U.S. DEPARTMENT OF
AGRICULTURE
WASHINGTON, D.C. 20250
|
DEPARTMENTAL MANUAL |
Number: 4310-001 |
|
|
SUBJECT: Instructions for Preparing AEP Plans, Accomplishment Reports, and Updates |
DATE: July 24, 1991 |
|
|
|
||
DEPARTMENT OF AGRICULTURE OFFICE OF THE SECRETARY WASHINGTON, D.C. 20250 FOREWORDThis manual sets forth procedures for preparing and submitting
Multi-Year Affirmative Employment Program (AEP) Plans, Annual AEP
Accomplishment Reports, and Annual AEP Updates. The AffirmativeEmployment Program supports the Department's Framework for Change
objective to build a diverse work force approximating the nation's labor
force at entry, mid, senior and executive levels by the year 2000. Allagencies will implement a strategic framework to achieve work force
diversity wherever underrepresentation exists in occupational
categories, series, grade levels and pay plans.
Since Departmental Notice 4310-3 expired on September 30, 1988, the
Department issued several memoranda of instruction for preparing AEP
plans; and reports. By issuing a single set of instructions, however,we hope to increase the Department's reporting efficiency.
Agency heads, equal opportunity staffs, and personnel staffs of every
major operating component were invited to review and comment on this
manual during its development. Their comments were numerous andthoughtful; each was considered and most were incorporated. Those whomust develop and implement the plans and reports, therefore, have shaped
this document to meet the needs of the Department's major operating
components, the needs of the Department, and the requirements of
legislative and other over- sight bodies.
Should you wish further information about the instructions or the plans
and reports referenced in this manual, please contact the Office of
Advocacy and Enterprise.
Charles R. Hilty Associate Deputy Secretary1 PURPOSE This manual establishes U.S. Department of Agriculture (USDA) reporting requirements and prescribes policies, procedures, guidance, and formats for preparing Multi-Year Affirmative Employment Program Plans, Annual AEP Accomplishment Reports, andAnnual AEP Plan Updates. These procedures apply to all USDA
components except those listed below which are exempted from theprovisions of EEO-MD-714 and this manual due to the size of their
work force. Each exempted component must submit a statement signed by its head,affirming its commitment to equal employment opportunity. Form
AD-1, "Commitment to Equal Employment Opportunity," will be used for this purpose (See Figure 1). Agricultural Cooperative Service Board of Contract Appeals Economic Analysis Staff Office of Administrative Law Judges Office of Energy Office of the Consumer Advisor Office of the Secretary Office of Transportation World Agricultural Outlook Board2 SPECIAL INSTRUCTIONSa Multi-Year AEP Plans, Annual AEP Accomplishment Reports, and
Annual AEP Plan Updates will be prepared in accordance with EEOC Equal Employment Opportunity Management Directive 714 (EEO-MD-714, found at Appendix A) and this manual.b Reporting levels will coordinate the development of these
plans and reports with EEO and Personnel Staffs.c AEP Plan requirements not specifically addressed in this
manual shall be carried out in accordance with the provisions of EEO-MD-714.d Reporting levels will use specifically designed EEOC and AD
reporting forms.e Reporting levels will refer to EEO-MD-714 for EEOC forms. AD
forms are found in figures 1-3.f Reporting levels will submit AEP plans and reports to OAE
within 15 days following the end of the first quarter of each fiscal year.3 POLICY It is the policy of the Department of Agriculture to develop department-wide Multi-Year AEP Plans, Annual AEP Accomplishment Reports and Annual AEP Plan Updates based on Major operating component (MOC) plans and reports. This manual supplements EEO-MD-714 and establishes a system for reporting these plans and reports.4 ABBREVIATIONSAEP - Affirmative Employment Program
CLF - Civilian Labor Force
DM - Departmental Manual
EEO - Equal Employment Opportunity
EEOC - Equal Employment Opportunity Commission
FAA - Federal Affirmative Action
MICA - Manifest Imbalance or Conspicuous Absence
MOC - Major Operating Component
OAE - Office of Advocacy and Enterprise
OFM/NFC - Office of Finance and Management's National Finance
CenterSRL - Subordinate Reporting Level
PATCOB - Professional, Administrative, Technical, Clerical, and
Other White Collar occupational categories and the Blue Collar occupational category.5 FORMSAEP Plan Forms. The following forms will be used in preparing and
submitting AEP plans and reports. The forms may be produced
locally or they may be obtained from the Landover Warehouse.a Form AD-1, Commitment to Equal Employment Opportunity, must be
submitted by MOCs exempted from the provisions of EEO-MD-714 and this manual.b Form AD-878, Numerical Objectives By PATCOB, will be used to
report established numerical objectives for the period the AEP plans and reports cover.c Form AD-855, Numerical Objectives by Major Occupation, will be
used to report established numerical objectives for the period the AEP plans and reports cover.6 DEFINITIONSa Agency. The U.S. Department of Agriculture.
b Major Operating Components. All USDA program components and
staff offices, e.g., FmHA, FS, OP, OFM.c Major Occupation. One which is central to the mission of the
agency or one in which there are 50 or more employees.d Headquarters. Lead organizational component of a MOC with
primary management and administrative functions for developing and coordinating MOC-wide policies, practices, and procedures.e Subordinate Reporting Level. Organizational sub-unit below the
MOC level with 300 or more employees.f Reporting Level. Each organizational level required to submit
plans and reports.7 RESPONSIBILITIESa OAE will:
(1) Provide technical assistance and guidance to MOCs;
(2) Review and approve MOC and Headquarters AEP plans and
reports prior to submission to EEOC;(3) Coordinate the development of agency-wide plans and
reports;(4) Monitor, evaluate, and aggregate MOC-wide AEP
accomplishments, goals, and objectives as a basis for developing agency AEP plans and reports;(5) Coordinate with EEOC, when appropriate, MOC requests for
variances from the mandatory use of national CLF data andother requirements;
(6) Monitor timely and accurate delivery of OFM/NFC generated
work force data to MOCS; and(7) Provide periodic status reports to the Secretary and MOC
heads.b MOCs will:
(1) Provide technical assistance and guidance to SRLs
consistent with EEOC and USDA instructions;(2) Review and approve SRL AEP plans and reports prior to
submission to the appropriate EEOC/FAA unit;(3) Coordinate the development of MOC AEP plans and reports,
including headquarters plans and reports if applicable;(4) Monitor, evaluate, and aggregate headquarters and SRI,
AEP accomplishments, goals, and objectives as a basis for developing MOC AEP plans and reports;(5) Submit MOC AEP plans and reports to OAE for review and
approval, including headquarters plans; and reports if applicable; and(6) Submit requests for variances from the mandatory use of
CLF data and other requirements to OAE.c SRLs will:
(1) Coordinate the development of AEP plans and reports in
accordance with EEOC and USDA requirements;(2) Submit AEP plans and reports to MOC headquarters for
review and approval prior to submission to the appropriate EEOC/FAA unit; and(3) Provide periodic status reports to MOC headquarters.
8 PROCEDURESa Multi-Year Affirmative Employment Program Plan
(1) Management must actively participate in the development
of SRL, MOC, and headquarters AEP plans.(2) MOC's with SRLs will submit MOC plans and headquarters
plans to OAE. MOCs with no SRLs will submit MOC plans
only (See Appendix B).(3) MOC and headquarters AEP Plans are due to OAE within 15
days following the end of the first quarter of each fiscal year.(4) OAE will incorporate information contained in MOC plans
into an agency plan.(5) All reporting levels will use OFM/NFC generated 4th
quarter work force data as the basis for work force
analyses. In addition, all reporting levels will use
EEO-MD-707, Appendix B, for national CLF data comparison or other data approved by EEOC.SRLs will compare administrative, technical, clerical,
and other white-collar occupations and blue-collar occupations with appropriate geographical CLF data and will compare the professional occupations with nationalCLF data. Any variance from the use of these data must
be approved by EEOC. SRLs may use national CLF data to
compare administrative, technical, clerical, and other white-collar occupations and blue-collar occupations if they recruit nationally for these positions or if the work force analysis justifies it.(6) Each reporting level will submit an EEO policy statement
signed by the current MOC or SRL head.(7) Each reporting level will provide a list, by title, of
all officials with designated EEO responsibilities; e.g., MOC or SRL heads, managers, supervisors, special emphasisprogram managers etc., and a brief description of their
respective EEO duties.(8) Each reporting level will prepare a Plan for the
Prevention of Sexual Harassment, identifying responsible officials, specific action items, and target dates for completing the action items.(9) Each reporting level will address, in narrative form,
each item listed under the eight program elements in theProgram Analysis (Appendix A, pp. 8-12). The narratives
must accompany the plan at each reporting level. Appendix C provides guidance for conducting the program analysis. (10) Each reporting level will prepare a Report of objectives and Action Items describing all problems/barriers and associated actions identified in the program analysis. Reporting levels must describe the same problems/barriers and associated actions identified on the Problem/Barrier Identification form. (11) Reporting levels will establish numerical objectives for each job category or major occupation where a comparison of the work force and the CLF reveals MICA in that jobcategory or major occupation. Numerical objectives are
intended to serve as a strategy for achieving work force diversity commensurate with the appropriate CLF orapproved Available Labor Force data. Further, they must
be:(a) temporary and intended as a remedy for significant
imbalances of minorities and women in the affected jobs;(b) subject to change in relationship to changes in work
force composition;(c) designed to eliminate existing imbalances without
trammeling the rights of non-minorities ormaintaining numerical proportionality; and
(d) based on candidate availability and the number of
projected vacancies. (12) MOC's and SRLs will consult their personnel and budget officers for assistance with vacancy projections when establishing numerical objectives. (13) Each reporting level will report numerical objectives on Forms AD-878 (Figure 2) and AD-855 (Figure 3), or submitDN Reports 714-6 and 7, described in section 9 d(l) of
this manual. (14) Plan submissions for all reporting levels must include pp. 1-10 from Exhibit 1 of EEO-MD-714; Form AD-878 or DN Report 714-6, Numerical objectives by PATCOB; and Form AD 855 or DN Report 714-7, Numerical Objectives by Major Occupation.b Annual Affirmative Employment Program Accomplishment Report
(1) MOCs will submit annual MOC and headquarters AEP
Accomplishment Reports to OAE by the end of the first quarter of each fiscal year.(2) SRLs will submit Annual AEP Accomplishment: Reports to
their MOC Headquarters for review and approval prior to submission to the appropriate EEOC/FAA unit.(3) AEP accomplishment reports must be consistent with
objectives established in the Multi-Year Plan.(4) All reporting levels will report accomplishments on EEOC
Form 568 (Appendix A, pp. 38-43).(5) Annual submissions will contain the following:
(a) Statistical Analysis - Each reporting level will
conduct a statistical analysis of the work force
using NFC generated 4th quarter data. The analysis
should be reported in narrative form and cover the work force by PATCOB, grade groupings, grade levels,and major occupations. It must include an
identification of employment trends, a description of changes in the work force, and a comparison of the current work force with that of the previous year.(b) Objectives/Action Items - Each reporting level will
report progress made in achieving objectives andaction items, including numerical objectives. Where
there has been no progress, the unit must cite the reason(s).(c) Noteworthy Activities/Initiatives - All reporting
levels will report noteworthy activities or initiatives implemented during the previous fiscal year.(6) Annual accomplishment reports for all reporting levels
must include pp. 1-6 from Exhibit 3 of EEO- MD-714.c Annual Affirmative Employment Program Plan Update
(1) An Annual AEP Plan Update is necessary when there is a
major change in the organizational structure or work force.(2) The following are examples of some of the items and
circumstances under which an update is required:(a) policy statements when MOC or SRL heads change;
(b) organizational charts when MOC or SRL structures
change;(c) program analyses, problem/barrier identification
forms, reports of objectives/action items, and the Plans for the Prevention of Sexual Harassment when there are modifications to these areas of the plan.(3) All reporting levels will use the appropriate pages of
EEOC Form 566. To assist in identifying updates, the
word "update" should be typed in the upper right hand corner of all pages.(4) Submissions, if appropriate, should accompany the Annual
AEP Accomplishment Report.(5) An AEP Plan Update must address achieved and unachieved
action items.9 EEO STATISTICAL DATAa OFM/NFC will forward to designated reporting levels EEO
statistical reports containing information which meets EEO-MD-714 requirements, assists in monitoring EEO accomplishments, and facilitates report preparation.b Current geographical breakouts for all EEO statistical reports
that are not reported by individual states are as follows: Worldwide (excluding Hawaii, Guam, and Puerto Rico) Hawaii onlyGuam only
Puerto Rico onlyc Requests for geographical breakouts other than those listed
above must be submitted in writing to OAEd Accomplishment Reports for EEOC will include an "as of" date,
a "run" date, and numbered pages.(1) The quarterly statistical reports generated by OFM/NFC
are as follows:DN-714-1 - Change in Work force EEO Profile by Pay Level
DN-714-2 - Change in Work force EEO Profile by Series
with 50 or MoreDN-714-3 - Change in Work force EEO Profile by Pay Level
DN-714-4 - Distribution of EEO Groups and
Underrepresentation Indices by, PATCOB and Pay LevelDN-714-5 - Distribution of EEO Groups and
Underrepresentation Indices by, Series and Pay LevelDN-714-6 - Numerical Objective Accomplishments by PATCOB
DN-714-7 - Numerical Objective Accomplishments by Series
with 50 or MoreDN-714-8 - Internal Movement Goal Accomplishments by
PATCOBDN-714-9 - Internal Movement Goal Accomplishments by
Series with 50 or More 10 DN-714-10 - Separations by PATCOB and Pay Level DN-714-11 - Separations by PATCOB, Series, and Pay Level DN-714-12 - Promotions by PATCOB and Pay Level DN-714-13 - Promotions by PATCOB, Series, and Pay Level DN-714-14 - Awards by PATCOB and Pay LevelDN-714-15 - Awards by PATCOB, Series, and Pay Level
DN-714-16 - Training Instances by PATCOB and Pay Level DN-714-17 - Training Instances PATCOB, Series, and Pay Level(2) Reports DN-714-6 through 9 will satisfy the reporting
requirement of EEOC Forms 568.(3) OFM/NFC will divide DN-714-10 and 11 reports into two
categories of voluntary and involuntary separation-type nature of action codes which are furnished by the Office of Personnel.(4) OFM/NFC will divide DN-714-12 and 13 reports into two
categories of competitive and noncompetitive promotion-type nature of action codes which are furnished by the office of Personnel.(5) OFM/NFC will divide DN-714-14 and 15 reports into the
following five categories:(a) Quality Step Increases
(b) Cash Awards for Suggestions
(c) Cash Awards for Performance
(d) Cash Awards for Special Act or Service
(e) Cash Awards for Invention
(6) OFM/NFC will divide DN-714-16 and 17 reports by the
following types of training:(a) Executive and Management
(b) Supervisory
(c) Legal, Medical, Scientific, or Engineering
(d) Administrative Analysis
(e) Specialty and Technical
(f) Clerical
(g) Trade or Craft
(h) Orientation
(i) Adult Basic Education
e EEO Tracking Reports
(1) Employment & Goals Summary and Employment & Goals Summary
by Occupational series(2) Cumulative Gains & Losses Summary and Cumulative Gains &
Losses Summary by Occupational Series(3) Grade Distribution Summary and Grade Distribution Summary
by Occupational series(4) Occupational Series Summary - Percentages of
Representation(5) Occupational Series Summary - Average Grade
f Other EEO Reports
(1) Employment & Representation Index of Most Populous PATCOB
Series(2) Quarterly/Annual Reports of Gains & Losses
FIGURE 1 U.S. DEPARTMENT OF AGRICULTURE COMMITMENT TO EQUAL EMPLOYMENT OPPORTUNITY STATEMENT FOR MAJOR OPERATING COMPONENT (MOC) EXEMPTED FROM THE PROVISIONS OF EEO-MD-714 POLICY STATEMENTI AM AFFIRMING
(MOC NAME)COMMITMENT TO TITLE VII OF THE CIVIL RIGHTS ACT OF 1964, AS AMENDED,
WHICH GUARANTEES EQUAL EMPLOYMENT OPPORTUNITY FOR ALL EMPLOYEES AND
APPLI
CANTS FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX,
OR NATIONAL ORIGIN. OUR OBJECTIVE IS TO PROVIDE A WORK ENVIRONMENT FREEFROM UNLAWFUL EMPLOYMENT DISCRIMINATION.
ALL MANAGERS AND SUPERVISORS ARE RESPONSIBLE FOR SUPPORTING USDA
AND ---------------------------------------- POLICY ON EQUAL
(MOC NAME)EMPLOYMENT AND ARE HELD ACCOUNTABLE FOR ASSURING THAT THE WORK PLACE IS
RECRUITMENT, SELECTION, TRAINING, PROMOTION, TRANSFER, AND BENEFITS ARE
REQUIRED TO BE FREE FROM UNLAWFUL DISCRIMINATION.
____________________________________________
SIGNATURE OF MOC HEAD OR DESIGNATED OFFICIAL
____________________________________________
CONTACT OIRM, IMD on 202-720-8799 for the paper copy of the following
images: Figure 2, Numerical Objectives By PATCOB, Form AD-878 (11/87);
Figure 3, Numerical Objectives By Major Occupation, Form AD-855 (11/87).
APPENDIX A EQUAL EMPLOYMENT OPPORTUNITY COMMISSION EQUAL EMPLOYMENT OPPORTUNITY MANAGEMENT DIRECTIVE EEO-MD-714 DATE OCTOBER 6, 1967TO THE HEADS OF FEDERAL AGENCIES:
1. SUBJECT. Instructions for the Development and Submission of Federal Affirmative Employment Multi-Year Program Plans, Annual Accomplishment Reports, and Annual Plan Updates for FY 1988 through FY 1992.2. PURPOSE. To prescribe to Federal agencies instructions, policies, procedures, guidance, and formats for the development and submission of:a. Multi-!fear affirmative employment program plans,
b. Annual affirmative employment program accomplishment reports,
andc. Annual affirmative employment program plan updates.
3. EFFECTIVE DATE. October 1, 1987.
4. ORIGINATOR. Federal Sector Programs, Office of Program Operations,
Equal Employment Opportunity Commission (EEOC).
5. OBSOLETE DATA. EEO-MD-707 and EEO-MD-707A are canceled as of
January 1, 1988.6. AUTHORITY. These instructions are prepared pursuant to EEOC's
authority under Section 717 of the Civil Rights Act of 1964, as; amended, 42 USC 20OOe-16; Reorganization Plan No. 1 of 1978, issued pursuant to 5 USC 901 et. seq.; Executive Order 11748 (3 CFR, 1966-70 Comp., p. 803) as amended by Executive Order 12106 (3 CFR 1978 Comp., p. 263); and 29 CFR Part 1613. specific sources of authority and guidance are further explained in Appendix E of this document.7. POLICY INTENT. The intent of the Commission in issuing this
Directive is to develop a systematic multifaceted methodology for affirmative employment programs which require:o Strong commitment by the Head of the Agency through a clear
delegation of authority to Senior Managers;o Management accountability systems for holding Senior Managers
responsible for achieving Agency EEO objectives;o Identification and removal of barriers at all levels of the
work force;o Aggregation of the agency work force into agencywide, major
operating component (MOC) wide, commandwide, regionwide, and installation program plans;o The use of prescribed program elements to analyze program
needs and a reporting mechanism to monitor progress in resolving problems;o Annual reports, submitted in a timely manner, on program
accomplishments in addition to reports on statistical changes in the agencies' work force profiles; ando Objectives and actions that lead to positive meaningful
results. Also, the intent of the Commission in issuing these program instructions is to allow for:o Flexibility in agency problem solving activities, by allowing
each agency to decide which objectives and actions will meet their EEO program needs;o Reduction of at least 40% of the paperwork burden placed on
agencies; ando Numerical goal setting where there is a manifest imbalance or
conspicuous absence of minorities and women in the agency's work force. The Management Directive should substantially contribute to the achievement of equal employment opportunity for all Federal employees, not only when hired; but also as they advance within the work force, by providing for a stronger, more effective, morefocused affirmative employment program. This will be accomplished
by:o Shifting major responsibility and accountability to Agency
Heads and their designees;o Focusing on specific problems within specific agencies rather
than general issues identified by generalized instructions;o Eliminating unnecessary forms;
o Using Central Personnel Data File (CPDF) information, where
available and appropriate, in the work force analysis;o Placing specific emphasis on identification and removal of
barriers so that elimination of problem areas are permanent and not just the result of a short-term effort; ando Requiring a five-year planning document with annual
accomplishment reports. The Commission intends to strengthen evaluation and accountability by:o Conducting one or more onsite program reviews at each agency
during the five-year cycle;o Placing more emphasis on onsite program audits to evaluate
agency programs;o Continuing use of labor force data for comparison with agency
work force profiles;o Requiring Federal agencies to have self evaluation programs;
o Mandating that additional program elements be addressed when
agencies fail to show progress; ando Reporting on a yearly basis, findings as to the extent to
which agencies are in compliance with Title VII of the Civil Rights Act of 1964, as amended, to the President, the Congress, and the appropriate Committees of the Congress.8. APPLICABILITY AND SCOPE. These instructions apply to all executive agencies as defined in section 102 of Title 5, U.S.C. (including those with employees and applicants for employment who are paid from nonappropriated funds), the United States Postal Service, the Postal Rate Commission, and those units of the legislative and judicial branches of the Federal Government having positions in the competitive service.9. RESPONSIBILITIES.a. Agency Heads are responsible for the following:
(1) Ensuring compliance with affirmative employment program
instructions issued by EEOC;(2) Establishing agencywide objectives, consolidating and
submitting agencywide multi-year affirmative employment program plans, providing current guidance for the development of program plan to all components/field installations, developing systems for evaluation of program effectiveness, and preparing accomplishment reports and plan updates for timely submission to the EEOC;(3) Ensuring that all managers under the Senior Executive
Service are held accountable for tile achievement of affirmative employment objectives and the fulfillment of equal employment opportunity requirements and objectives established by the agency; and(4) Ensuring the accuracy of work force data submitted to the
Office of Personnel Management's Central Personnel Data File (CPDF).b. Major Operating Components (MOCs). Commands, Regions, and
&nb