LPA Pre-Award Certification & Assurances Survey Summer 2014

1. LPA Pre-Award Certification & Assurances Survey Summer 2014

2. Facilitators • Britni Saunders LPA Training Director, INDOT 100 North Senate Avenue, N955 Indianapolis, IN 46204 317-234-7930 bsaunders@indot.in.gov • Heather Kennedy Director, Economic Opportunity Division, INDOT100 North Senate Avenue, N750 Indianapolis, IN 46204 317-234-8008 HKennedy@indot.in.gov

3. Purpose • Provide information and technical assistance to INDOT sub recipients and beneficiaries regarding the upcoming Pre-Award Certification & Assurance Survey. • Does not constitute legal advice. • Laws and regulations are subject to change. Accuracy and completeness of this presentation is not guaranteed beyond the date of this presentation.

4. Section 504 • Part of Vocational Rehabilitation Act of 1973 • Purpose • To prevent discrimination in federally funded programs • Language • “No qualified handicapped person shall, solely, by reason of his handicap, be excluded from participating in, be denied benefits of, or be subjected to discrimination under any program or activities that receives or benefits from federal financial assistance.”

5. Title VI • Part of the Civil Rights Act of 1964 • Purpose • To eliminate discrimination in federally funded programs and activities • To ensure equitable distribution of public funds for public benefit • Applies to all recipients of federal funding regardless of size

6. Title VI, cont. • Language • “No person in the United States shall on the grounds of race, color, or nation origin be excluded from participation in, be denied benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.”

7. Title II of the ADA • Part of the American Disabilities Act of 1990 • Purpose • Prohibits discrimination based on disability • Requires state and local government to provide program access and effective communication for individuals with disabilities • Enforced by the U.S. Department of Justice

8. Title II of the ADA, cont. • Language • “[N]o qualified individual with a disability shall, by reason of such disability, be excluded from participation in or be denied the benefits of services, programs, or activities of a public entity, or be subjected to discrimination by any such entity.”

9. Survey Details • LPA Pre-Award Certification & Assurance • Opens July 1st; DEADLINE: SEPTEMBER 1, 2014 by 11:59 PM • Purpose • Monitor sub recipients for compliance with the nondiscrimination laws • Self-reporting tool • Due annually • Accessible online at: http://itap.indot.in.gov • Used to determine compliance with Title VI, ADA and Section 504 • Information reported to FHWA • Failure to complete on time = noncompliance • Noncompliant means at risk of ineligibility of federal funding

10. Survey Details, cont. • Failure to Respond = Noncompliance • The LPA has not met the prescribed requirements and has failed to show a good faith effort in implementing all of the Title VI requirements.

11. Compliance Deficiencies • What if a LPA has compliance deficiencies? • INDOT will notify the LPA and give the LPA and opportunity to voluntarily come into compliance within a specific timeframe. • Failure to voluntarily address any deficiencies noted constitutes noncompliance. • A LPA must clearly demonstrate it is making a good faith effort to comply with the nondiscrimination laws

12. Consequences of Noncompliance • Withholding of payments on the contract until the sub recipient complies, and • Cancellation, termination or suspension of the contract in whole or in part, or • Other authorized action including provisions under state and local law (e.g. referral to INDOT Prequalification Committee or the U.S. Department of Justice)

13. Survey Clarity • Question 1 • Are you responding on behalf of a local public agency (city, county or town) that receives federal financial assistance from the Indiana Department of Transportation? • ANSWER YES • Even if you do not currently receive funds but plan to apply or plans to use them, you will need to complete the survey.

14. Where to locate the survey • INDOT homepage • Click on Doing Business with INDOT • Click on Local Public Agency Programs • Under ‘Related Links’, click on “INDOT Technical Application Pathway (ITAP) Login” • Business registered? User registered? • Request the application “LPA Annual Pre-Award Certification & Assurance”

15. FAQs Q: Do you need to complete this survey if you are in an MPO? A: Yes. If your agency would like to be deemed eligible for federal funding, you will need to complete the survey before 9/1/14. Q: My agency just completed the survey last month. Do I need to do it again? A: Yes. The survey must be completed between 7/1/14-9/1/14 to be considered eligible for federal funding in the upcoming fiscal year. Q: How do I know if my agency will be audited on the information I submit? A: You don’t. Audits will be conducted randomly.

16. FAQs Q: If I say something that is incorrect about our Implementation Plan, will my agency be penalized? A: No, but you should make every effort possible to ensure that the information you are providing is accurate. Q: Is there a record of what we submitted last year on this survey? A: Unfortunately not. When you complete the audit, you should print off a copy of your answers to reference in the future. Q: Do I need to complete this survey if I am not planning a federally-funded transportation project? A: We strongly recommend it. LPAs in the past have thought they would not need to complete it and then later when they applied for funds, they were subjected to a full audit.

17. FAQs Q: What happens if my agency does not complete the survey because we think we won’t be using federally money and then we realized later that we need to apply? A: You will be subjected to a full audit because you did not complete the survey. Q: Can a consultant fill this out for me? A: No. Consultants are not allowed access to the survey in ITAP. LPAs create risk by not taking ownership over the information submitted on the survey.

18. FAQs Q: If my agency doesn’t have a Title VI/ADA Coordinator, who should I have help me fill it out? A: First, because every agency should have a designated Title VI Coordinator, there should be an active plan in place to find a replacement for that role. Second, you would need to talk to the officials at your agency to determine who the most appropriate person would be to complete the survey. Q: Why is there a deadline for completing the survey? A: INDOT’s deadline to report this information to FHWA is in October 2014.

19. Resources Content Questions: • Heather Kennedy Director Economic Opportunity Division, INDOT100 North Senate Avenue, N750 Indianapolis, IN 46204 317-234-8008 HKennedy@indot.in.gov Content & Training: • Britni Saunders LPA Training Program Director, INDOT 100 North Senate Avenue, N955 Indianapolis, IN 46204 317-234-7930 bsaunders@indot.in.gov Technical Assistance: • Michael Cales LPA Program Director, INDOT 100 North Senate Avenue, N955 Indianapolis, IN 46204 317-232-5021 mcales@indot.in.gov • Michael McNeil LPA Program Director, INDOT 100 North Senate Avenue, N955 Indianapolis, IN 46204 317-232-0223 mmcneil@indot.in.gov