Nondiscrimination at INDOT

Complaint Policy

INDOT promptly reviews complaints received and refers them to the FHWA. FHWA is responsible for all decisions regarding whether a complaint should be accepted, dismissed, or referred to another agency.

How are complaints routed?

Complaints are routed in the following ways:

1. All complaints are routed to the FHWA Headquarters Office of Civil Rights (HCR) for processing. HCR is responsible for all determinations regarding whether to accept, dismiss, or transfer Title VI complaints filed against INDOTs or Subrecipients of Federal financial assistance.

2. Complaints are forwarded from the initial receiving agency through the Federal-aid highway oversight hierarchy until the complaint reaches HCR. For example, if a complaint is filed with a Subrecipient City, that receiving agency should forward the complaint to INDOT, which should forward the complaint to the State’s FHWA Division Office, which should forward the complaint to HCR. If a complaint is filed with INDOT, then INDOT should forward the complaint to the State’s FHWA Division Office, which should forward the complaint to HCR.

3. INDOT and Subrecipients must log all complaints received.

4. When HCR decides on whether to accept, dismiss, or transfer the complaint, HCR will notify the Complainant, the FHWA Division Office, INDOT, and Subrecipient (where applicable).

What are the potential outcomes for processing a complaint?

There are four potential outcomes for processing complaints:

1. Accept: if a complaint is timely filed, contains sufficient information to support a claim under Title VI, and concerns matters under FHWA’s jurisdiction, then HCR will send to the complainant, the respondent agency, and the FHWA Division Office a written notice that it has accepted the complaint for investigation.

2. Preliminary review: if it is unclear whether the complaint allegations are sufficient to support a claim under Title VI, then HCR may (1) dismiss it or (2) engage in a preliminary review to acquire additional information from the complainant and/or respondent before deciding whether to accept, dismiss, or refer the complaint.

3. Procedural Dismissal: if a complaint is not timely filed, is not in writing and signed, or features other procedural/practical defects, then HCR will send the complainant, respondent, and FHWA Division Office a written notice that it is dismissing the complaint.

4. Referral\Dismissal: if the complaint is procedurally sufficient but FHWA (1) lacks jurisdiction over the subject matter or (2) lacks jurisdiction over the respondent entity, then HCR will either dismiss the complaint or refer it to another agency that does have jurisdiction. If HCR dismisses the complaint, it will send the complainant, respondent, and FHWA Division Office a copy of the written dismissal notice. For referrals, FHWA will send a written referral notice with a copy of the complaint to the proper Federal agency and a copy to the USDOT Departmental Office of Civil Rights. HCR is responsible for conducting all investigations of INDOT and other primary Recipients. In the case of a complaint filed against a Subrecipient, HCR may either conduct the investigation itself, or it may delegate the investigation to the primary Recipient, INDOT. If HCR chooses to delegate the investigation of a Subrecipient, HCR will communicate its acceptance of the complaint to the complainant and respondent, but INDOT will conduct all data requests, interviews, and analysis. INDOT will then create a Report of Investigation (ROI), which it will send to HCR. Finally, HCR will review the ROI and compose a Letter of Finding based on the ROI. All Letters of finding issued by FHWA are administratively final.

INDOT’s Complaint Policy

INDOT has a complaint policy for complaints of discrimination related to Title VI and will promptly investigate all complaints transferred to INDOT from HCR. INDOT will also attempt to resolve such complaints and take corrective action upon a finding of a substantiated complaint. Within 60 days of receiving a complete complaint, INDOT will submit its final confidential investigative report to FHWA. INDOT’s current complaint process provides a procedure for appeal of all unsubstantiated claims of discrimination. INDOT’s complaint procedures outlined below reflect INDOT’s current policies and procedures.

Complaint Investigation Procedures

Complaints are not considered received until they are submitted to INDOT as complete complaints, both signed and in writing. INDOT will determine whether the person or entity purportedly engaged in the alleged discriminatory act is an INDOT subrecipient (the legal entity to which INDOT made a sub-award of federal funds and which is accountable to the INDOT for the use of the funds provided). If the complaint does not specifically mention that the alleged discriminatory actor is an INDOT subrecipient, INDOT may presume so in deciding whether to accept the complaint for further processing. These procedures apply to all complaints filed under Title VI of the Civil Rights Act of 1964 and its related statutes, regulations, and directives, as amended. These procedures do not affect the right of the Complainant to file formal complaints with other state or federal agencies or to seek private counsel for complaints alleging discrimination. These procedures are part of an administrative process that does not provide for remedies, such as punitive or compensatory damages for the Complainant. INDOT will make every effort to facilitate a voluntary early resolution of complaints at the lowest level possible. INDOT may exercise the option of informal resolution at any stage of the process.

Who May File a Complaint?

Any person who believes that he or she has been excluded from participation in, denied the benefits of or otherwise subjected to discrimination under any INDOT service, program, or activity whether federally funded or not, based on their race, color, or national origin may file a complaint. A complainant's representative may also file a complaint on behalf of such a person.

Timeliness of complaint

For a complaint against INDOT or a subrecipient to be considered timely, it must be filed within 180 calendar days after the alleged incident has occurred. The filing date of a complaint is the earlier of the postmark or the date a signed, written complaint is received by INDOT. INDOT may determine on a case-by-case basis whether to waive the 180-calendar daytime limit for a “good cause” at its discretion. Good cause for a waiver shall include but is not limited to, lack of knowledge or incapacity.

Lack of Knowledge

INDOT may waive the time limit in situations where the person on whose behalf the complaint was filed did not know of and could not have reasonably known of the violation during the 180-day time limit. The complainant must file his or her complaint within 60 days of becoming knowledgeable of the violation.

Incapacitation

INDOT may also waive the time limit in situations where the person on whose behalf the complaint was filed was incapacitated because of illness or other incapacitating circumstances. The Complainant must provide independent documentation of the purported incapacitation. The complainant must file his or her complaint within 60 days after the period of incapacity ends.

Location and Availability of Complaint Forms:

INDOT provides complaint forms online via the INDOT website. The form is included herein as Attachment I. Contact the Title VI Program Manager to request a copy of the complaint form via email, facsimile, or United States mail. The Program Manager provides copies of the complaint form in alternative formats upon request and provides copies of the form in Spanish and other languages as determined by INDOT’s LEP plan. Complainants are encouraged, but not required, to use the complaint form when filing a complaint.

Please click here for the consolidated form, or the link below to fill out the form and submit a complaint.

How To File a Complaint

A complainant may preliminarily submit his or her complaint by online form submission, mail, facsimile, or email. However, the complainant must submit a signed, original copy of the complaint by first-class U. S. Postal Mail to the Title VI Program Manager to officially begin the complaint process. Any person with a disability may request to file his or her complaint using an alternative format. INDOT does not require a complainant to use the INDOT complaint form when submitting his or her complaint. A copy of INDOT’s Complaint

Direct all complaints of discrimination pursuant to Title VI to:

Title VI Program Manager & Title VI Manager Indiana Department ofTransportation
100 N. Senate, Room N755
Indianapolis, IN 46204
Email address: AccessForAll@indot.in.gov

And/or

Federal Highway Administration Headquarters - Office of Civil Rights
1200 New Jersey Avenue, SE HCR-40, Room E81-101
Washington, DC 20590
202-366-0693 or Fax: 202-366-1599
TTY: 202-366-5751

Additionally, complaints may be filed with the U.S. Department of Justice at:

Federal Coordination and Compliance Section -NWB Civil Rights Division
U.S. Department of Justice
950 Pennsylvania Avenue, N.W.
Washington, D.C. 20530

Elements of a Complete Complaint

A complaint must be both written and signed to be complete. Verbal complaints must be reduced to writing and provided to the complainant for confirmation, review, and signature before processing. The complaint form is available for download from the INDOT website at: https://www.in.gov/indot/3584.htm.

A complaint must include the following information:

1. The full name and address of the complainant
2. The full name and address of the respondent, which may be the individual, agency, department, or program that allegedly discriminated against the complainant;
3. A description of the alleged discriminatory act(s) that violated Title VI (i.e., an act of intentional discrimination or one that has the effect of discriminating on the basis of race, color, or national origin; and
4. The date of occurrence.

The following items are not acceptable as a complete complaint unless accompanied by a signed cover letter that specifically requests INDOT take action concerning the allegations:

1. Anonymous complaints.
2. Inquiries seeking advice or information
3.  Newspaper articles
4. Courtesy copies of court pleadings
5. Courtesy copies of complaints addressed to other agencies
6. Courtesy copies of internal grievances
7. Oral complaints

The Title VI Program Manager shall notify the complainant in writing if his or her complaint is incomplete and allot 15 calendar days for the Complainant to respond and provide the supplemental information needed to complete the complaint.

Processing Complaints: The Title VI Program Manager processes all complaints.

Logging Complaints: The Title VI Program Manager will note the complaint in the log by sequential case number based on the year, month, and order in which INDOT received the complaint. For example, if INDOT received a complaint on March 4, 2023, the case number would be 2023-03-04. Acknowledging receipt: The Title VI Program Manager will acknowledge receipt of the complaint and inform the Complainant of the action taken or proposed action to be taken to process the complaint by letter. This acknowledgment letter shall include a restatement of the complaint, a brief statement of INDOT’s jurisdiction over the subrecipient, and contact information for the investigator assigned to conduct the investigation.

FHWA Notice: INDOT shall forward the complaint to the FHWA within 10 business days of receipt of the complaint for assignment.

Respondent Notice: If assigned by HCR, INDOT forwards a notice via certified mail to the Respondent informing them of the allegations, requesting a position statement, and providing the name and telephone number of the Title VI Program staff person assigned to investigate the complaint.

Complainant Notice: INDOT informs the Complainant that he or she has a right: (1) to have a witness or representative present during any interviews and (2) to submit any documentation he or she perceives as relevant to proving the allegations contained in the complaint.

Opportunity to Respond: INDOT will provide the Respondent with a reasonable opportunity to respond to all aspects of the Complainant’s allegations.

Witnesses: INDOT will determine if witnesses will be contacted and interviewed as part of its investigation.

Additional Information: INDOT may reach out to gather additional information from the parties. Investigative Report: INDOT will draft a confidential investigative report (IR) and forward a copy of the same to the FHWA within 180 calendar days following the receipt of the complaint by INDOT. The report shall not be disclosed to the Complainant or Respondent. The report typically includes the following:

1. A summary of the written complaint
2. A brief description of the standard of review/methodology used to investigate the complaint
3. Summarized statements taken from witnesses interviewed by INDOT
4. Findings of fact and an analysis of the evidence gathered. The analysis should address each allegation in the complaint and the Respondent’s position
5. A determination, based on the preponderance of evidence presented, of whether the complaint is substantiated or unsubstantiated; and * Proposed corrective action for substantiated cases

Letter of Findings: INDOT is responsible for drafting a Letter of Findings (LOF) and mailing the LOF to the FHWA, Respondent, and Complainant within 180 calendar days of the date the complaint was received by INDOT. The LOF may include the following:

1. A summary of the written complaint
2. A brief description of the standard of review/methodology used to investigate the Complaint
3. Findings of fact and an analysis of the evidence gathered. The analysis should address each allegation in the complaint and the Respondent’s position
4. A determination, based on the preponderance of evidence presented, of whether the complaint is substantiated or unsubstantiated
5. Proposed corrective action for substantiated cases In accordance with DOT Order 1000.12, INDOT shall keep all Complainants’ identities confidential except to the extent necessary for carrying out an investigation. If an investigator determines that it is necessary to disclose the Complainant’s identity to the Respondent or a third party, the investigator must first obtain the Complainant’s written permission. INDOT may refer complaints to the appropriate agency or entity without obtaining permission as referral may be required. INDOT will notify the Complainant of the referral at the time the referral is made. Otherwise, INDOT shall obtain a Complainant’s written consent before providing a copy of the complaint to the Respondent or a third party. The Title VI Program Manager shall maintain all records of an investigation in a confidential area for three (3) years after the completion of the investigation.