RD Instruction 2045-Z

PART 2045 - GENERAL

SUBPART Z - ACTION PLANS FOR PROGRESS IN EQUAL EMPLOYMENT OPPORTUNITY
(EEO)

## Table of Contents

Sec. Page

2045.1251 General 1

2045.1252 Purpose 1

2045.1253 Designations of Responsibility 1

2045.1254 Definitions 3

2045.1255 Availability of Regulations 6

2045.1256 - 2045.1300 \[Reserved\]

Exhibit A - Affirmative Employment Program Plans

Exhibit B - Annual Affirmative Employment Program Plan

Accomplishment Report and Update

Exhibit C - Federal Equal Opportunity Recruitment Program Plans

Exhibit D - Calculating Underrepresentation and Setting Numerical

Objectives RD Instruction 2045-Z

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RD Instruction 2045-Z

SUBPART Z - ACTION PLANS FOR PROGRESS IN EQUAL EMPLOYMENT OPPORTUNITY
(EEO)

§ 2045.1251 [General]{.underline}.

It is the policy of the Federal Government, including the United States
Department of Agriculture (USDA) and Rural Development, to provide equal
opportunity in employment for all persons; to prohibit discrimination in
employment because of race, color, religion, sex, national origin, age,
or disability; and to promote Equal Employment Opportunity (EEO) through
a positive continuing program.

§ 2045.1252 [Purpose]{.underline}.

This Instruction provides guidance for the development, implementation,
and submission, of Multi-Year Affirmative Employment Program (AEP)
Plans, Annual AEP Accomplishment Reports and Updates, and Federal Equal
Opportunity Recruitment Program (FEORP) Plans as required by the U. S.
Equal Employment Opportunity Commission (EEOC) and the USDA. The plans
and programs required under this Instruction are designated "AEP" and
"FEORP."

§ 2045.1253 [EEO policy]{.underline}

It is the policy of the United States Department of Agriculture to
prohibit discrimination and to ensure equal employment opportunity for
all employees and applicants without regard to race, color, religion,
sex, national origin, age, or disability. In furtherance of this policy,
it is the responsibility of the Agency to assure that the manifest
imbalance and conspicuous absence of minorities and women in the
agency's work force are addressed through an effective and ongoing
program of affirmative employment and that minorities and women have the
opportunity to achieve the best possible utilization of their skills.

§ 2045.1254 [Designation of responsibility]{.underline}.

\(a\) [Director of EEO]{.underline}. The Secretary of Agriculture has
designated the Assistant Secretary for Administration, USDA, as Director
of EEO, with authorization to carry out effectively the responsibilities
of Section 717 of Title VII of the Civil Rights Act of 1964, as amended.

DISTRIBUTION: WSDC PERSONNEL

GENERAL

> 1

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RD Instruction 2045-Z

§ 2045.1254 (Cont.)

\(b\) [EEO Officer]{.underline}. The Head of each Agency is designated
as EEO Officer with the responsibility of effectively administering the
EEO Program, which includes affirmative action, equal opportunity in
recruitment, the Special Emphasis Programs (SEPs), and the Complaints of
Discrimination Program.

\(c\) [Director, Civil Rights Staff (CRS)]{.underline}. The Director,
CRS, is responsible for developing and implementing Rural Development
policies and practices, administering activities under the EEO Program,
and represents the Under Secretary on all aspects of the EEO Program by
providing leadership and direct assistance to Rural Development
officials. Further, the Director, CRS, is charged with overseeing the
planning and implementation of a positive program designed to assure
equal opportunities in all organizations in Rural Development.

\(d\) [Deputy EEO Officer]{.underline}. The following officials are
hereby designated as Deputy EEO Officers in Rural Development.

\(1\) The State Directors of Rural Development and Senior Officials in
St. Louis are designated as Deputy EEO Officers and will assist each
Rural Development Agency Administrator in carrying out his/her functions
as EEO Officer within their assigned area(s).

\(2\) Responsibility for implementation of the EEO program rests solely
with Deputy EEO Officers within their assigned area(s). Deputy EEO
Officers are responsible for evaluating the performance of the EEO
duties of EEO collateral duty employees and for assuring that these
employees receive appropriate support; i.e., training, official time,
and mobility deemed necessary for effective performance of the duties of
their official EEO assignment.

§ 2045.1255 [Definitions]{.underline}.

[AEP Plan]{.underline}. A formal written plan of management objectives
designed to improve the participation of minorities and women in all
categories of employment. The Plan includes goals and timetables
designed to improve the representation of women and minorities in
specific occupations or grade levels. It is an interim management tool
for correcting imbalances in the work force which ensures equal
employment opportunity within the parameters of merit principles.

[Civil Labor Force (CLF)]{.underline}. All persons 16 years of age and
over, except those in the armed forces, who are employed or who are
unemployed and seeking work. The source of the CLF data for the purpose
of AEP and FEORP planning is the EEOC.

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RD Instruction 2045-Z

§ 2045.1255 (Cont.)

[Conspicuous absence]{.underline}. A situation in which the
representation of EEO groups in a specific occupational category or
grade level is nearly or totally nonexistent in the work force.

[EEO group]{.underline}. Those EEO groups classified as "minority" for
the purpose of data collection by the Office of Personnel Management and
the EEOC, i.e., Black, not of Hispanic origin; Hispanic; Asian or
Pacific Islander; and American Indian or Alaskan Native. The term
"women" includes non-minority as well as minority.

[FEORP]{.underline}. A program for agencies to determine if minorities
and women are underrepresented and/or under-utilized in the agency work
force. Where manifest imbalance and conspicuous absence exist, the
implementation of a formal recruitment plan is required with specific
objectives to ensure increased availability of women and minorities.

[Fiscal Year]{.underline}. Reporting period from October 1 of one year
to

September 30 of the following year.

[Manifest imbalance]{.underline}. A situation in which the
representation of EEO groups in a specific occupational category or
grade level in the work force is below its representation in the
appropriate CLF.

[Office]{.underline}. An office is an operating unit of an agency which,
because of its unique organizational structure, is treated as a separate
entity for the purpose of determining manifest imbalance and conspicuous
absence and for preparing AEP and FEORP Plans. In the Rural Development,
offices are the States, St. Louis, MO and National Office.

§ 2045.1256 [Availability of regulations]{.underline}.

This Instruction and Exhibits A, B, C, and D are available for
inspection in any Rural Development Office. Copies of this Instruction
and all Exhibits will be given to any employee or applicant for
employment on request.

§§ 2045.1257 - 2045.1300 \[Reserved\]

Attachments: Exhibits A, B, C, and D

## oOo

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RD Instruction 2045-Z

Exhibit A

Page 1

## Affirmative Employment Program Plans

A. [Purpose and scope]{.underline}. The purpose of this Exhibit is to
define affirmative action planning in Rural Development and to provide
guidelines and instructions to field managers (State Directors; Senior
Officials in St. Louis; and other employees with supervisory and/or
managerial responsibilities) with regard to affirmative action planning.

B. [Legal authority]{.underline}. Requirements for Federal Agency AEPs
were first established by Executive Order 11478 in 1969. In the 1972
amendments of Title VII of the Civil Rights Act of 1964 (Section 717, 42
USC 2000-e 16), Congress required Agencies to maintain affirmative
action programs to ensure enforcement of the Federal EEO policy.

C. [Rural Development]{.underline}. It is the responsibility of each
Rural Development (RD) Agency to assure that the manifest imbalance and
conspicuous absence of minorities and women in each Agency's Work force
are addressed through an effective and ongoing program of affirmative
employment and that minorities and women have the opportunity to achieve
the best possible utilization of their skills. In addition, every effort
will be made to give minorities and women the opportunity to avail
themselves of any and all existing programs which lead to initial
employment, advancement and the realization of their fullest potential
in each Agency.

D. [Multi-Year AEP Plan]{.underline}. These instructions are to be used
by all Rural Development offices in the preparation of AEPs.
Requirements for preparation include:

\(1\) [Cover sheet]{.underline}. Cover sheet should be signed by the
Agency Administrator, or State Director.

\(2\) [EEO Policy Statement]{.underline}. Statement should be signed by
the Agency Administrator, or State Director and include affirmation
that:

\(a\) EEO for all employees and applicants for employment, regardless of
their race, religion, color, sex, national origin, age, or disability is
an integral part of Agency policy.

\(b\) EEO policy requires AEP efforts throughout the Agency to overcome
past employment practices that have operated to restrict opportunities
for employment.

\(c\) EEO covers all employment practices including, but not limited to,
recruitment, hiring, promotion, transfer, complaint resolution,
reassignments, training, benefits, and separations.

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RD Instruction 2045-Z

Exhibit A

Page 2

\(d\) Managers, supervisors, EEO Officers, State Administrative
Officers, and personnel lists share responsibility for successful
implementation of the AEP. Performance appraisals of these employees
should include an element based on meeting EEO objectives.

\(3\) [Delegations of authority]{.underline}. This section of the plan
identifies the responsibilities and authorities of AEP officials.

\(4\) [Organizational chart]{.underline}. Chart should identify major
subordinate organizations (State, Area, and Local Offices) reporting to
the office developing the plan.

\(5\) [Certification of qualifications of EEO officials]{.underline}.
The certification should be signed by the Agency Administrator, or State
Director.

\(6\) [Plan for prevention of sexual harassment]{.underline}. Plan
should respond to the following questions:

\(a\) Does the plan outline specific steps to apprise employees of their
rights under Title VII?

\(b\) Are there proposed guidelines on dissemination of information and
timeframes for implementation?

\(c\) Is an accountability system in place?

\(d\) Are there any progressive initiatives outlined to accomplish
program objectives?

\(7\) [Statement of adequate monitoring/evaluation system]{.underline}.
States should submit a narrative describing their monitoring and
evaluation system. Internal monitoring and evaluation systems should
include:

\(a\) Information systems that will provide periodic status reports on
work force profile and affirmative employment efforts.

\(b\) Capability to monitor employment trends through review of
personnel transaction and other historical data.

\(c\) Integration of barrier analyses; elimination of impediments;
innovative staffing techniques; and concomitant.

RD Instruction 2045-Z

Exhibit A

Page 3

\(d\) Capability to integrate comprehensive management and personnel and
budget planning with affirmative employment planning.

\(e\) Capability to review proposed personnel actions which affect
categories where objectives have been established.

\(8\) [Program analysis]{.underline}. The analysis should include a
complete assessment of how efforts are directed toward the eight major
program elements which are listed in this paragraph.

\(a\) Organization and resources

1\. Are the EEO program officials receiving adequate training in EEO,
personnel administration, and management to effectively resolve problems
and issues within their areas of responsibility?

2\. Are adequate management and fiscal controls established to monitor
all resources allocated to the EEO program?

3\. Do special emphasis program managers devote sufficient time to
accomplish program objectives? Do these managers have adequate
delegations of authority to promote programs and to accomplish program
objectives?

4\. Are EEO officials providing technical advice to management officials
and the Human Resources office?

5\. Have supervisory and management personnel attended formal training
including coverage of their EEO responsibilities?

6\. Has the incentive awards system been used to recognize supervisory
and managerial personnel for their understanding and support of, and
accomplishments in EEO?

7\. Do performance evaluations of supervisory and managerial personnel
include specific factors for evaluating their understanding and support
of EEO as well as their achievement of EEO objectives?

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RD Instruction 2045-Z

Exhibit A

Page 4

\(b\) Work force analysis

1\. Analysis of the work force by Professional Administrative,
Technical, Clerical and Other (PATCO) category, major job series, and
individual grade levels or grade distribution summary by race, sex, and
national origin.

2\. Comparison of the work force with the previous year's work force.

3\. Comparison of the work force with the Civilian Labor Force. See
Exhibit D of this instruction for examples.

\(c\) [Discrimination complaints]{.underline}. Does an analysis of the
bases, issues, and findings of recent complaints suggest possible
problem areas that may need to be explored?

\(d\) Recruitment and hiring

1\. Do present recruitment sources yield qualified minority and female
applicants who meet organizational needs?

2\. Have qualification requirements and procedures for hiring been
examined to determine whether barriers to EEO exist?

3\. Do EEO officials provide technical assistance to the Human Resources
office and monitor, as well as participate in, recruitment efforts?

4\. Is the selection process reviewed periodically to ensure equal
treatment regardless of race, color, religion, sex, national origin,
age, or disability?

5\. Does management make itself available to community, civic, and other
groups interested in enhancing EEO?

6\. Does management utilize recruitment initiatives such as the
Cooperative Education and/or Student Trainee Programs to find qualified
minority and female job applicants?

RD Instruction 2045-Z

Exhibit A

Page 5

\(e\) Employee development programs

1\. Are systems for tracking information on employee skills and training
in operation?

2\. Have studies been conducted on time-in-grade to determine the
reasons for any differentials which may exist by minority status and
sex?

3\. Have studies been conducted to examine relative upward movement of
employees to full performance, professional, supervisory, and highest
grade levels?

4\. Is career counseling available to all employees?

5\. Are efforts being made to ensure that appropriate training
opportunities are available to employees at all grade levels and in all
occupational areas, without regard to minority status and sex?

\(f\) Promotions

1\. Are internal selection and promotion qualification requirements and
procedures valid and job-related, and include no unnecessary barriers to
full utilization of skills and training?

2\. Are efforts being made to ensure that appropriate promotional
opportunities are available to employees at all grade levels and in all
occupational areas, regardless of minority status and sex?

\(g\) [Separations]{.underline}. Are efforts made to ensure that
separations are conducted fairly and in a nondiscriminatory manner?

\(h\) Program evaluation

1\. Do EEO Advisory Committees (EEOAC) consult with management officials
to ensure that each provides input to EEO program evaluation?

2\. Are findings from Management Control Reviews implemented?

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RD Instruction 2045-Z

Exhibit A

Page 6

\(9\) [Problem and barrier identification]{.underline}. For each program
element, identify problems and barriers for each EEO group.

1\. Select problems and barriers within your control.

2\. Select problems and barriers that can be eliminated within a
multi-year cycle.

3\. Select problems and barriers affecting PATCO categories and major
occupations and identify specific actions to eliminate each problem and
barrier.

\(10\) [Report of objective and action items]{.underline}. For each
program element, prepare a statement of specific and measurable
objectives and supporting action items which will solve problems and
barriers identified.

1\. Assign a responsible official for each objective/action item listed.

2\. Assign a target date for completing each objective and action item
listed.

## oOo 

RD Instruction 2045-Z

Exhibit B

Page 1

## Annual Affirmative Employment Program Plan

## Accomplishment Report and Update

A. [Purpose and scope]{.underline}. The purpose of this Exhibit is to
provide guidelines for affirmative action plan updates.

B. [Legal authority]{.underline}. Management Directive 714 (EEO-MD-714),
Instructions for development, submission and implementation of Equal
Employment Opportunity (EEO) and Affirmative Employment Program (AEP)
Plans required by Section 717 of Title VII of the Civil Rights Act of
1964, as amended, and any such variances herein from the notice, or the
U. S. Equal Employment Opportunity Commission's (EEOC) Management
Directive 714, have been approved by the Department's Office of Civil
Rights Enforcement (OCRE).

C. [Annual Affirmative Employment Program (AEP) accomplishment report
and update]{.underline}. These instructions are to be used by all Rural
Development offices in the preparation of Annual AEP Accomplishment
Report and Update. The AEP Accomplishment Report and Update will extend
through one fiscal year. Completed plans are to be submitted to the EEOC
and the Civil Rights Staff (CRS) in the National Office, Attention:
Deputy Director, CRS. Each Fiscal Year (FY), CRS will send a memorandum
with a due date for submitting your report and update. States will
obtain state census data and current workforce statistics to prepare
your report and update.

D. [Requirements for preparation]{.underline}.

\(1\) [Cover sheet]{.underline}. Cover sheet should be signed by the
Agency Administrator, or Deputy EEO Officer.

\(2\) [Summary analysis of work force]{.underline}. A narrative work
force analysis using the Civilian Labor Force (CLF) should be provided.
Analyze work force by Professional, Administrative, Technical, Clerical,
and Other (PATCO) category, major job series, and individual grade
levels or grade distribution summary by race, sex, and national origin.

\(3\) [Accomplishment report on objectives and action
items]{.underline}. For each program element, prepare a statement which
reflects the progress toward achieving objectives and action items that
were identified in AEP Plans.

\(4\) [Noteworthy activities and initiatives]{.underline}. Prepare a
statement of any noteworthy activities or initiatives implemented during
the fiscal year.

## oOo

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RD Instruction 2045-Z

Exhibit C

Page 1

Federal Equal Opportunity Recruitment

Program (FEORP) Plan

A. [Purpose and scope]{.underline}. The purpose of this Exhibit is to
define the Federal Equal Opportunity Recruitment Program (FEORP) in
Rural Development and provide guidelines and instructions to field
managers (State Directors; Senior Officials in St. Louis; and other
employees with supervisory and/or managerial responsibilities) with
regard to recruitment plans.

B. [Legal authority: The Civil Service Reform Act of 1978, (Title 5 of
the United Stated Code, Section 7201 (b))]{.underline}. This legislation
directed the

U. S. Equal Employment Opportunity Commission (EEOC) to develop
guidelines for a special recruitment program, designated the FEORP. The
statutory authority requires that agencies conduct affirmative
recruitment for those occupations and grades within their work force in
which there is a manifest imbalance and conspicuous absence of
minorities and women. The guidelines do not include coverage of disabled
and older persons. The guidelines do include white females, black males
and females, Hispanic males and females, Asian males and females, and
American Indian males and females.

C. [Equal Employment Opportunity (EEO) policy]{.underline}. It is the
policy of Rural Development to prohibit discrimination and to ensure
equal employment opportunity for all employees and applicants without
regard to race, color, religion, sex, national origin, age or
disability.

D. [Essentials of the FEORP Plan]{.underline}. FEORP is aimed at
eliminating manifest imbalance and conspicuous absence of minorities and
women in Federal Agencies through the application of internal and
external recruitment strategies which include activities normally
identified with training, employee development, job redesign, staffing,
and other personnel management functions and actions. The concept of
FEORP rests on the belief that Federal Agencies have not in the past
targeted their recruitment of minorities and women based on their
availability in the Civilian Labor Force (CLF) in similar occupational
categories. Agencies are now required to conduct affirmative recruitment
for those occupations and grade levels within their work force in which
there is manifest imbalance and conspicuous absence of minorities and
women. The implementation of FEORP plans should, therefore, result in
more representative applicant pools from which to select employees. In
this respect, the objective of the Federal Government is to attain a
Federal work force reflective of the Nation's diversity. The minority
groups whose employment levels must be catalogued include white women,
black men, black women, Hispanic men, Hispanic women, Asian or Pacific
Islander men, Asian or Pacific Islander women, American Indian or
Alaskan Native men, and American Indian or Alaskan Native women where
there is manifest imbalance or conspicuous absence.

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RD Instruction 2045-Z

Exhibit C

Page 2

E. [FEORP Plan]{.underline}. The National Office Civil Rights Staff
(CRS) will send any new requirements to all Rural Development Offices in
October. The FEORP Plan will extend through one fiscal year. Completed
plans are to be submitted to the CRS in the National Office in January.

## oOo

RD Instruction 2045-Z

Exhibit D

Page 1

Calculating Underrepresentation and Setting Numerical Objectives

A. [The Setting of numerical objective (goals) is an essential part of
affirmative employment planning]{.underline}. Goals are established in
Multi-Year Affirmative Employment Program (AEP) Plans and continue in
AEP Accomplishment Reports until there is no manifest imbalance and
conspicuous absence of Equal Employment Opportunity groups.

B. [Calculating underrepresentation]{.underline}. To determine the
degree of representation of EEO groups, divide the percent
representation of the minority group or women in the work force in a
Professional, Administrative, Technical, Clerical, and Other (PATCO)
category/occupational series/grade level by the percent representation
of the same minority group or women in the Civilian Labor Force (CLF) in
the PATCO category and multiply by 100. The result is the
underrepresentation index or U. I.

If the U. I. is 0 to 10, there is a conspicuous absence or severe
underrepresentation of the minority group or women. If the U. I. is 11
to 99, there is a manifest imbalance of the minority group or women. A
U. I. of 100 is parity in the work force.

Example: Black females in [administrative]{.underline} occupations in
Tennessee

> Total number of employees in the administrative work force in
> Tennessee (from National Finance Center (NFC) Departmental Notice (DN)
> 714
>
> 121
>
> Total number of black females in administrative work force in
> Tennessee (from NFC DN 714)
>
> 0
>
> Percent black females in administrative work force in Tennessee (from
> NFC DN 714)
>
> 0.0
>
> Percent black females in the administrative CLF (from 1980 Census Data
> Report of Tennessee)
>
> 4.6
>
> [0.0]{.underline} = 0 x 100 [= U.I. of 0]{.underline}
>
> 4.6

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RD Instruction 2045-Z

Exhibit D

Page 2

There is a conspicuous absence of black females in administrative
occupations in Tennessee.

To reach parity for underrepresented EEO groups, numerical objectives
must be established.

C. [Setting numerical objectives]{.underline}. To determine how many of
an EEO group is needed for parity, take the total number in the PATCO
category/occupational series/grade level and multiply that number by the
CLF percent of the EEO group in question. Then subtract the number of
the current onboard strength total of the EEO group in question. The
result is the number needed for parity. The number needed for parity
does not have to be the numerical objective you set for any particular
year of the AEP or Federal Equal Opportunity Recruitment Program (FEORP)
planning purpose, but should be your numerical objective for the
multi-year period covered by the AEP plan.

Example: Black females

> [Total]{.underline} number of employees in the administrative work
> force in Tennessee
>
> 121
>
> Percent black females in administrative CLF
>
> 4.6
>
> 121 x 4.6 = 5.5
>
> Onboard strength of black females
>
> 0
>
> 5.5 - 0 = Numerical goal of 5

NOTE: The CLF data on NFC DN 714 is nationwide, but States and the
Finance Office should use State CLF data in determining manifest
imbalance and conspicuous absence, and for setting numerical objectives.

Additional Example: Asian [males in administrative]{.underline}
occupations in California

> Total number of employees in administrative work force in California
> (from NFC DN 714)

## 74

##  

RD Instruction 2045-Z

Exhibit D

Page 3

> Total number of Asian males in administrative work force in California
> (from NFC DN 714)
>
> 2
>
> Percent Asian males in administrative work force in California
>
> 2.7
>
> Percent of Asian males in administrative CLF (from 1980 Census Data
> Report of California)
>
> 5.9
>
> [2.7]{.underline} = 0.45 x 100 = U.I. of 45
>
> 5.9

There is a manifest imbalance of Asian males in administrative
occupations in California.

Example: Asian males

> Total number of employees in the administrative occupations in
> California
>
> 74
>
> Percent Asian males in administrative CLF
>
> 5.9
>
> 74 x 5.9 = 4.3
>
> Onboard strength of Asian males
>
> 2
>
> 4 - 2 = numerical goal of 2

## oOo

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