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1.0 Purpose:

This document establishes procedures for handling customer-initiated contact (including compliments, requests, comments, and complaints, and herein referred to as "customer feedback reports"). Staff from the Customer Service Department must enter, evaluate, research (or assign the appropriate division within North County Transit District (NCTD) to research), and respond to each customer-initiated contact received by the Customer Service Department.

2.0 Scope:

This procedure is applicable to all NCTD employees and mode contractors who are involved in processing customer feedback information, including NCTD employees who respond to a customer after receiving a customer feedback report.

3.0 Definitions:

            3.1      "Americans with Disabilities Act' or "ADA": Americans with Disabilities Act of 1990.

3.2 "Customer Service Assistant' or "CSA": The NCTD employee who directly interfaces with the customer to provide assistance.

3.3 "Liability Claim": A potential claim for monetary damages pursuant to Government Code section 810, et. seq.

3.4 "Liaison to Customer Service Department': A person appointed by the division or mode to address customer service feedback reports.

3.5 'Ready For Supervisor RevieW' or "RFSR": The step in the customer service feedback process where the customer service representatives provide customer service the required information to respond back to the customer.

3.6       'Reporting Party/' or "RP': The person who provided the customer service feedback.

            3.7       'Prima Facie": A fact presumed to be true unless or until it is disproven.

3.8 'Rider Report Database": Database in which all customer feedback reports, relevant information derived from NCTD employees or contractors, and responses to the customer are stored.

            3.9       "Title VI": Title VI provision of the Civil Rights Act of 1964.

4.0    Responsibility:

4.1 All CSAs are responsible for understanding this procedure and referring any questions or ambiguities to the Manager of Customer Service, Customer Service Supervisor, or the CSA Team Lead.

4.2 The Manager of Customer Service is responsible for ensuring that CSAs maintain and respond to customer feedback reports in a timely fashion as set forth in this procedure.

4.3 Each Division and mode contractor will appoint a person or persons to ensure that customer feedback reports are addressed in a timely manner within their respective area of responsibility.

5.0      Policy/Reference:

            5.1        Government Liability Claim (Government Code sections 810, et. seq.)

            5.2     Title VI of the Civil Rights Act of 1964

            5.3      Unruh Civil Rights Act

            5.4       Americans with Disabilities Act of 1990

            5.5       Board Policy 26 — Discrimination Complaint Procedures

5.6       Administrative Policy and Procedures GM-0007 — Prohibition of Sexual Harassment

6.0      Procedure:

6.1 A customer may contact NCTD in one of the following ways: in person, over the phone, via e-mail, using the GoNCTD.com form, via fax, or via mail. NCTD captures this information in a customer feedback report and codes it as a compliment, comment/request, or complaint.

6.2 If a customer provides feedback in person or over the phone and the CSA has information that can explain the situation, the CSA should provide the information to the customer at the time of contact (for example, late buses due to an accident, a no-notice detour, etc.). The CSA should always ask the customer if they would like to file a customer feedback report.

6.3 The CSA must process the report into the Rider Report Database the same day the customer files the report. Reports filed under exceptional circumstances, such as emails received after business hours, may be entered on the following business day. The CSA will ensure that all of the following pertinent information is entered: reporting party (RP) name, RP contact information, date and time of incident, location, destination/direction, route number (if applicable), vehicle number (if applicable), operator name or description, and a detailed account of the incident. Should this information not be included in the customer's report, the CSA must attempt to contact the customer to obtain this information prior to entering the report into the Rider Report Database.

6.4 Each Division and mode contractor will appoint a liaison to the Customer Service Department (Customer Service Liaison) and provide that person's contact information to the Manager of Customer Service. The Customer Service Liaison will be responsible for ensuring that the respective Division or mode addresses all customer feedback reports and root causes in a thorough and timely manner. Each Division and mode contractor will also provide the Manager of Customer Service a list of any other personnel who should receive copies of all customer feedback reports. Responses to customer feedback reports must be submitted to the Customer Service Department so that a response can be delivered to the customer within five (5) business days (see 6.8)

NCTD's Mode Managers will monitor the complaints and the Contractors' responsiveness to the complaint, ensuring that they are all investigated, and any necessary corrective action is applied.

            6.5       When entering customer feedback reports into the database, the CSA will:

  • Determine the nature of the report (complaint, compliment, or comment/request) and will label the report as such.
  • Categorize by mode, route, and detailed issue.
  • Tag if issue is potentially related to Americans with Disabilities Act (ADA), Title VI or Liability Claim.
  • Assign the report in the database to the appropriate Division or mode contractor.
  • Email the report to the applicable Customer Service Liaison to the Customer Service Department and copy any additional personnel identified by the Division and mode contractor.

6.6 The Division or mode Customer Service Liaison must research and provide a response to the customer feedback report. The Customer Service Liaison must email the response to the originating CSA who will then enter into the Rider Report Database and mark Ready For Supervisor Review (RFSR). A CSA will then review the response; if the response is inadequate, the CSA will send it back for clarity or additional information. All responses shall include a detailed review of the investigation into the report including the following:

  • Methodology of investigation (employee interview, video review, etc.). Video should be reviewed whenever feasible, with a copy retained as back up to the investigation file. The video request process must be initiated immediately due to time and space constraints.
  • Specific information gathered from investigation.
  • Any corrective action taken following the investigation.
  • Operator/ Employee incident report.
  • Copy of video pulled (if applicable).
  • Operator/ Employee identification number and first initial/last name for trend and tracking purposes.
    1. The Manager of Customer Service, Customer Service Supervisor, or CSA Team Lead will develop a formal response and relay the information back to the customer in the same manner used by the customer to submit the report, unless the customer has requested a different method for response, (i.e., via phone, e-mail, or letter). Responses must include a restatement of the customer's observations and will inform the customer about action NCTD intends to take, if any, in response to the report. NCTD's response shall not include the name of the NCTD employee(s) or contracted employee(s) involved in the situation, nor will it include any disciplinary actions taken against the NCTD employee(s) or contracted employee(s) other than stating that any necessary corrective action will be taken. While many responses require only a simple return phone call or email, responses to more complex items or those where NCTD Board Members are included in the customer feedback, require a more thorough review process which includes appropriate review by applicable Division Chiefs, General Counsel, and/or the Executive Director. The Manager of Customer Service shall ensure that such items are identified promptly and receive the appropriate approvals prior to customer response. This approval shall include prior review of any responsive email or letters, utilizing Laserfiche workflows as applicable, before delivery to the customer.
    2. The customer must receive a response with a resolution within five (5) business days of NCTD's initial receipt of the report, with the noted exceptions below:
  • On occasion, resolving a customer report may take longer than five business days due to the nature and complexity of the issue. In such cases, the Customer Service Liaison will contact the Manager of Customer Service, Customer Service Supervisor, or the Lead CSA who will in turn contact the customer within the initial five (5) business days to inform him/her when to expect a response.
  • Should a response be delayed at the Division or mode level for more than five

(5) business days, the Manager of Customer Service, Customer Service Supervisor, or the Lead CSA will generate an email notification to the applicable Customer Service Liaison. The email notification will inform the recipient that the response to the customer is due within forty-eight (48) hours of receipt of the reminder notification.

  • Should a response be delayed at the Division or mode level for more than fortyeight (48) hours from the date of the reminder notification, the Manager of Customer Service will bring the item to the attention of the applicable Division Chief and the Chief Administrative Officer.

6.9 NCTD's Civil Rights Officer (CRO) will review customer feedback reports that contain information regarding potential ADA violations. Mode Contractors will provide the documents, media, and information identified below at the Civil Rights Officer's request. The CRO will conduct an independent investigation of the alleged violations and act according to the findings.

  • Respondent contractor employees' statement of the incident/incident report.
  • Witness statements from any other contractor employees involved.
  • Video/Audio of the alleged incident. If video is not available, the contractor must provide an explanation.
  • Provide any history of previous similar complaints against the respondent contractors' employee (nature of the allegations and if they were substantiated).
  • Demonstrate the most recent training record of the respondent contractors' employee with regard to the specific incident (date of the last training session and the type of training received [Title VI/Unruh, Customer Service, ADA, Safety, etc.]).
    1. Customer feedback reports that contain information regarding potential violations of the Title VI provision of the Civil Rights Act of 1964 and/or the Unruh Civil Rights Act will be forwarded to NCTD's CRO for a thorough review. Mode Contractors will provide the documents, media, and information identified in Section 6.11 below. The CRO will contact the customer within five (5) business days to clarify the complaint and advise the customer of his/her rights under the provisions of the Civil Rights Act of 1964. The CRO will provide the customer with a Title VI complaint form if requested. If the customer provides sufficient information to establish prima facie, the CRO will fully investigate the matter. The CRO will deliver a formal written response to the customer within forty-five (45) calendar days following the completion of the investigation. The deadline may be extended beyond the 45 calendar days by the Civil Rights Officer for good cause. The Customer Service Department will not make contact with the customer regarding any response to their report unless directed to do so by the CRO or General Counsel. The Customer Service Department will note in the Rider Report Database the date the report was closed out by the CRO, but no other information shall be included.
    2. The following information will be submitted by the Mode Contractors to the CRO for customer feedback reports that contain information regarding potential violations of the Title VI provision of the Civil Rights Act of 1964 and/or the Unruh Civil Rights Act:
  • Respondent contractor employees' statement of the incident/incident report.
  • Witness statements from any other contractor employees involved.
  • Video/Audio of the alleged incident. If video is not available, the contractor must provide an explanation.
  • Provide any history of previous similar complaints against the respondent contractors' employee (nature of the allegations and if they were substantiated).
  • Demonstrate the most recent training record of the respondent contractors' employee with regard to the specific incident (date of the last training session and the type of training received [Title VI/Unruh, Customer Service, ADA, Safety, etc.]).
    1. Customer feedback reports that contain injury or accident claims (Liability Claims) by a customer will be forwarded to NCTD's Claims and Insurance Specialist for further research and/or submission to the applicable mode contractor as appropriate. The appropriate Customer Service Liaison will still provide a response to the rest of the report (excluding the injury and/or accident claim). The Customer Service Department shall not make contact with the customer who submitted the feedback report unless directed to do so by NCTD's Insurance and Risk Management Specialist or by General Counsel.
    2. Customer feedback reports that contain information that may jeopardize the safety and/or security of customers, NCTD or contracted personnel, or NCTD facilities will be immediately forwarded to the Chief of Safety and Security.
    3. Instances may occur in which a citizen provides feedback about NCTD's service directly to a policymaker or other interested stakeholder(s), which is then forwarded to NCTD for resolution. These cases require a higher priority and an enhanced level of sensitivity when responding. Once this information arrives at NCTD, the NCTD staff member or contractor who receives this information must forward it to the Customer Service Department for tracking, as well as to the appropriate Division Chief for a response within two (2) business days. Either the Division Chief (after coordinating with the Executive Director) or the Executive Director must sign off on all responses. In most cases, a formal letter will be drafted and routed through the Document Management System outgoing correspondence workflow. Copies of the response will be forwarded to the policymaker or interested stakeholder(s) who forwarded NCTD the information and to the Customer Service Department to close out the customer feedback report.
    1. Records:
    2. Rider Report records are currently retained in the Rider Report database. At a future date, they will be migrated into the new Customer Relationship Management system.
    3. The Manager of Administration shall retain copies of all original approved and superseded administrative policies and procedures in compliance with NCTD Administrative Policy and Procedure GM-0000, Policy and Procedure Development and Management.

8.0    Appendices:

None

9.0      Training Requirements:

During an initial training period, the Manager of Customer Service will train all CSAs on the correct procedure for processing Rider Reports. The Manager of Customer Service, Customer Service Supervisor, and the CSA Team Lead will regularly evaluate all CSAs on this process. Other stakeholders in the feedback process (CRO, Paratransit Program Services Administrator, Mode Managers, Claims and Insurance Specialist, contractors) shall be trained in cooperation by the respective Division Chief and the Manager of Customer Service.

10.0 Approval Information:

DIVISION CHIEF SIGNATURE

GENERAL COUNSEL SIGNATURE

EXECUTIVE DIRECTOR SIGNATURE

Karen L. Tucholski         04/23/2019

Chief Administrative Officer

Lori A. Winfree 04/23/2019 General Counsel

Matthew O. Tucker                04/23/2019 Executive Director

REVISION RECORD:

The Revision Record shall include a listing of all substantive changes made to an Administrative Policy and Procedure. The Revision Record shall also be used as the location to explain if the document has been designated INACTIVE.

DATE

REVISION NUMBER

COMMENTS

06/14/2013

ADOPTION

02/05/2016

1

POLICY TRANSFERRED FROM OPERATIONS TO

ADMINISTRATION, RENUMBERED FROM OPS-3004 TO ADM1011

05/31/2017

2

04/10/2018

3

ANNUAL UPDATE

04/23/2019

4

ANNUAL UPDATE

Keywords: Feedback Complaints