifty (50) percent of the paratransit service. 41 Paratransit Operations Audit Report 12.2 Peer Analysis Below are the results and comparative analysis of ALC's performance with systems of similar attributes to NCTD. Comparative Analysis of Brokerage Model Paratransit Systems Paratransit System Annual Passenger Trips3 Broker's Base Annual Fixed Fee Avg. Monthly OTP Rate East Bay Paratransit Oakland, CA (Sponsored by AC Transit and BART) Valley Metro Regional Public Transportation Authority (RPTA) Phoenix, AZ 1,022,000 396,000 181,188 Access Seattle, WA (Sponsored by King County Metro) Avg. Monthly Passenger Trips Per Revenue Hour (Productivity) 1.83 $33,422,713 $504,132 95% 13.9% 1.09 $6,200,000 1,087,188 1,971,652 90% 8.3% 1.61 $42,516,119 300,000 1,209,543 94% 4% 2.61 $36,500,000 647,594 1,020,331 93% 7.15% 1.78 29,659,708 121,400 ACCESS Paratransit, Pittsburgh, PA (Sponsored by Port Authority of Allegheny County) Peer System Averages 93.3% Avg. Monthly Passenger No-Show Rate 2.4% 144,180 95% 3.8% 1.75 4 $2,880,356 NCTD/ALC 3 APTA Public Transportation Report: "Trips thru December 2011. http://www.apta.com/resources/statistics/Documents/Ridership/2011-q4-ridership-APTA.pdf 4 Data denotes the productivity rate average for the month of March and April, 2012. 42 Annual Paratransit Operating Expense Paratransit Operations Audit Report 12.3 Cost/Reasonableness of Service Based on results obtained from the peer review, the audit team compared and contrasted ALC's performance with the selected peers who operate a brokerage model with elements similar to NCTD's paratransit program. An analysis was conducted of the cost of services provided and the audit team evaluated the reasonableness of the costs for the amount of service provided. Subcontractors' Average Cost per Trip East Bay Paratransit (Veolia) Broker's Cost Per Passenger Trip $32.70 Valley Metro (Total Transit) $24.99 King Co. Metro Access (First Transit) $44.52 Port Allegheny Access (Veolia) $19.22 Peer Average NCTD (ALC) $30.36 $23.73 Broker's Base Annual Fee and Annual Passenger Trips East Bay Paratransit (Veolia) Broker's Base Annual Fee $396,000 Valley Metro (Total Transit) 504,132 Annual Passenger Trips 1,022,000 181,188 King Co. Metro Access (First Transit) Peer Average NCTD (ALC) 1,971,652 Port Allegheny Access (Veolia) 1,209,543 1,020,331 $144,180 1,087,188 300,000 647,594 121,400 Group Trip Payment East Bay Paratransit (Veolia)* Reimbursed policy for group trips Valley Metro (Total Transit) King Co. Metro Access (First Transit)* Port Allegheny Access (Veolia)* NCTD (ALC) Broker and providers are paid on a revenue hour basis and not by the trip. Broker and provider are reimbursed for one trip Broker and providers are paid on a revenue hour basis and not by the trip. Broker and providers are paid on a revenue hour basis and not by the trip. Broker and provider are reimbursed for one trip * Broker is paid based on a vehicle per revenue hour rate and not by trip. Thus, the cost for a group trip is the same as an individual trip. 43 Paratransit Operations Audit Report 1. East Bay Paratransit - AC Transit and BART sponsor paratransit services under the East Bay Paratransit Consortium. As broker, Veolia Transportation operates ADA paratransit certification and operates the call center utilizing 30 employees. Veolia Transportation provides compliance oversight for three (3) service providers using dedicated paratransit vehicles. Veolia uses Stratagen scheduling and reservations software, which enables monitoring of pickups and drop-offs. Cost Factors: East Bay Paratransit is a cost-reimbursed fixed-fee contract. As the broker, Veolia pays its three (3) service delivery providers an average of $32.70 per revenue hour. If the broker achieves on-time performance that greater than 93%, the broker is paid an incentive. Service delivery providers are paid by the hour on a gate-to-gate basis according to vehicle type. A sedan is paid a lower rate. 2. Valley Metro Regional Public Transportation Authority - Valley Metro RPTA began operating its brokerage model paratransit operation on November 1, 2010 and expanded the service on July 1, 2012 to include the East Valley Dial-a-Ride (EVDAR) operation. Total Transit is projected to provide 181,200 passenger trips annually. As broker, Total Transit provides reservations, scheduling and dispatch and operates 50% of the paratransit service. Total Transit has 18 call center employees dedicated to the EVDAR service, and uses RAMMS scheduling software. Each subcontractor has its own scheduling and dispatch system. Cost Factors: Total Transit operates 50% of the service and subcontracts the remaining 50% to six (6) local providers. The broker's flat monthly fee is $42,011 and the average cost per trip is $24.99. 3. King County Metro ACCESS - As the broker, First Transit operates the call center and subcontracts service delivery to two (2) providers; Veolia and Solid Ground, which is a nonprofit agency. The providers deliver geographically-based service. Veolia provides 64% of the service and the remaining 36% of the service is provided by Solid Ground. First Transit uses Trapeze scheduling software, which generates operational and performance reports. Cost Factors: King County Access is the largest paratransit operation among the four peers in terms of annual passenger trips provided. ACCESS paratransit operation also has the highest annual operating expense at 42,516,119. For transfers, ACCESS uses a "holding van" at a cost of $457.55 per month. The purpose of the holding van is to ensure that passengers are not unattended while waiting to transfer to the fixed route system, and to provide shelter from environmental elements. 44 Paratransit Operations Audit Report 4. ACCESS Paratransit (Pittsburgh) - ACCESS is sponsored by Port Authority of Allegheny County and is operated by Veolia Transportation, who operates the call center and provides reservations, scheduling and dispatch utilizing Trapeze scheduling software. Veolia Transportation provides ADA paratransit certification and demand response service for seniors over 65 years of age. Cost Factors: Veolia Transportation subcontracts service delivery to seven (7) providers, who perform 300,000 passenger trips annually. The broker has an option to earn up to 10% in incentives based on performance. ACCESS has the highest productivity rate of all of the peers at 2.61 average monthly trips per passenger hour. The broker and subcontractors are paid on a revenue hour basis and not by the trip. This may encourage more effective use of group trips to achieve improved productivity. Summary of Cost Reasonableness of Service The audit team reviewed four (4) peer paratransit brokerage models with elements similar to NCTD'paratransit service. The following factors were examined to compare cost reasonableness: ? ? ? Broker's Base Annual Fee Annual Passenger Trips Subcontractors' Average Cost Per Trip Brokerage Fee Based upon the number of annual passenger trips, and the scope of the brokerage service, ACCESS of Seattle, Washington has the highest brokerage fee at an annual cost of $1,971,652. NCTD's brokerage fee is the lowest at a cost of $144,180 annually. Valley Metro RPTA's paratransit operation is similar to NCTD in terms of annual passenger trips and its annual brokerage fee is $504,132. Annual Passenger Trips As the peer that has the most similarity to NCTD, RPTA provides 181,191 annual passenger trips and NCTD provides a total of 121,400 annual passenger trips. Cost Per Trip The audit team reviewed overall cost per trip, including brokerage fees. NCTD's average cost per trip of $23.73 ranks on the lower end of the cost scale. Conclusion NCTD's cost of providing ADA paratransit service utilizing the brokerage model is reasonable compared to the other four (4) peers who operate brokerage models with elements similar to NCTD's paratransit operation. 45 Paratransit Operations Audit Report 12.4 Review of Best Practices and Industry Standards The audit team examined best practices of peer paratransit systems that represent methods or techniques that have consistently shown results superior to those achieved with other means. Best practices for the following key areas have the potential to enhance NCTD's quality of service: ? ? ? ? Performance monitoring, oversight and quality assurance No-shows and late cancellations On-Time performance and trip negotiations Vehicle maintenance oversight of subcontractors A. Performance Monitoring, Oversight and Quality Assurance East Bay Paratransit has notable performance monitoring and oversight initiatives to enhance compliance with its paratransit brokerage contract. Oversight of the contractor and subcontractors is accomplished through the use of road supervisors who perform un-announced spot checks to assess vehicles' condition, and drivers' appearance. AC Transit and BART contracts with a research firm to conduct rider satisfaction surveys and riders are encouraged to provide feedback on driver courtesy, ADA compliance, on-time performance, etc. via the transit agencies' website. Service is also monitored through the use of Mobile Data Terminals (MDT), and the Automated Vehicle Location (AVL) system. All four peers use performance monitoring that included field observations, site visits and GPS/AVL technology. B. No Shows and Late Cancellations East Bay Paratransit has an average no-show rate of 2.4%, which is the lowest of all of the peers including NCTD's no-show rate of 3.8%. Canceling a trip less than one hour before the scheduled pick up carries the same penalty as a no-show. The basic penalty for no-shows and late cancellations is a 30-day suspension of service after six no-shows or late cancellations in a calendar quarter. Customers are warned in writing when they accrue four (4) no-shows or late cancellations in a quarter. If a customer is suspended and then continues to show a pattern of noshows or late cancellations after the original suspension has ended, the customer may be subsequently suspended for longer periods, as shown below: East Bay Paratransit Period of Suspension 30 days 60 days First suspension Second suspension* Third suspension* Fourth suspension* 90 days Indefinite pending demonstration that behavior can and will be changed. Minimum 90 days *Within two years of the previous suspension 46 Paratransit Operations Audit Report C. On-Time Performance and Trip Negotiation NCTD could enhance the quality of service by adhering to the ADA's guidelines regarding trip negotiation as follows: The ADA allows transit agencies to negotiate pickup times with an eligible rider; however, the transit agency cannot require the rider to schedule a trip more than one hour before or after his or her desired departure time. This is called the scheduling or negotiation "window." It is important for transit agencies to consider the overall travel needs of riders when implementing the one-hour scheduling window. For example, if a rider indicates that she needs a ride home from work, gets off work at 5 p.m. and requests a 5:15 p.m. pickup, the appropriate one-hour scheduling window would be from 5:15 p.m. to 6:15 p.m. It is not consistent with the DOT ADA regulation to offer only pickup times that would require a rider to leave work early. Similarly, if a rider indicates that she needs to be at work by 9 a.m., it would not be correct to offer a pickup time that would require the rider to arrive at work late. FTA has addressed the importance of using the one-hour scheduling window correctly. For example, in an ADA compliance review, FTA stated: "Suggesting a 4 p.m. pickup knowing that the person works until 5 p.m. would not be in keeping with the concept of comparable service." Similarly, offering a 9 a.m. pickup if a person requests an 8 a.m. ride to get to work by 9 [a.m.] would not be in keeping with the concept of comparable service." D. Vehicle Maintenance Oversight of Subcontractors Our research shows that the best practice for vehicle maintenance include a combination of the following approaches: 1. Vehicle maintenance compliance with the contract requirements. 2. Vehicles are maintained in accordance with manufacturer's requirements based on the different types of non-dedicated vehicles that provide paratransit service. 3. High percentages (25-40%) of vehicles receive physical mechanical inspections conducted by the transit agency/broker annually, which includes an inspection of maintenance records. 4. All subcontractors' vehicles and maintenance records are available for inspection upon request by the transit agency. The contractor maintains records of monitoring results and makes quarterly reports to the transit agency through the broker. 5. Brokers track road calls of subcontractors that require re-assignments of trips. Liquidated damages are assessed for failure to cover an assigned run. Our research also shows limited use of Vehicle Maintenance System (VMS) technology used for reporting daily and weekly vehicle maintenance performance of subcontractors. 47 Paratransit Operations Audit Report 13. SUMMARY OF FINDINGS AND OBSERVATIONS This chapter summarizes the findings made as a result of the review. The findings do not necessarily denote deficiencies, but are statements of observations made at the time of the paratransit audit. The bases for these findings and observations are addressed in other sections and should be used by NCTD for any proposed corrective action. A. Contractor's Obligations 1. In accordance with the LIFT Paratransit Services Agreement (11009-OS) between NCTD and ALC, ALC is responsible for managing all operations and maintenance of the paratransit service. To achieve this, required personnel includes an operations manager safety and training manager, call center/dispatch supervisor, vehicle maintenance manager, and assistant operations support manager. 2. Based on the audit team's observations, and interviews with NCTD staff and ALC corporate representatives, ALC has two local staff assigned to the project that also have responsibilities for a contract with a local school district. These individuals are not dedicated personnel assigned solely to provide oversight for the LIFT paratransit service. B. Reporting Requirements 1. ALC is required to maintain all data and records requested by NCTD and ensure monitoring of service levels, maintenance and operations activities related to the LIFT paratransit service. The required reports must be submitted to NCTD in hard copy and electronic formats and include weekly operational performance reports, monthly reports, quarterly reports, annual reports and FTA reports such as the National Transit Database (NTD). The audit team was not provided copies of any ALC reports to evaluate compliance with the reporting requirements of the agreement C. Driver Selection Criteria 1. ALC is required to maintain a level of drivers sufficient to meet service level requirements. Drivers for the LIFT operation must pass screening for basic requirements outlined in the agreement, employment experience, background checks, and other operator requirements and responsibilities such as a valid California's driver's license, and pre-employment drug testing. The local ALC team was unavailable throughout the audit and the review team was not provided the opportunity to review driver records to evaluate compliance. 48 Paratransit Operations Audit Report D. Training Requirements 1. Drivers are required to be fully trained and qualified to operate vehicles for NCTD's LIFT paratransit service, and ALC is required to implement all aspects of its approved Training Program throughout the term of the contract. All ALC employees and subcontractors are also required to complete the Training Program including road supervisors, vehicle operators and dispatchers. The audit team was unable to confirm compliance with the training requirements due to the absence of ALC's local personnel during the audit. E. System Security and Emergency Preparedness 1. ALC is required to assign safety and emergency preparedness duties to a staff person. This individual is required to have sufficient training and experience to assist NCTD in coordination of emergency preparedness activities, write and amend ALC's supplement to NCTD's System Security and Emergency Preparedness Plan, and generate required reports. This staff person will also attend, on behalf of ALC, security group meetings with NCTD at NCTD's request. Based on the audit team's interview with NCTD staff and ALC's corporate staff, an ALC staff person was not assigned this function. F. Subcontractors' Oversight 1. ALC is responsible for ensuring that its subcontractors are provide administrative and management arrangements for control, driver check-in and supervision, trip assignment, communications, reporting and quality control. ALC must also ensure the qualifications and experience of the proposed non-dedicated service providers, and obtain a staffing and training plan for ensuring that drivers operating non-dedicated services meet the qualifications and receive equivalent training outlined in the RFP. All trips served by subcontractors must comply with DOT, FTA, CHP, NCTD and local regulations, guidelines and service quality standards. 2. Subcontractors' drivers must have a random fitness-for-duty inspection each week; 100% of all subcontracted drivers must have at least one fitness-for-duty inspection each month. The audit team did not see any evidence that this requirement is being complied with. G. Drug and Alcohol Regulations ALC is required to comply with all applicable FTA Drug and Alcohol regulation requirements including its subcontractors or contracted taxi operators. The audit team was not provided the opportunity to review the drug and alcohol testing records of ALC. 49 Paratransit Operations Audit Report H. Required Meetings 1. ALC operations manager/project manager is required to assist NCTD-related community relations by attending ADA-related NCTD Board and Executive Committee meetings when requested, and NCTD ADA Review Group meetings as requested. ALC is also required to submit to NCTD the safety meeting agenda and minutes, including corrective actions taken as a result of items identified. Based on the audit team's interviews with NCTD staff, safety meetings are not being conducted by ALC and meeting minutes are not being provided to NCTD. 50 Paratransit Operations Audit Report TRANSIT DISTRICT Attachments 51 Paratransit Operations Audit Report Attachment A Paratransit Audit Checklist 1. Contractor's General Obligations Compliant NonCompliant NA Comments ALC manages all operations, maintenance ALC's key personnel include Operations Manager, Safety & Training Manager, Call Center/Dispatch Supervisor, Vehicle Maintenance Manager, Assistant Operations Support Manager ALC fills any vacancy in key position within 60 days of the date of the vacancy ALC's Operations Manager has full responsibility for performance of work, act as agent, single point of contact in all ALC matters Changes in personnel are not made without prior written notice to and consent by NCTD ALC has a Contingency Staffing Plan in the event of strike, work stoppage 2. Reporting Requirements Submit within 45 days after NTP Compliant NonCompliant Immediate ? ALC notifies NCTD immediately (within 15 minutes) of vehicle accident in which revenue, support or private vehicles need towing; fatalities or physical injuries, service interruption on a route resulting in more than 1 trip being cancelled ? ALC provides specific details of accident or incident within 2 hours from time NCTD was originally notified 52 NA Comments Paratransit Operations Audit Report Weekly ? ALC submits operational performance of the system for the preceding week including actual number of passenger vehicle trips operated, revenue hours, total hours, revenue miles, total miles, total passengers transported, productivity, number of early, late and missed trips Reporting Requirements (Cont.) Compliant NonCompliant NA Comments Monthly ? Provide management level reporting to NCTD monthly that includes level and quality of service provided ? Submit monthly report that includes a compilation of operational information in weekly reports, description of compliance with ontime performance and passenger vehicle trip completion requirements, calculation of ridership for the month, ? Summary of key maintenance activities for vehicles, summary of training activities, description of any warranty enforcement issues ? List of current employees, any safety or security issues, major incidents. Include operational data, fleet maintenance data Quarterly ? Turn in quarterly monthly Medi-Cal billing statements ? Submit to NCTD information of DBE activity ? Obtain quarterly list from Medi-Cal for approved Medi-Cal sites. See attachment J Quarterly drug & alcohol report Was NTD Report submitted? See Attachment J (LDs); include subcontractors 53 Paratransit Operations Audit Report Annually ? EEO Affirmative Action Report ? FTA Reports (NTD) ? Annual Operations Report 60 days after the end of each year of the contract term (May 1) that summarizes the key issues and achievements during the prior year; identifies major operations and maintenance issues to be addressed in the coming year; identifies past of anticipated safety or security issues 3. Required Meetings ? Bi-weekly NCTD meetings ? ADA Advisory Committee Meetings ? Quarterly Claims Review Meetings 4. Computer and Technology Requirements Was Annual Operations Report submitted? Copy. Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Input current LIFT customers and operations databases into scheduling software Provide telephone equipment with automated call distribution capability and ability to generate telephone system performance reports; digital display that tracks number of calls on hold and length of time on hold Recorded hold message and instructions in English and Spanish Provide TDD/TYY dedicated line and training 54 Paratransit Operations Audit Report Provide staff and dedicated line with 1 roll-over line for customer calls pertaining to late vehicles (that have not arrived within the pickup window) Provide cell phones to key staff and road supervisors Provide communications system, inoffice dispatching station, hand-held mobile radios for road supervisors and maintenance of equipment 5. System Security and Emergency Preparedness Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Provide staff person dedicated to safety, system security and emergency preparedness Conduct a self-audit on safety, security and emergency preparedness on an annual basis; participate annually in NCTD audit, based upon APTA Bus Safety Management Program checklist 6. Transfer Policy Works with San Diego MTS and OCTA for convenient and timely transfers Provide transfer points protect riders from the weather Provide intra-service area transfers on very long trips (from 1 LIFT vehicle to another) with trip-by-trip enforcement Ensure that transfers are made to/from other service modes as necessary Work with NCTD staff to determine riders' frequent trip patterns 55 Paratransit Operations Audit Report 7. Operating Performance Standards Compliant NonCompliant NA On-Time Performance ? Vehicle arrives within 20-minute pickup window for advanced trip requests. OTP for all other services is 95% of passenger vehicle trips ? No Show and Late Cancellations ? ALC achieves a monthly no-show & late cancellation rate of under 2% Comments (Note: 1 minute past the scheduled pickup window is late) Trip Denials ? ALC schedules all trips & has no denials Telephone Hold Time ? Calls do not have hold times that exceed 3 minutes 95% of call must not exceed 3-minute hold time, or only 5% can exceed 3minute hold time Complaints ? Respond to complaint/comment within 3 working days (non-critical); 24 hrs (critical). Complaint ratio is 1 valid complaint or fewer for every 1,000 passenger trips. Ratio does not exceed 1-1/2 valid complaints in a single month 8. Vehicle Operator Selection Criteria ? No more than 2 moving violations or chargeable accidents within previous 2 years ? Criminal background check; no felony convictions within past 7 years; re-check every 2 years ? Motor Vehicle Record (MVR) Report ? Valid State of CA driver's license; type/class as required per vehicle type being operated ? Employment experience; complaints ? Compliant NonCompliant Negative drug & alcohol preemployment screening test NA Comments Drug and alcohol test results from previous DOT agency employer 56 Paratransit Operations Audit Report Taxicab Drivers ? Complies with San Diego Co. Sheriff's Office requirements for receiving a taxi cab ID card Non-Dedicated Vehicle Operators (Vehicles Used Other than Taxicabs) ? Adheres to all applicable regulations of the CA Public Utilities Code (PUC) and the CA Vehicle Code ? Valid Driver's Certificate for the Developmentally Disabled 9. Dispatcher Obligations Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Continuously monitor service during all hours that ALC vehicles are out of the yard Proficiently trained in the operation of Trapeze-Pass Available on a daily basis from the time the first vehicle leaves the yard until the last vehicle returns to the yard 10. Scheduler/Router Obligations Review, refine, and adjust all run start/end times & trips scheduled to those runs prior to the service day Initiate call-back of LIFT passengers as needed to adjust scheduled services Review maintenance and scheduling of subscription trip requests and advance reservation trip requests into efficient vehicle runs that maximize productivity Subcontract to taxis (or non-dedicated service) trips that do not fit onto run schedules or that adversely affect productivity 57 Paratransit Operations Audit Report Schedule 320 advance reservation trips per weekday and approximately 50 advance reservations trips per day on Saturday, Sunday, and holidays Provide NCTD with a mechanism to monitor all scheduling activities on a real time basis 11. Reservations Center CSA's Obligations Description. Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Telephone system (including a TDD/TTY) staffed by supervisor and telephone operators/dispatchers available for customer service calls from 5am - 8pm 7 days /week System is able to identify a trip as either eligible or ineligible based on associated FR that is tied to the passenger's origin or destination At least 1 reservation agent or supervisor who can speak Spanish fluently is on duty during all reservation hours 12. Road Supervisor Obligations Road supervisors are on duty for addressing service problems, emergencies, scheduling issues, assisting dispatch personnel Road Supervisor Obligations (Cont.) Supervisors are equipped at all times with mobile communications equipment that allows direct communication with Dispatchers Supervisors perform fitness for duty inspections on at least 25% of operators per week with every operator being inspected at least once per month Describe fitness for duty process Ensures adherence to schedules, assist passengers, communicate with Facilities & Revenue Vehicles, assist in accident response & investigation, conduct schedule adherence checks, conduct onboard ride checks 58 Paratransit Operations Audit Report 13. Training & Other Requirements Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Vehicle Operators ? Vehicle operators wear professional attire, ID badges ? Defensive and safe driving ? ADA sensitivity ? Operational procedures relating to NCTD's ADA Paratransit Service ? Thorough knowledge of service area/street network ? Training is not conducted during peak service hour periods at the expense of providing on-time revenue service ? Annual refresher training Vehicle Mechanics ? Adequate mix of skills to maintain and service all revenue & support vehicles ? Maintenance personnel is maintained by skill level category and number in the Staffing and Personnel Plan ? All mechanics are Safety-Sensitive ? Training for all maintenance personnel is commensurate with vehicle type they service ? Working knowledge of scheduling and dispatch software Training Requirements (Cont.) Dispatchers ? Communications procedures and protocol ? NCTD rider & operating policy ? DOT and NCTD emergency action plan implementation strategies ? Customer courtesy & problem resolution ? Accident/incident procedures 59 Paratransit Operations Audit Report ? Transit security and incident command system procedures ? Local geography familiarization Field Supervisors ? NCTD's rules/regulations ? Routes, schedules ? Emergency procedures ? Safety ? ADA requirements ? Reporting protocols 14. Drug & Alcohol Compliance Program Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments Compliant NonCompliant NA Comments ALC complies with FTA's testing requirements in 49 CFR Part 40 and Part 655 and NCTD ? Pre-employment screens include both drug & alcohol ? ALC performs 50% random drug testing on all safety-sensitive positions; 30% random alcohol for drivers; 10% random alcohol for dispatchers & mechanics 15. Vehicles Maintains an adequate fleet wide spare ratio Wheelchair lift operate properly on all lift-equipped vehicles 16. Vehicle Maintenance Respond to in-service failure or interruption of a revenue vehicle within 30 minutes Vehicle is washed at least 2 times a week 60 Paratransit Operations Audit Report All subcontracted vehicles have NCTD/LIFT placards visible to passengers Vehicle receive daily pre-trip inspections by operator prior to being placed in service and at each change in operators Each revenue vehicle receive regular weekly inspection Contractor provides automated Vehicle Maintenance Management System (VMS) to record, monitor, report Revenue and Support Vehicle maintenance, inspections, parts utilization, fueling and repair activities 17. Equipment Compliant NonCompliant NA Comments Generator or battery backup system in the event of power failure Date: Acknowledgement:: I acknowledge that the above audit is true and correct and that I have reviewed the records stated herein. Reviewer's Name: Reviewer's Signature: 61 Paratransit Operations Audit Report Attachment B North County Transit District (NCTD) Paratransit Audit Schedule Monday, June 18 - Friday, June 22, 2012 Mon. June 18 8:00 a.m. Opening Meeting and Audit Overview - NCTD Administrative Office 810 Mission Avenue, Oceanside, CA 11:30a.m. Meeting with NCTD Staff (Planning, Operations and Contract Maintenance) 12:30 p.m. Lunch 1:30 p.m. Meeting with ALC Local Team To Examine Review Areas Below: * ? Driver Records ? Training Records ? Drug and Alcohol Testing Program ? Vehicle Maintenance Files ? Key Performance Indicators *ALC local team was absent throughout the audit. The schedule was revised to reflect this change. Information required for the audit was not made available to the audit team for review. Tues. June 19 8:30 a.m. Review of NCTD LIFT Policies and Procedures Conference Call with FTA Set Up Mystery Rider Review NCTD's Draft Rider's Guide Conduct No-Show Policy Peer Review 11:30a.m. Meeting with NCTD Staff (Quality Control) Review Subscription Service Trips for Field Observations 1:30p.m. Site Visits, Field Observations and Key Activity Centers Wed. June 20 9:00 a.m. Meeting with ALC Corporate Representatives NCTD Administrative Offices 11:00 a.m. Meet with NCTD Staff 12:30 p.m. Lunch 1:30 p.m. Site Visits and Field Observations and Key Activity Centers 62 Paratransit Operations Audit Report Thurs. June 21 8:30 a.m. Mystery Rider Preparation and Training 12:30 p.m. Lunch 1:30 p.m. Site Visit of NCTD Operating Facilities Fri. June 22 8:30 a.m. Mystery Rider Audits/On-Board Service Quality Monitoring Mon. June 25 8:30 a.m. Mystery Rider Audits/On-Board Service Quality Monitoring 12:30 p.m. Lunch 1:00 p.m. Meeting with NCTD Staff (Contract Administration) 3:30 p.m. Exit Meeting with NCTD Staff 63 Paratransit Operations Audit Report . Attachment March 2012 LIFT Performance Report NCTD NCTD Summary Report of the LIFT and FLEX Service Contract with ALC For the month of March 2012 Key areas; 0 LIFT On Time Performance Monitoring: The established goal is 93% for each service day. 2 days fell below established OTP goals totaling 73 trips. LD's of $1,825.71 will be applied for this month. An additional LD of $222.70 will be applied for 10 trips exceeding the 30 minute pick-up window on days that fell below the established OTP. FLEX On Time Performance Monitoring' The established goal IS 95%. Combined OTP for FLEX in the Month of March was 96.13%. LIFT Vehicle Trip Completions' 10,635. FLEX Vehicle Trip Completions: 895 Total Passengers for LIFT: 11,395. Total Passengers for 895 Initial in Service Vehicle inspections: 0 Total Vehicles in the LIFT program: 74 Customer Service Complaints; 16 total for the month including one compliment. No LD's apply. 0 In Field Observations: NCTD staff completed 24 observation inspections for the ACL contract. Cost of LIFT Maintenance for Vehicles owned by NCTD for the month: $2933.10 0 Cost of FLEX Maintenance for Vehicles owned by NCTD for the month: $2270.22 0 Accidents. Summary of reported LIFT and FLEX passenger and vehicle related accidents attached Items of concern; - Item of Note: OTP continues to be a point of concern, Staff is working with ALC as well as local agencies such as PWI and ARC to ensure timely drop off/pick-ups. 64 NORTH COUNTY TRANSIT DISTRICT 6.33.. 92.2 u3.S 353' . L..mm.2 32: S: 213 m8.S ~39 . 5.22 32:90. an?oumo Bnofio .onE_3aom_ . o8lull. o8.m L:fl.w 02.2 o8.d cfias. :82. Etna BS8 2 b. .2 1 65 NORTH COUNTY TRANSIT DISTRICT _128..m$.S memo ~95 Rod ~32 . 5.5.2 595800 .onEm>oz .onE2nom . a . . I I IOIU IIo8.3 ..om:omma._ ?9.52 :83. 35.8 3 2 I. I 66 NORTH COUNYY TRANSIT 5 rqovmxm 38.3 32.8! 38.3 um 50 nsouva nEw>oz 8 nswfimm SEE taacmq .325 o.o .. . 0.80.9 0.08.00 38.8 .2 . .. o.8o.oS mo__S_ gens. :83. trio :23 3.Paratransit Operations Audit Report . Attachment April 2012 LIFT Performance Report NCTD Summary Report of the LIFT and FLEX Service Contract with ALC For the month of April 2012 Key areas; LIFT on Time Performance Monitoring: The established goal is 95% for each service day. 23 days fell below the established OTP totaling 881 trips. of $3,083.50 will be applied for this month. 0 FLEX On Time Performance Monitoring; The established goal is 95%. Combined OTP for FLEX in the Month ofApnl was 96.21%. LIFT Vehicle Trip Completions; 10.311. - FLEX Vehicie Trip Completions: 726 Total Passengers for LIFT: 11.117. -- 0 Total Passengers for FLEX: 726 initial Vehicle inspections: 8 Total Vehicies in the LIFT program: 77 Customer Service Complaints: 21 total for the month lnciuding 3 for FLEX and 18 for LIFT. in Field Observations: NCTD staff completed 30 observation inspections for the ACL contract. 0 Cost of LIFT Maintenance for Vehicles owned by NCTD for the month: $2157.52 0 Cost of FLEX Mahtenance for Vehicles owned by NCTD for the month: $2981.42 0 Accidents: Summary of reported LIFT and FLEX passenger and vehicle related accidents attached. items of cggcemg item of Note: Customer complaints are up for the month of April as well as OTP has plummeted. Staff is continuing in field observations at PWI in Oceanside and ARC of San Diego located in San Marcos due to increased service related complaints. 68 NORTH COUNTY TRANSIT DISTRICT 9.3.2 ?53. - 2. 3 an: E22 818 Sad 22: n8.: xx. 532 Emacs. .3533 ..SEv>o2 _|WnoUo . . o8.~ Sod II . 'llf hula -1 if o8.S a I I 83: 35 floucommaa :83. Ecm: 3.58 km rl 69 COUNTY TRANSIT DISYRICT 33.3 .Swo.8 u.2.w.m.I?mu_ 983m' m.u8.mm 38.8 38.3 38.? 9843 33.8 . . .5 :82: Easing 32.62 DE.fi>Av2 509050 2. I 980.8 o.8o.9. 38.8 38o.8o.o2 o.8o.oS 3_=2 .23 :82. Esme swam: 3.NORTH COUNTY TRANSIT DISTRICT 5.52.. .28 .53 cans. 33:2 Baeoumo .unEu>o2 .385 :83. Egg 52.3 3.58 4 rm 71 Paratransit Operations Audit Report - I Attachment May 2012 LIFT Performance Report NCTD Summary Report of the LIFT and FLEX Service Contract with ALC For 111: nzlonth ofMay 2011 Hey areas; - on Time Perfiorrnanoe The eetebuliehecl goal is 95% tor each service day. Eli days. fell? below the eslalulia-trod toteiing 12fl:E| Iripe. LITE of $4,223-00 he applied for this month. FLEI Cm Time Perlonnenoe Monhodng: The goal P3 95%. corn bined DTP for FLEX in lhe l'u'|oI1th ofJ5.pril was 96.95%. LIFT Vehicle Trip Con'IpIal:ions: 11,105 FLEX Vehicle Trip Completions: T26 Total Passengers for LIFT: 12.094. Total Passengers for FLEI: Initial vehicle Inspections: Total Vehiodee in the IJFT ram: 33 Customer Eenrioe complaints: 12 In Field Clhsaru-atione: NCTD eta-ff oompleteo 29 oheer-ration inspections for the ACL oonlraet. Cost of LIFT lflelmeneooe for Vehicle: owned by HCTD forth: month: $2021 .91 - Coat of FLEJIE Mai ntenanoe for Vehicle: owned by HCTIZI for the roonthr 5351-6.3-cl - Acaeidents: summary of reponed LFFT and FL E3: passenger and vehicle retated aooiderrls elIao|1ecl_ heme of 0 VI-lily.-no - Item ofhlote: CITF oontlnuee to piurnrneI'_ Staff is oonfinulng to work doeely with ALI: to DTP. 72 NORTH COUNYY TRANSIT 5 mini 33.. 3.: wall Rafi 1: man: 813 23.. E12 .3. >22 :82: Bunion. Emacz. .anEu>oz o8toawm Bcsou NORTH COUNTY 3 TRANSIT DISTRICT 74 npuz SH Ra 3 3 ~3 m3 om~ 33.6 9: so mom So mam (dullm3.S Sada m$.2 mead ~95 Sad wull. . . 553. banana .3 . O86 . . . 898ogoucomnom n. .9 >22 I :38. Bcaou ?82 a NORTH COUNTY TRANSIT DISTRICT 336 own? Q83 . >u 2 6:5 Emacs. 5 9:88 2:262 >22 toga: 8_.zm_o >E:Paratransit Operations Audit Report Attachment F Customer Service and Mystery Rider Checklist 76 Paratransit Operations Audit Report NORTH i TRANSIT DISTRICT NCTD Paratransit Reservations 3. Mystery Ride.-r Checklist 1'1 . was euurtenus and efllelent saumacmry 0 MA |3I:rn'In'IeI'4:- I. I 12. Scheduling a was easy and eustulner-friendly I0 rut Safety and Driving Skills opnaralinrl nf vehicle 13. Driver used seat belt wlille nperntirlg vehicle 0 5a1Ia1a:c:targ.I C: an I 'Id. refrained frame using eefl plume er ether pereenel electronic device while operating the vehicle 0 suisaacuury unsaustancnv 0 run 15. Driver refrained from talking with passenger: while the vehicle 0 Saliara-:1nrga IO HJI. 16. llrlier epereted vehicle at pasted speed gnud speed euntrel rm 1 Driver refrained from smelting Inside at the vehicle 0 saqiaranury Ch tlnaafialacallanr rm 77 Paratransit Operations Audit Report NCTD Paratransit Reservations Mystery Rider Checklist ADA Compliance Adherence to Americans with Disabilities Act (ADA) taw 18. Driver permitted service animal to accompany person with disabilty onto the vehicle unaatidactory 0 NA Comments 3 I 19. Wheelchair functioned when needed 0 smcactocy Unsalislacaory rm Garments I "7 20. Driver properly used equipment and securement devices 0 Satisfactory Unsatistataow 0 NA Driver Courtesy 8. Passenger Relations Overall courtesy 21. Driver greeted passenger In a courteous and pleasant tone 0 Satisfactory Unsatrsfaciory 0 NA Comments I 22. Driver answered customers' questions 0 Satisfactory Unsabsiactonr NA Corrments If" 1 23. Driver provided customer assistance upon request 0 0 Unumstactory 0 NA Comments I A -- -- Fare Collection 78 Paratransit Operations Audit Report 'gig: NCTD Paratransit Reservations Mystery Rider Checklist Proper fare collection techniques and idenuficetion of short fares. 24. Each customer peld the correct tare or presented a walk! fare card sansracxory Unsstishuory NA Corwnenls vs 2 Vehicle appearance Overall appearance of vehicle 25. Vehicle lnterlor ls clean and tree of trash 3-mslauluy NA I 28. Vehicle exterior ls clean and free of slit and grime 0 saastaaonv 0 Unsuishctory 0 NA Comments 7 27. Vehicle's Interior has no unpleasant smells or oflenslve odors Sabofaotory unuustacmry NA Comments I -l Overall comfort of vehicle 28. Vehlc|e's temperature ls corntortable and not too hot or cold 0 Sauslacwfv unuosracmry NA Commons . Drlver Appearance Overal professional appearance of driver 79 Paratransit Operations Audit Report taggi: NCTD Paratransit Reservations 8. Mystery Rider Checklist 29. Drive: has professional appearance and ID hedge is visible 0 NA On-time Performance Timeliness of service 30. Pickup was on-tllne and took place within the 20-minute window Satisfactory Unaausbaory 0 NA Comments I. - 31. Dropofl took place at the requested time and travel time was not excessive Sabsfaaory Unsatisfactory 0 NA Comments I 3 32. Driver displayed NCTD LIFT placard when picking up and <