INDOT’s Subrecipient Monitoring & Compliance Practices

1. INDOT’s Subrecipient Monitoring & Compliance Practices Erin L. Hall, Attorney, INDOT Title VI & ADA Program Manager INDOT Legal Division (317) 234-6142 Ehall2@INDOT.in.gov

2. FHWA, requires State Transportation Agencies (STAs) (such as INDOT) to take action to ensure that: • Its own programs and facilities, and • Those of subrecipients, are compliant with all nondiscrimination and accessibility requirements.

3. A short list of relevant authorities includes: • Title VI of the Civil Rights Act of 1964 (Title VI) • Title II of the Americans with Disabilities Act of 1990 (The ADA) • Section 504 of the Rehabilitation Act of 1973 (Section 504) (29 USC 790) • The Civil Rights Restoration Act of 1987 • Executive Order 12898 on Environmental Justice (EJ) Low Income & Minorities • Executive Order 13166 on Limited English Proficiency (LEP) Linguistic Minorities • Executive Orders 11246 on job discrimination • The 1970 Uniform Act (42 USC 4601) • The 1973 Federal-aid Highway Act (23 USC 324) • The 1975 Age Discrimination Act (42 USC 6101) • Implementing Regulations (49 CFR 21 & 23 CFR 200)

4. SUBRECIPIENT MONITORING PROCEDURES Keep in mind that this technical assistance is designed for Cities, Towns, Counties, Communities & Public Entities. Contractors or Consultants Title VI requirements differ as does INDOT’s subrecipient monitoring process.

5. SUBRECIPIENT MONITORING PROCEDURES • Annual LPA Pre-award Survey • Grant Application Certifications • Post-award Compliance Reviews • Voluntary Compliance Agreements

6. Annual Pre-Award Survey • Annual Requirement • Self-reporting tool @ https://itap.indot.in.gov/ • Baseline Compliance Determinations • Allows for “desk audit”: • Component Checking ONLY • Verification of the existence of documents

7. PRE-AWARD SURVEY

8. Annual Pre-Award Survey • INDOT reviews all responses • We will look on your website to verify what is reported • Desk review begins as surveys are received but may take months to complete.

9. Annual Pre-Award Survey Preliminary Compliance Determinations: • Compliant = LPA has presented evidence of all required components • Preliminary deficiencies may exist because… • You don’t have it OR • We couldn’t find it If you don’t complete the survey, we can’t give you a status report!

10. Annual Pre-Award Survey 30 day documentation review period to: • Provide missing documentation OR • Agree to fix the deficiency & provide a plan: • Acknowledge the deficiency • Commit to resolve it • Establish a timeframe for resolution (Please include what you plan to do in the next month & year) • Describe your plan for addressing the deficiency • PROVIDE CURRENT CONTACT INFORMATION !!!

11. Annual Pre-Award Survey Compliance / Deficiency Report: • Following the 30 day period, INDOT will report back on your compliance status • Please be patient! • This is our first year and we are adjusting as we go. • Following our annual review INDOT will include its final report of LPA compliance (statewide picture) in its annual report to FHWA • Any subrecipient can become compliant at any time by providing evidence of resolved deficiencies.

12. Applications for Funding

13. Application Process • A Statement of compliance is submitted with the application by the subrecipient: • Representations made in the letter are cross-checked with INDOT’s most recent reviews. • If the applicant indicates a higher level of compliance the applicant must: • submit proof that the missing program element exists and • provide supporting documentation for review by the Title VI program staff. • 10-day period for an applicant to: • Demonstrate an error in our determination of compliance OR • Present a plan for resolving the deficiencies that exist.

14. Post-Award Compliance • Focused on ensuring continuing compliance of existing subrecipients • A contractual obligation exists

15. Post-Award Compliance A post-award compliance review may be conducted based upon the following: • A high-dollar or high-impact project is being undertaken by • The LPA has received a complaint of discrimination or INDOT has received a complaint about the LPA; or • INDOT has other reason to suspect the LPA may not be in compliance with nondiscrimination requirements.

16. Post-Award Review Process

17. Post-Award Compliance Notice of Compliance Review: • 30 days to produce requested documentation • FHWA notification • Failure to respond results in deficiency status with notification to FHWA

18. The Review • May occur by phone or in-person. • Preliminary findings will be provided after we have had a chance to discuss any suspected deficiencies. • Work with the LPA to agree on a voluntary plan to resolve deficiencies. • After 90 days INDOT will: • Determine whether the LPA remains deficient or not • Issue a notice of noncompliance for any LPA not willing to resolve or address deficiencies and copy FHWA on the notice.

19. Risks • Noncompliance could result in loss of funding • Noncompliance can result in liability and complaints

20. Goals of INDOT’s program • To remain compliant • To provide technical assistance to subrecipients • To improve the overall compliance of subrecipient programs in the state