U.S. DEPARTMENT OF AGRICULTURE

WASHINGTON, D.C. 20250

DEPARTMENTAL REGULATION

Number:

4300-010

SUBJECT:

Civil Rights Accountability Policy and Procedures

DATE:

December 28, 2016

OPI:

Office of Assistant Secretary for 

Civil Rights/Office of Human 

Resources Management

Section Page

 

1. Purpose 1

2. Special Instructions 2

3. Scope 2

4. Policy 3

5. Definitions 3

6. Notices to Employees 5

7. Covered Actions 5

8. Responsibilities 6

9. Covered Actions Involving Senior Management Officials 8

Appendix A Sample Civil Rights Accountability Case Cover Sheet A-1

Appendix B Sample Civil Rights Accountability Quarterly Report B-1

Appendix C Authorities and References C-1

1. PURPOSE

This Departmental Regulation (DR) establishes the civil rights accountability policy and 

procedures for ensuring that appropriate disciplinary or corrective actions are taken when 

discrimination, retaliation, civil rights violations, harassment, bullying, or related misconduct 

occurs. The regulation strengthens existing civil rights policies within the U.S. Department 

of Agriculture (USDA or the Department) and requires agencies to establish training, 

alternative dispute resolution (ADR) strategies, and work to resolve complaints at the earliest 

possible opportunity.

This DR establishes procedures that measure and evaluate both organizational and individual 

accountability in providing fair and equitable treatment for all USDA customers and 

employees, while ensuring its delivery of programs and the enforcement of civil rights.
2

2. SPECIAL INSTRUCTIONS

This regulation replaces DR 4300-010, Civil Rights Accountability Policy and Procedures,

dated January 18, 2006.

3. SCOPE

All employees, including Agency Heads, Staff Office Directors, managers and supervisors 

are responsible for a work environment free of discrimination or retaliation; have a duty to 

uphold the civil rights of customers and employees; and must ensure programs are delivered 

in compliance with USDA’s civil rights, nondiscrimination and equal employment 

opportunity policies. As a basic requirement, the Office of the Assistant Secretary for Civil 

Rights (OASCR), Departmental Management (DM), Agency Heads and Staff Office 

Directors will ensure this regulation is effectively administered and reported by agencies and 

Staff Offices in a timely manner. 

To deter violations, agencies and Staff Offices are required to provide training and resources 

to bring awareness to civil rights/equal employment opportunity and conflict management 

techniques. They are also required to employ the ADR techniques consistent with DR 4710-

001, USDA Alternative Dispute Resolution. Disciplinary and corrective action in response to 

findings of discrimination, retaliation, civil rights violations, non-compliance with civil rights 

policies and agreements, violations of settlement agreements, or related misconduct in 

employment and program matters should be taken pursuant to prevailing laws, rules, and 

regulations. 

Management officials will be held accountable for their failure, and the failure of their 

employees, to actively support and adhere to USDA’s civil rights policies. Management 

officials shall be held accountable for discrimination, retaliation, civil rights violations, or 

related misconduct and will be evaluated in accordance with this policy and with the 

governing Federal and USDA regulations regarding discipline and adverse actions. 

Agency’s human resources (HR) and Office of Human Resources Management (OHRM) will

determine if disciplinary or other corrective action is warranted. 

Also, management officials, including senior management officials, will be held accountable 

for enforcing civil rights notifications and electronic postings to create awareness of civil 

rights, conducting training, and taking appropriate action in response to findings of 

discrimination, retaliation, harassment, bullying, civil rights violations or related misconduct. 

Examples of such notifications and electronic postings include the Anti-Harassment policy,

ADR DR, the Secretary’s Civil Rights Policy Statement, Notification and Federal Employee 

Antidiscrimination and Retaliation Act, and reasonable accommodation procedures. 
3

4. POLICY

It is USDA’s policy to treat customers and employees fairly and equitably, with dignity and 

respect, regardless of race, color, national origin, disability, sex, gender identity, political 

beliefs, age, marital, family/parental status, religion, sexual orientation, protected genetic 

information, reprisal, or because all or a part of an individual’s income is derived from any

public assistance program (not all bases apply to all programs).

Agency officials, managers, supervisors and other employees shall be held accountable for 

providing training to their employees, and where appropriate, to program recipients on civil 

rights programs, obligations and the strategic civil rights goals of USDA. In addition, they 

will be held accountable for acts of discrimination, retaliation, civil rights violations, and/or 

related misconduct. 

5. DEFINITIONS

a. Accountability. The obligation of holding agency officials, management and senior 

management officials, managers, supervisors, and other employees responsible for their 

conduct or omissions that have contributed to civil rights violations, which may include,

but are not limited to, acts of discrimination, retaliation, or related misconduct.

b. Adverse Action. Adverse actions are defined by law at 5 United States Code (U.S.C.)

Chapter 75, and include suspensions without pay, reductions in grade or pay, furloughs 

of 30 days or less, and removal

 

c. Agency. For purposes of this directive, agency is defined as a major program 

organizational unit of the Mission Area with delegated authorities to deliver agricultural 

or food programs, activities, benefits and services. The term “Agency” does not include 

Departmental Management or other Staff Offices.

d. Agency Head. The administrator, chief, or director of an Agency who is the official 

named or designated to have primary responsibility for the management of the Agency

as delegated under Title 7, Code of Federal Regulations (CFR), Part 2.

e. Alternative Dispute Resolution (ADR). Any number of conflict resolution techniques 

that use a neutral third party to assist employees, managers, supervisors, agencies, and 

USDA customers in resolving disputes.

f. Case Report. Memorandum reporting the results of an analysis and findings, including a 

brief statement of findings, and corrective actions required or disciplinary actions 

proposed.

g. Compliance Review. Inspections of agency employment and programs to determine 

compliance with civil rights laws and regulations.
4

h. Conciliation Agreement. Conciliation is a category of dispute resolution that includes 

mediation and other similar resolution processes conducted between the participants or 

groups in conflict. Participants may be located in more than one location and/or the 

neutral conciliator may emphasize speaking with one participant at a time. Special 

emphasis is placed on restoring relationships during the process. Conciliation is often 

introduced to existing negotiations that may be deteriorating and in need of emphasis on 

addressing relationship aspects between the parties.

i. Corrective Actions. Measures taken toward enhancing civil rights goals of USDA, 

which may be disciplinary or adverse actions and may include training or other similar 

actions.

j. Customer(s). A person or group of persons who receive or enjoy the benefits, services, 

resources, and information or to participate in activities and programs conducted or 

funded in whole or part by USDA. 

k. Decision. A determination issued by an entity with authority to issue legal and/or 

administrative opinions, arrived at after consideration of the facts and applicable law. 

l. Disciplinary Action. An action taken with the intent to correct the conduct of an 

employee, which includes, among other actions, a letter of reprimand, suspension, 

reduction in grade or pay, or removal from the Federal Service.

m. Final Agency Decision (FAD). A final written determination issued by OASCR in an 

employment or program discrimination complaint. 

n. Analyses and Findings. Review of a Covered Action to determine if any inappropriate 

actions or inactions occurred and/or to identify systemic issues that contributed to the 

issuance of a Covered Action and to evaluate whether corrective action or a proposal of 

disciplinary action is appropriate. 

o. Management Official. A management official as defined in acts above who is also an 

employee having authority to hire, transfer, suspend, furlough, recall, promote, 

discharge, assign, reward, or discipline other employees; or having responsibility to 

direct them, adjust their grievances, or effectively recommend such action if, in 

connection with the foregoing, the exercise of authority is not of a merely routine or 

clerical nature but requires the use of independent judgment.

p. Senior Management Official. A Senior Executive Service (SES), Senior Level (SL), and 

Scientific and Professional (ST) positions in the Competitive Service, and Senior 

Science and Technology Service (SSTS) positions in the Excepted Service or a political 

appointee (includes Schedule C appointments and non-career SES).

q. Settlement Agreement. A voluntary, written and signed agreement by which parties to a 

dispute reflect the mutually agreed-to terms for resolving a dispute and bringing to an 

end to the processing of an informal or formal complaint of discrimination.
5

r. Staff Office. An administrative office with specialized support functions as defined by 7 

CFR 2.4. All Staff Offices, with the exception of the National Appeals Division (NAD) 

and the Office of the Inspector General (OIG) report directly to the Secretary of 

Agriculture. NAD and OIG are in the Secretary’s reporting chain but have independent 

authority and reporting responsibilities. 

6. NOTICES TO EMPLOYEES

OASCR, Agencies, and Staff Offices must provide notice of this regulation to each of its 

employees and management. Copies may be distributed in printed format or e-mail, or 

employees and management may be notified that this regulation is available on the USDA 

website. Copies should also be provided in alternative formats or languages upon request

and must be 508 compliant. Employees shall be notified of this regulation and subsequent 

changes to it within 90 days of publication or at the time of the employee’s appointment.

7. COVERED ACTIONS

Agencies and OHRM will initiate a review of each of the following actions (Covered 

Actions) to determine whether disciplinary or other corrective actions are warranted:

a. Finding of Discrimination in any Final Agency Decision (FAD) on Equal Employment 

Opportunity and/or Program complaints of discrimination issued by OASCR (within 10 

days of issuance);

b. Decisions issued by an Administrative Judge of the Equal Employment Opportunity 

Commission (EEOC) that include a finding of discrimination;

c. Decisions issued by the EEOC Office of Federal Operations;

d. Decision issued by the U.S. Merit Systems Protection Board that include findings of 

discrimination on an affirmative defense;

e. Findings or recommendations made by OASCR regarding the non-enforcement of civil 

rights policies, laws, or regulations;

g. Federal Court decisions, Employment and/or Program Discrimination complaints with a 

finding of discrimination after a decision on whether or not an appeal is made or a final 

decision is issued;

h. As determined by OASCR, investigations, Compliance Reviews or audits of civil rights 

or related activities performed by entities within or outside of USDA that include formal 

findings of discrimination or misconduct related to civil rights;
6

i. Settlement Agreements of EEO complaints (informal and formal); 

j. Settlement agreements resulting from MSPB cases that include allegations of an 

affirmative defense.

k. Settlement Agreements of Program Discrimination complaints (informal and formal).

8. RESPONSIBILITIES 

a. ASCR shall:

(1) Order such corrective measures in EEO and program complaints as may be 

considered necessary. Corrective measure may include recommending to the 

OHRM and the affected agency or office that appropriate disciplinary action be 

initiated when an employee has been found to have engaged in inappropriate actions 

or inactions occurred and/or to identify systemic issues that contributed to the 

issuance of a Covered Action; and 

(2) Review all Covered Actions and determine whether an Agency or any individual 

employee or Management Official should be commended for utilizing ADR in an 

exemplary manner. Covered Actions shall be handled in a manner to ensure that the 

confidentiality of any Settlement Agreement is protected except as required by law. 

In addition, any request for additional documentation or inquiry by an HR Director 

shall not contravene the confidentiality normally accorded to the ADR process, 

pursuant to the Administrative Dispute Resolution Act of 1996, or any other 

applicable privileges or restrictions on release of the agreement or other relevant 

materials.

b. Agencies shall:

(1) Forward pertinent case record information to the HR Director for the Agency or 

Staff Office and provide a copy of each Covered Action, along with a copy of the 

pertinent complaint file(s) maintained by OASCR, to include any pertinent EEO 

Counselor’s Report, Fact Finding Report(s), or Report(s) of Investigation, within 10 

calendar days of the date on which OASCR received notice of the Covered Action;

(2) Forward to OASCR any Covered Actions not issued by OASCR, for official record 

keeping, as expeditiously as possible, but no later than fifteen (15) calendar days 

after receipt of the covered action; 

(3) Conduct an initial level of review of the circumstances leading to a Covered Action 

to determine if any inappropriate action(s) or inaction(s) occurred, and/or to identify 

systemic issues that may warrant appropriate corrective action;
7

(4) Complete a Civil Rights Accountability Case Cover Sheet (See Appendix A) that 

includes identification of the individual(s) whose actions or inactions gave rise to the 

initiation of the informal action or formal complaint that resulted in the Covered 

Action, identification of any systemic issues, and the findings relative to 

administrative action(s) to address and correct the actions or inactions of individuals 

and/or to correct systemic issues. Covered Actions shall be handled in a manner to 

ensure that the confidentiality of any settlement or conciliation agreement is 

protected except as required by law;

(5) Ensure that appropriate corrective action is initiated, where there has been a finding 

of discrimination in a Covered Action, the occurrence of inappropriate 

action(s)/inaction(s) or systemic issue(s) and to deter others from engaging in similar 

conduct and to correct matters that may have an effect on USDA operations;

(6) Timely implement proposed disciplinary and corrective actions;

(7) Provide to OASCR and OHRM, the Civil Rights Accountability Case Cover Sheet 

and any requested supporting documentation; and

(8) Prepare a written quarterly report setting forth the number and general description of 

disciplinary or corrective actions taken pursuant to this regulation, including Section 

9 (See Appendix B). The report shall set forth the specific nature of the disciplinary 

or corrective action initiated and shall identify the Covered Action giving rise to the 

inquiry that led to the disciplinary or corrective action. The fourth quarter report

shall be provided to OASCR and OHRM no later than January15th of each fiscal 

year.

 

c. OHRM shall:

(1) Conduct an independent preliminary review of all Covered Actions, including those 

identified under Section 9 below, and determine whether additional documentation 

such as the Counselor’s Report, informal and/or formal complaint of discrimination, 

Report of Investigation, or other relevant materials are needed to conduct an inquiry. 

Covered Actions shall be handled in a manner to ensure that the confidentiality of 

any settlement agreement (or conciliation agreement) is protected except as required 

by law. In addition, any request for additional documentation or inquiry by OHRM 

shall not contravene the confidentiality normally accorded to the ADR process, 

pursuant to the Administrative Dispute Resolution Act of 1996, or any other 

applicable privileges or restrictions on release of the agreement or other relevant 

materials;

(2) Conduct an assessment of each Covered Action to identify any inappropriate 

action(s) or inaction(s) that occurred, and/or to identify ANY systemic issue(s) that 

gave rise to the initiation of the informal action or formal complaint that gave rise to 

the Covered Action; and 
8

(3) Prepare a written report, at the end of each fiscal year, setting forth the number and 

general description of disciplinary or corrective actions taken pursuant to this 

regulation, including for Covered Actions pertaining to Senior Management 

Officials pursuant to Section 9 below. The report shall set forth the specific nature 

of the disciplinary or corrective action taken and shall identify the Covered Action 

giving rise to the inquiry that led to the disciplinary or corrective action. The annual 

report shall be provided to OASCR no later than January 15th of each year. 

9. COVERED ACTIONS INVOLVING SENIOR MANAGEMENT OFFICIALS

USDA will utilize the procedures described in this Directive for Covered Actions in which a

Senior Management Official(s) was involved in any Covered Action. 

-END-
A-1

APPENDIX A

Sample Civil Rights Accountability Case Cover Sheet

Case Name: Last Name, First Name, Middle Name

Case Number: USDA Agency Case No.; EEOC Docket No.; MSPB Docket No.

Covered Action: Identify the Covered Action being reviewed (e.g. FADi

, SAii, 

PMIiii, etc.)

Allegation(s): 

FAD – Describe only those claims where discrimination was found.

SA – Describe the inappropriate action(s)/inaction(s) that led to the allegation(s).

PMI – Synopsis of those allegations having an affirmative action nexus.

Identification of Individual(s) critical to Decision/Outcome:

FAD – Identify by name, position, grade, & location the responsible individual(s) whose 

action(s) or inaction(s) gave rise to the initiation of the informal or formal complaint that 

gave rise to the Covered Action.

SA – Identify by name, position, grade, & location the responsible individual(s) whose 

action(s)/inaction(s) were alleged to be inappropriate.

PMI – Identify by name, position, grade, and location the responsible individual(s) whose 

action(s)/inaction(s) was alleged to be inappropriate.

Analysis of Inappropriate Conduct/Behavior/Systemic Issue:

FAD - Briefly describe the specific inappropriate action(s)/inaction(s) that resulted in the 

finding of discrimination.

SA - What action(s)/inaction(s) adversely impacted the ability of the Agency to prevail 

before a 3rd party and/or what action(s)/inaction(s) was inappropriate and/or misconduct 

in nature?

PMI - What action(s)/inaction(s) was inappropriate conduct/behavior?

FAD/SA/PMI – What is the appropriate action(s) to correct the inappropriate 

action(s)/inaction(s) to deter similar inappropriate conduct/behavior in the future?

Identification of systemic issues, if any:

FAD – What policy, practice, procedure resulted in the finding of discrimination?

SA – What policy, practice, procedure requires attention/revision/review?

PMI – What policy, practice, procedure requires attention/revision/review?

Note: If no evidence of a systemic issue(s) is identified in the analysis, state so in the 

finding.
A-2

Sample Civil Rights Accountability Case Cover Sheet Cont’d

Agency Proposed Action: 

FAD/SA/PMI – Based on the assessment identify what, if any, corrective actions the 

Agency proposes to take to correct future occurrences. If no action was proposed, then 

state why the Agency proposes no action.

Outline of Actions Taken:

FAD/SA/PMI – Describe what actions were taken and against whom, if any.

_____________________________________ ____________________

[Specialist Name] Date

[Position, Agency}

i FAD – Final Agency Decision ii SA – Settlement Agreement iii PMI – Personnel Misconduct Investigation

 
B-1

APPENDIX B

Sample Civil Rights Accountability Quarterly Report

Agency/Staff Office: ______________________________

Fiscal Year: _________________ Quarter: ______

Number of Covered Action Cases Reviewed: ______

- Final Agency Decisions _____

- EEOC Administrative Judge Decisions _____

- EEOC OFC Decisions _____

- MSPB Decisions _____

- Federal Court Decisions _____

- Settlement Agreements _____

o Employment Complaints _____

o Program Complaints _____

- EEOC Administrative Judge Decisions _____

- Personnel Misconduct Investigations _____

Number of Corrective Actions Initiated: _____

- Training _____

- Discipline _____

- +14 day suspensions _____

- -14 Day Suspension _____

- Removals/Terminations _____

- Official Reprimand _____

- Warning/Caution _____

- Other _____

o Describe: 

___________________________________________________________________

___________________________________________________________________

________________
C-1

APPENDIX C

AUTHORITIES AND REFERENCES

The Civil Service Reform Act of 1978, Pub. L. 95–454, 92 Stat. 1111 (CSRA) 

Department Personnel Bulletin 751-3, Alternative Discipline, June 3, 1998

Department Personnel Manual, Chapter 751, Appendix A - USDA Guide for Disciplinary 

Penalties

Departmental Regulations, 5 U.S.C. 301, January 3, 2012 

DR 4070-735-001, USDA Employee Responsibilities and Conduct, October 4, 2007

DR 4300-006, USDA Civil Rights Policy, June 30, 2000

DR 4300-007, Processing Equal Employment Opportunity (EEO) Complaints of 

Discrimination, July 12, 2016

DR 4710-001, USDA Alternative Dispute Resolution, April 5, 2006