1. INTRODUCTION This issuance generally outlines the procedures utilized by the APHIS CREC Program Compliance Division to ensure nondiscrimination in all programs and activities conducted or assisted by APHIS. Nondiscrimination in program delivery is accomplished through three major efforts: 1) Program compliance reviews to include pre and post award reviews of programs and activities receiving Federal financial assistance from APHIS, and programs and activities directly conducted by APHIS; 2) receipt and prompt processing of complaints of program discrimination filed by persons, organizations or other entities against programs or activities assisted or conducted by APHIS, and 3) analysis of the civil rights implications of APHIS management and program decisions.

2. REFERENCES\AUTHORITIES The primary civil rights statutes and regulations governing nondiscrimination in APHIS conducted and assisted programs and activities are as follows:

Title VI of the Civil Rights Act of 1964
Section 504 of the Rehabilitation Act of 1973
Age Discrimination Act of 1975
Title IX Education Amendments of 1972
Title 7, Code of Federal Regulations, Part 15d Nondiscrimination in USDA Conducted Programs and Activities
USDA Departmental Regulation 4330-2 Nondiscrimination in Programs and Activities Receiving Federal Financial Assistance from USDA
USDA Departmental Regulation 4330-3 Nondiscrimination in USDA Conducted Programs and Activities

3. COVERAGEThese procedures apply to the civil rights compliance requirements of any programs or activities conducted or assisted by APHIS; any complaint of program discrimination filed against an assisted or conducted APHIS program or activity and any management or administrative APHIS decision or action having civil rights implications.

4. POLICY A. Program Compliance for APHIS Federally Conducted and Assisted Programs and Activities

Examples of Federally Conducted:

Airport Passenger Inspections
Ship Cargo Inspections
Permit Issuance Examples of Federally Assisted: Loans or Grants to Universities
Personnel Detailed to Assist State and Local Governments
Use of Facilities by Outside Organizations The APHIS CREC Program Compliance Division is responsible for monitoring and evaluating the delivery of programs and activities either conducted or assisted by APHIS. This process ensures that the delivery of those programs and activities are in compliance with civil rights requirements. CREC will utilize the following factors to identify a program or activity for a compliance review:

1) Complaints of Discrimination (frequency, location)
2) Size and characteristics of populations in service area, and level of service
3) Conclusions from other reviews and surveys
4) Types and status of assistance (new or increased funding, new program)
5) Congressional, media or public inquiry
6) APHIS management interest
7) Any other reason so determined by the Director, CREC

Each program or activity will be reviewed on the following factors: 1) Assurance of Nondiscrimination
2) Participation Records
3) "And Justice for All" Poster and Communications
4) Public Notification and Outreach Plan
5) Civil Rights Training
6) Complaint Processing
7) Accessibility to Programs and Facilities
8) Notice of Complaints, Lawsuits, Compliance Review Results Programs and recipients will be notified and briefed on any upcoming review. The review may include an on-site examination of all pertinent office and statistical records, guidelines and regulations, personnel and programs records, interviews and any other information deemed appropriate for purpose of the review. CREC will notify in writing the appropriate APHIS program and/or recipient when a review reveals noncompliance or potential civil rights problem areas. The notification will include identification or the component(s) of the program that is not in compliance, corrective action(s) necessary to bring about compliance, and a timetable for completing the corrective action(s). At all times during the compliance review process, CREC will provide technical assistance to the program and/or recipient to assist in achieving compliance.

B. Program Complaint Processing Examples:

Broker alleges discrimination due to delay in release of cargo.
Passenger alleges inspection discrimination because of racial profiling.
Animal provider alleges discrimination when license is terminated.

USDA Office of Civil Rights
Room 326-W Whitten Building
14th & Independence Avenue SW
Washington, DC 20250-9410
Telephone: (202) 720-5964 (voice or TDD)

If an APHIS employee receives a written complaint directly, that complaint should be immediately forwarded to the CREC Program Compliance Manager (PCM).

USDA-APHIS-CREC
Attn: Steve Shelor, Program Compliance Manager
Room 1137 South Building
14th & Independence Avenue, S.W.
Washington, DC 20250

The PCM will prepare a program complaint processing package acknowledging to the complainant that his or her complaint was received by APHIS; forward the complaint by courier to OCR's Program Complaint Division, and requesting from the APHIS work site where the complaint occurred a brief report describing the circumstances surrounding the complaint. Upon notification by OCR that it has accepted the complaint and requested an Agency Position Statement (APS), the PCM will prepare the APS utilizing the report from the complaint work site and any other pertinent information. The PCM is also responsible for maintaining a comprehensive database to track complaint data, reconcile complaint data with OCR, periodically issue reports to senior managers, and ensuring that all APHIS personnel are aware of complaint receipt and processing procedures.

C. Civil Rights Impact Analysis Examples:

Closure of Work Facility-Impact on Program Delivery
Regulation Change Governing Fruit Importation
Implementation of New Program Eligibility Rule or Policy

For actions requiring CRIAs and procedures for evaluating Title VI Civil Rights Impact Analysis see CREC Internal Policy Issuance #1 - Civil Rights Impact Analysis (Programs).USDA agencies are required to identify and address the civil rights implications of proposed agency actions in their management and decision making procedures. The following process is utilized for conducting a Civil Rights Impact Analysis (CRIA): The Regulations Analysis Division (RAD) submits a written request to CREC Enforcement and Compliance (CREC) to conduct a CRIA. All requests are logged into the CREC Civil Rights Impact Analysis Tracking System database. All interim or final rules are reviewed to determine changes. The CRIA is prepared using relevant Race, Sex, and National Origin (RSNO) data provided by National Agricultural Statistics Service (NASS), Census of Agriculture, comments on rules, and other available data. The CREC Director/Deputy Director review and approve the CRIA which is then electronically forwarded to RAD for review and comment. RAD may provide comments to CREC for final approval after which the CRIA is forwarded to USDA's Office of Civil Rights. The final rule clearance is noted on the CREC website at the Hot Rules page.

APPROVED: _____________________________ DATE: _________________
Anna P. Grayson, Director
Civil Rights Enforcement and Compliance

Animal and Plant Health Inspection Service
Civil Rights Enforcement and Compliance
Internal Policy Issuance #: 1
 
 

1. INTRODUCTION This issuance outlines the policies and procedures used by the APHIS Equal Employment Opportunity Program Evaluations and Compliance Review Program in performing compliance reviews, desk based evaluations, and monitoring and evaluating Civil Rights strategic and outreach plans. Monitoring and evaluating of the Civil Rights strategic and outreach plans will be performed utilizing similar techniques and procedures as described below for compliance reviews. CREC may work with other APHIS evaluation experts as needed. A compliance review is a systematic method designed to measure the effectiveness of an agency's EEO program. Compliance reviews show officials and managers the extent to which their programs are being conducted and operated in compliance with Federal, Department and agency-specific civil rights laws, policies, regulations, and requirements. These provisions prohibit discrimination on the basis of race, color, religion, sex (gender), national origin, age, disability, marital status, sexual orientation or parental status; and promote equality of opportunity in all facets of employment (recruitment, training, promotions, advancement, awards, and selections). In support of a continuing affirmative program, APHIS must conduct a continuing campaign to eliminate every form of prejudice or discrimination from the agency's personnel policies, practices, and working conditions. During compliance reviews, managerial and supervisory performance is reviewed, evaluated, and monitored in a manner that will ensure a continuing affirmative application and vigorous enforcement of the policy of equal opportunity. This process provides orientation, training, and advice to managers and supervisors designed to assure their understanding and implementation of the equal employment opportunity policy and program. Any manager, supervisor, or employee who engages in discriminatory practices will be subject to appropriate disciplinary action. Managers and supervisors should a.) provide the maximum feasible opportunity for employees to enhance their skills through on-the-job training, work-study programs, and other training measures enabling them to perform at their highest potential and advance in accordance with their abilities; b) ensure awareness of advancement opportunities; c) employ fair and equitable selection processes; and d) work in an environment that is free from discrimination and hostilities and that provides accommodations for persons with disabilities. Reviews enable the review team and management to evaluate information on an agency's programs and employment patterns. The compliance review may highlight a manager's or leadership team's continuing affirmative application and vigorous enforcement of equal employment opportunity policy. However, compliance reviews may also reveal civil rights infractions such as, denial of full benefits, barriers to participation, disparity in treatment, lack of selection to advisory boards and planning committees, and lack of information, e.g., how to file a civil rights complaint. Reviews clearly show both full compliance or equality and the nature and degree of noncompliance. The APHIS Civil Rights Enforcement and Compliance (CREC) staff conducts compliance reviews to assist organizations in strengthening their civil rights and equal employment opportunity programs. The complexity of civil rights compliance reviews varies from a "yes-no" checklist, to a desk audit format with standardized questions, to an on-site visit with standardized questions and employee interviews at an agency work unit. On-site visits generally are 1 week in duration.

2. REFERENCES

Equal Pay Act of 1963
Title VII of the Civil Rights Act of 1964
Age Discrimination in Employment Act of 1967
Rehabilitation Act of 1973, Section 501
Title 29, Code of Federal Regulations, Part 1614, Federal Sector Equal Employment Opportunity (EEO)
EEOC Management Directives 712, 713, and 714
Civil Rights Act of 1991

3. COVERAGE These procedures apply to compliance reviews performed of work units in the Animal and Plant Health Inspection Service.

4. POLICY Each year CREC develops a two-year schedule of sites for compliance assistance and compliance reviews (i.e. headquarters, region, and area levels), identifying program units to be reviewed and the date that the review will begin. The schedule is posted on the CREC web site and managers are advised to acknowledge that they have reviewed the schedule as a component of their biannual self-assessments. Compliance reviews usually consists of preliminary research, an on-site visit, written reports, and follow up.

Preliminary Research Prior to the outset of a review, CREC conducts preliminary research to clarify the purpose, focus, scope, and extent of the compliance review. In addition to reviewing responses to the surveys that were initially mailed to all employees, the CREC review team may review program operations, applicable laws and regulations, the affirmative employment program, special emphasis programs, Civil Rights EEO Advisory Committees and other factors relative to issues specific to the work site. The scope of the review may be expanded when CREC identifies information about issues that need to be addressed. These issues may include language barriers, disparate treatment, lack of information about the EEO program, difference in treatment, complaint handling, lack of participation in the EEO program, and lack of representation on boards and committees.

Notification of Review The CREC Compliance Manager will send a Compliance Review Notification Letter to the head of the organizational entity being reviewed and management at the next highest level informing them of the pending review. The letter should be sent to the head at least 1 month prior to the on-site review and should include the purpose, scope, sites, dates, members of the review team, request for a unit liaison, and other pertinent information. The liaison will assist with on-site logistics, coordinate the collection of data from the unit to the team, and assist with the development of the interview schedule. CREC also sends surveys and a cover letter announcing the review and explaining the importance of the surveys to all employees assigned to the work site. Reprisal and confidentiality: The memo, as well as briefings and interviews, should include policy concerning reprisal and confidentiality. The Civil Rights Act of 1964 protects employees who participate in civil rights compliance reviews and any civil rights activity from reprisal or retaliation that may be directed toward them due to their participation. All comments made during the compliance interviews will be held in strict confidence. No comments will be shared with anyone and names of employees will not appear in any report or on any document linking a specific employee to any comment. While CREC ensures the confidentiality of the review team, they cannot ensure confidentiality of employees participating in the interviews. It is at the discretion of each employee to decide whether or not they wish to reveal what transpired during their respective interview. However, if a manager or employee asks any member of the civil rights review team questions about the interview--like whether it's true that an employee said "this or that" during the interview process--the team member will respond that all information shared during compliance interviews is confidential and the staff can neither confirm nor deny if something was said or not. Also, should any employee feel that reprisal is being directed at them based on their participation in the interview process, they should call any member of the civil rights compliance team immediately, and the Director of the Civil Rights Enforcement and Compliance staff will act promptly to correct any instance of reprisal. CREC will work with a unit liaison to establish the schedule for interviews. For locations with 50 or fewer employees, all employees will be scheduled for interviews. In a location with more than 50 employees, at least 30 percent will be scheduled for interviews. Selection will be random and will include people at various grade levels, series, race, gender, and national origin groups. In addition, all supervisors and managers are invited to participate in the interviews. Interviews are voluntary and confidential. Any employee who does not wish to be interviewed will be excluded from the review. Individuals wishing to be interviewed who were not selected via the random sample may volunteer for interviews and will be included in the review.

On-Site Visit The on-site activities of the compliance review include an orientation session, face-to-face or telephone interviews, visual inspection of the work environment, and an out-briefing.

Orientation Session: CREC facilitates an initial on-site orientation and information session with the work unit head, other managers and supervisors; and all employees. CREC explains the purpose and method of the review and provides an overview of what the team will do, what the team is looking for, how employment information will be collected, the interview process, the report development, and the follow-up process. Attention will also focus on promoting goodwill and cooperation with the unit, assisting the unit to strengthen their civil rights and equal employment opportunity programs, emphasizing the importance of confidentiality, and protection of employees against reprisal resulting from reviews. Based on responses to the initial surveys and comments made by managers, employees and advisory committees, CREC may also provide information about other facets of Civil Rights.

Structure of Interviews: Interviews are 45 minutes each followed by 15 minute breaks. Interviews are usually conducted by a team of two individuals; one asks questions from a standardized questionnaire, and the other records answers. The interviewee may also provide the reviewer with information concerning additional employee issues and concerns. At the time of each interview, the interviewee is given a short briefing about the compliance review process, policy on reprisal and confidentiality, and the purpose of the review.

Visual Inspection: The team members may tour the facilities to observe the location of employees, the facilities' accessibility for persons with disabilities, and the physical obstacles in the agency's facilities that limit the accessibility of its programs or activities to individuals with disabilities.

Out Briefing: Upon conclusion of the on-site review, CREC will hold an Out Briefing to report major preliminary findings of the review, recommend any remedial actions that should be taken immediately, and explain the date and process for issuing the compliance review report. Systemic issues and thorough data analysis will not be released during the Out Briefing.

Reporting The compliance review report will be developed by combining the findings and recommendations from each team member, the facts and evidence gathered during the review, and a determination of compliance or noncompliance. The report may include discussion regarding a wide variety of situations that may affect employees' civil rights. (See below for examples). Managers will be given an opportunity to review and respond to the first draft of the report. Their response may include any progress already made in resolving the issues described in the report, intentions regarding each recommendation, and alternative plans for resolving certain issues. The final report includes management's response and CREC's additional recommendations as needed.

Follow-up Stage Each team member may conduct follow up conversations with persons interviewed to clarify issues raised during the interview, gauge employee morale, and identify any reprisal resulting from the review. Except in situations where immediate corrective action is necessary, work units will normally be required to take corrective action and report to CREC within 60 days. Upon receipt of a progress report from the recipient, the Director of CREC, will determine sufficiency of the action(s) taken. If the action is sufficient, CREC will conduct follow-ups 6 months and 1 year after this date. However, if further action is required to achieve compliance, CREC will recommend additional steps to be taken by APHIS top management to ensure compliance.

Topics that may be Addressed in a Compliance Review Report

Retention, selection, hiring, or placement
Civil rights and professional training and career enhancement
Work environment
Safety and health
Unfair or inequitable administrative or personnel practices
Systems or procedures
Accessibility for persons with disability
Promotions, separations, and advancement
Language barriers
Lack of community outreach in disseminating employment information
Lack of information about or knowledge of civil rights policies and guidelines
Discrimination based on race, sex, national origin, color, gender bias, sexual orientation, or sexual harassment
Lack of knowledge of grievance, conflict resolution, and discrimination complaint processes
Lack of participation in programs
Lack of representation of women and people of color on committees, at specific grade levels, or in specific job classification series.

APPROVED: __________________________________ DATE: _________________
Anna P. Grayson, Director
Civil Rights Enforcement and Compliance

Animal and Plant Health Inspection Service
Civil Rights Enforcement and Compliance
Internal Policy Issuance #: 1
 

This issuance outlines the Civil Rights Enforcement and Compliance (CREC) procedures for evaluating the civil rights impacts of major policy actions requiring approval under Departmental regulations. APHIS has in place an internal system for analyzing any issue which may negatively and disproportionately affect minorities, women, or persons with disabilities who are either employees or applicants for employment within APHIS. Civil Rights Impacts are the effects of major policy actions on the rights and opportunities of minorities, women, and persons with disabilities who are employees or applicants for employment within USDA. A Civil Rights Impact Analysis is conducted to determine the scope, intensity, direction, duration, and significance of impacts resulting from an Agency's proposed employment actions and activities. Such an analysis is required to determine civil rights impacts prior to and during the implementation of major policy actions.

Title VII of the Civil Rights Act of 1964, as amended, 42USC,2000e et seq.
Departmental Regulation 4300-4, Civil Rights Impact Analysis
Departmental Regulation 1010-1, Organization
Departmental Regulation 1512-1, Regulatory Decisionmaking Requirements
Departmental Regulation 1041,1, Advisory Committee Management

These procedures apply to all employment policies, practices and actions, administered
by APHIS Programs. Civil Rights Impact Analyses (CRIA) enable APHIS managers to
identify and eliminate, alleviate, or mitigate the disparate treatment or disparate impact
of any proposed policies, actions, or decisions against a group or class of employees or
program beneficiaries by reason of the prohibited bases described in Section 4.

No person or group shall be discriminated against on the basis of race, color, religion,
sex, national origin, age, disability, and where applicable, marital status, familial status,
parental status, or sexual orientation.

Actions subject to the requirements of this issuance include but are not limited to: (1) The establishment and renewal of charters for advisory committees, councils, or boards managed by APHIS on behalf of the Secretary; (2) Proposed office consolidations, closures, relocation's or reorganizations; (3) Proposed agency manuals, and notices; and (4) At the discretion of the Director, Civil Rights, other actions having potential for adverse civil rights impacts.

APHIS managers should submit a written request to CREC to conduct a Civil Rights
Impact Analyses of all proposed office consolidations, closures, reorganizations,
collocations, establishment and/or renewal of Boards and Committees, and decision
documents described in Section 5:

1. All requests should include a description of the proposed actions by goals, objectives, operations, and environment. This serves to direct the CREC staff to the action's primary goals and consequent courses of action.Example - Regional Consolidation Site SelectionCollocating the regional hubs with the APHIS science/technical centers will affirm the scientific basis of the Agency, help make science/research more relevant to operational/program needs, and further optimize the scientific and technical backgrounds of regional office and technical center staff. Locating the regional hubs in Raleigh and Ft. Collins will also allow the Agency to accrue savings in operating costs exceeding $2.4 million annually. Both sites will best serve the Agency's long-term interest, yield demonstrable savings and efficiencies, and are consistent with the Agency's vision and mission.

2.  Written requests should include the appropriate employment data by race, sex, national origin, and disability in order to conduct statistical analyses for CRIAs. Current Composition of Program area by race, gender, and positions as follows: Veterinary Services - Southeast Region - Tampa, Florida Race/Gender Grade Position Title Asian/Male GS 14 Regional Epidemiology Officer

3.  Managers should consult with employees, advisory committees, and customers, as appropriate, to obtain their input prior to implementation of policies, actions, and decisions.

4.   Managers should develop and submit a plan of action that identifies all unfavorable impacts and the actions that will be taken to eliminate or mitigate unfavorable impacts on employees.

5.   CREC will enter all written requests into the Civil Rights Impact Analyses Tracking System Database.
6.   After review of the request, if necessary, CREC will inform the Program Managers of any needed additions for CRIAs or revisions in proposed policies, actions, or decisions.
7.  CREC reviews the provisions of the policy, action, or decision and determines:

(1) Whether or not it contains any requirements related to eligibility, benefits, services, etc., that may have the purpose or effect of excluding, limiting, or otherwise disadvantaging any group or class on one or more prohibited bases; and (2) How and the extent to which each group or class may be potentially affected, positively or negatively.

8.  CREC analyzes relevant numerical data and information to determine if there are significant statistical differences in potential civil rights impact rates for one or more groups or classes.
9.  CREC makes recommendations on eliminating, alleviating, or mitigating potential adverse civil rights impacts; referring proposed policies, actions and decisions with supporting documentation on civil rights impacts, that cannot be resolved at the Agency level to the Office of Civil Rights (OCR) for review and guidance.
10. CREC submits the CRIA to OCR for review and concurrence; and monitors the proposed policy, action or decision after it is implemented.

APPROVED: DATE: Anna P. Grayson, Director
Civil Rights Enforcement and Compliance

Animal and Plant Health Inspection Service
Civil Rights Enforcement and Compliance
Internal Policy Issuance #: 1
 

1. INTRODUCTION This issuance outlines the Civil Rights Enforcement and Compliance (CREC) procedures for evaluating the civil rights impacts of major program policy actions requiring approval under Departmental regulations. APHIS has in place an internal system for analyzing any issue which may negatively and disproportionately affect participants (to include potential participants) in APHIS programs and activities. Civil Rights Impacts are the effects of major program policy actions on the rights and opportunities of minorities, women, and persons with disabilities who are participants in APHIS programs and activities. A Civil Rights Impact Analysis is conducted to determine the scope, intensity, direction, duration, and significance of impacts resulting from an Agency's proposed program actions. Such an analysis is required to determine civil rights impacts prior to and during the implementation of major program policy actions.

2. REFERENCES

Title 7, Code of Federal Regulations, Part 15(d)
     Nondiscrimination in USDA Conducted Programs and Activities
Departmental Regulation 4300-4, Civil Rights Impact Analysis
Departmental Regulation 1010-1, Organization
Departmental Regulation 1512-1, Regulatory Decisionmaking Requirements
Departmental Regulation 1041,1, Advisory Committee Management3. COVERAGE These procedures apply to all programs and activities conducted by APHIS. Civil Rights Impact Analyses (CRIA) enable APHIS managers to identify and eliminate, alleviate, or mitigate the disparate treatment or disparate impact of any proposed policies, actions, or decisions against a group or class of program participants by reason of the prohibited bases described in Section 4.

4. POLICY

No person or group shall be discriminated against on the basis of race, color, religion, sex, national origin, age, disability, and where applicable, marital status, familial status, sexual orientation, or because all or part of an individual's

5. ACTIONS REQUIRING CRIAsActions subject to the requirements of this issuance include but are not limited to:

(1) Proposed agency regulations, manuals, notices; (2) Proposed changes in program policies or new programs; (3) Proposed office consolidations, closures, relocation's or reorganizations, and (4) At the discretion of the Director, Civil Rights, other actions having potential for adverse civil rights impacts.

1. All requests should include a description of the proposed actions by goals, objectives, operations, and environment. This serves to direct the CREC staff to the action's primary goals and consequent courses of action. Example - Mexican Hass Avocado Import Program The Government of Mexico requested that APHIS amend the regulations regarding the importation of Mexican Hass avocados. The amended regulation will expand the number of states into which avocados my be imported and to extend the shipping season. The rule directly affects avocado growers, particularly in California.

2.  Written requests should include the appropriate program participation data by the prohibited bases as identified in Section 4, if such data is available.

3.  Managers should consult with program participants and potential participants, as appropriate, to obtain their input prior to proposing changes in policies, actions, and decisions.

4.  APHIS should develop and submit a plan of action that identifies all unfavorable impacts and the actions that will be taken to eliminate or mitigate unfavorable impacts on program participants.

5. CREC will enter all written requests into the Civil Rights Impact Analyses Tracking System Database.

6. After review of the request, if necessary, CREC will inform the Program Managers of any needed additions for CRIAs or revisions in proposed policies, actions, or decisions.

7. CREC reviews the provisions of the policy, action, or decision and determines: (1) Whether or not it contains any requirements related to eligibility, benefits, services, etc., that may have the purpose or effect of excluding, limiting, or otherwise disadvantaging any group or class on one or more prohibited bases; and (2) How and the extent to which each group or class may be potentially affected, positively or negatively.

8. CREC analyzes relevant numerical data and information to determine if there are significant statistical differences in potential civil rights impact rates for one or more groups or classes.

9. CREC makes recommendations on eliminating, alleviating, or mitigating potential adverse civil rights impacts; referring proposed policies, actions and decisions with supporting documentation on civil rights impacts, that cannot be resolved at the Agency level to the Office of Civil Rights (OCR) for review and guidance.

10. CREC submits the CRIA to OCR for review and concurrence; and monitors the proposed policy, action or decision after it is implemented.

APPROVED: DATE: Anna P. Grayson or designee
Director
Civil Rights Enforcement and Compliance