PROCEDURES FOR PROCESSING DISCRIMINATION COMPLAINTS

AND CONDUCTING CIVIL RIGHTS COMPLIANCE REVIEWS IN USDA CONDUCTED PROGRAMS AND ACTIVITIES

TABLE OF CONTENTSPage

CHAPTER 1 - Introduction 1-1

1 Purpose and Scope 1-1

2 Policy 1-1

3 Authorities 1-2

4 Notice 1-3

CHAPTER 2 - Glossary of Terms 2-1

 CHAPTER 3 - General Provisions for Processing Discrimination Complaints 3-1

Part I - Intake 3-1

1 General 3-1

2 Purpose 3-1

3 Duration 3-1

4 General Timeliness Requirements 3-1

5 Jurisdiction 3-3

6 Complaint Intake Process Requirements 3-4

7 Notice on Reprisal/Harassment 3-12

8 Pre-Investigation Closure 3-13

Part II - Investigation 3-15

1 General 3-15

2 Duration 3-15

3 Conducting Investigations 3-16

i

Part III - Collecting and Analyzing Evidence 3-25

1 General 3-25

2 Sources of Evidence 3-25

3 Types of Evidence 3-25

4 Quality and Usefulness of Evidence 3-26

5 Quantity of Evidence 3-27

6 Anticipated Sequence of Activities 3-27

7 Guidelines for Data Collection 3-27

8 Authority to Obtain Information 3-28

9 Onsite Investigations 3-30

10 General Rules for Handling Evidence 3-35

11 Analysis of Non-Numerical Data 3-35

12 Analysis of Numerical Data 3-36

13 Preparing the Report of Investigation 3-36

14 ROI Approval and referral to Adjudication 3-37

CHAPTER 4 - Closures and Final Agency Decisions 4-1

1 General 4-1

2 Case Determinations 4-1

3 Letters of Closures and Findings 4-2

4 Contents of FADs 4-2

5 Outcomes - FADs 4-3

6 Offers of Settlement 4-3

7 Monitoring Settlement Agreements 4-4

8 Role of the Office of General Counsel (OGC) 4-6

9 Role of the Agency 4-6

CHAPTER 5 - Compliance Reviews 5-1

Part I - General Responsibilities and Requirements 5-1

1 General 5-1

2 Purpose 5-1

3 Responsibilities 5-1

4 Types of Compliance Reviews 5-3

5 Compliance Review Targeting Criteria 5-3

6 Scope of Compliance Reviews 5-4

7 Solicitation of Documents 5-4

8 Mandatory Elements of Compliance Reviews 5-4

9 Time Frames for Compliance Review Process 5-10

10 Pre-Onsite Activities 5-11

11 Team Leader Responsibilities 5-12

12 Establishment of Compliance Review Case File 5-13

13 Team Member Selections and Tasks 5-14

14 Team Strategy Meeting 5-14

15 Pre-Onsite Notification Package 5-15

16 Compliance Review Plan 5-15

17 Approval of Review Plan 5-16

Part II - Conducting Onsite Reviews, Closure and Follow-up 5-17

1 Onsite Activities 5-17

2 Final Compliance Review Report 5-20

3 OGC Review 5-21

4 Final USDA Decision: Letter of Findings 5-21

5 Compliance Action Plan 5-21

6 Execution of Compliance Action Plan 5-21

7 Closure of Compliance Review Case File 5-22

8 Oversight, Monitoring and Follow-up 5-22

APPENDIX A. SPECIAL PROVISIONS FOR PROCESSING COMPLAINTS

1 General A-1

2 Section 504 of the Rehabilitation Act of 1973 A-1

3 The Americans With Disabilities Act of 1990 A-2

4 Executive Order 12898 and DR 5600-2 A-3

5 Sexual Orientation (Reserved) A-4

 APPENDIX B. SAMPLE FORMATS B-1

1 Intake Form B-1

2 Intake Checklist B-2

3 Request For Agency Position Statement B-4

4 Response to Inquiry B-5

5 Investigative Review Sheet B-7

6 Incomplete Complaint-30 Day Letter B-9

7 Inadequate Response Closure Letter B-11

8 Complete Complaint Acknowledgment Letter B-12

9 Untimely Closure Letter B-13

10 No Causal Connection Closure Letter B-14

11 No Jurisdiction (Basis) Closure Letter B-15

12 No Response Closure Letter B-16

13 No Standing Closure Letter B-17

14 No Jurisdiction (Reprisal Against Other than USDA) Closure Letter B-18

15 No Jurisdiction (Issue) Closure Letter B-19

16 No Jurisdiction (Program) Closure Letter) B-20

17 Agency Data Request (Memo) B-21

18 Investigative Plan B-22

19 Complainant Consent/Release Form B-24

20 Affidavit B-25

21 Memorandum of Interview B-26

22 Notice to Agency of Onsite Investigation B-28

23 Notice to Complainant of Onsite Investigation B-29

24 ROI Format B-30

25 ROI Format B-31

26 ROI Cover Sheet B-32

27 ROI Review Sheet B-33

28 Adjudication Worksheet B-35

U.S. DEPARTMENT OF AGRICULTURE

WASHINGTON, D.C. 20250

DEPARTMENTAL MANUAL		Number: 4330-001
SUBJECT: Procedures for Processing Discrimination Complaints and Conducting Civil Rights Compliance Reviews in USDA Conducted Programs and Activities	DATE: October 18, 2000
OPI: Office of Civil Rights

CHAPTER I

INTRODUCTION

1 PURPOSE AND SCOPE

 This manual provides guidelines and procedures to be followed by the Office of Civil Rights (CR) and USDA agencies to:

 a Process administrative complaints of discrimination filed with the Department in any program or activity conducted by USDA; and

b Conduct civil rights compliance reviews of all USDA conducted programs and activities.

2 POLICY

a It is USDA policy to ensure that no person is subjected to prohibited discrimination in USDA conducted programs and activities based on race, color, national origin, sex, religion, age, disability, marital status, familial status, parental status, sexual orientation or because all or a part of an individual's income is derived from any public assistance program. The policy, in part, is enforced by:

(1) Fairly and efficiently responding to discrimination complaints filed against USDA; and

(2) Systematically evaluating whether and the extent to which USDA conducts its programs and activities in a manner consistent with applicable Federal and USDA civil rights requirements.

b No person shall be subjected to reprisal or harassment because he or she filed a discrimination complaint, participated in or contributed to the identification, investigation, prosecution or resolution of a civil rights violation in or by any USDA conducted program or activity; or otherwise aided or supported the enforcement of Federal or USDA civil rights laws, rules, regulations or policies.

c Any person who believes that he or she or any specific class of individuals has been subjected to discrimination by any USDA agency may personally or through a designated representative file a complaint.

3 AUTHORITIES

a Statutory

• Title VI of the Civil Rights Act of 1964, as amended, 42 USC 2000d to 2000d-7.
• Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794.
• Title VIII, Civil Rights Act of 1968, as amended by the Fair Housing Amendments Act of 1988, 42 USC 3601 et seq.
• 5 USC 301, Authority to Prescribe Departmental Regulations.
• Equal Credit Opportunity Act of 1974, Title VII of the Consumer Protection Act of 1974 (as amended), Section 701 of the Equal Credit Opportunity Act of 1974, Pub.L. 93-49, tit. V, 88 Stat. 1500, 15 USC §§1691-1691f.

b Regulatory and Executive Orders

• 7 CFR Part 2, Subpart P, Delegation of Authority by the Assistant Secretary of Agriculture.
• 7 CFR Part 15d, Nondiscrimination in Programs or Activities Conducted by the United States Department of Agriculture.
• 7 CFR Part 15e, Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the United States Department of Agriculture.
• 12 CFR Part 202, Equal Credit Opportunity Regulation B.
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations.
• Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency.
• Executive Order 13160, Nondiscrimination on the Basis of Race, Sex, Color, National Origin, Disability, Religion, Age, Sexual Orientation and Status as a Parent in Federally Conducted Education and Training Programs.
• Executive Order 13125, Increasing Participation of Asian Americans and Pacific Islanders in Federal Programs.

c Departmental Regulations/Policy

• DR 4330-3, Nondiscrimination in USDA Conducted Programs and Activities, dated March 3, 1999.
• DR 4300-5, Agency Civil Rights Programs, dated January 14, 1998.
• DR 4300-3, Equal Opportunity Public Notification Policy, dated February 25, 1998.
• DR 4300-6 Civil Rights Policy for the US Department of Agriculture, dated March 16, 1998.
• DR 5600-2, Environmental Justice, dated December 15, 1997.
• Secretary's Memorandum 1010-4, Restructuring Departmental Administration, dated May 16, 1997.

• 4 NOTICE

This manual will be updated periodically. Please send comments and suggested revisions to: USDA, Office of Civil Rights, Attn: Conducted Programs Procedures Manual, 14th and Independence Avenue, SW, Washington, DC 20250.

CHAPTER II: GLOSSARY OF TERMS

1 GENERAL

This Chapter defines and describes the meaning and purpose of the terms used in this manual.

2 TERMS

Below are the terms used in this manual:

a Agency - Any service, bureau, agency, office, administration, instrumentality of or corporation within the USDA or any officer or employee of the Department to whom the Secretary delegates authority to carry out any of the functions or responsibilities of an agency.

b Agency Review - A compliance review that extends to the entire USDA agency and its sub-components and all the programs and activities conducted by that agency and its sub-components.

c Allegation - An assertion, declaration or statement made in a complaint that sets out or identifies what the alleging party expects to be proved.

d Authority(ies) - The statutes, regulations, Executive Orders and policies which:

(1) Prescribe those actions by USDA agencies that constitute discrimination; and

(2) Set forth the scope and extent of CR's authority to require USDA agencies to conduct their programs and activities in a nondiscriminatory manner.

e Basis - The reason(s) the complainant believes the USDA agency, program or activity has or is engaging in the prohibited discriminatory behaviors. The bases on which discrimination is prohibited in USDA conducted programs and activities are race, color, national origin, age, disability, sex, religion, marital status, familial status, parental status, sexual orientation or because all or a part of an individual's income is derived from any public assistance program.

 f Beneficiary - A person or group of persons with entitlement to receive or enjoy the benefits, services, resources and information, or participate in activities and programs conducted in whole or part by the USDA.

 g Complainant - Any person or group of persons who files with any USDA agency a complaint that alleges discrimination in a program or activity conducted by any USDA agency. A complainant must be the injured party. Accordingly, if any person or organization files a discrimination complaint on behalf of an injured party, the injured party must affirmatively state his or her willingness to pursue the complaint or the case will be dismissed.

 h Complaint - A statement that informs CR of one or more alleged prohibited discriminatory actions by a USDA agency, one of its programs, or subcomponents. CR will accept written complaints in languages other than English as well as complaints recorded on other media (e.g., Braille, audiotape) from persons who have limited English proficiency, disabilities, or other special needs that preclude them from submitting written complaints. In these cases, CR will translate complaints into English and convert or transcribe them to written form.

i Complaint, Complete - A written statement that contains the complainant's name and address and describes the agency's alleged discriminatory action in sufficient detail to inform CR of the nature and date of the alleged civil rights violation. The statement must be signed by the complainant or someone authorized to sign on the complainant's behalf. The complaint need not be written or signed if submitted in an alternate format to accommodate the complaint filing needs of a person(s) who has limited English proficiency, a disability or other special need.

j Complaint, Incomplete - A complaint from which critical information has been omitted, (e.g., the name of the entity against which the complaint is being filed, the date of the alleged discriminatory act, etc.)

 k Compliance Review - A USDA CR systematically planned and regularly initiated investigation that assesses and evaluates the civil rights and equal opportunity policies, procedures and practices of a USDA agency or instrumentality to determine compliance with civil rights statutes, regulations, standards and policies. Compliance reviews will be initiated upon consideration of several factors, including: authorization; evidence of existing violations; level and type of complaints over time; issues arising from complaints that indicate the need for a more systematic review; previous consent decrees and settlement agreements; and re