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Originally Processed With FOIA(s): foia Number: S S FOIA MARKER This is not a textual record. This is used as an administrative marker by the George Bush Presidential Library Staff. Record Group/Collection: Donated Historical Materials Collection/Office of Origin: Frieden, Lex, Collection Series: Printed Materials Subseries: Reference Materials OA/ID Number: 52163 Folder ID Number: 52163-002 Folder Title: Transportation Suits [1975-1977] Stack: Row: Section: Shelf: Position: OF THE SECRETARY OF TRANSPORTATION WASHINGTON, D.C. 20590 UNITED AMERICA STATES OF May 19, 1977 DECISION OF BROCK ADAMS, SECRETARY OF TRANSPORTATION, TO MANDATE TRANSBUS INTRODUCTION The question before me is whether to mandate or encourage the acquisition of a low-floor, ramped bus ("Transbus") by all local transit authorities seeking federal assistance for the purchase of standard-size mass transit buses, after a certain date. Fur- ther questions include: if Transbus is mandated, what should be (i) the effective date of the mandate; (ii) the design of the bus; (iii) the federal role in introducing the bus; and (iv) the interim bus acquisition policy. In 1971, the Urban Mass Transportation Administration ("UMTA") of the Department of Transportation ("DOT") initiated a major research project to develop an improved transit bus that would attract mass ridership, be accessible to those elderly and handicapped persons for whom the high floors and stairs of current buses provide serious obstacles and encourage continued competition among the manufacturers of transit buses. UMTA enlisted the aid of the three major domestic bus manufacturers, AM General, General Motors and the Flxible Co. (a wholly-owned subsidiary of Rohr Industries), to supply prototypes of such a bus for testing. Prototypes were built by all three manufactu- rers, tested by UMTA contractors and demonstrated in actual service in four cities. This process enabled the development of draft specifi- cations for production of Transbus. In July 1976, Robert E. Patricelli, who was then UMTA Administrator, announced that DOT would not mandate Transbus. Instead, the agency would permit the introduction of an advanced design bus ("ADB"), would mandate requirements for making buses accessible to elderly and handi- capped passengers (to become effective on February 15, 1977) and would provide funds for research and development of under-the-floor components that would be needed by a low-floor bus in the future. This decision generated considerable public dišcussion. Many elderly and handicapped 2 groups asserted that the bus accessibility requirements were unsatisfactory. Litigation was initiated challenging UMTA's authority to fund acquisition of ADBs. Work on developing Transbus came to a virtual halt. Shortly after I was sworn in as Secretary of Transportation in January, I took several steps to address these issues. First, I announced that the decision against mandating Transbus would be reconsidered and a public hearing on the matter would be held on March 15. Second, I waived that portion of the regulations on accessibility for the elderly and handicapped that might have been inconsistent with a future decision on Transbus, until after that decision was made. Third, I initiated new policies and procedures for the interim acquisition of ADBs. A decision on Transbus was promised by May 27. In reviewing this matter I have had available to me the record on which former Administrator Patricelli based his decision, the tran- script of the March 15 public hearing, written material subsequently submitted for the record, summaries of staff discussions with inter- ested parties, also in the record, and, of course, the relevant statutes which I am responsible for administering. THE DECISION After carefully weighing the data and views submitted by manufactu- rers, the American Public Transit Association ("APTA"), individual transit authorities, groups representing the elderly and handicapped and others, I have decided, for the reasons stated below, to mandate Transbus. This mandate will take the form of requiring the use of a Transbus specification for all standard-size buses acquired with UMTA assistance. The mandate will apply to all procurements contain- ing vehicle specifications approved by UMTA, issued for bid after September 30, 1979. The specifications already developed after con- sultation with APTA and others will be used with some minor modifica- tions. The specifications include a requirement for a stationary floor height of not more than 22 inches, for an effective floor height including a kneeling feature of not more than 18 inches, and for a ramp for boarding and exiting. Additionally, I have decided that DOT should encourage the formation of groups of purchasers to make the initial purchases of Transbus through advertised, low-bid competitions. Progress payments will be permitted for these initial purchases. Finally, I have decided to leave in effect the interim policy on accessibility for the elderly and handicapped. That is, manufacturers must continue to offer optional wheelchair lifts, and local transit authorities must either purchase buses with lifts or provide special services for elderly and handicapped passengers. Each of these decisions is discussed more fully below. 3 THE STATUTORY FRAMEWORK In 1964, Congress responded to a growing pattern of declining ridership and increasing financial difficulties in the Nation's mass transportation systems by enacting the Urban Mass Transporta- tion Act of 1964 (UMT Act). There have been several major amend- ments since 1964, and, as amended, it continues to provide the legislative basis for the federal role in urban mass transportation. Section 2 of the UMT Act states that its purposes are: to assist in the development of improved mass transportation facilities, equipment, techniques, and methods; to encourage the planning and establishment of areawide mass transportation systems needed for economical and desirable urban development; and to provide assis- tance to State and local governments and their instrumentalities in financing such systems. To accomplish these purposes, sections 3 and 5 of the UMT Act authorize grants to State and local public bodies to assist in the financing of mass transportation related capital facilities including standard-size transit buses. The federal share of a capital facili- ties grant under section 3 is 80 percent of net project cost. Under section 5, which also authorizes payments for operating assistance, the Federal share of a capital facilities grant is a maximum of 80 percent of net project cost.- Section 6 of the UMT Act, under which the Transbus research activi- ties were funded, authorizes research, development and demonstration projects in all phases of urban mass transportation. Section 9 authorizes grants for urban mass transportation planning and technical studies. A 1970 amendment to the UMT Act declared the mass transportation needs of elderly and handicapped persons to be of national importance and required DOT to exercise a special leadership role to insure that their rights were protected. This 1970 amendment added section 16 to the Act to read, in part, as follows: SECTION 16. (a) It is hereby declared to be the national policy that elderly and handicapped persons have the same right as other persons to utilize mass transportation facilities and services; that special efforts shall be made in the planning and design of mass transportation facilities and services so that the availability to elderly and handicapped persons of mass transportation which they can effectively 1/ The Federal-Aid Highway Act of 1973 also authorizes capital assistance to mass transportation including assistance to acquire standard size transit buses. 4 utilize will be assured; and that all Federal programs offering assistance in the field of mass transportation (including the programs under this Act) should contain provisions implementing this policy. Equally important, section 504 of the Rehabilitation Act of 1973 established the right of every handicapped person to be free of discrimination in any federally-assisted program. Section 504 reads: No otherwise qualified handicapped individual in the United States shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal finan- cial assistance. Shortly after the adoption of section 16, DOT began implementing the legislative mandate requiring special federal leadership in the area of mass transportation for elderly and handicapped persons through written guidelines for UMTA grantees. UMTA also financed research and studies in the area. In April 1976, the earlier guidance to grantees was formalized and strengthened by the publi- cation of UMTA's regulations on transportation for elderly and handicapped persons. These regulations set forth a comprehensive scheme of planning, service and design requirements. DOT has long recognized that a low-floor, standard-size bus that provides access for nonambulatory and wheelchair-bound passengers would be an effective means to accommodate these several statutory mandates. The Transbus program was initiated, at least in part, to test the feasibility of such a bus. Of the methods of accomplishing accessibility that were studied and demonstrated in the Transbus program, UMTA acknowledged that the ramped Transbus emerged as the most desirable. The ramp was nonetheless not required in the spec- ifications that were subsequently developed. The existing statutory mandates regarding transportation for the elderly and handicapped and the proven feasibility of a low-floor, ramped Transbus that will result in substantial benefits to the able-bodied as well as the disabled, argue convincingly for a Transbus mandate. 5 Section 16 of the UMT Act, section 504 of the Rehabilitation Act and other statutory provisions have resulted in a number of law- suits brought by elderly and handicapped persons. Although DOT has generally been successful in that litigation, litigation success alone provides no reason to avoid or defer a federal mandate of technological improvements as they become available, especially when, as here, those improvements significantly advance the mass transportation interests of all persons, including the elderly and handicapped, and when the improvements are quite unlikely to be introduced without a federal mandate. There is one additional statutory reason, apart from improved accessibility, for mandating Transbus. First, DOT has a statu- tory obligation to assist in the development of improved mass transportation facilities and equipment. Until the recent introduction of ADBs there had been essentially no change in bus design since the advent of the "new look" bus in 1959. The advanced designs presently being offered are logical intermediate steps on the way to the introduction of Transbus, and in fact, they are in part outgrowths of the Transbus program. Yet these advanced designs fall short of accomplishing one of the major goals of the Transbus program--a low-floor with attendant benefits in boarding and exiting for all passengers. Thus, a Transbus man- date will bring to fruition the full benefits of federally-assisted research and development in the area of standard-size buses. Finally, as the transit bus market has moved to new levels of prod- uct improvement, it has become increasingly difficult to fashion procurement methods since ADBs are of somewhat different designs, with different levels of performance and, quite naturally, different prices. A Transbus mandate will provide the necessary federal leadership in the marketplace to allow transit bus manufacturers to plan investments and tooling costs around certain required minimum performance and design characteristics. This, in turn, will permit low-bid procurements that will assist in the main- tenance of a viable and competitive bus manufacturing industry based upon a predictable federal policy. 6 THE NEED FOR A MANDATE A review of the history of the Transbus program convinces me that simply encouraging Transbus will not result in its prompt introduction and may not result in its introduction even in the long-run. Even after approximately $27 million of UMTA invest- ment, all serious efforts toward producing Transbus stopped when UMTA announced in July 1976 that it would not be mandated. The history of change in bus design is not one of constant innovation. As noted earlier, the so-called "new look" bus, the one currently in use, was introduced in 1959.1/ ADBs will not be on the streets for another year and do not offer the advances of Transbus. A review of the statutes that guide this decision suggests strongly that any inclination to postpone a mandate further would thwart the intent of the Congress. A review of recent litigation suggests equally strongly that the courts are also not prepared to countenance needless delay in making urban mass transit vehicles accessible to the elderly and handicapped. Even if the Congressional and judicial concerns were not as clear as they are, I believe it is my responsibility to insure to the extent feasible that no segment of our population is needlessly denied access to public transportation. It is now within our technological capability to insure that elderly and handicapped persons are accorded access to urban mass transit buses. This access is fundamental to the ability of such persons to lead independent and productive lives. In my view, a decision assuring that access could have been made some years ago. Today, the ADB represents the state-of-the-art in bus design from the floor up. But their floor height (even with a kneeling feature) does not make them accessible to the elderly and handicapped without a wheelchair lift. The lift is an expensive piece of hardware, principally benefiting those in wheelchairs. Many of those individ- uals, however, regard the lift as degrading and have expressed con- cern about the difficulty and safety of using it. In addition, use of the lift slows bus operations since it takes time to deploy and other passengers cannot board or exit during that time. The low-floor Transbus can, on the other hand, accommodate a ramp. The ramp is swift to deploy and can be used beneficially by many passengers, including most categories of mobile elderly and handi- capped. A low-floor, ramped bus will decrease the loading and unloading time for all passengers. 1/ The lack of innovation in bus design prompted a study by the National Academy of Engineering (NAE) documenting the need for an improved transit bus. The NAE study concluded that a low-floor bus was: "The most desirable means--within the existing state of the art--for improving bus transportation." The low-floor, the NAE noted, would result in a bus that was "not only easy and comfortable to use, but usable readily and without embarrass- ment by the physically and economically handicapped, the aged, the pregnant woman, the businessman, and the young adult." 7 It is important to keep in mind that in discussing bus accessi- bility for the elderly and handicapped we are not concerned only with those confined to wheelchairs. We are concerned as well with any mobility-impaired person, a group which numbers at least 10 million. At any time there may be many other riders who are at least temporarily disabled. We cannot deny these people the rights that SO many others enjoy when it is within our ability to accord them such rights. I am acutely aware that many who are opposed to Transbus argue that it is not now within our ability to produce a low-floor, ramped bus which can operate safely and efficiently in day-to-day transit service. These objections are discussed in detail below and, in my judgment, satisfactorily refuted. Further, a Transbus mandate does not interfere with the traditional responsibility of local officials to plan for and implement mass transportation projects. Routes, schedules and fares continue to be matters of local decision and State and local officials retain the authority to plan for and implement all transit services including specialized services where these can contribute to overall mobility needs. For those communities utilizing standard-size bus service over fixed routes, the Transbus will permit faster and more efficient bus service by minimizing the time required to take on and discharge all passengers, including those who are elderly or handicapped. Better accessibility, new styling features and a better ride will attract and retain new ridership, add to the operating revenue of transit operators and enhance the image of mass transportation in every community. Moreover, testimony at the public hearing, as well as a number of comments on the Transbus question, indicate that several communities have been and continue to be vitally interested in obtain- ing low-floor standard-size buses, but have been unable to do so because of the commercial unavailability of Transbus. A Transbus mandate will permit DOT to be responsive to these locally conceived mass transportation objectives, as contemplated by the UMT Act. THE EFFECTIVE DATE OF THE MANDATE The record of the March 15 hearing (and the hearing conducted by UMTA in 1976) contains conflicting projections of when Transbus could be ready for production. AM General indicates that Transbus could be available approximately 34 months from the date of a mandate. Flxible says 36-60 months, and General Motors says five years. These manufacturers have different views about the desirability of Transbus and the adequacy of ADBs, and their existing investments reflect these judgments. 8 My analysis of the entire record convinces me that all three current manufacturers could begin deliveries in 3-1/2 years. This date allows almost 2-1/2 years for development before bidding would begin, and approximately 15 months thereafter before the buses are actually delivered. As I said in my opening remarks at the Transbus hearing, we have a very competent bus manufacturing industry and I believe com- petition, as well as innovation, must be encouraged. I am certain that these manufacturers can meet the challenge of producing Trans- bus. Additionally, I believe the pressure of effective competition among the manufacturers will result in a prompt introduction of this needed improvement. If one manufacturer is ready substantially before the effective date of the mandate, we will consider sole source procurements to get Transbus on the streets as soon as it is available. Accordingly, as I stated above, I am ordering that all bus procure- ments utilizing UMTA capital assistance funds must use the Transbus specifications after September 30, 1979. I urge those manufacturers who can to make Transbus available voluntarily at an earlier date. THE DESIGN OF TRANSBUS In connection with the research effort to develop Transbus, UMTA developed a complete procurement document - the Transbus Procurement Requirements (TPR) - for use by local transit authorities in buying Transbuses. The document contains four parts: PART I : Bid Requirements/Contractual Provisions Provides legal and other instruments for procuring coaches; PART II : Technical Specifications Specifies the buses being procured; PART III : Quality Assurance Provisions Specifies the minimum quality control require- ments in the manufacture of the buses; and PART IV ; Warranty Provisions Describes the warranty ooverage on the buses after their acceptance by local transit authorities. 9 The TPR was developed for DOT by Booz-Allen Applied Research with full participation by the APTA Bus Technology Committee, AM General, General Motors, Flxible, and UMTA. It was designed to be used by procuring agencies in competitive procurements of Transbuses under the UMTA Capital Grants Program. It was originally intended that the Transbus prototypes developed by each manufacturer would be tested and evaluated and a winning design selected for use by all manufacturers. However, while the three Transbus manufacturers met the performance requirements for Transbus prototypes, all three used different approaches based on their individual body styling, construction and manufacturing techniques. UMTA concluded that to require all three manufacturers to build buses around one manufacturer's design would put two of the manufacturers at an unnecessary competitive disadvantage and would stifle innovation. Thus, the design specification approach was abandoned on January 8, 1975, when UMTA announced a policy which would permit all three designs to qualify for production if they met a performance specification to be developed by UMTA as a result of testing and evaluation of the prototype vehicles. The specifications that were developed as a result of this decision nevertheless include certain design requirements such as floor height, door width, step riser height and tread depths intended to insure that accessibility goals are met. The specifications include options for features such as power plant size, air-conditioning, bus width, bus length, etc. The TPR requires every manufacturer to be able to bid on any specified combination of options in direct cost competition. The specifications are intended to be modified, from time to time, as improved components or designs are developed. I am today adopting, with some modifications, the specifications developed and set forth in the TPR. The most important modification is the one which makes the ramp a mandatory feature of the bus. The TPR, as modified, will be available from UMTA on June 13. In my judgment, use of this specification will promote the earliest availability of Transbus without stifling innovation in manufacture and design. THE FEDERAL ROLE IN INTRODUCING TRANSBUS As I indicated above, DOT has already invested approximately $27 million in the Transbus program. As a result of that investment we have learned what is and is not technologically feasible in 10 connection with development of a low-floor, ramped bus. We have identified the problems of the prototype buses as well as solutions to them. We have determined which components need further develop- ment, and which are presently able to be produced. In my judgment, the $27 million was well spent. I am aware that costs remain in connection with going to production models of Transbus. I am convinced, however, that this type of cost should properly be borne by the manufacturers. Direct federal fund- ing for tooling and start-up costs is not appropriate given the knowledge and experience already gained through the DOT investment. Product quality, production methods and related matters are and should be uniquely the responsibility of the manufacturer. This would not be the case had the federal investment not already proven the underlying feasibility of Transbus. We could not reasonably require manufacturers to invest in a wholly unproven technology. But, as discussed more completely elsewhere, I am convinced the technology for Transbus is proven and consequently I believe it appropriate to require the manufacturers to put that technology into production. There is, however, another important responsibility for the government to undertake in introducing Transbus into the marketplace. We should, I believe, do everything feasible to assure early purchases of sub- stantial numbers of the first production Transbuses. To this end, we will encourage formation of purchaser groups to make initial pro- curements of Transbuses from each manufacturer through advertised, low-bid competitions. While I do not think it is appropriate to allo- cate the market in an effort to guarantee that each manufacturer's bus will be bought, we will permit each consortium to make initial Trans- bus purchases from more than one manufacturer if the consortium members so desire. Additionally, we will agree to make progress payments in connection with these initial purchases to help defray start-up production costs. As I have already stated, we will also consider making sole source procurements of any manufacturer's Transbus which is available sub- stantially earlier than the others. I believe that these steps represent the maximum necessary federal role in introducing Transbus. INTERIM ACCESSIBILITY POLICY I am aware that even after Transbus is mandated purchases of con- ventional buses will continue, with UMTA financial assistance, for 11 slightly more than two years. Inasmuch as these newly purchased buses will continue in operation for 12 or more years, I believe it is necessary to announce the policy that we will follow concern- ing accessibility of mass transit for elderly and handicapped in the period before the introduction of Transbus. I have decided that our existing policy in this matter should be continued. That policy is based on requirements that all manufacturers offer optional equipment (e.g., lifts) for loading wheelchair-bound and other handicapped passengers, and that local transit authorities must either purchase accessible buses, or provide special services suitable for transporting elderly and handicapped passengers. Many handicapped passengers have expressed concern about the opera- tion and safety of the lift. Additionally, the lifts are cumbersome and time-consuming to operate and will become entirely outmoded by the Transbus ramp. They do, however, make buses accessible to mobility-impaired passengers. On the other hand, many elderly and handicapped representatives oppose special services since they require advance notification or have other disadvantages not associated with regular scheduled bus service. These representatives argue that "separate but equal" transit services are inherently unequal and do not enable elderly and handicapped persons to lead the most fully integrated lives possible. Accordingly, I believe it appropriate to allow local governments to decide how best to serve their elderly and handicapped populations until Transbus is ready for production. Those who purchase lift- equipped buses will thereby offer substantially enhanced accessibility to their elderly and handicapped citizens. Those offering special services will provide valuable experience for the period after Transbus is introduced since even fully accessible fixed route buses will not meet the transportation needs of all elderly and handicapped. DOT will carefully monitor the activities of grantees of UMTA funds to be certain that the transportation needs of elderly and handicapped citizens are being addressed. THE TECHNOLOGICAL FEASIBILITY OF TRANSBUS A critical factor in determining the desirability of a Federal man- date of Transbus is technological and economic feasibility. I find that a bus that meets the existing Transbus specifications, as modified to require a ramp, serves the needs of the elderly and handicapped, can be produced in a reasonable period of time and would be operationally acceptable. 12 Axles, tires and brakes are the most unique components of the Trans- bus. These components do not require technological breakthroughs, but merely enough time for proper development. The Transbus proto- types, manufactured by AM General, General Motors and Flxible, showed that in at least one instance the new axles were lightweight, used many existing internal subcomponents and can accommodate the current design automatic transmission. Similarly, Transbus will probably require tires which are sub- stantially smaller than those presently available. Such tires have been undergoing development for some time and could be put into production in time for Transbus deliveries. While I under- stand that these tires will have shorter lives than current tires, estimates of Transbus operating costs, as discussed later, include an assumption that the smaller tires will be used. In my view, any problems that the tires may cause are more than offset by the greater accessibility of the Transbus. Transbus brakes will also be somewhat different than existing bus brakes, yet will utilize essentially the same technology. Despite the smaller diameter wheels, the Transbus specification provides for more brake area per pound of vehicle weight than on current buses. Since this specification can be met using conventional drum brakes, very little development will be required. Several Transbus operating issues have arisen. These include road clearance, problems associated with the kneeling feature and the appro- priate width of the front door. Because the Transbus prototypes experienced minor road clearance problems, the final Transbus specifications require additional road clearance. After the pro- totypes were tested, every observed ground clearance problem was care- fully analyzed and the final specifications written so as to eliminate those problems within the limits of the prototype technology. The specifications call for road clearance equivalent to or better than that attained by all three current model buses. Some problems have been experienced in the past with the kneeling feature found on ADBs, some current buses and Transbus. First, the earliest kneeling devices did not always operate properly. This was found to be a result of corrosion within electrical components. When greater protection for that system was provided, the problem was solved. Further, there were complaints of drivers not kneeling the bus when passengers needed it. While this remains a potential problem, it can be overcome by proper driver training. A bus that can kneel to at least 18 inches will benefit all passengers, not just those who need the ramp. These benefits far outweigh the difficulties. 13 The front door width called for in the specifications is 44 inches. This is wide enough to allow room for wheelchair-bound passengers or to allow for a double stream of ambulatory passengers. This feature is desired by many operators because it allows an inbound and outbound stream at the same time, thus shortening the loading and unloading time. Some operators prefer a narrow (24") door making a double stream impossible and, therefore, fares easier to collect. The productivity improvements stemming from the wide door and consequent reduced loading time should more than offset any occasional inconvenience in fare collection, and the wide door is a prerequisite to achieving accessibility. For these reasons, the narrow door option has been dropped from the specifications. The record of the public hearing and studies done for UMTA demon- strate the efficacy of the ramp in providing access for those with mobility impairments. The Transbus specifications call for a ramp that will yield the full benefit of this technology. The specifi- cations provide that the maximum ramp angle on a level street with no curb must not be more than 14 degrees. This means that on a level street with a six-inch curb, the ramp angle will be less than ten degrees; even with a typical crowned street and no curb, the ramp angle would be approximately 15 degrees. This is within the range in which most wheelchair-bound persons can be expected to make unassisted entry although in some cases those in wheel- chairs may need assistance in exiting. These angles can be accommodated with a ramp not more than 6 feet long and a slight incline where the ramp meets the bus floor. This type of technology has already been utilized by at least one of the prototype manufacturers. Probably the most complex feasibility questions with respect to Transbus involve its economic viability. The Transbus prototypes included spacious seating arrangements with seating capacity for 42 to 43 people as compared to the maximum seating capacity of current production buses of 51 to 53. Actually, Transbus could have a seating capacity of 47 if it is designed with that goal in mind. ADBs seat between 43-47 passengers, depending on their seat design. Therefore, I do not believe that there will be a serious loss of seating capacity. Moreover, full load capacity is more relevant in determining transit system revenues, and Transbus will have a full load capacity comparable to current buses. A similar situation exists with regard to weight and fuel economy. The Transbus specifications require that curb weight not exceed 26,000 pounds. This weight is about 1,000 to 2,000 pounds more than current production buses but is the same as the ADB specifications. The added 14 weight is a reflection of the need for an additional axle and related components. Transbus reliability and maintainability have become issues as a result of the greater complexity of Transbus prototypes, especially as compared to current buses. The low- floor of the Transbus necessitates greater mechanical complexity in the running gear of the bus, but does not necessitate new or unique technology. It is important to remember that there has been no significant change in bus design in almost 20 years. It is not surprising, therefore, that those with responsibility for maintaining buses are concerned. Experience and familiarity with these changes and good product design will remedy this problem. I am, therefore, convinced that bus maintainability and reliability will not be seriously affected. Above the floor, Transbus will be similar to ADBs. We will have had considerable experience with ADBs before Transbuses are actually on the street. Because of its greater complexity, smaller diameter tires and slightly increased weight, the Transbus will cost more than the current bus. The most reliable cost estimates indicate that, while the initial cost of Transbus will be approximately 15 to 18 percent more than current buses, this is only about five percent more than ADBs. A comprehensive analysis of cost estimates showed that the Transbus would have operating costs only about one percent higher than current buses. I conclude that these added costs are not unreasonable in light of the substantial benefits to all bus riders which Transbus will provide. Bood Secretary of Transportation Washington, D.C. al United States Court of Appeals FOR THE EIGHTH CIRCUIT No. 76-1369 United Handicapped Federation, : a Minnesota Non-Profit : Corporation, et al., : : Appellants, : Appeal from the United States : District Court for the V. : District of Minnesota : Camille D. Andre, Individually : and in his official capacity : as Chief Administrator of : Metropolitan Transit : Commission, et al., : : Appellees. : Submitted: February 15, 1977 Filed: June 21, 1977 Before LAY and STEPHENSON, Circuit Judges, and SMITH, * Senior District Judge. LAY, Circuit Judge. This is a civil action brought by the United Handicapped Federation, the National Paraplegia Foundation, and six mobility handicapped individuals against officials of the Metropolitan Transit Commission (MTC), the Secretary of the United States Department of Transportation, the Admini- strator of the Urban Mass Transportation Administration (UMTA), and the AM General Corporation. The complaint alleges that the defendants failed to make urban mass transit equipment. *TALBOT SMITH, Senior District Judge, Eastern District of Michigan, sitting by designation. purchased with federal financial aid fully accessible to all handicapped persons. Plaintiffs allege that the defendants have violated the Fourteenth Amendment to the United States Constitution, $ 504 of the Rehabilitation Act of 1973, 1 S 16 (a) of the Urban Mass Transportation Act of 1964 as amended, 2 §§ 105 (a) and (b) of the Federal-Aid Highway Amendments of 1974, 3 § 315 of the Department of Transportation and Related Agencies Appropriations Act of 1975, 4 Minn. Stat. Ann. Chapt. 256C, and 42 U.S.C. $5 1983 and 1985 (3). Plaintiffs originally sought preliminary injunctive relief to restrain MTC and UMTA 5 from the purchase of 338 standard size buses which were to be used in a seven-county metropolitan area and which were not equipped to transport passengers confined to wheelchairs. The district court denied a preliminary injunction and the buses were subsequently delivered and payment made. The plaintiffs continued to seek declaratory and other injunctive relief. On March 11, 1976, the district court, the Honorable Donald D. Alsop, granted defendants' motion for summary judgment, ruling that none of the statutes relied on by plaintiffs required that every standard size bus purchased with federal assistance be specially equipped to transport 1 29 U.S.C. § 794. 2 49 U.S.C. $ 1612. 3 Pub.L. No. 93-643, 88 Stat. 2282. 4 Pub.L. No. 93-391, 88 Stat. 781. 5 UMTA was to contribute 80 per cent of the funding for the buses. -2- passengers confined to wheel chairs. 6 He further held that defendants had made "special efforts" to aid the elderly and handicapped in utilization of the mass transportation system. Finding no violations of the statutes or of the Constitution, the district court stated: UMTA has, in accordance with the mandate of Congress pursuant to the Urban Mass Transportation (UMT) Act of 1964, as amended, 49 U.S.C. § 1601 et seq carried on extensive research, planning, and design of mass transportation services and facilities to provide for effective utilization handicapped. Included in these efforts are the of mass transportation by the elderly and physically ongoing research and devleopment of facilities and services, approval of grants for the purchase of vans and small buses equipped to meet the needs of the elderly and handicapped, development of the "TRANSBUS, publication of Notice of Rulemaking, and a requirement in grant approvals that the elderly and handicapped be charged reduced rates during non-peak hours. United Handicapped Federation V. Andre, 409 F. Supp. 1297, 1299 (D. Minn. 1976) 7 6 At the time of the district court's opinion several other suits seeking the same or similar relief had been brought or were pending in other district courts. See, e.g., Webb V. Miami Valley Regional Transit Authority, Civ. No. C-3-75-67, (S.D. Ohio, Jan. 19, 1976) ; Llovd V. Illinois Regional Transp. Authority, No. 75-C-1834 (N.D. Ill., filed Mar. 16, 1976) rev'd, No. 76-1524 (7th Cir., filed Jan. 8, 1977) ; and Snowden V. Birmingham-Jefferson County Transit Authority, 407 F. Supp. 394 (N.D. Ala. 1975), aff'd, No. 75-3411 (5th Cir., filed Apr. 21, 1977). 7 declares it to be a national policy that: The Urban Mass Transportation Act of 1964, as amended, [E]lderly and handicapped persons have the same right as other persons to utilize mass trans- portation facilities and services; that special efforts shall be made in the planning and design of mass transportation facilities and services SO that the availability to elderly and handicapped -3- Although Judge Alsop found that defendants were in full compliance with the "special efforts" requirements under the laws, we note that his decision was rendered prior to the issuance of UMTA regulations, in part under the authority of § 504 Judge Alsop's opinion does not discuss whether the plaintiffs have any standing to bring a private claim for relief or whether any of the statutes place affirmative duties on the defendants. We assume the district court felt it did not have to pass on these issues since, in any event, it found that defendants had complied with the statutes. In Lloyd V. Illinois Regional Transp. Authority, NO. 75-C-1834 (N.D. Ill., filed Mar. 16, 1976), rev'd, No. 76- 1524 (7th Cir., filed Jan. 8, 1977), the district court granted defendant's motion for summary judgment under a complaint similar to the one filed here. The Seventh Circuit reversed finding that $ 504 8 did place affirmative duties on the mass 7 (continued) persons of mass transportation which they can effectively utilize will be assured; and that all Federal programs offering assistance in the field of mass transportation (including the programs under this chapter) should contain provisions implementing this policy. 49 U.S.C. § 1612. 8 Section 504 of the Rehabilitation Act of 1973 provides: No otherwise qualified handicapped individual in the United States, shall, solely by réason of his handicap, be excluded from the participa- tion in, be denied the benefits of, or be sub- jected to discrimination under any program or activity receiving Federal financial assistance. 29 U.S.C. § 794. -4- public transportation systems in that region, and that plaintiffs (who were defined as a class of mobility disabled persons in the northeastern region of Illinois) had standing to seek declaratory and injunctive relief under § 504 and regulations. See Lloyd V. Regional Transp. Authority, No. 76-1524 (7th Cir., filed Jan. 8, 1977). Although the postures at the time of appeal of the Lloyd case and the present one appear different (in Lloyd the district court dismissed the complaint for failure to state a claim for relief; here the district court granted summary judgment on the merits), they are parallel in that all plaintiffs are denied relief. In one sense, the district court's action here is more final than in Lloyd since no further relief can be forthcoming. After reviewing the Seventh Circuit's reversal in the Lloyd case we find we must remand to the district court for reconsideration of defendants' duties under the statutes and administrative regulations and guidelines. We adhere to the reasoning of Judge Cummings in his excellent analysis in the Lloyd appeal, and find that § 504 does create an affirmative duty on the part of these defendants. We also agree that plaintiffs do have standing to bring a private cause of action. Subsequent to the district court's decision, regulations and accompanying guidelines were promulgated and became effective May 31, 1976. See 49 C.F.R. 609.1 - 609.25 and 613.204. One regulation provides that the UMTA administrator -5- will grant project approvals only if: (a) The urban transportation planning process exhibits satisfactory special efforts in planning public mass transportation facilities and services that can be utilized by elderly and handicapped persons; and (b) The annual element of the transportation improvement program developed pursuant to 23 CFR 450.118 and submitted after September 30, 1976, contains projects or project elements designed to benefit elderly and handicapped persons, specifically including wheelchair users and those with semi-ambulatory capabilities; and (c) After September 30, 1977, reasonable progress has been demonstrated in implementing previously programmed projects. 49 C.F.R. § 613.204 (emphasis added) Guidance on the meaning of special efforts in planning is set forth in 23 C.F.R. Part 450, Subpart A, issued simultaneously with the above regulations: The urban transportation planning process must include special efforts to plan public mass transportation facilities and service that can effectively be utilized by elderly and handi- capped persons. As used in this guidance, the term "special efforts" refers both to service - for elderly and handicapped persons in general and specifically to service for wheelchair users and semiambulatory persons. With regard to trans- portation for wheelchair users and others who cannot negotiate steps, "special efforts" in planning means genuine, good-faith progress in planning service for wheelchair users and semi- ambulatory handicapped persons that is reasonable by comparison with the service provided to the general public and that meets a significant fraction of the actual transportation needs of such persons within a reasonable time period. (Emphasis added) Examples of what affirmative duties will satisfy "special -6- efforts" requirements are given in 49 C.F.R. Part 613, Subpart B. 9 In addition to these positive examples, proposed regulations of the Health, Education, and Welfare Department indicate what recipients of federal assistance may not do. See 45 C.F.R. $ 84.4. 10 On the basis of the record before the district court, if it were not for the subsequent promulgation of the adminis- trative guidelines and regulations, we would agree. with the district court's result. However, we feel that the denial of 9 One example of a level of effort that will be deemed to satisfy the "special efforts" requirement is: Purchase of only wheelchair-accessible new fixed route equipment until one-half of the fleet is accessible, or, in the alternative, provision of a substitute service that would provide comparable coverage and service levels. 49 C.F.R. Part 613, Subpart B (Appendix). . 10 Under the proposed Health, Education, and Welfare Department regulations a federal assistance recipient could not, for example: Provide a qualified handicapped person with aid, benefit, or service which is not as effective as that provided to others; [or] Otherwise limit a qualified handicapped person in the enjoyment of any right, privilege, advantage or opportunity enjoyed by others receiving an aid, benefit or service. 45 C.F.R. § 84.4 (b) (1) (ii) and (iv). Moreover § 84.4 (b) (2) would establish that: A recipient may not provide different or separate aid, benefits or services to handicapped persons unless such action is necessary to provide qualified handicapped persons with aid, benefits, or services which are as effective as those provided to others. -7- relief to the plaintiffs cannot be justified in light of these recent definitions and guidelines. Although the buses in question here have been purchased and placed in service, because of the recent developments the defendants now have the burden to take affirmative action to conform to the regulations and guidelines. It is difficult to assess the record and the 11 statutes in any other light. Under the circumstances we vacate the grant of summary judgment and remand to the district court for further pro- ceedings. The district court, upon receiving further evidence, should reappraise defendants' compliance with the statutes, regulations and guidelines, and fashion whatever equitable relief it deems necessary. A true copy. Attest: CLERK, U. S. COURT OF APPEALS, EIGHTH CIRCUIT. 11 On May 19, 1977, Brock Adams, the Secretary of Transportation, issued a decision mandating the use of a low- floor, ramped bus, "Transbus," by all local transit authorities seeking federal assistance for the purchase of standard-size mass transit buses, after September 30, 1979. In the interim the present policy on accessibility for the elderly and handi- capped contained in the statutes, guidelines and regulations is to continue. Adams stated: [M] anufacturers must continue to offer optional wheelchair lifts, and local transit authorities must either purchase buses with lifts or provide special services for elderly and handicapped passengers. -8- IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA DISABLED IN ACTION OF PENNSYLVANIA, Inc. : CIVIL ACTION NO. 1319 McKinley Street Philadelphia, Pennsylvania : PARALYZED VETERANS OF AMERICA, Inc. : 7315 Wisconsin Avenue Room 301 West Washington, D.C. : AMERICAN COALITION OF CITIZENS WITH : DISABILITIES, Inc. 1346 Connecticut Avenue, N.W. : Room 308 Washington, D.C. : DISABLED IN ACTION OF BALTIMORE : 743 Overbrook Road : Baltimore, Maryland DISABLED IN ACTION OF NEW YORK, LTD. : 175 Willoughby Street Brooklyn, New York : DISABLED IN ACTION OF NEW JERSEY, Inc. : 440 Rutherford Avenue : Lyndhurst, New Jersey NATIONAL CAPITOL AREA CHAPTER OF THE : NATIONAL PARAPLEGIA FOUNDATION, Inc. 5522 Greystone Street Washington, D.C. : NATIONAL CAUCUS ON THE BLACK AGED : 1730 M Street, N.W. Suite 811 Washington, D.C. : NATIONAL CONGRESS OF ORGANIZATIONS : OF THE PHYSICALLY HANDICAPPED, Inc. 7611 Oakland Avenue Minneapolis, Minnesota : NATIONAL COUNCIL OF SENIOR CITIZENS, Inc. : 1511 K Street, N.W. Washington, D.C. : CLASS ACTION PENNSYLVANIA ASSOCIATION OF OLDER : PERSONS, Inc. : Suite 411 10 South Market Square Harrisburg, Pennsylvania : UNITED CEREBRAL PALSY ASSOCIATION : OF PENNSYLVANIA 1719 North Front Street Harrisburg, Pennsylvania : on their own behalf and on behalf of their : members, Plaintiffs : JAY NEUMAN : 1460 Devereaux Avenue Philadelphia, Pennsylvania : AL MARCUS . : 1319 Magee Avenue Philadelphia, Pennsylvania : JOYCE BROCK : 5466 Baltimore Avenue Philadelphia, Pennsylvania : DEREK BOWEN : 313 West Manheim Street Philadelphia, Pennsylvania : HARRY BURNS : Mayfair House Apartments Lincoln Drive and Johnson Street Philadelphia, Pennsylvania : EMIL SABATINI : 909 Wynnewood Road Philadelphia, Pennsylvania : SONIA STEIN : 1303 Hellerman Street Philadelphia, Pennsylvania : on behalf of themselves and all others : similarly situated, Plaintiffs : vs. : -2- WILLIAM T. COLEMAN, JR., Secretary : United States Department of Transportation 400 7th Street, N.W. Washington, D.C. : ROBERT E. PATRICELLI, Administrator, : Urban Mass Transportation Administration 400 7th Street, N.W. Washington, D.C. : NORBERT T. TIEMANN, Administrator, : Federal Highway Administration 400 7th Street, N.W. Washington, D.C. : Individually and in their official capacities, : Defendants : COMPLAINT "Of all inventions, the alphabet and the printing press excepted, those inventions that abridge distance have done most for the civilization of our species." Thomas Babington Macaulay "It is hereby declared to be the national policy that elderly and handicapped persons have the same right as other persons to utilize mass transportation services; that special efforts shall be made in the planning, design, construction, and operation of mass transportation facilities and services so that the availability to elderly and handicapped persons of mass transportation which they can effectively utilize will be assured; and that all Federal programs offering assistance in the field of mass transportation ... effectively implement this policy." The Federal-Aid Highway Act Amendments of 1974, § 105(a), 23 U.S.C. $ 142 nt.; The Urban Mass Trans- portation Assistance Act of 1970, § 8, 49 U.S.C. § 1612(a). "When this policy was first enunciated in my amendment to the 1970 Urban Mass Transportation Assistance Act, -3- it was hailed as the emanicipation proclamation for the handicapped. "Heretofore, handicapped Americans were relegated to separate and unequal transit systems--systems that were very costly not only to the Government, but also to the individual user. My 1970 amendment sought to require that design and construction of all new mass transit systems, equipment, and facilities be totally accessible to the elderly and handicapped." Statement of Congressman Biaggi on the floor of the United States House of Representatives, June 19, 1974, 120 Cong. Rec. 5309. I. Preliminary Statement 1. This is an action by mobile disabled and elderly persons and their organizations for declaratory and injunctive relief to compel the Secretary of Transportation, the Urban Mass Transportation Administrator, and the Federal Highway Administrator to require that federal financial assistance be used only to purchase low floor, wide door, ramped buses and otherwise to assure the availability to elderly and handicapped persons of public transportation which they can effectively utilize, as the Congress has repeatedly mandated, in the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. SS 1602(a)(1) and 1612(a); the Federal-Aid Highway Acts of 1973, as amended, 23 U.S.C. $ 142 nt.; the Department of Transportation and Related Agencies Appropriations Act of 1975, un 315, Pub. L. 93-391; and the Rehabilita- tion Act of 1973, 29 U.S.C. § 794. 2. Defendants have completed a major nine-year $27, 000, 000 research and development project known as TRANSBUS to build a new genera- tion of full-size transit buses designed and equipped to effectively accomodate mobile disabled and elderly passengers. The TRANSBUS project has produced a low floor, wide door, ramped bus which has been demonstrated to be safe, -4- reliable, attractive to all segments of the public, and capable of improving public transportation and increasing bus ridership and transit revenues. 3. The low floor, wide door, ramped TRANSBUS is the only tech- nologically proven design which will assure mobile disabled and elderly persons ready access to and effective use of public transportation. Such an accessible vehicle will not be produced and put into operation unless defendants require TRANSBUS as the standard bus design for public transit operating agencies purchasing buses with federal financial assistance. 4. Instead of requiring the use of federal financial assistance to purchase only the low floor, wide door, ramped TRANSBUS, defendants have adopted policies, promulgated regulations, and engaged in practices which perpetuate major physical and structural barriers in the design of transit equipment, which exclude mobile disabled and elderly people from effective utilization of public transportation, which preclude the production of an accessible, full-size bus, and which confine mobile disabled and elderly people to prohibitively expensive, segregated transportation facilities. 5. The allegations of this Complaint are set forth as follows: Page No. Jurisdiction 7 Venue 7 Parties 8 Organizational Plaintiffs 8 Individual Plaintiffs 16 Defendants 25 Class Action Allegations 26 -5- Page No. Statement of the Claim 32 Federal Public Mass Transportation Assistance 32 Programs The Duties of Defendants 34 The Technological Possibilities 39 The Requirements of the Market 51 The Failures of Defendants 55 Bases for Relief 64 Relief 66 -6- II. Jurisdiction 6. This being an action for declaratory and injunctive relief to compel officers of an agency of the United States to perform duties owed to plaintiffs, arising under the laws and the Constitution of the United States including Acts of Congress regulating commerce and providing for the protec- tion of civil rights, the jurisdiction of this Court is invoked pursuant to Title 28, U.S.C. SS 1361, 1331, 1337 and 1343(4). The matter in controversy exceeds $10, 000, exclusive of interests and costs. Relief from agency action unlawfully withheld or unreasonably delayed, from agency action which is arbitrary, capricious or an abuse of discretion, and from agency action which is short of statutory right or contrary to constitutional right, power, privilege, or immunity is authorized by Title 5, U.S.C. 55 701-706. Declaratory relief is authorized by Title 28, U.S.C. $$ 2201 and 2202. 7. Plaintiffs have no adequate remedy at law; they have suffered and will continue to suffer immediate and irreparable injury from the actions and inactions of defendants here complained of and therefore seek equitable relief. ш. Venue 8. This being an action against officers of the United States and of an agency thereof acting in their official capacities, with plaintiffs residing in this judicial district, venue properly lies in the United States District Court for the Eastern District of Pennsylvania under 28 U.S.C. g 1391 (e). -7- IV. Parties Organizational Plaintiffs 9. DISABLED IN ACTION OF PENNSYLVANIA, Inc. is a non- profit corporation founded in 1973. Disabled in Action of Pennsylvania has a membership of over 200 persons, which includes both physically disabled and able bodied individuals. A significant number of the organization's physically disabled members reside in Philadelphia within two blocks of a bus stop and cannot obtain such basic necessities as education, employment, and medical care because buses and other forms of federally funded public transportation are inaccessible to them. Disabled in Action of Pennsylvania has among its purposes the improvement of the physical and social conditions and personal well being of disabled persons through the eradication of environmental and attitudinal barriers which keep the disabled out of the mainstream of society. Disabled in Action of Pennsylvania has established a speakers bureau and standing committees on transportation, housing, and employment to represent the interests of disabled citizens. The programs, services, and financial condition of Disabled in Action, as an organization, are adversely affected by lack of accessible public transportation. The organiza- tion suffers direct and concrete injury in the following particulars: (a) Programs are curtailed, meetings are cancelled, and membership lost. (b) Organizational funds are expended on costly private transport of officers and members for meetings and other official business. (c) Disabled in Action is impeded in representation of its views and interests before public agencies such as the Delaware Regional Planning Commission, the Southeastern Pennsylvania Transportation Authority, the Pennsylvania and Philadelphia Human Relations Commission. -8- 10. PARALYZED VETERANS OF AMERICA, Inc. is a non-profit corporation founded in 1946 and chartered by the United States Congress, 85 Stat. 317. Paralyzed Veterans of America has 29 chapters throughout the country, and 10, 200 members who are spinal cord injured veterans of the United States Armed Services in World War II, the Korean War, and Vietnam. Its members are mobile in wheelchairs. Eighty-seven percent of paralyzed veterans in this country are unemployed. Among the purposes of the Paralyzed Veterans of America is the elimination of environmental barriers which restrict the ability of spinal cord injured persons to participate in occupations, and to engage in other activities available to all Americans. A significant number of the members of Paralyzed Veterans of America reside in urban areas and are denied ready access to and effective us of buses and other forms of federally financed public transportation, and are thus precluded from obtaining housing, education and training, employment, and recreation. The programs, services, and financial condition of Paralyzed Veterans of America as an organization are adversely affected by lack of accessible public transportation. The organization suffers direct and concrete injury in the following particulars: (a) Sports and recreation programs are curtailed, meetings cancelled, and membership lost. (b) Quadplegic veterans who cannot drive cannot be hired, even though a bus stops directly in front of the organiza- tion's accessible offices in Washington, D.C. (c) Organizational funds are expended for rental of private vehicles for members and other disabled veterans. Furthermore, the organization is impeded in its performance of the charge of Congress in its charter to pursue claims on behalf of veterans before the Veterans Administration and other governmental agencies by the absence of accessible public transportation. -9- 11. The AMERICAN COALITION OF CITIZENS WITH DISABILITIES, Inc. is a non-profit corporation founded in 1974, whose membership is comprised of individuals and thirty three organizations, including National Association of the Deaf, American Council for the Blind, and National Paraplegia Foundation, which represent two million disabled persons throughout the United States. Both the individual members and the members of its constituent organizations do not have ready access to buses and other forms of federally financed mass transportation. The American Coalition of Citizens with Disabilities has among its purposes the promotion of the civil and human rights of all people with physical or mental disabilities and the elimination of discriminatory practices against disabled persons in education, employment, housing, public accomodations and transportation. Accordingly, the Coalition has a direct and concrete interest in the elimination of transportation barriers which preclude its members from obtaining housing, education, and employment, and enjoying the recreational, cultural, and social activities of their communities. The programs, services and financial condition of the American Coalition are adversely affected by the lack of accessible buses and other forms of mass transportation. The Coalition suffers direct and concrete injury in the following particulars: (a) Programs and activities are curtailed, meetings cancelled and membership lost. (b) Volunteers who are disabled and do not drive cannot be recruited for programs. Volunteers who are disabled are essential to the Coalition's survival, it being an organization governed, staffed,and operated by disabled persons themselves. (c) Organizational funds are expended for rental of vans and other private vehicles to transport officers, members, staff, and volunteers. -10- 12. DISABLED IN ACTION OF BALTIMORE, DISABLED IN ACTION OF NEW YORK, LTD., and DISABLED IN ACTION OF NEW JERSEY, Inc. are associations of physically disabled people and non-disabled people with a total membership of 470 (200, 150, and 120 respectively) persons who reside in urban areas and do not have access to buses or other forms of federally funded mass transportation. The three Disabled in Action organiza- tions share among their purposes the elimination of discriminatory practices against disabled persons in education, employment, housing, public accomoda- tion, and transportation Accordingly, plaintiff organizations have a direct and concrete interest as organizations in the removal of transportation barriers which preclude its members from obtaining housing, education, and employ- ment, petitioning local, state and federal governments on individual claims and matters affecting the physically disabled, and enjoying the recreational, cultural, and social activities of Baltimore, New York, and New Jersey. The programs, services and financial condition of the three Disabled in Action associations are all abversely affected by lack of accessible buses and other forms of mass transportation. The organizations suffer direct and concrete injury in the following particulars: (a) Programs are curtailed, meetings cancelled, and membership lost. (b) Organizational funds are expended for taxi, rental of vehicles and other private transportation for members. (c) The organizations are impeded in representing organizational interests in city council hearings, state legislative meetings and other public forums. -11- 13. NATIONAL CAPITOL AREA CHAPTER OF THE NATIONAL PARAPLEGIA FOUNDATION, Inc. is a non-profit corporation founded in 1965 with a membership of 155, primarily paraplegic and quadriplegic persons who reside in the metropolitan Washington D.C. 'area and who do not have ready access to buses and other forms of federally funded mass transportation. It has among its purposes the removal of architectural, housing, and transporta- tion barriers to the handicapped; increasing employment opportunities for the handicapped; and improving and expanding rehabilitation and treatment of persons suffering spinal cord injuries. Accordingly, plaintiff has a direct and concrete interest as an organization in the elimination of transportation barriers which preclude its members from obtaining housing, education, and training, employment, and enjoying the recreational, cultural, and social activities of the Washington D.C. area. The programs, services, and financial condition of the National Capitol Area Chapter of the National Paraplegia Foundation are adversely affected by lack of accessible buses and other forms of federally funded mass transportation and the organization suffers direct and concrete injury in the following particulars: (a) Educational programs and conferences for public officials, medical and allied health pro- fessionals, and general public are curtailed; meetings are cancelled; and membership is lost. (b) Presentation of expert testimony to federal and local governmental bodies concerning paraplegia is impeded. 14. The NATIONAL CAUCUS ON THE BLACK AGED is an unincor- porated association founded in 1970 with a membership of over 1000 elderly persons many of whom reside in urban areas and are dependent on buses and -12- other forms of federally funded public transportation to meet essential needs. The National Caucus on the Black Aged has among its purposes to identify and remedy discriminatory conditions affecting the social and economic well being of aged and elderly persons, especially blacks and other minorities. Accordingly, the National Caucus on the Black Aged has a direct and concrete interest in the improvement of public transportation services and the elimina- tion of transportation barriers which preclude its members from securing health care and other basic necessities of life, and enjoying the recreational, social, and cultural activities of their communities. The programs, services, and financial condition of the National Caucus on Black Aged are adversely affected by the lack of accessible buses and other forms of federally funded mass transportation and suffers direct and concrete injury in the following particulars: (a) Programs are curtailed, meetings cancelled, and membership lost. (b) Organizational funds are expended for taxi fare for volunteers who cannot effectively use public transit. 15. NATIONAL CONGRESS OF ORGANIZATIONS OF THE PHYSI- CALLY HANDICAPPED, Inc. (COPH) is a national coalition of the physically handicapped and their organizations, founded in 1958. Its forty eight member organizations represent over 80, 000 individual members in forty nine states. The disabled persons in the coalition's member-organizations do not have ready access to buses and other forms of federally financed mass transportation. The National Congress of Organizations of the Physically Handicapped has among its purposes promoting employment opportunities, legislation, equal -13- rights, social activity and rehabilitation of physically handicapped persons. Accordingly, COPH has a direct and concrete interest in the elimination of transportation barriers which preclude its members from obtaining housing, education, training and employment, and enjoying the recreational, cultural, and social activities of their communities. The programs, services, and financial condition of COPH and its member-organizations are adversely affected by the lack of accessible buses and other forms of mass transportation. They suffer direct and concrete injury in the following particulars: (a) Programs and services are curtailed, meetings cancelled and membership lost. (b) Organizational funds are expended for taxis, vans and other private transportation for members and staff who are denied the use of public transportation. (c) Staff and volunteers who are disabled and do not drive cannot be recruited for programs and activities. (d) Representation of organizational views and interests at various public hearings and meetings is impeded and ability to petition public agencies for redress of grievances is forestalled. 16. NATIONAL COUNCIL OF SENIOR CITIZENS, Inc. is a non- profit corporation founded in 1961 to advance the health and social welfare of elderly persons. It has a membership of 3, 500 clubs representing 3, 500, 000 individuals, the great majority of whom are retired persons. Many members are disabled, or in poor health, live on low fixed incomes in urban areas and rely exclusively on public transportation to reach essential services including medical care. PENNSYLVANIA ASSOCIATION OF OLDER PERSONS (PAOP), Inc., a non-profit corporation founded in 1969 with a statewide membership of 30, 000 -14- elderly persons,is an independent affiliate of the National Council of Senior Citizens. Both the National Council of Senior Citizens and the Pennsylvania Association of Older Persons have a direct and concrete interest in improvement of mass transportation and elimination of transportation barriers which preclude their members from obtaining housing, health care and other services and enjoying the cultural, recreational, and social activities of their communities. The programs, services, and financial condition of the National Council for Senior Citizens and its affiliates and clubs are adversely affected by the lack of accessible buses and other forms of mass transportation by limitation of activities, loss of members and other injuries similar to those suffered by other organizational plaintiffs. 17. UNITED CEREBRAL PALSY ASSOCIATION OF PENNSYLVANIA is a non-profit corporation founded in 1952. It has twenty two affiliates and two service committees, serving over 6, 000 persons and representing 10, 000 persons with cerebral palsy and developmental disabilities. Persons served by United Cerebral Palsy affiliates do not have ready access to buses or other forms of federally funded public mass transportation and depend upon the affiliates for transportation. United Cerebral Palsy Association has among its purposes to promote the general welfare of persons with cerebral palsy and developmental disabilities, to assist in the establishment of centers in Pennsylvania for the educational, social,and physical betterment of individuals with cerebral palsy and other developmental disabilities, and to eliminate environmental barriers which exclude persons with cerebral palsy from education, employment and other activities available to all Pennsylvanians. The programs, services, and financial condition of United Cerebral Palsy Association of Pennsylvania and its affiliates are adversely affected by lack of -15- accessible buses and other forms of mass transportation. The Association and its affiliates have devoted a great proportion of their funds and resources to provide transportation for persons who cannot effectively use public transportation to participate in its workshops, clinics, educational and social programs. In recent years the financial burden of purchasing and maintaining vans, other specialized vehicles and otherwise paying for private transportation has threatened the survival of many United Cerebral Palsy affiliates. For some affiliates the cost of private transportation exceeds 23% of program costs. United Cerebral Palsy Association suffers direct and concrete injury from lack of accessible public transportation in the following particulars: (a) Its programs and services are curtailed. In recent weeks in Philadelphia alone, nine persons lost their jobs at a UCP vocational workshop when funds for transportation ran out. Five other persons cannot come to the workshop because there is no more room in the van. (b) Its meetings are cancelled and membership lost. Social, recreational activities have been cancelled due to lack of funds to continue to pay taxi fare for participants. (c) Organizational funds are depleted from expenditures for costly specialized transportation services rather than to provide more and better services to adults and children with cerebral palsy. Individual Plaintiffs 18. JAY NEUMAN,age 28, has cerebral palsy and hence limited use of his arms and legs. He is, however, fully mobile with an electric wheelchair. He lives at 1460 Devereaux Avenue in the northeast section of Philadelphia, Pennsylvania, within a block of a SEPTA bus stop. 19. Mr. Neuman is denied the use of public transportation because -16- the design of mass transit vehicles excludes people who otherwise enjoy independent mobility but cannot negotiate steps. 20. Mr. Neuman graduated from Philadelphia Community College and had enrolled as a part-time journalism student at Temple University. The Pennsylvania Bureau of Vocational Rehabilitation paid taxi-cab expenses for Mr. Neuman to commute to and from school, but would not do so once he found employment. Cab-fare from his home to downtown where most journalism jobs are located is $25 roundtrip. Moreover, often Mr. Neuman had to wait as much as two hours for a cab to arrive at his door, and often the cab driver would refuse to accept him as a passenger because the driver did not want the obligation of lifting him into and out of his cab. The prospect of being unable to afford to travel to work or to travel to work reliably caused Mr. Neuman to withdraw from Temple University. 21. Within the constraints of his $110 a month Supplemental Security Income, which will support only one taxi cab trip a week, Mr. Neuman is presently seeking employment. He is preparing, for example, to take a federal civil service examination, but job opportunities are severely limited because of inaccessible transportation. 22. Mr. Neuman is an active member, vice-president-elect, and chairman of the Transportation Committee of Disabled in Action of Pennsylvania, an organization devoted to securing legislative and other redress for disabled citizens. Mr. Neuman represents Disabled in Action on the Citizens Transportation Committee of the Delaware Valley Regional Planning Commission, SEPTA's Advisory Committee on the Elderly and Handicapped, and the Coalition for Equal Public Transportation Services. On June 11, 1976, -17- The Philadelphia Inquirer published a letter of Mr. Neuman's in the lead position on the editorial page, under the headline "For disabled, SEPTA's always closed." Recently Mr. Neuman had to attend a meeting of the organization at which presentation of testimony for public hearings was to be planned. Mr. Neuman could not afford another taxi cab ride that month SO he travelled to the bus stop at Frankford and Pratt Streets where, with the consent of the driver, two passengers offered to lift him on to the No. 5 bus. While lifting him in his wheelchair one of the passengers lost his grip, the electric wheelchair fell to the ground, and Mr. Neuman himself was saved from injury only by the timely assistance of a third passenger. 23. Mr. Neuman is an avid sports fan. The municipal Veterans Stadium, where Philadelphia's major league teams play, is by operation of the applicable codes prohibiting barriers in public buildings, fully accessible. But without accessible transportation, Mr. Neuman cannot get to the stadium nor can he otherwise freely visit with friends and associates. 24. Availability of the low floor, wide door, ramped TRANSBUS to Mr. Neuman would make possible economic independence, the choice of rewarding work, the opportunity more effectively to participate in and to influence public decision, and the enjoyment of recreational and social oppor- tunities. 25. AL MARCUS, age 58, has severe rheumatoid arthritis and osteoarthritis with the consequence, among others, that his hip joints are locked. He is, however, fully mobile with crutches. Mr. Marcus resides at 1319 Magee Avenue, Northeast Philadelphia, Pennsylvania where the S-26 bus goes right past his front door. -18- 26. Mr. Marcus is excluded from use of public transportation because he cannot negotiate the level change in SEPTA buses. 27. Prior to developing arthritis 35 years ago, Mr. Marcus was an automobile mechanic. When his disability prevented his continued employ- ment as a mechanic he learned electronics. Inaccessible transportation prevented employment outside his home, and from 1955 to 1965 he worked as an electrical wireman on a sub-contract basis. When the contract phased out he was obliged to take odd jobs which could be performed at his home. These jobs offer low and undependable income. 28. Mr. Marcus must rely on his wife for transportation. Mrs. Marcus works during the day in order to provide family income and as a result Mr. Marcus is confined to his home until she returns. 29. Accessible bus transportation would enable Mr. Marcus to increase his mobility and seek steady employment and be independently mobile to visit friends, attend recreational activities and go shopping. The only obstacle between Mr. Marcus and these ordinary activities is the absence of accessible public transportation. 30. When the TRANSBUS prototype was demonstrated in Philadelphia on December 16, 1974 Mr. Marcus boarded a bus for the first time in over 30 years and was given new hope of living a more productive life. 31. Availability of the low floor, wide door, ramped TRANSBUS to Mr. Marcus would make possible employment in an occupation he is trained and qualified to perform and the opportunity to enjoy the recreational, social and cultural activities of the city. -19- 32. JOYCE BROCK, age 25, has cerebral palsy, affecting the use of her arms and legs. She maneuvers with crutches or wheelchair depending upon the distance she must travel. Ms. Brock cannot climb steps, nor is she able to drive a car because of poor eyesight. Ms. Brock resides at 5466 Baltimore Avenue, Philadelphia, Pennsylvania, which is within two blocks of public transportation. 33. Ms. Brock graduated from Pennsylvania State University in 1974 and enrolled in the University of Pennsylvania School of Social Work. Inaccessibility of public transportation to travel to school and fieldwork placement necessitated withdrawal from graduate school. 34. After long and intensive search for employment, the only job Ms. Brock was able to obtain was temporary, part-time employment as a tutor at Philadelphia Community College. Her cab fares to her job amounted to $100 a month, a prohibitive amount given a monthly salary of $162. Ms. Brock is currently unemployed and subsists on a $135 a month Supplementary Security Income payment out of which she pays for private transportation to twice weekly physical therapy treatments. 35. Although she has been able to locate numerous employment opportunities, lack of accessible transportation prevents her form interviewing for positions and accepting permanent employment. 36. Ms. Brock is denied ready access to and use of public transportation because mass transit vehicles exclude persons who enjoy inde- pendent mobility but cannot negotiate steps. 37. The result of this exclusion is to deny Ms. Brock opportunity for -20- employment, economic independence, and the varied opportunities of cultural and other recreational resources available to and enjoyed by her friends and neighbors who are able to travel on public transportation. 38. Availability of the TRANSBUS vehicle to Ms. Brock would make possible opportunities for employment and enjoyment of recreational and social opportunities available to others. 39. DEREK BOWEN, age 25, is a quadriplegic as a result of an injury received playing football and has limited use of his arms and hands. He is mobile with an electric wheelchair. He resides at 313 West Manheim Street, Philadelphia, Pennsylvania, which is within one block of a bus stop. 40. From 1970 to 1973 Mr. Bowen attended Philadelphia Community College. In 1975 he graduated from Temple University with a bachelor's degree in Therapeutic Recreation. Mr. Bowen does not drive In order to attend both schools, he bought and maintained a van specially equipped with a portable ramp and relied on his father and brothers to transport him from home to his classes each day. 41. Currently, Mr. Bowen is employed part-time at Carousel House, a city recreation center for physically and mentally disabled persons. Carousel House is located a considerable distance from his home, but within one block of a SEPTA bus stop. Mr. Bowen is driven to work in his van at a cost three times. that for using public transportation. 42. Mr. Bowen feels trapped in his own home. He is a sports fan but cannot attend events at the fully accessible Veterans Stadium and Spectrum without depending upon others for transport. He would also like to frequent the restaurants -21- and the stores at the barrier free Cedarbrook Mall which is near his home and is serviced by public bus transportation. 43. Mr. Bowen is denied ready access to and use of public transportation because the design of mass transit vehicles exclude persons who otherwise enjoy independent mobility but cannot negoitate steps. The result of this exclusion is to cause Mr. Bowen excessive expense for transportation, excessive dependence on others for transportation, and denial of opportunities for independent enjoyment of the cultural and other recreational resources available to and enjoyed by others. 44. Availability of the TRANSBUS vehicle to Mr. Bowen would make possible personal independence and would allow him to be his own man. 45. HARRY BURNS, age 33, suffered brain damage at birth causing spasticity in his right leg and arm, and later developed multiple sclerosis. Mr. Burns walks with a cane. He resides with his wife at the Mayfair House Apartments at Lincoln Drive and Johnson Street in Philadelphia, Pennsylvania, which is located within 1 block of public transportation. 46. Mr. Burns is employed as a psychologist at Hahnemann Mental Health Center in Center City Philadelphia. He is also attending classes for his Ph. D. in Psychology at Temple University. Because of transportation barriers, Mr. Burns' wife drives him to work everyday before she goes to work. Mr. Burns' must go to work an hour before his colleagues and must be picked up an hour earlier. This arrangement frequently results in problems scheduling appointments. -22- 47. Mr. Burns must use public transportation in connection with his employment. He does so only with extreme difficulty because he cannot readily negotiate the steps onto and off of buses. Climbing steps causes excessive strain on Mr. Burns' muscles creating aches in his joints and his back causing him to significantly limit his use of public transportation. 48. At times Mr. Burns finds it impossible to board some of the high sprung SEPTA buses and on a number of occasions has been exposed to injury when boarding or riding buses. The most tragic experience took place some years ago on a winter day in Pittsburgh, when Mr. Burns attempting to climb the first high step of a bus which did not pull up to the curb, fell and suffered a fracture to his left shoulder. Because Mr. Burns requires full use of his left arm to propel himself by use of his cane, the fracture rendered him immobile for three months. 49. Mr. Burns is not only denied the opportunity to maintain a normal work schedule but also must expose himself to daily hazards because mass transit vehicles impose serious access barriers to handicapped persons otherwise independently mobile. 50. Availability of TRANSBUS vehicles would enable Mr. Burns to maintain a normal work schedule independent of his wife's employment demands and eliminate the hazards resulting from the steps in current mass transit vehicles. 51. EMIL SABATINI is seventy four years old. He has a heart condition induced by a coronary attack. His doctor advised that he avoid steps that are high, minimize step climbing in general, and climb slowly when he does use steps. Mr. Sabatini lives at 909 Wynnewood Road, in west Philadelphia, Pennsylvania, within two blocks from a SEPTA bus route. -23- 52. Since his retirement as a steel worker Mr. Sabatini has sought to maintain as active a life as possible and not to sit idly at home. He does voluntary work with the Action Alliance of Senior Citizens and goes by SEPTA to Garden State Racetrack in Cherry Hill, New Jersey. Mr. Sabatini does not own a car and can only travel by public transportation. 53. The current standard 34 inch floor bus with one 14 inch step and two 10 inch steps inhibits Mr. Sabatini's use of public transit and his move- ment about town and presents significant hazards to his health. The availability of a low floor, wide door, ramped TRANSBUS would enable him to get around more often and without risk to his health and to otherwise live a freer and fuller life. 54. SONIA STEIN is seventy one years old. She has arthritis which causes her to have difficulty negotiating high steps. She lives at 1303 Hellerman Street in the near northeast section of Philadelphia, Pennsylvania a few blocks away from a SEPTA bus stop. 55. On Wednesday, June 9, 1976, Mrs. Stein set out to visit her husband in the hospital at Albert Einstein Medical Center, Northern Division. She went to the bus stop at Magee and Frontenac Streets carrying some fruit for her husband. The bus stopped, but as soon as she got her feet up on the first step her knees seemed to lock and she could not move. The bus driver said, "Lady, hurry up. People have to get off. " With the assistance of other passengers she made it to the seat nearest the door and with their continued assistance she got off the bus at 13th and Tabor Road, a block from the Hospital, in pain and tears. Mrs. Stein was cared for in the emergency room at the hospital, did not get to visit her husband, and returned home by taxi cab which cost her $7. 00. -24- 56. Mrs. Stein has never driven a car; her husband cannot drive anymore because he is blind, having only peripheral vision. She is thus entirely dependent upon public transportation. 57. The availability of a low floor, wide door, ramped bus would enable Mrs. Stein to travel public transit comfortably, safely, and without embarassment. Defendants 58. WILLIAM T. COLEMAN, JR., is the Secretary of the United States Department of Transportation (hereinafter referred to as "U.S. DOT"). In his capacity as Secretary, he is responsible for the administration of the several capital grant and planning programs, and research, development, and demonstration projects under the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1601 et seq., and the Federal-Aid Highway Acts, 23 U.S.C. § 101, et seq., which provide financial assistance to state and local public agencies for the development of public mass transportation services and the acquisition, construction, and improvement of mass transportation vehicles and facilities. 59. ROBERT E. PATRICELLI is the Administrator of the Urban Mass Transportation Administration (hereinafter referred to as "UMTA"), an agency of the United States Department of Transportation. In his capacity as Administrator, he is responsible for the administration of research, development and demonstration projects and the regulation of capital grant and planning programs for public mass transportation under the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. $ 1601 et seq., and the Federal-Aid Highway -25- Acts, 23 U.S.C. § 101, et seq., including the processing and approval of applications for federal financial assistance to acquire, construct, and improve transit vehicles and facilities. As such, he is empowered to establish require- ments for state and local agencies in the planning and implementation of public mass transportation services, and to issue standards for transit equipment purchased with federal assistance. 60. NORBERT T. TIEMANN is the Administrator of the Federal Highway Administration (hereinafter referred to as "FHA"), an agency of the United States Department of Transportation. In his capacity as Administrator, he is responsible for the regulation and administration of capital grant and planning programs providing federal financial assistance to state and local agencies for public mass transportation under the Federal-Aid Highway Acts, 23 U.S. C= § 101, et seq. As such, he is empowered to establish requirements for state and local agencies in the planning and implementation of public mass transportation services, and to issue standards for transit equipment purchased with federal financial assistance. V. Class Action Allegations 61. Plaintiffs bring this action pursuant to Rules 23 (b)(1) and (b)(2) of the Federal Rules of Civil Procedure on behalf of the class of all mobile disabled and elderly persons who are denied ready access to and effective use of federally financed public mass transportation by reason of physical and structural barriers in the design of transit equipment which render such persons transportation handicapped, and who would be able to effectively utilize public mass transportation if the functional capacities of mobile disabled and elderly persons were included as a basis for standards for the design and -26- performance of buses, other transit vehicles and facilities. 62. Twenty million Americans are aged 65 or over, and over thirteen million Americans are disabled. With increased longevity, improved rehabilitation methods, the increased availability of medical care, and the pattern of post-war birth rates, the numbers of mobile disabled and elderly persons are expected to increase dramatically in the years ahead. 63. The majority of these citizens reside in urban areas within two blocks of a bus or other mode of federally funded public mass transportation: live on low, fixed incomes; do not operate an automobile; and are dependent on public mass transportation to work, to shop, to obtain medical services, and to participate in cultural, recreational, and social activities. 64. The class of mobile disabled and elderly persons consists of persons whose functional capacities for mobility, flexibility, coordination, communication, and perception are affected by the aging process, illness, injury, congential dysfunction, or other temporary or permanent conditions including: arthritis, heart condition, cerebral palsy, blindness, paraplegia, quadriplegia and other spinal cord injuries, cystic fibrosis, multiple schlerosis, muscular dystrophy, muscolo-skeletal disorders, respiratory or pulmonary dysfunction, developmental disabilities, and neurological disorders including stroke and epilepsy. 65. The most formidable barriers imposed on the class of mobile disabled and elderly persons in the use of federally financed public mass transportation involve designs for entry to and exit from buses and other transit -27- vehicles and facilities that require a change in level. For instance, current design buses have a floor height above the road of about thirty-four (34) inches, requiring passengers to negotiate a first step into the bus of fourteen (14) inches plus climb two interior steps having ten (10) inch risers. Similarly, in order to gain access to other transit facilities which operate at grade or which require passage through a station or terminal, riders must climb steep steps or long stairways. Other barriers which handicap the class of mobile disabled and elderly in the use of public transportation include narrow entranceways and passageways, inadequate audio and visual information systems, and excessive vehicle vibration and jerkiness. 66. Of the estimated population of 26. 5 million mobile disabled and elderly persons in the United States, approximately 13.3 million people, or 50% of the population, cannot climb or use currently designed stairways or move through entranceways, or experience substantial difficulty in doing SO. U.S. DOT, UMTA, Transportation Systems Center, The Handicapped and Elderly Market for Urban Mass Transit 9, 14 (October 1973). 67. Denial of accessible public mass transportation to mobile disabled and elderly persons results in the following harms to the members of the class: I (a) deprivation of travel at the same fixed cost, to the same locations, and for the same purposes as is afforded to other members of the public; (b) confinement to segregated, specialized transportation facilities and to private carriers which are prohibitively expensive and -28- which are limited in scope of service as compared to public mass transportation; (c) increased burden in obtaining employment and education, and meeting other essential needs, and consequent dependence on public subsidies; (d) loss of opportunities to take part in cultural and social and community activities, yielding isolation and despair; and (e) loss of opportunities to associate, assemble, and to petition government for redress of grievances. 68. The impact of denial of accessible public mass transportation on members of the class in terms of employment alone is significant. Although 86% of the disabled people of labor force age (17-65) have the ability to work, the labor force participation rate for disabled adults is only 44%, compared to 65% for the general population. U.S. DOT, Transportation Systems Center, An Inflationary Impact Statement of the Urban Mass Transportation Adminis- tration's Proposed Elderly and Handicapped Regulation 40-43 (March 4, 1976) (hereinafter referred to as "Impact Statement II"). For an estimated 13% of the disabled population inaccessible public transportation is the major factor in their unemployment. ABT Associates, Transportation Needs of the Handicapped, 23-24 (U.S. DOT, Office of Economics and Systems Analysis, Contract No. T8 - 304, August 1969). 69. The employment of disabled adults resulting from accessible public mass transportation would significantly increase their standard of living and produce a substantial net economic benefit. The average annual net income for employed disabled adults is $8, 000 (1976 price levels), more than double the estimated average combined payment of $3,000 per year in federal and state disability and welfare subsidies received by the -29- unemployed disabled individual. U.S. DOT, Impact Statement II 52-55. In addition, the reduction of governmental income support payments and generation of federal and state income taxes resulting from the disabled adults finding jobs would create a net economic benefit of $300 million to $500 million for every 100, 000 disabled individuals who join the ranks of the employed. U.S. DOT, Transportation System Center, An Inflationary Impact Statement of a Program of Transportation Services to Elderly and Handicapped Persons, 82-83 (January 16, 1976) (hereinafter referred to as "Impact Statement I''); Impact Statement II, 56-57. 70. The class is so numerous that joinder of all the members is impractical. There are substarti al questions of law and fact common to the entire class. The claims of the representative plaintiffs are typical of the claims of the class, and the representative parties will fairly and adequately protect the interests of the class. The defendants have acted and refused to act on grounds generally applicable to the class, thereby making appropriate final declaratory and injunctive relief with respect to the class as a whole. 71. The questions of law and fact common to the entire class and to the claims of the representative plaintiffs include but are not limited to: (a) Whether defendants have violated their duty under the Urban Mass Transportation and Federal-Aid Highway Acts, 49 U.S.C. $ $ 1602 (a)(1)(B), 1612 (a); 23 U.S. C. 142 nt., to assure accessible public mass transportation which mobile disabled and elderly persons can effectively utilize by failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS; -30- (b) Whether defendants' failure to require that federal financial assistance be used to purchase only the low floor, wide door, ramped, TRANSBUS, and otherwise to assure the availability of public mass transportation which elderly and handicapped persons can effectively utilize, excludes mobile dis- abled and elderly persons from participation in, denies them the benefits of, and subjects them to discrimination under programs and activities receiving federal public mass transportation assistance in violation of the Rehabilitation Act of 1973, 28 U.S.C. § 794 and Executive Order 11914, 41 Fed. Reg. 17871 (April 29, 1976); (c) Whether by failing to require that federal financial assistance be used only to purchase the improved, low floor, wide door, ramped TRANSBUS, defendants have violated and continue to violate their duty to improve public mass transportation under the Urban Mass Transportation and Federal-Aid Highway Acts, 49 U.S.C. 1601 et seq. and 23 U.S.C. SS 103 (e)(4), 134(a), and 142(a) and (c); (d) Whether having developed at a cost of $27 million, a bus which satisfies the Congressional mandates to assure accessible public mass transportation and to improve public mass transportation, defendants have acted arbitrarily and capriciously, have abused their dis- cretion, and have unlawfully withheld and unreasonably delayed the implementation of the full statutory rights of mobile disabled and elderly persons to public mass transportation which they can effectively utilize, by failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS; and (e) Whether defendants by failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS, have violated the rights of mobile disabled and elderly persons to travel, to freely associate, to petition the government for redress of grievances, and not to be subjected to invidious and arbitrary classifications and exclusion from benefits extended to all other persons by governmental action as guaranteed by the Commerce Clause, the Privileges and Immunities Clause, and the First and Fifth Amendments of the Constitution to the United States. -31- VI. Statement of the Claim FEDERAL PUBLIC MASS TRANSPORTATION ASSISTANCE PROGRAMS 72. In 1964, the Congress enacted the first permanent financial assistance program for public transportation. Urban Mass Transportation Act of 1964, 49 U.S.C. § 1601, et seq. It was Congress' finding that public transit systems in major cities across the country were failing, ridership was decreasing, and the industry did not have sufficient revenues to finance necessary improve- ments. The transit industry required federal intervention and support if it was to attract riders from other modes of transportation and to contribute to the welfare and vitality of urban areas. 49 U.S.C. § 1601. 73. The Urban Mass Transportation Act established a capital grant program to assist public transit authorities in the purchase and financing of new buses and other equipment and facilities, 49 U.S. C. § 1602, and a federal research and development program to develop technology for improving public transportation services, 49 U.S.C. § 1605. The purpose was that research and development be conducted so that the capital assistance program would support the purchase of improved equipment. 74. Congress' commitment to the maintenance and improvement of public transportation led in 1970 to the expansion of the spending authorization from $150 million annually to over a billion dollars annually under the Urban Mass Transportation Assistance Act of 1970, Pub. L. 91-453; to further expansion of this spending authorization to over $1 billion annually under the Federal-Aid Highway Act of 1973, Pub. L. 93-87, The National Mass Transportation Assistance Act of 1974, Pub. L. 93-504; and to the creation of additional federal mass transit assistance programs, including programs expending federal highway funds for buses and other mass transit equipment and -32- facilities, 23 U.S.C. 88 103 (e)(4), 142 (a)(2) and (c), and a formula grant program for capital and operating expenses, 49 U.S.C. 020 1604. 75. These federal public transportation assistance programs currently finance 80% of the costs for the acquisition, construction, and improvement of transit equipment operated by public transit agencies, except for one provision of the Federal-Aid Highway Act of 1973, 23 U.S.C. 8 142(a)(2) and (c), which finances 70% of the costs. Defendants have made grants totaling nearly $5 billion to public transit operating agencies under the federal public mass transportation assistance programs and are authorized to expend an additional $9 billion for public transportation through 1981. 76. The principal mode of public transportation supported by these federal financial assistance programs is bus service. There are currently 50, 000 transit buses in revenue operation. Buses comprise 80% of the rolling stock used in providing public transportation. Buses transport approximately 75% of the people who use public transportation. American Public Transit Association, Transit Fact Book, Tables 6 and 12 (1975). From 42% to 52% of the people living in urban areas, exclusive of suburbs, have public transportation available within two blocks of their residence. U.S. DOT, Impact Statement I, II-27. 77. Federal public mass transportation assistance programs have financed the acquisition of nearly 20, 000 transit buses, replacing approximately 40% of the bus fleets used in providing public transportation. Defendants will approve federal financial assistance for the purchase of 4, 000 to 7, 000 full- size transit buses by public transit authorities in each of the next several years. U.S. DOT, Impact Statement II, 15. -33- THE DUTIES OF THE DEFENDANTS The Mandate to Assure Accessibility 78. For six years, defendants have been under a continuing and oft repeated mandate from the Congress of the United States to assure accessible mass transportation which all mobile disabled and elderly people can effectively utilize. 79. In the Urban Mass Transportation Assistance Act of 1970, Pub. L. 91-453, 84 Stat. 962 (October 15, 1970), the first multi-billion dollar federal mass transportation assistance act authorizing defendants to make over $3.1 billion in grants and loans to States and localities for the acquisition, construction, and improvement of mass transportation equipment and facilities, the Congress declared and directed, in a section entitled "Planning and Design of Mass Transportation Facilities to Meet Special Needs of the Elderly and Handicapped", that: i. "elderly and handicapped persons have the same right as other persons to utilize mass transportation facilities and services"; ii. "special efforts shall be made in the planning and design of mass transportation facilities and services so that the availability to elderly and handicapped persons of mass transportation which they can effectively utilize will be assured"; and iii. "all Federal programs offering assistance in the field of mass transportation (including the programs under this chapter) should contain provisions implementing this policy." 49 U.S.C. Section 1612(a). 80. In the Federal-Aid Highway Act of 1973, Pub. L. 93-87, 87 Stat. 255 (August 13, 1973), whereby defendants were first authorized to make grants -34- to States and localities out of the Highway Trust Fund for the acquisition, construction, and improvement of mass transportation equipment and facilities, and wherein the spending authorization under the Urban Mass Transportation Act was increased by another $3 billion, the Congress directed, in a section entitled "Bus and Other Project Standards", that: "The Secretary of Transportation shall assure that projects receiving Federal financial assistance under [ the Federal-Aid Highway Act of 1973 ] shall be planned and designed so that mass transportation facilities and services can effectively be utilized by elderly and handicapped persons who, by reason of illness, injury, age, congenital malfunction, or other permanent or temporary incapacity or disability are unable without special efforts or special planning or design to utilize such facilities and services as effectively as persons not so affected." Section 165(b), Pub. L. 93-87. 81. In the Department of Transportation and Related Agencies Appropriations Act of 1975, Pub. L. 93-391, 88 Stat. 789 (August 28, 1974), the Congress directed that: "None of the funds provided under this Act shall be available for the purchase of passenger rail or subway cars, for the purchase of motor buses or for the construction of related facilities unless such cars, buses and facilities are designed to meet the mass transportation needs of the elderly and the handicapped." Section 315, Pub. L. 93-391. 82. In the National Mass Transportation Assistance Act of 1974, Pub. L. 93-503, 88 Stat. 1566 (November 26, 1974), authorizing defendants to make an additional $8 billion in federal grants and loans to States and localities for mass transportation programs and projects, the Congress amended the Urban Mass Transportation Act to direct: "nor shall any grant or loan funds be used to support -35- procurements utilizing exclusionary or discriminatory specifications. " 49 U.S.C. us 1602 (a)(1)(B). 83. In the Federal-Aid Highway Act Amendments of 1974, Pub. L. 94-643, 88 Stat. 2281 (January 4, 1975), in a section entitled "Transportation for Elderly and Handicapped Persons", the Congress reiterated the requirements of the Urban Mass Transportation Assistance Act of 1970 and of the Federal- Aid Highway Act of 1973 and again declared and directed that: i. "elderly and handicapped persons have the same right as other persons to utilize mass transportation facilities and services"; ii. "special efforts shall be made in the planning, design, construction, and operation of mass transportation facilities and services so.that the availability of mass transportation that they can effectively utilize will be assured"; iii. "all Federal programs offering assistance for mass transportation [including programs under the Federal- Aid Highway Act of 1973 effectively implement this policy"; iv. " [defendants ] shall require that projects receiving Federal financial assistance under [the Federal-Aid Highway Act of 1973 shall be planned, designed, constructed, and operated to allow effective utilization by elderly and handicapped persons who, by reason of illness, injury, age, congential malfunction, or other permanent or temporary incapacity or disability, including those who are nonambulatory wheelchair- bound and those with semiambulatory capabilities, are unable without special facilities or special planning or design to utilize such facilities and services effectively": and v. " [ defendants ] shall not approve any program or project to which this section applies which does not comply with the provisions of this subsection requiring access to public mass transportation facilities, equipment, and services for elderly or handicapped persons. 11 23 U.S.C. Section 142 note. 84. In the Rehabilitation Act of 1973, Pub. L. 93-112, 87 Stat. 357 -36- (September 26, 1973) in a section entitled "Nondiscrimination Under Federal Grants", in exactly the language of Title VI of the Civil Rights Act of 1964, the Congress directed: "No otherwise qualified handicapped individual in the United States ... shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." 29 U.S.C. § 794. 85. As more fully set out below in paragraphs 122 through 142, defendants have acted wrongfully and illegally in failing to act to carry out the repeated Congressional mandate to assure accessible mass transportation which all mobile elderly and handicapped persons can effectively utilize. The Mandate to Improve Mass Transportation 86. The pervasive substantive duty imposed by the Congress upon defendants in the Urban Mass Transportation Act, and in the mass transit provisions of the Federal-Aid Highway Act, is the duty to improve urban mass transportation. The duty to improve mass transportation is articulated in the purpose clauses of the Acts ("to assist in the development of improved mass transportation facilities, equipment, techniques, and methods ... ", 49 U.S.C. § 1601 (b)(1); "to encourage the development, improvement and use of public mass transportation systems operating motor vehicles", 23 U.S.C. § 142(a)); and again in each of the provisions of the Acts governing the granting of federal financial assistance (e.g., "to make grants [for] the acquisition, construction, reconstruction and improvement of facilities and equipment", 49 U.S.C. § 1602 (a)(1)), the administration of planning requirements (e.g., "to make grants for ... -37- activities preliminary and in preparation for the construction, acquisition, or improved operation of mass transportation systems, facilities, and equipment", 49 U.S.C. $ 1607(a)), and the promulgation of regulations ("The Secretary shall issue such regulations as he deems necessary, including requirements for improving the efficiency of transit services", 49 U.S.C. § 1604 (d)(2)). 87. In addition, the Congress, in the Urban Mass Transportation Act, 49 U.S.C. un 1605, authorized the Secretary: "to undertake research, development and demonstration projects in all phases of urban mass transportation (including the development, testing and demonstration of new facilities, equipment, techniques, and methods) which he determines will assist in ... the improvement of mass transportation service " 88. Defendants undertook, and have successfully completed, a nine year $27 million research and development project (called the TRANSBUS Project and described more fully below at paragraphs 90 through 111 ), to develop a new generation of buses which would increase bus ridership and revenues, which would improve safety, comfort, convenience, environmental acceptability, and maintenance, and which would eliminate transportation barriers to the mobile disabled and elderly. 89. As more fully set out below in paragraphs 122 through 142, defendants have acted wrongfully and illegally in failing to require that federal public mass transportation assistance be spent only to purchase the improved TRANSBUS. - 38- THE TECHNOLOGICAL POSSIBILITIES 90. Although defendants Secretary of Transportation and Urban Mass Transportation Administrator during the period November 1974 through March 1976, defended ten lawsuits 1 which sought to enjoin local transit operators to purchase full-size accessible buses, on the ground that such vehicles were technologically infeasible and were not produced by any manufacturer in the United States, in April 1976 defendant Patricelli admitted to Congress and to the public that as a consequence of the TRANSBUS research and development project a new generation of full-size buses can be produced which incorporates technology assuring access to mobile disabled and elderly persons. 91. On April 5, 1976, before the Subcommittee on the Handicapped of the Senate Labor and Public Welfare Committee, at oversight hearings on the implementation of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, defendant Patricelli acknowledged that " the 1 Bohlke v. Golden Gate Bridge, Highway and Transportation District, Civ. No. 73362 (Super. Ct., Marin County, Calif., filed November 19, 1974); Abilities Unlimited, Inc. V. Villegas, Civ. No. 75-0001 (D. Hawaii, filed January 2, 1975); Might V. Briscoe, Civ. No. A-15-CA-31 (W.D. Tex., filed March 3, 1975); Webb V. Miami Valley Regional Transit Authority, Civ. No. C-3-75-67 (S.D. Ohio, Jan. 19, 1976); Snowden V. Birmingham- Jefferson County Transit Authority, 407 F. Supp. 394 (N.D. Ala., 1975); appeal docketed, No. 75-3411, 5th Cir., June 26, 1975; Llovd V. Illinois Regional Transportation Authority, Civ. No. 75C-1834 (N.D. III., March 16, 1976); Michigan Paralyzed Veterans of America V. Coleman, Civ. No. 57114 (E.D.- Mich., filed June 16, 1975); Martin V. Seattle-King County Metropolitan Transit Commission, Civ. No. 795806 (Super. Ct., King County, Wash., Nov. 25, 1975); Bartels V. Biernat, 405 F. Supp. 1012 (W.D. Wisc., 1975); United Handicapped Federation V. Andre, Civ. No. 1/75 CIV 627 (D. Minn., filed Dec. 9, 1975). Defendants Secretary of Transportation and Urban Mass Transportation Administrator were named as defendants or appeared in each of these suits. -39- TRANSBUS program has produced prototypes of wheelchair-accessible full-size buses which have a variety of design improvements of particular benefit to handicapped individuals", including a low floor, wide door, and a ramp. Defendants Patricelli further acknowledged that 11 ... the new bus designs that are about to come on the market could offer that technology". 92. On April 14, 1976, in a notice of public hearing on "Policies Regarding Urban Transit Bus Design and Performance Specifications", 41 Fed. Reg. 15735, defendant Patricelli again acknowledged: "The UMTA TRANSBUS research and development program, undertaken with the participation of bus operators and suppliers, has produced a number of design and performance improvements which could be incorporated into specifications for ordering full- size (35-40 foot) transit buses." 93. Simultaneously with the April 14, 1976 announcement, defendants made publicly available the technical specifications for TRANSBUS vehicles (U.S. DOT, UMTA, Transbus Procurement Requirements, Part II. Technical Specifications (April 1976) and for the first time released the final reports on the TRANSBUS project including: (1) U.S. DOT, UMTA, Analysis of Low Floors for Transit Buses (January 1976); (2) U.S.DOT, UMTA, Architectural (Size) Steps for Transit Buses, Executive Summary (March 1976); (3) Simpson & Curtin, Transbus Public Testing and Evaluation Program, Final Report (U.S. DOT, UMTA, January 1976); and (4) Booz-Allen Applied Research and Simpson & Curtin, Impact of Transbus on United States Transit Systems (U.S. DOT, UMTA Transbus Document TR 75-002, no date). 94. The TRANSBUS project was undertaken by defendants in 1967 to take the largest possible single step forward in bus technology and design -40- within the existing state of the art. An intensive panel study by the National Academy of Engineering, in which all major elements of the transit industry participated, documented the characteristics needed for future improved buses and articulated design, development and testing strategies. Defendants have expended $27 million on the project to achieve the following specific objectives: i. increase bus ridership for reduced urban congestion and increase revenue to transit operators; ii. improve safety to passengers, pedestrians and vehicles; iii. improve environmental acceptability; iv. improve maintenance and servicing; and V. eliminate transportation barriers to the mobile disabled and elderly and young. Over the course of nine years, the TRANSBUS project designed, developed, tested and evaluated nine prototype buses. Three prototype TRANSBUS vehicles were produced by each of the American bus manufacturers, American General Corporation, General Motors Corporation, and Rohr Industries; and underwent extensive engineering tests by the bus manufacturers and independent automotive authorities, including performance tests, endurance tests, energy absorbing bumper component tests, and seat component crash tests. The TRANSBUS vehicles were also placed in regular service operation in four cities (Kansas City, Miami, New York, and Seattle); publicly demonstrated across the country, and subjected to development, performance and acceptance tests. 95. The final reports on the TRANSBUS research and development -41- project released in April 1976, reveal that the project has been successful on all counts; it has achieved its technological objectives; and specifications for an improved, accessible, attractive, and cost-effective bus have been developed which can now be put into production. 96. The TRANSBUS project has established that it is technologically feasible to produce a bus with: (a) a low floor (17 to 22 inches) and a suspension system that reduces the floor height of the bus to seven (7) inches above the curb; (b) a single seven (7) inch step in the bus; (c) a ramp which can be rapidly extended from the bus to provide "level" boarding; (d) a forty-four (44) inch wide door; and (e) open space in the vestibule and front areas of the bus to provide maneuvering and parking room for passengers in wheelchairs. These features are described in U.S. DOT, UMTA, Provisions for the Elderly and Handicapped in the Design of Transbus, (1973), attached hereto as Exhibit 1 and incorporated herein. 97. As the Final Reports on the TRANSBUS project show, the low floor, wide door, ramped TRANSBUS makes technologically possible very significant improvements in mass transit, as follows. Boarding and Alighting 98. All persons including mobile disabled and elderly persons who cannot use the current standard bus readily or at all, can board, ride and alight the TRANSBUS with ease, safety, comfort, and convenience, to wit: -42- (a) "The low floor and wide front door on Transbus dramatically improve boarding and alighting. This has been quantified in extensive human factors testing with elderly participants. The average speed of boarding and alighting for these individuals, ages 55 to 84, was 50 percent faster on Transbus than on a standard current production bus, used as a testing baseline. Transbus survey participants indicated that the ease of getting on and off a Transbus was the particular feature that they valued most in comparison to current buses. 11 Booz-Allen Applied Research and Simpson & Curtin, Impact of Transbus on United States Transit Systems 31 (U.S. DOT, UMTA, TRANSBUS Document TR 75-002) (undated but released April 14, 1976) (hereinafter cited as "Impact Report"). (b) "Boarding time: halved from 3 to 1.5 seconds per passenger for expeditious ingress and egress by increasing door width from 27 to 40 inches and reducing the height of the bus floor from 28 inches to only 11 inches above curb height." A Comparison of Transbus with Current Transit Buses, prepared by Booz-Allen Applied Research and published as Appendix I in Stanford Research Institute, Transbus Report 32 (U.S. Department of Commerce, Experimen- tal Technologies Incentives Program, March 1976). (c) Interior design of the Transbus is based upon extensive human factors testing and incorporates improvements designed for the elderly in seats, assists, padding and lighting. Impact Report 28, Table 10. (d) "Providing access to individuals in a wheelchair currently requires complex lift designs which restricts the use of the entrance by other passengers While TRANSBUS can be built with a lift, the low floor design also makes a simple ramp feasible. A ramp can be used by all passengers. It can be rapidly deployed. The Transbus, equipped with a ramp, does not inhibit ambulatory passengers." Impact Report 28. (e) "A ramp(in contrast to a lift) entry to transit buses appears to be desirable for wheelchair access. There are several reasons: it can be deployed much faster; wheelchairs can board much faster: once deployed able bodied passengers can use it to advantage: it is better suited to emergency exit. To design a ramp for a high floor bus does not appear feasible whereas it is feasible for a low-floor bus.' U.S. DOT, UMTA, Architectural (Size) Steps for Transit Buses, Executive Summary (March 1976). -43- (f) "Improvement for the elderly will be significant only on the low floor Transbus design.' Impact Report 57. (g) "[ F]eatures for the handicapped can only be achieved on a low floor, wide door Transbus at a reasonable additional cost and without introducing significant operational problems." Impact Report 57. 99. In these findings, the TRANSBUS project confirms the expectations of the 1967-68 panel study of the National Academy of Engineering that '[a] lower floor level may be the most desirable means for improving ease of entrance and exit" and fulfills the Academy's injunction that "[a] bus should not only be easy and comfortable to use but should be one that can be used readily and without embarrassment by the physically and economically handicapped, the aged, the pregnant woman, the businessman, and the young adult." National Academy of Engineering, Design and Performance Criteria for Improved Nonrail Urban Mass Transit Vehicles and Related Urban Transportation Systems 55, 32 (U.S. Department of Housing and Urban Development, Contract No. 75, May 1968). Quality of Ride 100. The comfort of the ride is substantially improved by TRANSBUS for all passengers including the mobile disabled and elderly: "[R] ide quality as perceived by the passenger is affected by all aspects of the interior environment, such as temperature, drafts, noise, lighting, as well as vibration. In engineering terms, ride quality is defined as a function of the accelerations felt by the passenger, both vertical and lateral. In extensive tests, the ride quality of Transbus has been shown to approach that of passenger cars. This improvement in ride quality results from the low center of gravity, the independent front suspension -44- and the tandem independent rear suspension .... [Transbus is ] markedly superior to the current produc- tion in these [ above mentioned ] areas. 11 Impact Report 30-31. Noise 101. "Interior noise on Transbus will be 3 to 4 Dba below ... current buses for equivalent seat positions and vehicle operating modes. Exterior noise will be reduced by about 4 Dba." Impact Report 29. This is a noise level reduction of approximately 70%. Simpson & Curtin, Transbus Public Testing and Evaluation Program: Final Report II-2, Table 2 (January 1976). Safety 102. Passenger, traffic and pedestrian accidents, and insurance costs as well, will be substantially reduced by TRANSBUS: (a) "Boarding/alighting accidents [will be ] reduced by 20 percent due to low floor and assists built into doors". Impact Report 24. (b) "Door-related accidents [ will be ] reduced by 20 percent 11 Impact Report 24. (c) "On-board accident claims [ will be ] reduced 35 percent." Impact Report 24. (d) " [Exterior ] features should reduce claims costs for traffic accidents by about 25 percent." Impact Report 23-24. (e) [ Pledestrian accident costs are estimated to fall by 15 percent for Transbus." Impact Report 26. (f) "Total safety and insurance costs could drop by as much as 20 percent with the greatest reduction in passenger accidents being achieved on the Transbus." Impact Report 20. -45- Trip-Time 103. The trip time reductions of the TRANSBUS will support improved schedule adherence and service dependability and increased driver productivity: (a) [T]ransbus show significant increases in trip speed over the current bus. Transbus is [still] faster overall, because it possesses a wide front door and a low floor to reduce time at stops Transbus with its low floor and wide doors again is faster in stop-and-go, low -speed service. " Impact Report 13. (b) "The potential for trip time reductions of up to 10 percent exists, depending on the type of route. If current routes are not rescheduled, this should result in an immediate improvement in schedule adherence. Improved bus characteristics offer the potential for increased driver productivity and/or route coverage. 11 Impact Report 55. (c) "Since Transbus offers superior operating speed for express/suburban service, it has the intrinsic ability to capture even larger segments of the choice market, because trip time savings of 10 percent on long express runs are perceivable by some patrons. " Impact Report 17. (d) "Improved schedule adherence will be the result of the introduction of Transbus in all sizes of systems. [s] chedule adherence is the most difficult to achieve in large systems, particularly in arterial service. Increased trip speed may be used to improve dependa- bility for tightly scheduled runs by holding running times constant, or by reducing running times to account for better speed and reallocating these minutes to recovery time, which serves as a buffer for schedule distrubances. Dependability is a prime attribute affecting the modal choice decision. 11 Impact Report 15. (e) "Efficient rescheduling, taking full advantage of Transbus [trip speed and entry and exit time ] charac- teristics, could lead to a 4 to 5 percent increase in revenue miles-per-driver's-wage-dollar. Because rescheduling to improve driver productivity and to -46- reduce bus requirements can only be achieved under certain conditions (for instance, on a route with a 5-minute headway, reduction of round trip time from 60 to 55 minutes would save a bus), this impact is excluded from the economic impact analysis." Impact Report 16. (g) "[ Another ] potential impact of higher trip speed is the potential for extension of existing routes at no extra driver cost. " Impact Report 16. Maintenance, Repair and Operating Costs 104. Maintenance, repair and operating costs will not be unfavorably affected by TRANSBUS: (a) "On balance, the long-term maintenance and repair labor requirements should remain constant on a unit basis, but work loads will shift [T]he requirements for new support equipment and skills will be sufficiently low that introduction of the new bus design will not present major capital investment requirements or training problems for the transit industry. Impact Report 54. (b) "An increase of 1.4 cents/mile is projected for Transbus or about a 1 percent increase in total operating costs. [But 1 no benefits were assumed for the new design bus in the area of driver productivity. This was done, despite the fact that a 4 to 10 percent increase in trip speed is projected for these new vehicles. Note that even a 4 percent improvement in driver productivity would result in an operating cost savings of 2.4 cents/mile." Impact Report 50, 48-49. Increased Ridership 105. The TRANSBUS will increase the ridership of mass transit significantly and thereby reduce urban automobile congestion, raise new operating revenues, and contribute to local support for additional transit programs and funding: -47- (a) "An analysis of historical evidence from other new bus design introductions, operational factors by route and system size, and the responses to 10, 000 surveys during the Transbus public demonstrations, indicates that ridership increases of up to 10% are possible with Transbus These would have a significant impact on revenue. " Impact Report 57. (b) "[R] easonable patronage impact ranges for the proto- type bus systems (large, medium and small ), if Transbuses were to completely replace the current 35-foot and 40-foot buses in the fleet are: 5 to 8 percent average ridership increase for large properties 6 to 9 percent average ridership increase for medium properties 7 to 10 percent average ridership increase for small properties. II Impact Report 41. (c) "Transbus, with the low floor, will have the greatest potential for achieving a lasting impact on the public, based upon the bus features selected as 'most important' by 11, 000 riders and potential riders during the four city demonstrations of the Transbus prototypes. " Impact Report 59. (d) [As] to the effect of the low floor and wide door : When the public was asked to rate 30 features of Transbus versus the current bus, the features which consistently rated highest involved the ease of boarding and alighting. In this area Transbus is superior The survey of 11, 000 people in four Transbus demonstration cities indicates that these inherent features of Transbus will help to maintain the new image after cosmetic appeal mellows. 11 Impact Report 29. Net Cost-Benefits 106. Increased revenues at the fare-box - of the low-floor, wide- door, ramped TRANSBUS just from the increased ridership by handicapped people (and not counting people who are mobile with wheelchairs, crutches or walkers) will range between $23 million and $65 million annually. -48- U.S. DOT, Transportation Systems Center, An Inflationary Impact Statement of UMTA's Proposed Elderly and Handicapped Regulations 59 (March 4, 1976) (hereinafter cited as "Inflationary Impact Statement II"). Thus, in addition to the increased general ridership forecast by Booz-Allen and set forth above at paragraph 105 , this increased handicapped ridership "would increase the total transit passenger revenues collected nationwide by 1-1/2 to 4 percent. Alternatively stated, with operating deficits on the order of 40 percent of passenger revenues, operating deficits could be reduced by 4 to 10 percent if handicapped ridership is induced. 11 Ibid. 107. Furthermore, as to wheelchair users, "incorporating [ a low-floor and a ramp ] into the fleets [ of fixed route bus systems ] would generally be the most cost-effective means of meeting the transportation needs of wheelchair users who live within accessible distances of bus stops." U.S. DOT, Transportation Systems Center, An Inflationary Impact Statement of A Program of Transportation Services to Elderly and Handicapped Persons 36 (February 11, 1976) (hereinafter cited as "Inflationary Impact Statement I''). Defendants estimate it would cost as much as $362 million annually to provide segregated, specialized service to disabled and elderly people who are mobile with wheelchairs, crutches or walkers, compared to an annual cost of $76 million to $123 million to replace and operate the entire national fleet of buses with the accessible low-floor, wide-door, ramped TRANSBUS. Inflationary Impact Statement II, 19-23, 32-33. 108. The economic benefits of the low-floor, wide-door, ramped TRANSBUS have been fully quantified by defendants only for handicapped users and only in terms of tax and income support benefits from employment. -49- Even with the economic benefits to elderly users and to the general public, excluded altogether from defendants' calculation, the net cost-benefit ratio is highly favorable. The estimated total net capital and operating cost for a national fleet of low floor, wide. door, ramped TRANSBUSES is $76 million to $123 million annually. The benefits from employment of the handicapped alone, measured solely in additional tax revenues and in diminished public income support payments, is $300 million to $500 million. The net cost-benefit ratio, accounting only for these benefits from the employment of handicapped people, thus is at least 2:1 and may range as high as 7:1. Inflationary Impact Statement II, 19-23, 50-57, Table 4.1. 109. There are in addition substantial benefits to all of the handicapped and elderly from the low floor, wide door, ramped TRANSBUS which are not quantifiable: "[M]ost of the benefits to handicapped and elderly persons receiving publi C transit services for the first time are expected to be of a non-economic nature. For instance, there would be social benefits resulting from enabling handi- capped persons equal opportunity to work, study, and participate in recreational activities. Other social benefits would include the reduced burden of aid on the friends and relatives of the handicapped, the increased contribution to community activities of many talented and well educated handicapped persons, and the reduction of the often debilitating and productivity-inhibiting emotional burdens of physical [ handicaps ] on the entire community. "The psychological benefits to elderly and handicapped persons of increased mobility are difficult to monetarize. The opportunity for increased mobility, if utilized, would increase the amount, and variety of social contacts, and these contacts are likely to improve an elderly or handicapped person's performance in his major roles and to enhance his self-image. "The number of handicapped persons who would use public transit for the first time as a result of [Transbus ], provides a proxy for the social and psychological benefits of the program. The number of individuals who would use public transit for the -50- first time is estimated as 1, 408, 000 to 1, 525, 000 by 1980. " Inflationary Impact Statement II, 50-52. 110. In summary of the possibilities of TRANSBUS, the Booz-Allen Impact Report 58-59 concludes: "[T]he potential benefits of Transbus over ... current production buses are rider-oriented. This offers the potential for patronage improvements and greater support from local political organizations responsible for transit funding. Specific benefits are related to passenger safety, accomodation of the elderly [ and the mobile disabled] , and service dependability. 11 Defendants' Executive Summary of the Final TRANSBUS reports, U.S. DOT, UMTA, Analysis of Low Floors for Transit Buses ( Jan. 1976) is attached hereto as Exhibit 2 and incorporated herein. 111. Unless defendants require--as it is their duty to require--that federal financial assistance be used to purchase the low floor, wide door, ramped TRANSBUS, the aforesaid possibilities of TRANSBUS to assure accessible transportation for the elderly and handicapped and to improve mass transit will not be realized. THE REQUIREMENTS OF THE MARKET 112. The low floor, wide door, ramped TRANSBUS is not produced by any manufacturer in the United States because defendants, contrary to their duty under the law, have not required that federal financial assistance be used only to purchase the TRANSBUS. The low-floor, wide-door, ramped TRANSBUS will not be produced by any manufacturer in the United States until and unless defendants, as is their duty under the law, require that federal financial assistance be used only to purchase the TRANSBUS. -51- 113. For more than thirty years the average annual market for full-size transit buses has been approximately 3500 buses. The projected annual market for the next several years is 5000 to 7000 buses. Historically this market has supported only one type of bus and because of limited market size and the large investment necessary for product development and retooling, it is capable of supporting only one. Since 1958, the single bus model on the market has been a 34-inch high floor, 27-inch wide door bus. 114. Since the enactment of the Urban Mass Transportation Act of 1964, federal financial assistance has paid 66% to 80% of the capital costs of all of the 1400 to 5000 buses purchased by transit operators annually: 80% of the capital costs since 1973 (except for a portion of bus purchases aided under the Federal-Aid Highway Act, for which federal financial assistance has paid 70% of the capital cost); 66% of the capital costs between 1965 and 1972. For twelve years federal financial assistance has supported the purchase of the single bus on the market, the 34-inch high floor, 27-inch wide door model. 115. Since 1925 the full-size transit bus industry has become ologopolistic, with dominant technological leadership exercised by General Motors Corporation. In addition, declining revenues for transit operators in the 1960's and 1970's and public takeover of private transit operations, leading to bidding and price-competition requirements, have inhibited the marketing of innovative buses. 116. Precisely because, as Congress recognized in the Urban Mass Transportation Act, 49 U.S. SS 1601, 1605, there was insufficient product competition in the transit bus industry to bring into production up to date bus designs, defendants initiated the TRANSBUS project. Stanford Research -52- Institute, Transbus Report 5-6 (U.S. Department of Commerce, Experimental Technologies Incentives Program, March 1976). 117. Each of the three companies in the industry, American General Corporation, General Motors Corporation, and Rohr Industries, developed, manufactured, and tested three Transbus prototypes, on contract from the TRANSBUS project. 118. No one of the three is both committed to and able to produce the TRANSBUS. General Motors has invested in another high floor bus which it intends to put on the market in 1977; it will not produce a low floor, wide door, ramped TRANSBUS unless defendants require transit operators to use federal financial assistance only to purchase such a bus. Although Rohr Industries and American General are ready, willing and able to produce the low floor, wide door, ramped TRANSBUS (and Rohr Industries estimates it could bring TRANSBUS off the production line by July 1, 1979), they cannot make the retooling and component investment unless transit operators are required to buy the bus. 119. Thus the market, and the decision to produce TRANSBUS or not, is controlled by defendants. If defendants default on their duties, defined by Congress and set out above at paragraphs 78 through 89 , the market, and the decision, is controlled by the ologopolistic and uncertain industry which will not adopt the low floor, wide door, ramped TRANSBUS. 120. The afordsaid market constraints have defeated the efforts of at least two transit operators, the Southern California Rapid Transit District and the Seattle-King County Metropolitan Transit Commission, to purchase -53- accessible buses and thus to improve their transit services and to open them to all mobile persons irrespective of age or handicap; to wit: (a) On October 23, 1974, the Southern California Rapid Transit District (hereinafter "RTD") resolved to purchase 200 accessible buses. (b) On December 18, 1974 RTD sent specifications for a low floor bus, essentially the TRANSBUS design, to UMTA for approval. (c) On March 31, 1975 UMTA approved the specifications but required a bidders' conference. (d) On April 14, 1975 RTD convened a bidders' conference attended by all bus manufacturers. General Motors announced it would bid only on its high floor bus and would not discuss anything else. American General stated that the low floor and other features were "not beyond engineering capability" but that it could not "retool existing equipment to (such a) great extent" until and unless UMTA decided "what the ultimate specification is going to be"; the problem is "marketing and direction from the federal government". Rohr Industries said the same. RTD, Transcript of Discussions With Bus Manufacturers Regarding the Furnishing of Buses Equipped to Handle the Elderly and Handicapped. (e) Twelve days later, on April 26, 1975, RTD authorized the call for bids on 200 accessible buses. (f) On July 25, 1975, UMTA approved finally the specifica- tions for bid. (g) On July 18, 1975, specifications were sent to the manufacturers for bid. (h) In July and August, Rohr Industries and American General requested delay in opening bids and requested changes in the specifications. (i) In December, 1975 bid opening was further delayed to seek a buyer's consortium among other transit operators to purchase TRANSBUS; the effort was not successful. (j) On April 6, 1976, General Motors informed RTD it would not bid on the accessible bus. (k) April 20, 1976 was bid opening day. No bids were received. -54- The efforts of Seattle-King County Metropolitan Transit Commission to purchase 250 accessible buses were frustrated in the same fashion. 121. Unless and until defendants execute the mandates of the Congress, set out above at paragraphs 78 through 89 , and require that all buses pur- chased with federal financial assistance be accessible to mobile disabled and elderly persons, the low floor, wide door, ramped TRANSBUS will not be produced by any manufacturer in the United States or placed on the market, or on the street. THE FAILURES OF DEFENDANTS 122. Instead of acting to assure accessible mass transportation for the mobile disabled and elderly by requiring that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS, defendants have: (a) Misconstrued the Congressional mandates to require only special efforts rather than the assurance of mass transportation which elderly and handicapped persons can effectively utilize; (b) Abdicated their responsibility to assure accessible mass transportation and instead seek to shift responsibility from themselves to local transit operators, and have promulgated regulations which merely exhort and do not direct the actions of local authorities to assure accessibility; (c) Encouraged specialized transportation services as a substitute for universally accessible fixed route vehicles rather than as accessible feeder systems to supplement the fixed route system; and (d) Abandoned the TRANSBUS. Since 1970 when the Congress first enacted its oft répeated mandate -55- to assure accessibility defendants have misconstrued their mandate as merely requiring special efforts rather than the assurance of accessible mass transportation, as follows: Special Efforts Rather than Assurance of Access 123. The first regulations pursuant to the Congress' mandates were promulgated by defendants on September 17, 1975. These regulations, governing the urban transportation planning process generally, referred to accessibility in only one subparagraph and required no assurance of accessi- bility but only that: "The urban transportation planning process shall include special efforts to plan public mass transportation facilities and services that can be effectively utilized by elderly and handicapped persons." Title 23 C.F.R. § 450.120 (a)(5); 40 Fed. Reg. 42978 (1975). 124. The first regulations on capital grant projects purporting to discharge the Congress' mandates were promulgated on April 30, 1976. These regulations require no assurance of accessibility and in their relevant entirety provide only that: "The Urban Mass Transportation Administrator will grant project approvals only if: (a) The urban transportation planning process exhibits satsifactory special efforts in planning public mass transportation facilities and services that can be utilized by elderly and handicapped persons; and (b) The annual element of the trans- portation improvement program developed pursuant to 23 C.F.R.-450.118 : and submitted after September 30, 1976, contains projects or project elemants designed to benefit elderly and handicapped persons, specifically including wheelchair users and those with semi- ambulatory capabilities; and (c) After September 30, 1977, reasonable progress has been demonstrated in implementing previously programmed projects. " Title +9, C.F.R. 3 613.204, 41 Fed. Reg. 18234 (1976). -56- 125. In the only other official response to the Congress' mandates, the 1972 U.S. DOT, UMTA, External Operating Manual, defendants did not require even "special efforts, " but only "reasonable efforts": "[I]n the planning and design of mass transportation facilities and equipment, reasonable efforts should be made to insure that the elderly and handicapped will be able to effectively use the facilities. A description of these efforts must be included in the final application." External Operating Manual ПВ-14 (August 1972). 126. Furthermore, defendants have misinterpreted the reach of Congress' mandate, as encompassing only those elderly and handicapped persons who already normally use mass transit rather than all mobile disabled and elderly people: "[W]e interpret $ 165(b) as requiring that mass transit facilities and services funded under the affected provisions must incorporate features which will facilitate the use of those facilities and services by a particular group of the elderly and handicapped. The group which is of concern is those persons who normally utilize and can be expected to utilize mass transit facilities and services but, due to age or physical disability, cannot do so 'as effectively as' persons without those characteristics Such persons include, for example, those with poor eyesight, but not the blind; those who are lame, but not those confined to wheelchairs. Opinion of UMTA's Chief Counsel to UMTA's Director, Program Development (April 18, 1974). Defendants' Abdication to Undirected Local Efforts 127. Even the requirement of special efforts has been passed on by defendants to local transit operators, without any regulations which bind or direct local transit operators. 128. The 1972 External Operating Manual does not direct or bind: -57- "UMTA has no blanket capital equipment policy on the elderly and handicapped, preferring to influence grant recipients through the individual efforts of the. repre- sentatives UMTA's current external manual states that reasonable efforts should be made to insure that the elderly and handicapped will be able to effectively use the facilities The general state- ment has not been followed up with any guideline or manual defining 'reasonable efforts' or suggesting the limits of UMTA acceptability. Unlike the UMTA procedure for 13(c) labor clearances, there is no way for special interest groups of federal agencies to influence each UMTA grant in the areas of special user needs. Thus those interested in UMTA's response on the subject have no basic reference point for UMTA program policy, and UMTA staff are left largely to carry out the law as they see fit, balancing feasibility with benefits, and generally having to deal with the industry's reluctance to accept costly steps with uncertain payoffs. Part of the pressure on UMTA stems from the lack of any explicit description of how UMTA carries out section 16(a) in its capital program. [ L]ittle in the way of service change is exacted directly in return for UMTA capital grants. " Memorandum of UMTA's Director of Program Development to UMTA's Associate Administrator for Program Planning 4 (July 18, 1974). 129. Neither the September 17, 1975 nor the April 30, 1976 regulations of defendants bind or direct. The 1975 regulations require "special efforts" without more. Although an Appendix accompanying the 1976 regulations and entitled, "Advisory Information on the Urban Mass Transportation Adminis- tration's Requirements on Programing for Elderly and Handicapped Persons, " contain three hortatory illustrations of a level of effort that will "satisfy" the requirements, defendants explicitly eschew any intention to set regulatory standards for local transit operators, saying in the Appendix: (a) "UMTA will not specify a program design to meet the special efforts requirement"; (b) "The examples are illustrative They are not regulatory standards or minimums, neither do they exhaust all valid approaches.' Title 49, C.F.R. UND 613.204, Apprendix; 41 Fed. Reg. 18234 (1976). -58- Substitution of Separate Specialized Systems 130. There is a proper and necessary place for vans, small-size buses, taxi-fleets and so on in an accessible transit system, namely as feeder services linked to accessible fixed routes. Defendants have not required accessible feeder services, however, for the very good reason that such services would feed fixed routes which defendants have not required to be accessible. Instead defendants have encouraged and promoted such services as a substitute for accessible fixed routes. 131. Instead of requiring that all vehicles used on fixed transit routes be made accessible by the purchase of the proven and cost-efficient low floor, wide door, ramped TRANSBUS, defendants have encouraged and promoted costly, segregated specialized transportation systems for mobile disabled and elderly people. As defendant Patricelli testified on April 5, 1976 before the Subcommittee on the Handicapped of the United States Senate Labor and Public Welfare Committee: "Through our Transbus program, important research and demonstrations on wheelchair access to full size buses have already been conducted; however, we are not seeking to encourage transit properties to so equip the regular fixed route transit fleet as opposed to developing special services with special vehicles." 132. Defendants' encouragement and promotion of segregated specialized transit services has not produced any significant improvement of transportation services which mobile disabled and elderly people can use, both because of the high cost of such systems and their unfavorable cost-benefit ratios and because defendants in this regard are pushing with a string--they have little power or authority to regulate van, small-bus or taxi operators directly or to regulate them indirectly by conditions on grants of financial assistance: -59- "UMTA has no continuing and well developed relationship with taxi, jitney and other paratransit operators, thus UMTA has had little influence on their effective integration with public transportation services, let alone their service to special groups like the elderly. Consequently, it is not clear how UMTA would alter the current state of para- transit, even with a clear strategy in hand. "UMTA currently encourages better integration of transit, taxi, and jitney, but has no leverage to effectively carry it out to test the idea that such integration can improve services." Memorandum of UMTA's Director of Program Development to UMTA's Associate Administrator for Program Planning, 7 (July 18, 1974). 133. Thus defendants seek to influence what they cannot influence but fail to influence what they can, and must, influence. Abandonment of Transbus 134. Defendants at a cost of $27 million have developed a bus which is accessible to the mobile disabled and elderly and improved to the fullest extent possible within the state of the art, the low floor, wide door, ramped TRANSBUS. Defendants have repeatedly announced their intention, whenever the TRANSBUS project was completed, to require that federal financial assistance be used only to purchase that bus. Nonetheless defendants have delayed, failed and refused to so require and continue to approve and to expend federal funds to finance the purchase of inaccessible buses. 135. Since the beginning of the TRANSBUS project defendants have repeatedly announced their intention when the project was completed to require that federal financial assistance be used only to purchase the TRANSBUS. On January 8, 1975, for example, defendants issued a statement entitled "Policy For Introducing Transbus Into Nationwide Service" wherein defendants said: -60- "To conclude the present Transbus R & D program, UMTA will develop a performance specification for forty-foot urban transit buses which will assure minimum performance and characteristics with respect to safety, elderly and handicapped accessibility, low maintenance, high-performance and economical operations. The per- formance specifications will be a composite of the acceptable aspects of the three prototype buses developed under the R & D program "The composite performance specification will be made available after the Transbus tests have been completed, but work on developing these specifications will begin now, concurrent with the completion of the testing and evaluation, which, is now scheduled for August 1975. This composite performance specification will allow any manufacturer to use its own styling, body construc- tion, and manufacturing techniques in competing for the market. Except in special circumstances, grantees will be expected to use this performance specification when purchasing buses with Federal assistance." On February 26, 1975, defendants published proposed regulations entitled "Handicapped and Elderly Services", 40 Fed. Reg. 8314, 8315, wherein they said: "The completion of Transbus prototype testing is currently scheduled for August 1975; the performance specification will be developed concurrently, and the first of the new buses should be in revenue service by late 1977 or early 1978. The UMTA decision to proceed with a performance specification rather than a detailed design specification has accelerated significantly the anticipated availability of the Transbus." In affidavits in ten lawsuits defended by UMTA between November 1974 and March 1976 against claims for accessible transit, defendant Urban Mass Transportation Administrator, or his predecessor, said: "[ A]s part of the program of research, development and demonstration projects above referred to, UMTA is carrying on a major project known as "TRANSBUS, at an estimated total cost of $27, 000, 000 designed to develop a new generation of buses for general use in urban mass transportation service in the United States, pursuant to -61- which three prototype standard size diesel transit buses, each designed and equipped to accomodate passengers con- fined to wheelchairs, have been developed and built, and are presently being demonstrated and tested in actual revenue service in four major cities (Miami, New York, Kansas City (Mo.) and Seattle) to determine their safety, reliability, economy and acceptability and attractiveness to all segments of the public, including the elderly and the physically handicapped, as a result of which it is anticipated that UMTA will develop and promulgate by regulation a standard specification for use by its grantees in transit bus procurement which will provide to elderly and physically handicapped persons mass transportation service which they can effectively use." Affidavit of Frank C. Herringer, Urban Mass Transportation Administrator, April 15, 1975, Might v. Briscoe, Civ. No. A-15-CA-31 (W.D. Tex. filed March 13, 1975). 136. Defendants did not promulgate a regulation requiring that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS, not in August, 1975, nor at any time since. Instead, defendants have delayed performance on their promise, refused to promulgate such regulations, and finally abandoned TRANSBUS, as follows. 137. In December 1975 defendants had completed draft Transbus Procurement Requirements, including performance specifications for the TRANSBUS, but did not promulgate them. 138. In January, 1976, defendants had prepared a draft "Policy Statement on Grants for Acquisition of Transit Buses, " which included the statement "UMTA affirms its intention to require the use of this performance specification and procurement package by grantees purchasing transit buses with UMTA financial assistance, except where special circumstances justify an exception, " but did not promulgate it. 139. On April 14, 1976. defendants released final Transbus Procurement Requirements, including performance specifications for the TRANSBUS, but -62- did not promulgate them. Instead defendants issued notice of a public hearing for May 5, 1976, on the question whether to mandate or encourage the use of TRANSBUS performance specifications for all new transit buses and announced that a decision would be furnished on or before June 14, 1976. 41 Fed. Reg. 15735. 140. On April 30, 1976, defendants promulgated final regulations entitled, "Urban Transportation Programming for Elderly and Handicapped Persons," 41 Fed. Reg. 18234, which ignored the TRANSBUS performance specifications and otherwise failed to require a low floor, wide door, or a ramp. 141. Defendants failed to furnish their decision on mandating TRANSBUS performance specifications by June 14, 1976, the appointed date or since. 142. Defendants have failed and continue to fail, in derogation of their duties under the several Acts of Congress, to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS. -63- VII. The Bases for Relief COUNT I: VIOLATION OF ACCESSIBILITY MANDATE OF THE URBAN MASS TRANSPORTATION AND FEDERAL-AID HIGHWAY ACTS 143. By failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS and otherwise by failing to assure the availability to elderly and handicapped persons of mass transportation which they can effectively utilize, defendants have violated and continue to violate the Urban Mass Transportation Act, 49 U.S.C. $$ 1602 (a)(1)(B) and 1612(a) and the Federal-Aid Highway Act, 23 U.S.C. $ 142 note. In addition, defendants have violated the Department of Transportation and Related Agencies Appropriations Act of 1975, un 315, Pub. L. 93-391, 88 Stat. 789 (August 28, 1974). COUNT II: VIOLATION OF SECTION 504 OF THE REHABILITATION ACT OF 1973 144. By failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS and by otherwise failing to assure the availability of mass transportation which the mobile disabled and elderly can effectively use, defendants have excluded handicapped individuals from participation in, have denied them the benefits of, and have subjected them to discrimination under the federally assisted urban mass transit and federal aid highway programs and thus have violated and continue to violate Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. s 794 and Executive Order 11914, 41 Fed. Reg. 17871 (April 29, 1976). -64- COUNT III: VIOLATION OF THE MANDATE OF THE URBAN MASS TRANSPORTATION AND FEDERAL-AID HIGHWAY ACTS TO IMPROVE MASS TRANSPORTATION 145. By failing to require that federal financial assistance be used only to purchase the improved, efficient, effective, safe, convenient, and accessible low floor, wide door, ramped TRANSBUS, defendants have violated and continue to violate the Urban Mass Transportation Act, 49 U.S.C. 8 1601, et seq. and the Federal-Aid Highway Act, 23 U.S.C. §§ 103(e)(4), 134(a), 142(a) and (c). COUNT IV: VIOLATION OF DUTY TO EXERCISE SOUND DISCRETION AND NOT TO WITHHOLD, UNREASONABLY DELAY OR CURTAIL STATUTORY RIGHTS 146. Having developed at a cost of $27 million, a bus which satisfies the Congressional mandates to assure accessible public mass transportation and to improve public mass transportation, defendants, by failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS and otherwise by failing to assure the availability to elderly and handicapped persons of mass transportation which they can effectively utilize, have acted arbitrarily and capriciously, have abused their discretion, and have unlawfully withheld and unreasonably delayed the implementation of the full statutory rights of the mobile disabled and elderly thus making proper and necessary relief under the Administrative Procedure Act, 5 U.S.C. §§ 701-706. COUNT V: VIOLATION OF THE CONSTITUTION OF THE UNITED STATES 147. By failing to require that federal financial assistance be used only to purchase the low floor, wide door, ramped TRANSBUS and otherwise -65- by failing to assure the availability to elderly and handicapped persons of mass transportation which they can effectively utilize, defendants have violated the rights of mobile disabled and elderly persons to travel, freely to associate, to petition the government for redress of grievances, and not to be subjected to invidious and arbitrary classification and exclusion from the benefits extended to all other persons by governmental action and thus have violated and continue to violate the First and Fifth Amendments of the Constitution of the United States, the Commerce Clause, and the Privileges and Immunities Clause. VIII. Relief WHEREFORE, plaintiffs mobile disabled and elderly persons and their organizations respectfully request that this Court: 1. Declare the duty of defendants under the statutes and Constitution of the United States, and preliminarily and permanently enjoin defendants, to require that federal financial assistance be expended only to purchase the low floor, wide door, ramped TRANSBUS; 2. Declare the duty of defendants under the statutes and Constitution of the United States, and preliminarily and permanently enjoin defendants, to take such other action as is necessary to assure the availability to elderly and handicapped persons of public mass transportation which they can effectively utilize; 3. Award plaintiffs the costs of this action pursuant to 28 U.S.C. § 2412. -00- 4. Grant such other relief as may be necessary and proper. PUBLIC INTEREST LAW CENTER OF PHILADELPHIA By: s/James J. Raggio James J. Raggio s/Frank Laski Frank Laski s/Elias Cohen Elias Cohen s/Thomas K. Gilhool Thomas K. Gilhool Suite 1600, 1315 Walnut Street Philadelphia, Pennsylvania 19107 (215) 735-7200 Counsel for Plaintiffs -67- EXHIBIT 1 United States Department of Transportation, Urban Mass Transportation Ad- ministration, Provision for the Elderly and Handicapped in the Design of Transbus PROVISIONS FOR THE ELDERLY AND HANDICAPPED IN THE DESIGN OF TRANSBUS DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION Booz-Allen Applied Research Transbus, Prime Contractor PROVISIONS FOR THE ELDERLY AND HANDICAPPED IN THE DESIGN OF TRANSBUS INTRODUCTION The Department of Transportation is sponsoring a competitive program to develop a new 40 foot transit bus that will set the standard for urban transportation for years to come. This new vehicle. named, TRANSBUS will contain the first basic changes made in urban transit buses in more than fifteen years. At present three bus manufacturers: AM General Corporation. General Motors Truck and Coach Division and Rohr Industries are building their versions of the new TRANSBUS, under subcontract from Booz, Allen Applied Research. Booz, Allen, the prime contractor, will be responsible for recom- mending the design that is destined to become the next generation transit bus. In setting the objectives for the TRANSBUS program, the Urban Mass Transporta- tion Administration of the Department of Transportation has chosen vehicle designs which emphasize improved service for all people. TRANSBUS will move its passengers faster. It will travei faster between stops and will have a top speed nearly 20% higher than current buses. TRANSBUS will also have wider doors and a floor only half as high as that on current buses. These features will allow riders to beard and leave the bus more quickly. The achievement of a floor.height only one and one half feet above the street is a major breakthrough in transit bus technology. TRANSBUS will be a safer bus. The entire design is based on a scientific analysis of transit bus safety. TRANSBUS will have energy absorbing bumpers, break-proof windows. resilient seat backs, other soft interior surfaces, and scientifically designed safety handholds. TRANSBUS will be quieter, cleaner, and more comfortable. Seats will be wider and there will be more knee room. The rear of the bus, once cramped at best, will be transformed into a U-shaped lounge-like area. The fume and draft free interiors will be kept at uniform comfortable temperatures in summer and winter by advanced air-conditioning and heating systems. Seated passengers will look out of panoramic, tinted windows and will have a smooth ride equivalent to that of a luxury automobile, thanks to a new wheel suspension system. TRANSBUS models will be displayed throughout the United States. In 1974 prototype TRANSBUS vehicles will be rolling on the streets of a few selected cities to help evaluate which of the three competing prototype designs best fits the needs of uroan areas. -2- FEATURES TO REMOVE TRAVEL BARRIER TO THE ELDERLY AND HANDICAPPED A particularly challenging objective of the TRANSBUS program is the removal of physical travel barriers to the elderly and handicapped. New design concepts will be tested on TRANSBUS to provide access to the bus system for an individual in a wheelchair. The final versions of each of the three TRANSBUS prototype designs will feature a different approach to this design problem. On the following pages, a brief description of each manufacturer's approach to the problem of providing access to an individual in a wheeichair is presented along with an artist's concept of the particular manufacturer's bus in operation. -3- AM GENERAL CORPORATION The AM General concept for the removal of travel barriers provides a level, wide entry to the bus floor. The concept involves a flat ramp built into the bus which bridges the gap between the bus and a curbside platform. The AM General TRANSBUS has a special feature built into the suspension system which allows the driver to adjust the height of the bus floor to any point between 17 inches and 20 inches off the ground. Level access to the bus is provided by a curbside platform. But because of the low floor design of the AM General TRANSBUS, the curbside platform is only slightly higher above the sidewalk than 1 standard curb is above the street. As shown in the accompanying drawing of the AM General TRANSBUS the required platform can be constructed so that it is accessible to all people and provides 3 bus shelter which is equipped with information displays and various amenities for waiting passengers. Such a total passenger waiting/boarding system would provide safety, security and convenience for all bus patrons. Transit operators and local officials throughout the country recognize the need for new amenities such as shelters if people are to be attracted back to mass transit. The AM General concept could make boarding a bus as simple as moving through a 40 inch wide door. -4- METRO ENTRY CURRSIDE PLATFORM AM GENERAL TRANSBUS GENERAL MOTORS TRUCK AND COACH DIVISION The General Motors concept for the removal of travel barriers provides 2 lift 11 the 37 inch wide front door. When not in use the lift is stored under the front step of the bus. The General Motors concept operates as follows. The bus pulls up to the stop and the special suspension system allows the driver to lower the bus and tilt it toward the boarding passengers. As the doors open, the front step projects out from the bus and lowers to the curb or group : is required. After the individual in 3 wheelchair has rolled on to the enlarged lower step. the curbside edge and two levers on the platform pivot upward to provide a secure restraint for the wheelchair and the step is raised to the bus floor level. When the individual in 2 wheelchair is in the bus, the step lowers back to its rest position and retracts. The door then closes and the bus can get underway. The lower floor and wide door of the General Motors TRANSBUS make this concept practical for the first time. While current buses have a narrow entry door with two steps up, the General Motors TRANSBUS has a single wide boarding platform from which passengers step up to the bus floor. This wide platform/lower step combination becomes the wheetchair lift, as required. The General Motors concept does,not require any special curbside equipment and can be employed at all current bus stops. -6- SPECIAL LIFT GENERAL MOTORS TRANSBUS ROHR INDUSTRIES The Rohr design has the lowest floor height of any version of the TRANSBUS. In normal operation, the floor of the bus is only 17 inches above the street. At bus stops the suspension system allows the driver to lower the floor to 13 inches above the street level which is only 7 inches above a standard curt: AS the front door opens, a ramp projects out from under the bus floor and lowers to the curb. Because the ramp need only rise 7 inches its total length is only 4 feet. The ramp comes from the top of the step inside the bus and the ramp projects less than 3 feet out from the side of the bus. The Rohr TRANSBUS needs no curbside facilities and can service all existing bus stops. If a curb is not present at the stop, the ramp angle becomes steeper than that specified for architectural design standards, but is typical of many ramps currently in place in public facilities. A scale model of the Rohr TRANSDUS was displayed at the meeting of the President's Committee on Employment of the Handicapped in Washington, D.C., May 2, 3, and 4, 1973. -8- 4 FCOT RAMP ROHR INDUSTRIES TRANSBUS EXHIBIT 2 United States Department of Transportation, Urban Mass Transportation Administration, Analysis of Low Floors For Transit Buses, Executive Summary (January 1976) ANALYSIS OF LOW FLOORS FOR TRANSIT BUSES A Summary Prepared by UNTA Research Staff January 1976 Executive Summary Under a Federally supported project the National Academy of Engineering (NAE) studied the characteristics needed for improved buses in the future.* Representatives from varied segments of industry and society including the major bus manufacturers and bus operators participated in this project so the results represent a blend of authoratative considerations, findings. and opinions. A major conclusion was that buses, in the future. should have low floors. which would a) improve productivity by speeding the on-off flow of passengers and b) reduce physical barriers to the elderly and infirm. The Transbus specifications nave drawn heavily the recommendations from the NAE study including the low floor feature. In response to the request-for-proposals to design *** fabricate prototype Transbuses both high floor and low floor designs were submitted by manu- Facturing firms. These were evaluated by a team of experts and subsequently reviewed by the then Undersecretary and UMTA Administrator. The decision was to pursue the low floor designs. During the testing of the Transbuses in four US cities reactions from 11.000 transit bus riders were documented. Of the thirty major bus features in- vestigated the greatest positive response was in favor of the low floor. it is known that many serious passenger accidents occur in the vestibule and stairwell and the low floor results in substantial improvement in these areas. It is estimated that. in comparison to high floor buses, boarding and alighting accidents will be reduced twenty percent. Proving ground tests of the low floor Transbus prototypes show 1 marked improvement in handeling, high speed maneuvering and resistance to tip over actributable largely to the lower center of gravity. This will show even- cually as an improvement in safety. A namp (in contrast to a lift) entry to transit buses appears to be de- sirable for wheelchair access. There are several reasons; it can be deployed much faster: wheelchairs can board much faster; once deployed able bodied assengers can use it to advantage; it is better suited to amergency exit. To design a ramp for a high floor bus does not appear feasible whereas is is feasible for a low floor bus. It is estimated that a modern high floor bus (interim bus' will cost more to produce than the current production "new look" bus by 5.5 percent and a modern low floor bus would cost 12.5 percent more. Modern production methods may reduce these figures. Operating costs for modern high versus low floor buses are estimated to be $1.34 versus $1.36 cents per mile out this difference probably lies within the accuracy of the estimate and is not considered = be of significance. "Design and Performance Criteria for Improved Non-rail Urban Mass Transit Vehicles and Related Urban Transportation Systems" National Guideway of Engineering May 1968. - 2 - Some bus operators have expressed concerns over the Transbus design. These largely boil down to a) ground clearance problems which have been resolved in the production model specifications and b) equipment packaging and fabrication techniques exhibited in the prototype Transbus vehicles which did not compair favorably to production model "new look" buses. This is not an unusual condition for prototype vehicles. It is expected that all vital problems in this category would be corrected in a production model and its normal evolution. Disabled In Action of Pennsylvania, Inc. 1319 McKINLEY STREET / PHILADELPHIA, PA. 19111 / (215) SH 8-6808 SHIPPING FOR Release Date: 11:00 AM Tuesday, July 27, 1976 PRESS RELEASE A national coalition of 12 organizations of the disabled and elderly denounced today's decision by the Department of Transportation (DOT) to abandon the low-floor TRANSBUS as a "boon to General Motors and disaster for the elderly and disabled, and all mass transit riders. " The 12 organizations joined together last month to file suit on behalf of their 5.5 million members to force DOT to require all new buses to have low floors. At public hearings held on May 5, 1976, General Motors and certain transit agencies were the only opponents of TRANSBUS. Included among those testifying in favor of going forward with the production of TRANSBUS were the other two major bus manufacturers, Rohr Industries and AM General, Paralyzed Veterans of America, the Seattle-King County Transit Authority, American Council of the Blind, Southern California Rapid Transit District, American Coalition of Citizens with Disabilities, the Architectural and Trans- portation Barriers Compliance Board, Disabled In Action and the Office for Handicapped Individuals of DHEW. In denouncing today's ruling, Sieglinde A. Shapiro, President of Disabled In Action of Pennsylvania, the lead plaintiff organization, recalled Secretary of Transportation, William T. Coleman's remarks of last week when he announced $340 million in Federal mass transportation grants to 7 cities. These grants include monies for the purchase of 464 new buses. Mr. Coleman said that "the city that is not accessible cannot serve its people. The city that lacks mobility is a poor host - a harsh landlord. " With today's ruling DOT has effectively denied millions of disabled and elderly Americans ready access to public mass transportation and has deprived them of their right to be full contributing members of society. By taking this action, DOT has ignored its own studies and reports prepared over the past 9 years as part of the $27 million TRANSBUS program. These reports conclude that a low-floor bus design is technologically feasible and econonmically beneficial. The final TRANSBUS reports released in April by DOT find that the lower floor height would: 1) make mass transportation readily accessible to 26 million elderly and disabled individuals; 2) cut boarding time in half for all passengers; 3) reduce noise and vibration by 70%, resulting in ride quality approaching that of the automobile; and 4) attract more riders and increase operating revenues for hard pressed transit agencies by up to 10%, or $70 million a year. The DOT studies also show that the low-floor TRANSBUS would result in huge economic benefits by removing the major barrier to employment for the disabled. Increased tax revenues and decreased support payments could total as much as 7 times the cost of replacing high floor buses with the low-floor TRANSBUS. The studies further conclude that the low-floor TRANSBUS is a more cost effective means of providing disabled and elderly individuals transportation than alternative, specialized transit services. -2- Anticipating concerns expressed by transit operators about the prototype TRANSBUS vehicles, the DOT Executive Summary of the final TRANSBUS report found these concerns "not an unusual condition for prototype vehicles" and "that all vital problems in this category would be corrected in a production model and its normal evolution. 11 In addition, the reports indicated that the maintenance and repair requirements would remain constant; accident costs would be reduced by up to 20%; and trip time would be reduced resulting in improved scheduling and service dependability. The optional wheelchair lift packages required by DOT for new buses are not an adequate substitute for low-floor accessibility. The DOT studies show that it would be almost as expensive to equip and maintain buses with lifts as to build buses with lower floors. These studies also indicate that a bus with a lift device would not benefit nearly as many disabled and elderly individuals as would the low-floor TRANSBUS. The millions of individuals with arthritis, heart conditions, respiratory or pulmonary dysfunctions, and neurological disorders, including stroke, would benefit only from a low-floor, ramped bus. Six times since 1970 Congress has directed DOT to insure that all federally aided mass transportation is accessible to the disabled and elderly. The 12 organizations that filed suit last month to enforce the Congressional mandate are: Disabled In Action of Pennsylvania, New York, New Jersey, and Baltimore, Paralyzed Veterans of America, American Coalition of Citizens with Disabilities, National Capitol Area Chapter of the National Paraplegia Foundation, National Caucus on the Black Aged, Congress of Organizations of the Physically Handicapped, National Council of Senior Citizens, Pennsylvania Association of Older Persons, and United Cerebral Palsy Association of Pennsylvania. -3- Copies of the complaint which detail the findings and conclusions of DOT on the low-floor TRANSBUS; Congress' mandate on insuring the disabled and elderly equal access to public transportation; and the harms suffered by the elderly and disabled due to the lack of accessible mass transportation can be obtained from: Debby Yager, Public Relations Director, Litigation Committee, Disabled In Action of Pennsylvania, (215) 732-3129 or (215) 735-7200 or (215) 748 - 6808. or Hank Beasley, Paralyzed Veterans of America, Barrier Free Design Director, (301) 652-2135 Copies of pictures of the low-floor TRANSBUS can be obtained from the same sources. CONTACT: Jay Neuman (215) 831-9329 (215) 748-6808 -4- - Make buses accessible to handicapped, aged, suit asks BY JOSEPH WHITAKER able to get on the bus in the first place." © 1976, Los Angeles Times- According to Shapiro, more than 14 Washington Post News Service million of the nation's 26 million elderly Washington - A national coalition of and handicapped citizens are adversely disabled and elderly persons filed a law- affected by the design of mass-transit suit in U.S. District Court in Philadelphia vehicles. which would require all new buses in Since 1974, 10 suits have been filed in mass transportation to be easily accessi- cities across the nation demanding that ble to handicapped and elderly persons. mass transportation be made more If the class action suit is successful, accessible to the handicapped. In Wash- conventional buses with 34-inch-high ington a suit filed last year against the floors and doors 27 inches wide would be Metro subway caused the courts to forbid Bush Library Photocopy Preservation replaced by buses with floors 17 inches the opening of a subway station because off the ground, 44-inch-wide doors and it does not have an elevator for ramps that would reach to the sidewalk wheelchair-bound passengers. to accommodate people in wheelchairs or The defendant in Thursday's suit are on crutches. the U.S. Department of Transportation "Ten years ago court action made it possible for blacks to sit anywhere on the and Secretary William T. Coleman Jr., bus," said Sieglinde A. Shapiro, president the Federal Highway Administration and of Disabled in Action of Pennsylvania, its administrator, Norbert T. Tiemann, Inc., the lead plaintiff in the case. and the Urban Mass Transportation "We're not asking for any special place Administration and Robert E. Patricelli, to sit," she added, "We just want to be administrator of the agency. this week was parti preparing the Israeli pub for territorial concessions, Allon said, adding that, "we here Sa cannot reach a peace settle- sions with Ford an ment without CO cessions." Secretary of State Henry Israel has already offered singer. Sadat agreed with their assessment that a step- to withdraw from from the by-step approach offered the me deis desert oilfields passes in and exchange for best prospect. But they did Spec an Egyptian to efrain lot out going to Geneva States from war, but Egypt rejected in case those concessions that it would the terms. Egypt or Israel might be will- Egyptian Allon said he would not ad- ing to offer did not go far Israel to ag vise Kissinger to renew his enough to make another in- forces to strategic M Suit by Handicapped passes. In March t forts collapse cided that Could Shut Down sions, secure were not SW justify giving and the pass Chicago Mass Transit The Israel turn the oil length of th Chicago (UPI) - A quadraplegic and a senior citizen concessions suffering from emphysema filed a suit in U.S. District Court This was re today that could shut down both the Chicago Transit Author- which insis ity (CTA) and the Regional Transportation Authority (RTA). length of the The suit, filed on behalf of all disabled citizens, seeks an mum condit injunction against the RTA and the CTA to prohibit the In recent collection or dispersal of public funds - federal, state and officials hav local - until equal public transportation facilities are pro- by reports vided for the handicapped. were willin The suit also seeks a court order to force the CTA and al flexibilit RTA to comply with provisions of the federal Urban Mass Specifica Transportation Act which says that the elderly and handicap- cated that ped have the same rights to transportation as other citizens sought an and calls for "special efforts" to be made to ensure the as long as Bush Library Photocopy Preservation availability of mass transportation to such persons. would now The suit was filed by two DePaul University law students five year - George Wolfe, a quadraplegic, and Janet Wolfe, who is in The E her 60s and suffers from emphysema. March ne The suit charges that mobility is required for persons to an indefin exercise their constitutional rights, including the rights to that they free association, free speech, redress of grievances and equal sign a sta accord in employment. supersede The basis is that if you haven't got transportation, you In addit can't get to work, you can't go to court to seek redress of extend the grievances, you can't do much of anything," said Jeanne Nations bu Sullivan, a member of the executive committee of the Chica- year perio go chapter of the National Association of Social Workers, ods renew which is supporting the suit. intervals. The suit was filed with the cooperation and support of the Israelis th National Center for Law and the Handicapped, Notre Dame Egyptians University and the Chicago Advocates for the Handicapped. mally not accord for Recall of Polluting If Sada to ease h conceival work out 175 Cars Considered duration cials sai reasonably OF DEPARTMENT DEPARTMENTATION DEPARTMENT OF TRANSPORTATION NEWS UNITED STATES OF AMERICA URBAN MASS TRANSPORTATION ADMINISTRATION WASHINGTON, D.C. 20590 FOR RELEASE TUESDAY UMTA 75-80 July 22, 1975 Phone: (202) 426-4043 The U.S. District Court in Birmingham, Alabama handed down a landmark decision on June 24 when it granted a motion for summary judgement by the Department of Transportation's Urban Mass Transportation Administration (UMTA) and dismissed a suit which sought to prohibit UMTA from funding transit buses that do not accommodate wheelchair-bound persons. The suit, brought by Birmingham-area resident Jane Snowden, also sought to prohibit the Birmingham-Jefferson County Transit Authority (BJCTA) from procuring such buses. Snowden claimed that BJCTA and UMTA were violating Section 16 (a) of the Urban Mass Transportation Act of 1964, Section 504 of the Rehabilita- tion Act of 1973, and the "due process" and "equal protection" clauses of the Constitution of the United States. In granting UMTA's motion for summary judgement and dismissing the case, Judge J. Foy Guin, Jr. noted that standard size transit buses designed and equipped to accommodate wheel- chairs are not commercially available from any manufacturer. He also said it would gravely injure the general public, without in any way helping the plaintiff and others similarly situated, if procurement of transit buses were halted by court order until specially equipped buses could be designed, developed and produced. Judge Guin ruled as a matter of law that the statutes relied on by the plaintiff do not require that all Federally funded buses be wheelchair-accessible. Seven similar cases are pending in other State and Federal courts. UMTA's Office of the Chief Counsel is hopeful they will follow the Snowden decision or withhold action until an appeal filed with the Fifth Circuit U.S. Court of Appeals is decided. - O - For further information contact the UMTA Office of Public Affairs at (202) 426-4043.