UNITED STATES DEPARTMENT OF AGRICULTURE 

AGRICULTURAL MARKETING SERVICE 

 DIRECTIVE 4300.5 4/6/04

EQUAL EMPLOYMENT OPPORTUNITY PROGRAM

I. PURPOSE

This Directive establishes policy, procedures and responsibilities for the United States 

Department of Agriculture's (USDA or Department) Agricultural Marketing Service (AMS) and 

Civil Rights Program (CRP) in implementing the Equal Employment Opportunity (EEO) 

Program. CRP has the responsibility of maintaining a discrimination complaints system for 

processing claims of prohibited employment discrimination pursuant to 29 CFR Part 1614 and 

Departmental Regulation 4300-7. These provisions apply to all AMS employees and applicants 

for employment. 

II. AUTHORITIES 

 A. 29 CFR 1614, dated November 9, 1999. 

B. EEOC Management Directive 110, dated November 9, 1999. 

 C. Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et 

seq. 

D. Executive Order 13145, 65 Fed. Reg. 6877 (2000) 

 E. Sections 501 and 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 

§ 791 et seq. 

 F. Civil Service Reform Act of 1978, dated October 13, 1978. 

 

G. The Age Discrimination in Employment Act of 1967, 29 U.S.C. § 621 et seq. 

H. The Equal Pay Act of 1973, 29 U.S.C. § 206(d). 

I. Departmental Regulations 4300-6, Civil Rights Policy for the Department of 

Agriculture, and 4300-7, Processing EEO Complaints of Discrimination. 

________________________________________________________________________ 

Distribution: AMS Originating Office: OA/CR 
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III. DEFINITIONS 

A. Affirmative actions are result-oriented actions taken to increase employment 

opportunities for qualified women, minorities and persons with disabilities, at all grade levels 

and in all job categories where they are underrepresented. 

B. Affirmative Employment Program Plan(s) (AEPP) are formal plans tailored to 

remedy the underrepresentation of identified groups (e.g., Hispanics, Blacks, and Women) within 

a specific organization. Such plans have a 5-year life span and contain analyses of barriers 

which prevent full representation of particular groups and corresponding objectives and actions 

that are expected to eliminate those barriers. 

 

C. Appeal is to resort to a superior administrative body or court to review the 

decision of an administrative agency or lower court. 

D. Applicant is a person who files a formal application for employment, promotion, 

transfer, detail, etc. 

E. Claim is an assertion made by a party in a legal/administrative proceeding, which 

s/he attempts to prove. EEOC changed from the word "allegation" to the word "claim" in 

November 1999 with the issuance of the revised 29 CFR 1614. 

F. Class means a group of employees, former employees, and/or applicants for 

employment on whose behalf it is alleged they have been, are being, or may be, discriminated 

against on the basis of their race, color, religion, sex, national origin, age, disability, marital or

family status, political beliefs, parental status, sexual orientation, or protected genetic 

information. 

G. Complainant is one who applies for legal redress by filing a complaint. 

H. Complaint is the formal filing of a claim that an action, decision, policy, or 

practice has adversely affected an employee (applicant) on a prohibited discriminatory basis. 

 

I. Disabled individual is any person who: (1) has a physical or mental impairment 

that substantially limits one or more of his or her major life activities; (2) has a record of such an 

impairment; or (3) is regarded as having such an impairment. 

J. Disabled veteran is a person entitled to compensation for disability under laws 

administered by the Veterans Administration, or a person whose discharge or release from active 

duty was for a disability incurred or aggravated in the line of duty. 

K. Discrimination is illegal treatment of a person or group based on race, color, sex, 

national origin, age, mental/physical disability, religion, reprisal, political beliefs, parental status, 

sexual orientation or protected genetic information. 

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 L. EEO counselor is an employee designated to play a key role in the pre-complaint 

processing stage in an effort to bring about an informal resolution of EEO allegations. 

 M. EEO investigator is an individual given authority to gather and report all pertinent 

facts related to a complaint of discrimination. 

N. EEOC is the Equal Employment Opportunity Commission. This agency is 

charged with enforcing equal employment opportunity laws and regulations. 

O. Employee as used in this Directive, means anyone employed by AMS or an 

applicant for employment. 

P. Grievance process is an administrative mechanism for resolving and addressing 

certain disputes and complaints of unfair treatment and prohibited personnel practices. 

 

Q. Mixed case complaint is a case in which one alleges discrimination in connection 

with a matter which is also appealable to the Merit Systems Protection Board (MSPB).

R. Protected genetic information is an employee's family medical history. Protected 

genetic information includes information about an individual's genetic tests, the occurrences of a 

disease, medical condition, or disorder in the family members of the individual. 

S. Remedy is a mechanism by which a right is enforced or the violation of a right is 

prevented, redressed, or compensated. 

T. Representative is an individual designated by a complainant to act as an official 

agent for the person. 

IV. POLICY 

It is the policy of AMS to provide equal opportunity in employment for all persons, and prohibit 

discrimination in employment because of race, color, religion, national origin, sex, age, and 

mental or physical disability, political beliefs, parental status, marital or familial status, sexual 

orientation, or protected genetic information. Complaints arising from political beliefs, parental 

status, marital or familial status, sexual orientation, or protected genetic information are only 

processed within USDA. They are not appealable to the EEOC or any other non-USDA agency 

or department. It is also the policy of AMS to establish, maintain and carry out a continuing 

Affirmative Action Program (AAP) designed to eliminate underrepresentation of minorities, 

women and disabled individuals. AMS will provide a work environment free of sexual 

harassment or reprisal, and provide and maintain systems for prompt processing of claims and 

complaints of discrimination. 

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V. RESPONSIBILITIES 

 A. The Administrator. 

1. The Administrator exercises positive, personal leadership and holds all 

executives, managers and supervisors accountable for carrying out all Federal EEO regulations, 

policies and directives. This includes the establishment and implementation of all Affirmative 

Employment Program Plan objectives designed to ensure a culturally diverse workforce. The 

Administrator exhibits a commitment to fostering an environment that is designed to promote 

equal opportunity in every aspect of AMS personnel policies and practices and to treat each 

employee with respect. 

 

 2. The Administrator shall appoint a Director of Equal Employment 

Opportunity (EEO Director) who shall be under the immediate supervision of the agency head 

pursuant to 29 CFR 1614. The agency head must not permit any intrusion on the investigations

and deliberations of EEO complaints by agency representatives and offices responsible for 

defending the agency against EEO complaints. Maintaining distance between the fact-finding 

and defensive functions of the agency enhances the credibility of the EEO office and the 

integrity of the EEO complaint process. A functional unit that is separate and apart from the unit 

which handles agency representation in EEO complaints must handle legal sufficiency reviews 

of EEO matters. The EEOC requires this separation because impartiality and the appearance of 

impartiality are important to the credibility of the equal employment program. 

B. The Associate Administrator is responsible for providing leadership and a 

personal commitment to support and enforce the Federal EEO laws, regulations, policies and 

directives. This includes assuring that all managers and supervisors are provided guidance and 

training concerning their roles and responsibilities to the Civil Rights Program. Senior 

management officials should be evaluated based on their performance in implementing the EEO 

performance standard. The Associate Administrator may recommend management officials for 

EEO Awards for outstanding accomplishments in implementing affirmative employment goals. 

The Associate Administrator may review and approve proposed settlements to resolve EEO 

complaints at both the counseling and the formal complaint stages. 

C. The Deputy Administrators are responsible for exercising individual leadership 

and a personal commitment to the Federal EEO laws, regulations, policies and directives. They 

are to actively provide equal employment opportunity in every aspect of employment. This 

includes the prevention of discriminatory practices within their organizational units. Deputy 

Administrators must cooperate with and assist EEO Counselor(s) in constructing equitable 

resolutions of EEO charges, cooperate in the investigation of EEO complaints, and ensure that 

required EEO information is prominently posted on bulletin boards in offices and facilities where 

AMS employees work. Deputy Administrators must ensure that Equal Opportunity and Civil 

Rights goals are incorporated into the performance standards of all AMS supervisory and 

non-supervisory employees. 

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D. Managers and supervisors are responsible for exercising individual leadership and 

a personal commitment to comply with Federal EEO laws, regulations, policies and directives. 

They are to actively provide equal employment opportunity and affirmative employment 

programs (AEP) for minorities, women, and persons with disabilities within their programs. 

This includes assisting in the elimination of barriers and discriminatory practices, cooperating 

with and assisting EEO Counselors in constructing equitable resolutions of EEO claims, and 

cooperating in the investigation of EEO complaints. Managers and supervisors are required to 

implement AEP objectives within their organizational units and are evaluated annually on their 

EEO performance. 

E. The Director of the Civil Rights Program.

1. The Director exercises positive, personal leadership and holds all 

executives, managers and supervisors accountable for carrying out all Federal EEO laws, 

regulations, policies and directives. This includes the establishment and accomplishment of

Affirmative Employment Program Plan objectives designed to ensure a culturally diverse work 

force that is representative of the public that we serve. The Director exhibits full commitment to 

fostering an environment that is designed to promote equal employment opportunity in every 

aspect of AMS personnel policy and practice in the employment, development, advancement, 

and treatment of employees. 

2. The Director is responsible for administering the AMS Civil Rights 

Program, including the Federal complaint processing system, in accordance with 29 CFR Part 

1614 and EEOC Management Directive 110. The Director will have independent authority to 

provide for the EEO counseling of individual and class complaints of discrimination processed 

under the regulations of USDA and Title VII of the Civil Rights Act of 1964, as amended. The 

Director will ensure that fact-finding is fairly and thoroughly conducted and that procedures are 

completed in a timely manner. This includes ensuring that all organizational entities participate 

in eliminating barriers to EEO impartially and informally at the lowest organizational level. The 

Director is responsible for advising management officials on matters pertaining to Federal EEO 

policy and program requirements. 

F. The Deputy Director of the Civil Rights Program is responsible for ensuring that 

civil rights policies and procedures of the Agency are implemented. In the absence of the 

Director, the Deputy Director performs the duties of the Director. The Deputy Director will 

advise the Director and officials on matters pertaining to Federal EEO policy and program

requirements. 

VI. SPECIAL EMPHASIS AND AFFIRMATIVE EMPLOYMENT PROGRAM 

Special Emphasis Programs will be integrated into the overall EEO program covering, at a 

minimum, the six Special Emphasis Programs under Departmental Regulation 4230-2. These 

include: African American Employment Program, American Indian/Alaskan Native Program, 

Asian American/Pacific Islander Program, Disability Employment Program, Federal Women's 

Program, and Hispanic Employment Program. 

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VII. PROCESSING INDIVIDUAL COMPLAINTS OF DISCRIMINATION

EEO regulations, laws and statutes provide for the prompt, fair and impartial review of 

complaints of discrimination through precomplaint counseling and formal complaint processing 

for employees and applicants for employment with AMS (Executive Order 11478, Public Law 

92-261, 29 CFR 1614). See Attachment 1 to this Directive for a complete description of the 

EEO complaint process.

VIII. REPRESENTATION AND OFFICIAL TIME

A. At any stage in the processing of a complaint, including the counseling stage, the 

complainant has the right to be accompanied, represented and advised by a representative of 

his/her choice. 

B. EEO Counselors, EEO staff, and Human Resources officials have vital roles in 

the resolution of discrimination complaints. To operate effectively, they must have the 

confidence of both management and employees. Therefore, these officials cannot serve as 

representatives for management or a complainant in connection with the processing of 

discrimination complaints. 

C. If the complainant is an employee of AMS, he/she will have a reasonable amount 

of official time, if on duty status, to prepare the complaint and to respond to requests for 

information from AMS, the Civil Rights Program, and the EEOC. "Reasonable" is defined as 

whatever is appropriate, under the particular circumstances of the complaint, in order to allow a 

complete presentation of the relevant information associated with the complaint and to respond 

to agency requests for information. When an agreement on reasonable time cannot be 

determined, the matter can be brought to the attention of the Civil Rights Director. 

D. If the complainant is an employee of AMS and he/she designates another 

employee of AMS to serve as his/her representative, the representative will have a reasonable 

amount of official time, if on duty status, to prepare the complaint and respond to requests for 

information. Employees serving as representatives must obtain approval from their supervisor 

prior to using official time. The complainant and representative, if employed by AMS, will have 

official time, regardless of the tour of duty, when their presence is authorized or required during 

the investigation, informal resolution attempt, or hearing on the complaint. 

IX. ATTORNEY FEES 

A. Reasonable attorney's fees and costs may be provided to a complainant as part of 

a settlement or a finding in a complaint of discrimination. Attorney's fees are allowable only for 

the services of: 

 1. Members of the Bar; 

2. Law clerks and paralegals; and 

3. Law students under the supervision of members of the Bar. 

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B. AMS will not pay attorney's fees before the filing of a formal complaint and 

before the complainant has notified CRP (in writing) that he/she is represented by an attorney. 

Preparation of a formal complaint is considered part of the formal process; therefore, attorney 

fees may be allowable. 

X. FILING AND PRESENTATION OF FORMAL COMPLAINTS

The complainant has the right to file a formal complaint of discrimination within 15 calendar 

days of receipt of the Notice of Right to File. The complaint must be written and signed by the 

complainant or that person's attorney/representative. The written complaint must describe the 

action or practice that forms the basis of the complaint. Formal complaints are submitted to: 

USDA, Office of Civil Rights 

Chief, Employment Complaints Division 

Mail Stop Code 9440 

1400 Independence Avenue, SW

Washington, DC 20250 

XI. EEO ALTERNATIVE DISPUTE RESOLUTION PROGRAM 

In accordance with the AMS Administrator's Policy Statement regarding Alternative Dispute 

Resolution (ADR) and 29 CFR 1614.102 (b) (2), AMS will establish and maintain an ADR 

program that addresses, at a minimum, EEO matters at the pre-complaint and informal complaint 

stages of the EEO process. This is a non-adversarial process that does not render a judgment 

with respect to the dispute. With the assistance of an impartial and neutral third party, ADR 

offers parties involved, the opportunity to reach an informal resolution of EEO matters in a 

mutually satisfactory fashion. 

In appropriate cases, the EEO ADR process is made available to an aggrieved person during the 

pre-complaint and the informal complaint processing periods. Participation in the program by 

the aggrieved person is voluntary. However, managers and supervisors must cooperate in the 

ADR process once the aggrieved person has requested to participate and CRP has determined 

that the matter is appropriate for ADR. Participation in the EEO ADR Program at the formal 

complaint stage of the EEO process will be determined on a case-by-case basis by the Director of

CRP and will not affect the processing of the formal complaint, including the investigation. 

If ADR is elected at the pre-complaint level, the counseling period is automatically extended to 

90 days and the complainant's right to remain anonymous is automatically waived. Election of 

ADR does not require a person to waive his or her right to an EEO investigation or a hearing, or 

to appeal the final agency decision to the EEOC. Participants unable to reach a settlement 

agreement will be informed of their rights and continue through the EEO process. 

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8

XII. QUESTIONS 

If you have any questions concerning the precomplaint, informal complaint, or formal 

complaint process, contact the AMS Civil Rights Program. 

/s/ 

A. J. Yates 

Administrator 

 

Attachment