EEO & COMPLIANCE DEPARTMENT CSOPs - … Library/goHART/pdfs/SOPS/eeo...EEO & COMPLIANCE DEPARTMENT...

EEO & COMPLIANCE DEPARTMENT CSOPs

NUMBER REVISION

NUMBER

DOCUMENT NAME EFFECTIVE DATE

ORIGINAL SIGNED

(Y/N)

ORIGINAL FILED (Y/N)

CSOP-0001 Equal Employment Opportunity Program / Affirmative Action Plan Administration (former ASOP-EE01)

4-2012 Y Y

1 Equal Employment Opportunity Program / Affirmative Action Plan Administration

9-2013 Y Y

2 Equal Employment Opportunity Program / Affirmative Action Plan Administration

1-7-2015 Y Y

CSOP-0002 Title VI Program Administration (former ASOP-Title VI)

4-24-2012 Y Y

1 Title VI Program Administration 11-20-2013 Y Y 2 Title VI Program Administration 2-27-2015

CSOP-0003 Public Records Request Program Administration (former ASOP-Public Records)

10-8-2012 Y Y

1 Public Records Request Program Administration 11-20-2013 Y Y 2 Public Records Request Program Administration 1-8-2015 Y Y

ASOP-DBE-01 Three Year DBE Goal Setting Procedure 9-2013 Y Y

SOP NUMBER REVISION EFFECTIVE DATE PAGE

CSOP-0001 1 January 2015 1 of 8

STANDARD OPERATING PROCEDURE HILLSBOROUGH TRANSIT AUTHORITY

EQUAL EMPLOYMENT OPPORTUNITY PROGRAM/AFFIRMATIVE ACTION PLAN

ADMINISTRATION REV DATE DESCRIPTION RLSE NO. INIT

1 08/07/2013

ADDITIONS TO SECTION 7.5 ON DISCRIMINATION COMPLAINTS;

NEW SECTION 7.7 ON EEO OFFICER CONCURRENCE FOR NEW HIRES,

PROMOTIONS; SOP NUMBER CHANGED FROM ASOP-EEO1 TO CSOP-0001

2 01/07/2015 7.7 UPDATE CONCURRENCE PROCESS AND ATTACHMENTS

Original signature on file in MDC ORIGINATED BY: _ __________

Marco Sandusky, Manager of EEO & Compliance Programs

DATE

Original signature on file in MDC REVIEWED BY:

Michael Stephens, Chief Business Enterprise and Safety Officer

DATE

Original signature on file in MDC APPROVED BY:

Katharine Eagan, Chief Executive Officer

DATE

1

SUBJECT: EEO PROGRAM/AA PLAN ADMINISTRATION

SOP NUMBER REV PAGE

CSOP-0001 1 2 of 8

TABLE OF CONTENTS

SECTION PAGE

1.0 SCOPE 3

2.0 PURPOSE 3

3.0 ABBREVIATIONS / DEFINITIONS 3

4.0 REFERENCES 3

6.0 RESPONSIBILITY 4

7.0 PROCEDURE 5

ATTACHMENT A – EEO/AA POSTING OF NOTICE

ATTACHMENT B – EEO/AA ACTIVITIES “CHECKLIST”

ATTACHMENT C – EEO COMPLAINT FORM

ATTACHMENT D – RECRUITMENT FLOW CHART

2


SOP NUMBER REV PAGE

CSOP-0001 1 3 of 8 1.0 SCOPE

This Standard Operating Procedure (SOP) applies to all HART employees and provides specific direction to employees who administer the EEO/AA program.

2.0 PURPOSE

This SOP provides direction on the administration of HART’s EEO program/AA plan to ensure that HART meets the commitments of its program/plan, as developed in accordance with all applicable requirements.

3.0 ABBREVIATIONS / DEFINITIONS

TERMS/ ABBREVIATIONS DEFINITIONS

EEO Program

An Equal Employment Opportunity program establishes a strong company policy and commitment to equal employment opportunity. In the program, the company assigns responsibility and authority for the program to top company officials and analyzes the present workforce to identify jobs and departments where minorities and females are underrepresented. (source: FTA website)

AA plan

An Affirmative Action Plan is a detailed, results-oriented set of procedures designed to achieve prompt and full use of minorities and women at all levels and in all parts of the company’s workforce. (source: FTA website)

4.0 REFERENCES

REFERENCE TITLE DOCUMENT LOCATION / DC# / LINK HART EEO Program/AA Plan 2014-2017 EEO Program/AA Plan

49 U.S.C. Section 5332 Non-Discrimination

FTA Circular 4704.1 EEO Guidelines for Grant Recipients

49CFR Part 27

Non-discrimination on the Basis of Disability in Programs and Activities

Receiving or Benefitting from Federal Financial Assistance

Hillsborough County Human Rights Ordinance

Ordinance 00-37 Ordinance 14-30

3

http://connect/Compliance/Documents/EEO/2014%20EEO%20AA%20Plan%20final%20-%20072514.pdf

http://www.gpo.gov/fdsys/pkg/USCODE-2008-title49/pdf/USCODE-2008-title49-subtitleIII-chap53-sec5332.pdf

http://www.fta.dot.gov/documents/FTAEEOProgramGuidelines.pdf

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=e458ba72ff0eb660f8b70b4f7be6d124&rgn=div5&view=text&node=49:1.0.1.1.21&idno=49




http://www.hillsboroughcounty.org/DocumentCenter/Home/View/648

https://www.municode.com/Api/CD/Ordinances/14861/672045?forceDownload=true


SOP NUMBER REV PAGE

CSOP-0001 1 4 of 8

City of Tampa Human Rights Ordinance Ch. 12 Human Rights

HART Board Policy Manual 420.01 Equal Employment Opportunity

HART Employee Manual 1-1 Equal Employment Opportunity

Action Plan for Reporting and Monitoring Workforce Goals EEO Connect page

HR New Employee Orientation Procedure HR SOP

5.0 FORMS

FORM TITLE FORM LOCATION / DC# / LINK EEO/AA Dissemination-

List of where notice is posted Attachment A

EEO/AA Activities “Checklist” Attachment B

EEO Complaint Form Attachment C

6.0 RESPONSIBILITY

HART’s EEO/AA Officer is designated by the Chief Executive Officer and has primary responsibility for implementing the EEO program/AA plan.

HART’s Human Resources Department plays an important role in the administration of the EEO Program/AA Plan and is responsible for coordinating and monitoring HART’s efforts to hire, retain, and promote qualified employees.

All levels of management are responsible for ensuring that HART’s EEO policy statement and EEO/AA spirit, goals and objectives as outlined in the EEO Program/AA Plan are carried out.

This SOP further delineates responsibilities for carrying out various aspects of the EEO Program/AA Plan.

4

http://tampa-fl.eregulations.us/code/coor_appid430752_ch12_artii

http://connect/Executive/Documents/HART%20Policy%20Manual_110512.pdf

http://connect/HR/Documents/HART%20Employee%20Manual%202011-03.pdf

http://connect/compliance/Wiki%20Pages/Equal%20Employment%20Opportunity.aspx


SOP NUMBER REV PAGE

CSOP-0001 1 5 of 8 7.0 PROCEDURE

7.1 Development, Revision and Approval of EEO Policy Statement and EEO Program/AA Plan

A. In collaboration with HART’s Human Resources Department, the EEO/AA Officer develops and recommends HART’s EEO Policy Statement and the written EEO Program/AA Plan.

B. The EEO Program/AA Plan is updated and submitted to the FTA in accordance with their requirements, every three years or as major changes occur in the workforce or employment conditions.

C. HART’s Chief Executive Officer signs HART’s EEO Policy Statement and approves the EEO Program/AA Plan.

D. The “EEO/AA Activities Checklist” attached to this SOP will be used as a tool to ensure that activities that HART has committed to in its EEO Program/AA Plan are being carried out and documented.

7.2 Internal and External Communication/Dissemination of EEO Policy Statement and EEO Program/AA Plan

A. The EEO Program/AA Plan lists activities that HART will undertake to disseminate its EEO Policy Statement and EEO Program/AA Policy document.

B. A listing of the locations where the EEO Program/AA Plan is documented as an attachment to this SOP. These postings and other dissemination activities will be reviewed annually by the EEO Officer. The EEO/AA Activities “Checklist” attached to this SOP will be used as a tool to assist in conducting this review.

7.3 Monitoring and Reporting on Effectiveness of EEO Program/AA Plan

A. The EEO Officer produces a report that tracks HART’s AA Plan goals and progress based on data from the Human Resources Department. The HR department maintains a SOP that outlines the procedure for collecting this data.

B. The EEO/AA Officer reports to the Chief Executive Officer at least semi-annually on the effectiveness of EEO Program/AA Plan and accomplishments.

C. Implementation of the EEO Program/AA Plan will be monitored by the EEO/AA Officer who will conduct an annual internal review of the program. The purpose of this review is to ensure that EEO/AA activities HART committed to in the EEO Program/AA Plan are being carried out and properly documented. The EEO/AA Activities

5


SOP NUMBER REV PAGE

CSOP-0001 1 6 of 8

“Checklist” attached to this SOP will be used as a tool to assist in conducting this internal review and tracking required activities.

D. The EEO Officer or his/her designee will ensure that EEO-4 Reports are submitted every two years, or as required

7.4 Assessment of Employment Practices

A. The EEO/AA Officer periodically reviews reports generated from personnel data collection, reports possible problem areas to the appropriate levels of management, and maintains records of these reviews.

B. Annually, the EEO/AA Officer, assisted by Human Resources, the head of the Operations division and other managers as appropriate, will conduct a meaningful quantitative and qualitative assessment of employment practices as described in FTA Circular 4704.1 III.2.f.

7.5 Processing Employment Discrimination Complaints A. Internal Complaints

1. The EEO/AA Officer receives and investigates employment discrimination complaints that are received through the complaint procedures process described in the EEO Program/AA Plan. Complaints must be received in writing and must be complete.

2. A prompt and thorough investigation of the complaint is conducted by the EEO/AA Officer or designee.

3. The EEO/AA Officer will respond to the complainant, in writing, within 30 days of the submitted written complaint.

4. The complainant may submit, to the Chief Executive Officer, a written request for appeal within 10 calendar days of receipt of the written response from the EEO/AA Officer. The Chief Executive Officer, or designee, will review the request for appeal and respond to the complainant, in writing, within 10 calendar days. The decision of the Chief Executive Officer is final and there is no further appeal within HART.

5. A person may also file a complaint with an outside agency. B. External Complaints

1. Employment discrimination complaints from external agencies, such as the Equal Employment Opportunity Commission (EEOC) the Department of Labor (DOL), Florida Commission on Human Rights (FCHR), Federal Transit Administration (FTA), City of Tampa Human Rights Office, or Hillsborough County

6


SOP NUMBER REV PAGE

CSOP-0001 1 7 of 8

Equal Opportunity Office should be routed to the EEO Officer and then to the following HART staff members:

i. Head of HR, Risk and Legal Services ii. Head of Risk Management iii. Head of Human Resources iv. Staff Attorney

NOTE: In the event of a conflict of interest, or if it is believed that an individual is personally involved, then that person would be removed from the process.

2. The Head of Risk Management, in consultation with HART legal staff, determines whether or not the claim falls under an insurance policy

i. If the claim will be referred to the insurance carrier, the Manager of Risk & Environmental Safety sends notification to the insurance carrier and notifies the EEO Officer of assignment, provides status updates and copies of documents for the file

ii. If the claim will not be referred to the insurance carrier, or if the carrier does not immediately accept the claim, the complaint is routed to the Head of HR, Risk and Legal Services who will assign the matter to a Staff Attorney. The Staff Attorney will handle the matter or coordinate with outside counsel. The Staff attorney notifies the EEO Officer of assignment, provides status updates and copies of documents for the file

3. The EEO Officer, Head of HR, Risk and Legal Services, Head of Risk Management, Head of Human Resources, and Staff Attorney meet at least quarterly to review the status of employment discrimination complaints

C. Maintaining Records 1. The EEO/AA Officer and/or designee maintains a log of

employment discrimination complaints and maintains a file for each complaint.

7.6 Training and Resources A. The EEO/AA Officer and staff who perform EEO investigations must be

trained and familiar with Equal Employment Opportunity, discrimination laws, handling discrimination complaints and investigations, and the processes described in this SOP.

7.7 EEO Concurrence on New Hires and Promotions

7


SOP NUMBER REV PAGE

CSOP-0001 1 8 of 8

A. In accordance with Circular 4704.1, one of the responsibilities of the EEO officer is to concur in all hires and promotions. To this end, HART’s new hire and promotion processes will include the following elements:

1. Prior to recruitment for an open position, the EEO Officer will approve the requisition via NeoGov after reviewing the position information and advising the hiring official of EEO plan goals. (See Attachment: RECRUITMENT PROCESS FLOW CHART)

2. After a candidate is selected, the EEO Officer will APPROVE the selected candidate before the candidate is notified of his/her selection (See Attachment: RECRUITMENT PROCESS FLOW CHART)

8

ATTACHMENT A – EEO/AA POSTING OF NOTICE

AS OF: __________________ The EEO Program/AA Plan lists activities that HART will undertake to disseminate its EEO Policy Statement and EEO Program/AA Policy document. Notice of EEO is posted on the HR bulletin board at the following locations: 1. The HART EEO Policy Statement and Complaint Procedures are posted at the following locations:

Location: Checked:

• Ybor- 2nd floor Streetcar • Ybor- 3rd floor break room • Ybor- 3rd floor lobby • 21st Ave. Maintenance HM

Building

• 21st Ave. Maintenance PM Building

• 21st Ave. Admin staff Break room

• 21st Ave. Operator Break room • 21st Ave. annex- Procurement • UATC- retail sales area • UATC- drivers area • MTC- 2nd floor customer svc

area

• MTC-1st floor drivers area (case #5)

• MTC- lobby on retail sales window

• www.gohart.org (internet) 1/13/15 2. The EEO Program/AA Policy Document is posted at the following locations:

Location: Checked:

• Connect (intranet) 1/13/15

Date Completed

ActivitiesAAP

ReferencePOC Frequency Next Due Notes

Developing and recommending HART EEO Policy Statement, the written EEO Program/AA Plan and internal and external communication procedures

4aEEO/AA Officer

Every 3 years

Date Completed

ActivitiesAAP


Posting of official EEO Posters, Policy Statement and complaint procedures in conspicuous and accessible locations, including HART website and

Int.3a,3b HR Ongoing

Posting the EEO program/AA Plan document on HART intranet [Connect]

Int.3cEEO/AA Officer

Annually (April)

Reaffirming the EEO Policy Statement periodically by the distribution of a letter from the CEO attached to a copy of the policy statement

Int.3dEEO/AA Officer

Annually (April)

Including the EEO Policy and reference to the EEO Program/AA Plan in HART policy manual, employee handbooks, reports, manuals and union

Int.3eEEO/AA Officer

Ongoing; Annually

Meeting with minority and female employees to get their suggestions in implementing and refining the EEO Program /AA Plan

Int.3fEEO/AA

Officer;HRSemi-

annually

Presenting and discussing the EEO Policy, EEO Program/AA Plan and Harrassment & Discrimination Prevention as part of employee

Int.3g HROngoing -

all orientations

Conducting Harrassment & Discrimination Prevention training for current employees

Int.3gEEO/AA

Officer; HRAt least

every 2 yrsPicturing minority & non-minority men &women in HART internal publications

Int.3h Mktg Ongoing

Meetings with managers held at least semiannually to discuss the EEO Program / AA Plan and its implementation and progress

Int.3iEEO/AA Officer

Semi-annually

(June, Nov)Assuring that current legal information affecting EEO and AA is disseminated to responsible officials

4fEEO/AA Officer

Ongoing

Date Completed

ActivitiesAAP


Advising applicants of EEO Policy and complaint procedures by posting such in conspicuous & accessible location, i.e.: HART website, Connect

Ext.3aHR;

Marketing ongoing

Including the statement that HART is an “EEO Employer” on all advertising [of job openings?] & employment applications

Ext.3b HR ongoing

Development Plan

External Communication/Dissemination

Internal Communication/Dissemination

Reviewed By:Review Date(s):

ATTACHMENT B – EEO/AA ACTIVITIES “CHECKLIST”

Disseminating HART EEO Policy Statement as well as appropriate elements of the EEO Program / AA Plan to regular recruitment sources who refer

Ext.3c HR Annually

Listing all full-time and part-time employment openings with the local employment service (with some exceptions)

Ext.3d HR ongoing

Incorporating EEO / AA language in purchase orders, blanket agreements, contracts, & legal

i

Ext.3eProcure-

mentongoing

Picturing minority and non-minority men and women, individuals with disabilities and veterans when photographs of employees are included in HART publications.

Ext.3f Mktg ongoing

Date Completed

ActivitiesAAP


Assisting management in collecting and analyzing employment data, identifying problem areas, setting goals and timetables, and developing programs to achieve goals

4bEEO/AA Officer

ongoing

Designing, implementing, and monitors internal audit and reporting systems to measure program effectiveness and to determine where progress has been made and where further action is needed

4cEEO/AA Officer

annual review (April)

Reporting periodically to the CEO on the progress of each unit in relation to HART's EEO Program / AA Plan goals

4dEEO/AA Officer

At least semi-

annuallyConcurring with all hires and promotions

4hEEO/AA Officer

Ongoing

Assisting in identifying problem areas and establishing unit goals and objectives

5aAll

managersOngoing, as

neededParticipating actively in periodic audits of all aspects of employment in order to identify and to remove barriers obstructing the achievement of specified goals and objectives

5cAll

managers

At least bi-annual mtgs Jun/Nov;

Holding regular discussions with other management to assure HART policies and procedures are being followed

5dAll

managers

At least bi-annual mtgs Jun/Nov;

Reviewing the qualifications of all employees to assure that minorities, women, individuals with disabilities, and veterans are given equal opportunities for transfer, promotions, training, salary increases, and other forms of compensation

5eAll

managersOngoing, as

needed

Review/participate in periodic audits to ensure that each unit is in compliance (e.g. EEO Posters are properly displayed)

5h(SOP 7.2 B)

EEO/AA Officer; All managers

Annually

EEO/AA Officer, assisted by HR, Operations and other managers, will conduct a meaningful quantitative and qualitative assessment of employment practices as described in FTA Circular

(SOP 7.4 B)EEO/AA Officer

ongoing

EEO-4 filing FTA Require-

ment

EEO / AA Officer

Biennial

Monitoring & Reporting Effectiveness

Date Completed

ActivitiesAAP


Processing employment discrimination complaints4j

EEO/AA Officer

Ongoing

Participating in the review and/or investigation of complaints alleging discrimination

5fAll

managersOngoing

Conducting and supporting career counseling for all employees

5gAll

managersOngoing

Complaint status meeting with Human Reseources, Risk and Legal

EEO/AA Officer

Quarterly

Date Completed

ActivitiesAAP


Assist in recruiting minority, women, individuals with disabilities and veteran applicants and establishing outreach sources for use by hiring

4gEEO/AA

Officer;HROngoing

Actively involved with local minority and women's organizations, organizations for individuals with disabilities, veterans, community action and community service programs designed to promote equal employment opportunity and affirmative

5bAll

managersOngoing

Additional Ongoing Outreach

Processing Complaints

HILLSBOROUGH TRANSIT AUTHORITY (HART) Equal Employment Opportunity (EEO) / Affirmative Action (AA) Complaint Form

Hillsborough Transit Authority (HART) is committed to equal employment opportunity for all persons, regardless of race, color, creed, national origin, sex, age, marital status, sexual orientation, disability, veteran status or other status protected by Federal or State Law and to undertake an affirmative action program, including goals and timetables, in order to overcome the effects of past discrimination on minorities and women.

Any applicant or employee who feels they have been discriminated against has the right to file a formal complaint utilizing the below form. Complaints may be filed with HART in writing to the Equal Employment Opportunity Officer at:

Marco Sandusky, Manager of EEO and Compliance Program Hillsborough Transit Authority (HART) 1201 E. 7th Avenue Tampa, FL 33605

Copies of the HART Statement of EEO Policy and the EEO/AA Complaint Procedure can be found at www.gohart.org, on the Civil Rights page on Connect (intranet), and on bulletin boards. Copies may be obtained by calling (813) 384-6556.

Complaint No.

Name I am: ( ) Employee ( ) Applicant

Address

City Zip Code

Home Number Work Number

Email Address

Cause of discrimination based on (check those which apply and specify in the space provided):

( ) Race ( ) Color ( ) National Origin ( ) Age ( ) Marital Status ( ) Sex ( ) Disability ( ) Sexual Orientation ( ) Veteran Status ( ) Other

Location where incident occurred:

Time and date of incident:

ATTACHMENT C – EEO/AA COMPLAINT FORM

Name/Position title of the person who allegedly subjected you to discrimination:

Briefly describe the incident (use a separate sheet, if necessary):

Did anyone else witness the incident? Yes ( ) No ( )

List witnesses (Use a separate sheet, if necessary)

Name

Address

Telephone No.

Name

Address

Telephone No.

Have you filed a complaint about this incident with the Federal Transit Administration?

Yes ( ) No ( ) If yes, when?

Signature

Date

ATTACHMENT D – RECRUITMENT PROCESS FLOW CHART

Last update: 12/5/14


CSOP-0002 2 February 2015 1 of 14


TITLE VI PROGRAM ADMINISTRATION REV DATE DESCRIPTION RLSE NO. INIT

1 11/8/13 UPDATE TO COMPLY WITH NEW TITLE VI

CIRCULAR, INCLUDING DISPARATE IMPACT & DISPROPORTIONATE

BURDEN POLICIES

2 2/27/15 ANNUAL REVIEW – UPDATED TITLES, DELETED FRANKLIN OUTLET POSTER

LOCATION

Original signature on file in MDC ORIGINATED BY:______________________________________

Marco Sandusky, Senior Manager of EEO and Community Programs

__ DATE

Original signature on file in MDC REVIEWED BY: ______________________________________ Steve Rosenstock, Senior Manager of

Marketing Services Original signature on file in MDC REVIEWED BY: ______________________________________ Steve Feigenbaum, Director of Service

Development Original signature on file in MDC

__ DATE _________ DATE

APPROVED BY: ______________________________________ Katharine Eagan, AICP, Chief Executive Officer

DATE

1

SUBJECT: TITLE VI PROGRAM ADMINISTRATION

SOP NUMBER REV PAGE

CSOP-0002 1 2 of 14

TABLE OF CONTENTS

SECTION PAGE

1.0 SCOPE 3

2.0 PURPOSE 3


4.0 REFERENCES 3


7.0 PROCEDURE 4

ATTACHMENT A – TITLE VI NOTICE AND POSTING CHECKLIST 11

ATTACHMENT B – PROCEDURE FOR PUBLIC HEARINGS FOR SCHEDULE CHANGES………………………………………..………………12

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SOP NUMBER REV PAGE

CSOP-0002 1 3 of 14 1.0 SCOPE

This Standard Operating Procedure (SOP) applies to all HART employees and provides specific direction to employees who administer the Title VI program.

2.0 PURPOSE

This SOP provides direction on the administration of HART’s Title VI program to ensure that HART meets the commitments of its program, as developed in accordance with federal requirements for Title VI programs.


TERMS/ ABBREVIATIONS DEFINITIONS

EEO Officer HART’s Equal Employment Opportunity Officer is designated by the Chief Executive Officer

FTA Federal Transit Administration LEP Limited English Proficiency

4.0 REFERENCES

REFERENCE TITLE DOCUMENT LOCATION / DC# / LINK HART Title VI Program Connect>EEO&Compliance>Title VI

HART LEP Plan Connect>EEO&Compliance>Title VI

FTA Title VI Circular FTA C 4702.1B

DOT LEP Guidance DOT LEP Guidance

R#2013-11-66 HART Title VI Policies Connect>EEO&Compliance>Title VI

5.0 FORMS

FORM TITLE FORM LOCATION / DC# / LINK Complaint Procedures Title VI Complaint Procedures

Title VI Complaint Form Title VI Complaint Form

6.0 RESPONSIBILITY

All employees share responsibility for carrying out the commitments in HART’s Title VI program. The EEO Officer is responsible for administration of the Title VI Program and the Chief Executive Officer approves this SOP.

3

http://connect/Compliance/Documents/Title%20VI/Title%20VI%20-%202011%20Program%20FINAL%20updated%20111312.pdf

http://connect/Compliance/Documents/Title%20VI/LEP%20Plan%20updated%20111312.pdf

http://www.fta.dot.gov/civilrights/12328.html

https://www.civilrights.dot.gov/page/dots-lep-guidance

http://www.gohart.org/about/civil_rights_program/title_vi/complaint_procedures.html

http://connect/Compliance/Documents/Public%20Records/complaint_form.pdf


SOP NUMBER REV PAGE

CSOP-0002 1 4 of 14 7.0 PROCEDURE

7.1 Development, Revision and Approval of Title VI Program

A. The Title VI program is developed with inputs from a number of departments, including: service planning, transportation, grants/capital planning, legal, marketing/communications, and EEO/compliance. Each department takes responsibility for reviewing FTA’s Title VI program submission requirements and ensuring that the information incorporated in the Title VI plan is accurate.

B. The Title VI program is updated every three years in compliance with the FTA’s requirements for Title VI program submission. The program must be submitted to FTA 60 days prior to expiration.

C. The Title VI program may be reviewed and updated more frequently. All updates must be approved by the EEO Officer. If any substantive change is made to the Title VI program, HART will notify the FTA Civil Rights office of the update.

7.2 Title VI Notice to the Public

A. HART provides notice to the public to inform customers of their rights under Title VI. Two types of notice are used:

1. Short notice (general notice) for inclusion on appropriate printed material such as route schedules, when feasible

2. Long notice- for posting at transit facilities (headquarters, transit centers, transfer centers, etc.) when feasible

B. Title VI information is posted on the HART website and easily accessible from the home page. Posting on the website includes the Title VI notice, procedures for members of the public to file a complaint with HART (with access to the forms in English and Spanish) and information on filing a complaint with the FTA.

C. The two types of notice and a list of locations where they are used will be maintained and updated as an attachment to this SOP. This information is reviewed annually by the EEO Officer or his/her designee to ensure that it is accurate and up to date.

7.3 Complaint Procedures, Routing and Tracking A. HART’s EEO Officer receives and investigates Title VI complaints that

are received through the complaint procedures process described in the Title VI program. Complaints must be received in writing and must be complete.

1. The EEO Officer reviews the complaint to determine if we have jurisdiction and sends an acknowledgement letter to the

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CSOP-0002 1 5 of 14

complainant informing him/her whether the complaint will be investigated. Where additional information is needed, the EEO Officer will contact the complainant in writing. Failure of the complainant to provide the requested information in a timely manner may result in the administrative closure of the complaint or a delay in complaint resolution.

2. Based upon receipt of all the information required, the EEO Officer will investigate the complaint, make the final determination, and complete a final report for the Chief Executive Officer and written response to the complainant.

i. At a minimum the investigation will: a. Identify and review all relevant documents,

practices and procedures; b. Identify and interview persons with knowledge of

the Title VI violation, i.e., the person making the complaint; witnesses or anyone identified by the complainant; anyone who may have been subject to similar activity, or anyone with relevant information.

ii. Upon completion of the investigation, the EEO Officer will: a. Complete a final report for the Chief Executive

Officer. If a Title VI violation is found to exist, remedial steps as appropriate and necessary will be taken immediately.

b. Issue one of two letters to the complainant: a closure letter or a letter of finding (LOF). A LOF summarizes the allegations and the interviews regarding the alleged incident, and explains whether any disciplinary action, additional training, or other action will occur. The letters of finding and resolution will provide contact information for the FTA, should the complainant wish to appeal the decision.

3. HART will make its best efforts to respond to a Title VI complaint within 90 calendar days of the alleged discrimination, however, receipt of additional relevant information and/or simultaneous filing, may extend the timing of the complaint response.

B. The EEO Officer maintains documentation on any active Title VI investigations conducted by HART that name HART and allege discrimination on the basis of race, color, or national origin. This includes the date the investigation, lawsuit, or complaint was filed; a summary of the allegation(s); the status of the investigation, lawsuit, or complaint;

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and actions taken by HART in response to the investigation, lawsuit, or complaint.

7.4 Limited English Proficiency (LEP) Plan A. The Marketing/Communications department will develop and maintain a

LEP Plan for providing language assistance to persons with limited English proficiency, based on the Department of Transportation (DOT) LEP Guidance. This plan will be included in the Title VI program.

B. The EEO Officer, in cooperation with marketing/communications, will maintain a distribution list of community contacts for LEP plan distribution and will disseminate the LEP Plan to this distribution list when major changes are made to the LEP Plan.

7.5 Public Involvement Plan

A. The Marketing/Communications department will develop and maintain a Public Involvement Plan, including information about outreach methods to engage minority and limited English proficient populations and this plan will be included in the Title VI program.

B. Procedures on Public Hearings for Schedule Changes are contained in Attachment B of this SOP and are administered by the Marketing and Service Planning departments.

7.6 Rider Surveys

A. HART will conduct rider surveys on a schedule determined by HART, no less than every five years, and will include demographic ridership and travel pattern data as required by the Title VI circular. (see FTA C 4702.1B chIV-8 “Collect and Report Demographic data” subsection 5.b”Demographic Ridership and Travel Patterns). Requirements include:

1. collect information on the race, color, national origin, English proficiency, language spoken at home, household income and travel patterns of their riders

2. use this information to develop a demographic profile comparing minority riders and non-minority riders, and trips taken by minority riders and non-minority riders. Demographic information shall also be collected on fare usage by fare type amongst minority users and low-income users, in order to assist with fare equity analyses.

3. This data may be collected at the time that such surveys are routinely performed, such as customer satisfaction surveys and origin and destination surveys used to update travel demand models. Transit providers should contact FTA for further

6


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CSOP-0002 1 7 of 14

guidance on survey sample sizes, data expansion procedures, and data collection methods suitable to the transit provider’s specific situation.

4. Transit providers shall take steps to translate customer surveys into languages other than English as necessary, or to provide translation services in the course of conducting customer surveys consistent with the DOT LEP guidance and the recipient’s language assistance plan.

7.7 Major Service Change Policy

A. The HART Board of Directors adopted the following Major Service Change Policy on 11/4/2013 (HART Resolution# 2013-11-66):

HART shall define a major service or fare change as any of the following: • Route elimination • New route creation • Reorganization of a route in which 25% or more revenue miles are

adjusted to a different route • 25% or greater change in revenue hours and/or revenue miles • 20% or greater passengers required to transfer to make current trip • 25% or greater reduction in span of service • Any non-promotional fare change

7.8 Disparate Impact and Disproportionate Burden Policy

A. The HART Board of Directors adopted the following Disparate Impact

and Disproportionate Burden Policies on 11/4/2013 (HART Resolution# 2013-11-66):

1. Disparate Impact Policy i. This policy establishes HART’s threshold for determining

when adverse effects of service or any non-promotional fare changes are borne disproportionately by minority populations.

ii. HART establishes a disparate impact threshold of 15%, meaning that a disparate impact occurs when a proposed major service or any non-promotional fare change would have a negative impact of 15% or more on minority populations as compared to the HART service area.

iii. Should a disparate impact be discovered via the Title VI service change review process, HART shall take steps to avoid, minimize or mitigate impacts where practicable.

2. Disproportionate Burden Policy

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i. This policy establishes HART’s threshold for determining when adverse effects of service or any non-promotional fare changes are borne disproportionately by low-income populations.

ii. HART establishes a disproportionate impact threshold of 15%, meaning that a disproportionate impact occurs when a proposed major service or any non-promotional fare change would have a negative impact of 15% or more on minority populations as compared to the HART service area.

iii. Should a disproportionate burden be discovered via the Title VI service change review process, HART shall take steps to avoid, minimize or mitigate impacts where practicable?

7.9 System-Wide Service Standards and Service Policies HART has developed the following system-wide service standards in accordance with the FTA Title VI Circular.

A. Service Standards

1. Bus Mode Indicator Standard Department

Responsible for Measurement

Vehicle Load 125% maximum Service Planning

Vehicle Headway* Minimum Standard Goals- Top 1/3rd ridership routes = 30 minute AM/PM peak 30 minute midday 2nd 1/3rd ridership routes = 30 minute AM/PM peak 60 minute midday 3rd 1/3rd ridership routes = 60 minute all day

Service Planning

On-Time Performance 72% -1 minute to +5 minutes from scheduled timepoints

Service Planning

Service Availability 65% of the Hillsborough County population within 3/4 mile of a bus route

Service Planning

*Ridership measured as latest complete fiscal year

2. Paratransit Mode

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CSOP-0002 1 9 of 14

Indicator Standard Department Responsible for Measurement

Vehicle Load 100% of maximum Service Planning

Vehicle Headway NA Service Planning


Service Planning

Service Availability 65% of the Hillsborough County population within the service area.

Service Planning

3. Streetcar Mode


Vehicle Load 100% of maximum Service Planning

Vehicle Headway Minimum Standard – 30 minutes all day

Service Planning


Service Planning

Service Availability NA Service Planning

B. Service Policies


Distribution of Transit Amenities

Minimum Standard Goal – Passenger shelter at all stops with 20 or more weekday boardings as measured by automatic passenger counters (APC)*

Capital Planning/ Service Planning

Vehicle Assignment for Bus and Van**

Minimum 2-week rotation within vehicle type group, except for MetroRapid service.

Service Planning

Vehicle Assignment for Streetcar**

Minimum 3-day rotation except for ‘breezer’ car.

Service Planning

*APC for latest complete fiscal year **Exceptions may be made for maintenance considerations

7.10 Documentation of Reviews

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CSOP-0002 1 10 of 14

A. Service Planning/Finance, will review and analyze revision proposals to determine if proposals create adverse community impacts, in accordance with HART policies and examples in the FTA Title VI circular. Reviews will document:

• Service/fare change proposals • Community populations (from Census, Hillsborough County

Planning Commission, or American Community Survey; also rider survey data, as applicable)

• Impacts to the community • Mitigations, if any, to identified adverse community impacts

B. Electronic copies of reviews will be maintained by service planning in an electronic folder shared with finance staff and the EEO Officer (V:\Title VI Reviews - Service & Fare Changes).

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CSOP-0002 1 11 of 14

ATTACHMENT A – TITLE VI NOTICE AND POSTING CHECKLIST

Title VI notice: 1. Short notice (“general notice” for the route schedule): HART operates its programs and services without regard to race, color, and national origin in accordance with Title VI of the Civil Rights Act. For more information or to file a complaint under Title VI contact (813) 384-6419 or visit http://www.gohart.org. 2. Long notice (for posting at our facilities):

Notifying the Public of Rights Under Title VI Hillsborough Area Regional Transit Authority (HART)

HART operates its programs and services without regard to race, color, and national origin in accordance with Title VI of the Civil Rights Act. Any person who believes she or he has been aggrieved by any unlawful discriminatory practice under Title VI may file a complaint with HART. For more information on HART’s civil rights program, and the procedures to file a complaint, contact (813) 384-6419 or visit our administrative office at 1201 East 7th Avenue, Tampa, FL 33605. For more information, visit http://www.gohart.org. Where Title VI notice is posted:

Locations Internal review of postings

- Short Notice (E&S): Date Date Date Date

• Route Schedules 11/2013 • Route Schedule Book 11/2013

- Long Notice (E&S):

• Marion Transit Center 11/2013 • University Area Transit Center 11/2013 • Britton Plaza Transfer Center 11/2013 • netp@rk Transfer Center 11/2013 • Northwest Transfer Center 11/2013 • Westshore Transfer Center 11/2013 • West Tampa Transfer Center 11/2013 • Westfield Brandon Mall 11/2013 • Yukon Transfer Center 11/2013 • Streetcars (inside panel) 11/2013 • Ybor Admin Office 1st floor foyer 11/2013 • Ybor Admin Office 3rd floor lobby 11/2013

- Long Notice (E&S) & Complaint Procedure:

• HART website (both in English & Spanish) 11/2013 • Ybor Administrative Office- 3rd floor break rm 11/2013 • Ybor Streetcar area- 2nd floor 11/2013 • 21st Ave Maintenance Building 11/2013 • 21st Ave. Maintenance PM Building 11/2013 • 21st Ave. NB employee break area bulletin board 11/2013 • 21st Ave. operator break area bulletin board 11/2013 • 21st Ave. annex-procurement bulletin board 11/2013 • MTC- 1st floor- operator break area 11/2013 • MTC- 2nd floor- customer service break area 11/2013

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http://www.gohart.org/



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CSOP-0002 1 12 of 14

ATTACHMENT B – Procedure for Public Hearings for Schedule Changes

OBJECTIVE

This procedure outlines HART processes for public involvement and holding public hearings that relate to schedule changes. PURPOSE

While the FTA does not require public hearings for schedule or route changes, it does recommend guidelines beyond which an agency should hold a public hearing; if more than 25% of a route or schedule is modified, for instance, FTA guidelines might recommend that a transit agency hold a public hearing. Similarly, HART does not operate under local or state laws that mandate public hearings for schedule changes, but does have Board policies which direct staff to hold public hearings on service modifications that pass a defined threshold.

A major schedule change was defined in a March 9, 2011 Title VI definition memo released by the HART Service Planning Department and the HART Board of Directors adopted a Major Service Change Policy on 11/4/2013 (HART Resolution# 2013-11-66), following public input, which defines a major service or fare change as any of the following:

• Route elimination • New route creation • Reorganization of a route in which 25% or more revenue miles are adjusted to a

different route • 25% or greater change in revenue hours and/or revenue miles • 20% or greater passengers required to transfer to make current trip • 25% or greater reduction in span of service • Any non-promotional fare change

The intent of federal and local guidelines is purely to allow passengers an opportunity to speak, on record, about proposed route and schedule modifications. To ensure that residents, passengers, and potential passengers are involved in designing their services as well as riding, staff has developed outreach processes that include community meetings and information distribution in addition to a public hearing. The intent is also to involve minority and LEP populations in public participation activities by integrating content and considerations of Title VI, the Executive Order on LEP, and the DOT LEP Guidance into an inclusive public participation approach, as required by the FTA Title VI circular. Per chapter III-5 of the FTA Title VI Circular, HART has latitude to determine how, when, and how often specific public participation activities should take place, and which specific measures are most appropriate. These determinations should be made based on geographic analysis of populations affected, the type of plan, program, and/or service under consideration, and the resources available. PROCESS

1. Service Planning and Scheduling staff compiles recommended service modifications for an upcoming schedule change. This process includes community meetings prior to producing final recommendations.

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CSOP-0002 1 13 of 14

2. Service Planning identifies locations for community meetings. These are pre-public hearing community meetings where patrons may give comment that is part of the record for the public hearing.

3. Based on schedule change date and public hearing date, Service Planning and Community Relations establish tentative meeting dates. The meetings are scheduled in a window between the call for public hearing and the hearing itself.

a. Meetings should be far enough after the call for hearing that patrons have a reasonable opportunity to learn of the meetings and attend.

b. Meetings should also be scheduled with enough time for meeting-related information to be distributed on the fleet and at transit facilities.

4. Service Planning takes the proposed changes and meeting schedule to a committee meeting of the Board of Directors, for discussion and review. Staff asks the committee to recommend the full Board give authorization to conduct outreach.

5. Staff presents to the full Board. 6. With Board approval, staff calls for a public hearing. The hearing must be no sooner

than 30 days from the date it is called. 7. Staff conducts the following outreach between the call for hearing and conducting the

hearing. a. Distribute information. With Marketing, Service Planning prepares a brochure

detailing proposed route and schedule changes, and the schedule for meetings and the hearings; the brochure should note that comment received at meetings has the same weight as comment received at the hearing. This brochure is distributed at transit centers no less than one week before the first community meeting and will be available at the transit centers throughout the comment window.

b. Conduct community meetings. Meetings are scheduled for each area of the county (e.g., Carrollwood, Brandon, South Tampa) where a notable service revision is proposed. Patrons and staff discuss proposals, and any modifications that arise from the meetings will be highlighted to the Board of Directors. All comment received at meetings, via official comment cards, will be entered into the record.

c. Interior car cards and seat drops. Staff may recommend that bus cards be developed that explain route proposals, and which will be posted throughout the bus fleet. Staff may also recommend seat drops, with information and/or passenger surveys. This outreach is targeted to changes that have impact throughout the county but do not have a concentrated or notable impact in a specific area.

8. Based on feedback receiving at public meetings, Service Planning and Scheduling review proposals for any revisions that will better serve the public while staying within financial and operational constraints.

9. Staff conducts the public hearing. a. Standard HART guidelines for public hearings apply unless otherwise noted. b. The hearing is held at a central location for patrons, usually downtown Tampa. c. The hearing is held on a weeknight, usually Tuesday or Thursday.

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CSOP-0002 1 14 of 14

d. The hearing is held over a two hour window, not with a start date that ends when all patrons present have commented. The hearing is suspended between speakers and is adjourned two hours after it begins.

e. Staff is present at least half an hour before the hearing, to discuss original and modified route proposals with patrons.

10. Staff prepares the committee item for final schedule change approval, and requests that the committee recommend the Board approve the schedule change for implementation. In addition to the regular Board item, the item includes a summary of public outreach noting:

a. Number and location of meetings held b. Number of comments received c. Highlights of comments by proposal

The summary of outreach can be presented separately at the committee meeting. This allows staff to conduct the hearing after the committee item has been prepared for review and approval.

11. Staff presents the schedule change to the full Board for approval. 12. With Board approval, staff completes all tasks related to the schedule change, to include

additional outreach prior to and immediately after the schedule change.

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CSOP-0003 Public Records 1 January 2015 1 of 11


PUBLIC RECORDS REQUEST PROGRAM ADMINISTRATION

REV DATE DESCRIPTION RLSE NO. INIT 1 11/20/2013 UPDATE DEFINITIONS & CHARGE DETAILS 1 11/20/2013 REQUIREMENTS FOR PUBLIC AGENCIES 1 11/20/2013 ADD SECTION 7.5 - CONTRACTORS

2 01/08/2015 UPDATED PROCEDURES FOR SUBPOENAS & NOI/DISCIPLINE DOCUMENTS REQUEST;

UPDATED EMPLOYEE EXEMPTIONS

Original signature on file in MDC ORIGINATED BY: ______________________________________

Glenda Torres, EEO & Compliance Specialist

_____________ DATE

Original signature on file in MDC REVIEWED BY: ______________________________________ Marco Sandusky, Manager of EEO and Compliance Programs Original signature on file in MDC REVIEWED BY: ______________________________________ Michael Stephens, Chief Business Enterprise and Safety Officer Original signature on file in MDC APPROVED BY: _______________________________________ Katharine Eagan, Chief Executive Officer

_____________ DATE _____________ DATE _____________ DATE

1

SUBJECT: PUBLIC RECORDS REQUEST PROGRAM ADMINISTRATION

CSOP-0003 REV PAGE

Public Records 1 2 of 11

TABLE OF CONTENTS

SECTION PAGE

1.0 SCOPE 3

2.0 PURPOSE 3


4.0 REFERENCES 3

5.0 FORMS 4


7.0 PROCEDURE 4

FIGURE 1 – PROCESS FLOW CHART – COPY RECORDS 11

ATTACHMENT A – HOW TO REQUEST PUBLIC RECORDS

ATTACHMENT B – PUBLIC RECORDS REQUEST FORM

ATTACHMENT C – CHARGE FORM

ATTACHMENT D – EMPLOYEE EXEMPTION FORM

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1.0 SCOPE

This Standard Operating Procedure (SOP) applies to all HART administrative employees and provides direction to employees who administer the public records program.

2.0 PURPOSE

This SOP ensures a systematic, consistent and compliant process for providing public records pursuant to Chapter 119, Florida Statutes, and protecting from disclosure those documents made confidential under state or federal law. Pursuant to HART Board policy, this SOP provides guidance on the training and internal controls in place to ensure compliance with Chapter 119, Florida Statutes, and other applicable law, and a schedule of reasonable charges for providing access to documents and copies in compliance with state law.


TERMS/ ABBREVIATIONS DEFINITIONS POC Point of Contact PRL Public Records Liaison COR Custodian of Records

Public Record

Any document, paper, letter, map, book, tape, photo, film, sound recording, data processing software or other material, regardless of physical form, characteristic, or means of transmission, including electronic mail and social media, made or received pursuant to law or ordinance or in connection with the transaction of official HART business.

4.0 REFERENCES

REFERENCE TITLE DOCUMENT LOCATION / DC# / LINK Florida Public Records Law Ch 119 – Public Records

Government-in-the-Sunshine Manual (current) Sunshine Manual

FL Attorney General - Resources Resources

HART Board Policy Policy Manual

Public Records page on Connect Public Records Request Information

3

http://www.leg.state.fl.us/statutes/index.cfm?StatuteYear=2013&Tab=statutes&Submenu=1&NewSelection=Go

http://www.myfloridalegal.com/sun.nsf/sunmanual

http://myfloridalegal.com/pages.nsf/Main/A142321A365C83168525791B006A54E5

http://connect/Executive/Documents/Signed%20Policies%201-19-2010.pdf

http://connect/Compliance/Wiki%20Pages/Public%20Records.aspx


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5.0 FORMS *

FORM TITLE FORM LOCATION / DC# / LINK How to Request Public Records Link

Public Records Request Form Link

Charge Form (Invoice) Link

* All forms are available from the agency public records POC

6.0 RESPONSIBILITY

All administrative employees share responsibility for ensuring that HART complies with applicable state and federal laws in responding to public records requests. The agency POC for public records is responsible for working with department public records liaisons (PRLs) to administer this SOP. An updated list of the current Agency POC and department PRLs is maintained on Connect under “Public Records.”

• Agency POC for Public Records- The agency point of contact for public records is responsible for the day to day administration of the public records program. There is at least one back-up POC for public records. Contact information for these individuals is maintained on the Public Records page on Connect

• Department Public Records Liaison (PRL)- At least one individual and one back-up in each department is designated as the public records liaison. These individuals gather documents in response to a public records requests and are listed on the Public Records page on Connect

• Legal Department- HART Legal Department is a resource to the agency POC for public records and to the PRLs to assist in complex requests and to interpret the requirements of Florida’s public records law.

7.0 PROCEDURE

** NOTE: Not all requests from the public for information or records are required to be handled as “public records requests”. It is expected that routine requests for information (from peer transit agencies or public sector agencies) continue to be handled within each individual department in the normal course of doing business. It is the responsibility of each department/division to have systems in place to ensure that these types of

4

http://www.gohart.org/about/public_records_request/index.html

http://www.gohart.org/about/public_records_request/request_form.pdf

http://connect/Compliance/Documents/Public%20Records/New%20Charge%20Form%20-%20Oct2014.xlsx


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requests are appropriately tracked and monitored. In general, questions about releasing documents should be directed to an employee’s manager.

7.1 Receiving Public Records Requests

A. When an employee receives a request to inspect or copy an agency record**, he or she must forward the request to the agency POC for public records. Contact information for the agency POC for public records is posted on the Public Records page on Connect.

1. If receiving a public records request by phone:

i. Direct the requestor to the HART website for information on how to request a public record and an optional request form. Instructions: go to www.goHART.org, click ‘About Us’ from the home page, and select ‘Public Records Requests’.

ii. If the requestor wishes to make a request over the phone, without filling out the public records request form, the employee should fill out the Public Records Request form and take as much information as possible regarding what documents are being requested. The form should be forwarded to the agency POC for public records.

NOTE: the requestor is not required to fill out the Public Request form and is not required to provide a name or contact information in order to request a public record. The requestor may request the record over the phone, in person or in writing.

2. If receiving a public records request by email:

i. Forward the email to the agency POC for public records.

ii. Respond back to the requestor that you have forwarded the request to the appropriate party with a copy to the agency POC for public records.

3. Other document requests:

i. Subpoenas: Forward documents to Risk. Risk will disseminate to legal for processing.

ii. NOI/Discipline: Employee can go directly to operations for copy of discipline file.

7.2 Processing Public Records Requests

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A. Logging the request

When the agency POC for public records receives the request, it is reviewed for clarity and logged as an open request on the public records log, which is in a private folder.. A number is assigned to the request based on the date and the order in which it was received (e.g. 2013-04-15-004)

1. The agency POC for public records determines if there is sufficient information provided and contacts the requestor if clarification is needed.

2. All correspondence related to public records requests will have the assigned request log number in the subject line.

3. The agency POC for public records provides acknowledgement to the requestor that we are in receipt of the request.

4. The agency POC for public records forwards the request to the department PRL. A current list of PRLs is posted on the Public Records page on Connect or available in hard copy from the agency POC for public records.

5. If the public records request pertains to a HART Board member, the POC for public records sends an email to the Clerk of the Board who will ensure that the Chief Executive Officer and the Board member are notified.

B. Requests to View / Inspect Records For requests to inspect records, the department PRL arranges with the requestor to make the record available for inspection under reasonable circumstances and updates the agency POC for public records on compliance with the request. There are typically no fees for inspecting records, unless fees apply for the extensive use of information technology resources or staff assistance.

1. While a requestor is inspecting a record, he or she may request copies of the record. The PRL will make two copies (one for the requestor and one for the public records file) of the requested pages and notify the agency POC for public records to collect payment for copies.

C. Locating Records / Estimating Fees Upon receipt of a request for copies of records, the department PRL communicates with the department COR to locate the records and determine if:

1. It’s a simple request with no fees - the records are immediately available electronically and do not require legal review or redaction.

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• In this case, the PRL forwards the records to the agency

POC for public records for release 2. It’s a simple request with fees - paper copies of the records are

immediately available and do not require legal review or redaction.

• In this case, the PRL emails the agency POC for public records the number of pages (single-sided or double-sided), the number of CDs or DVDs required and forwards the records to the agency POC for public records via interoffice mail for release.

3. It’s a voluminous request with fees over $50 anticipated - the records are not immediately available and will require significant staff time, paper copies, CDs, audio tapes or DVDs to fulfill:

• In this case, the PRL emails to the agency POC for public records an estimate of the number of pages (specify single-sided or double-sided), the approximate amount of active labor hours anticipated, the number of CDs or DVDs required, and an estimated timeframe for fulfilling the request.

• The department PRL does not move forward with producing the records until receiving authorization from the agency POC for public records.

D. Department PRL and COR responsibilities 1. The department PRL and COR will often be the same person.

However, sometimes the PRL will need to coordinate with the COR. The PRL and the COR must review the records closely and complete all necessary redactions prior to providing the documents to the agency contact for public records. The PRL and the COR should know required retention schedules and maintain records in accordance with all requirements.

2. With the exception of electronic documents, the department PRL always provides two copies of the requested records to the agency POC for public records so that there is one copy released to the requestor and one copy maintained on file.

3. The department PRL is responsible for consulting with HART legal staff and the department head to ensure that information and records exempt from disclosure are not released.

NOTE: If employee files are being requested, HR must verify if employee has disclosed an exemption (SEE: Employee Statement of Exemption Qualification)

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E. Required Formats

Florida law requires agencies to furnish public records in the format requested if they already exist in that format. Therefore, records that exist in paper format will be provided in paper format and records that exist in electronic format will be provided in electronic format.

F. Corresponding with the Requestor The agency POC for public records serves as the primary contact for the requestor regarding the request.

1. The agency POC will fill out a Charge Form for the request and send it to the requestor.

• If the estimated charges are $50 or more, the agency POC for public records will provide the estimated Charges on the Charge from. The requestor must pay the fees prior to fulfilling the request.

• If the fees are $49 or less, the agency POC for public records will notify the department PRL to proceed with fulfilling the request and will send the Charge Form to he requestor with the actual fees due. Payment must be received before the records can be released. If the requestor wishes to have the records mailed, the cost of postage is added to the Charge Form.

2. The agency POC for public records will note correspondence on the public records log.

G. Payment and Fees The agency POC for public records collects fees for public records requests. Public records fees are collected at Ybor by the agency POC or backup. In the event that the POC and/or backup is not in the office, the payment will be collected/receipted by the receptionist and the responsive documents from the log file will be provided to the requester. The following fees are charged for HART public records:

• Paper copies on standard paper sizes: $0.15 per one-sided copy, $0.20 per two-sided copy (additional $1.00 for certified copy);

• Data, audio or video on copied CD or DVD, $1.00 each; • If materials are to be mailed, the actual cost of postage will be

added;

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• Electronic record copies: if there are no fees for the records,

and the total record size is within the range allowed for attaching to HART email communications, the agency POC for public records releases the records to the requestor via email.

NOTE: Fees for labor apply when extensive IS labor, HR records review oversight or copying of records is required. There is no charge for the first 30 minutes of labor. The hourly fee charged for labor is intended to reflect the actual cost to perform the work. In most cases, this is determined by charging the least costly fully-burdened hourly pay of an administrative assistant in the department who could do the work. When a request requires extensive technical knowledge that cannot be performed by an administrative assistant, the least costly fully-burdened hourly pay of a staff person in the department who could perform the work will be charged to the requestor.

7.3 Public Records Training and Resources A. The agency POC for public records must be trained on Florida’s Public

Records laws and the processes described in this SOP. The agency POC must also receive ongoing training on changes in requirements.

B. The department PRLs must be familiar with Florida’s Public Records laws and receive training on the topic. Many documents (or information within documents) are exempt from disclosure or are confidential. The department PRLs are responsible for appropriately consulting with HART legal staff and the department head to ensure that information and records exempt from disclosure are not released. The department PRL must have access to the Government-in-the-Sunshine manual.

7.4 Maintaining Records of Public Records Requests

B. The agency POC for public records maintains the log of public records requests and maintains one copy of all records that are released in either electronic or paper format. These records are maintained in accordance with the general records schedule for state and local government agencies.

7.5 Contractors for Public Agency Services Requirements Effective 07/01/2013 (F.S. 119.0701)

A. Effective July 1, 2013, HART third party contracts for services must include provisions stating that the contractor is acting on behalf of HART under the Public Records Law, and the contractors requirements to comply with the Public Records Laws.

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B. To meet the requirements of F.S. 119.0701, HART will include the

following language in contracts for services effective July 1, 2013:

Compliance with Public Records Law Contractor agrees in accordance with Florida Statute Section 119.0701 to comply with public records laws including the following:

1. Keep and maintain public records that ordinarily and necessarily would be required by the Authority. 2. Provide the public with access to public records on the same terms and conditions that the Authority would provide the public records and at a cost that does not exceed the cost provided in Chapter 119 of the Florida Statutes, or as otherwise provided by law. 3. Ensure that public records that are exempt or confidential and exempt from public records disclosure requirements are not disclosed except as authorized by law. 4. Meet all requirements for retaining public records and transfer, at no cost, to the Authority all public records in possession of Contractor upon termination of this Contract Purchase Order and destroy any duplicate public records that are exempt or confidential and exempt from public records disclosure requirements. All records stored electronically must be provided to the Authority in a format that is compatible with the information technology systems of the Authority. 5. Failure of the Officer to comply with these requirements shall be considered a material breach of this Contract.

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FIGURE 1 – FLOW FROM POC to PRL

HART POC for public records

Dept PRL

backup PRL

Dept PRL

backup PRL

Dept PRL

backup PRL

Dept PRL

backup PRL

backup POC for public records

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ATTACHMENT A – HOW TO REQUEST PUBLIC RECORDS

1. In order to assist in accurately fulfilling your request for public records, you may make your request in writing on the Public Records Request Form which may be downloaded at www.gohart.org by selecting ‘Public Records’ under ‘About Us’ from the home page. The form may be submitted by fax to (813) 384-6284. Completion of the Public Records Request form is optional. Requests may be made in writing, in person, or by phone.

2. Requests must be for records in the possession of or prepared, owned, used, or retained by HART, and requests should be for sufficiently identifiable records. Copies will not be provided if the information is confidential or otherwise exempt from public inspection or copying under the Public Records Law. Confidential information will be deleted or excised from records prior to inspection, examination, or distribution of copies.

3. If a request is insufficient to identify the documents sought, you will be contacted as soon as possible for clarification. You will be notified if copies of the requested public records are not in the possession of or prepared, owned, used, or retained by HART and/or otherwise not subject to disclosure. Such notice will indicate if the records you requested have been deemed confidential or otherwise exempt from disclosure.

4. HART will review your request and respond with a production time and cost estimate as soon as reasonably possible. You will be notified of the approximate number of pages/files and/or length of time we estimate it will take to process your request. A Public Records Request Charge Form with estimated costs will be sent to you and payment (if applicable) must be received prior to releasing records.

The following fees are charged for HART public records:

• Paper copies on standard paper sizes: $0.15 per one-sided copy, $0.20 per two-sided copy (additional $1.00 for certified copy);

• Data, audio or video on copied CD or DVD: $1.00 each; • If materials are to be mailed, the actual cost of postage will be added; • Electronic record copies: if there are no fees for the records and the total record file size is within the range allowed

for HART email communications, the agency POC for public records releases the records to the requestor via email.

5. If the nature or volume of public records requested to be inspected, examined, or copied is such as to require extensive use of information technology resources, or extensive clerical or supervisory assistance by HART personnel, the requestor will be charged the least costly fully-burdened hourly pay of an administrative assistant or staff person, and/or special service charges which are based on the actual cost incurred for the extensive use of resources in furnishing or copying the information requested. The special service charges apply to requests for both inspection and copies of public records. If the total estimated cost for requests is $49 or less, payment can be obtained at the time the documents are picked up or mailed. If the total estimated cost for requests is $50 or more, payment must be received before the records are copied.

6. Requestors must pay for copies prior to receiving them. Payment may be submitted by check (payable to HART), money order, cash, or credit card to Hillsborough Area Regional Transit Authority (HART) and send to HART Executive Office, Public Records, 1201 East 7th Avenue, Tampa, FL 33605.

7. Florida law requires agencies to furnish public records in the format requested if they already exist in that format. Therefore, records that exist in paper format will be provided in paper format and records that exist in electronic format will be provided in electronic format.

8. If your request is to review records, rather than receive copies, HART will notify you once the records are gathered, and an appointment will be made with you for review at HART business offices during normal business hours.

9. For further clarification please refer to the Florida Public Records Law (Florida Statutes, Section 119.01 et seq.) and visit the HART website – www.gohart.org. Information and forms for public records requests can be viewed by clicking ‘About Us’ from the home page and then selecting ‘Public Records Requests.’

10. Contact HART public records by phone at (813) 384-6419, or FAX at (813) 384-6284.

How to Request Public Records Outside Party Procedure



ATTACHMENT B – PUBLIC RECORDS REQUEST FORM

Making a request: For information about requesting public records from HART, please see “How to Request Public Records”, available at www.gohart.org, under About Us>Public Records. Requests may be made by phone or in writing. Completion of this form is optional. You may submit your request by fax (813) 384-6284 or mail HART Executive Office - Public Records, 1201 East 7th Avenue, Tampa, FL 33605. Contact public records by phone at (813) 384-6419. Please do not attach payment to this form. Once your request is received, you will receive a separate charge form with total estimated costs.

A. Date of Request: File# (office use):

B. Contact Information:

Name:

Name of Organization/Company:

Mailing Address: City: State: Zip:

Phone: Fax: E-Mail:

C. Description of Records Requested:

To assist in accurately fulfilling your request, please be as specific as possible. You may attach additional pages to the form as necessary. Clearly mark any attachments.

D. Delivery information:

Please check your preference below. Please note that records will be provided in the format requested if they already exist in that format. Records that exist in paper format will be provided in paper format and records that exist in electronic format will be provided in electronic format. Payment must be received prior to releasing the records.

□ Make public records available for viewing. The requestor will be notified when records are available for review at HART Offices. There is no cost to view the public record, unless review of the record requires extensive information technology, clerical or supervisory assistance.

□ Make copies of records for pick up by requestor. The requestor will be invoiced and must pay for the copies before the copies are released.

□ Make copies and mail to requestor. The requestor will be invoiced and must pay for the copies and postage before the copies are released.

□ Make copies and fax to requestor. The requestor will be invoiced, and the requestor must pay for the copies before the copies are released.

□ Email copy of the record to requestor. If the record is available in an electronic format, the document will be emailed.

Note: .

Please call (813) 384-6419 with questions. This form is available at www.gohart.org under About Us>Public Records

Request Form Public Records Request



CHARGE FORMPublic Records Request

1201 E. 7th Avenue, Tampa, Florida 33605

PRR #

Name/Company: Address:Phone No.: Email Address:

Name/Title/Dept: Name/Title/Dept: Name/Title/Dept:

QTY DESCRIPTION PRICE AMOUNT

$0.00 -0-$0.00 -0-$0.00 -0-$0.00 -0-$0.00 -0-$0.00 -0-

DATE HOURS RATE AMOUNT Duplication CostsService Charges*Postage $0.00 GRAND TOTAL**

SUB TOTALCOMMENTS:

Signature of Requesting Party Date

INVOICE

* Special service charges: Includes extensive use of clerical or supervisory labor or extensive information technology resources. There is no charge for the 1st 30 minutes.

REQUESTOR

DESCRIPTION OF REQUEST

CUSTODIAN OF RECORDS

TO BE COMPLETED BY HART AND SIGNED BY REQUESTOR BEFORE ACTUAL PRODUCTION

COST OF DUPLICATION

BlankBlankBlankBlankBlankBlank

SPECIAL SERVICE CHARGES*

Administrative Labor IT Resources

I hereby agree to pay the actual cost of duplication, computer processing, and labor for copies of the public records requested and understand that final costs may vary somewhat from the above-indicated estimate.

** If total estimated cost is $50 or more, payment must be received before the request is fulfilled.Payment must be received before the records are released. Total Payment must be submitted

with a copy of this form to: Hillsborough Area Regional Transit Authority

Executive Office - Public Records 1201 East 7th Avenue, Tampa, FL 33605

(Payment by cash, personal check, credit card or money order payable to HART).

ATTACHMENT C – CHARGE FORM

Human Resources Florida Public Records Law–Employee Statement of Exemption Qualification

INSTRUCTIONS: Florida Law (F.S. §119.071) defines classes of employees who qualify for non-disclosure of limited information in response to a request to view or copy a public record related to such persons. The specific types of information that must be protected vary by the covered class.

This form is used by an employee to notify HART Human Resources that the employee qualifies for limited public record exemptions. It must be completed by all newly appointed HART Employees. It may also be used in response to changes in an employee’s relevant life circumstances.

Please put an “X” in the box to the left of ALL job descriptions that either (A) Describe a job you are/were employed in and/or (B) Describe a job of someone for whom you are the spouse or a child. If none of the job descriptions or columns fit your life circumstances, check Line C near the end of this form.

Finally, print your name and employee ID at the end of this form and sign and date it.

Place an “X” in all boxes that accurately describe your life circumstances:

A = ACTIVE OR FORMER employee in this type of job. B = SPOUSE OR CHILD of an Active or Former employee in this type of job.

A B Job Description Law Enforcement Official (Includes Detention Deputy and Probation Officer). (LE) Firefighter certified in compliance with F.S. §633.35 (includes all higher certified Fire Job Classes). (FC) Justice of the Supreme Court; Judge of District Court of Appeal, Circuit Court Judge. (JC) State Attorney, Assistant State Attorney, Statewide Prosecutor, Assistant Statewide Prosecutor. (SA) Department of Children & Family Services personnel whose duties include the investigation of potentially criminal activities. (DC) Department of Health personnel whose duties include the investigation of potentially criminal activities. (DH) Department of Revenue or local government personnel whose duties include revenue collection and enforcement or child support enforcement. (RC) Code Enforcement Officer or Code Inspector whose duties include both inspection or investigation of a situation or premises and the authority to initiate a legal process (either administrative or judicial) which may have resulted in the imposition of penalties or the revocation of a privilege. (CE) State or local government at the Assistant Manager level or higher personnel whose duties include hiring and firing employees, labor contract negotiations, administration, or other personnel-related duties. (HR) Volunteer in the Guardian Ad Litem Program or an Attorney working (paid or not) on behalf of the Guardian Ad Litem Program. (GA) Department of Juvenile Justice personnel whose responsibilities include working with children up to eighteen (18) years of age. (JJ)

C) My life circumstances DO NOT FIT ANY of the above categories.By my signature, I attest that the above information is true and correct to the best of my knowledge.

______________ _________ _____________ Name (please print) PR#

____________________ ________ Signature Date

Created: 10/20/2014

ATTACHMENT D – EMPLOYEE EXEMPTION FORM

EEO & COMPLIANCE DEPARTMENT CSOPs - … Library/goHART/pdfs/SOPS/eeo...EEO & COMPLIANCE DEPARTMENT...

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