Policy on Nondiscrimination in Programs Receiving Federal Assistance from the U.S. Environmental Protection Agency

Title 40 of the Code of Federal Regulations (CFR), Parts 5 and 7, Nondiscrimination in Programs or Activities Receiving Federal Assistance from the Environmental Protection Agency, prohibits discrimination on the basis of race, color, national origin, age, sex, or disability in programs or activities receiving federal assistance. It requires recipients of federal assistance to:

• Collect, maintain, and provide information showing compliance with 40 CFR, Parts 5 & 7;
  • Designate a person to be the Nondiscrimination Compliance Coordinator (NCC) to coordinate efforts to comply with 40 CFR, Parts 5 & 7;
  • Adopt grievance procedures that assure the prompt and fair resolution of discrimination complaints alleging violations of 40 CFR, Parts 5 & 7; and
  • Provide continuing and prominent public notice of nondiscrimination on the basis of race, color, national origin, age, sex, or disability, and of the identity and contact information for the NCC. 

It is the policy of IN-CAA not to discriminate in accordance with 40 CFR, Parts 5 & 7. 

In addition, IN-CAA adopts the following procedures to implement the requirements of 40 CFR, Part5 & 7.

Compliance Procedures 

IN-CAA shall collect, maintain, and on request, provide the following information to show compliance with 40 CFR, Parts 5 & 7: 

1. A brief description of any lawsuits pending against IN-CAA that allege discrimination which 40 CFR, Parts 5 & 7, prohibits;
2. Racial/ethnic, national origin, age, sex, disability, and disability data, or EPA Form 4 700- 4 information submitted with County applications for EPA assistance;
3. A log of discrimination complaints that identifies the complaint, the date it was filed, the date IN-CAA’s investigation was completed, the disposition, and the date of disposition;
   1. Reports of any compliance reviews conducted by any other agencies; and
      1. Additional data and information specific to certain IN-CAA programs or activities to determine compliance where there is reason to believe that discrimination may exist in a IN-CAA program or activity or to investigate a complaint alleging discrimination in a IN-CAA program or activity. 

When preparing compliance information, IN-CAA shall use the racial classifications set forth in 40 CFR, Section 7.25, in determining categories of race, color, or national origin. 

IN-CAA shall keep records of the compliance information identified above for at least three years after completing a project for which IN-CAA was a recipient of U.S. EPA assistance. When any complaint or other action for alleged failure by IN-CAA to comply with 40 CFR, Parts5 & 7, is brought before the three- year period ends, IN-CAA shall keep records until the complaint is resolved; and

IN-CAA shall:

• Give OECRC access during normal business hours to its books, records, accounts, and other sources of information, including its facilities, as may be pertinent to ascertain compliance with 40 CFR, Parts 5 & 7;
  • Make compliance information available to the public upon request; and
  • Assist in obtaining other required information that is in the possession of other state agencies, institutions, or persons not under IN-CAA’s control. If such party refuses to release that information, IN-CAA shall inform the OECRC and explain its efforts to obtain the information.

Nondiscrimination Compliance Coordinator (NCC) 

IN-CAA designates Alexus Tucker, the Data and Contract Manager as the NCC responsible for coordinating IN-CAA efforts to comply with its obligation under 40 CFR, Parts 5 & 7. She can be reached at 317-638-4232 ext. 206, [email protected], IN-CAA, 1845 W. 18^th St., Indianapolis, IN 46202. 

Grievance Procedure 

Purpose 

In compliance with 40 C.F.R., Parts 5 & 7, IN-CAA has established a grievance procedure to ensure prompt and fair resolution of complaints alleging a violation of 40 C.F.R. Parts 5 & 7. Complainants should be assured that IN-CAA does not condone or permit intimidation or retaliation as a result of making a complaint, and as such they are prohibited. Any claims of intimidation or retaliation related to the complaint process will be handled promptly and fairly pursuant to the below procedure and in the same manner as other claims of discrimination. 

Filing of Complaint 

A person (or the authorized representative of a person) who believes that they or a class of persons have been discriminated against may file a complaint with IN-CAA. Alexus Tucker, Data and Contract Manager is designated as the Nondiscrimination Compliance Coordinator (NCC). She can be reached at 317-638-4232 ext. 206, [email protected], IN-CAA, 1845 W. 18^th St., Indianapolis, IN 46202. 

Any complaints should: 

1. Be submitted in writing;
   1. Be filed within 180 days of an alleged violation (except as otherwise indicated in the following paragraph);
   2. Describe with specificity the action(s) by IN-CAA that allegedly resulted in discrimination in violation of 40 C.F. R Parts 5 & 7;
   3. Describe with specificity the discrimination that allegedly occurred or will occur as the result of such action(s);
   4.  Identify the parties impacted or potentially impacted by the alleged discrimination. 

IN-CAA may request additional information from the complainant if this information is needed to meet the complaint requirements described above. IN-CAA may waive requirements in its discretion in order to address allegations of potential discrimination caused by pending actions at the earliest appropriate and feasible juncture, or, for good cause, to address complaints filed more than 180 days after an alleged violation. 

IN-CAA may request additional information from the complainant if needed to assist with meeting the complaint requirements listed above. Appropriate assistance shall be provided to individuals with disabilities and individuals with limited English proficiency. Also, complaints in alternative formats shall be accepted from individuals with disabilities, for example, complaints filed on audio tape, or in Braille. If assistance is needed in order to file a complaint, please contact Alexus Tucker. 

Within 10 days of receiving a written complaint, IN-CAA will provide the complainant with written notice of receipt. At this time, IN-CAA may request any additional information needed to meet the complaint requirements above. A case file shall be established.

Logging of Complaint Submittals 

All complaint submittals are to be logged and IN-CAA shall retain a copy of all documents on file in accordance with the records retention schedule. The NCC shall also notify the relevant program managers. 

The following are examples of what will not be logged as a complaint submittal: 

• Anonymous submittals;
• Submittals too vague to reasonably determine the allegations of discriminatory conduct;
• Submittals not sufficiently identifying the person(s) harmed or potentially harmed by the alleged discrimination;
• Courtesy copies of court pleadings;
• Courtesy copies of complaints addressed to other local, state, or federal agencies;
• Newspaper articles;
• Web-based media sources such as YouTube videos, e-mail strings, blog posts, comment strings, or Web pages;
• Courtesy copies of internal grievances; and
• Voice mail messages, phone calls, or in-person conversations, unless such voice mail messages, phone calls or in-person conversations are for the purpose of requesting assistance with the filing of a complaint. 

Determination of Jurisdiction and Investigative Merit 

IN-CAA, based on information in the complaint and other information available, will determine if it has jurisdiction to pursue the matter and whether the complaint has sufficient merit to warrant an investigation. A complaint shall be regarded as meriting investigation unless: 

1. It clearly appears to on its face to be frivolous or trivial;
   1. Within the time allotted for making the determination of jurisdiction and investigative merit, the IN-CAA voluntarily concedes noncompliance and agrees to take appropriate remedial action or reaches an informal resolution with the complainant;
   2. Within the time allotted for making the determination of jurisdiction and investigative merit, the complainant withdraws the complaint;
   3. It is not timely and good cause does not exist for waiving the deadline for filing a complaint. 

Mediation 

Mediation is a form of Alternative Dispute Resolution (ADR) that is offered by IN-CAA as an alternative to the investigative process. Mediation is an informal process in which a trained mediator assists in reaching a negotiated resolution to a charge of discrimination. Participation in mediation is completely voluntary.