U.S. Department of 

Homeland Security 

United States 

Coast Guard 

U.S. Coast Guard Civil Rights 

Manual 

COMDTINST M5350.4E 

21 October 2020 

 

 

 

 

 

 

Department of 

Homeland Security 

United States 

Coast Guard 

Commandant 

United States Coast Guard 

US Coast Guard Stop 7000 

2703 Martin Luther King Jr Ave SE 

Washington, DC 20593-7000 

Staff Symbol: CG-00H 

Phone: 202-372-4500 

COMDTINST M5350.4E 

21 OCT 2020 

COMMANDANT INSTRUCTION M5350.4E 

Subj: U.S. COAST GUARD CIVIL RIGHTS MANUAL 

1. PURPOSE. This Manual sets forth policy and guidance for Coast Guard Military Equal

Opportunity (EO) and Civilian Equal Employment Opportunity (EEO) programs. It

outlines responsibilities and procedures aimed at equipping Coast Guard members with

access to expert assistance on EEO/EO matters, and provides tools that will assist unit

leaders in building a model EEO workplace. The model EEO program prescribed by the

U.S. Equal Employment Opportunity Commission (EEOC) and this policy ensures that

all employees and applicants for employment enjoy equality of opportunity in the

workplace regardless of race, color, national origin, religion, sex (including gender

identity, sexual orientation, and pregnancy), age, disability, genetic information, marital

status, parental status, political affiliation, reprisal or retaliation for participation in prior

EEO/EO activity, and any other basis protected by the law. To the extent possible, it is

the policy of the Coast Guard to extend to military members the same processes and

procedures afforded to the civilian workforce by law.

2. ACTION. All Coast Guard Unit Commanders, Commanding Officers/Officers in

Charge, Deputy/Assistant Commandants, Chief Counsel, and Chiefs of Headquarters

Staff Elements must comply with the provisions of this Manual. Internet release is

authorized.

3. DIRECTIVES AFFECTED. The Coast Guard Civil Rights Manual, COMDTINST

M5350.4D, is hereby cancelled.

4. DISCLAIMER. This Manual is not a substitute for applicable legal requirements, nor is

it a rule itself. It is intended to provide operational guidance for Coast Guard personnel

and is not intended to, nor does it impose legally binding requirements on any party

outside the Coast Guard. This Manual does not apply to Auxiliarists. If any provisions

of this Manual conflict with other policy, the following order of precedence applies,

generally, to work rules for all federal employees: Federal Laws, Executive Orders,

Government-wide Regulations, and Collective Bargaining Agreements.

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COMDTINST M5350.4E 

5. SIGNIFICANT CHANGES. This manual replaces the previous Civil Rights Manual

COMDTINST M5350.4D. Changes in this Manual provides clarification, edits and

adjustments to the following chapters:

a. Anti-Harassment and Hate Incident (AHHI) reporting requirement added to include:

(1) Updated to require convening orders (CO) include specific information.

(2) Requirement for investigators to note new/additional allegations in report.

(3) Prohibited use of Command Climate Surveys in response to an AHHI allegation.

(4) Updated to ensure investigators are not from same unit where allegation arose,

and no professional/personal connections with parties associated with the

investigation.

(5) Guidance for adjudicating complaints.

(6) Updated to require legal review/clearance of Investigative Report (IR).

(7) Updated policy so those associated with allegations have no role in investigation

of complaint.

(8) Updated guidance to ensure parties respect confidentiality of complaint.

(9) Set reasonable timelines for completion of investigations.

(10) Added an opportunity for complainants to raise concerns involving process with

Chain of Command.

(11) Updated policy to require reasons for disciplinary decisions be documented,

including decisions not to take disciplinary action.

b. Updates to reasonable accommodations procedures, and the new regulated

requirements to provide personal assistance services for qualified persons with

disabilities.

c. Coast Guard’s Language Access and Federal Financial Assistance programs.

6. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.

a. The development of this Instruction and the general policies contained within it have 

been thoroughly reviewed by the originating office in conjunction with the Office of

Environmental Management, Commandant (CG-47). This Instruction is categorically 

excluded under current Department of Homeland Security (DHS) categorical exclusion 

DHS (CATEX) A3 from further environmental analysis in accordance with the U.S. 

Coast Guard Environmental Planning Policy, COMDINST 5090.1 and the 

Environmental Planning (EP) Implementing Procedures (IP).

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COMDTINST M5350.4E 

b. This Instruction will not have any of the following: significant cumulative impacts 

on the human environment; substantial controversy or substantial change to existing 

environmental conditions; or inconsistencies with any Federal, State, or local laws or 

administrative determinations relating to the environment. All future specific actions 

resulting from the general policy in this Instruction must be individually evaluated for 

compliance with the National Environmental Policy Act (NEPA) and Environmental Effects 

Abroad of Major Federal Actions, Executive Order 12114, Department of Homeland Security

(DHS) NEPA policy, Coast Guard Environmental Planning policy and compliance with all 

other applicable environmental mandates.

7. DISTRIBUTION. No paper distribution will be made of this Manual. An electronic

version will be located on the following Directives and Publications Division (CG-612)

web sites. Internet: http://www.dcms.uscg.mil/directives/, and CGPortal:

https://cgportal2.uscg.mil/library/directives/SitePages/Home.aspx

https://www.uscg.mil/Resources/Civil-Rights/.

8. RECORDS MANAGEMENT CONSIDERATIONS. This Manual was evaluated for

potential records management impacts. The development of this Manual was thoroughly

reviewed during the Directives clearance process, and it was determined there are no

further records scheduling requirements, in accordance with Federal Records Act, 44

U.S.C. 3101 et seq., National Archives and Records Administration (NARA)

requirements, and the Information and Life Cycle Management Manual, COMDTINST

M5212.12 (series). This Manual does not have any significant or substantial change to

existing records management requirements.

9. FORMS/REPORTS. The forms referenced in this Manual are available in USCG

Electronic Forms on the standard workstation or on the Internet:

https://www.dcms.uscg.mil/forms/ and CGPortal at:

https://cg.portal.uscg.mil/library/forms/SitePages/Forms.aspx

10. REQUEST FOR CHANGES. Units and individuals can recommend changes by email

via their chain of command to Commandant (CG-00H),

ATTN: Chief, Compliance and Procedures Division (CG-00H-11), U.S. Coast Guard

2703 Martin Luther King Jr. Ave. SE, Stop 7000, Washington, D.C. 20593-7000.

/DR. TERRI A. DICKERSON/ 

Director, Civil Rights Directorate 

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COMDTINST M5350.4E 

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COMDTINST M5350.4E 

TABLE OF CONTENTS 

TABLE OF CONTENTS .............................................................................................................. i 

TABLE OF FIGURES................................................................................................................. vi 

LIST OF TABLES ....................................................................................................................... vi 

CHAPTER 1 INTRODUCTION TO THE COAST GUARD CIVIL RIGHTS 

MANUAL ........................................................................................................ 1-1 

A. Introduction....................................................................................................................

B. Coast Guard’s Civil Rights Mission ..............................................................................

C. Goals of the Civil Rights Directorate.............................................................................

D. How Success is Achieved ..............................................................................................

E. About the Coast Guard Civil Rights Manual.................................................................

F. Updating the Manual......................................................................................................

...............1-1 

...............1-1 

...............1-1 

...............1-1 

...............1-2 

...............1-2 

CHAPTER 2 THE COAST GUARD’S CIVIL RIGHTS DIRECTORATE: 

AUTHORITIES, MISSION AND ORGANIZATION................................ 2-1 

A. Legal Authority for Civil Rights Policies.....................................................................................2-1 

1. Introduction .....................................................................................................................................................2-1 

2. Commanding Officers/Officers in Charge (CO/OIC)......................................................................................2-1 

3. Civil Rights......................................................................................................................................................2-1 

4. Civil Rights in Federal Programs, Activities, Services, and Facilities ............................................................2-7 

B. The Coast Guard Civil Rights Directorate (CRD) Vision, Mission, and Goals .............................2-9 

1. Vision 2-10 

2. Mission 2-10 

3. Goals 2-10 

C. Civil Rights Directorate Personnel: Organization and Responsibility..........................................2-12 

1. Policy and Oversight ................................................................................................................................2-12 

2. Civil Rights Directorate Organization ......................................................................................................2-12 

CHAPTER 3 CIVIL RIGHTS POLICIES: AFFIRMATIVE OBLIGATIONS AND 

PROHIBITED PRACTICES......................................................................... 3-1 

A. Civil Rights Policies .....................................................................................................................3-1 

1. Introduction. ...............................................................................................................................................3-1 

2. Bases of Discrimination..............................................................................................................................3-1 

3. Non-Statutory Protections. All claims of discrimination on the bases delineated above, can be raised 

with a Civil Rights Service Provider (CRSP). Civilian employees may also file marital status and 

political affiliation complaints directly with the Office of Special Counsel at www.osc.gov. ...................3-2 

B. Affirmative Obligations................................................................................................................3-2 

1. Affirmative Programs of Equal Employment Opportunity Policy. ..........................................................3-2 

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COMDTINST M5350.4E 

2. Special Emphasis Programs.............................................................................................................................3-4 

3. Mandated Special Emphasis Programs............................................................................................................3-5 

4. Optional Special Emphasis Programs..............................................................................................................3-5 

C. Anti-Harassment Policy................................................................................................................3-6 

1. Acts of Retaliation......................................................................................................................................3-7 

D. Defining Unlawful Harassment and Prohibited Harassment ........................................................3-7 

1. AHHI Complaint Procedures...............................................................................................................3-8 

2. Procedures Overview.......................................................................................................................3-9 

F. Hate Incidents and CO/OIC Responsibilities..............................................................................3-14 

G. Notification and Processing for Potential and Actual Hate Incidents:........................................3-16 

H. Harassment Prevention ...............................................................................................................3-18 

I. Sexual Harassment Prevention Policy. .......................................................................................3-19 

1. Policy.....................................................................................................................................................3-19 

2. Legal Background.. .......................................................................................................................................3-20 

3. Definition of Sexual Harassment...................................................................................................................3-20 

4. Types of Sexually Harassing Behavior..........................................................................................................3-20 

5. Sexual Offenses.............................................................................................................................................3-21 

6. Commandant Mandate...................................................................................................................................3-21 

7. Responding to Sexual Harassment. ...............................................................................................................3-21 

8. Documenting Sexual Harassment..................................................................................................................3-21 

9. Reporting Sexual Harassment .......................................................................................................................3-22 

10. Responsibilities of the CO/OIC, Managers, and Supervisors......................................................................3-22 

11. Knowledge and Recording ..........................................................................................................................3-22 

J. Whistleblower Protection............................................................................................................3-22 

CHAPTER 4 PROGRAMS IMPLEMENTING AFFIRMATIVE EQUAL 

EMPLOYMENT OPPORTUNITY OBLIGATIONS................................. 4-1 

A. Affirmative Programs ...................................................................................................................4-1 

1. Introduction. ...............................................................................................................................................4-1 

2. Affirmative Programs of Equal Employment Opportunity and Equal Opportunity. ..................................4-1 

3. Special Emphasis Programs (SEPs)............................................................................................................4-5 

4. Partnership in Education Program..............................................................................................................4-9 

5. Civil Rights Awards Programs. ................................................................................................................4-13 

6. Civil Rights Command Checklist .............................................................................................................4-13 

7. Department of Defense (DOD) Defense Organizational Climate Survey. ...............................................4-14 

8. Equal Opportunity (EO) Review/Assessment ..........................................................................................4-16 

B. Civil Rights Training. .................................................................................................................4-17 

1. Civil Rights Awareness Training..............................................................................................................4-17 

2. Sexual Harassment Prevention (SHP) Training........................................................................................4-17 

3. Civil Rights Training for Non-Managers .................................................................................................4-18 

4. Civil Rights Training for Supervisors and Managers ...............................................................................4-19 

5. Civil Rights Service Provider and Special Emphasis Program Manager Training...................................4-20 

CHAPTER 5 PROGRAMS ADDRESSING PROHIBITED DISCRIMINATION......... 5-1 

A. The Equal Employment Opportunity/Equal Opportunity Complaint Process..............................5-1 

1. Introduction .....................................................................................................................................................5-1 

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COMDTINST M5350.4E 

2. Preliminary Steps.............................................................................................................................................5-1 

B. The Pre-Complaint Process...........................................................................................................5-1 

1. Initial Interview ...............................................................................................................................................5-1 

2. Confidentiality.................................................................................................................................................5-1 

3. Conflicts of Interest .........................................................................................................................................5-2 

4. The CRSP EEO/EO Counselor’s Report.........................................................................................................5-2 

5. Roles and Responsibilities in the Pre-Complaint Process ...............................................................................5-2 

C. The Formal Discrimination Complaint Process............................................................................5-4 

1. Phases 5-4 

2. Administrative Responsibility of the Civil Rights Directorate........................................................................5-4 

3. Administrative Responsibility of DHS CRCL.................................................................................................5-4 

4. Privacy 5-5 

5. Alternative Processes and Procedures to Address Complaints........................................................................5-5 

6. Amendment/Consolidation of Complaint........................................................................................................5-5 

7. Class Certification ...........................................................................................................................................5-6 

8. Administrative Closure Due to Settlement or Withdrawing a Complaint .......................................................5-6 

D. Filing a Formal Complaint............................................................................................................5-6 

1. Roles and Responsibilities...............................................................................................................................5-6 

2. Required Elements of a Complaint..................................................................................................................5-7 

3. Where and When to File..................................................................................................................................5-7 

4. Acknowledgement Letter Requirements .........................................................................................................5-8 

5. Acceptance Letter............................................................................................................................................5-8 

6. Dismissal Letter Requirements........................................................................................................................5-8 

7. Review of Military Complaint Dismissals ......................................................................................................5-9 

8. Review of Civilian Complaint Dismissals.....................................................................................................5-10 

9. Formal Investigation and Post-Investigation Procedures ..............................................................................5-10 

10. Investigation Roles and Responsibilities .....................................................................................................5-11 

11. Timeline for ROI Transmittal......................................................................................................................5-11 

12. Military Post-Investigation Roles and Responsibilities...............................................................................5-12 

13. The Civilian Post Investigation Roles and Responsibilities ........................................................................5-12 

14. Reconsideration of Final Agency Decision for Military Complaints ..........................................................5-13 

15. Appellate Review of Final Agency Decision for Civilian Complainant......................................................5-13 

16. Contents of Final Order ...............................................................................................................................5-13 

17. Appellate Review of AJ Decisions and Departmental Final Orders............................................................5-13 

18. Distribution of DHS CRCL and EEOC Decisions ......................................................................................5-13 

19. Enforcing Compliance with Final Orders and Decisions ............................................................................5-14 

20. Complaint Procedures .................................................................................................................................5-14 

E. Alternative Dispute Resolution (ADR).......................................................................................5-16 

1. Definition of ADR.........................................................................................................................................5-16 

2. The ADR Request – Formal Complaint ........................................................................................................5-16 

3. Remedies Available Through ADR...............................................................................................................5-17 

4. Resolution and Settlement Options ...............................................................................................................5-17 

5. Remedies Available to Military Members.....................................................................................................5-17 

6. Remedies Available to Civilian Employees and Applicants for Employment ..............................................5-18 

7. Confidentiality...............................................................................................................................................5-18 

8. Exceptions to ADR Confidentiality...............................................................................................................5-18 

9. Stages of the ADR Process............................................................................................................................5-19 

10. Request and Preparation Phases: Roles and Responsibilities ......................................................................5-19 

11. Civil Rights Service Providers: ...................................................................................................................5-19 

12. Legal and Personnel Consultation and Authorization .................................................................................5-20 

13. The ADR Suitability Factors .......................................................................................................................5-21 

14. Essential Elements of Settlement Agreements. ...........................................................................................5-21 

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COMDTINST M5350.4E 

15. Legal and Personnel Review of Resolution Terms......................................................................................5-22 

16. Post-ADR Roles and Responsibilities .........................................................................................................5-22 

17. Allegations of Breach of Resolution Agreement and Remedies..................................................................5-23 

18. The ADR Process Flowchart .......................................................................................................................5-23 

CHAPTER 6 REASONABLE ACCOMMODATION AND PERSONAL ASSISTANCE 

SERVICES FOR QUALIFIED PERSONS WITH DISABILITIES ......... 6-1 

A. Introduction...................................................................................................................................6-1 

B. Reasonable Accommodation Policy. ............................................................................................6-1 

1. Definition 6-1 

2. Legal Authority and Application of Policies ...................................................................................................6-1 

3. Reasonable Accommodation Policies Applicable to Civilian Members .........................................................6-1 

4. Coast Guard Programs for Persons with Disabilities.......................................................................................6-1 

C. Roles and Responsibilities............................................................................................................6-2 

1. Specific Administrative Responsibilities.........................................................................................................6-2 

2. Form Availability ............................................................................................................................................6-5 

3. Resources 6-5 

D. Processing Reasonable Accommodation Requests.......................................................................6-5 

1. Requests for Reasonable Accommodation ......................................................................................................6-5 

2. Acknowledging Requests for Record Keeping Purposes. ...............................................................................6-6 

3. Determining Who Will Process the Request. ..................................................................................................6-7 

4. The Interactive Process....................................................................................................................................6-7 

5. Request for Medical Documentation. ..............................................................................................................6-9 

6. Confidentiality Requirements Regarding Medical Documentation Obtained in the Reasonable 

Accommodation Process. .........................................................................................................................6-11 

7. Time Frame for Processing Requests and Providing Reasonable Accommodation. .....................................6-12 

8. Granting of a Reasonable Accommodation Request. ....................................................................................6-14 

9. Denial of a Reasonable Accommodation Request.........................................................................................6-15 

10. Appeals to the PWDP Manager...................................................................................................................6-16 

11. Information Tracking and Reporting. ..........................................................................................................6-16 

E. Accessibility and Inquiries..........................................................................................................6-17 

1. Accessibility of Reasonable Accommodation Procedures. These procedures are available for applicants 

for employment and employees in written and accessible formats. Requests may be made with the 

individual’s applicable Decision Maker. ..................................................................................................6-17 

2. Inquiries. An employee seeking further information concerning these procedures, the final decision 

regarding his/her reasonable accommodation request, or the status of his/her reasonable 

accommodation request, may contact the PWDP Manager at CivilRightsRA@uscg.mil........................6-17 

F. Reasonable Accommodation Definitions....................................................................................6-18 

1. Accessible6-18 

2. Appeal Process ..............................................................................................................................................6-18 

3. Decision Maker .............................................................................................................................................6-18 

4. Denial 6-18 

5. Disability 6-18 

6. Essential Functions........................................................................................................................................6-18 

7. Extenuating Circumstances ...........................................................................................................................6-18 

8. Genetic Information.......................................................................................................................................6-18 

9. Granted 6-19 

10. Individual with a Disability .........................................................................................................................6-19 

11. Interactive Process.......................................................................................................................................6-19 

12. Major Life Activities ...................................................................................................................................6-19 

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COMDTINST M5350.4E 

13. Personal Assistance Services.......................................................................................................................6-19 

14. Physical or Mental Impairment ...................................................................................................................6-19 

15. Qualified Individual with a Disability .........................................................................................................6-19 

16. Reasonable Accommodation .......................................................................................................................6-20 

17. Reassignment...............................................................................................................................................6-20 

18. Regarded as Having Impairment .................................................................................................................6-20 

19. Targeted Disability ......................................................................................................................................6-20 

20. Undue Hardship...........................................................................................................................................6-21 

G. Personal Assistance Services (PAS). ..........................................................................................6-21 

1. Legal Requirement ........................................................................................................................................6-21 

2. Personal Assistance Services for Daily Living..............................................................................................6-21 

3. PAS Do Not Include Assistance with Job Functions.....................................................................................6-22 

4. Eligibility 6-22 

5. PAS Request Process.....................................................................................................................................6-22 

6. Denial of Personal Assistance Services.........................................................................................................6-23 

7. Confidentiality...............................................................................................................................................6-23 

8. Information Tracking and Reporting.............................................................................................................6-23 

CHAPTER 7 SOCIAL CLIMATE INCIDENTS................................................................ 7-1 

A. About Social Climate Incidents. ...................................................................................................7-1 

1. Definition and Impact......................................................................................................................................7-1 

2. Addressing Social Climate Incidents...............................................................................................................7-1 

3. Roles and Responsibilities...............................................................................................................................7-1 

B. Social Climate Review Process. ...................................................................................................7-3 

1. Guidance and Procedures for Processing Reports ...........................................................................................7-4 

2. Declaring Off-Limits Establishments and Areas .............................................................................................7-4 

3. Repeat Incidents ..............................................................................................................................................7-5 

C. Community Resources..................................................................................................................7-5 

1. Department of Justice, Community Relations Service ....................................................................................7-5 

2. The U.S. Department of Housing and Urban Development (HUD) Regional Office of Fair Housing and 

Equal Opportunity. .....................................................................................................................................7-6 

3. Legal Counsel..................................................................................................................................................7-6 

CHAPTER 8 EXTERNAL PROGRAMS............................................................................ 8-1 

A. Introduction...................................................................................................................................8-1 

1. LEP Persons ....................................................................................................................................................8-1 

2. Federal Financial Assistance - Grants .............................................................................................................8-1 

B. Environmental Justice...................................................................................................................8-3 

1. Responsibilities ...............................................................................................................................................8-3 

2. Reporting 8-4 

Appendix A: Terminology.............................................................................................................1 

Appendix B: The Civil Rights Organization ...............................................................................1 

Appendix C: The Civil Rights Directorate Regions and Zones Areas of Responsibility ........1 

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COMDTINST M5350.4E 

Appendix D: List of USCG Special Emphasis Programs.......................................................8-E 

Appendix E: List of USCG Cultural Observances/Awareness Events ................................ 8-A 

Appendix F: List of USCG Civil Rights Awards ........................................................................1 

Appendix G: Command Checklist ...............................................................................................1 

Appendix H: DHS Civil Rights Tool Review Process.................................................................1 

Appendix I: USCG Acknowledgement of a Report of Potential Harassment..........................2 

Appendix J: USCG Findings and Outcome of Report of Harassment .....................................5 

Appendix K: USCG Potential Hate Incident - 48 Hour Report ................................................8 

TABLE OF FIGURES 

Figure 3-1: Coast Guard Anti- Harassment and Hate Procedure Process .....................Error! Bookmark not defined. 

Figure 5-1: U.S. Coast Guard Complaint Procedures.......................................................................................... 5-15 

Figure 5-2: Alternative Dispute Resolution (ADR) ............................................................................................. 5-24 

LIST OF TABLES 

Table 6-1: Personal Assistance Service v. Typical Reasonable Accommodations...............................................6-22 

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CHAPTER 1 INTRODUCTION TO THE COAST GUARD CIVIL RIGHTS 

MANUAL 

A. Introduction. The Coast Guard mandates that all personnel of the Coast Guard (active duty 

reserve military, and civilian, including Non-Appropriated Fund employees), be treated fairly 

and with respect. Everyone should be provided the opportunity to work and achieve their full 

potential, thereby enhancing unit cohesiveness, military readiness, and mission 

accomplishment. Any form of discrimination that violates law or policy in any action 

affecting a person, those seeking employment with, or those receiving benefits from the 

Coast Guard or its sponsored programs, is prohibited. 

B. Coast Guard’s Civil Rights Mission. The Coast Guard’s Civil Rights Mission is to 

proactively pursue a workforce that reflects the national labor force and a workplace climate 

that fully embraces the Core Values of Honor, Respect, and Devotion to Duty. This purpose 

also reinforces the Service’s goal of becoming a national employer of choice, attracting 

highly qualified applicants for employment from a diverse talent pool. The Coast Guard 

must ensure this by vigorously preventing discrimination and promoting equal opportunity. 

Its mandate is to implement programs and policies consistent with federal anti-discrimination 

laws, regulations, and policies. These include: 

1. Preventing discrimination in employment for employees and applicants for employment 

through training, Alternative Dispute Resolution (ADR), and the use of climate surveys. 

2. Promoting the full realization of equal employment opportunity through the continuing of 

Affirmative Employment Programs (AEP), Special Emphasis Programs (SEPs) and 

Community Outreach. 

3. Preventing discrimination in grants and contracts. 

C. Goals of the Civil Rights Directorate. The Civil Rights Directorate carries out its mission 

and goals through regulations and program policies to ensure commands: 

1. Build a workplace climate and organizational culture that values diversity and enables 

personal growth and achievement. 

2. Support a workplace environment free from discrimination and harassment. 

3. Establish and implement procedures for resolving, investigating, and adjudicating 

workplace disputes. 

4. Meet the needs of the public by allocating grants based upon a proposal’s merit with 

regard to its potential contributions to Coast Guard missions, its public policy objectives, 

and providing input on assurances that Coast Guard facilities do not adversely impact the 

environment in minority and low-income communities. 

D. How Success is Achieved. Equal Employment Opportunity/Equal Opportunity (EEO/EO) 

success is achieved through visible leadership commitment; program implementation within 

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COMDTINST M5350.4E 

the chain of command; clear articulation of, and adherence to, program standards; and 

personal accountability. Success requires a personal commitment to the principles of civil 

rights and equal opportunity and requires that personnel act purposefully and proactively to 

put this commitment into action. 

E. About the Coast Guard Civil Rights Manual. This Manual provides users guidance for 

applying and complying with all requirements. The information contained in this Manual 

describes the effort, including the mission, organization, legal authorities, policies, 

regulations, and procedures for implementing its mission and its policies. 

F. Updating the Manual. This Manual will be updated on a regular basis per Coast Guard 

Directives System, COMDTINST M5215.6 (series), or as new policies, laws, or regulations 

that affect the Coast Guard Civil Rights mission are issued. 

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COMDTINST M5350.4E 

CHAPTER 2 THE COAST GUARD’S CIVIL RIGHTS DIRECTORATE: 

AUTHORITIES, MISSION AND ORGANIZATION 

A. Legal Authority for Civil Rights Policies. 

1. Introduction. The Coast Guard civil rights policies are derived from laws, regulations, 

Executive Orders, and Commandant Instructions applicable to civilians, applicants for 

employment, and military members including reservists. While legal authorities are the 

underpinning for the Coast Guard civil rights policies, it should be noted that equal 

opportunity for military personnel is primarily driven by military policies and regulations. 

Nevertheless, to the extent possible, policies herein afford military members the same 

rights as those for civilian members. This Manual does not apply to employees of 

contractors or Auxiliarists. The policy for Auxiliarists can be found in the Auxiliary 

Manual, COMDTINST M16790.1 (series). 

2. Commanding Officers/Officers in Charge (CO/OIC). This Manual calls attention to the 

roles and responsibilities of COs/OICs. For purposes of this Manual, the term COs/OICs 

refers to: unit commanders, commanding officers, officers in charge, deputy/assistant 

commandants, chiefs of headquarters staff elements, supervisors and managers (military 

and civilian). 

3. Civil Rights. The applicable authorities are provided below: 

a. Laws. 

(1) Section 1981 of the Civil Rights Act of 1866, 42 U.S.C. § 1981, as amended, 

prohibits race discrimination in the formation of contracts, and also prohibits 

discrimination in all aspects of the contractual relationships between parties, 

including in employment. 

(2) Veterans’ Preference Act of 1944, as amended, Pub. L. No. 93-508, 88 Stat. 1578 

(codified in various sections of Title 38 of the U.S. Code), requires preference in 

appointments to federal jobs, and in retention during reductions in force, for 

veterans who are disabled or who served on active duty in the Armed Forces 

during specified time periods or in military campaigns. 

(3) The Equal Pay Act of 1963 (EPA), as amended, 29 U.S.C. § 206, prohibits sex 

discrimination in wages, giving men and women the right to earn equal pay for 

performing substantially the same work. 

(4) Title VII of the Civil Rights Act of 1964 (Title VII), 42 U.S.C. § 2000e et seq., as 

amended, prohibits employment discrimination on the basis of race, religion, sex, 

color, or national origin. Title VII’s prohibition against sex discrimination in 

employment includes sexual harassment, gender identity, sexual orientation, and 

pregnancy. This law also makes it illegal to retaliate against an individual for 

opposing discriminatory practices, or for having made a charge, testified, assisted, 

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COMDTINST M5350.4E 

or participated in any manner in an investigation, proceeding, or hearing under 

this Act. 

(5) The Age Discrimination in Employment Act of 1967 (ADEA), as amended, 29 

U.S.C. § 621 et seq., protects people age 40 or older from discrimination on the 

basis of age in any aspect of employment. This law also makes it illegal to 

retaliate against an individual for opposing discriminatory practices, or for having 

made a charge, testified, assisted, or participated in any manner in an 

investigation, proceeding, or hearing under this Act. 

(6) Section 501 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 791, 

prohibits federal employers from engaging in employment discrimination against 

individuals with physical or mental impairments that substantially limit one or 

more major life activities. The law requires employers to reasonably 

accommodate qualified employees and applicants with disabilities, unless to do 

so would cause undue hardship. This Act also requires all federal agencies to 

have affirmative employment plans to hire, place, and advance individuals with 

disabilities, including individuals with targeted disabilities, as well as provide 

personal assistance services (PAS) to employees who, because of targeted 

disabilities, require such assistance in order to be at work or participate in workrelated travel. Additionally, the law makes it illegal to retaliate against an 

individual for opposing discriminatory practices, or for having made a charge, 

testified, assisted, or participated in any manner in an investigation, proceeding, 

or hearing under this Act. 

(7) Section 505 of the Rehabilitation Act of 1973, 29 U.S.C. § 791, makes available 

to any employee or applicant, all the remedies, procedures, and rights set forth in 

Section 717 of the Civil Rights Act of 1964, with respect to any complaint under 

Section 501 and Section 504, of the Rehabilitation Act of 1973, as amended. 

(8) Section 402 of the Vietnam Era Veterans’ Readjustment Assistance Act of 1974 

(VEVRAA), 38 U.S.C. § 4211-4212, as amended, requires affirmative action to 

employ and advance in employment qualified special disabled veterans and 

veterans of the Vietnam era and prohibits discrimination based on Vietnam era 

veteran status or special disabled veteran status in federally assisted programs. 

(9) The Pregnancy Discrimination Act of 1978, 42 U.S.C. § 2000e et seq., makes 

clear that Title VII’s prohibition of sex discrimination includes discrimination 

based on pregnancy, childbirth, or related medical conditions. This law also 

makes it illegal to retaliate against an individual for opposing discriminatory 

practices, or for having made a charge, testified, assisted, or participated in any 

manner in an investigation, proceeding, or hearing under this Act. 

(10) The Civil Service Reform Act of 1978, Pub. L. No. 95-454, 92 Stat. 1111 

(codified as amended in various sections of 5 U.S.C.), enumerates the principles 

of the merit system in the Federal workforce; requires federal employers to recruit 

and employ a labor force as diverse as the nation’s available workforce; and 

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COMDTINST M5350.4E 

prohibits the taking of a personnel action on the basis of race, color, religion, sex, 

national origin, age, disability, marital status, or political affiliation. 

(11) Military Whistleblower Protection Act of 1988 (MWPA), as amended at title 10, 

United States Code, Section 1034, and elsewhere, is an American law providing 

protection of lawful disclosures of illegal activity by members of the United 

States Armed Forces. The act protects a United States armed-forces member who 

makes a “protected communication” regarding a violation of law or regulation. 

Superiors of service members are prohibited from retaliating against the service 

member making the protected statements, thus military members who believe 

they are subject to whistleblower retaliation should file a complaint with 

Department of Homeland Security (DHS), Office of Inspector General (OIG), not 

the U.S. Office of Special Counsel. 

(12) The Civil Rights Act of 1991, 42 U.S.C. § 1981, authorizes compensatory 

damages up to three hundred thousand dollars ($300,000) for intentional 

employment discrimination. 

(13) The Family and Medical Leave Act of 1993 (FMLA), as amended, 29 U.S.C. § 

2601 et seq., requires employers to provide covered employees with up to twelve 

workweeks of job protected leave (paid or unpaid) during any 12-month period 

for the following purposes: the birth of a son or daughter of the employee and the 

care of such son or daughter; the placement of a son or daughter with the 

employee for adoption or foster care; the care of a spouse, son, daughter, or parent 

of the employee who has a serious health condition; or the serious health 

condition of the employee that makes the employee unable to perform the 

essential functions of his or her position. Also, in 2010, military caregiver leave 

was added as an expansion of FMLA, which allows up to 26 workweeks of leave 

in a single 12 month period for an eligible employee to provide care to an injured 

covered service member with a serious injury or illness. The 26 weeks are 

inclusive of the 12 weeks of leave already provided under regular FMLA leave. 

(14) Employment and Training of Veterans 38 U.S.C. Chapter 42 and 43 (1994), 

reference employment assistance and reemployment rights of members of the 

uniformed services, including procedures for assistance, enforcement, and 

investigation. Further information is offered for veterans’ employment emphasis 

under federal contracts, eligibility requirements for veterans under federal 

employment and training programs; employment within the Federal Government; 

and priority of service for veterans in job training programs. 

(15) Administrative Dispute Resolution Act of 1996 (ADRA), Pub. L. No. 104-320, 

110 Stat. 3870 (codified in various sections of 5 U.S.C.), requires federal agencies 

to develop policies regarding the use of Alternative Dispute Resolution (ADR) in 

case management. The Act provides that, with the agreement of the parties 

involved, agencies may use ADR for the resolution of an issue in controversy that 

relates to an administrative program. The Act also provides guidance for which 

types of agency disputes are appropriate for ADR proceedings. 

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(16) Notification and Federal Employee Anti-discrimination and Retaliation Act of 

2002 (No FEAR Act), 5 U.S.C. § 2301 et seq., requires federal agencies to notify 

employees and applicants for employment about their rights under the 

discrimination and whistleblower laws, post on their public websites statistical 

data related to EEO complaints, undertake timely and appropriate discipline 

against employees who engage in discrimination or reprisal, and reimburse the 

Judgment Fund for any discrimination and whistleblower related settlements or 

judgments. 

(17) The Americans with Disabilities Act Amendments Act (ADAAA) of 2008, Pub. 

L. No. 110-325, 122 Stat. 3553, amended the Americans with Disabilities Act of 

1990 (ADA), 42 U.S.C. § 12101-12117, as amended, which prohibits 

discrimination on the basis of disability in employment, state and local facilities 

and programs, and places of public accommodation. The ADA also requires 

employers to reasonably accommodate qualified employees and applicants with 

disabilities, unless to do so would impose an undue hardship. The ADAAA 

further makes clear that the term disability should be interpreted broadly; 

expanded the definition of “major life activities” to include the operation of major 

bodily functions; that mitigating measures must not be considered in assessing 

whether an individual has a disability; clarifies that an impairment that is episodic 

or in remission is defined as a disability if it would substantially limit a major life 

activity when active; and that people who are only regarded as disabled are not 

entitled to reasonable accommodation. This law also makes it illegal to retaliate 

against an individual for opposing discriminatory practices, or for having made a 

charge, testified, assisted, or participated in any manner in an investigation, 

proceeding, or hearing under this Act. 

(18) Title II of the Genetic Information Nondiscrimination Act of 2008 (GINA), Pub. 

L. No. 110- 233, 122 Stat. 881, prohibits the use of genetic information in 

employment. It is against the law for an employer to request, require, or purchase 

the genetic information of a potential or current employee, or his or her family 

members, and imposes strict confidentiality requirements. 

(19) The Lilly Ledbetter Fair Pay Act of 2009, Pub. L. No. 111-2, 123 Stat. 5, 

amended Title VII, the ADEA, the ADA, and the Rehabilitation Act of 1973 to 

clarify the time frame in which victims of discrimination may challenge and 

recover for discriminatory compensation decisions or other discriminatory 

practices affecting compensation. 

(20) Employment and Reemployment Rights of Members of the Uniformed Services 5 

U.S.C. Chapter 35, 10 U.S.C § 1143(d) (2012), references retention preference, 

voluntary separation incentive payments, restoration and reemployment of 

members of the armed forces. Members of the armed forces who are discharged 

or released from active duty shall receive a certification or verification of any job 

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COMDTINST M5350.4E 

skills and experience acquired while on active duty that may have application to 

employment in the civilian sector. 

b. Executive Orders. 

(1) Executive Orders 11246 (1965) and 11375 (1967) provide equal opportunity in 

Federal employment for all qualified persons; prohibit discrimination in 

employment because of race, religion, color, national origin, or sex; and require 

agencies to establish equal employment opportunity programs and procedures for 

processing complaints of discrimination. The Federal Women’s Program was 

established because of Executive Order 11375. 

(2) Executive Order 11478 (1969), as amended by EO 12106 (1978), EO 13087 

(1998), EO 13152 (2000), and EO 13672 (2014), prohibits federal employment 

discrimination on the basis of race, color, religion, sex, national origin, disability, 

age, status as a parent, sexual orientation, and gender identity. EO 11478 

assigned the Equal Employment Opportunity Commission responsibility for 

directing and furthering implementation of the Order’s policies and for issuing 

rules to promote its principles. Agencies are required to abide by those rules and 

produce any report the EEOC requires. 

(3) Executive Order 11521 (1970) authorizes federal agencies to appoint qualified 

veterans to positions in the competitive service under Veteran Recruitment 

Appointments (VRA) without regard to the competitive examining system. 

(4) Executive Order 13078 (1998) and 13172 (2000) are intended to increase the 

employment of adults with disabilities to a rate that is as close as possible to the 

employment rate of the general adult population and to support the goals 

articulated in the findings and purpose section of the Americans with Disabilities 

Act of 1990. 

(5) Executive Order 13145 (2000) prohibits discrimination against employees based 

on protected genetic information or information about a request for or the receipt 

of genetic services. 

(6) Executive Order 13163 (2000) promotes increased opportunities for individuals 

with disabilities to be employed at all levels and occupations of the Federal 

Government, and supports the goals articulated in Section 501 of the 

Rehabilitation Act of 1973. This order promotes the use of available hiring 

authorities consistent with statutes, regulations, and prior Executive Orders and 

Presidential Memoranda; the expansion of outreach efforts; and increased efforts 

to accommodate persons with disabilities. 

(7) Executive Order 13164 (2000) promotes a model workplace that provides 

reasonable accommodations for: (1) individuals with disabilities in the 

application process for Federal employment; (2) federal employees with 

disabilities to perform the essential functions of a position; and (3) federal 

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COMDTINST M5350.4E 

employees with disabilities to enjoy benefits and privileges of employment equal 

to those enjoyed by employees without disabilities. 

(8) Executive Order 13171 (2000) stipulates the establishment and maintenance of 

programs for the recruitment and career development of Hispanics in federal 

employment. 

(9) Executive Order 13548 (2010) requires development of agency-specific plans for 

promoting employment opportunities for individuals with disabilities and 

targeted disabilities, as well as increasing the number of individuals with 

disabilities in the Federal workforce through compliance with EO 13163 (2000) 

and achievement of the goals set forth therein over five years, including specific 

goals for hiring individuals with targeted disabilities. 

(10) Executive Order 13583 (2011) establishes a coordinated government-wide 

initiative to promote diversity and inclusion in the Federal workforce by 

requiring Federal agencies to develop agency-specific diversity and inclusion 

strategic plans for recruiting, hiring, training, developing, advancing, promoting, 

and retaining a diverse workforce. 

(11) Executive Order 13839 (2018) advances the ability of supervisors in agencies to 

promote civil servant accountability consistent with merit system principles 

while simultaneously recognizing employees’ procedural rights and protections. 

Requires agencies to not agree to erase, remove, alter, or withhold from another 

agency any information about a civilian employee’s performance or conduct in 

that employee’s official personnel records, including an employee’s Official 

Personnel Folder and Employee Performance File, as part of, or as a condition to, 

resolving a formal or informal complaint by the employee or settling an 

administrative challenge to an adverse personnel action. 

c. Equal Employment Opportunity Commission (EEOC) Regulations. The 29 C.F.R. 

Part 1614 sets forth the Equal Employment Opportunity Commission’s 

comprehensive regulations covering the federal sector Equal Employment 

Opportunity programs. 

d. The EEOC Directives. 

(1) The EEOC Management Directive 110 (MD-110) provides federal agencies with 

Commission policies, procedures, and guidance relating to the processing of 

employment discrimination complaints governed by the Commission’s 

regulations in 29 C.F.R. Part 1614. Under this Directive, federal agencies 

covered by 29 C.F.R. Part 1614, are responsible for developing and 

implementing their own equal employment programs including Alternative 

Dispute Resolution (ADR) programs, and complaint processing procedures 

consistent with the Commission’s regulations. 

(2) The EEOC Management Directive 715 (MD-715) provides guidance on the 

elements of legally compliant Title VII and Rehabilitation Act of 1973 programs. 

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COMDTINST M5350.4E 

This Directive requires agencies to take appropriate steps to ensure that all 

employment decisions are free from discrimination. It also sets forth the 

standards by which EEOC will review the sufficiency of agency Title VII and 

Rehabilitation Act programs, which include periodic agency self-assessments 

and the removal of barriers to free and open workplace competition. 

e. The Department of Homeland Security (DHS) Delegations. 

(1) The DHS Delegation of Authority 0160.1 delegates, from the DHS Secretary to 

Coast Guard Commandant (and other DHS Components), the authority to 

conduct the informal EO complaint processes, including EO counseling, ADR, 

affirmative employment, diversity planning, and compliance reviews. 

(2) The DHS Delegation of Authority 19000 delegates authority over policy and 

operational matters involving Civil Rights Directorate programs from the DHS 

Officer for Civil Rights and Civil Liberties (CRCL), to the Deputy Officer for 

CRCL and re-delegates to the appropriate Components’ EEO Officers where 

such re-delegation fulfills the responsibilities of the Officer for CRCL. 

(3) The DHS Delegation of Authority 19001 assigns authority to the Deputy Officer 

for CRCL for Programs and Compliance to conduct investigations of complaints 

filed under Section 504 of The Rehabilitation Act of 1973, including issuing 

findings, remedies, and notices of right to appeal. The authorities in this 

delegation may not be re-delegated. 

(4) The DHS Delegation of Authority 19003 delegates authority to the Officer for 

DHS CRCL to establish and implement policy; direct, oversee, and coordinate 

the DHS EEO complaint system; and ensure all DHS federally assisted and 

conducted programs or activities comply with EEO laws. The delegated 

authorities may be re-delegated, in writing, to appropriate personnel within DHS 

CRCL or the Components. 

f. Coast Guard Commandant Instructions. 

(1) Discipline and Conduct, COMDTINST M1600.2 (series). 

(2) Civilian Personnel Actions: Disciplinary, Adverse, and Performance Based 

Actions, COMDTINST M12750.4 (series). 

g. Commandant’s Policy Statements. The Commandant issues annual policy statements 

outlining the Coast Guard’s stance concerning standards of integrity and professional 

conduct. The Coast Guard is highly committed to maintaining a working 

environment free of all forms of discrimination and harassment. Illegal 

discrimination in any form violates the Service’s Core Values of Honor, Respect, and 

Devotion to Duty and will neither be condoned nor tolerated at any level. 

4. Civil Rights in Federal Programs, Activities, Services, and Facilities. Laws, Executive 

Orders, Equal Employment Opportunity Commission (EEOC) Regulations and 

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COMDTINST M5350.4E 

Presidential Proclamations, and Department of Homeland Security (DHS) Delegations of 

Authority are briefly described below under each category and may serve as references and 

additional sources of information regarding this Manual. 

a. Laws. 

(1) Title VI of the Civil Rights Act of 1964, as amended, and Section 503 of the 

Rehabilitation Act of 1973, as amended, 29 U.S.C. § 793, prohibits 

discrimination on the basis of race, religion, color, national origin, sex, and 

disability, in any program or activity receiving federal financial assistance. 

(2) Architectural Barriers Act of 1968, as amended, Section 503 of the Rehabilitation 

Act of 1973, as amended, 29 U.S.C. § 793, requires that buildings and facilities 

designed, constructed, altered, or leased with certain federal funds after 

September 1969 must be accessible to and useable by persons with disabilities. 

(3) Section 503 of the Rehabilitation Act of 1973, as amended, 42 U.S.C. § 12203, 

prohibits employers with federal contracts or subcontracts that exceed ten 

thousand dollars ($10,000) from discriminating against qualified persons with 

disabilities. Section 503 also requires these federal contractors or subcontractors 

to take affirmative action to hire, retain, and promote qualified persons with 

disabilities. 

(4) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, 

protects against discrimination based on any physical or mental disability by any 

program or activity sponsored by the Federal Government. 

(5) Section 508 of the Rehabilitation Act of 1998, 29 U.S.C. 794(d), applies to all 

federal agencies when they develop, procure, maintain, or use electronic and 

information technology. Under Section 508, agencies must give employees with 

disabilities and members of the public access to information that is comparable 

to the access available to others. 

b. Executive Orders. 

(1) Executive Order 12898 (1994) protects minority and/or low-income communities 

against disproportionately adverse human health or environmental effects from 

any federally conducted or assisted programs, policies, or activities. The 

Environmental Protection Agency is responsible for this Order. 

(2) Executive Order 13160 (2000) prohibits discrimination 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 and activities. 

(3) Executive Order 13166 (2000) requires federal agencies to examine the services 

they provide for persons with limited English proficiency (LEP) and to develop 

and implement a system by which LEP persons can meaningfully access those 

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COMDTINST M5350.4E 

services consistent with, and without unduly burdening, the fundamental mission 

of the agency. 

(4) Executive Order 13175 (2000) outlines principles that executive departments and 

agencies must follow in their interactions with Native American tribal 

governments. The purpose of these principles is to ensure that the Federal 

Government operates within a government-to-government relationship with 

federally recognized Native American tribes. In carrying out these 

responsibilities, the Coast Guard will consider tribal interests in formulating 

service policy, and ensure appropriate involvement of tribal governments in 

making decisions and managing service programs that may affect reservation 

policies. 

(5) Executive Order 13515 (2009) establishes a President’s Advisory Commission 

and White House Initiative on Asian Americans and Pacific Islanders (AAPI). 

Each will work to improve the quality of life and opportunities for AAPI through 

increased access to, and participation in, federal programs in which they may be 

underserved. In addition, each will work to advance relevant evidence-based 

research, data collection, and analysis for AAPI populations and subpopulations. 

(6) Executive Order 13592 (2011) directs Federal agencies to help improve 

educational opportunities provided to all American Indian/Alaska Native 

students, including students attending public schools in cities and in rural areas, 

students attending schools operated and funded by the Department of the 

Interior’s Bureau of Indian Education, and students attending postsecondary 

institutions including Tribal Colleges and Universities. 

c. Presidential Proclamations. 

(1) Presidential Proclamation 5112 established the National Partnership in Education 

program. After its establishment, the President later requested that each 

Executive Department set up partnerships with local schools. The Proclamation 

suggested that elements of agency programs include employees volunteering in 

tutoring programs, sponsoring field trips and tours, participation in educational 

programs and providing honorariums. 

d. Department of Homeland Security (DHS). 

(1) 6 C.F.R Part 15 implements Section 504 of the Rehabilitation Act, which prohibits 

discrimination due to disabilities in DHS-conducted programs, including USCG 

programs. 

(2) 6 C.F.R. Part 21 implements Title VI of the Civil Rights Act, which prohibits 

discrimination due to race, color, or national origin in DHS-assisted (grant) 

programs, including USCG programs. 

B. The Coast Guard Civil Rights Directorate (CRD) Vision, Mission, and Goals. 

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COMDTINST M5350.4E 

1. Vision. A discrimination-free workplace where every employee and applicant of the Coast 

Guard has the opportunity to reach his or her full potential, and believes it is possible to do 

so without regard to race, color, national origin, religion, sex (including gender identity, 

sexual orientation, and pregnancy), age, disability, genetic information, marital status, 

parental status, political affiliation, engagement in a protected Equal Employment 

Opportunity (EEO)/Equal Opportunity (EO) activity or any other basis protected by the 

law. 

2. Mission. Maximize the Coast Guard’s overall mission effectiveness by leading programs 

and facilitating practices which foster a discrimination-free workplace. 

3. Goals. The Civil Rights Directorate established five strategic goals that are patterned after 

the U.S. Equal Employment Opportunity Commission (EEOC) Management Directive 

715’s (MD-715) six essential elements for a Model EEO Program which emphasize a 

culture that is proactive rather than reactive to achieving a model civil rights workforce. 

The following are CRD’s five goals and associated activities to assist Commands with 

achieving a workforce free from discrimination: 

a. Goal #1: Lead. CRD conducts activities that assist and support commands to foster 

civil rights leadership. Command leadership is ultimately responsible for the Coast 

Guard’s civil rights outcomes. In this regard, communication and personal involvement 

are critical to command leadership. Many day-to-day activities provide opportunities 

for the CO/OIC and supervisors to openly and visibly demonstrate their commitment to 

the objectives of civil rights. Some recommended activities that help establish a 

climate conducive to the goal of a workplace free of discriminatory practices include: 

(1) Expressing commitment and support of the EEO/EO mission in the command 

philosophy. 

(2) Attending and providing opening remarks for the Civil Rights Awareness training. 

(3) Reviewing command expectations relative to the Civil Rights Directorate at allhands activities. 

(4) Meeting with newly reported personnel to specifically identify command 

expectations relative to civil rights. 

(5) Meeting regularly with personnel to solicit their concerns and ideas. 

(6) Conducting out-briefs with departing personnel. 

(7) Supporting the efforts of the Civil Rights Service Providers (CRSPs). 

(8) Attending and introducing special observances and offering personal comments on 

civil rights issues in publications and communication. 

(9) Establishing proactive outreach programs and providing opportunities for command 

personnel to engage in outreach activities. 

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COMDTINST M5350.4E 

(10) Requesting an EO Review to assess unit compliance with civil rights programs and 

assess unit climate. 

b. Goal #2: Adopt Strategies. CRD supports the CO/OIC in their efforts to integrate 

civil rights into the Coast Guard’s strategic mission. Command leadership 

communicates the importance of civil rights to mission effectiveness through their 

words and actions. Some recommended activities that help the CO/OIC and 

supervisors to integrate these efforts into the strategic mission include: 

(1) Providing military and civilian personnel with EEO/EO training on topics that 

include civil rights, sexual harassment prevention, conflict resolution, gender, 

racial, and cultural sensitivity, and disability awareness. 

(2) Sponsoring events that celebrate the contributions of different cultures, heighten 

awareness of the value of diversity within the workforce, and teach how to build 

and manage a diverse workforce. 

(3) Completing the annual Command Checklist which serves as a tool to improve 

organizational effectiveness to strengthen the civil rights climate in the 

workplace. 

c. Goal #3: Hold All Accountable. CRD conducts activities which uphold CO/OIC 

accountability for civil rights. All managers and supervisors are responsible for the 

successful implementation of civil rights program elements. Examples of some 

recommended activities for developing an organizational culture that values diversity 

and promotes affirmative community outreach include: 

(1) Ensuring the work environment is free from discrimination and harassment of any 

kind. 

(2) Preventing social climate incidents through constructive interaction with 

communities, working in partnership with local community leaders, and 

responding proactively to incidents when they occur. 

(3) Promoting excellence in education through programs such as the Partnership in 

Education (PIE) which introduces students to Coast Guard personnel and its 

missions. 

d. Goal #4: Prevent. CRD conducts activities and develops tools that assist and support 

the CO/OIC in proactively preventing unlawful discrimination. Annual selfassessments help Coast Guard identify and mitigate potential organizational EEO/EO 

barriers for strategic planning and annual reporting requirements. Some 

recommended activities that help deter discrimination in the workforce include: 

(1) Integrating equality of opportunity into all aspects of the organization. 

(2) Proactively addressing personnel issues and concerns swiftly and at the lowest 

possible level. 

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COMDTINST M5350.4E 

(3) Proactively preventing unlawful discrimination by promoting EEO/EO training 

and fostering a command climate free from harassment and discrimination. 

e. Goal #5: Efficient, Effective, Fair, Impartial Enforcement of Non-discrimination 

Laws. CRD identifies and implements efficient practices, aimed at promoting equal 

opportunity for all. Established activities in place for this goal enables command 

leadership to embrace opportunities to resolve matters quickly, equitably, and at the 

level closest to the issue/conflict. Examples of leadership practices that are helpful 

include: 

(1) Making good faith efforts to define the underlying issues in discrimination 

allegations and complaints. 

(2) Handling discrimination allegations and complaints at the lowest appropriate 

level of command. 

(3) Finding satisfactory resolutions as early as possible. 

(4) Optimizing productivity and improving morale. 

(5) Promoting organizational harmony. 

C. Civil Rights Directorate Personnel: Organization and Responsibility. 

1. Policy and Oversight. Under the general direction and supervision of the Commandant, 

the Director of the Civil Rights Directorate provides policy and oversight for equal 

opportunity, affirmative action, and civil rights training. The Director is also responsible 

for the efficient and effective strategic management and implementation of program 

activities. 

2. Civil Rights Directorate Organization. The Civil Rights Director reports to the 

Commandant. 

a. Appendix (B) contains CRD’s organization chart. The chart is also available at the 

following Link: The Civil Rights Directorate Organization. 

b. Appendix (C) contains a list of the locations of CRD's Regions and Zone and their 

respective area of responsibility. The list is also available at the Civil Rights 

Directorate website at https://www.uscg.mil/Resources/Civil-Rights/ServiceProviders. 

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CHAPTER 3 CIVIL RIGHTS POLICIES: AFFIRMATIVE OBLIGATIONS AND 

PROHIBITED PRACTICES 

A. Civil Rights Policies. 

1. Introduction. This chapter introduces the broad civil rights programs and policies of 

general application to all Coast Guard personnel. Civil rights policies apply to 

affirmative obligations, and prohibited practices (including discrimination). Affirmative 

obligations are guided by the statutes and regulations mandating that active affirmative 

steps be taken to develop programs, reports, and policies that foster and promote diversity 

and support all personnel within the Service. Prohibited practices are directed by 

statutes, regulations, and procedures to identify and resolve acts of prohibited 

discrimination in employment and service. 

2. Bases of Discrimination. The Coast Guard’s Civil Rights policy prohibits unlawful 

discrimination based on the factors below. With regards to Equal Employment 

Opportunity/ Equal Opportunity (EEO/EO complaints of discrimination, not all protected 

bases apply to military members in all instances due to their bona fide occupational 

qualifications’ standards. The following represents prohibited bases of discrimination: 

a. Race. 

b. Color. 

c. Religion. 

d. Sex (including gender identity, sexual orientation, and pregnancy). 

e. National origin. 

f. Age (40 or over).∗

g. Physical or mental disability.∗

h. Genetic information.∗

i. Marital status, status as a parent, or political affiliation.* 

j. Reprisal or retaliation for participation in Equal Employment Opportunity 

(EEO)/Equal Opportunity (EO) related activities or opposing discriminatory 

practices. 

∗ Represent those bases that may be situation-dependent for military members. 

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COMDTINST M5350.4E 

3. Non-Statutory Protections. Claims of discrimination based on marital and parental status, 

and political affiliation can be raised with a Civil Rights Service Provider (CRSP). 

Civilian employees may also file marital status and political affiliation complaints 

directly with the Office of Special Counsel at www.osc.gov. 

B. Affirmative Obligations. A variety of statutes and regulations mandate Coast Guard 

participation in programs that stimulate, support, and report on its proactive efforts to achieve a 

diverse workforce and provide opportunities for the advancement of all its members. 

1. Affirmative Programs of Equal Employment Opportunity Policy. The following are the 

most relevant affirmative programs of EEO and their key elements: 

a. Equal Employment Opportunity Commission (EEOC) Management Directive (MD715). This Directive applies to civilian EEO programs and requires agencies to take 

appropriate steps to ensure that all employment decisions are free from discrimination. 

It also sets standards by which the EEOC will review the sufficiency of agency Title 

VII and Rehabilitation Act programs as they work to achieve a Model EEO Program. 

The major components of this Directive outline the requirements for an annual selfassessment and a strategic plan of action designed to correct noted program 

deficiencies and remove workforce barriers to free and open workplace competition. 

The six essential elements necessary to achieve a model EEO Program are: 

(1) Demonstrated commitment from agency leadership. 

(2) Integration of EEO obligations into the agency’s strategic mission. 

(3) Management and program accountability. 

(4) Proactive prevention. 

(5) Efficiency. 

(6) Responsiveness and legal compliance. 

b. Coast Guard Surveys. The Coast Guard uses several surveys to acquire data for the 

purpose of acting on workforce issues and concerns. These include, but are not 

limited to: 

(1) Defense Organizational Climate Survey (DEOCS). 

(2) Coast Guard Organizational Assessment Survey. 

(3) Federal Employee Viewpoint Survey (FEVS). 

(4) DHS Employee Survey – conducted as part of the Federal Human Capital Survey. 

c. Affirmative Employment Plan for Persons with Disabilities. The Assistant 

Commandant for Human Resources/Civilian Personnel administers an affirmative 

employment plan for the hiring, placement, and advancement of persons with 

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COMDTINST M5350.4E 

disabilities consistent with obligations required under Section 501 of the 

Rehabilitation Act of 1973, as amended. 

d. Disabled Veterans Affirmative Action Program (DVAAP) Plan. The Assistant 

Commandant for Human Resources/Civilian Personnel administers the DVAAP. 

According to 5 C.F.R. Part 720(c), each department, agency, and instrumentality in 

the Executive Branch is required to develop a plan to promote employment and 

advancement opportunities, within the Federal Government, for qualified veterans 

with a disability. 

e. Federal Equal Opportunity Recruitment Program (FEORP) Plan. The Assistant 

Commandant for Human Resources/Civilian Personnel administers the FEORP. The 

FEORP contains information on the representation of minorities within the Federal 

Government and best practices for federal agencies. Some elements for this plan are 

data analysis (such as occupational profiles and average salary grade comparisons), 

FEORP oversight activities (including onsite technical assistance reviews), and key 

progress and accomplishments (such as recruitment methods or programs that 

positively affect the recruitment, retention, and career development of targeted 

groups). FEORP requires the Coast Guard to submit an annual report to the 

Department of Homeland Security (DHS) on progress under the FEORP to remain in 

compliance with 5 U.S.C. § 7201 and 5 C.F.R. Part 720(b). 

f. Affirmative Civil Rights Goals for Military Personnel. While the USCG is not 

required to produce written affirmative employment plans for the military workforce, 

the Coast Guard collects data on the number of minority and female members. Two 

long-range goals govern the Coast Guard commitment to affirmative employment of 

military personnel: (1) to encourage a workforce that values diversity; and (2) to 

increase the representation and retention of minorities and women at all levels and in 

occupations throughout the Service. Commands should consider the following 

objectives and actions as they strive to achieve these goals: 

(1) Ensure that leaders promote the importance of diversity. 

(2) Develop mutual respect and understanding. 

(3) Maintain a workforce representative of the national population. 

(4) Ensure no discrimination in the administration of military justice and in the 

involuntary separation of personnel. 

(5) Provide fair and equal training opportunities for all qualified personnel. 

(6) Ensure that all personnel may take part equally in all occupational specialties. 

(7) Ensure equal opportunity for promotion and advancement for all personnel. 

(8) Ensure an equitable assignment process and leadership opportunities for all Coast 

Guard personnel. 

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COMDTINST M5350.4E 

(9) Evaluate progress toward goal achievement. 

(10)Monitor the civil rights climate. 

(11) Recognize successes in advancing the importance of diversity, equal opportunity, 

and civil rights. 

(12) Ensure that all personnel have access to and are following program guidance 

regarding civil rights. 

(13) Ensure effective and timely administration of discrimination complaint 

processes. 

(14) Provide civil rights training for all members. 

(15) Identify and recruit personnel with diverse backgrounds and characteristics who 

reflect the diversity of our nation. 

2. Special Emphasis Programs. They promote equal opportunity in the hiring, advancement, 

training, and treatment of targeted racial/ethnic groups. These programs advocate 

necessary change to overcome barriers that restrict EEO for women, minorities, and 

persons with disabilities. Some of these programs are mandated by regulation and others 

are optional, but all are designed to support the goals of affirmative employment and the 

provision of a diverse workplace. 

a. Requirements: Units with 50 or more assigned civilian employees are required to 

assign SEP Coordinators. Commanders and CRSPs will jointly nominate, appoint, 

and approve SEP personnel. 

b. Leadership Inclusion and Diversity Advisory Councils (LIDAC): The Coast Guard’s 

LIDACs have an important role in promoting and participating as key ambassadors in 

the achievement of a broader and more inclusive perspective for our Service. The 

LIDACs are responsible for assisting their command cadre in cultivating a culture of 

inclusion by monitoring the command climate and promoting leadership development 

and diversity initiatives that create and help sustain an environment of equal 

opportunity for all members and a workplace free of discrimination. LIDAC members 

are nominated by their office chief or unit commander to serve as office or unit 

representatives. 

c. Coordination of events: SEP Coordinators and LIDAC Chairpersons should work 

collaboratively to plan special observances, professional development events, and 

other activities that support the Coast Guard EEO/EO mission and the various SEP 

supported by the Service. For more information regarding the LIDAC’s role in SEP, 

see Commandant’s Leadership, Excellence and Diversity Council and Leadership and 

Diversity Advisory Councils, COMDTINST 5350.9, or contact the unit’s servicing 

LIDAC. 

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COMDTINST M5350.4E 

3. Mandated Special Emphasis Programs. 

a. Federal Women’s Program (FWP). The primary focus of the FWP is to address the 

employment needs (e.g., recruitment, training, education, retention, upward mobility, 

career counseling, mentoring, developmental details, promotion, and equity in pay) 

and to identify and help remove barriers to the full participation of women in the 

federal workforce. 

b. Hispanic Employment Program (HEP). The HEP was established in 1970 by 

presidential Directive as a sixteen-point program for the employment of Hispanic 

Americans in the Federal Government. It includes specific actions designed to 

remedy deficiencies by encouraging full participation and opportunity for Hispanics in 

the federal workforce. 

c. Persons with Disabilities Program (PWDP). The PWDP is designed to promote the 

hiring, placement, and advancement of individuals with disabilities and to ensure they 

are employed in a broad range of grade levels and occupations commensurate with 

their qualifications. The Coast Guard, along with all federal agencies, is tasked with 

ensuring that its policies do not unnecessarily exclude or limit persons with disabilities 

because of job structure, design, architectural, transportation, communication, 

procedural or attitudinal barriers. The PWDP enables the Coast Guard to take a 

positive and directive role in fully complying with Section 501 of the Rehabilitation 

Act of 1973, as amended, and the provisions of 29 C.F.R. Part 1614.203(b). 

4. Optional Special Emphasis Programs. Coast Guard commands are encouraged to 

participate and support other SEP, such as Asian American/Pacific Islander, American 

Indian/Alaskan Native, and Black/African American programs. These efforts are 

designed to remove barriers and encourage full participation within the federal 

workforce. 

5. Leadership Inclusion and Diversity Advisory Councils (LIDAC): The Coast Guard’s 

LIDACs have an important role in promoting and participating as key ambassadors in the 

achievement of a broader and more inclusive perspective for our Service. The LIDACs 

are responsible for assisting their command cadre in cultivating a culture of inclusion by 

monitoring the command climate and promoting leadership development and diversity 

initiatives that create and sustain an environment of equal opportunity for all members 

and a workplace free of discrimination. LIDAC members are nominated by their office 

chief or unit commander to serve as office or unit representatives. 

a. Coordination of events: SEP Coordinators and LIDAC Chairpersons should work 

collaboratively to plan special observances, professional development events, and 

other activities that support the Coast Guard EEO/EO mission and the various SEP 

supported by the Service. For more information regarding the LIDAC’s role in SEP, 

see Commandant’s Leadership, Excellence and Diversity Council and Leadership and 

Diversity Advisory Councils, COMDTINST 5350.9, or contact the unit’s servicing 

LIDAC. 

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Coast Guard Anti-Harassment & Hate Incident Policy and Procedures 

C. Prohibited Practice. 

1. Introduction: The Coast Guard continually strives to meet the highest standards of 

personal respect by valuing human dignity and diversity in accordance with our core 

values of honor, respect, and devotion to duty. In order to meet this objective, every 

commander, manager, and supervisor must be personally committed to, and responsible 

for, the fair and equal treatment of all Coast Guard personnel and to those with whom it 

interacts. To this end, the Coast Guard’s goal is to safeguard the workplace environment 

so that no member of the workforce will be subject to physical or verbal harassment, 

abuse or violence based on any of the protected bases listed in Section A.2 of this 

chapter. 

2. Anti-Harassment & Hate Incident (AHHI) Policy vs. EEO/EO Complaint: The Coast 

Guard operates two separate and distinct complaint processes by which a civilian or 

military member, who is subjected to prohibited harassment, may seek relief: 

a. The AHHI process: A command-led process to stop harassing behavior and take 

corrective action. Although Civil Rights Service Providers may assist the command in 

understanding its obligations and procedures under the AHHI policy, the 

responsibility to carry out the policy rests with the command, and ultimately the 

command makes a determination as to whether the complaint is substantiated and, if 

so, what action to take. A civilian or military member seeking to file an AHHI 

complaint may do so by contacting someone in their chain of command. If a member 

requires guidance, they can contact a CRSP. 

b. The EEO Complaint Process: Alternatively, a civilian or military member may file an 

EEO/EO complaint with a CRSP. The purpose of the EEO/EO process is to make a 

complainant whole. An EEO/EO complaint is processed by the Civil Rights 

Directorate. 

c. Responsibility for AHHI and EEO: While the command is required to assist CG-00H 

in carrying out EEO/EO policies and procedures, the EEO/EO process is not 

command-driven. CG-00H, not the command, manages the EEO/EO complaint 

process. The command is responsible for the AHHI process and its adjudication. 

3. Environment: The Coast Guard is committed to providing an environment free of 

harassing behavior for all of its personnel. The Coast Guard provides all personnel the 

opportunity to achieve their full potential in order to improve unit cohesion, military 

readiness, and mission execution. The Coast Guard will not tolerate retaliation against 

members for reporting harassing conduct under this or any other policy or procedure, or 

for assisting in any inquiry about such a report. 

4. Deterring Harassment: Despite ample public and private efforts to address harassment, it 

still occurs. The Coast Guard is a military, multi-mission, maritime Service performing a 

broad range of services to a diverse nation; harassment goes against everything the Coast 

Guard stands for and is contrary to applicable laws, regulations and policies. The Coast 

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COMDTINST M5350.4E 

Guard has determined that the most effective way to deter harassing behavior is to 

address such behavior as misconduct, even if the behavior does not rise to the level of 

unlawful harassment under civil rights laws and regulations. 

5. Purpose: The purpose of this policy is to prescribe procedures, in accordance with the 

EEOC and DHS Anti-Harassment policies, for preventing harassment in the Service and 

to promptly correct any harassment that occurs. This policy also prescribes additional 

notification procedures for conduct that could constitute a potential hate incident and 

guidance for determining and addressing the occurrence of a hate incident. However, this 

policy is not designed to make a legal determination that unlawful harassment has 

occurred or grant relief to individuals who allege they have been subjected to harassment. 

6. Responsibility: Civil Rights Directorate (COMDT CG-00H) staff, Commanding 

Officers/Officers in Charge (CO/OIC), Deputy and Assistant Commandants for 

Directorates, and the Judge Advocate General (TJAG) must ensure compliance with the 

provisions of this policy. COMDT CG-00H is only responsible for providing guidance 

on the Coast Guard Anti-Harassment and Hate Incident policy and collecting and 

maintaining data. The command is responsible for carrying out the policy discussed 

below. 

7. Acts of Retaliation. Acts of retaliation or reprisal for reporting harassment or 

participating in an investigation of harassment are prohibited. If a member believes he or 

she is subjected to retaliation/ reprisal for participating in complaint activity, they may 

also file a complaint regarding the retaliation or reprisal issue. See Chapter 5 of this 

Manual for details on the process of filing complaints. 

D. Defining Unlawful Harassment and Prohibited Harassment 

1. Unlawful Harassment: Unlawful harassment is discrimination that violates federal law. 

Unlawful harassment includes, but is not limited to, unwelcome conduct, whether verbal, 

nonverbal, or physical, that is based on an individual’s protected status (including: race, 

color, religion, sex, national origin, age, disability, genetic information, status as a parent, 

marital status, political affiliation, and retaliation) and is so objectively offensive as to 

alter the victim’s conditions of employment. 

a. Examples of unwelcome conduct include: offensive jokes, epithets, slurs, 

stereotyping, name calling, mockery, intimidating or demeaning acts, and the 

circulation or posting of written or graphic materials that show hostility toward 

individuals because of their protected status. 

b. This standard is met when the conduct results in a tangible employment action or a 

hostile work environment. 

(1) Tangible employment action harassment is a type of harassment in which the 

harassment by a supervisor or manager results in a personnel action. A tangible 

employment action must be an official action, such as hiring, firing, promotion or 

failure to promote, demotion, undesirable assignment, significant change in 

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COMDTINST M5350.4E 

benefits or pay, or work assignment. With tangible employment action 

harassment, the Coast Guard is strictly liable for the actions of the supervisor. 

(2) Hostile environment harassment encompasses all other situations addressed in the 

definition of harassment above, whether the offender is a supervisor, a coworker, 

a contractor, or non-employee. To meet the definition of a hostile work 

environment, the harassment must be so severe or pervasive that a reasonable 

person would view the environment as hostile, offensive, or abusive. In hostile 

work environment harassment, the Coast Guard is liable only if it knew, or should 

have known, of the conduct and failed to take prompt and effective corrective 

action. 

2. Prohibited Harassment: Generally, a single action or utterance of an ethnic, sexual, or 

racial epithet that offends an employee would not be considered severe or pervasive 

enough to constitute unlawful harassment in violation of federal law. However, it is the 

Coast Guard’s policy that such conduct, even a single unintentional incident, has no place 

in the Coast Guard and must be stopped. Prohibited harassment includes, but is broader 

than, those behaviors that amount to unlawful harassment. Unwelcome conduct that 

unreasonably interferes with work performance or creates an intimidating, hostile, or 

offensive work environment is prohibited by this policy, even if not based on a protected 

status. 

3. Violence: Acts of physical violence, and actual, implied, or veiled threats of violence, are 

also forms of prohibited harassment. Any form or manner of threatening or provoking 

remarks or threatening gestures in the workplace is prohibited. 

4. Harassment not based on protected bases: Prohibited harassment includes hazing and 

bullying, and may include other disruptive behaviors. For information on bullying and 

hazing actions, and reporting requirements, see COMDTINST M1600.2 (series), 

Discipline and Conduct, Chapter 3. For definition of “disruptive behaviors” as it applies 

to civilian employees, see Enclosure (1) of COMDTINST M12750.4A, Civilian 

Personnel Actions: Disciplinary, Adverse and Performance Based Actions. 

E. Applicability. This policy applies to conduct having a direct nexus to civilian or military 

members’ positions or responsibilities that occur on duty, off duty, face-to-face, or remotely 

via electronic/digital means, including, but not limited to telephone, email, social media, 

websites and chat applications. The conduct defined above is prohibited regardless of 

whether it occurs during working hours or onboard Coast Guard installations or assets. 

1. Anti-Harassment Hate Incident Complaint Procedures. The procedures discussed below 

apply to AHHI complaints, which is a command-directed process. See article C.2. of this 

chapter for the difference between the AHHI and EEO complaint process. All Coast Guard 

personnel must refrain from harassing behavior in the Coast Guard. The CO/OIC, 

managers, and supervisors shall ensure their conduct sets an example and is not such that 

they may be vulnerable to claims of harassment. Everyone is encouraged to tell any person 

engaging in unwelcome harassing conduct to stop, even if they are a third-party witness to 

the behavior. 

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COMDTINST M5350.4E 

2. Procedures Overview. 

a. Any individual witness to harassing behaviors should report the inappropriate conduct 

to their supervisor or anyone in their chain of command immediately so that it may be 

addressed. Alternatively, anyone may file an AHHI complaint with the Coast Guard 

CRSP and/or the COMDT (CG-00H). All employees are required to ensure 

confidentiality to the greatest extent possible. 

b. Once aware of prohibited harassment, supervisors and managers are required to: 

(1) Ensure the harassing behavior stops, which may include taking interim measures 

such as issuing a cease and desist letter to the alleged harasser, and/or separating 

the alleged harasser from the alleged victim while the matter is investigated, to 

decrease the possibility that the harassment can reoccur; 

(2) Take or assist with appropriate recourse to address the matter, to include initiating 

a preliminary inquiry/investigation within 10 days of notification; and 

(3) Report such activities via the procedures outlined in this policy. 

c. Investigating Officers (I/O) assigned to conduct investigations into reports of 

harassment reports must have undergone DHS/Coast Guard investigative training in 

investigating harassment allegations, including the legal requirements for claims of 

harassment, interviewing, and report writing triennially. The training is available in 

the Coast Guard Learning Management System. I/Os should also refer to the 

Investigator Techniques, Tactics, and Procedures (TTP) for best practices on how to 

conduct the investigation. 

d. When the investigation of a harassment complaint is not completed within 45 calendar 

days of the date of initiation of the investigation, the CO/OIC will notify the servicing 

CRSP and the reporting party of the need for an extension. 

e. Reports of harassment will be treated confidentially, to the extent possible, consistent 

with good order and discipline. The Coast Guard does not tolerate retaliation against 

any individuals for reporting harassment or assisting another individual in reporting 

harassment. 

f. Filing a harassment complaint through this procedure, does not replace, substitute, or 

satisfy the separate requirements for filing an EEO/EO complaint, a negotiated 

grievance, EEOC or Merit Systems Protection Board (MSPB) appeal or other 

statutory grievance procedure. An employee may file an AHHI complaint and EEO 

complaint or both. 

g. Managers who become aware of an AHHI allegation of harassment that a command 

failed to investigate should inform their servicing CRSP, or, if necessary, the COMDT 

(CG-00H) Director. 

h. Complaints of harassment naming the Commandant, Vice Commandant, or COMDT 

(CG-00H) Director as the individual alleged to have engaged in the harassing conduct 

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COMDTINST M5350.4E 

must be processed as conflict of interest complaints. Individuals should contact DHS 

CRCL if they are reporting a conflict of interest harassment complaint. 

3. CO/OIC Harassment Procedure Requirements. All CO/OICs shall take prompt action to 

address reports of harassment under the AHHI policy. All CO/OICs shall take the 

following steps to adjudicate complaints upon notification of a report of prohibited 

harassment: 

a. Acknowledge receipt of the AHHI complaint and, when appropriate, issue the 

reporting party an Acknowledgment Memorandum (see Appendix I) and take action to 

ensure the safety of the aggrieved party, including contacting local law enforcement, 

base security forces, or emergency medical care, if necessary. 

b. The CO/OIC will report the AHHI complaint to the CRSP with jurisdiction over the 

geographical location. 

c. Advise the reporting party that filing an AHHI complaint does not replace, substitute, 

or satisfy the separate requirements of filing a EEO/EO complaint, negotiated 

grievance, EEOC or MSPB appeal or other statutory grievance procedure. 

d. Respect the privacy and confidentiality of individuals reporting harassment or 

providing information relating to harassment to the extent permitted by law and 

consistent with good order and discipline. Privacy and confidentiality must be 

extended to all parties. Written material must be stored so as to not expose 

information to any individual who does not have a need-to-know. 

e. Notify Coast Guard Investigative Service (CGIS) or other law enforcement agencies 

as required by the Coast Guard Investigative Service Roles and Responsibilities, 

COMDINST 5520.5 (series). 

f. Unless CGIS has initiated an investigation, or the command has decided to initiate a 

preliminary inquiry as appropriate in accordance with the Administrative 

Investigations Manual, COMDTINST M5830.1 (series) (AIM), within 10 calendar 

days of notification of a report of harassment, CO/OIC must initiate an investigation. 

Typically, a standard investigation is appropriate to investigate an AHHI allegation. In 

addition to the procedures found in the AIM, the following requirements apply to 

Anti-Harassment and Hate Incident (AHHI) investigations. If the requirements of this 

chapter conflict with requirements in the AIM, this chapter shall take precedence. 

4. Convening Orders. Written convening orders are required for all command-directed 

AHHI investigations. This includes investigation of a single utterance of harassing 

language or reports made by third parties. The CO/OIC shall ensure the following: 

a. The Convening Authority must draft the convening orders with sufficient detail to 

initiate a proper investigation. Sufficient detail includes the name and grade/rank of 

reporting party, alleged victims, and alleged perpetrators, as well as enough 

information to provide a clear and detailed record of the allegations (incidents, issue 

and protected basis) to which the I/O is assigned. 

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COMDTINST M5350.4E 

b. The convening order must also advise the I/O of what to do if he/she uncovers 

additional allegations during the course of the investigation. 

c. The convening order must advise the I/O not to offer any recommendations. 

d. The convening order must be reviewed by the Servicing Legal Office prior to issuance. 

e. The convening order must be issued within 5 days of receipt of allegation. 

f. Convening Authorities will not substitute a Command Climate Survey or similar 

activity for a factual inquiry into specific allegations under this chapter. 

5. Selection of Investigator: The Convening Authority must carefully consider who is 

selected to investigate allegations of harassment or hate. 

a. Factors to consider include maturity, temperament, current assignments, workload, 

education, past experience as an I/O, writing skills, demonstrated ability to exercise 

discretion and maintain confidentiality, demonstrated ability to apply analytical and 

critical thinking skills. 

b. The Convening Authority must also ensure that whoever is selected as the I/O that 

he/she has no substantive professional or personal associations with the 

complainant(s), alleged victim(s), or alleged perpetrator(s), such that a reasonable 

person with knowledge of all the facts and circumstances would not question the I/O’s 

impartiality. 

c. The Convening Authority shall ensure that investigators are not from the same unit 

where allegation arose and that the investigator has no personal or professional 

connections with the parties of the investigation. 

6. Actions by Convening Authority: The Convening Authority and the I/O must ensure that: 

a. The confidentiality of the investigation, complainant(s), alleged victim(s), and alleged 

perpetrator(s) is maintained to the maximum extent practicable. 

b. Only those with a need to know may be advised of the allegations and the existence of 

an investigation. 

c. Convening Authorities must discourage rumors and, when necessary, must consider 

issuing a non-disclosure order to witnesses to prohibit them from discussing the 

matter. 

d. The convening authority will not consult with any individual who has a personal 

interest in the outcome of the investigation – including the alleged perpetrator(s) prior 

to taking final action. Consultation must be limited to those with an official role in the 

matter, including but not limited to the Servicing Legal Office, Civil Rights 

Directorate, and Human Resources representatives. 

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COMDTINST M5350.4E 

e. Convening Authorities will provide or otherwise arrange for administrative and 

logistical support of the AHHI investigation. Convening Authorities must ensure the 

I/O has access to an interview space that is far removed from the work spaces of those 

involved to ensure that meetings are kept confidential and witnesses feel that they can 

speak freely. The Convening Authority must also ensure that the reporting party, 

alleged victims, and alleged perpetrators are not expected or tasked to provide 

logistical support for the investigation. 

f. All parties associated with the complaint or ensuing investigation are provided the 

opportunity to raise any concerns about the investigative process, in writing, with the 

convening authority. Additionally, a military member who has concerns about the 

investigative process may submit an Article 138 complaint in accordance with the 

Military Justice Manual, COMDTINST M5810.1 (series). 

7. Requirement for legal review: Prior to routing the completed investigative report to the 

Convening Authority, the I/O must route it through the Servicing Legal Office for a legal 

sufficiency review. The Servicing Legal Office will be listed on the “Thru” line of the 

report. A signature endorsement on the report by the Servicing Legal Office signifies the 

report is legally sufficient. The I/O must account for the time needed for legal review in 

order to ensure that the deadline for completion is met. 

8. Final Action. The CO/OIC must take final action (i.e., at a minimum, make a formal 

finding whether the alleged conduct occurred) on every investigation. 

a. The final action must be documented in writing and must be a stand-alone document. 

It must provide relevant information such as the identity of the complainant and the 

alleged perpetrator, contact dates, time, locations, allegations, the decision, and any 

actions taken. 

b. Prior to taking final action, the CO/OIC must consult with his/her staff judge advocate. 

The CO/OIC’s finding may substantiate that prohibited harassment as defined in 3.D. 

above occurred. A finding of harassment by the CO/OIC through the AHHI process 

does not substitute for the EEO process. 

c. In order to substantiate an allegation, the CO/OIC must find that it is more likely than 

not that the perpetrator engaged in prohibited harassment and/or hate behaviors as 

defined in this chapter. 

d. Conversely, if the CO/OIC determines that the behavior did not meet these standards, 

the allegation must be unsubstantiated. 

e. Additionally: The CO/OIC must articulate, in a Final Action Memorandum, the basis 

for the determination of whether prohibited harassment occurred and the evidence 

reviewed to reach the determination (see sample memo in Appendix J). 

(1) In cases where the CO/OIC substantiates that prohibited harassment occurred, but 

does not intend to take disciplinary action as a result, the CO must document in the 

Final Action Memo the rationale for not taking disciplinary actions. “Disciplinary 

action” includes punitive, non-punitive, and administrative action. 

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COMDTINST M5350.4E 

(2) Investigations should not be delayed to develop or implement corrective actions. 

(3) The CO/OIC must also address the Final Action Memo to the next superior 

commander in the chain of command, with a copy to the COMDT (CG-00H) and 

CRSP. The CO/OIC must also provide a copy of the investigative report to the 

next superior in the chain of command. That superior command must 

acknowledge receipt and indicate that he/she has considered the report and final 

action. Acknowledgement should take place in writing; either via memo or email. 

The CO/OIC will coordinate any further release of their investigative report to the 

appropriate entities only. 

(4) The CO/OIC will provide a copy of the final Action Memorandum to COMDT 

(CG-00H) and the CRSP no later than 45 calendar days from the date the 

investigation was initiated. The CO/OIC will coordinate any release of the 

investigative report, in discussion with the Servicing Legal Office. Any delay 

beyond 45 days must be accounted for in the Final Action Memorandum. 

(5) If an investigation substantiates prohibited harassment or shows that other 

misconduct occurred, the CO/OIC will initiate, in appropriate cases, administrative 

or disciplinary actions that may include punishment under the Uniform Code of 

Military Justice (UCMJ) for military personnel. In the case of civilian employees, 

if the administrative or disciplinary action involves a personnel action, 

management must consult with the servicing Human Resources Specialist (CG124). 

(6) Notify the reporting party, either verbally or in writing, of the disposition of the 

investigation, and whether or not corrective action has been/will be taken, without 

disclosing the specific nature of any adverse employment action being 

recommended/taken. 

(7) The CO/OIC must take appropriate measure to prevent reprisal for any reported 

harassment or information provided during the investigation of alleged harassment. 

9. CGIS Involvement in Harassment Complaint. CO/OIC must report any harassment 

allegations involving workplace violence, threatening behavior, or felonies, to CGIS or 

other law enforcement agencies, as required by the Coast Guard Investigative Service 

Roles and Responsibilities, COMDTINST 5520.5 (series), because these allegations may 

constitute a UCMJ violation or violation of Federal Criminal Law. When notification of 

CGIS or another law enforcement agency is required, the steps the CO/OIC takes for 

processing a complaint of harassment are modified slightly as indicated below: 

a. Processing of the complaint in accordance with the procedures outlined in the 

preceding section will be held in abeyance for 5 business days to provide time to 

notify the appropriate investigative agency and for that agency to inform the CO/OIC 

whether it intends to pursue an investigation. 

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COMDTINST M5350.4E 

b. If CGIS, or another law enforcement agency, responds that they will not investigate, 

or do not respond within 5 business days, the CO/OIC will continue processing the 

complaint under the procedures outlined in the preceding section. 

c. If CGIS, or another law enforcement agency, informs the CO/OIC that they will 

investigate, the CO/OIC, with the concurrence of CGIS or other law enforcement 

agency, may continue to process the complaint under the procedures of the preceding 

section. 

d. If CGIS, or another law enforcement agency, will investigate, but does not concur 

with the simultaneous processing of the complaint, the CO/OIC must either: 

(1) Hold processing of the complaint in abeyance until CGIS, or other law 

enforcement agency, concurs with the complaint proceeding; or 

(2) Inform CGIS, or other law enforcement agency, in writing, of the decision to 

proceed with processing the complaint despite the non-concurrence. 

e. Follow the procedures outlined in the Workplace Violence and Threatening Behavior, 

COMDTINST 5370.1 (series), 2361802 if the harassment complaint involves: (1) any 

act or attempted act of physical aggression or harm by an individual that occurs at the 

workplace; or (2) threats, either overt or implied, to commit an act of physical 

aggression or harm at the workplace. 

f. The CO/OIC’s 45 calendar day period for submission of the Final Action Memo is 

tolled until CGIS, or another law enforcement agency, determines that the incident 

does not fall within its purview, or 5 business days have passed since such notification, 

whichever comes first. Even when CGIS investigates, the CO/OIC will take final 

action on the investigation and report the final action to the superior commander, with 

a copy to CRSP and COMDT (CG-00H), as described in the preceding section. 

F. Hate Incidents and CO/OIC Responsibilities. CO/OICs and supervisors are expected to 

cultivate an environment that promotes our core values of honor, respect, and devotion to 

duty. Incidents of hatred and prejudice have no place in the Coast Guard. Incidents of hatred 

and prejudice are a vile and divisive part of American history and unfortunately continue to 

occur today. The special procedures for reporting and resolving potential hate incidents 

herein apply to activities on Coast Guard installations and in Coast Guard vessels, aircraft, 

vehicles, facilities, and workspaces. COMDT CG-00H is only responsible for providing 

guidance on the Coast Guard Anti-Harassment and Hate Incident policy and collecting and 

maintaining data. Therefore, contact the servicing CRSP for guidance when a member or 

employee alleges a potential hate incident occurred at a non-Coast Guard installation or 

facility, since each situation is unique. 

1. A hate incident is defined as any intentional act (conduct or speech) of intolerance 

committed against a person, a group of individuals, or property which is motivated, in 

whole or in part, by the offender’s bias against a race, color, religion, sex (including 

gender identity, sexual orientation, and pregnancy), age (40 and over), national origin, or 

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COMDTINST M5350.4E 

disability and which is intended, or is more likely than not, to have the effect of 

intimidating others or inciting others to similar conduct. 

2. Public displays of divisive symbols erode our Service. As such, the display, presentation, 

creation, or depiction of a symbol (including photographs, images, or other printed or 

electronic material) widely identified with oppression or hatred, or that could reasonably 

be construed to encourage oppression or hatred, irrespective of size, type or how it is 

displayed or presented, is a potential hate incident. The following is a non-exhaustive list 

of symbols whose display, presentation, creation, or depiction would constitute a 

potential hate incident: a noose, a swastika, supremacist symbols, Confederate symbols or 

flags, and anti-Semitic symbols, among many others. The display of these types of 

symbols constitutes a potential hate incident because hate-based groups have co-opted 

them as symbols of supremacy, racial or religious intolerance, or other bias. Symbols can 

be presented as images, on any type of material or clothing, as words or numbers, and in 

any combination. Other conduct or speech, including highly charged epithets, slurs, or 

other comments not involving a symbol, can also be a potential hate incident. 

a. The display or depiction of the Confederate battle flag is prohibited in all Coast Guard 

work places, common access areas, public areas, and operating facilities, including 

barracks and other quarters where the flag is readily visible, and the exterior of Coast 

Guard family housing. It includes, but is not limited to, automobile bumper stickers 

and other vehicle adornments, clothing and other apparel, as well as when the flag is 

displayed inside a vehicle but is in plain view and readily visible to the public. The 

prohibition does not apply to state flags or to state-issued license plates, or to displays 

or depictions where the Confederate flag is only an incidental or minor component, 

such as in works of art, or in educational, or historical displays. Commanders will 

order the removal of the Confederate battle flag from the locations to which the 

prohibition applies. 

b. Commanders will also order the removal of other Confederate symbols or flags, or 

other divisive symbols, when they determine, in consultation with the servicing legal 

office, that the display or depiction of these symbols adversely affects loyalty, 

discipline and morale. This Manual can neither anticipate nor describe what 

combination of symbols, words, actions and/or circumstances constitutes a hate 

incident. The unit CO/OIC must examine reference material, carefully consider First 

Amendment protections, and exercise judgment in making determinations on a caseby-case basis. 

3. Creating an exhaustive list of hate symbols is neither possible nor desirable, because 

supremacist and hate groups often add or change symbols and because new groups 

emerge. For more information about symbols of hate, and their potential meaning, 

commanders should consult resources such as the Anti-Defamation League’s on-line 

Hate Symbols Database (https://www.adl.org/hate-symbols), the Department of Justice’s 

Community Relations Service, or other expert sources. 

4. Some displays that in other contexts might be a hate incident, may exist for an 

unquestionably legitimate purpose and raise no concern that they are intended to convey 

hate or to intimidate. As such, displays of objects and symbols that are clearly and only 

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COMDTINST M5350.4E 

historical Coast Guard artifacts, items connected with operations (e.g., objects, photos, or 

paintings displayed onboard units that reflect Coast Guard activities or operations), or 

state-sanctioned items (e.g., state-issued license plates), are not deemed potential hate 

incidents under this policy. Other displays require inquiry and possible removal if they 

otherwise meet the definition in this policy as a potential hate incident. 

5. Once a CO/OIC identifies a potential hate incident, he or she must conduct a preliminary 

inquiry or investigation to determine whether a hate incident has in fact occurred and take 

appropriate action. Context and intent are critical to deciding if a hate incident has 

occurred. 

a. Context includes, among other considerations, type of symbol and how it is displayed; 

other symbols and wording displayed with the symbol; whether a symbol is displayed 

in a public way or in workspaces where its view is unavoidable by others; and the 

duration of a display. 

b. Intent and motivation can be shown by words or conduct. There may be evidence of 

express intent, or intent can be inferred from surrounding circumstances as well as 

from the context of a symbol’s display. 

c. While the decision of whether a hate incident occurred and what action may be 

appropriate resides with the CO/OIC, the Staff Judge Advocate may be consulted for 

assistance. The Administrative Investigations Manual, COMDTINST M5830.1 

(series), allows the CO/OIC to set the scope and scale of a preliminary inquiry or 

standard investigation to satisfy its underlying purpose, unless CGIS conducts the 

investigation. 

6. When a preliminary inquiry is sufficient to conclude that there has been no hate incident 

under these procedures, further investigation may be appropriate if the CO/OIC has reason 

to believe that civilian or military members may be engaged in prohibited harassment or 

extremist activities or have demonstrated a pattern of intolerance, prejudice, hate, or bias. 

7. The CO/OIC should take every opportunity to educate and remind civilian and military 

members that although they themselves may not intend a symbol to be offensive, that 

others may see it as such. The CO/OIC should consistently encourage actions consistent 

with the Coast Guard’s core values. 

8. Orders to remove objectionable symbols, even if the symbols do not meet the definition of 

a hate incident, may be appropriate in some circumstances. This Manual can neither 

anticipate nor describe what combination of symbols, words, actions and/or circumstances 

constitutes a hate incident. The unit CO/OIC must examine reference material, carefully 

consider First Amendment protections, and exercise judgment in making determinations on 

a case-by-case basis. 

G. Notification and Processing for Potential and Actual Hate Incidents. Potential hate incidents 

must be processed as follows, with mandatory notifications when a potential hate incident is 

not ruled out upon preliminary inquiry. These procedures are in addition to the procedures 

set forth pertaining to harassment. Specifically: 

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COMDTINST M5350.4E 

1. Any aggrieved party or witness to a perceived hate incident should report the 

inappropriate conduct to a member in their chain of command. 

2. Upon learning of a perceived hate incident in their respective areas of responsibility, the 

unit CO/OIC must immediately report the incident to the next level in the chain of 

command and their servicing CRSP. 

3. When a harassment complaint is made, and the CRSP discerns that a potential hate 

incident may have occurred but has not been reported, the CRSP should notify the 

CO/OIC so the process described herein can be followed. 

4. The COMDT (CG-00H) will coordinate additional notifications as required and provide 

general oversight of the hate incident response process. 

5. The unit CO/OIC may conduct a preliminary inquiry to determine whether a potential 

hate incident occurred. The inquiry may be informal and brief. If the command believes 

that a standard investigation, as opposed to a preliminary inquiry, is appropriate, the 

command may forego the preliminary inquiry and immediately convene a standard 

investigation. If the reported hate incident is unsubstantiated by the evidence in the 

preliminary inquiry, the CO/OIC will report the outcome via the Final Action Memo to 

the next level in the chain of command and to CG-00H through their servicing CRSP. 

Their Final Action Memo must include the rationale for their decisions. If appropriate, 

the command should proceed with processing the incident as a regular harassment 

complaint. 

6. When the evidence obtained in the preliminary inquiry reveals that a reported incident is 

related to hate, or the preliminary inquiry is inconclusive, the CO/OIC will: 

a. Report the potential hate incident up the chain of command and to the COMDT (CG00H) Director within 48 hours of learning of the incident. The communication must 

be made either through e-mail or through official correspondence. It should include a 

sufficient description of the incident, photographs, and statements when possible. 

(See Appendix K). 

b. The CO/OIC will initiate an investigation as outlined in Section E of this chapter, or 

refer the incidents to CGIS, if appropriate. 

c. Only the first flag officer/Senior Executive Service member in the chain of command 

can authorize an extension of more than 45 days. However, due to the nature of hate 

incidents, the CO/OIC’s goal should be to conclude the administrative investigation 

within 10 calendar days. 

d. The facts and analyses supporting the CO/OIC’s determination are most important. 

e. The CO/OIC must articulate in the Final Action Memo the basis for the determination 

of whether a hate incident occurred and the evidence reviewed to reach the 

determination. 

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COMDTINST M5350.4E 

f. The CO/OIC will provide a copy of the Final Action Memo, including the rationale 

for their decisions and actions, to the CRSP. 

g. The CRSP will not receive a copy of the investigative report. The CO/OIC will 

coordinate any further release of their investigative report to the appropriate entities 

only. 

h. When CGIS investigates, the CO/OIC will take final action and report the results in 

accordance with these procedures when the CGIS investigation is complete. 

i. The CO/OIC must also decide on appropriate action in situations where the conduct or 

speech may not constitute or meet the definition of a hate incident, but nevertheless 

could be divisive or disruptive to command climate and unit cohesion. 

(1) If the incident is deemed not to be hate, the CO/OIC must consider whether it was 

harassment and whether it should be investigated as such. While the decision of 

whether a hate incident occurred and what action may be appropriate resides with 

the CO/OIC, the Staff Judge Advocate must be consulted for assistance. 

(2) When a military member commits a hate incident, a CO/OIC should consult the 

Discipline and Conduct COMDTINST M1600.2 (series), which defines extremist 

activities that are a subset of hate incidents as defined in this Section and makes 

them punitive under the UCMJ. 

(3) For hate incidents committed by civilian employees, consult with the Office of 

Civilian Workforce Relations (CG-124) and the Civilian Personnel Actions: 

Disciplinary, Adverse, and Performance Based Actions, COMDTINST M12750.4 

(series), for disposition options. 

j. Complainants, alleged victims, alleged perpetrators, witnesses, and other person 

involved in the investigation may engage with their commands if they have concerns 

regarding the investigative process. All military and civilian personnel may raise their 

concerns about the investigation to the convening authority in writing. Additionally, a 

military member who has concerns may submit an Article 138 complaint IAW REF 

(C). 

k. In order to protect the parties involved and the integrity of these procedures, 

commanders and CRSPs must limit communication only to those people who have a 

need to know. 

H. Harassment Prevention. A Command that has a climate of prevention is enhanced when 

commanders demonstrate a personal commitment to fair and equal treatment of all Coast 

Guard personnel. Therefore, all Coast Guard supervisors and managers must attend training 

on discrimination, harassment, and bullying policies (as it pertains to EEO/EO protected 

status), including how to respond to an allegation and the importance of exercising discretion 

in communicating about ongoing complaints. Commanders are encouraged to engage in 

initiatives that increase mutual respect, trust, and foster diversity. Specifically, commanders 

must: 

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COMDTINST M5350.4E 

1. Emphasize to all subordinates upon assuming command, and, at least annually thereafter, 

that harassment violates the Coast Guard’s Core Values and will not be tolerated. Stress 

that every alleged harassment incident will be taken seriously and that, when appropriate, 

punitive action will be initiated under the UCMJ or other applicable laws, policies, and 

regulations. Commands must post the Commandant’s Anti-Discrimination and AntiHarassment Policy Statement in a prominent and accessible place to ensure it serves as a 

constant reminder of the Coast Guard’s commitment and dedication to a workplace free 

of discrimination and harassment. 

2. Ensure that all personnel receive the required EEO/EO training. 

3. Use the Defense Organizational Climate Survey (DEOCS), at least annually to assess the 

organization’s climate. 

4. Address all alleged harassment in accordance with this Manual. 

a. The Coast Guard retains the right, where appropriate, to discipline a federal employee 

who has engaged in discriminatory or retaliatory conduct, up to and including 

removal. CO/OIC and supervisors should contact their servicing human resources 

specialist in the Office of Civilian Workforce Relations (CG-124) for more 

information on this course of action. 

b. For further information regarding No FEAR Act regulations, refer to 5 C.F.R. Part 

724, as well as other appropriate federal agencies such as The Office of Personnel 

Management, the EEOC, and the Office of Special Counsel, which provide extensive 

information about federal anti-discrimination and anti-harassment policies. 

I. Sexual Harassment Prevention Policy. 

1. Policy. Sexual harassment is behavior that will not be tolerated in the Coast Guard. In 

keeping with the Anti-Harassment & Hate Incident Procedures Policy, every individual in 

the Coast Guard is entitled to be treated fairly with dignity and respect, and to work in an 

environment free of unlawful discrimination and harassment. 

a. Sexual harassment harms the individual it is directed toward, erodes unit cohesion, 

destroys morale, undermines military readiness, and ultimately hampers the Service’s 

ability to conduct Coast Guard missions effectively. 

b. It is prohibited to retaliate against individuals who provide information about 

incidents of sexual harassment. 

c. This section applies to all Coast Guard civilians, active duty military personnel, cadets 

of the Coast Guard Academy, reserve personnel when performing active or inactive 

duty for training or engaging in any activity directly related to performance of a Coast 

Guard duty or function, members of the Coast Guard Auxiliary when under orders or 

engaged in any activity directly related to the mission of the Auxiliary, and members 

of other branches of the Armed Forces and the U.S. Public Health Service serving 

with the Coast Guard. 

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COMDTINST M5350.4E 

d. The economic costs of sexual harassment are significant. Even more harmful, 

however, are the negative effects of sexual harassment on productivity and readiness, 

including increased absenteeism, greater personnel turnover, lower morale, decreased 

effectiveness, and loss of personal, organizational, and public trust. While not easily 

quantified, these costs are real and seriously hinder the Coast Guard’s ability to 

accomplish its mission. 

2. Legal Background. Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000d et seq., 

makes sex discrimination in the workplace illegal. The courts have identified sexual 

harassment as a clear violation of a person’s right to work in an environment free of 

discrimination. Although Title VII does not explicitly extend the same protections to the 

military, it is Coast Guard policy to apply the same protections to its military workforce. 

3. Definition of Sexual Harassment. Sexual harassment is defined as unwelcome sexual 

advances, requests for sexual favors, and other verbal or physical conduct of a sexual 

nature when: 

a. Submission to such conduct is made either implicitly or explicitly a term or condition 

of employment. 

b. Submission to or rejection of such conduct is used as a basis for employment 

decisions. 

c. Such conduct has the purpose or effect of unreasonably interfering with an 

individual’s work performance or creating an intimidating, hostile, or offensive 

working environment. This definition also encompasses unwelcome display or 

communication of sexually offensive materials. 

4. Types of Sexually Harassing Behavior. Sexual harassment ranges from overt behaviors, 

such as inappropriate touching, to more subtle behaviors, such as suggestive remarks. 

Any intentional behavior that (a) relates to sex, (b) is unwelcome, and (c) interferes with 

a person’s ability to perform their job or negatively affects their working conditions, may 

be classified as sexually harassing behavior. Sexually harassing behavior will not be 

tolerated in the Coast Guard, even if the behaviors do not constitute unlawful harassment. 

In addition to violating Coast Guard policy, such conduct may also violate local, state, or 

federal criminal laws, including punitive articles of the Uniform Code of Military Justice. 

Sexual harassment can occur in a variety of circumstances, including but not limited to 

the following types of situations: 

a. The aggrieved party as well as the harasser may be a female or male. 

b. The aggrieved party does not have to be of the opposite sex of the alleged harasser. 

c. The harasser can be the aggrieved party’s supervisor, an agent of the employer, 

another supervisor, a coworker, or a non-employee. 

d. The aggrieved party can be anyone affected by the offensive conduct, in addition to 

the person actually being harassed/targeted. 

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COMDTINST M5350.4E 

e. Harassment based on perceived or stated sexual orientation is considered sexual 

harassment. 

5. Sexual Offenses. Acts constituting sexual assault, aggravated sexual contact, and abusive 

sexual contact are unlawful. All allegations of sexual assault, aggravated sexual contact, 

and abusive sexual contact must be reported to Coast Guard Criminal Investigative 

Service. For more information on sexual offenses, see Sexual Assault Prevention and 

Response (SAPR) Program, COMDTINST M1754.10 (series), and the Uniform Code of 

Military Justice. 

6. Commandant Mandate. Every member of the Coast Guard is charged to take prompt and 

decisive action to prevent and eliminate sexual harassment. This means that all members 

of the Coast Guard, no matter their rank or position, must constantly be vigilant for signs 

of sexual harassment and take action to stop it. 

a. The CO/OIC and supervisory personnel shall not tolerate sexual harassment at their 

units and are required to take immediate corrective action when it occurs. 

b. All Coast Guard personnel are required to receive Sexual Harassment Prevention 

(SHP) training in the areas of identification, prevention, resolution, and elimination of 

sexual harassment. The SHP training must be completed within 90 calendar days of 

accession into the Coast Guard, to the extent possible, and annually thereafter. 

Annual training keeps issues current and requires that leadership be actively involved 

in the prevention of sexual harassment. Auxiliary members must receive training as 

an element of the basic qualification process. SHP training, which is a substantial part 

of the Civil Rights training, is described in detail in Chapter 4 of this Manual. 

7. Responding to Sexual Harassment. When a person experiences sexual harassment, he or 

she should not ignore the problem or assume it will stop. Sexual harassment usually 

intensifies when it is ignored, because the harasser assumes the behavior is accepted or 

encouraged. Individuals who believe they are being sexually harassed in the workplace 

should: 

a. Tell the harasser that the behavior is unwelcome and must cease immediately. 

b. Report such behavior immediately to the supervisor or to an official at a higher level. 

c. Seek advice on how to deal with the situation from the servicing CRSP. 

8. Documenting Sexual Harassment. It is important to document any experience of 

harassing behavior, including: 

a. Dates, times, and locations in which events occurred. 

b. Witnesses to the harassment. 

c. Specific recollection of comments or behavior. 

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COMDTINST M5350.4E 

9. Reporting Sexual Harassment. Sexual harassment is a serious issue and every supervisor 

and Commander has an obligation to take action when made aware of a problem. When 

sexual harassment has occurred or is taking place the person experiencing harassment can 

choose to confront the harasser. However, if the person is uncomfortable confronting the 

harasser, or the situation is so severe that it is dangerous or unreasonable to do so, the 

person should immediately bring the matter to the attention of a supervisor or CO/OIC in 

private. If the supervisor is the alleged harasser, the harassment should be reported to the 

next higher level in the chain of command. Additionally, at any point, individuals 

experiencing harassment or retaliation have the right to initiate an EEO/EO complaint or 

seek guidance from a servicing CRSP. 

10. Acts of Retaliation. Acts of retaliation for reporting prohibited harassment or 

participating in an investigation is prohibited. If anyone feels that they are being 

retaliated against or punished or suffering negative consequences as an employee of the 

Coast Guard because of the fact that they experienced, reported or attempted to stop or 

prevent harassment, they may also file a complaint regarding the retaliation issue. See 

Chapter 5 of this Manual for details on the process of filing complaints. 

11. Responsibilities of the CO/OIC, Managers, and Supervisors. CO/OIC, managers, and 

supervisors are required to follow the steps outlined in the Harassment Complaint 

Procedures in this chapter when they become aware or are notified of sexual harassment 

allegations. The CO/OIC, Managers, and Supervisors should be sure that their conduct 

sets an example and is not such that they may be vulnerable to claims of sexual 

harassment. 

12. Knowledge and Recording. All levels of leadership need to maintain accountability for 

the behavior of their subordinates. Leaders and supervisors who fail to recognize acts of 

sexual harassment and take appropriate action are not performing the responsibilities and 

duties of their position. Leadership must be knowledgeable of sexual harassment 

prevention policies and must take appropriate administrative and/or disciplinary action 

once harassment is reported. The CO/OIC, Managers, and Supervisors must ensure that 

all unit personnel receive SHP training each year. 

J. Whistleblower Protection. Retaliation or harassment of an employee or applicant for 

employment because he or she discloses information that is reasonably believed to evidence 

violations of law, rule or regulation, gross mismanagement, gross waste of funds, an abuse of 

authority, or a substantial and specific danger to public health or safety is prohibited. This 

applies unless disclosure of such information is specifically prohibited by law and such 

information is specifically required to be kept secret by executive order in the interest of 

national defense or the conduct of foreign affairs. Civilian personnel who believe that they 

are subjected to whistleblower retaliation may file a complaint with the DHS Office of 

Inspector General (OIG) or the U.S. Office of Special Counsel (OSC). Military members 

who believe they are subjected to whistleblower retaliation may file a complaint with the 

DHS OIG, but not the U.S. OSC. The website for the DHS OIG for whistleblowers seeking 

assistance is: https://www.oig.dhs.gov/whistleblower-protection. The U.S. OSC’s website 

for filing a complaint is: https://osc.gov/pages/file-complaint.aspx. 

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COMDTINST M5350.4E 

CHAPTER 4 PROGRAMS IMPLEMENTING AFFIRMATIVE EQUAL 

EMPLOYMENT OPPORTUNITY OBLIGATIONS 

A. Affirmative Programs. 

1. Introduction. The Coast Guard’s Affirmative Programs of Equal Employment Opportunity 

and Equal Opportunity are driven by the affirmative obligation policies introduced in Chapter 

3. The preceding chapter described the obligations for federal agencies relative to civil rights 

requirements. This chapter sets forth the types of activities that are authorized and/or 

required in the fulfillment of those obligations at the Coast Guard. The overarching purpose 

is to accomplish the self-assessment and strategic planning required by the Equal 

Employment Opportunity Commission (EEOC) Management Directive (MD) 715, which 

requires agencies to take appropriate steps to ensure that all employment decisions are free 

from discrimination, and sets forth the standards by which EEOC will review the sufficiency 

of agency Title VII and Rehabilitation Act programs. The Coast Guard’s MD-715 report can 

be found at www.uscg.mil/resources/civil-rights/reports-and-references. Special Emphasis 

Programs (SEPs) support this purpose and help to implement its goals. Other tools, such as 

the Command Checklist, Climate Surveys, and the EO Review/Assessment assist in 

achieving a workplace that promotes civil rights and equal opportunity in every aspect of 

Coast Guard’s employment practices, including the hiring, development, advancement, and 

treatment of employees and applicants for employment. Through its training programs, the 

Coast Guard affords its members the opportunity to learn about their civil rights and 

responsibilities. Personnel also obtain proficiencies in agency policies and procedures that 

help them to exercise those rights and fulfill their responsibilities. 

2. Affirmative Programs of Equal Employment Opportunity and Equal Opportunity. These 

programs are designed to integrate access, inclusion, and equality of opportunity into all 

aspects of the agency’s mission and align civil rights principles with strategic agency plans 

and objectives. 

a. Elements of a Model EEO/EO Program. As noted in this and in previous chapters, 

EEOC MD-715 requires federal agencies to work toward achievement of a model 

EEO program through compliance with the six program elements and leadership 

actions outlined in this section. 

(1) Demonstrated Commitment from Agency Leadership. The EEOC MD-715 

requires agency heads and other senior management officials to demonstrate a firm 

commitment to equality of opportunity for all employees and applicants for 

employment. Even the best workplace policies and procedures will fail if they are 

not trusted, respected and vigorously enforced. Agencies must translate equal 

opportunity into every-day practice and make those principles a fundamental part 

of agency culture. This commitment to equal opportunity must be embraced by 

agency leadership and communicated through the ranks from the top down. It is 

the responsibility of each agency head to take such measures as may be necessary 

to incorporate the principles of equal employment opportunity into the agency’s 

organizational structure. To this end, agency heads must issue a written policy 

statement expressing their commitment to EEO and a workplace free of 

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COMDTINST M5350.4E 

discriminatory harassment. This statement should be issued at the beginning of 

their tenure and thereafter on an annual basis and disseminated to all employees. 

In addition, agency heads and other senior management officials may, at their 

discretion, issue similar statements when important issues relating to equal 

employment opportunity arise within their agency or when important 

developments in the law occur. 

(2) Integration of EEO into the Agency’s Strategic Mission. Equality of opportunity 

is essential to attracting a qualified workforce capable of supporting and achieving 

the agency’s strategic mission. To this end, and in addition to the regulatory 

requirements found at 29 C.F.R. Part 1614.102(b)(4), as interpreted in EEOC MD110, agencies must: 

(a) Maintain a reporting structure that provides the agency’s EEO Director with 

regular access to the agency head and other senior management officials for 

reporting on the effectiveness, efficiency, and legal compliance of the agency’s 

Title VII and Rehabilitation Act programs. To emphasize the importance of 

the position, the agency head should be involved in the selection and 

performance review of the EEO Director. 

(b) Ensure EEO professionals are involved with, and consulted on, the 

management and deployment of human resources. The EEO Director should 

be a regular participant in senior staff meetings and regularly consulted on 

human resources issues. 

(c) Allocate sufficient resources to create and/or maintain Title VII and 

Rehabilitation Act programs that: 1) identify and eliminate barriers that impair 

the ability of individuals to compete in the workplace because of race, national 

origin, sex, or disability; 2) establish and maintain training and education 

programs designed to provide maximum opportunity for all employees to 

advance; and 3) ensure that unlawful discrimination in the workplace is 

promptly corrected and addressed. 

(d) Attract, develop, and retain EEO staff with the strategic competencies 

necessary to accomplish the agency’s EEO mission, and interface with agency 

officials, managers, and employees. 

(e) Recruit, hire, develop, and retain supervisors and managers who have effective 

managerial, communications and interpersonal skills. Provide managers and 

supervisors with appropriate training and other resources to understand and 

successfully discharge their duties and responsibilities. 

(f) Involve managers and employees in the implementation of the agency’s Title 

VII and Rehabilitation Act programs. 

(g) Use various media to distribute EEO information concerning federal EEO 

laws, regulations and requirements, rights, duties and responsibilities and to 

promote best workplace practices. 

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COMDTINST M5350.4E 

(3) Management and Program Accountability. A model Title VII and Rehabilitation 

Act program will hold managers, supervisors, EEO officials, and personnel 

officers accountable for the effective implementation and management of the 

agency’s program. In ensuring such accountability, the agency must: 

(a) Conduct regular internal audits, on at least an annual basis, to assess the 

effectiveness and efficiency of the Title VII and Rehabilitation Act programs, 

and to ascertain whether the agency has made a good faith effort to identify 

and remove barriers to equality of opportunity in the workplace. 

(b) Establish procedures to prevent all forms of discrimination, including 

harassment, retaliation, and failure to provide reasonable accommodation to 

qualified persons with disabilities. 

(c) Evaluate managers and supervisors on efforts to ensure equality of 

opportunity for all employees. 

(d) Maintain clearly defined, well-communicated, consistently applied and fairly 

implemented personnel policies, selection and promotion procedures, 

evaluation procedures, rules of conduct, and training systems. 

(e) Implement effective reasonable accommodation procedures that comply with 

applicable executive orders, EEOC guidance, the Architectural and 

Transportation Barriers Compliance Board’s Uniform Federal Accessibility 

Standards, and Electronic and Information Technology Accessibility 

Standards. Ensure that EEOC has reviewed those procedures when initially 

developed and if procedures are later significantly modified. 

(f) Be mindful of the agency’s disability program obligations, including the 

provision of reasonable accommodations, when negotiating collective 

bargaining agreements with recognized labor organization(s) representing 

agency employees. 

(g) Ensure effective coordination between the agency's EEO programs and 

related human resources programs, including the Federal Equal Opportunity 

Recruitment Program (FEORP) Plan, and the Selective Placement Programs. 

(h) Review each finding of discrimination to determine the appropriateness of 

taking disciplinary action against agency officials involved in the matter. 

Track these decisions and report trends, issues and problems to agency 

leadership for appropriate action. 

(i) Ensure compliance with settlement agreements and orders issued by the 

agency, EEOC, and EEO-related cases from the Merit Systems Protection 

Board, labor arbitrators, and the Federal Labor Relations Authority. 

(4) Proactive Prevention of Unlawful Discrimination. Agencies have an ongoing 

obligation to prevent discrimination on the bases of race, color, national origin, 

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COMDTINST M5350.4E 

religion, sex, age, disability, genetic information, and reprisal, and to eliminate 

barriers that impede free and open competition in the workplace. As part of this 

ongoing obligation, agencies must conduct a self-assessment on at least an annual 

basis to monitor progress, identify areas where barriers may operate to exclude 

certain groups, and develop strategic plans to eliminate identified barriers to 

employment. 

(5) Efficiency. Agencies must have an efficient and fair dispute resolution process 

and effective systems for evaluating the impact and effectiveness of their EEO 

programs. This requires agencies to: 

(a) Maintain an efficient, fair, and impartial complaint resolution process. 

Agencies should benchmark against EEOC regulations at 29 C.F.R. Part 1614 

and other federal agencies of similar size highly ranked in EEOC’s annual 

report on the federal sector complaints process. 

(b) Ensure that the investigation and adjudication function of the agency’s 

complaint resolution process are kept separate from the legal defense arm of 

the agency or other agency offices with conflicting or competing interests. 

(c) Establish and encourage the widespread use of a fair ADR program that 

facilitates the early, effective, and efficient informal resolution of disputes. 

Appoint a senior official as the dispute resolution specialist of the agency 

charged with implementing a program to provide significant opportunities for 

ADR for the full range of employment-related disputes. Whenever ADR is 

offered in a particular workplace matter, ensure managers at all appropriate 

levels will participate in the ADR process. 

(d) Use a complaint tracking and monitoring system that permits the agency to 

identify the location, status, and length of time elapsed at each stage of the 

agency’s complaint resolution process, the issues and the bases of the 

complaints, the aggrieved parties, complainants, the involved management 

officials, and other information necessary to analyze complaint activity and 

identify trends. 

(e) Identify, monitor, and report significant trends reflected in complaint 

processing activity. Analysis of data relating to the nature and disposition of 

EEO complaints can provide useful insight into the extent to which an agency 

is meeting its obligations under Title VII and the Rehabilitation Act. 

(f) Ensure timely and complete compliance with EEOC orders and the provisions 

of settlement/resolution agreements. 

(g) Maintain a system that collects and sustains accurate information on the race, 

national origin, sex, and disability status of agency employees. See 29 C.F.R. 

Part 1614.601 for further guidance. 

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COMDTINST M5350.4E 

(h) Maintain a system that tracks applicant flow data, which identifies applicants 

by race, national origin, sex and disability status and the disposition of all 

applications. EEOC issues guidance on collecting and maintaining applicant 

flow data. 

(i) Maintain a tracking system of recruitment activities to permit analyses of 

these efforts in any examination of potential barriers to equality of 

opportunity. 

(j) Identify and disseminate best workplace practices. 

(6) Responsiveness and Legal Compliance. Agencies must: 

(a) Ensure that they are in full compliance with the law, including EEOC 

regulations, orders and other written instructions. See 42 U.S.C. § 2000e16(b). 

(b) Report agency program efforts and accomplishments to EEOC and respond to 

EEOC Directives and orders in accordance with EEOC Instructions and time 

frames. 

(c) Ensure that management fully and timely complies with final EEOC orders 

for corrective action and relief in EEO matters. 

b. EEO Program Assessment. The major components of EEO/EO programs are selfassessments and strategic plans of action to correct noted deficiencies and to remove 

workforce barriers. A “barrier” is a policy, principle, practice, or condition that limits 

or tends to limit employment opportunities for members of a particular gender, race, 

ethnicity, or disability status. The Civil Rights Directorate monitors the Coast 

Guard’s progress toward achieving EEO/EO goals, and awareness through periodic 

reports of compliance with items delineated in the Civil Rights Command Checklist 

(see Appendix G). 

c. Roles and Responsibilities. 

(1) All USCG Organizations are responsible for EEO/EO programs within their area 

of responsibility, including certification of all actions and reports. 

(2) The CO/OIC integrate EEO/EO principles into their strategic plans, and conducts 

annual command self-assessments (Command Checklist). 

(3) The COMDT 00-H Headquarters and Civil Rights Service Providers at the field 

level, Equal Opportunity Advisors (EOA), Equal Employment Opportunity 

Specialists (EEOS), Regional Civil Rights Directors, and Deputy Directors advise 

and assist the CO/OIC with self-assessments and implementation of EEO/EO 

programs. 

3. Special Emphasis Programs (SEPs). 

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COMDTINST M5350.4E 

a. Purpose. Special Emphasis Programs (SEPs) are an integral part of the Coast Guard 

Civil Rights Program and are utilized to support the objectives of the affirmative 

programs of equal employment opportunity. The term “Special Emphasis Programs” 

refers to employment-related activities that focus attention on groups whose 

participation rates fall below their relevant rate of participation in the National 

Civilian Labor Force (NCLF). 

(1) SEPs are intended to promote equity, fairness, and equal opportunity; address the 

unique and special concerns of all targeted groups within the workforce; and 

support EEO program planning processes and goals. 

(2) SEPs are a subset of the Affirmative Programs of Equal Employment Opportunity. 

SEP personnel report to the District Commander. However, servicing civil rights 

managers and District Commanders will jointly nominate, appoint, and approve 

volunteer SEP Coordinators and committee members who coordinate special 

observances. To ensure that planned programs for these special observances 

conform to the intent of affirmative programs for equal opportunity, all planned 

activities must be approved by the servicing civil rights manager. A current list of 

USCG SEPs is at Appendix D. 

(3) The FWP, HEP, and PWDP are mandated programs, required for units with 50 or 

more assigned civilians. Establishment of other SEPs may vary by unit pursuant 

to the availability of personnel, time, support, and recognized need or interest. For 

example, district forces plan activities that are open to participation by units within 

the commuting area. As well, units may collaborate in implementing programs for 

their joint benefit. The execution of these programs ensures that the Coast Guard 

takes affirmative steps to provide equal opportunity, educational, and career 

exposure and recognition to minorities, women, and persons with disabilities in all 

areas of employment. 

b. Goals of Special Emphasis Programs. The goals of SEPs include: 

(1) Identifying and assisting leadership in removing barriers to civil rights and equal 

opportunity in recruiting, hiring, training, advancement, and treatment of each 

targeted group. 

(2) Educating managers, supervisors, and staff about the various forms of 

discrimination within the Coast Guard. 

(3) Monitoring Coast Guard progress in eliminating discrimination and adverse 

impact on each targeted group in employment by use of EEOC MD-715 elements 

of a model EEO program. 

(4) Recognizing the achievements of targeted internal and external persons who have 

made significant local or national contributions toward raising awareness of the 

value of diversity in the workplace. 

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c. Elements of Special Emphasis Programs. The important elements of SEPs are the 

identification of equal employment opportunity deficiencies and workforce barrier 

removal; education programs and cultural observances; community outreach; and 

networks and informal partnerships. 

(1) Barrier Analysis Process. The Coast Guard practices a collaborative approach to 

barrier analysis through a cross-functional team. The Barrier Analysis Team, 

appointed annually, is made up of Civil Rights and Human Resources Directorate 

personnel. The team is stratified into three entities: an Executive Guidance Team, 

an Oversight Committee, and a Working Group that conducts barrier analysis of 

the entire civilian workforce. The Working Group convenes regularly each fiscal 

year for training, trigger identification, root cause analysis, barrier determination, 

progress reviews of ongoing plans to eliminate barriers, and periodic updates to 

the Oversight Committee and Guidance Team. 

(2) Special Observances. Special Observances are command functions that support 

equal opportunity goals and Coast Guard core values. The events and activities 

are designed to enhance cross-cultural and cross-gender awareness and to promote 

harmony, pride, teamwork, and esprit de corps among military members, their 

families, and the civilian workforce. They are conducted to recognize the 

continuous achievements of all Americans to American culture and to increase 

awareness, mutual respect, and understanding. The special observance events are 

an integral part of the Coast Guard’s Civil Rights programs and help the Service 

achieve its objectives for the promotion of equality, dignity, and respect for all 

members that make up its workforce. 

(3) Outreach. Outreach initiatives raise greater awareness and support for Coast 

Guard missions and employment opportunities, especially in geographic areas and 

within organizations whose demographics will meet the needs of the Service. 

Outreach efforts include working with Partnership in Education programs, Special 

Emphasis Programs, Affinity Groups, Recruiters, Auxiliarists, and developing 

other internal and external collaborations with national and community-based 

organizations, education institutions, and businesses. 

d. Roles and Responsibilities of Special Emphasis Programs. The Coast Guard 

proactively embraces and supports the Department of Homeland Security EEO 

Special Emphasis Programs. In this regard, Commandant (CG-1) and Commandant 

(CG-00H) work in concert to promote and ensure active participation at the various 

SEP events and activities at the National, Department, and local levels. In this 

manner, Commandant (CG-00H) has responsibility for planning and coordinating 

attendance to the SEP meetings and events at the national level and for SEP activities 

at the local level generally supported by the LDAC members; Commandant (CG-00H) 

has responsibility for planning, coordinating and implementing the Executive 

Champion Ethnic Observances Program at the CG headquarters level. In addition, 

SEP Coordinators and LDAC members often work collaboratively to plan SEP 

activities, ethnic observances, professional development events, and other events in 

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COMDTINST M5350.4E 

support of the CG Special Emphasis Programs at their locations. The following 

represents some responsibilities: 

(1) Ensuring best practices for federally mandated and optional SEPs. 

(2) Advising management about matters affecting the employment and advancement 

of women, members of targeted ethnic groups, and individuals with disabilities. 

(3) Working in a collaborative manner to explore ways to increase awareness of 

employment opportunities for low participating groups in the workforce. 

(4) Promoting cultural awareness and career development through special 

observances and education programs that focus attention on the unique and special 

concerns of groups whose participation rates in the federal workforce fall below 

those found in the National Civilian Labor Force. 

e. Federally Mandated Programs. The following SEPs are mandated in 29 C.F.R. Part 

1614. 

(1) Federal Women’s Program. Key objectives of the Federal Women’s Program 

(FWP) are to recruit, hire, and promote women to senior management levels 

including the Senior Executive Service (SES); and provide access to educational 

resources and self-improvement opportunities for women. 

(2) Hispanic Employment Program. Key objectives of the Hispanic Employment 

Program (HEP) are to ensure that Hispanic personnel receive fair consideration 

and are selected in hiring, training, career-enhancing assignments, and promotion 

to senior management levels, and increase Hispanic representation at all grade 

levels including SES and all occupational series within the Coast Guard. 

(3) Persons with Disabilities Program. Key objectives of the Persons with Disabilities 

Program (PWDP) are to ensure Coast Guard compliance with all federal 

regulations regarding the hiring, training, and promotion of persons with 

disabilities to senior management level including SES. The program is designed 

to advise leadership, managers, and supervisors on resources available to comply 

with Reasonable Accommodation policy as described in this Manual. 

f. Other Special Emphasis Programs. Other common SEPs include, but are not limited 

to, Asian American/Pacific Islander, Native American/Alaskan Native, and 

Black/African American Employment Programs. The objectives of these programs 

are to increase the total number of personnel in these groups in all employment 

categories and grade levels including SES; provide opportunities to participate in 

training and training programs such as details, graduate studies, and others; provide a 

network of professional and mentoring support; and encourage participation in all 

Coast Guard sponsored programs and activities. 

g. Cultural Observance/Awareness Events. Educational programs and cultural 

observances are effective ways to promote the employment and advancement of 

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COMDTINST M5350.4E 

women, minorities, and persons with disabilities. A list of cultural 

observances/awareness events observed by the Coast Guard can be found at Appendix 

E. 

(1) Educational programs focus on the needs of current employees and provide 

opportunities to improve skills in such areas as career development, public 

speaking, or preparing resumes. 

(2) Cultural observances are opportunities to promote awareness and to recognize the 

accomplishments of individuals or groups of people and show how their 

experiences fit into our collective American history. 

(3) For additional information and resources, including observance support products, 

visit the Defense Equal Opportunity Management Institute (DEOMI) website. 

h. Measures of Success. For educational programs and cultural observances to be 

successful, they must be well organized, well attended, and connected to the overall 

missions of the Coast Guard. The CO/OIC and supervisors should encourage 

maximum participation at these events. 

i. Funding for Cultural Observances. The Financial Resource Management Manual 

(FRMM), COMDTINST M7100.3 (series), provides information about how 

appropriated funds may be used to support activities that further the EEO objectives of 

the cultural awareness program. All fund-supported events must attempt to educate 

our workforce about the history and contributions of a particular culture. The FRMM 

contains the most current guidelines about which uses of appropriated funds are 

authorized for cultural events, specifically: 

(1) Food. Small samples of ethnic foods may be provided. 

(2) Speaker Fees. Speaker fees or honoraria may be authorized. 

(3) Cultural Performances. All cultural observances programs and performances 

must be approved by the command to ensure they advance EEO objectives. The 

CO/OIC and supervisors will ensure that projected events amplify the 

contributions made to the Coast Guard and to society by the featured ethnic or 

racial group. 

4. Partnership in Education Program. 

a. Purpose. This section describes the policy for carrying out the National Partnership in 

Education (PIE) program for the Coast Guard in accordance with Presidential 

Proclamation 5112 and the National and Community Service Act of 1990, 42 USC. § 

12642. 

b. Legal Obligations. The PIE program increases the Coast Guard’s potential for 

recruiting a diverse workforce. The PIE Program promotes excellence in education by 

helping local school systems and community groups, especially in communities with 

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large minority populations, by providing elementary through high school students 

with opportunities to achieve academic excellence in many fields of study, particularly 

English, history, science, mathematics, engineering, technology, and marine science, 

and by advancing student awareness of Coast Guard missions and people. In keeping 

with these goals, Coast Guard units have also developed partnerships with colleges 

and universities. 

(1) Presidential Proclamation 5112 established the National Partnership in Education 

program. After its establishment, the President later requested that each 

Executive Department set up partnerships with local schools. The Proclamation 

suggested that elements of agency programs include employees volunteering in 

tutoring programs, sponsoring field trips and tours, participation in educational 

programs and providing honorariums. 

(2) The National and Community Service Act of 1990, 42 USC. § 12642, directs the 

head of each federal agency to design and carry out a comprehensive strategy to 

involve employees in partnership programs with elementary and secondary 

schools. 

(3) 29 C.F.R. Part 1614 directs each federal agency to proactively engage with 

schools and universities to improve opportunities for federal employment and to 

help improve local community conditions that may affect employability. 

c. Background. The Coast Guard is committed to providing PIE programs that enhance 

educational opportunities and career awareness for the Nation’s youth through direct 

participation in educational programs. All members of the Coast Guard family are 

encouraged to actively participate in their communities. All commands should 

establish local partnership programs. 

(1) The Coast Guard is committed to achieving diversity in its workforce. Achieving 

diversity, however, will become increasingly difficult as the competition for 

qualified women and minority applicants continues to intensify. In response to 

this, the Coast Guard is committed to continuing to address low participation of 

minority groups. 

(2) All units are encouraged to enter into cooperative programs with schools. 

Volunteers can work directly with students to heighten their awareness of the 

Service’s traditional Core Values, a drug-free lifestyle, emphasis on scholarship, 

personal initiatives and responsibility, and individual self-worth. Coast Guard 

personnel have the opportunity to inform students of the many rewarding careers 

offered, which will enhance the Coast Guard’s viability as a possible career 

opportunity upon graduation from high school. 

(3) Partnerships may extend beyond unit activities. Reservists, civilians, and retirees 

may be involved in building relationships with local schools, preferably those 

with large minority or diverse enrollment. Program options may include 

sponsoring school field trips to units, sending representatives to schools to offer 

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COMDTINST M5350.4E 

presentations to students on career focus days, recognizing the achievements of 

students, joint participation in other school and unit events, as well as 

collaborating with community-based organizations and local businesses. 

(4) Units should register their Partnership in Education programs and activities on the 

USCG Portal PIE Site annually, at the beginning of the school year. Although 

prior registration year data is available on the portal site, the information does not 

carry over to the new school year. 

d. Responsibilities. All Coast Guard unit commanders, CO/OIC, deputy/assistant 

commandants, and chiefs of headquarters staff elements must comply as follows: 

(1) The Civil Rights Directorate’s designee is the Senior Coast Guard Official defined 

under the National and Community Service Act of 1990. The Director 

promulgates policy and guidelines for the Coast Guard Partnership in Education 

program. The Civil Rights Directorate (COMDT 00-H) provides information and 

guidelines to PIE Coordinators, and administers a Service-wide program for 

annual Coast Guard partnership awards. 

(2) Unit commanders and the CO/OIC authorize and support PIE programs; appoint a 

PIE Program Coordinator and forward the name, address and phone number of the 

program coordinator to the Civil Rights Directorate; nominate participants for the 

annual Partnership In Education Awards—individual participation should be 

recognized through the Medals and Awards Program, or current instructions for 

civilian honorary awards; and report all program initiatives to COMDT 00-H, via 

the USCG Portal PIE Site. A list of Coast Guard Civil Rights Awards is detailed 

in Appendix F. 

(3) All commands encourage participation by all active, reserve, auxiliary and civilian 

personnel and provide a reasonable amount of time for personnel to voluntarily 

participate in program activities. Civilian employees wishing to participate in PIE 

activities during duty hours, may do so using leave flexibilities such as accrued 

annual leave, compensatory time off, leave without pay, or if on an alternative 

work schedule, credit hours (under a flexible work schedule), or scheduling 

participation on a regular day off under a compressed work schedule. 

(4) Partnership in Education Program Coordinators must guide, help, develop, 

implement, and coordinate partnership programs. 

(5) Local Recruiting Commands may assist Partnership in Education Program 

Coordinators with identifying schools for participation. 

e. Guidelines. The guidelines are divided into four broad categories based on school 

needs. Local programs may address any or all of those needs. The guidelines are: 

(1) Advocacy/Advisory Programs. These programs are developed to increase the 

involvement, for example, of police, firefighters, community leaders, and business 

people, in terms of goal setting and the role of their particular agency or unit. 

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These leaders provide advice on special academic projects, for example, the 

Saturday Academy, science fairs, hobbies and computer literacy workshops; 

special programs, such as school beautification or fitness programs; curriculum 

committees, for example, oceanography, marine science, engineering, 

mathematics, information systems management and technology; or help in 

fundraising activities. 

(2) Instructional Support Programs. Individuals or groups may participate in subjectspecific tutorial services or classroom presentations; provide interpretive services; 

share subject matter expertise in the classroom; provide guest instructors; 

participate in a speakers’ bureau; help motivate students through career awareness 

or job shadowing experiences; provide role models to encourage and promote 

interest in the sciences, technology, engineering, and mathematics (STEM); 

present contests and awards; establish mentoring programs; provide role 

interaction as professional partners; and work with the school staff to develop new 

programs or learning materials, which reflect actual application of classroom 

subjects. 

(3) Enrichment Programs. Coast Guard members work with specific groups of 

students to improve individual skill and leisure activities; set up courses for 

students and staff at the workplace; set up and encourage extracurricular clubs, for 

example, math, computers, electronics, marine science, boating safety; conduct 

tours of a Coast Guard unit, district, or workplace; sponsor field trips to unit, 

region, or cultural events; and provide display space for student creations and 

performances. 

(4) Extended Service Programs. Coast Guard members provide internships or job 

placement for summer, part-time, or yearlong; discuss career opportunities; 

provide shadowing experiences; assist in employment/training opportunities and 

seminars; sponsor tours to provide world of work exposures; recognize 

outstanding students and staff; initiate a scholarship fund; directly contribute to 

specific projects; and provide technical aid, instruction or services, for example, 

electronics, marine biology, and technology. 

f. Partnership in Education Funding. Pursuant to the National and Community Service 

Act of 1990, the Coast Guard’s established PIE Program is an official function. 

Accordingly, limited funding and resources may be used to support PIE activities. 

Collective expenditures of appropriated funds, time, and resources should be 

reasonable and prudent. Expenses incurred in support of the PIE Program should be 

de minimis, meaning amounts of an inconsequential nature. Thus, for any or all of the 

stated purposes of the PIE Program, nominal items such as rulers, plaques, pins, 

educational materials or awards may be procured. The unit command is responsible 

for determining “reasonable” funding expenditures, and/or whether potential activities 

are beneficial to the government and consistent with federal requirements. 

g. Partnership in Education, Funding Potential Liabilities, and Legal Considerations. In 

deciding whether to authorize funding or resources for a particular PIE activity, be 

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COMDTINST M5350.4E 

aware of the potential liabilities. For example, transporting school age children or 

orchestrating field events for them may give rise to legal risk should an accident 

involving injury occur. Such determinations must be made on a case-by-case basis in 

consultation with the servicing legal office. 

h. Standards of Conduct. The standards of conduct applicable to Service members and 

employees prohibit the solicitation, or acceptance, directly or indirectly, of any gift or 

other item of monetary value, from a person who: (1) has, or is seeking to obtain, 

contractual or other business or financial relationships with the Coast Guard; (2) 

conducts operations or activities that are regulated by the Coast Guard; or (3) has 

interests which may be substantially affected by the performance or nonperformance 

of that employee’s official duties. Coast Guard members and employees are also 

prohibited from using their name, Government title, or position, directly or indirectly, 

in the solicitation of funds for a third party, including nonprofit educational 

institutions. Assistance in fundraising should be undertaken only after consulting with 

the appropriate legal officer. 

5. Civil Rights Awards Programs. Each year the Coast Guard, along with the other military 

services, participates in national awards ceremonies to recognize military and civilian 

employees of the Services for their accomplishments and contributions to civil rights and 

EO in minority communities and to PIE programs. In January of each year, Commandant 

(CG-00H) will release an ALCOAST listing the award programs that the Coast Guard 

will participate in for that year and approximate times for each event. Individual 

ALCOASTs soliciting nomination packages for each award will be released when details 

become available and will include selection criteria, period of performance, deadline to 

submit nomination packages, and date and location of the award ceremony. Commandant 

(CG-00H) will also fund travel and per diem for award winners to attend the award 

ceremonies if funds are available. 

a. Types of Awards. The awards presented fall into two categories: Individual and Unit 

awards. 

b. Nominations. Any Coast Guard member, military (active duty or reserve), or civilian 

may submit nominations for awards to Commandant (CG-00H) through the chain of 

command, in accordance with award package submission guidelines that are described 

in the annual solicitation ALCOAST. These guidelines require a CO/OIC to endorse 

all nomination packages prior to submission. Commandant (CG-00H) will appoint an 

awards board to review the nomination packages, and recommend the award winners. 

Commandant (CG-00H) will validate, notify the unit of the award recipients, and will 

also publish award winners via ALCOAST. 

c. List of Awards. A list of the awards for which CRD solicits nominations USCG-wide 

is at Appendix F. 

6. Civil Rights Command Checklist. In addition to the EEOC and DHS, the Civil Rights 

Directorate is responsible for oversight of Coast Guard’s civil rights functions, ensuring 

that civil rights requirements are met enterprise-wide. The Civil Rights Directorate must 

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COMDTINST M5350.4E 

be able to pass compliance information, new and/or changed regulations and requirements 

to and from entities in an organized and reliable manner that assures accuracy and 

consistency, and helps the Service achieve sustained compliance. Use of a compliance 

checklist can help ensure that program execution, including training, performance 

proficiencies, and protection of Personally Identifiable Information (PII) comports with 

the law and is consistent throughout the Coast Guard. 

a. Legal Mandate. In accordance with the EEOC MD-715, agencies are required to 

“conduct a self-assessment on, at least, an annual basis to monitor progress and 

identify areas where barriers may operate to exclude certain groups.” 

b. Procedures. 

(1) The CO/OIC are responsible for the EEO/EO compliance of their commands. By 

October 31st of each year, the CO/OIC of units with 50 or more personnel, will 

certify, through their CRSP, their knowledge of and compliance with the 

applicable authority, by way of completing the Command Checklist. An example 

of a Command Checklist is at Appendix G. 

(2) For each deficiency, the CO/OIC must submit a statement describing their plan to 

correct it, and report separately, in a memorandum, when compliance has been 

achieved. 

(3) The CO/OIC are encouraged to engage in ongoing dialogue with their servicing 

CRSPs in meeting program requirements and completing the annual checklist. For 

items of non-compliance, the servicing CRSP, and/or a member of the Civil Rights 

Directorate will contact the CO/OIC to offer further assistance. 

7. Department of Defense (DOD) Defense Organizational Climate Survey. 

a. Purpose. The Defense Organizational Climate Survey (DEOCS) is a confidential, 

command requested organizational development instrument focused on identifying 

issues of equal opportunity and organizational effectiveness. Giving personnel the 

opportunity to anonymously express their opinions about leadership and EEO/EO 

atmosphere fosters a healthy command and increases mission readiness. Units, 

Directorates and offices with at least 16 members are required to administer a DEOCS 

survey within 180 calendar days of a change-of-command or change in Directorate or 

office head, and then at least annually thereafter or at the request of the CO/OIC. 

Units, Directorates and offices with subordinate commands or offices are required to 

offer an opportunity to participate in an annual survey. 

(1) The DEOCS assesses various factors surrounding the command climate in the 

major areas of: EO/EEO/Fair Treatment; Organizational Effectiveness; and 

Sexual Assault Prevention and Response. Commanders have the option to 

customize their survey by selecting up to 10 multiple choice questions and up to 

5 short-answer questions from the DEOCS portal. 

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COMDTINST M5350.4E 

(2) The DEOCS is a Commandant mandated and approved EO climate survey; 

however, a CO/OIC may use a locally developed survey to supplement, but not 

to replace the DEOCS. Should a CO/OIC choose to use a supplemental survey, 

the CO/OIC should consult the servicing Human Resources Specialist prior to 

administering the survey to ensure that it is consistent with applicable collective 

bargaining agreements. 

b. Requesting a DEOCS. The unit CO/OIC may request a DEOCS online at 

https://www.defenseculture.mil/Assessment-to-Solution/SA2S-Home./, or may 

contact the servicing CRSP for assistance. 

c. DEOCS Administration. The DEOCS is administered at the request of the CO/OIC. 

The CO/OIC may designate a survey administrator, who is responsible for overseeing 

the assessment process, to include requesting, receiving, and distributing the survey 

and results. 

d. Feedback from the Survey. The CO/OIC and survey administrator will receive an 

email notification when the survey results are ready to view in the DEOCS portal. 

Results are available within 72 hours after the survey closes. DEOCS results appear 

in an assessment report that contains a statistical analysis of the results and a narrative 

interpretation of the responses. 

e. Action Plan. It is strongly encouraged that the CO/OIC, Director, or office chief 

develop an action plan to address items of concern that were highlighted in the 

surveys. 

f. DoD Reporting Requirement. As part of the effort to eliminate sexual assault in the 

military, The National Defense Authorization Act (NDAA) requires entities within the 

Department of Defense (DoD) to forward climate survey results to the next level in 

the chain of command. The Coast Guard remains aligned with the DoD on this 

critical national initiative. Therefore, unit commanders must share their entire 

DEOCS results, including narrative comments, with their next higher-level command 

within 30calendar days of survey completion. The overall goal is a healthy command 

climate. 

g. DEOCS Administration Assistance. For any comments or questions pertaining to 

requesting or administering the DEOCS, contact the servicing CRSP, or contact the 

DEOCS Helpdesk directly at: 

1-833-867-5674 

Email: deocs@datarecognitioncorp.com 

h. DEOCS Results Assistance. For assistance interpreting the DEOCS report contact the 

servicing CRSP. 

i. Safeguards. The DEOCS report must be labeled “For Official Use Only” (FOUO) and 

must be handled accordingly. When not in use, the report must be stored in a locked 

cabinet or secure area per DHS Management Directive (MD) 11042.1. 

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COMDTINST M5350.4E 

j. Relief Process. The DEOCS report is for CO/OIC use only, or whomever he/she 

designates. To protect any Personally Identifiable Information (PII) as well as to 

protect the integrity of the survey’s purpose, DEOCS reports must be destroyed by the 

CO/OIC as part of the relief process. Supervisors (next higher level of command) 

must destroy their copy of the CO/OIC’s DEOCS report within 90 calendar days of 

receipt. 

8. Equal Opportunity (EO) Review/Assessment. 

a. Purpose. The EO Review/Assessment is an integral part of Coast Guard Civil Rights 

Directorate activities, and is primarily used as an evaluative management tool for the 

units that are visited. It also provides a means for monitoring the civil rights climate 

of the Coast Guard for continuous improvement. 

b. Legal Mandate. In accordance with the EEOC MD-715, agencies are required to 

“conduct a self-assessment on, at least, an annual basis to monitor progress and 

identify areas where barriers may operate to exclude certain groups.” EEOC 

regulations in 29 C.F.R. Part 1614 state that each federal agency must exercise 

personal leadership in establishing, maintaining, and carrying out a continuing 

affirmative employment program designed to promote equal employment opportunity 

in every aspect of agency personnel policy and practice in the employment, 

development, advancement, and treatment of employees. 

c. Process. An EO Review team assesses and provides feedback to a unit on the overall 

civil rights climate and the state of its civil rights program. The team reports unit 

effectiveness in implementing the Coast Guard’s civil rights mission, identifies best 

practices, offers recommendations for improving the command’s EO program or 

climate, and identifies areas that may require unit-wide actions. Periodic EO Reviews 

are conducted at units throughout the Coast Guard to meet the EEOC MD-715 

requirements. The CO/OIC, Managers, and Supervisors who request an EO Review 

will receive the final written report, which remains as property of the unit. Unit 

selection will be based on the following: 

(1) Command Request: Whether they experience an incident or desire to be 

proactive, commands may request that their servicing CRSPs conduct an EO 

Review at their unit. 

(2) Chain of Command Request: If a superior command has concerns about a unit 

due to patterns in complaints, incidents, or other command climate concerns, the 

organizational element with administrative control of the unit may request an EO 

Review. 

(3) Periodic/Rotational: Regional Civil Rights Directors may identify units for 

assessment to meet the requirements of EEOC MD-715. Results of assessments 

must be provided to Commandant (CG-00H) for consideration into the overall 

MD-715 self-evaluation annual requirement. 

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COMDTINST M5350.4E 

B. Civil Rights Training. The Coast Guard must provide a working environment where 

individual differences are appreciated and individual strengths contribute to the 

accomplishment of the Service’s missions. Toward this end, every member must understand 

the Coast Guard policies that reference human relations, sexual harassment prevention, and 

diversity and how they translate into behavior that is expected and/or unacceptable, as well as 

how to obtain relief if subjected to discrimination or harassment. 

1. Civil Rights Awareness Training. Because issues and service needs in this area constantly 

evolve, all Coast Guard personnel must participate in civil rights training every three 

years. This training will be conducted at all accession points, including the Academy, 

Officer Candidate School, and basic training, starting within 120 calendar days of 

accession or hiring, and will also be included as a part of the Coast Guard’s leadership 

training programs. In addition, civil rights orientation training must be included in all 

Coast Guard conducted new employee orientation training. The training provides 

information on the discrimination complaint process, contact information, and employees’ 

rights and responsibilities in the EEO/EO complaint process. 

2. Sexual Harassment Prevention (SHP) Training. Through a variety of sources and 

methods, the Coast Guard provides training to address the need to prevent sexual 

harassment. The civil rights training incorporates Sexual Harassment Prevention (SHP) 

training, which is mandatory on an annual basis for all personnel. Other courses are 

targeted for managers and supervisors or may be necessary for the CRSPs. 

a. Purpose. Sexual Harassment Prevention (SHP) training raises awareness among Coast 

Guard personnel of behaviors that constitute sexual harassment and instructs on 

actions that should be taken to prevent or eliminate sexual harassment. 

b. Sexual Harassment is not the same as Sexual Assault. Sexual harassment pertains to 

employment and conditions of employment, and should never be confused with sexual 

assault. Sexual assault involves criminal activity and should be reported to the proper 

law enforcement authorities and investigating and response entities. 

c. Delivery. SHP training is delivered through computer-based training in the Learning 

Management System, as a CRSP facilitated stand-alone course, or in conjunction with 

the triennial Civil Rights Awareness training. 

d. Requirements to Receive SHP Training. All Coast Guard personnel must receive SHP 

training within 90 calendar days of accession into the Coast Guard and annually 

thereafter. 

(1) Coast Guard Auxiliarists receive training as part of the basic qualification process 

and must comply with the requirements of the Auxiliary Manual, COMDTINST 

M16790.1 (series). 

(2) Attending an SHP training session presented in conjunction with the Civil Rights 

Awareness training session or a CRSP facilitated SHP session, satisfies the 

annual requirement. Attendance must be documented in Training Management 

Tool (TMT). 

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COMDTINST M5350.4E 

e. Documentation. Maintaining proper records is essential to facilitating the 

accomplishment of the training objectives and preventing redundancy or gaps in 

training. CRSPs use a standardized roster to record attendance and enter the training 

into TMT. The Civil Rights Zone Manager will keep training rosters on file to 

support TMT entries and provide a copy to unit training officers, as needed. 

f. Roles and Responsibilities. Training personnel roles and responsibilities associated 

with SHP training are as follows: 

(1) The CO/OIC will ensure that training is scheduled for unit personnel; facilitate 

access to the e-SHP course; participate in showing support for and involvement in 

an all-hands facilitated discussion after all personnel complete the e-SHP training; 

and place emphasis on their personal commitment to maintain a workplace free of 

sexual harassment and to promote resolution of issues at the lowest level. The 

CO/OIC and supervisors will ensure that e-SHP training is recorded in the TMT. 

(2) The CRSPs will provide training for afloat units and other units with internet 

connectivity insufficient to this task, and coordinate schedules with the CO/OIC. 

For all other units, CRSPs will provide assistance as requested. 

3. Civil Rights Training for Non-Managers. 

a. Purpose. Civil rights training provides military and civilian personnel the knowledge 

they need to: 

(1) Understand their roles in developing an awareness of the value that diversity 

brings to the organization. 

(2) Understand the basic concepts of civil rights and their roles in demonstrating and 

achieving equal opportunity. 

(3) Understand their roles and responsibilities in the civil rights process. 

b. Description and Delivery. This three-hour mandatory training course provides 

personnel with training in military and civilian civil rights and equal opportunity 

responsibilities. Course material will enable the trainee to understand the concepts of 

diversity, civil rights, and affirmative employment; to identify and apply useful 

strategies for civil rights problem solving; and to explore significant, current civil 

rights issues and employee-centered means to address them. Case studies will be used 

as a key training tool. 

(1) All trainers must be certified, and authorized by the CRD. 

(2) The ideal class size is 20 to 30 trainees, not to exceed 40 trainees per instructor. 

Attendance at each class should reflect the diversity of the unit. Training should 

be conducted in an environment that is as free from distractions as possible. All 

attendees must be excused from other commitments for the duration of the class. 

All-hands events do not serve as effective civil rights training venues. 

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COMDTINST M5350.4E 

(3) Commands will coordinate this training through their servicing CRSPs. 

Exceptions can be made when this is not geographically feasible. 

c. Documentation. Maintaining proper records is essential to facilitating the 

accomplishment of the training objectives and preventing redundancy or gaps in 

training. CRSPs use a standardized roster to record attendance and enter the training 

into Training Management Tool (TMT). The Civil Rights Zone Manager will keep 

training rosters on file to support TMT entries and provide a copy to unit training 

officers, as needed. 

d. Roles and Responsibilities. The roles and responsibilities associated with civil rights 

training are as follows: 

(1) CRSPs develop triennial plans for delivery of civil rights training within their area 

of responsibility and schedule the training sessions with the supervisor. They are 

responsible for conducting required civil rights training sessions each year in 

order to ensure the commands meet the triennial training requirement, teaching an 

average of 30 participants in each session, not to exceed 40 participants. CRSPs 

brief the CO/OIC or supervisor prior to and after conducting training and may 

provide out-briefs. The CRSP is also responsible for confirming training 

attendance and delivery, and ensuring that proper documentation of the training is 

entered in TMT. 

(2) The CO/OIC and supervisor introduce the training, placing emphasis on their 

personal commitment to a workplace environment free of discrimination and 

harassment. The Command provides logistical support for training. 

4. Civil Rights Training for Supervisors and Managers. 

a. Purpose. Supervisors and managers must be aware of their specific civil rights-related 

responsibilities, which are unique to their positions in the organization. Civil rights 

training for supervisors and managers provides information that is critical for effective 

implementation of their responsibilities with respect to EEO programs and prevention 

or handling of EEO complaints, and in developing and maintaining an organizational 

culture that values diversity. 

b. About Civil Rights Training for Supervisors and Managers. Most civilian hiring 

decisions are made by managers and supervisors. Awareness of civil rights program 

requirements and command affirmative program goals is required for all individuals in 

positions that impact the civilian workforce. Additionally, since resolving complaints 

at the lowest level begins with the immediate supervisor, awareness of complaint 

processes and ADR is an essential tool for supervisors in preventing complaints by 

presenting alternatives to achieving timely resolution of the issues when they arise. 

Basic information presented in Civil Rights training for supervisors and managers 

includes: 

(1) An overview of civil rights programs, including the Disability Employment 

Program, reasonable accommodation procedures, and SEP. 

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COMDTINST M5350.4E 

(2) Management roles and responsibilities regarding the EEO/EO discrimination 

complaint process, including the use of ADR as a tool for resolving complaints. 

(3) Attending civil rights training will facilitate supervisors and managers’ ability to 

clearly articulate their commitment to a fair, inclusive, non-discriminatory 

workplace that is free of harassment; state their expectations for employee 

conduct; and understand their personal accountability for a successful civil rights 

program. 

c. Recommended Training Courses. CRSPs conducts CRA training for Coast Guard 

leadership. However, other institutions also offer EEO training that would meet 

Coast Guard’s requirements, such as: 

(1) EEOC Training Institute. The EEOC Training Institute offers a two-day civil 

rights training course designed for managers and supervisors of civilian 

employees. 

(2) DEOMI. DEOMI offers a leadership team awareness seminar course designed 

for senior officers (commanders and key staff/department heads O3-O6) and 

senior enlisted advisors (E7/E9), as well as civilians including legal officers, 

chaplains, and inspector general personnel in leadership positions. 

(3) Coast Guard. The Coast Guard offers Senior Executive Leadership Equal 

Opportunity Seminar (SELEOS) at DEOMI. SELEOS is training for newly 

selected Flag, Senior Executive, and Command Master Chief (Gold Badge) 

members designed to fulfill the Commandant’s mandate to bring awareness of 

Civil Rights, EO, EEO, and Diversity issues. SELEOS is a Coast Guard course 

tailored to meet Civil Rights Awareness (CRA) and Sexual Harassment 

Prevention (SHP) required training objectives. Attendees will be credited for 

completing CRA and SHP upon completion of SELEOS or upon the submission 

of equivalent certifications. Course dates, locations, and specifics are announced 

annually via direct correspondence from the Civil Rights Directorate to target 

attendees. Senior Coast Guard leaders who have not attended this seminar are 

encouraged to attend at their earliest convenience. 

5. Civil Rights Service Provider and Special Emphasis Program Manager Training. 

a. Purpose. The purpose of CRSP and Special Emphasis Program Managers (SEPM) 

training is to provide CRSPs and SEP Coordinators with the tools and knowledge they 

need to perform their assigned duties. 

b. About Training. CRSP and SEPM training is provided in support of the Coast Guard 

Civil Rights Directorate. Quotas to attend training courses must be requested from 

CRD via the servicing CRSP and SEP Coordinator’s chain of command. 

c. Recommended Training Courses. Descriptions of specific courses for Coast Guard 

CRSPs and SEP Coordinators are as follows: 

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COMDTINST M5350.4E 

(1) Equal Opportunity Advisors Course. The Equal Opportunity Advisors (EOA) 

course, taught at DEOMI, is directed to military members who serve as full-time 

EOA. The Course is several weeks in duration. Some sessions include other 

Department of Defense services and some focus on Coast Guard specific training. 

The curriculum provides EOAs a foundation to understand civil rights, its laws 

and regulations; and to assess the social climate for the organization in which they 

serve. It prepares them to provide sound advice and guidance to the CO/OIC and 

supervisors in order to recognize, prevent, reduce, or eliminate discriminatory 

practices. 

(2) Equal Employment Opportunity Counselors Course. The Equal Employment 

Opportunity (EEO) Counselors course is taught at the EEOC Training Institute, 

DEOMI, and various governmental and private organizations. The EEO 

Counselors course is targeted to newly assigned CRSPs. The course develops a 

base of knowledge and skills that allow its graduates to serve as effective EEO 

Counselors. The training introduces the causes and effects of discrimination, EEO 

programs for federal employees or applicants for employment, and civilian 

personnel and human resource management. It concentrates on the roles and 

responsibilities of EEO/EO Counselors, communication and interviewing skills, 

documenting EEO inquiries, and resolving EEO complaints, including alternative 

dispute resolution. 

(3) Special Emphasis Program Manager Course. The Special Emphasis Program 

Manager course is taught at the EEOC Training Institute, and at various 

government organizations. This SEPM course is targeted for SEP Coordinators. 

The training concentrates on roles and responsibilities, communication skills, staff 

coordination, briefing skills, EEO data analyses, and planning and managing 

effective special emphasis programs. Each District Commander should solicit 

volunteers, and in conjunction with CRD, appoint a SEP Coordinator at the district 

level to ensure robust programs and activities take place at subordinate 

Commands. District Commanders and CRSPs should work jointly in managing 

and offering guidance to volunteer committees and SEP Coordinators who carry 

out special emphasis programs. 

(4) The EEO Refresher Training for Counselors Course. This EEO Refresher training 

for Counselors is targeted for EEO/EO Counselors. It may be conducted by the 

EEOC Training Institute or other suitable sources. Participants are updated on 

recent developments in federal sector EEO, and given the opportunity to enhance 

their skills. Course topics typically include legal and policy updates, regulatory 

and statutory changes, counseling skills development, and EEO ADR program 

updates. 

a. Recommended Sources for Training. Available training sources for CRSPs follow: 

(1) Defense Equal Opportunity Management Institute (DEOMI). DEOMI provides 

training for military and civilian civil rights personnel and for managers and 

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COMDTINST M5350.4E 

supervisors with the desired outcome of fostering positive human relations 

throughout the Armed Forces and enhancing leadership and mission readiness. 

(2) The EEOC Training Institute. EEOC offers standardized courses specifically for 

federal EEO professionals. 

(3) Graduate School, U.S.A. This school offers an array of career related and 

continuing education courses to include EEO/EO counselor training and ADR 

for EEO professionals. 

(4) CRSPs and CRD Headquarters Staff. Regional Civil Rights Directors, 

designees, and CRD Headquarters staff conducts periodic civil rights related 

training. 

(5) Other Viable Sources. Other Governmental institutions, as well as a host of 

contractors through the General Services Administration’s multi-award contract 

schedules. 

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CHAPTER 5 PROGRAMS ADDRESSING PROHIBITED DISCRIMINATION 

A. The Equal Employment Opportunity/Equal Opportunity Complaint Process. 

1. Introduction. The Equal Employment Opportunity/Equal Opportunity (EEO/EO) Complaint 

Process consists of the Pre-Complaint Process and the Formal Complaint Process. 

Individuals who believe they have been subjected to unlawful discrimination have the right 

to access the complaint process. The prohibited bases for discrimination are located in 

Chapter 3. 

2. Preliminary Steps. Before filing a formal EEO/EO complaint, the aggrieved must enter the 

pre-complaint process where an EEO/EO counselor will provide information about complaint 

process and attempt to resolve the matter giving rise to the complaint. In the Coast Guard, a 

Civil Rights Service Provider (CRSP) performs the role of an EEO/EO Counselor. 

B. The Pre-Complaint Process. 

1. Initial Interview. When an aggrieved party seeks to address a matter through the (EEO/EO) 

process, they must first meet with a CRSP. The counselor will explain the complaint 

process, provide rights and responsibilities, and attempt to resolve the matter. This is the 

Pre-Complaint Process. The aggrieved party will have an option to address their complaint 

through “Traditional Counseling” or Alternative Dispute Resolution (ADR). Both processes 

include attempts to resolve the complaint. However, the later does not include the 

opportunity to conduct an inquiry into to the allegations, but rather focuses on attempting to 

resolve the matter. Additionally, during the pre-complaint process: 

a. Any person or group (military member, civilian employee, applicants for employment, 

former employees, and certain contract employees) can initiate a pre-complaint. They 

must contact a CRSP within 45 calendar days of the event giving rise to the complaint. 

b. Upon initiating contact with the CRSP, the CRSP must advise military members that the 

(CO/OIC) has up to 15 calendar days to resolve the matter. The CRSP can arrange the 

meeting with the CO/OIC to attempt resolution, or the military member can arrange this 

meeting on his/her own. If the resolution attempt with the Command fails, then the 

military member may continue to the pre-complaint process with a CRSP. 

c. All parties must cooperate throughout the complaint process. 

2. Confidentiality. Aggrieved parties are entitled to protection of their identities and 

confidential information during the pre-complaint process. An aggrieved party has the right 

to remain anonymous throughout the pre-complaint process unless he/she waives that right. 

a. Anonymity for military members can only be protected up to the time the aggrieved 

military member decides to pursue the matter through the complaint process. This is 

because all complaints initiated by military members require 15 calendar days for the 

CO/OIC to attempt resolution prior to entering the pre-complaint process. 

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COMDTINST M5350.4E 

b. If the military member contacts a CRSP seeking information about the complaint 

process, the member will be informed of the 15-day resolution attempt requirement with 

the Command. If at this point, the military member decides not to pursue the matter, the 

Command must not be informed of the contact by the member. 

c. If the military member wishes to initiate a complaint, the military member may attempt 

resolution of the matter by asking the CRSP to arrange a resolution meeting with the 

Command. 

d. Information provided to the CRSP during the pre-complaint process is considered 

confidential. The CRSP may not share any information with others without the consent 

of the person who provided it during the pre-complaint process except to those who have 

a need to know. Statements made during the pre-complaint process must be released to 

appropriate authority, such as counsel representing the Coast Guard or United States, 

when required by applicable law, including, but not limited to, when required as part of 

the Government’s discovery obligations in a criminal or civil court proceeding, such as 

courts-martial, or pursuant to a subpoena issued by competent authority. Subpoenas are 

never required when otherwise legally mandated or permissible disclosure of information 

is within the Coast Guard or to another agency of the Federal Government. 

3. Conflicts of Interest. Complaints of discrimination naming the Commandant, Vice 

Commandant, the CRD Director or the second line manager responsible for CRD complaint 

processing must be processed as conflict of interest (COI) complaints. 

a. Conflict of interest complaints are forwarded to outside sources, either component 

agencies, or different governmental agencies for processing. Contact the CRD Solutions 

and Complaints Division if additional guidance is needed. 

b. Individuals believed to have a conflict of interest complaint who wish to remain 

anonymous during the pre-complaint process may contact DHS Civil Rights and Civil 

Liberties (CRCL) via email at crcl.eeo@hq.dhs.gov. 

4. The CRSP EEO/EO Counselor’s Report. For the pre-complaint process, the CRSP will 

prepare an EEO/EO Counselor’s Report if the party does not elect the ADR route in lieu of 

counseling. 

a. The CRSP must document and preserve all information obtained throughout the precomplaint process. This information is to remain confidential unless the aggrieved party 

authorizes disclosure. 

b. The Counselor’s Report must be sent to the aggrieved party within 15 calendar days of 

filing a complaint. 

5. Roles and Responsibilities in the Pre-Complaint Process. The Civil Rights Directorate’s 

field operation provides services for USCG workforce through four (4) Regions and 14 zone 

locations. The following participants generally referred to as CRSPs, have clearly defined 

roles and responsibilities in carrying out their respective functions within their Area of 

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COMDTINST M5350.4E 

Responsibility (AOR). Unless otherwise noted, these roles and responsibilities apply to the 

pre-complaint process for both military members and civilian employees/applicants: 

a. Regional Civil Rights Directors - Are the most senior managers for their respective 

region and zone locations. The Regional Civil Rights Director is accountable for overall 

civil rights functions within their AOR, effective and timely processing of precomplaints activity, briefing leadership, promoting and facilitating ADR and establishing 

and maintaining partnerships with civilian and military management officials. 

b. Zone Managers - serve as team-leaders for their respective location under one of the four 

regions. The Zone Manager is accountable for effective and timely processing of precomplaints, ensuring the quality of submitted counselor’s reports, ensuring the 

maintenance of confidentiality throughout the pre-complaint process, the handling of the 

of Counselor’s Report, and all contacts within the AOR, promoting and facilitating ADR; 

coordinating ADR sessions and discussions; and briefing civilian and military 

management officials. The Civil Rights Zone Manager also serves as an EEO/EO 

counselor. 

c. Equal Opportunity Advisor/Equal Employment Opportunity Specialists - serve as the 

EEO/EO counselor, mediator, trainer and command advisor. The EOA/EEOS facilitates 

resolution discussions with the aggrieved party and CO/OIC for both civilian and 

military members; provides information to aggrieved party pertaining to the complaint 

process, ADR, and forums for matters beyond the scope of the discrimination complaint 

program; guides aggrieved party through the appropriate steps to attempt resolution at 

the lowest level; ensures that all informal resolution options have been explored; 

conducts civil rights training for civilian and military members, and advises and briefs 

the Command on EEO/EO matters or concerns. The EEO/EO counselor, in most cases, 

is the first point of contact for the aggrieved party looking to initiate a pre-complaint. 

The EEO/EO counselor provides information about the complaint process, ADR, and 

forums for matters beyond scope of discrimination complaint program; conducts a 

limited inquiry into allegations of discrimination, as necessary to pursue informal 

resolution of the matter; ensures complaints by military members are processed when 

they are not resolved within the 15-day resolution period with the CO/OIC. 

(1) The CRSP will always attempt resolution with the next level CO/OIC within the 

aggrieved’s chain of command, who is not responsible for the actions giving rise to 

the complaint. 

(2) The CRSP is accountable for effective and timely processing of pre-complaints, 

providing the aggrieved party with Notice of Right to File a Discrimination 

Complaint when resolution efforts are unsuccessful; and safeguarding all 

information collected and prepared during the complaint process. 

(3) The CRSP conducts a limited inquiry into the issues giving rise to the grievance, 

and prepares a report (CRSP’s Report). The report includes contact information, 

statements from witnesses, supporting documents, and resolution efforts. 

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COMDTINST M5350.4E 

(4) The CRSP is responsible for forwarding the report through the chain of command to 

the Regional Civil Rights Director for review and final dissemination. 

d. The Aggrieved Party - contacts the servicing CRSP for information, or to initiate a 

complaint of discrimination within 45 calendar days of the alleged incident giving rise to 

the complaint. If the servicing CRSP cannot be reached, the aggrieved party should 

contact the Zone, Regional, or Headquarters Office staff. The aggrieved party and all 

witnesses, including the alleged Responsible Management Official (RMO), must 

cooperate throughout the complaint process. 

C. The Formal Discrimination Complaint Process. 

1. Phases. The formal discrimination complaint process includes the following phases: 

a. Filing. The complainant files formal discrimination complaint. 

b. Acknowledgement. Regional Civil Rights Director forwards a letter to the complainant 

that acknowledges receipt of the complaint, provides the next steps in the complaint 

process, and provides rights and responsibilities. ADR is available throughout the formal 

complaint process. 

c. Acceptance or Dismissal. In accordance with 29 C.F.R. Part 1614 processing 

requirements, the Regional Civil Rights Director will accept or recommend the dismissal 

of all or a portion of the allegations of a complaint. 

d. Investigation. An investigator is appointed to prepare a plan, investigate the claims, and 

compile a report of the relevant documentary and testimonial evidence gathered during 

the course of the investigation. 

e. Post-investigative Adjudication and Review. These procedures differ for military and 

civilian complainants. See Military Post Investigation Roles and Responsibilities and 

Civilian Roles and Responsibilities in this chapter. 

2. Administrative Responsibility of the Civil Rights Directorate. The CRD has administrative 

responsibilities relative to the Formal Complaint Process, that include receiving and 

acknowledging all formal complaints, accepting claim(s) for investigation and dismissal 

authority for military complaints, and issuing Acceptance Letters for all accepted claims. In 

civilian cases where CRD believes a procedural dismissal, pursuant to 29 C.F.R Part 

1614.107, is appropriate, CRD will recommend dismissal without investigation to the DHS 

CRCL. In military cases, CRD will issue final decisions of dismissal as well as Final Agency 

Decisions (FAD). 

3. Administrative Responsibility of DHS CRCL. The DHS CRCL has the responsibility to 

issue letters dismissing civilian complaints without investigation; to process applications for 

class certification in class action complaints; to draft, sign, and issue the civilian Final 

Agency Decision (FAD) based on the Report of Investigation (ROI) whenever civilian 

complainants elect the FAD in lieu of an EEOC hearing; to issue departmental Final Orders, 

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COMDTINST M5350.4E 

wholly accepting, partially accepting, or rejecting EEOC Administrative Judge (AJ) 

decisions after hearings; to accept the filing of Appeals; to issue decisions on appeals to 

military FADs. 

4. Privacy. Complainants and witnesses are entitled to Privacy Act rights during the formal 

complaint process. Documents provided to investigators must be protected from disclosure 

to unauthorized persons in accordance with the Privacy Act, 5 U.S.C. § 552a. 

a. When a complaint is filed, witnesses, including responsible management officials, will 

only be provided information about the complaint to the extent necessary to obtain 

statements during the investigation and further processing of a complaint. In addition, 

for settlement purposes, servicing legal offices may release the ROI or part of it to 

agency counsel prior to any settlement discussions. The receiving official is required to 

complete a non-disclosure form. 

b. The official who engaged in the alleged discriminatory action is considered a witness and 

is entitled to the same rights as any other witness, including the right to have a 

representative of his or her choosing at any stage of the complaint process. 

c. Once in receipt of the ROI, agency counsel may share with witnesses those portions 

necessary to defend the case. 

5. Alternative Processes and Procedures to Address Complaints. A civilian complainant may 

opt to pursue his or her complaint through forums other than the discrimination complaint 

process. The decision concerning which alternative procedure to pursue is final and may not 

be changed. The complainant should contact the servicing Regional Civil Rights Director or 

CRD Headquarters with any questions regarding election rights. These options are as 

follows: 

a. For information pertaining to the grievance procedure, contact a HR specialist or refer to 

the Administrative Grievance Procedure, COMDTINST 12771.1 (series). 

b. A negotiated grievance procedure (under an existing collective bargaining agreement). 

c. The DHS Civil Rights and Civil Liberties (CRCL). 

d. The Merit Systems Protection Board (MSPB). 

e. Federal District Court. 

6. Amendment/Consolidation of Complaint. At any time during the processing of a complaint, 

the Regional Civil Rights Director, or CRD Headquarters may amend and/or consolidate 

complaints that are like or related. 

a. If a complaint in the formal stage is with the field when an additional claim is made, and 

no acceptance letter has been issued, the Regional Civil Rights Director will determine if 

it is like or related. 

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COMDTINST M5350.4E 

b. After the issuance of an acceptance letter or if the complaint has been forwarded to CRD 

Headquarters at the time an additional claim is made, Headquarters will determine if it is 

like or related. 

7. Class Certification. Current or former civilian employees or applicants seeking to represent a 

class of potential complainants must seek counseling through the pre-complaint process. 

Upon the conclusion of counseling, the EEO/EO counselor will prepare an EEO Counselor’s 

Report and provide the potential class representative with Notice of Right to File a 

Discrimination Complaint. The potential class representative should also be notified that the 

formal class complaint must be filed with CRD Headquarters. Class certification is obtained 

through the stages illustrated below: 

a. Stage 1. Within 30 calendar days after receipt of the class complaint, CRD Headquarters 

will forward the class complaint to the EEOC for a decision on whether to certify or 

dismiss. CRD Headquarters will also notify the Office of General Law of the complaint 

and the need for agency representation. CRD Headquarters will also notify DHS CRCL. 

b. Stage 2. The DHS CRCL is responsible for taking final action by issuing a final order on 

all decisions by EEOC regarding whether to certify or dismiss a class action. 

c. Stage 3. If the class is certified, CRD Headquarters will notify the class members, 

appropriate representative, and will ensure that the matter is investigated. 

d. Stage 4. If the complaint is resolved by settlement agreement, CRD Headquarters will 

notify the class members of the terms of resolution and the right to file objections within 

30 calendar days. Such settlement agreements must be authorized by DHS CRCL and 

DHS Office of General Counsel, General Law. 

8. Administrative Closure Due to Settlement or Withdrawing a Complaint. Upon notification 

of the existence of a settlement agreement, Solutions and Complaints Division (CG-00H-2S) 

will close a complaint administratively when the complainant’s written settlement agreement 

states as one of its terms that the complaint be withdrawn. 

a. All allegations of non-compliance with the settlement agreement must be referred to 

DHS CRCL for action. 

b. The complainant may withdraw a complaint at any time during the process. 

Complainants must not be coerced into withdrawing a complaint. Withdrawing a 

complaint is strictly voluntary. Withdrawal must be in writing and must indicate that the 

action is voluntary and not due to coercion. 

D. Filing a Formal Complaint. 

1. Roles and Responsibilities. 

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COMDTINST M5350.4E 

a. The Complainant must cooperate throughout the complaint process. If the matter is 

unresolved and the pre-complaint stage, then the complainant has the right to file a 

formal discrimination complaint. 

b. The Zone Manager serves as senior CRSP for their AOR at the zone level under the 

region. He/she is accountable for effective and timely processing of pre-complaints; and 

forwarding Counselor’s Report to Regional Civil Rights Director within 10 calendar days 

of the final interview with the complainant. 

c. Regional Civil Rights Director serves as senior CRSP for their AOR at the regional level, 

over the zone. He/she effectively and timely processes formal complaints; acknowledges 

receipt of complaint; determines whether to accept or recommend dismissal of a 

complaint to CRD Headquarters; reviews staff EEO/EO Counselor’s Reports for 

sufficiency upon the filing of a formal complaint; issues complaint Acceptance 

Letters/drafts Dismissal Letters; responds to requests for information/documents for 

investigations; and administers and facilitates requests for ADR. 

d. The Civil Rights Directorate Headquarters forwards civilian dismissal recommendations 

to DHS CRCL and acts on DHS CRCL determinations; reviews all full acceptance and 

partial dismissal letters; reviews amendment requests and issues acceptance or denials of 

amendment requests for both civilian and military; responds to requests for prior EEO 

activity for investigations; disseminates final ROIs; and issues FADs for military 

members. 

e. The DHS CRCL issues letters dismissing complaints without investigation for civilian 

complaints; issues FADs for civilians and reviews appeals for USCG-issued Military 

FADs; and processes applications for class certification in class action complaints. 

2. Required Elements of a Complaint. The complaint must clearly and concisely state the: 

a. Actions, decisions, or terms of conditions of employment alleged to be discriminatory 

and a basis for each. 

b. Dates on which the actions or decisions occurred or that the complainant became aware 

that they were discriminatory. 

c. Supporting facts for the complainant’s belief that discrimination occurred. 

d. Identity of the Responsible Management Official (RMO). 

e. Specific remedies requested. 

f. The servicing Zone CRSP or EEO/EO Counselor will provide an official form for this 

purpose. 

3. Where and When to File. The complainant must forward the formal complaint within 15 

calendar days after receipt of the Notice of Right to file to the servicing Regional Civil 

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COMDTINST M5350.4E 

Rights Directors office. This information will be supplied during the final interview and in 

the Notice of Right to File. Although the law allows a complaint to be filed with the head of 

the agency, in order to avoid delays in processing it is highly encouraged that the complaint 

be filed with the appropriate processing office (see Appendix C for a list of Coast Guard 

Districts and Zones). 

4. Acknowledgement Letter Requirements. The Acknowledgment Letter must include: 

a. The DHS/USCG case number assigned to the complaint. 

b. Date on which the complaint is considered filed (date on which it was received or date of 

postmark, if it was mailed). Civil Rights Service Providers must issue acknowledgement 

letters within 5 calendar days of receipt of a complaint. 

c. A brief description of the formal complaint process, including time limits. 

d. Contact information for Solutions and Complaint Division (CG-00H-2). 

e. Notice of the complainant’s right to request reconsideration (military), to request an 

EEOC hearing (civilian), or to file an appeal (civilian). 

f. Contact information for filing requests for reconsideration or appeals. 

5. Acceptance Letter. An Acceptance Letter must include: 

a. The DHS/USCG case number assigned to the complaint. 

b. A statement identifying each claim accepted for investigation. 

c. Notice that the complainant may submit a correction of the issues, as stated in the letter, 

within a prescribed period and that the corrected statement will be made a part of the 

official complaint file. 

d. Notice of right of reconsideration (military) or appeal (civilian) when some, but not all, 

of the claims or issues alleged in the complaint are dismissed, i.e., a partial dismissal. 

There is no right to an immediate appeal of dismissed claims for partially dismissed 

claims. See EEOC Management Directive (MD) 110 Chapter 5, Part IV. 

e. Regional Civil Rights Service Directors must issue acceptance or partial dismissal letters 

to complainants or forward proposed dismissal letters to CRD Headquarters within 25 

calendar days of receipt of a formal complaint. If additional clarification is needed from 

a complainant, this may be extended. 

6. Dismissal Letter Requirements. Only DHS CRCL can dismiss a civilian complaint in its 

entirety. The Coast Guard can dismiss a military complaint in its entirety, but can only 

partially dismiss a civilian complaint that has multiple claims based on any of the 

circumstances listed below: 

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COMDTINST M5350.4E 

a. It is not timely (the complainant did not contact the chain of command, Civil Rights 

Service Provider, or EEO/EO Counselor within 45 calendar days of alleged 

discrimination). 

b. The formal complaint was not filed within fifteen (15) calendar days of receipt of the 

Notice of Right to File a Discrimination Complaint. 

c. It fails to state a claim on which relief can be granted. 

d. It is part of a pattern of misuse of the complaint process for purposes other than those for 

which it was designed. 

e. It is identical to one that is pending before or has been decided by the Coast Guard or the 

DHS. 

f. The complaint is the basis of a pending civil action, of which the complainant is a party, 

and at least 180 calendar days have passed since the filing of the complaint or that was 

the basis of a civil action decided by a United States District Court of which the 

complainant was a party. 

g. A complaint raises the same matter and is pending or has been decided by the Equal 

Employment Opportunity Commission. 

h. The complainant raised the same matter in a negotiated grievance procedure that permits 

allegations of discrimination; thus, electing to pursue a non-EEO process. 

i. The complainant raised the same matter in an appeal to the Merit Systems Protection 

Board; thus, electing to pursue a non-EEO process. 

j. It only alleges a proposed personnel action or a step preliminary to such an action. 

k. It is moot. 

l. The complainant alleges dissatisfaction with the processing of a previously filed 

complaint. All proposed dismissals must include: 

(1) The DHS/USCG case number assigned to the complaint. 

(2) A statement identifying each claim or issue dismissed, indicating that it will not be 

investigated. 

(3) Specification of the regulatory or other basis for dismissal. 

(4) Notice of right of reconsideration (military) or appeal (civilian). 

7. Review of Military Complaint Dismissals. The aggrieved in a military complaint may appeal 

USCG’s dismissal of a complaint to DHS CRCL. The request must be made in writing. 

5-9 
 

 

 

 

 

 

 

COMDTINST M5350.4E 

Military members filing EO complaints do not have standing with the EEOC, and therefore 

will not be issued appeal rights or right to file with the EEOC. 

8. Review of Civilian Complaint Dismissals. When all claims for a civilian complaint are 

dismissed, the complainant may appeal the dismissal to the EEOC, Office of Federal 

Operations (OFO). 

a. If some but not all claims of a complaint have been dismissed, the agency must notify the 

complainant in writing of its determination, set forth its rationale for that determination, 

and notify the complainant that the allegations will not be investigated. The agency must 

place a copy of the notice in the investigative file. The agency must advise the 

complainant that an Administrative Judge (AJ) must review its dismissal determination if 

s/he requests a hearing on the remainder of the complaint, but the complainant may not 

appeal the dismissal until the completion of the Final Agency Decision (FAD), or final 

action stage. 

b. The DHS CRCL reviews the Coast Guard’s rationale for dismissing issues without an 

investigation and may require an investigation of dismissed claims. The DHS CRCL 

decision on partial dismissal will become part of the Final Agency Decision (FAD). 

c. The complainant may appeal the dismissal of any issue in the Final Agency Decision 

(FAD) in the same manner as a dismissal without investigation. 

d. The complainant may elect an EEOC hearing, and request EEOC to address the 

dismissed claims. The AJ may support the dismissal, reject the partial dismissal, and 

therefore permit discovery to develop the record on the dismissed claims, or request a 

supplemental investigation into the dismissed claims. If the AJ rejects the rationale for 

partial dismissal, the EEOC hearing will be placed on hold until the dismissed claims are 

investigated and or supplemental information is gathered. 

e. The aggrieved may appeal the dismissal of an EEOC AJ decision to EEOC OFO. 

9. Formal Investigation and Post-Investigation Procedures. The stages of the investigation and 

post-investigation include. 

a. Assignment to an investigator. 

b. Development and approval of investigative plan. 

c. Investigative activities. 

d. Issuance of the Report of Investigation (ROI). 

e. Election of EEOC hearing (for civilians) or Final Agency Decision (FAD). 

f. Issuance of the Final Agency Decision (FAD), or a hearing and issuance of the AJ 

decision. 

5-10 
 

 

 

 

 

 

 

COMDTINST M5350.4E 

g. Issuance of the Final Order. 

h. Appellate review. 

i. Request for reconsideration. 

10. Investigation Roles and Responsibilities. The following describes the roles and 

responsibilities of participants in the investigative phase: 

a. The CRD timely assigns the accepted complaint to an investigator; reviews and approves 

investigative plans; reviews Report of Investigation (ROI) and complaint file for 

completeness, accuracy, and legal sufficiency; distributes ROI to complainant and his/her 

representative; notifies civilian complainant of right to elect either a FAD based on ROI 

or a hearing before EEOC AJ. 

b. Investigator prepares investigative plan; gathers evidence; and prepares ROI. Authorized 

to administer oaths and require employees to furnish testimony under oath or affirmation 

without a promise of confidentiality; does not make or recommend a finding of 

discrimination. 

c. Regional Civil Rights Director is accountable for effective and timely processing of precomplaints and formal complaints; may assist investigator in identifying and contacting 

sources of requested evidence, but should not be involved in producing such evidence; 

ensures access for investigator and witness availability as requested. 

d. The Civil Rights Zone Manager is accountable for effective and timely processing of 

pre- complaints; ensures access for investigator and witness availability as requested; 

may assist investigator in identifying and contacting sources for documents, and other 

evidence; but should not be involved in producing such evidence; ensures access for 

investigator and witness availability as requested. 

e. Complainant and Witnesses are responsible for timely providing requested testimony and 

evidence to Investigator. When any party or witness with exclusive knowledge or 

control of any matter or item of evidence relevant to an issue of material fact fails or 

refuses without good cause to testify about the matter or produce the evidence, the AJ or 

decision maker may make an inference that the testimony or evidence would have 

supported the opposing party’s position on the factual issue. 

11. Timeline for ROI Transmittal. The Civil Rights Solutions and Complaints Division will 

provide the complainant and his/her representative and the servicing Regional Civil Rights 

Director with a complete copy of the ROI within 180 calendar days after receipt of the 

formal complaint or the amended formal complaint but no later than 360 calendar days after 

the filing the original complaint. This period may be extended by: 

a. 90 calendar days with mutual consent of the parties. 

5-11 
 

 

 

 

COMDTINST M5350.4E 

b. 30 calendar days if CRD Headquarters is required to sanitize a file that contains 

classified material. 

12. Military Post-Investigation Roles and Responsibilities. The following describes the roles 

and responsibilities of participants in the post-investigation process for military complaints: 

a. The CRD issues ROI copies to the complainant and his/her representative; if ADR is 

applicable, parties will have 30 calendar days to explore ADR; if no notification of 

successful resolution is received by 31st day after ROI issuance, Commandant (CG-00H) 

drafts and issues a FAD based on the ROI. 

b. The Regional Civil Rights Director is accountable for effective and timely processing of 

formal complaints. If ADR is applicable, the Regional Civil Rights Director will 

coordinate resolution efforts with the command and notify CRD Headquarters of final 

resolution results. 

c. The Civil Rights Zone Manager is accountable for effective and timely attempts at 

resolution. 

d. The CO/OIC makes final good faith attempt at resolution and complies with all 

regulatory timeframes. The Command’s participation in resolution efforts is required. 

13. The Civilian Post Investigation Roles and Responsibilities. The following describes the 

roles and responsibilities of participants in the post-investigation process for civilian 

complaints: 

a. The DHS CRCL reviews AJ decision following a hearing in the event complainant 

elected an EEOC hearing; issues the Final Order implementing the AJ decision; partially 

implements the AJ decision, or rejects the AJ decision; drafts and issues FAD upon 

receipt of ROI from the Commandant (CG-00H) if complainant elects a FAD, or fails to 

elect a hearing within the 30 calendar day election period. 

b. The Commandant (CG-00H) forwards ROI to complainant and his/her representative, 

with the notice of a 30 day hearing/FAD election period; provides copy of ROI to the 

Office of General Law and EEOC if complainant elects hearing; forwards copy of ROI to 

EEOC, if complainant elects hearing; forwards copy of ROI to DHS CRCL for FAD 

preparation if complainant elects FAD, or after no response during the 30 day election 

period. 

c. The Coast Guard Office of General Law represents the Coast Guard at EEOC hearings. 

d. The Regional Civil Rights Director is accountable for effective and timely processing of 

formal complaints; and making good faith attempts at resolution within 30 calendar days 

after complainant is provided a copy of a ROI, and provided another opportunity to 

participate in ADR. 

5-12 
 

 

 

 

 

 

 

 

 

COMDTINST M5350.4E 

e. The Civil Rights Zone Manager is accountable for effective and timely attempts at 

resolution. 

f. The Complainant elects EEOC hearing or FAD within 30 calendar days after receipt of 

ROI. When 180 calendar days following the filing of complaint have elapsed without 

issuance of a FAD, the complainant may request an EEOC hearing. 

14. Reconsideration of Final Agency Decision for Military Complaints. Once a military Final 

Agency Decision (FAD) is issued by CG, a military complainant may request that DHS 

CRCL reconsider the decision. This request must occur in writing within 30 calendar days 

of receipt of the FAD. The Office of General Law will be provided a copy of all Requests 

for Reconsideration, and must have 30 calendar days after receipt to file a Brief in 

Opposition to the request with DHS CRCL. There is no other appeal opportunity for 

military members. 

15. Appellate Review of Final Agency Decision for Civilian Complainant. A civilian 

complainant may appeal the FAD to the EEOC OFO within 30 calendar days of the receipt 

of the FAD. The Office of General Law represents the Coast Guard in opposition to the 

complainants’ appeals. 

16. Contents of Final Order. The DHS CRCL Final Order will include notice of the: 

a. Department’s intention to implement the AJ’s decision fully, partially, or not at all. 

b. Complainant’s right to file an appeal with the EEOC or a civil action in Federal District 

Court. 

c. Name of the proper defendant in an appeal or civil action, for example, the Secretary of 

DHS. 

d. Applicable time limits for an appeal or civil action. 

17. Appellate Review of AJ Decisions and Departmental Final Orders. If the Final Order does 

not fully implement the AJ’s decision: 

a. The CRD Headquarters will notify the Office of General Law, and who will file an 

appeal of the AJ’s decision with the EEOC OFO. 

b. The complainant may appeal any final decision dismissing the complaint to the EEOC 

OFO within 30 calendar days of receipt of decision. 

c. Office of General Law will represent the Coast Guard in appeals to the EEOC and in 

opposition to complainants’ appeal. 

18. Distribution of DHS CRCL and EEOC Decisions. Upon receipt of a FAD or Final Order 

from DHS CRCL, an AJ decision or appellate decision from the EEOC, or a decision on 

reconsideration from DHS CRCL or the EEOC, CRD Headquarters will forward a copy to 

5-13 
 

 

COMDTINST M5350.4E 

Office of General Law. The Office of General Law will forward a copy of the decision to 

the responsible command via the appropriate legal office and Civil Rights Directorate. 

19. Enforcing Compliance with Final Orders and Decisions. Department of Homeland Security 

(DHS) Final Orders that are not the subject of appeals to the EEOC or civil actions are 

binding on the Coast Guard to the same extent as settlement and resolution agreements that 

were knowingly and voluntarily entered. 

20. Complaint Procedures. Figure 5-1 depicts the stages of the complaint process for both 

military members and for civilian employees, which are similar to the extent practicable. 

5-14 
 

Civil Rights Service Provider 

has 30 calendar days to inquire, 

resolve, or issue a notice of right 

to file (NRTF) a formal complaint 

Complainant has 15 

cale nda r days to file a 

formal com laint 

Upon filing a formal Complaint 

Coast Guard has 

180 calendar days to complete 

formal investigation 

Complainant, upon receipt 

of Report of Investigation, 

may select one option; 

Option #1 Option #2 

Within Within 30 

'W calendar calendar 

days, days, 

request final request a 

ag~ncy hearing and 

decision by decision 

OHS with from EEOC 

appeal rights 

to EEOC 

Complainant contacts 

Civil Rights Service Provider 

within 

45 calendar days 

of the action giving 

rise to the complaint 

Alternative Oi-spute Resolution (AOR) 

is offered throughout the EEO/EO 

complaint process. Timeline tan be 

extended both 

at the informal (for 60 calendar days) 

and the formal (for 

90 calendar days) 

stages 

Option #3 

Prcxeed to 

District Court 

provided 

180 calendar 

days have 

elapsed since 

filing formal 

complaint 

MILITARY 

Command has 1S calendar days 

to attempt resolution 

Civil Rights Service Provider 

has 30 calendar days to inquire, 

resolve, or Issue a notice of rlsht 

to file {NRTf) a formal complaint 

Complainant has 15 

calendar days to file a 

formal complaint 

Upon filing a formal 

Complaint 

Coast Guard has 

180 calendar days to 

compl~te formal inv~stigation 

USCG/CRO iS$ues Final 

Asency Decision (FAD) 

within 60 calendar days 

of Report of 1rwesugauon 

Complainant has 30 calendar 

days from receipt of FAO to 

file appeal with OHS 

COMDTINST M5350.4E 

U.S. Coast Guard Complaint Procedures Flow Chart 

Figure 5-1: U.S. Coast Guard Complaint Procedures 

5-15 
 

 

 

 

 

 

COMDTINST M5350.4E 

E. Alternative Dispute Resolution (ADR). 

1. Definition of ADR. ADR is a process in which a third party neutral (an impartial party who 

has no stake in the outcome of the proceeding) assists disputing parties with reaching an 

amicable resolution through the use of various informal methods. The Coast Guard’s ADR 

program offers a variety of approaches, with mediation as the most common process of 

choice. Resolving disputes is an essential aspect of the administrative complaint process. 

ADR is encouraged not only as a means of accomplishing prompt resolution, but also as a 

way to improve workplace communication, raise morale, and return focus to the mission. 

a. ADR is encouraged during the pre-complaint process, and must be explored before an 

individual may file a formal complaint. ADR is also available throughout the complaint 

process. However, in each case, the offer of ADR is subject to servicing CRSP 

determination of appropriateness. 

b. Whenever the Coast Guard determines that ADR is appropriate in a particular case, and 

the employee elects ADR, managers and supervisors are required to participate and make 

every reasonable effort to resolve the dispute. ADR may also be used for workplace 

disagreements that do not involve allegations of discrimination. If a ADR is used for a 

non-EEO related workplace disagreement and bargaining unit employees are involved, 

the CRSP will contact the servicing workforce employee relations specialist to address 

labor relations matters. 

c. All Third Party Neutrals must receive at least 24 hours of ADR training prior to 

conducting an ADR session. CRD will determine training needs and coordinate this 

effort. 

2. The ADR Request – Formal Complaint. The formal complaint stage offers several 

opportunities to participate in ADR: 

a. The formal complaint form offers the complainant the opportunity to participate in ADR. 

b. The ADR offer is repeated when the Regional Civil Rights Director acknowledges 

receipt of the formal complaint. 

c. If a claim is accepted for investigation, the complainant is offered ADR in the acceptance 

letter. 

d. When the ROI and Election letter are issued, complainant again is offered an opportunity 

to request ADR. 

e. If complainant requests ADR, the Regional Civil Rights Director consults with 

command/management to determine suitability and an agreement to participate in ADR. 

A request for ADR in top the formal complaint stage will not prevent the agency from 

continuing the processing of the complaint in accordance with regulatory timelines 

prescribed by EEOC Management Directive 110. 

5-16 
 

 

 

 

 

 

 

 

COMDTINST M5350.4E 

3. Remedies Available Through ADR. ADR provides the parties with the opportunity to agree 

upon remedies that are tailored to address specific situations and areas of concern. This 

enables parties to mutually agree on creative solutions that would not otherwise be available. 

a. Remedies most often are nonmonetary solutions that improve the aggrieved party’s work 

environment or terms and conditions of employment such as, but not limited to, 

professional development opportunities, supervisor training, leadership training, schedule 

changes, restored leave, priority consideration, and modifications of performance 

evaluations. In some cases agreement terms may include monetary remedies. 

b. Some remedies available to civilian employees are unavailable to military members, 

based on different rules, codes, regulations, and policies for making the aggrieved party 

whole. 

4. Resolution and Settlement Options. A manager with settlement authority, or delegated 

settlement authority, and the aggrieved party participate in the ADR process. The parties 

may have their respective representatives participate as well. All CRSPs, EEO/EO 

Counselors, or external neutrals serve as facilitators only. They do not have decision-making 

authority. Through facilitated discussions, the parties establish settlement terms. The terms 

are reduced to writing and signed. A settlement agreement is legally binding. 

a. In all cases, the CO/OIC, or another appropriate management official, must review and 

approve any proposed settlement agreements. They must also be notified of the outcome 

of all discussions between the parties that may result in further proceedings in either the 

pre-complaint or formal complaint processes, including ADR. 

b. Prior to entering settlement agreements that involve the expenditure of agency funds 

greater than two thousand dollars ($2000), personnel actions, or any other management 

action that lies outside the scope of management authority, management is required to 

consult with appropriate agency officials, e.g., Office of General Law, Human Resource 

Directorate, etc. 

c. All settlement agreements involving EEO/EO will be monitored and enforced by CRD 

and DHS CRCL. 

5. Remedies Available to Military Members. The remedies available to military members 

through the discrimination complaint process are limited to make whole relief that would 

place them where they would have been in the absence of the alleged discrimination. They 

may not obtain actual or compensatory damages, costs, or attorney’s fees and may not be 

awarded promotions or pay unless improperly withheld. Furthermore, only the Board of 

Corrections for Military Records (BCMR) may alter records of military personnel. Before 

being presented to the aggrieved parties, informal resolutions that include awards, 

assignments, promotions, or pay for military members must be reviewed and approved by the 

appropriate CO/OIC, and the Coast Guard Personnel Service Center (CGPSC). Copies of all 

EO settlement agreements must be forwarded to Solutions and Complaints Division (CG00H-2S) upon finalization. 

5-17 
 

 

 

 

 

 

COMDTINST M5350.4E 

6. Remedies Available to Civilian Employees and Applicants for Employment. The employee 

and or applicant for employment may be offered either the position applied for, only if 

available, or an equivalent position if it is clear that person would have occupied the position 

but for the alleged discrimination. Other remedies may include, back pay, front pay, 

reasonable attorney’s fees and costs, awards of compensatory damages, and other forms of 

equitable relief not to exceed the amount the aggrieved party would be entitled to if 

discrimination were actually found. 

a. Settlement offers that include back pay, reasonable attorney’s fees and costs, or 

personnel actions for civilian employees require pre-approval from Human Resources 

and the office of General Counsel, review by the Civil Rights Directorate, and the 

CO/OIC should be in agreement. 

b. Copies of all EEO settlement agreements must be forwarded to Solutions and Complaints 

Division (CG-00H-2S) upon finalization. 

7. Confidentiality. Confidentiality is an important aspect of the ADR process, whereas the 

Administrative Dispute Resolution Act requires parties to maintain confidentiality of 

communications prepared for the purpose of ADR (with certain exceptions). The parties’ 

agreement to keep ADR session discussions confidential encourages candid and open 

conversation about the matters in dispute. Parties are entitled to confidentiality during the 

ADR process as follows: 

a. Nothing said or given to the Third Party Neutral in confidence during separate meetings 

with individual parties may be voluntarily disclosed or offered into evidence in a future 

legal proceeding, unless all parties and the Third Party Neutral agree in writing. 

b. There will be no written records of the ADR sessions. 

c. Facts discovered during ADR will not become a part of the official complaint record. 

d. The Management Representative may consult with Legal and/or Human Resources for 

questions regarding the legality or enforceability of proposed settlement provisions. 

e. At the conclusion of ADR discussions, the Third Party Neutral will destroy all notes 

taken. 

8. Exceptions to ADR Confidentiality. Confidentiality does not extend to threats of imminent 

harm to any person or property, any physical violence during the ADR session, or criminal 

activity. A settlement agreement that is developed as part of the ADR process becomes a 

record document once signed by the parties. The neutral facilitator may be required by 

subpoena to disclose information necessary to: 

a. Prevent a manifest injustice. 

b. Help establish a violation of law, or 

5-18 
 

 

 

COMDTINST M5350.4E 

c. Prevent serious harm to the public health or safety. 

9. Stages of the ADR Process. The ADR process includes the following stages: 

a. The ADR Election (Pre-Complaint) or ADR Request (Formal). 

b. The ADR suitability determination. 

c. Command/management representative with settlement authority identification. 

d. The ADR preparation. 

e. The ADR session. 

f. Settlement agreement. 

g. Coordination of resolution terms. 

h. Implementation of agreement terms. 

i. Compliance monitoring. 

10. Request and Preparation Phases: Roles and Responsibilities. The following describes the 

roles and responsibilities of the participants in the ADR request and preparation phases: 

a. Aggrieved party/complainant elects ADR during the pre-complaint and formal complaint 

processes, informs CRSP of designated representative, cooperates during ADR 

proceedings, and participates in good faith. 

b. The CRD Headquarters provides technical advice to CRSPs on ADR matters, consults 

with Regional Civil Rights Directors on appropriateness assessments and resolution 

potential, advises and provides direction to command officials on ADR matters including 

consultation with his or her servicing HR official and servicing legal office, provides 

ADR services in complex or sensitive cases, monitors and maintains records of all ADR 

activity, monitors compliance with resolution agreements, and responds to DHS CRCL 

regarding noncompliance allegations. 

11. Civil Rights Service Providers: 

a. The EEO Specialists/EO Advisor serves as a CRSP within their AOR, who explains 

ADR to the aggrieved party and provides written information about ADR, receives the 

ADR Election or ADR Request, consults with the Civil Rights Zone Manager or 

Regional Civil Rights Director regarding the matters appropriateness for ADR, identifies 

command/management representative, arranges for a third party neutral, serves as a third 

party neutral in some cases, coordinates ADR Session scheduling and any requested 

reasonable accommodations, contacts the Office of General Law and/or Human 

Resources to coordinate review of settlement terms, prepares resolution agreement for 

5-19 
 

 

 

 

 

 

 

COMDTINST M5350.4E 

signature (or prepares notice of right to file if ADR fails, records any corrective actions 

and closes the file). 

b. The Civil Rights Zone Manager serves as the lead CRSP within their AOR, who advises 

command/management on ADR policy and process, makes ADR appropriateness 

assessments in consultation with the Regional Civil Rights Director, serves as neutral 

facilitator for ADR sessions, assures timely coordination of ADR sessions, assures the 

Office of General Law and/or Human Resources review of settlement terms, reviews 

final resolution agreement, oversees prompt implementation of resolution agreement, and 

monitors and documents resolution agreement compliance. 

c. The Regional Civil Rights Director serves as the senior CRSP within their AOR who 

advises command/management on ADR policy and process, makes ADR appropriateness 

assessments, designates third party neutrals for AOR, reviews ROIs to identify early 

resolution potential, consults with CRD Headquarters and senior management on ADR 

matters, coordinates ADR sessions for formal complaints, transmits results of all ADR 

efforts to CRD Headquarters. 

d. The Third Party Neutral explains the ADR process to the parties, obtains Participation 

and Confidentiality Agreement and form resolution agreement, conducts the ADR 

session, assures preparation of the resolution agreement for review and execution by the 

parties, and informs Civil Rights Zone Manager or Regional Civil Rights Director of 

ADR outcome. 

e. The Command/Management Representative will arrange for the logistics of the ADR 

session, including a suitable location and any funding for third party neutral fees or 

travel. The Command/Management Representative may consult with the Office of 

General Law and civilian personnel specialist for advice on the nature and scope of 

resolution options. 

f. The DHS CRCL monitors settlement implementations and addresses all non-compliance 

notifications. 

12. Legal and Personnel Consultation and Authorization. Prior to entering settlement 

agreements that involve the expenditure of agency funds greater than two thousand 

dollars ($2,000.00), management must consult with the Office of General Law. When 

the dispute concerns a civilian employee which involves a personnel action, management 

must consult with the servicing human resources specialist in the Office of Civilian 

Workforce Relations (CG-124). The appropriate Coast Guard legal counsel for advice 

on legal sufficiency of resolution options and proposed resolution terms is the legal 

counsel of the unit from which the dispute comes, the Legal Service Center, or the Office 

of General Law. When the dispute concerns a military member, the appropriate 

personnel reviewing authority for advice on proposed resolution terms is the CO/OIC. 

5-20 
 

 

 

 

COMDTINST M5350.4E 

13. The ADR Suitability Factors. Although not exhaustive, the following lists of factors may be 

helpful in determining whether ADR is appropriate for a particular dispute. No single factor 

is necessarily determinative. 

a. Factors suggesting that ADR is appropriate. 

(1) Availability of an identifiable command/management official with authority to grant 

the relief requested or that would make the aggrieved party whole. 

(2) The aggrieved party’s preference for resolving the dispute rather than punishing the 

other person. 

(3) The parties’ interest in maintaining a continuing relationship. 

(4) The likelihood that the parties would benefit from intervention by a trained mediator 

to keep them focused on issues and resolution options. 

b. Factors suggesting that ADR is inappropriate. 

(1) The dispute does not involve any allegation of discrimination in violation of the 

anti- discrimination statutes enforced by the Equal Employment Opportunity 

Commission or in violation of the Coast Guard’s policy against discrimination in 

membership or employment. 

(2) The dispute implicates collectively bargained rights and/or has substantial potential 

effect on non-parties. 

(3) The only conceivable resolution options would set significant legal or policy 

precedents. 

(4) The aggrieved party has similar/related EEO/EO claims pending. 

(5) The dispute involves allegations of waste, fraud, or abuse. 

(6) The dispute involves alleged criminal activity or violations of the Uniform Code of 

Military Justice. 

(7) The aggrieved party requires a finding of fault or culpability to be made. 

c. ADR Appropriateness. The decision on the appropriateness of the case for ADR must 

not be the basis for any EEO/EO complaint. 

14. Essential Elements of Settlement Agreements. The typewritten settlement agreement must 

specify: 

a. The name of the aggrieved party. 

5-21 
 

 

 

 

 

COMDTINST M5350.4E 

b. The matter being resolved identified by: issue, basis, case number and the date precomplaint counseling was initiated if the matter is at the pre-complaint stage; or docket 

number if the matter is a formal complaint that is pending a hearing with EEOC or 

District Court. 

c. A statement that the aggrieved party and the Coast Guard voluntarily enter into the 

agreement. 

d. The effective date of agreement, including whether effectiveness is contingent upon 

expiration of a specific period for review of resolution terms by appropriate legal counsel 

and personnel reviewing authorities. 

e. What will happen if subsequent review determines that the terms of the agreement are 

inconsistent with: 

(1) Applicable laws and regulations; collective bargaining agreements; Coast Guard 

policy; or cannot be completed within the agreed timeframe. 

(2) The procedures for addressing alleged noncompliance with resolution terms. 

15. Legal and Personnel Review of Resolution Terms. Prior to entering settlement agreements 

that involve the expenditure of agency funds greater than two thousand dollars ($2,000.00), 

personnel actions, or any other management action that lies beyond the scope of 

management’s authority, management must consult with the Office of General Law. If the 

matter involves a personnel action, management should consult with Human Resource 

Directorate as well. Prior to a planned ADR meeting the CRSP and/or Third Party Neutral 

should arrange for the appropriate reviewing authorities to be on call to render a timely 

review (in-person, by telephone, or by email). 

16. Post-ADR Roles and Responsibilities. The following describes the roles and responsibilities 

of participants in the post-ADR phase of the ADR process: 

a. The CRD Headquarters monitors and maintains records of all ADR activity; coordinates 

with contract mediator on contractual matters. 

b. The ADR Facilitator reconvenes ADR to reformulate or renegotiate terms, or terminates 

ADR process if resolution terms cannot be implemented as written. 

c. The Regional Civil Rights Director serves as senior Civil Rights Manager for their AOR 

at the regional level over the zones; is accountable for effective and timely resolution of 

discrimination allegations; transmits results of all ADR efforts to CRD. 

d. The Civil Rights Zone Manager serves as senior Civil Rights Manager for their AOR at 

the zone level under the region; is accountable for effective and timely attempts at 

resolution; facilitates aggrieved party’s return to the complaint process if resolution 

efforts are unsuccessful. 

5-22 
 

 

COMDTINST M5350.4E 

e. The Aggrieved party returns to pre-complaint or formal discrimination complaint process 

for issuance of Notice of Right to File Discrimination Complaint if resolution efforts are 

unsuccessful. 

17. Allegations of Breach of Resolution Agreement and Remedies. If the aggrieved party or 

complainant believes the agency has not complied with any of the settlement terms, they 

must notify Department of Homeland Security Office for Civil Rights and Civil Liberties 

(DHS CRCL) in writing within 30 calendar days after they knew or should have known of 

the alleged noncompliance. DHS CRCL will make inquiry to CRD Headquarters and request 

response to the allegations. The Civil Rights Directorate will coordinate the response to 

DHS CRCL. 

a. Civilian aggrieved parties/complainants may also appeal to the EEOC for a compliance 

determination if DHS CRCL does not issue a determination within 30 calendar days of 

its receipt of the allegations of noncompliance. 

b. If DHS CRCL makes a determination of noncompliance and the aggrieved 

party/complainant requests enforcement of the agreement term, then aggrieved 

party/complainant is required to relinquish any benefits received under the resolution 

agreement, including return of any funds paid. 

18. The ADR Process Flowchart. The flow chart Figure 5-2 on the following page describes the 

ADR process. The ADR Process Flow chart is a general ADR process and does not replace 

informal ADR requirements for civilian and military members. 

5-23 
Not 

Appropriate 

! 

Proceed to 

Traditional 

Counseling 

ADR 

Request 

Suitability 

Determination 

ADR 

Appropriate 

No 

Resolution 

+ 

ADR 

Failed 

Provide 

Notice of Right 

to File (NRTF) 

Tentative 

Resolution 

Achieved 

HR/Legal Review 

for Sufficiency 

Final 

Resolution 

Compliance 

Monitoring 

(CG-00H-2S) 

COMDTINST M5350.4E 

U.S. Coast Guard Alternative Dispute Process 

Figure 5-2: Alternative Dispute Resolution (ADR) 

5-24 
 

 

 

 

 

 

 

COMDTINST M5350.4E 

CHAPTER 6 REASONABLE ACCOMMODATION AND PERSONAL ASSISTANCE 

SERVICES FOR QUALIFIED PERSONS WITH DISABILITIES 

A. Introduction. This chapter addresses Coast Guard policies, procedures, and responsible 

parties for meeting reasonable accommodation needs for qualified employees and applicants 

for employment with disabilities. It also provides guidance on the requirements to provide 

Personal Assistance Services (PAS) under Section 501 of the Rehabilitation Act of 1973 as 

amended. 

B. Reasonable Accommodation Policy. 

1. Definition. Reasonable accommodation is a change or adjustment to a work environment 

that permits a qualified applicant or employee with a disability to participate in the job 

application process, to perform the essential functions of a job, or to enjoy the benefits 

and privileges of employment equal to those enjoyed by employees without disabilities. 

Reasonable accommodation may include acquiring or modifying equipment or devices; 

job restructuring; part-time or modified work schedules; reassignment to a vacant 

position; adjusting or modifying examinations, training materials, or policies; providing 

readers and interpreters; making the workplace readily accessible to and usable by persons 

with disabilities. 

2. Legal Authority and Application of Policies. The statutory obligation for the Coast Guard 

to provide reasonable accommodations is contained in Executive Order 13164 (July 

2000), the Rehabilitation Act of 1973, as amended; 29 C.F.R. Part 1614.203(d); and 29 

C.F.R. Part 1630. Although many persons with disabilities can apply for and perform 

jobs without the provision of any reasonable accommodation, there are workplace barriers 

that keep others from performing jobs that they could perform given some form of 

accommodation. These barriers may be physical obstacles, such as inaccessible facilities 

or equipment, or they may be procedures or rules, such as rules concerning when work is 

performed, when breaks are taken, or how essential or marginal functions are performed. 

The reasonable accommodation process attempts to remove workplace barriers for 

persons with disabilities. 

3. Reasonable Accommodation Policies Applicable to Civilian Members. It is the policy of 

the Coast Guard to provide reasonable accommodation to all civilian employees or 

applicants for employment with a qualified disability within the defined scope and 

limitations of the law. Reasonable accommodation should be provided to qualified 

persons with disabilities, unless doing so poses a direct threat to the requestor or other 

employees, or poses an undue hardship to the Agency. 

4. Coast Guard Programs for Persons with Disabilities. An affirmative employment plan for 

the hiring, placement, and advancement of persons with disabilities has been developed 

and maintained by the Coast Guard, consistent with its obligations under the 

Rehabilitation Act of 1973, as amended. 

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COMDTINST M5350.4E 

a. In keeping with 5 C.F.R. Part 720(c), the Coast Guard developed a plan to promote 

employment and advancement opportunities for qualified disabled veterans within the 

Federal Government. 

b. The Coast Guard maintains a Persons with Disabilities Program (PWDP), which is 

designed to promote the hiring, placement, and advancement of employees with 

disabilities and to ensure they are employed within a broad range of grade levels and 

occupations commensurate with their qualifications. The Coast Guard, as all federal 

agencies, is tasked with assuring that its policies do not unnecessarily exclude or limit 

persons with disabilities because of working conditions. The PWDP enables the 

Coast Guard to take a positive and directive role in fully complying with Section 501 

of the Rehabilitation Act of 1973, as amended, and the provisions of 29 C.F.R. Part 

1614.203(b). 

C. Roles and Responsibilities. Commanding Officers/Officers-in-Charge (CO/OIC) or their 

equivalent at all levels of the Service are personally responsible and accountable for ensuring 

that civil rights laws, regulations, policies, and program standards are proactively applied and 

rigorously enforced within their commands. It is incumbent on those in leadership positions 

to create a workplace built on Coast Guard Core Values of Honor, Respect, and Devotion to 

Duty and to ensure that the workplace is free of discrimination or harassment on any 

prohibited basis. Likewise, it is incumbent on every member of the Coast Guard to promptly 

inform their chain of command or a Civil Rights Service Provider (CRSP) of any civil rights 

concerns or issues when they arise. The specific roles and administrative responsibilities of 

Coast Guard employees are addressed below. 

1. Specific Administrative Responsibilities. 

a. Director, Civil Rights Directorate, Commandant (CG-00H). The Director, Civil 

Rights Directorate (CRD) is responsible for implementing the Coast Guard Persons 

with Disabilities Program (PWDP). The Director is specifically responsible for 

ensuring that: 

(1) A nationwide Coast Guard PWDP is established. 

(2) A national PWDP Manager from within the Civil Rights Directorate is designated 

to be responsible for administering the reasonable accommodation program 

throughout the Coast Guard. 

(3) Coast Guard procedures for processing reasonable accommodation requests are 

developed and issued. 

(4) Managers, supervisors, human resources specialists, CRSP, and employees 

understand applicable laws, regulations, policies, and procedures regarding 

reasonable accommodation. 

(5) The PWDP is in compliance with the provisions of this Policy. 

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COMDTINST M5350.4E 

(6) Appropriate Human Resources Specialists and Office of General Law 

Representatives, if applicable, are consulted regarding their role in the reasonable 

accommodation process. 

b. National Persons with Disabilities Program Manager. The national Persons with 

Disabilities Program (PWDP) Manager is specifically responsible for: 

(1) Administering the reasonable accommodations program Coast Guard-wide. 

(2) Serving as the deciding official on appeal of denial of reasonable accommodation 

requests. 

(3) Maintaining records on all reasonable accommodation requests. 

(4) Submitting a consolidated report on reasonable accommodation requests and 

activities to the Department of Homeland Security Office of Civil Rights and 

Civil Liberties (DHS CRCL). 

(5) Engaging and informing the workforce regarding the Persons with Disabilities 

program. 

c. Civil Rights Service Provider (CRSP). The CRSPs will advise personnel on the 

reasonable accommodation process and submit quarterly reports on reasonable 

accommodation requests or denials to the PWDP Manager. 

d. Civilian Human Resources, Diversity and Leadership Directorate (CG-12). The 

Civilian Human Resources, Diversity and Leadership Directorate (CG-12) is 

responsible for: 

(1) Ensuring that all vacancy announcements inform qualified applicants with 

disabilities that reasonable accommodation may be requested. 

(2) Serving as decision maker on reasonable accommodation requests from job 

applicants and providing advice for requests involving undue hardship 

determinations. 

(3) Providing assistance to all applicable parties, e.g., the supervisor, employee, and 

PWDP Manager, regarding reassignment opportunities to vacant or prospectively 

vacant positions within the Coast Guard. 

(4) Ensuring that copies of this Policy are made available to all new employees 

during orientation and to all supervisory employees. 

(5) Ensuring that reasonable accommodation information and a link to the CG Portal 

are made available to new employees and supervisors. 

e. Commanding Officer/Officer in Charge. The CO/OIC is specifically responsible for: 

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COMDTINST M5350.4E 

(1) Consulting with appropriate agency representatives for assistance on reasonable 

accommodation issues: Civil Rights Service Providers, Human Resources 

Specialists, Medical Officers, and/or Attorney-Advisors. 

(2) Submitting completed reasonable accommodation request forms and associated 

records to the servicing CRSP within 10 business days subsequent to the 

resolution of a reasonable accommodation request. 

f. First Level Supervisor. The First Level Supervisor is specifically responsible for: 

(1) Serving as the decision maker. 

(2) Seeking guidance, as necessary, from appropriate sources, which include their 

servicing CRSP, CO/OIC, human resources specialists, medical officers, and 

attorney-advisors. 

(3) Determining that the request is in fact a reasonable accommodation request. 

(4) Acknowledging and responding, in writing, within 5 business days, using 

Acknowledgement of Reasonable Accommodation Request, Form CG-6080, to 

oral and written requests for accommodation. 

(5) Determining the necessity of obtaining medical documentation and determining 

its sufficiency for the processing of reasonable accommodation requests. 

(6) Determining, with appropriate guidance, if the requester is a qualified individual 

with a disability. 

(7) Communicating with the requester regarding the type of accommodation needed 

and whether or not it would enable the requester to perform the essential 

functions of the position or enjoy a benefit or privilege of employment as are 

enjoyed by similarly situated employees without disabilities. 

(8) Transmitting a written decision to the requestor within 15 business days unless 

extenuating circumstances dictate otherwise, and ensuring that the individual 

requesting the accommodation is informed of the reasons for delay. 

(9) Maintaining confidentiality to the extent practicable. 

g. Employees with Disabilities. Employees with disabilities are specifically responsible 

for: 

(1) Requesting an accommodation from their first level supervisor, either orally or in 

writing, describing, if known, how the accommodation would enable them to 

perform the essential functions of the position, or enjoy a benefit or privilege of 

employment as are enjoyed by similarly situated employees without disabilities. 

(2) Providing medical documentation of the disabling condition, upon request. 

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COMDTINST M5350.4E 

(3) Engaging in the interactive process during the processing of the reasonable 

accommodation request. 

(4) Appealing the denial of a reasonable accommodation request, if applicable, to the 

national PWDP Manager within 10 business days of notification of the denial of 

the request. 

2. Form Availability. The following forms are available on the USCG Electronic Forms 

Database at the web addresses below, or by contacting a servicing CRSP: 

a. Request for Reasonable Accommodation, Form CG-6079. 

https://cg.portal.uscg.mil/sites/externaldata/Forms/CG_6079.PDF 

b. Acknowledgement of Reasonable Accommodation Request, Form CG-6080. 

https://cg.portal.uscg.mil/sites/externaldata/Forms/CG_6080.PDF 

c. Reasonable Accommodation Decision and Reporting Form CG-6081. 

https://cg.portal.uscg.mil/sites/externaldata/Forms/CG_6081.PDF 

3. Resources. The following resources are available to assist employees and supervisors 

with reasonable accommodations: 

a. Job Accommodation Network (JAN) provides free, expert, and confidential guidance 

on workplace accommodations and disability employment issues. Information is 

available on their website at www.askjan.org. 

b. Employer Assistance and Resource Network on Disability Inclusion provides 

guidance and a range of free resources to help employers of all sizes tap the benefits 

of disability diversity. Information is available on their website at www.askearn.org. 

c. Computer/Electronic Accommodations Program provides assistive technology and 

accommodations to support persons with disabilities, and wounded, ill, and injured 

service members throughout the Federal Government, in accessing information and 

communication technology. Information is available on their website at www.cap.mil. 

d. Department of Transportation Disability Resource Center (DRC) provides job 

accommodations and related services to employees and job applicants. The Coast 

Guard and DRC maintain a service agreement to provide accommodations such as 

interpretive services and personal assistance services, at no cost. Information is 

available on their website at www.transportation.gov/drc. 

D. Processing Reasonable Accommodation Requests. 

1. Requests for Reasonable Accommodation. 

a. Who May Request an Accommodation. Qualified individuals with disabilities who 

are employees or applicants for employment may request a reasonable 

accommodation. Reasonable accommodations may be requested by qualified 

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COMDTINST M5350.4E 

employees regardless of whether they work part-time or full-time, or are considered 

“probationary.” 

(1) An applicant may request an accommodation orally or in writing from the Human 

Resources Specialist/Command Staff Advisor (HRS/CSA) who is handling the 

vacancy recruitment process. 

(2) A family member, health professional, or other representative acting on a 

requester’s behalf may request an accommodation on behalf of a Coast Guard 

civilian employee or job applicant. To the extent possible, the individual with a 

disability should be contacted to confirm that he/she is in fact seeking a 

reasonable accommodation. The individual may refuse to accept an 

accommodation that is not needed. See Third Party Request in this section for 

more information. 

b. How to Submit a Request. A request for a reasonable accommodation is a statement 

from an employee or applicant for employment that, as a result of a medical condition, 

the individual needs an adjustment or change in the application process, in their job, or 

in a benefit or privilege of employment. The reasonable accommodation process 

begins as soon as the request for accommodation is made either orally or in writing. 

Management must immediately begin processing a request for accommodation, and 

should not wait to confirm or acknowledge the request with the requestor before 

acting on the request. A request does not have to use any special words, such as 

reasonable accommodation, disability, or Rehabilitation Act. A request is any 

communication in which an individual asks or states that he/she needs USCG to 

provide or to change something because of a medical condition. A supervisor, 

manager, or the PWDP Manager should ask an individual whether he/she is requesting 

a reasonable accommodation if the nature of the initial communication is unclear. 

Persons with disabilities may request a reasonable accommodation whenever they 

choose, even if they have not disclosed the existence of a disability and need not have 

a particular accommodation in mind before making the request. For further 

information or assistance with a request for reasonable accommodation, any Coast 

Guard employee or applicant may consult with a human resources specialist or CRSP. 

2. Acknowledging Requests for Record Keeping Purposes. 

a. Acknowledging Requests. To enable the Coast Guard to keep accurate records 

regarding requests for accommodation, the person to whom the employee or applicant 

made the oral request for reasonable accommodation must follow up on the oral 

request by completing the “Acknowledgement of Request for Reasonable 

Accommodation,” Form CG-680, or otherwise confirming the request by email. 

b. Recurring Requests. A written acknowledgement is not required when an individual 

needs a reasonable accommodation on a repeated basis, for example, the assistance of 

sign language interpreters or readers. It is only required for the initial request. 

However, the employee must give adequate notice each time the accommodation is 

needed. 

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COMDTINST M5350.4E 

3. Determining Who Will Process the Request. 

a. Decision Maker. The person who processes the request for reasonable 

accommodation will be referred to as the decision maker. For employees, this role is 

fulfilled by the employee’s first level supervisor. For applicants, the role can be 

fulfilled either by the CO/OIC or the senior Human Resources manager responsible 

for servicing the job vacancy. In addition, the servicing CRSP will be available as 

needed to provide guidance and assistance to employees and the decision maker. 

b. Backup Personnel. In the first level supervisor’s absence, as a backup, the next 

available person above the supervisor in the chain of command would be responsible 

for continuing to receive, process, and/or serve as the decision maker on reasonable 

accommodation requests. The decision maker must ensure that persons with 

disabilities are informed about who has been designated as his/her backup. The time 

frames discussed below must not be suspended or extended because of the 

unavailability of a decision maker. 

4. The Interactive Process. 

a. Initial Discussion. Once the decision maker receives a request for a reasonable 

accommodation, the 15 business day timeframe to make a decision begins. If 

additional information is needed in order to make a decision, the decision maker must 

engage with the requester. This is called the interactive process. During the 

interactive process, the individual requesting the accommodation and the decision 

maker interact to determine what, if any, accommodation should be provided, or to 

explore alternatives. 

b. Communication. Communication is a priority throughout the entire process. This 

involves the decision maker and the requesting employee or applicant taking a 

proactive approach in searching out and considering possible accommodations, 

including consulting appropriate resources for assistance. The employee or applicant 

requesting the accommodation must participate in the process of identifying an 

effective accommodation. 

(1) As a first step in the process the decision maker will: 

(a) Inform the applicant or employee with a disability that he/she is the decision 

maker for the reasonable accommodation process; 

(b) Describe the details of the accommodation request process. This initial 

discussion should happen as soon as possible. 

(2) In those cases where the disability, the need for accommodation, and the type of 

accommodation that should be provided are clear, extensive discussions are not 

necessary. The decision maker and requesting individual should maintain 

communication to ensure that there is a full and complete exchange of relevant 

information. 

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COMDTINST M5350.4E 

(3) Ongoing communication is particularly important, especially in the event that the 

specific limitation, problem, or barrier is unclear; an effective accommodation is 

not obvious; or the parties are considering different solutions for providing 

reasonable accommodation. 

c. Third Party Request. When a third party makes a request for accommodation, the 

decision maker should, if possible, confirm with the applicant or employee with a 

disability that a reasonable accommodation has been requested before proceeding. It 

may not be possible to confirm the request if the employee has, for example, been 

hospitalized in an acute condition. In this situation, the decision maker will process 

the third party request and will consult directly with the individual needing the 

accommodation as soon as it is practicable. The individual may refuse to accept an 

accommodation that is not needed. 

d. Importance of Communication in Unclear Situations. Ongoing communication is 

particularly important, especially in the event that the specific limitation, problem, or 

barrier is unclear; an effective accommodation is not obvious; or the parties are 

considering different solutions for providing reasonable accommodation. In those 

cases where the disability, the need for accommodation, and the type of 

accommodation that should be provided are clear, extensive discussions are not 

necessary. Even so, the decision maker and requesting individual should maintain 

communication to ensure that there is a full and complete exchange of relevant 

information. 

e. Confidentiality. The decision maker or any other Coast Guard official who receives 

information associated with a request for reasonable accommodation may share 

information regarding that request with other agency officials (such as Legal and/or 

Human Resources) only when the agency officials need to know the information in 

order to make determinations about the reasonable accommodation request. 

f. Request for Reassignment. There are specific considerations in the interactive process 

when responding to a request for reassignment: 

(1) Reassignment should only be considered if no reasonable accommodation is 

available to enable the individual with a disability to perform the essential 

functions of his or her current position, or if the only effective accommodation 

would cause undue hardship. Reassignment must be considered as an 

accommodation prior to separating the employee from federal service. 

(2) Reasonable efforts should be made in considering whether there are funded 

vacant positions available for reassignment; the decision maker should work with 

the appropriate servicing Human Resources Specialist and the employee 

requesting the accommodation to identify placement opportunities. Placement 

opportunities include: 

(a) Coast Guard civilian positions for which the employee qualifies, which 

officials have reason to believe will become vacant over the following 60 

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COMDTINST M5350.4E 

calendar days and that are equivalent in terms of pay, grade, promotion 

potential, status, benefits, and geographic location to the employee’s current 

position. 

(b) Lower-graded level Coast Guard civilian positions within the local 

commuting area for which the employee qualifies, which officials have reason 

to believe will become vacant over the following 60 calendar days, if no 

equivalent positions are available that are within the same commuting area as 

the employee’s current position. 

(c) Coast Guard civilian positions, either equivalent or lower level, for which the 

employee qualifies, outside the employee’s current commuting area. As with 

other reassignments not required by management, the Coast Guard will not 

pay for relocation costs incurred by the employee. 

(3) In the case of multiple vacancies, while nothing prevents the Coast Guard from 

offering several reassignment opportunities, the Coast Guard is only obligated to 

offer one reassignment opportunity as a form of accommodation. If there are no 

vacant positions within the Coast Guard, a Department-wide search within the 

Department of Homeland Security is to be conducted as a reasonable 

accommodation of last resort. An employee must be qualified for the vacant 

position, with or without reasonable accommodation. Reassignment as a form of 

reasonable accommodation can only be offered to Coast Guard civilian 

employees and is not available as an accommodation for job applicants. 

(4) When no vacant positions are located within Coast Guard, the decision maker 

must contact the Office of Civilian Workforce Management (CG-122) to initiate 

the process of locating vacancies in other DHS Components. (Ref: DHS 

Directive 259-001-02 of Sep 2016). 

5. Request for Medical Documentation. 

a. When a Disability is Not Obvious. The decision maker is entitled to know that an 

employee or applicant has a covered disability that requires a reasonable 

accommodation when the individual requests a reasonable accommodation. In some 

cases, the disability and the need for accommodation will be obvious, or already 

known, to the decision maker. In these cases, the decision maker will not seek any 

further medical information. However, when a disability and/or need for reasonable 

accommodation is not obvious, or otherwise already known to the decision maker, the 

individual may be required to provide reasonable medical documentation explaining 

the existence of the disability and the individual’s functional limitations. 

b. Determination of Necessary Medical Documentation. The decision maker will 

evaluate the request and make a determination as to whether medical documentation is 

necessary. If it is necessary, the decision maker will: 

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COMDTINST M5350.4E 

(1) Request information sufficient to substantiate that the individual has a covered 

disability and needs the reasonable accommodation requested, but will not 

request unrelated documentation. 

(2) Seek documentation about the disability and/or functional limitations from the 

individual and/or ask the individual to obtain such information from an 

appropriate professional such as a doctor. In order to obtain the most helpful 

information, all requests for documentation should describe the nature of the job, 

the essential functions the individual is expected to perform, and any other 

relevant information. The decision maker may consult with all necessary 

servicing CRSPs, legal, and job accommodation resource offices in determining 

its necessity and appropriateness. 

c. Information Must Be Sufficient. If the information provided by the employee’s health 

professional or volunteered by the individual requesting the accommodation is 

insufficient to enable the decision maker to determine whether an accommodation is 

appropriate, further information may be requested. 

(1) First, however, the decision maker will explain to the individual seeking 

accommodation, in specific terms: (i) why the information, which has been 

provided, is insufficient; (ii) what additional information is needed; and (iii) why 

the additional information is necessary for a determination on the reasonable 

accommodation request. 

(2) The individual may then ask their health care professional or other appropriate 

knowledgeable professional to provide the additional information. 

d. Release for Consultation with Doctor. The decision maker may request that the 

individual requesting the accommodation sign a limited release form so that the 

agency may, thereafter, submit a list of specific questions to the individual’s health 

care provider, or may otherwise contact the individual’s doctor, if additional 

information is needed to process the accommodation request. 

e. Determination of Sufficiency of Documentation. If after a reasonable period of time 

there is still not sufficient information to demonstrate that the individual has a 

disability and needs a reasonable accommodation, the decision maker reserves the 

right to obtain a second opinion to verify physician diagnoses and/or opinions. In 

determining when a reasonable period of time has passed, the decision maker should 

consider factors such as the availability of the requestor’s medical provider, 

communications between the requestor and the agency, or others factors that may 

contribute to a delay in obtaining the requested information. 

f. Unsolicited Medical Documentation. In some cases, the individual requesting the 

accommodation will supply medical documentation directly to the decision maker 

without being asked. In these cases, the decision maker will consider such 

documentation, and if additional documentation is needed, the decision maker will 

work with the appropriate officials as set forth in this Section. 

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COMDTINST M5350.4E 

g. Choice of Reviewing Medical Expert. If the decision maker is unable to evaluate the 

necessity of an RA based on the submitted medical documentation, she/he, working in 

conjunction with the CO/OIC, and servicing human resources Specialist, will choose 

the medical expert to review the submitted medical documentation. Every effort will 

be made to choose a Coast Guard physician. If an outside physician is chosen, the 

cost of the review will be at Coast Guard’s expense. The agency medical expert 

assessments may be used as a factor in determining the medical condition, and the 

reasonable accommodation options. However, this medical expert’s assessment is not 

solely determinative. 

h. Failure to Provide Necessary Medical Documentation. The decision maker must 

advise the employee or applicant who is requesting a reasonable accommodation that 

his or her failure to provide appropriate documentation or to cooperate in efforts to 

obtain such documentation can result in a denial of the request. 

6. Confidentiality Requirements Regarding Medical Documentation Obtained in the 

Reasonable Accommodation Process. 

a. Confidentiality of Medical Documentation. Under the Rehabilitation Act, medical 

documentation obtained in connection with the reasonable accommodation process 

must be kept confidential regardless of whether the information was provided 

voluntarily or in response to a disability related question. This means that all medical 

documentation, including information about functional limitations and reasonable 

accommodation needs that the Coast Guard obtains in connection with a request for 

reasonable accommodation, must be kept in files separate from the individual’s 

personnel file. It also means that any Coast Guard employee who obtains or receives 

such information is strictly bound by these confidentiality requirements. 

b. Custody of Records. The PWDP Manager will maintain custody of all records 

obtained or created during the processing of a request for reasonable accommodation, 

including medical records, and will respond to requests for disclosure of the records. 

All records will be maintained in accordance with the Privacy Act and the 

requirements of 29 C.F.R. Part 1611. 

c. Disclosure of Records. This confidential medical information may be disclosed only 

as follows: 

(1) If a decision maker requests that the PWDP Manager obtain medical 

documentation, that decision maker may be told about necessary restrictions on 

the work or duties of the employee and about the necessity of providing the 

accommodation, but the PWDP Manager should only disclose medical 

information if necessary. 

(2) First aid and safety personnel may be informed when appropriate, if the disability 

might require emergency treatment. 

(3) Government officials may be given information necessary to investigate Coast 

Guard compliance with the Rehabilitation Act. 

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COMDTINST M5350.4E 

(4) Human Resources Specialists may require information in accordance with any 

pending personnel actions. 

(5) Whenever medical information is disclosed, the individual disclosing the 

information must inform the recipients of the information about the 

confidentiality requirements that pertain to it. 

7. Time Frame for Processing Requests and Providing Reasonable Accommodation. 

a. Time Frame Depends on Nature of Request. The time limit for providing or denying 

an accommodation starts as soon as the accommodation is first requested. The Coast 

Guard will process a request for reasonable accommodation and provide an 

accommodation, where appropriate, in as short a timeframe as reasonably possible. 

The maximum time permitted is 15 business days. When a particular accommodation 

can be provided in less than the maximum amount of time permitted, failure to 

provide the accommodation in a prompt manner may result in a violation of the 

Rehabilitation Act. Decision makers must not interpret the maximum time frame to 

provide an accommodation as meaning that they should routinely take the full length 

of time allowed. The Coast Guard recognizes, however, that the time necessary to 

process a request will depend on the nature of the accommodation requested and 

whether it is necessary to obtain supporting information. 

(1) It is recognized that the need for medical documentation, to determine whether 

the requesting individual has a disability and/or to identify the individual’s 

functional limitations, may not become apparent until after the interactive process 

has begun. If the decision maker believes it is necessary to obtain such medical 

documentation, he or she will make the request as soon as possible after receipt of 

the request for accommodation, but before the expiration of the 15-business day 

period. The 15-business day period is not paused while the decision maker 

determines if medical documentation is needed. 

(2) If the decision maker requests medical documentation, the 15-business day period 

is paused from the time the requestor is informed that the medical documentation 

is required and resumes when the medical documentation is provided to the 

decision maker. If, before the medical documentation is provided, the decision 

maker determines that medical documentation is no longer needed, the decision 

maker must continue processing the request. 

(3) Examples of accommodations that can easily be provided within this 15-business 

day time frame include: 

(a) An employee with diabetes works in an area where employees are prohibited 

from having food at their desks. The employee requires food or drink to 

adjust his/her blood sugar. An exception to accommodate the employee may 

be made immediately. 

(b) An employee with a learning disability asks that an agenda, which his 

supervisor distributes at the beginning of each staff meeting, be distributed 

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COMDTINST M5350.4E 

ahead of time because the disability makes it difficult to read and the 

employee needs more time to prepare. 

b. Expedited Processing. In certain circumstances, a request for reasonable 

accommodation requires an expedited review and decision in a time frame that is 

shorter than the 15 business days. These circumstances include where a reasonable 

accommodation is needed: 

(1) To enable an applicant to apply for a job. Depending on the timetable for 

receiving applications, conducting interviews, taking tests, and making hiring 

decisions, there may be a need to expedite a request for accommodation in order 

to ensure that an applicant with a disability has an equal opportunity to apply for 

a job. Therefore, the decision maker needs to move as quickly as possible to 

make a decision and, if appropriate, provide a reasonable accommodation. 

(2) To enable an employee to attend a meeting scheduled to occur shortly. For 

example, an employee may need a sign language interpreter for a meeting 

scheduled to take place in 5 business days. In these instances, the following 

should be completed: 

(a) If no supporting medical documentation is required and no extenuating 

circumstances apply, a request for reasonable accommodation must be 

processed and the accommodation, if granted, provided in no more than 5 

business days from the date the decision maker receives the request, but 

sooner, if possible. Failure to meet this time frame solely because a decision 

maker delayed processing the request is not an extenuating circumstance. 

(See “Extenuating Circumstances” in this Section). 

c. Extenuating Circumstances. These are factors that could not reasonably have been 

anticipated or avoided in advance of the request for accommodation. When 

extenuating circumstances are present, the time for processing a request for reasonable 

accommodation and providing the accommodation will be extended as reasonably 

necessary. The decision maker must notify the individual, in writing, of the reason for 

the delay and the approximate date on which a decision, or provision of the reasonable 

accommodation, is expected. Any further developments or changes should also be 

communicated promptly to the individual. Extensions based on extenuating 

circumstances must be limited to circumstances where they are strictly necessary. All 

decision makers are expected to act as quickly as reasonably possible in processing 

requests and providing accommodation. If there is a delay in providing an 

accommodation that has been approved, the decision maker must investigate whether 

temporary measures can be taken to assist the employee until the approved 

accommodation can be permanently provided. The following are examples of 

extenuating circumstances: 

(1) There is an outstanding initial or follow-up request for medical documentation or 

the CO/OIC is evaluating medical documentation that has been provided; 

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COMDTINST M5350.4E 

(2) The accommodation requires new staff to be hired or contracted or contracted or 

an accommodation involves the removal of architectural barriers; and 

(3) Acquisitions must be made as soon as reasonably possible. If the acquisition 

authority believes that there is a policy or law against providing an 

accommodation, they must raise the matter with an appropriate authority 

immediately. Failure to provide an accommodation due to a mistaken 

understanding of law could result in a violation of the Rehabilitation Act. These 

are some examples of extenuating circumstances involving acquisitions: 

(a) The purchase of equipment may take longer than 15-business days 

because of requirements under Federal Acquisition Regulations and/or 

DHS acquisition policies and procedures; 

(b) Equipment must be back-ordered, the vendor typically used by the Coast 

Guard for goods or services has unexpectedly gone out of business or the 

vendor cannot promptly supply the needed goods or services and another 

vendor is not immediately available; and 

(c) The employee with a disability needs to work with the equipment on a 

trial basis to ensure that it is effective before the Coast Guard purchases it. 

d. Accommodation on a Temporary Basis. There may be occasions when it is prudent 

to provide an accommodation on a temporary basis. The employee must be clearly 

informed that they are being provided accommodation only on a temporary, interim 

basis. Examples include: 

(1) There may be a delay in receiving adaptive equipment for an employee with a 

vision disability. During the delay, the decision maker might arrange for other 

employees to act as readers. This temporary measure may not be as effective as 

the adaptive equipment, but it will allow the employee to perform as much of the 

job as possible until the equipment arrives. 

(2) If there is a delay which is attributable to the need to obtain or evaluate medical 

documentation and a determination has not been made that the individual is 

entitled to an accommodation, the Coast Guard may provide an accommodation 

on a temporary basis. In such a case, the decision maker will notify the individual 

in writing that the accommodation is being provided on a temporary basis pending 

a decision on the accommodation request. The decision maker must ensure that 

such temporary measures do not replace long-term accommodation and that all 

necessary steps to secure the long-term accommodation are being taken. 

(3) 

8. Granting of a Reasonable Accommodation Request. 

a. As soon as the decision maker determines that a reasonable accommodation will be 

provided, that decision should be communicated to the individual and the CO/OIC, 

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COMDTINST M5350.4E 

absent extenuating circumstances, within 15 business days of the request, using the 

Reasonable Accommodation Decision and Reporting Form (CG-6081). 

b. If the accommodation cannot be provided within that time frame, the decision maker 

must inform the individual, and the CO/OIC, in writing, of the projected time frame 

for providing the accommodation. 

9. Denial of a Reasonable Accommodation Request. 

a. As soon as the decision maker determines that a request for a reasonable 

accommodation will be denied, he or she must complete the Reasonable 

Accommodation Decision and Reporting Form (CG-6081). The decision maker must 

inform the individual and the CO/OIC, in writing, within 15 business days of the 

request, absent extenuating circumstances. The explanation for the denial should be 

written in plain language clearly stating the specific reasons for the denial. 

b. Where the decision maker has denied a specific requested accommodation, but offered 

an alternate accommodation that was not agreed upon during the interactive process, 

the denial notice should explain the reasons for denying the requested accommodation 

and why the decision maker believes the alternate accommodation would be effective. 

c. Reasons for the denial of a request for a reasonable accommodation may include the 

examples listed below. Keep in mind that the actual notice to the individual must 

include specific reasons for the denial, for example, why the accommodation would 

not be effective or why it would result in undue hardship: 

(1) The requested accommodation would not be effective. 

(2) Providing the requested accommodation would result in undue hardship. Before 

reaching this determination, the decision maker must have explored other 

effective accommodation options that would not impose undue hardship and, 

therefore, could be provided. A determination of undue hardship means that the 

Coast Guard finds a specific accommodation would be prohibitively costly, 

extensive, substantial, or disruptive, or that it would fundamentally alter the 

nature or operation of business. When considering costs, the Equal Employment 

Opportunity Commission considers the overall impact to the Department of 

Homeland Security, not the costs to a specific Coast Guard unit. Contact the 

servicing CRSP for possible resources. Findings of undue hardship must be 

favorably endorsed by the servicing Legal office. 

(3) Medical documentation is inadequate to establish that the individual has a 

disability and/or needs a reasonable accommodation. 

(4) The requested accommodation would require the removal of an essential job 

function. 

(5) The requested accommodation would require the lowering of a performance or 

production standard. 

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d. The written notice of denial also informs individuals that they have the right to file an 

EEO Complaint within 45 calendar days and may have rights to pursue administrative 

or negotiated grievance procedures. The decision maker must review applicable 

collective bargaining agreements and the administrative grievance procedure to 

determine if grievance procedures apply. The written notice of denial must also 

explain procedures for informal dispute resolution. Inaction on the part of the 

decision maker in processing a reasonable accommodation request will be considered 

a denial of the request. 

e. If individuals do not agree with the denial, they may submit a request for 

reconsideration to the decision maker, in writing, within 5 business days of receiving 

the written notice of denial. Individuals may present additional information in support 

of their request for reconsideration within 5 business days of submitting the request. 

10. Appeals to the PWDP Manager. 

a. If the decision maker does not reverse the denial decision, individuals may submit an 

appeal of the decision to the PWDP Manager, in writing, within 10 business days of 

receiving the reconsideration decision. The PWDP Manager will issue a response to 

individuals within 10 business days of receipt of the appeal. Pursuing dispute 

resolution procedures, including seeking a request for reconsideration or an appeal, 

does not affect the time limits for initiating statutory and collective bargaining claims. 

The participation of individuals in any dispute resolution process does not satisfy the 

requirements for bringing a claim under EEO, or administrative, or negotiated 

grievance procedures. Information regarding submission of an appeal is outlined on 

the Reasonable Accommodation or Personal Assistance Service Decision and 

Reporting Form, CG-6081. 

b. Determination of Appropriateness of Documentation. If an appeal of the RA denial 

has been made, the PWDP Manager will inform the decision maker whether the 

medical documentation demonstrates that a reasonable accommodation is appropriate 

and provide, if necessary, any additional information about the individual’s functional 

limitations. 

11. Information Tracking and Reporting. 

a. Form Requirements. The decision maker must report all reasonable accommodation 

requests, granted and denied, to the servicing CRSP. The decision maker must 

complete the Reasonable Accommodation Decision and Reporting Form (CG-6081), 

and submit a copy to the requesting employee and to the servicing CRSP within 15 

business days of the decision. Information received by the decision maker as part of 

processing the request must be maintained locally for a period of five years. 

b. Record Maintenance. The PWDP Manager will maintain these records for the length 

of the employee’s tenure with the Coast Guard or 5 years, whichever is greater. 

c. Reasonable Accommodation Report. The servicing CRSP will prepare quarterly 

reports on reasonable accommodation requests, approvals, and denials, and forward it 

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to the PWDP Manager. The PWDP Manager will annually prepare a consolidated 

Coast Guard-wide report, to be submitted to the DHS Office of Civil Rights and Civil 

Liberties (DHS CRCL), which will be made available to all employees. This report 

will contain the following information: 

(1) The number of reasonable accommodation requests, by type, which have been 

requested during the application process and whether those requests have been 

granted or denied. 

(2) The jobs, including occupational series and grade level codes, for which 

reasonable accommodations have been requested. 

(3) The types of reasonable accommodation that have been requested for each of 

those jobs. 

(4) The number of reasonable accommodation requests, by type, for each job that 

have been approved. 

(5) The number of accommodation requests, by type, for each job, that have been 

denied. 

(6) The number of requests for reasonable accommodation, by type, that relate to the 

benefits or privileges of employment and whether those requests have been 

granted or denied. 

(7) The reasons for denial of requests for reasonable accommodation. 

(8) The amount of time taken to process each request for reasonable accommodation. 

(9) The sources of technical assistance that have been consulted in trying to identify 

possible provisions of reasonable accommodation. 

(10) The identity of the deciding official for each reasonable accommodation request. 

(11) Provide a qualitative assessment of the Coast Guard reasonable accommodation 

policy and procedures, and include recommendations for improvement. 

E. Accessibility and Inquiries. 

1. Accessibility of Reasonable Accommodation Procedures. These procedures are available 

for applicants for employment and employees in written and accessible formats. Requests 

may be made with the individual’s applicable Decision Maker. 

2. Inquiries. An employee seeking further information concerning these procedures, the 

final decision regarding his/her reasonable accommodation request, or the status of his/her 

reasonable accommodation request, may contact the PWDP Manager at 

CivilRightsRA@uscg.mil. 

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COMDTINST M5350.4E 

F. Reasonable Accommodation Definitions. 

1. Accessible. Enter, operate, participate in, or use safely, independently and with dignity by 

a person with a disability (i.e., site, facility, work environment, service or program). 

2. Appeal Process. Any voluntary mechanism through which an individual can request 

reconsideration of a denial of a reasonable accommodation, regardless of whether the 

person has entered the EEO complaint process. 

3. Decision Maker. The person who processes the request for accommodation. This role 

can be fulfilled by one of the following officials: A human resources manager (for 

applicants only); an employee’s immediate supervisor/manager, and CO/OIC or a 

manager in the employee’s chain of command. The decision maker may consult with the 

agency medical expert, human resources, Legal, and their Civil Rights Service Providers, 

to determine if an individual has a medical condition that substantially limits a major life 

activity and is eligible for reasonable accommodation. 

4. Denial. Decision maker makes an informed decision to deny the employee’s specific 

reasonable accommodation and either does not offer an alternate in its place, or the 

alternate accommodation that is offered is declined by the employee. 

5. Disability. For the purposes of providing a reasonable accommodation, “disability” is 

defined as a physical or mental impairment that substantially limits one or more of the 

major life activities or a record (or past history) of such an impairment. 

6. Essential Functions. The fundamental job duties of the position the individual with a 

disability holds or desires. It does not include the marginal functions of the position. A 

job function may be considered essential for any of several reasons, including but not 

limited to: (i) the reason the position exists is to perform that function; (ii) there are a 

limited number of employees available among whom the performance of that job function 

can be distributed; and/or (iii) the function may be highly specialized so that the 

incumbent in the position is hired for his or her expertise or ability to perform the 

particular function. Evidence of whether a particular function is essential includes, but is 

not limited to: (i) the employer’s judgment as to which functions are essential; (ii) written 

job descriptions prepared before advertising or interviewing applicants for the job; (iii) the 

amount of time spent on the job performing the function; (iv) the consequences of not 

requiring the incumbent to perform the function; (v) the terms of a collective bargaining 

agreement; and/or (vi) the work experience of similar jobs. 

7. Extenuating Circumstances. Factors that could not reasonably have been anticipated or 

avoided in advance of the request for accommodation or situations in which unforeseen or 

unavoidable events prevent prompt processing and delivery of an accommodation (e.g., 

identified software is not compatible with existing equipment). 

8. Genetic Information. As defined by the Genetic Information Nondiscrimination Act 

(GINA) of 2008, genetic information includes information about an individual’s genetic 

tests and the genetic tests of an individual’s family members, information about the 

manifestation of a disease or disorder in an individual’s family members (i.e., family 

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COMDTINST M5350.4E 

medical history), an individual’s request for, or receipt of, genetic services, or the 

participation in clinical research that includes genetic services by an individual or a family 

member of the individual, and genetic information of a fetus carried by an individual or an 

individual’s family member, or an embryo lawfully held by an individual or family 

member receiving assistive reproductive services. 

9. Granted. The decision maker makes an informed decision to approve the employee’s 

specific reasonable accommodation request or an alternative accommodation that both the 

employee and manager believe will be effective. 

10. Individual with a Disability. An individual who has a physical or mental impairment that 

substantially limits one or more major life activities; has a record of such impairment; or 

is regarded as having such impairment. 

11. Interactive Process. The process by which the individual requesting an accommodation 

and the decision maker discuss the request for accommodation, determine whether an 

accommodation will be provided, and examine potential alternative accommodations. 

12. Major Life Activities. Major life activities include, but are not limited to: (i) caring for 

oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, 

sitting, reaching, lifting, bending, speaking, breathing, learning, reading, concentrating, 

thinking, communicating, interacting with others, and working; and (ii) the operation of a 

major bodily function, including functions of the immune system, special sense organs 

and skin; normal cell growth; and digestive, genitourinary, bowel, bladder, neurological, 

brain, respiratory, circulatory, cardiovascular, endocrine, hemic, lymphatic, 

musculoskeletal, and reproductive functions. The operation of a major bodily function 

includes the operation of an individual organ within a body system. In determining other 

examples of major life activities, the term “major” shall not be interpreted strictly to 

create a demanding standard for disability. Whether an activity is a “major life activity” 

is not determined by reference to whether it is of “central importance to daily life.” 

13. Personal Assistance Services. Assistance with performing activities of daily living that 

an individual would typically perform if he or she did not have a disability, and that is not 

otherwise required as a reasonable accommodation, including, for example, assistance 

with removing and putting on clothing, eating, using the restroom, pushing a wheelchair 

or assisting someone with getting into or out of a vehicle at the worksite. 

14. Physical or Mental Impairment. (1) Any physiological disorder or condition, cosmetic 

disfigurement, or anatomical loss affecting one or more body systems, such as 

neurological, musculoskeletal, special sense organs, respiratory (including speech organs), 

cardiovascular, reproductive, digestive, genitourinary, immune, circulatory, hemic, 

lymphatic, skin, and endocrine; or (2) any mental or psychological disorder, such as an 

intellectual disability (formerly termed “mental retardation”), organic brain syndrome, 

emotional or mental illness, and specific learning disabilities. 

15. Qualified Individual with a Disability. The individual with the disability satisfies the 

requisite skill, experience, education and other job‐related requirements of the position 

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COMDTINST M5350.4E 

such individual holds or desires and, with or without reasonable accommodation, can 

perform the essential functions of such position. 

16. Reasonable Accommodation. 

a. Modifications or adjustments to a job application process that enable a qualified 

applicant with a disability to be considered for the position such qualified applicant 

desires. 

b. Modifications or adjustments to the work environment, or to the manner or 

circumstances under which the position held or desired is customarily performed, that 

enable a qualified individual with a disability to perform the essential functions of that 

position. 

c. Modifications or adjustments that allow a Coast Guard employee with a disability to 

enjoy equal benefits and privileges of employment as are enjoyed by other similarly 

situated employees without disabilities. 

d. Reasonable accommodation may include but is not limited to: (i) making existing 

facilities used by employees readily accessible to and usable by persons with 

disabilities; (ii) job restructuring; (iii) part‐time or modified work schedules; (iv) 

reassignment to a vacant position; (v) acquisition or modifications of equipment or 

devices; (vi) appropriate adjustment or modifications of examinations, training 

materials, or policies; (vii) the provision of qualified readers or interpreters; and (viii) 

other similar accommodations for persons with disabilities. 

e. To determine the appropriate reasonable accommodation, it is necessary for Coast 

Guard responsible officials to initiate an informal, interactive process with the 

individual with a disability in need of the accommodation. This process should 

identify the precise limitations resulting from the disability and potential reasonable 

accommodations that could overcome those limitations. 

17. Reassignment. Reasonable accommodation of last resort, that, absent undue hardship, is 

provided to employees (not applicants) who, because of a disability, can no longer 

perform the essential functions of their job, with or without reasonable accommodation. 

Reassignments are made only to funded vacant positions and for employees who are 

qualified to fill and are willing to accept the vacant position. If the employee is qualified 

for the position, he/she will be reassigned to the position and will not have to compete. If 

he/she declines a valid reassignment offer, the case must be referred to the servicing 

human resources specialist in the Office of Civilian Workforce Relations (CG-124) with 

all relevant documentation. 

18. Regarded as Having Impairment. An individual is: “regarded as having an impairment” 

if the individual is believed to have a physical or mental impairment that substantially 

limits a major life activity, even if the individual does not. 

19. Targeted Disability. Targeted disabilities are a subset of conditions that would be 

considered disabilities under the Rehabilitation Act. The federal government has 

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COMDTINST M5350.4E 

recognized that qualified persons with certain disabilities face significant barriers to 

employment, which for some people may include lack of access to PAS in the workplace, 

that are above and beyond the barriers faced by people with the broader range of 

disabilities. The federal government calls these “targeted disabilities.” A list of targeted 

disabilities can be found on the Office of Personnel Management Standard Form 256 at 

https://www.opm.gov/forms/pdf_fill/sf256.pdf. Note, however, that not everyone with a 

targeted disability will be entitled to PAS under the new regulations, because only some 

persons with targeted disabilities require assistance with basic activities such as eating and 

using the restroom. Medical conditions that are more likely to result in the need for PAS 

include, for example, missing limbs or paralysis due to spinal cord injury. 

20. Undue Hardship. Undue hardship means significant difficulty or expense and focuses on 

the resources and circumstances of the particular employer in relationship to the cost or 

difficulty of providing a specific accommodation. Undue hardship refers not only to 

financial difficulty, but to reasonable accommodations that are unduly extensive, 

substantial, or disruptive, or those that would fundamentally alter the nature or operation 

of the business. An employer must assess on a case-by-case basis whether a particular 

reasonable accommodation would cause undue hardship. An employer must assess, on a 

case-by-case basis, whether a particular reasonable accommodation would cause undue 

hardship. In determining whether an accommodation would impose an undue hardship on 

Coast Guard, factors to be considered include: (i) the nature and net cost of the 

accommodation needed under this part, taking into consideration the availability of tax 

credits and deductions, and/or outside funding; (ii) the overall financial resources of the 

facility or facilities involved in the provision of the reasonable accommodation, the 

number of persons employed at such facility, and the effect on expenses and resources; 

(iii) the overall financial resources of the covered entity, the overall size of the business of 

the covered entity with respect to the number of its employees, and the number, type and 

location of its facilities; (iv) the type of operation or operations of the covered entity, 

including the composition, structure and functions of the workforce of such entity, and the 

geographic separateness and administrative or fiscal relationship of the facility or facilities 

in question to the covered entity; and (v) the impact of the accommodation upon the 

operation of the facility, including the impact on the ability of other employees to perform 

their duties and the impact on the facility’s ability to conduct business. 

G. Personal Assistance Services (PAS). 

1. Legal Requirement. The Equal Employment Opportunity Commission amended 29 

C.F.R. Part 1614.203, the regulation that provides implementation of Section 501 of the 

Rehabilitation Act of 1973. This law prohibits the Federal Government from 

discriminating in employment on the basis of disability and requires it to engage in 

affirmative action for persons with disabilities. This amendment requires the Coast Guard 

to provide PAS to persons with targeted disabilities, in addition to other reasonable 

accommodations, unless doing so would impose an undue hardship on the agency. 

2. Personal Assistance Services for Daily Living. Personal Assistance Services is a 

government term for providing help with performing activities of daily living that an 

individual would typically perform if not for his/her disability. Some examples include 

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COMDTINST M5350.4E 

assistance with removing and putting on clothing, eating, using the restroom, powering a 

wheelchair or entering and exiting vehicles or worksites. 

3. PAS Do Not Include Assistance with Job Functions. Personal Assistance Services (PAS) 

do not help individuals with targeted disabilities perform their specific job functions, such 

as reviewing documents or answering questions that come through a call-in center. PAS 

differ from the typical “Reasonable Accommodations” discussed in the beginning of this 

chapter that help individuals perform job-related tasks, such as providing a sign language 

interpreters or a reading aide. 

Typical Reasonable Accommodations: Personal Assistance Services: 

• It is a non-discrimination requirement • It is an Affirmative Action obligation that 

under the Rehabilitation Act. goes beyond non-discrimination 

• It provides job-related services to enable requirements under the Rehabilitation 

persons with disabilities to perform job Act. 

and employment functions. • It enables persons with targeted 

• It provides accommodations to perform disabilities to participate in the 

job duties, such as: special software, sign workforce. 

language interpreters, ergonomic • It does not provide services to allow 

keyboards and chairs, and mobility persons with disabilities to complete jobdevices. related functions. 

• It provides assistance with activities of 

daily living, such as: removing and 

putting on clothing, eating, and using the 

restroom. Table 6-1: Personal Assistance Service v. Typical Reasonable Accommodations 

4. Eligibility. The Coast Guard is only required to provide PAS to an individual if: 

a. The individual is an employee of the agency; 

b. The individual has a targeted disability; 

c. The individual requires the services because of his or her targeted disability; 

d. The individual is able to perform the essential functions of the job, without posing a 

direct threat to safety, once PAS and any required reasonable accommodations have 

been provided; and 

e. Providing PAS will not impose undue hardship on the agency. 

5. PAS Request Process. The process for a PAS request and a reasonable accommodation 

request are the same. Furthermore, both processes utilize the same forms. The reasonable 

accommodation request process is discussed earlier in this chapter. 

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COMDTINST M5350.4E 

6. Denial of Personal Assistance Services. The Coast Guard is only required to provide PAS 

to requesting employees who are entitled to them under the regulation. As such, the Coast 

Guard can deny PAS requests when: 

a. The requestor is not an employee of the agency; 

b. The requestor does not have a targeted disability; 

c. The targeted disability does not create a need for PAS; 

d. The requester is not able to perform the essential functions of the job, even with PAS 

and any reasonable accommodations; 

e. The requester would create a direct threat to safety on the job, even with PAS and any 

reasonable accommodations; or 

f. Providing PAS would impose undue hardship on the agency. 

7. Confidentiality. PAS information is protected under the Privacy Act. All information 

must be kept confidential and released only to those with a need to know. 

8. Information Tracking and Reporting. Personal Assistance Services shall be tracked and 

reported in a similar manner as reasonable accommodations. 

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COMDTINST M5350.4E 

CHAPTER 7 SOCIAL CLIMATE INCIDENTS 

A. About Social Climate Incidents. 

1. Definition and Impact. A social climate incident is an action committed by a member 

or members of a community against Coast Guard military personnel, or their family 

members that is perceived as hostile, harassing, or discriminatory in nature. 

a. Social climate incidents develop when civilian communities in which Coast Guard 

members are located, passively or actively, resist accepting or supporting Coast 

Guard families within their neighborhoods. The treatment is either explicit or 

implicit based on unlawful discrimination. 

b. Social climate incidents can have an impact on the emotional, physical, and social 

well-being of Coast Guard members and their families. Moreover, such incidents 

may have a negative impact on morale and job performance. 

2. Addressing Social Climate Incidents. The Coast Guard expects their members and 

their families to work and live in communities they believe will treat them with 

fairness, dignity, and respect. When members believe a social climate incident has 

occurred, they must report it through the chain of command. The CO/OIC must take 

prompt action to investigate and seek resolution of the issues as soon as he/she 

becomes aware of the incident. 

3. Roles and Responsibilities. The information below outlines the roles and 

responsibilities of personnel responding to social climate incidents. It also contains 

specific guidance regarding proactive measures that unit commanders may take in 

order to minimize the potential occurrence of these types of incidents. 

a. Members. Members should inform their commands as soon as possible after 

experiencing or learning that members of their family have been subjected to 

discrimination or harassing behavior by members of their communities. 

(1) In the event of housing discrimination allegations, the Coast Guard member 

must also notify the local Coast Guard Housing Office and the Department of 

Housing and Urban Development (HUD), Regional Office of Fair Housing 

and Equal Opportunity. 

(2) For additional information about Coast Guard fair housing policies refer to the 

Coast Guard Housing Manual, COMDTINST M11101.13 (series). 

b. The Commanding Officer/Officer-in-Charge. The CO/OIC will inform the chain 

of command, providing timely, factual information as available. The CO/OIC is 

responsible for: 

(1) Establishing ongoing communications with local officials and civic groups in 

an effort to resolve social climate issues. 

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COMDTINST M5350.4E 

(2) Identifying, investigating, and taking proactive steps to resolve and prevent 

social climate incidents. 

(3) Conducting, and/or assigning an Investigating Officer (IO) to conduct an 

immediate informal inquiry of the incident. This inquiry must be based on 

the basic precepts of an Administrative Investigation, which is described more 

fully within the Administrative Investigations Manual, COMDTINST 5830.1 

(series). 

(4) Monitoring the social climate of the community. 

(5) Encouraging members to notify the command of any social climate issue as 

quickly as possible. 

(6) Ensuring that the respective Civil Rights Service Provider (CRSP) is informed 

of any social climate issue, and requesting assistance as needed. 

(7) Contacting the servicing legal office for guidance. 

(8) Taking immediate action to ensure the safety of Coast Guard members and 

their families. 

(9) Completing the administrative investigation even if the member has been 

relocated from the offending community. Also, the investigation must be 

completed, even if a member declines to file a complaint. 

(10) Providing a command recommendation of transfer action if the member 

requests a “Social Climate Transfer.” This is the least desirable alternative 

but remains an option if the severity of circumstances warrants such action by 

CG-PSC. For further information on transferring personnel, see Military 

Assignments and Authorized Absences, COMDTINST M1000.8 (series). 

(11) Ensuring that the appropriate authorities, for example, law enforcement 

agencies, school officials, local government officials, chambers of commerce, 

are immediately notified when social climate incidents occur. 

(12) Exhausting all alternatives to addressing social climate issues, such as: 

sanctions or placing an establishment off-limits when it is found to be 

responsible for social climate incidents toward Coast Guard members and/or 

their family members; use of community social action agencies and/or the 

Department of Justice (DOJ) Community Relations Service (CRS); and other 

actions that promote positive community relations. 

(13) Providing reports of social climate incidents via the chain of command to 

Commandant (CG-00H) and Commandant (CG-1). 

a. The Investigating Officer (IO). The IO interviews the Coast Guard member and 

anyone else who has knowledge of the incident, including, if appropriate, reviews 

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COMDTINST M5350.4E 

the records of law enforcement officials (i.e., police or sheriff departments, etc.) to 

determine their account of the incident. The IO interviews appropriate civilian and 

community organizations to determine any history of similar incidents in the 

community. However, an IO conducting Standard Investigations under 

COMDTINST M5830.1 (series) does not have subpoena power, and may not 

compel civilian witnesses or organizations to participate or provide a statement. In 

the case of housing discrimination, the IO: 

(1) Immediately contacts or visits the facility and/or agent concerned to verify 

facts presented by the complainant. 

(2) Coordinates efforts with the servicing Legal and Housing Offices to 

determine to what extent further counsel may be provided to the complainant. 

(3) Assists the complainant in completing Housing and Urban Development 

(HUD) discrimination complaint forms. 

(4) Conducts an analysis of facts found and provides a final report and 

recommendations to the command regarding the merits of the case. 

b. The Civil Rights Service Provider. The CRSP provides technical assistance to the 

CO/OIC in addressing social climate incidents. The servicing CRSP facilitates 

opportunities for members to report any housing related incidents to HUD and 

follows up with the USCG Housing Office to obtain case files and documents in 

order to keep a record of and analyze patterns or practices of community resistance 

to fair housing, providing the results of such analysis along with its 

recommendations to the CO/OIC and to Commandant (CG-00H) via the chain of 

command. 

c. The Regional Civil Rights Director. The Regional Civil Rights Director provides 

timely reports on the nature and management of the incident, and command 

perspective and recommendations to Civil Rights Directorate. 

d. The Headquarters Civil Rights Directorate (HQ CRD). The HQ CRD ensures 

follow up at the unit/community level through the servicing Regional Civil Rights 

Director and oversees the process for managing social climate incidents. HQ CRD 

provides guidance on development of Memoranda of Understanding (MOU) with 

the Department of Justice, Community Relations Service, and its Regional Offices 

to facilitate resolution of social climate incidents. CRD provides guidance and 

direction to commands, as requested, and coordinates social climate policy 

development with Commandant (CG-1). CRD also provides guidance and/or 

recommendations on appropriate responses to social climate incidents and housing 

discrimination reports and files, and maintains a database of social climate 

information. 

B. Social Climate Review Process. 

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COMDTINST M5350.4E 

1. Guidance and Procedures for Processing Reports. Once a member notifies the 

command of a discriminatory action towards them or members of their family by the 

community, the CO/OIC must conduct a preliminary inquiry to determine whether a 

social climate investigation should be convened. Upon notification, CO/OICs must 

notify their servicing Civil Rights Service Provider. If the CO/OIC convenes an 

investigation, he or she should do so within one day of being notified (operations 

permitting) that an incident has occurred. 

a. Once assigned, the IO will conduct a standard investigation and will interview all 

military parties involved in order to gather all facts related to the incident. IOs do 

not have authority to compel or subpoena civilian witnesses to participate in the 

investigation. The IO should normally be given two weeks (operations permitting) 

to conduct the investigation. 

b. After all the facts have been gathered, the IO must analyze the information and 

present all of the relevant facts relative to the incident in a report which will follow 

the general structure of a Report of Investigation as described in the 

Administrative Investigations Manual, COMDTINST M5830.1 (series). The IO 

has one week (operations permitting) to compile a report. 

c. Upon receipt of the report from the IO, it is recommended that the CO/OIC confer 

with their servicing legal office. The command has two weeks (operations 

permitting) to make their determination regarding the allegations. Absent exigent 

circumstances, the final report must be submitted through the chain of command to 

CG-00H within 45 calendar days of the incident. 

d. If the final determination by the command is that no social climate incident 

occurred, the command must communicate this finding to the complainant through 

a counseling form. If the complainant disagrees with the command’s finding, the 

command should refer them to the proper organization or entity that can best assist 

them in addressing their allegation(s). 

e. If the command believes a complainant has suffered housing discrimination, the 

command Housing Officer will refer the complaint to the state or local Fair 

Housing Agency, or HUD for processing. Coast Guard Housing Officers should 

establish and maintain working relationships with the various fair housing 

agencies within their area of responsibility. 

f. If the command believes a complainant has suffered non-housing related 

discrimination, then the CO/OIC has the discretion to impose sanctions. For more 

information, see the Imposing Sanctions Section following this section. 

2. Declaring Off-Limits Establishments and Areas. The establishment of off-limit areas 

is a function of Command. It may be used by Commands to help maintain good order 

and discipline, health, morale, safety, and welfare of Service personnel. The CO/OIC 

may take action due to racial and other discriminatory practices. Specific procedures 

for declaring and revoking off limit restrictions are outlined in the Armed Forces 

7-4 
 

 

 

 

 

 

 

 

 

COMDTINST M5350.4E 

Disciplinary Control Boards and Off-Installation Liaison and Operations, 

COMDTINST 1620.1 (series). 

3. Repeat Incidents. In some areas of the country, there have been repeat allegations of 

discrimination and/or hostility aimed at Coast Guard personnel by the community. It is 

vitally important the CO/OIC utilizes all available resources, including working with 

DOJ CRS to determine the best approach in formulating strategies to address 

allegations of social climate incidents. These proactive actions will help shape future 

personnel and social climate policy development. 

C. Community Resources. There are several external resources where Coast Guard 

members and Commands can obtain information and assistance in resolving social 

climate incidents. 

1. Department of Justice, Community Relations Service. The Department of Justice 

(DOJ), Community Relations Service (CRS) is the DOJ “peacemaker” for community 

conflicts and tensions arising on the basis of race, color, and national origin. This 

agency helps the CO/OIC develop mechanisms (such as a MOU) to resolve Service 

members’ complaints of harassment and/or discrimination by members of local 

communities. They can: 

a. Identify community or civic groups that can assist the CO/OIC in resolving 

complaints of discrimination by Coast Guard members. 

b. Mediate, upon request, disputes between the Coast Guard and community entities 

regarding Coast Guard member charges of harassment and/or discrimination. 

c. Provide the CO/OIC with information about relevant race-relations issues within 

the community for purposes of incorporation into the command’s assessment of 

the community’s social climate. 

d. Help restore community order in the face of serious racial violence by effective 

information and rumor control, engaging community leadership in responding to 

violence, and coordinating action plans by federal, state, and local officials. 

e. Provide technical assistance and training to avert new violence and improve law 

enforcement community relations by establishing human relations commissions 

and community advisory groups, once stability is restored. 

f. Support the work of law enforcement by working with and training law 

enforcement officials in: recognizing hate crime scenes and how to enlist 

community support in early investigation; breaking down barriers and suspicions 

that residents may hold toward law enforcement officials; creating and opening 

lines of communication between law enforcement and the community leaders; 

providing hate crime prevention education programs; and conflict resolutions 

among other support services. 

7-5 
 

 

 

 

 

COMDTINST M5350.4E 

2. The U.S. Department of Housing and Urban Development (HUD) Regional Office of 

Fair Housing and Equal Opportunity. The HUD Regional Office of Fair Housing and 

Equal Opportunity can provide assistance in processing housing discrimination 

complaints. 

a. HUD enforces Title VIII of the Civil Rights Act of 1968 (Fair Housing Act), as 

amended, which prohibits discrimination in the sale, rental, and financing of 

dwellings and in other housing-related transactions, based on race, color, national 

origin, religion, sex, familial status (families with children under the age of 18, or 

who are expecting a child) and disability. In the sale and rental of housing, it is 

prohibited to refuse to rent or sell housing, inform individuals that housing is 

unavailable when in fact it is available, show apartments or homes only in certain 

neighborhoods, or set different terms or conditions for the sale based on race, 

color, national origin, religion, sex, familial status, and disability. 

b. The Fair Housing Act also prohibits discrimination in mortgage lending, for 

example, refusal to provide information regarding loans; imposing different terms 

or conditions on a loan, such as different interest rates, points, or fees; 

discriminating in appraising property; and refusing to make a mortgage loan. 

c. Complaints can be filed at HUD Regional Offices throughout the country. In 

addition, HUD refers many housing discrimination complaints to state and local 

civil rights agencies. 

d. Command Housing Officers should assist members in completing and submitting 

the forms provided by HUD. It is illegal for anyone to threaten, coerce, 

intimidate, or interfere with anyone exercising a fair housing right or assisting 

others who exercise that right. 

3. Legal Counsel. Coast Guard legal will not represent a member in a civil suit, per the 

Legal Assistance Program, COMDTINST 5801.4 (series); however, they can: 

a. Provide the respective CRSP, command, and/or the member a general overview of 

possible legal options to consider for steps in addressing a social climate incident. 

b. Provide information regarding the process to initiate a civil suit, when civil rights 

laws have been violated. 

c. Assist the unit in negotiating a MOU when the CRS is involved. 

d. Provide legal assistance to members concerning complaints of discrimination in a 

legal assistance priority. Legal offices may provide advice and assistance of a 

general nature. If legal recourse is preferred, the member should be assisted in 

requesting such action through a legal aid organization. 

7-6 
 

 

 

 

 

 

 

 

 

 

 

COMDTINST M5350.4E 

CHAPTER 8 EXTERNAL PROGRAMS 

A. Introduction. The Civil Rights Directorate is responsible for overseeing and ensuring 

programmatic compliance of two USCG External Programs: The Language Access 

Program (LAP) for Persons with Limited English Proficiency (LEP), and The Federal 

Financial Assistance (FFA) (Grants) programs. A brief description of these programs 

follows. 

1. LEP Persons. The USCG Language Access Program for persons with Limited English 

Proficiency (LEP) provides guidance in developing and implementing reasonable 

efforts to eliminate or reduce “Limited English Proficiency” as a barrier to accessing 

the United States Coast Guard (USCG) programs, activities, or events as required by 

Executive Order (EO) 13166, “Improving Access to Services for Persons with Limited 

English Proficiency” (August, 2000). This Executive Order (EO) requires that each 

federal department and agency examine the services they provide to the public, and 

develop and implement a system by which LEP persons can have meaningful access to 

those services without unduly burdening the fundamental mission of the agency. 

a. Scope. This program covers USCG interactions with LEP individuals that occur 

within the United States and its territories, including vessels and persons at sea 

within 12 nautical miles thereof. It applies to all USCG personnel geographically 

distributed throughout the 50 United States, as well as to locations in American 

Samoa, Federated States of Micronesia, Guam, Marshall Islands, Northern 

Mariana Islands, Palau, Puerto Rico, and the Virgin Islands. 

b. Goal. The USCG will provide meaningful language access to LEP persons to its 

programs, benefits, and services, and to maintain compliance with civil rights laws 

by communicating effectively with LEP individuals in languages other than 

English. The USCG units, including Headquarters Directorates and relevant 

programs, must incorporate language access considerations into their routine 

strategic and business planning, identify and translate crucial documents into the 

most frequently encountered languages, provide interpretive services where 

appropriate, and educate personnel about language access responsibilities and how 

to utilize available language access resources in accordance with guidance 

provided by the Department of Homeland Security (DHS) Language Access Plan. 

For additional information about the Coast Guard Language Access Program/Plan 

for persons with Limited English Proficiency visit: 

https://www.dhs.gov/sites/default/files/publications/U.S.%20Coast%20Guard%20 

Language%20Access%20Plan_12-6-16.pdf 

2. Federal Financial Assistance - Grants. Title VI of the 1964 Civil Rights Act is a 

federal law that protects persons from discrimination on the basis of race, color, or 

national origin by a recipient of Federal Financial Assistance (FFA). The FFA 

program is the transfer of anything of value, most often money, from the federal 

government to a non-federal entity for purposes defined by Congressional mandate. 

This could include grants, property transfers, loans, personnel details, equipment 

leases, sales, or general federal assistance. Accordingly, and as a condition of 

8-1 
 

 

 

 

 

 

 

 

 

 

COMDTINST M5350.4E 

receiving financial assistance from the Federal Government, grantees must provide 

access to their programs and services on a nondiscriminatory basis. Furthermore, they 

must acknowledge and agree to comply with all applicable civil rights laws. 

a. The USCG Grants. The Coast Guard administers the following two programs to 

assist with fulfilling the Service’s boating safety enforcement obligations under 

the Federal Boating Safety Act of 1971: The Nonprofit Organization Grant and the 

Recreational Boating Safety (RBS) State grant programs. The purpose of these 

grant programs is to reduce the number of accidents, injuries, and deaths on 

America’s waterways, and provide a safe enjoyable experience for the boating 

public. Both programs encourage greater participation and uniformity in boating 

safety efforts, while the State program also permits our states and territories to 

assume a larger share of boating safety education, assistance, and enforcement 

activities. 

b. Compliance Evaluation and Procedures. The Office for Civil Rights & Civil 

Liberties (CRCL) at DHS is responsible for conducting all the Compliance 

Reviews by utilizing the Civil Rights Evaluation Tool, DHS Form 3095, which 

can be found at https://www.dhs.gov/sites/default/files/publications/dhs-civilrights-evaluation-tool.pdf, and the Civil Rights Tool Review Process, which can 

be found at Appendix H. The CRCL staff may request support from the 

components as needed to assist recipients of FFA who may have difficulties in 

meeting the required standards for compliance with Title VI non-discrimination 

requirements. 

c. Title VI Coordinator. Office of Civil Rights Policy, Planning and Resources (CG00H-1), is responsible for collaborating with the USCG’s Grants Management 

Branch as it pertains to providing information and updates to the grantees and to 

assist DHS in implementing the grantees compliance review. The USCG Title VI 

Coordinator may be tasked by DHS, CRCL to provide assistance to grantees in 

order to achieve or maintain compliance with Title VI nondiscrimination 

requirements. 

d. Terms and Definitions. Some of the terms associated with the program include the 

following: 

(1) Assurances. Applications for and awards of FFA must contain or be 

accompanied by an assurance that the program will be conducted or the 

facility operated in compliance with applicable federal civil rights 

requirements. This is part of the grant process where the grant recipient 

acknowledges their obligation to comply with all civil rights laws. This 

action must be recorded on an Office of Management and Budget Standard 

Form 424B, Assurances, Non-Construction form that is one of the primary 

means/tools to notify applicants of their civil rights obligations. 

(2) Compliance Report/Reviews. Recipients must keep and submit records and 

reports containing information on its program operations and 

8-2 
 

 

 

 

 

 

 

COMDTINST M5350.4E 

nondiscrimination activities as DHS may deem necessary to ascertain 

compliance with civil rights requirements. 

(3) Data Collection. Recipients should collect and maintain data on race, 

ethnicity, and limited English proficiency showing the extent to which 

members of minority groups and/or persons with limited English proficiency 

are beneficiaries of their programs. 

(4) Recipient. An entity that directly or indirectly receives FAA from a federal 

agency. 

(5) Beneficiary. Refers to individuals and/or entities that directly or indirectly 

receive an advantage through the operation of a federally assisted program. 

However, they do not enter into any formal contract or agreement as a 

condition to receiving the assistance. 

B. Environmental Justice. In Executive Order 12898 (1994), Environmental Justice is a 

term used to describe federal efforts to avoid inflicting unintended consequences through 

its programs and activities upon minority or low-income populations. The Coast Guard, 

through DHS mandates, is required to develop policy that pertains to the protection and 

health of citizens and the environment, equity in the administration of its environmental 

programs and the assurance of equal opportunity for involvement in programs relating to 

environmental law and policy. These policies may include ensuring responsible uses of 

infrastructure, land, and renewable resources; enforcing environmental quality control; 

and protecting communities from negative impacts brought on by field operations. 

1. Responsibilities. 

a. The DHS Office of Civil Rights and Civil Liberties (CRCL). 

(1) Develop policy and guidance for the administration of its environmental 

programs to protect minority and low-income communities against 

disproportionately adverse human health or environmental effects in the 

conduct of its programs and activities. 

(2) Oversee the implementation of Department-wide Title VI compliance 

programs including Environmental Justice. 

b. The USCG Office of Environmental Management (CG-47). 

(1) Act as the Environmental Technical Authority for the USCG. 

(2) Represent the USCG as member of the Environmental Protection Agency – 

sponsored Environmental Justice Interagency Working Group (EJIWG). 

(3) Collect Service-wide input of activities and initiatives that support 

Environmental Justice strategies. 

8-3 
 

 

 

 

 

COMDTINST M5350.4E 

c. The Civil Rights Directorate (CG-00H). 

(1) The Office of Civil Rights Policy, Planning and Resources (CG-00H-1), 

provides input annually to the USCG Office of Environmental Management 

(CG-47). 

(2) Provide policy support to the USCG Office of Environmental Management 

(CG-47) on Title VI matters. 

d. The Office of the Judge Advocate General (CG-094). 

(1) Provide legal services in support of Coast Guard compliance with federal, 

state and local environmental requirements. Legal advice to field 

commanders, program managers, and Headquarters units includes federal, 

state and local requirements that may affect or constrain Coast Guard 

activities. 

(2) Represent the USCG, either directly or through the Department of Justice 

(DOJ), in environmental enforcement actions against the Service, 

environmental citizen suits, and challenges to USCG activities brought under 

environmental statutes. 

2. Reporting. The USCG Office of Environmental Management (CG-47) in coordination 

with the CRD reports annually to DHS CRCL a summary of its activities in support of 

the DHS Environmental Justice strategies for the Environmental Justice Annual 

Implementation Progress Report. 

8-4 
Appendix A: Terminology

Appendix A to COMDTINST M5350.4E 

Appendix A: Terminology 

The following terms specific to civil rights and equal opportunity appear in this manual. 

Administrative Judge (AJ) The AJ is the Equal Employment Opportunity Commission 

(EEOC) official responsible for conducting hearings and 

rendering decisions on civilian employee complaints when the 

employee elects a hearing instead of a Final Agency Decision. 

Alternative Dispute Resolution ADR is a process in which a third party neutral (an impartial party 

(ADR) who has no stake in the outcome of the proceeding) assists 

disputing parties with reaching an amicable resolution. 

ADR Facilitator An ADR Facilitator is a third party neutral who assist the 

aggrieved party and the command with resolving a dispute. 

Affirmative Programs Affirmative Programs are designed to increase underrepresentation rates in the workforce based on the civilian labor 

force. 

Aggrieved party An aggrieved party can be anyone with a grievance, such as a 

civilian or military member, or an applicant for employment. 

Area of Responsibility (AOR) AOR is an acronym used to define an area with specific 

geographic boundaries for which a person or organization bears 

responsibility. 

Chain of Command The next higher level to which the Aggrieved party reports for 

supervisory control, leading ultimately to the Commanding 

Officer/Officer-In-Charge (CO/OIC). The operative chain of 

command is the one located in the unit where the dispute arose, 

whether or not the Aggrieved party is still located in that unit. 

Civil Rights Civil Rights belonging to an individual as a matter of law, 

especially fundamental freedoms and privileges guaranteed by the 

U.S. Constitution and subsequent acts of Congress, including the 

rights to equal employment opportunity. 

Civil Rights Service Providers Servicing CRSPs are responsible for carrying out civil rights 

(CRSP) functions for CRD. 

Civil Rights Directorate All personnel assigned to or attached to the directorate. 

(CRD) 

A-1 
Appendix A to COMDTINST M5350.4E 

Civil Rights Service Providers CRSPs represents all CRD personnel responsible for addressing 

(CRSPs) complaints of discrimination located in regions and zones 

locations. 

Coast Guard Leadership Within this Manual, the term Coast Guard Leadership refers to 

senior leadership and management within the organization, 

military and civilian, which includes the Commandant, area and 

district commanders, and all flag and senior executive Service 

officials of the Coast Guard. 

Command/Management The person designated by the CO/OIC to participate in ADR 

Representative sessions on behalf of command or management. 

Commanding Officer/Officer CO/OIC are: unit commanders, commanding officers, officers in 

in Charge (CO/OIC) charge, deputy/assistant commandants, chiefs of headquarters 

staff elements, supervisors, and managers (military/civilian). 

Complainant A Coast Guard member, former member, or an applicant for 

employment who files a complaint of discrimination based on 

prohibited factors. 

Department of Homeland The Office for Civil Rights and Civil Liberties has the authority to 

Security Office for Civil direct and oversee the implementation of the integration of CRCL 

Rights and Civil Liberties across the Department. The DHS CRCL serves as the 

(DHS CRCL) foundational DHS organization through which all Departmentwide CRCL activities will be overseen, defined, and measured. 

Reference: For more information on this delegation, refer to 

Department of Homeland Security, Delegation #19002, Issue 

Date 02/04/2008, Delegation to the Officer for Civil Rights and 

Civil Liberties to Integrate and Manage Civil Rights, Civil 

Liberties and Equal Employment Opportunity Programs. 

Workforce Diversity Workforce Diversity: Attracting, recruiting, and retaining a 

workforce from all segments of American society creating a highperforming 21st Century workforce. This will be done by 

recruiting a military, civilian, and an Auxiliary force that is as 

richly diverse as America itself, and provide an environment that 

promotes respect for the individual, and encourages sharing of 

different views and perspectives. 

Reference: CG D&I Strategic Plan (2015-2018). 

A-2 
Appendix A to COMDTINST M5350.4E 

Equal Opportunity Advisor EOA/EEOS carry out a variety of the civil rights functions, such 

(EOA)/Equal Employment as: conducting EEO/EO counseling, training, EO reviews, 

Opportunity Specialist (EEOS) providing CR guidance, assisting commands with DEOCS, etc. 

EEO/EO Counselors These are personnel located at the Headquarters, Regions, and 

Zones who counsel cases for their servicing area. In some cases 

(Conflict of Interest), EEO/EO counselor can come in from other 

Agencies for special cases. 

Final Agency Decision (FAD) A FAD is the final decision on a complaint of discrimination by 

Coast Guard or the Department of Homeland Security. 

EEO Investigator An individual designated to conduct an investigation into a 

complaint of discrimination. This individual can be a contract 

member or an employee from a different agency. 

Minority Group Minority refers only to those groups classified as minority for the 

purpose of data collection by the Office of Personnel Management 

and the Equal Employment Opportunity Commission (EEOC). 

EEOC Directive Number 15 lists the following as minority 

groups: 

1. American Indian /Alaskan Native. 

2. Asian American and Pacific Islander. 

3. Black/African American. 

4. Hispanic. 

Reasonable Accommodation Any change in the work environment or in the way things are 

customarily done that would enable a qualified individual with a 

disability to enjoy equal employment opportunities. 

Regional Civil Rights Director Each CRD Region is headed by a Regional Civil Rights Director. 

Report of Investigation (ROI) The complete investigative file, including the investigator’s 

summary of investigation and all the elements required in civilian 

cases under EEOC Management Directive 110. 

Responsible Management The RMO is usually the individual named in the complaint as the 

Official (RMO) official who took the action alleged to be discriminatory or has 

immediate personnel authority over the person so named. 

Servicing CRSP Servicing CRSPs are the CRD’ personnel who are responsible for 

facilitating, managing performing the program’s civil rights 

functions. 

A-3 
Appendix A to COMDTINST M5350.4E 

Solutions and Complaints Solutions and Complaints is a CRD division that is responsible for 

Division the management of pre-complaints, formal complaints, Antiharassment and Hate incidents, ADR, and investigations. 

Zone Civil Rights Manager Under each CRD Region are zone offices. The Zone manager 

leads zone personnel. 

Special Emphasis Program SEPs are intended to promote equity, fairness, and equal 

(SEP) opportunity; address the unique and special concerns of Hispanics, 

women, and persons with disabilities within the workforce; and 

support USCG EEO/EO program planning process and goals. 

A-4 

Appendix B to COMDTINST M5350.4E 

Appendix B: The Civil Rights Directorate Organization 

Director 

Civil Rights Directorate

(CG-00H) 

Administrative Specialist 

Executive Assistant 

Directors Assistant 

Deputy of Operations 

Division Chief 

Solutions & Complaints 

Sr. Technical Advisor Alternative Dispute 

Resolution (ADR) Manager 

EEO Technical Advisor 

EEO Specialist 

IT Data Management

Specialist 

EEO Assistant 

Region 1 

Regional Director 

Zone 1 

Civil Rights Zone Manager 

ME, VT, NH, MA, RI 

Zone 2 

Civil Rights Zone Manager 

NY, CT, NJ 

Zone 3 

Civil Rights Zone Manager 

PA, DE, MD 

Zone 4 

Civil Rights Zone Manager 

DC 

Region 2 

Regional Director 

Zone 5 

Civil Rights Zone Manager 

VA 

Zone 6 

Civil Rights Zone Manager 

NC, SC, GA 

Zone 7 

Civil Rights Zone Manager 

FL, PR, Caribbean Islands 

Region 3 

Regional Director 

Zone 11 

Civil Rights Zone Manager 

CA, NV, UT, AZ 

Zone 12 

Civil Rights Zone Manager 

AK 

Zone 13 

Civil Rights Zone Manager 

WA, OR, ID, MT 

Zone 14 

Civil Rights Zone Manager 

HI, Pacific Islands 

Region 4 

Regional Director 

Zone 8 

Civil Rights Zone Manager 

MO, AR, LA, MS, AL, KY, TN 

Zone 9 

Civil Rights Zone Manager 

ND, SD, WY, NE, CO, KS, OK, 

NM, TX, Central & South 

America 

Zone 10 

Civil Rights Zone Manager 

MN, IA, WI, IL, IN, MI, OH, 

WV, Canada 

Division Chief 

Compliance & Procedures 

EEO Program Manager 

PIE/SEP Manager 

Division Chief 

Resources & Management 

LUFS Manager 

Training Manager 

Budget Analyst 

DEOMI Liaisons 

EEO Program Specialist 

Communication Specialist 

Civil Rights Research Analyst 

Appendix B: The Civil Rights Organization

I I 

I 

I I 

I 

I- I I I 

I- I I I 

I I I I I 

I I I 

I I I I I 

I I I I I I 

I I I I I 

I I I I I I I 

I 

I I I I I I I 

I I I I 

r r r ~ 

- - - -

- - - -

- - -

- - -

Assistant Director 

Chief of Operations 

Assistant Director 

Planning & Resources 

B-1 

 

 

STATES COAST GUARD 

C IVIL RIGHT S DIRECTORATE 

Region 3 Region 4 Region 2 Region 1 

Region 3 Region 4 Region 2 Region 1 

Zone 11 (zone 12] (zone 13] (zone 14] [ Zone 8 ][ Zone 9] Zone 10 [ Zone 5 ) [ Zone 6] [ Zone 7 ) [ Zone 1) [ Zone2 ] ( Zone 3) (zone4 ] 

CA AK WA HI MO NO MN VA NC FL ME NY f'A DC 

NV OR AR so IA SC PR VT CT OE 

UT 10 LA WY WI GA NH NJ MO 

AZ MT MS NE IL MA 

AL co IN RI 

KY KS Ml 

TN DK CH 

NM WV 

TX 

Appendix C to COMDTINST M5350.4E 

Appendix C: The Civil Rights Directorate Regions and Zones Areas of Responsibility 

The CRD Region and Zone boundaries are delineated by states. 

a. Region 1 covers Northeast states and is contains four zone offices: 

(1) Zone 1: Maine, Vermont, New Hampshire, Massachusetts, and Rhode Island. 

(2) Zone 2: New York, New Jersey, and Connecticut. 

(3) Zone 3: Pennsylvania, Delaware, and Maryland. 

(4) Zone 4: Washington D.C. 

b. Region 2 generally covers Southeast states and contains three zone offices. 

(1) Zone 5: Virginia 

C-1 
 

 

 

 

Appendix C to COMDTINST M5350.4E 

(2) Zone 6: North Carolina, South Carolina, and Georgia. 

(3) Zone 7: Florida, Puerto Rico, Europe, Caribbean, Middle East, and Africa. 

c. Region 3 generally covers west coast states along with Alaska and Hawaii and contains four zone 

offices. 

(1) Zone 11: California, Nevada, Utah, and Arizona. 

(2) Zone 12: Alaska. 

(3) Zone 13: Washington, Oregon, Idaho, and Montana. 

(4) Zone 14: Hawaii, Guam, American Samoa, Saipan, Japan, and Singapore. 

d. Region 4 generally covers mid-west and central states and contains three zone offices. 

(1) Zone 8: Missouri, Arkansas, Louisiana, Mississippi, Alabama, Kentucky, and Tennessee. 

(2) Zone 9: North Dakota, South Dakota, Wyoming, Nebraska, Colorado, Kansas, Oklahoma, New 

Mexico, Texas, Mexico, Central America, and South America. 

(3) Zone 10: Minnesota, Iowa, Wisconsin, Illinois, Indiana, Michigan, Ohio, West Virginia, and 

Canada. 

C-2 

APPENDIX (D) COMDTINST M5350.4E 

Appendix D: List of USCG Special Emphasis Programs 

List of USCG Special Emphasis Programs 

Federal Women’s Program (FWP) 

Hispanic Employment Program (HEP) 

Persons with Disabilities Program (PWDP) 

Asian American and Pacific Islander Program 

Native American/Alaskan Native Program 

Black/African American Program 

D-1 

Appendix E to COMDTINST M5350.4E 

Appendix E: List of USCG Cultural Observances/Awareness Events 

List of USCG Cultural Events 

January Martin Luther King, Jr. Day 

February National African-American History Month 

March Women’s History Month 

May Asian American and Pacific Islander Heritage Month 

June Lesbian, Gay, Bisexual, Transgender (LGBT) Pride Month 

August Women’s Equality Day 

September 15 to October 15 National Hispanic Heritage Month 

October National Disability Employment Awareness Month 

November National Native American Heritage Month 

E-1 

 

Appendix F to COMDTINST M5350.4E 

Appendix F: List of USCG Civil Rights Awards 

List of USCG Civil Rights Awards 

Federal Asian Pacific (FAPAC) American Council Military Meritorious Service Award 

League of United Latin American Citizens (LULAC) Excellence in Service Award 

Society of American Indian Government Employees (SAIGE) Meritorious Service Award 

National Association for the Advancement of Colored People (NAACP) Roy Wilkins Renown 

Service Award 

National Image, Inc. (IMAGE) Meritorious Service Award 

Blacks in Government (BIG) Meritorious Service Award 

LATINA Style Meritorious Service Award 

Civil Rights Service Provider of the Year Award (periodically) 

The Coast Guard Senior Leader Award (periodically) 

The Coast Guard Partnership in Education Awards 

F-1 

 

 

 

 

 

 

Appendix G to COMDTINST M5350.4E 

Appendix G: Command Checklist 

Equal Employment Opportunity/Equal Opportunity (EEO/EO) Compliance Items 

Policy & Posting Requirements 

1) Are the CG’s current EEO/EO policy statements posted at your Command location? 

2) Is the CG’s current Anti-Discrimination/Anti-Harassment policy statement posted at your 

command location? 

3) Is an EEO/EO notice advising personnel of the bases for an EEO/EO complaint; POC and 

instructions on initiating a complaint prominently displayed at accessible locations within 

your Command? 

4) Are the command’s facilities accessible to individuals with disabilities? (Section 504, 

Rehabilitation Act, 1973; Equal Employment Opportunity Commission Management 

Directive 715 (EEOC MD-715)? 

Complaint Process 

5) Are facilities adequate to conduct counseling, training, and investigations (secure, private, 

and conducive for training)? 

6) Does the Command appropriately delegate authority for EEO/EO mediation to those with 

authority to sign & execute a settlement? 

Management Responsibilities 

7) Does the command perform a Defense Equal Opportunity Climate Survey (DEOCS) in 

accordance with CG Policy (within 6 months of taking command and annually thereafter?) 

8) Is there an action plan/team in place to address items of concern identified in the DEOCS 

survey? 

9) Does the Commanding Officer (CO) regularly express requirements to meet the 

Commandant’s civil rights mission? 

10) Are key personnel actions (training, promotions, awards, disciplinary actions) reviewed 

and monitored for fair application? (EEOC MD-715). 

Equal Employment Opportunity/Equal Opportunity (EEO/EO) Compliance Items 

11) Are command personnel up to date in Civil Rights Awareness Training requirements? 

12) Are command personnel up to date with annual Sexual Harassment Prevention training? 

13) Are command personnel up to date with biennial Notification and Federal Employee Antidiscrimination and Retaliation (NoFEAR) Act training requirement? 

Does the Command support workforce initiatives, goals and objectives outlined in the 715 

l ? 14) Do personnel performance elements include meaningful objectives which support the 

EEO/EO mission? 

15) Does the command forward reasonable accommodations reports to the servicing Civil 

Rights Service Providers (CRSPs) in accordance with the Reasonable Accommodations 

reporting requirement in the Civil Rights Manual? (Chapter 5, Section C, Part 11) 

16) Does the command support Special Emphasis Programs? (i.e. Federal Women’s Program, 

Individuals With Disabilities, Asian American/Pacific Islander, African- American, 

Hispanic, and Native American/Alaskan Native Employment Programs) (29 C.F.R. Part 

1614, EEOC MD-110). 

G-1 
 

 

Appendix G to COMDTINST M5350.4E 

17) Does the command support special observances designed to educate the workforce on 

cultural appreciation? 

Does the Command support workforce initiatives, goals and objectives outlined in the 715 

annual report? (Cont.) 

18) Does the command have an active Partnership in Education program (PIE) or collaborate 

with other units to sponsor a PIE program? 

19) If the command has an active PIE program or collaborates with other units to sponsor a 

PIE program, is the program registered on the PIE SharePoint Site? 

20) Is the CO/OIC aware that EEOC’s MD-715 encourages commands to include EEO/EO 

objectives in their strategic plans/documents? 

21) Is the CO/OIC aware that EEOC’s MD-715 encourages commands to conduct periodic 

assessments of their workforce; and that EO Reviews, program surveys, command 

suggestion boxes, assessment inquiries during all hands, etc. are assessment methods? 

Protecting and Safeguarding Personally Identifiable Information (PII) 

22) Does the command comport to all security requirements for documentation, records, and 

equipment storage involving an EEO/EO matter? (Records must be under lock and key 

and if electronic, in a secure database.) 

23) Does the command report all EEO/EO privacy record violations and take appropriate 

action on personnel found to be responsible? 

24) Does the Command ensure that EEO/EO matters are only discussed discretely with 

personnel who have a need to know? (EEO/EO personnel, management officials named in 

the matter, and other witnesses.) 

25) Are all requests for formal complaint information pertaining to report of investigations 

forwarded to the CRD? 

26) Are command personnel up to date with the “Privacy at DHS: Protecting Personal 

Information & Security Fundamentals (Formerly SETA) training? 

27) Are records maintained in accordance with The Information and Life Cycle Management 

Manual, COMDTINST M5212.12 (series)? 

Optional Questions 

28) Does the command recognize managers for significant EEO/EO accomplishments? 

29) Does the command nominate personnel for awards or recognize those who embody Coast 

Guard EEO/Diversity goals and initiatives? 

G-2 

ients 

receive Notice 

of Awa rd, which 

includes DHS 

Standard Terms 

and Conditions. 

Recipient submits 

completed fo rm to 

DHS/CRCL withi n 30 days. -+ 

CRCL and Component 

agency review form 

data utilizing Review 

Checklist within 30 

days. 

Recipient submits 

additional or revised 

information within 

established 

timeframe. 

CRCL enters data in 

SharePoint Site. 

+-

Provide technical 

assistance via 

Recipient Resources 

website, guidance, 

examples, etc. 

r 

+-

Notification to 

Recipient and 

reminder of 

" 

....... reporting cycle. ,J 

\. 

Recipient 

submission 

determination 

Appendix H to COMDTINST M5350.4E 

Appendix H: DHS Civil Rights Tool Review Process 

H-1 

 

 

U.S. Department o~· Homeland Security • ~-"':s:, 

United States 

Coast Guard 

Appendix I to COMDTINST M5350.4E 

Appendix I: USCG Acknowledgement of a Report of Potential Harassment 

Commanding Officer Street Address 

United States Coast Guard City, ST Zip Code 

Phone 

Fax 

Email: 

5350 

1 Jan 20XX 

MEMORANDUM 

From: Name of CO/OIC Reply to Title 

CG Unit Name Attn of: Name 

To: Reporting Party 

Thru: 

Subj: ACKNOWLEDGEMENT OF A REPORT OF POTENTIAL HARASSMENT 

Ref: Coast Guard Civil Rights Manual, COMDTINST M5350.4 (series)

Administrative Investigations Manual, COMDTINST M5830.1 (series)

Equal Opportunity Policy Statement

Anti-Discrimination/Anti-Harassment Policy Statement 

1. This letter is to acknowledge your report of an incident of harassment based on [select the 

factor (s)] (race, color, religion, national origin, sex, sexual orientation, age (40+), disability, 

genetic information, marital status, parental status, political affiliation, or other basis protected 

by law) when (give a brief description of the reported harassment). 

2. In accordance with Coast Guard Anti-harassment and Hate Incident (AHHI) procedure 

within reference (a), I have taken the following actions: 

a. Notified the Civil Rights Service Provider (CRSP); 

b. Initiated [select action(s): administrative investigation, informal investigation, or a 

preliminary inquiry, etc.], as outlined in reference (b). 

3. At the conclusion of the investigation, I will make all efforts to report my findings to the 

Civil Rights Directorate (CG-00H) within 45 days of the receipt of the initial report of 

harassment. 

4. Additionally, you also maintain the right to initiate a complaint of harassment under the 

EEO/EO complaint, negotiated grievance, merit system protection board appeal, Whistleblower 

Protection Act, or other statutory grievance procedures. For additional information pertaining to 

I-1 
Appendix I to COMDTINST M5350.4D 

the procedures available to you, please contact a servicing civil rights service provider at 

(888) 992-7387 or visit: https://www.uscg.mil/Resources/Civil-Rights/Service-Providers/ 

5. All Coast Guard personnel shall be treated with respect. References a, c and d reinforce 

Coast Guard’s commitment to its core values of Honor, Respect, and Devotion to Duty. I am 

personally committed to maintaining a work environment that does not compromise those core 

values or any other Coast Guard policy. 

# 

Enclosures: (1) File 1 

(2) File 2 

Copy Unit File 

I-2 
Appendix I to COMDTINST M5350.4E 
 

 

 

 

U.S. Department o~- Homeland Security •,,·· z 

United States s:~ 

Coast Guard 

Appendix J: USCG Findings and Outcome of Report of Harassment 

Commanding Officer Street Address 

United States Coast Guard City, ST Zip Code 

Phone 

Fax 

Email: 

5354 

1 Jan 20XX 

MEMORANDUM 

From: Name of CO/OIC Reply to Title 

CG Unit Name Attn of: Name 

(123) 456-7890 

To: COMDT (CG-00H) 

Thru: CRSP 

Subj: FINDINGS AND OUTCOME OF REPORT OF HARASSMENT 

Ref: Coast Guard Civil Rights Manual, COMDTINST M5350.4 (series)

Administrative Investigations Manual, COMDTINST M5830.1 (series)

Equal Opportunity Policy Statement

Anti-Discrimination / Anti-Harassment Policy Statement 

1. A report of harassment was made to the Command on _________ by _____________. 

(Outline the overall dates, times, locations, allegations, including the individuals involved.) In 

accordance with reference (a), an Administrative Investigation was immediately initiated to find 

the facts of the alleged incident(s). The investigation was completed on ________ and the report 

is attached. See enclosure (1). 

2. Having reviewed the facts found within the investigation, I have determined that the 

allegations of prohibited harassment are [select one] (substantiated or unsubstantiated). 

(Explain the rationale supporting your decision). 

If actions are taken as a result to the investigation findings whether substantiated or not, provide 

an explanation for your findings, outcome, and actions. If allegations involve other types of 

misconduct, the findings and outcomes may be captured within this report along with any actions 

taken, however this report does not substitute for any additional reporting requirements, for 

example: bullying, hazing, disruptive behaviors, conduct unbecoming, etc. 

a. Action 1 

b. Action 2, etc.) 

3. In accordance with reference (c), all Coast Guard personnel shall be treated with respect. 

Reference (d) reinforces the Coast Guard’s commitment to the core values of Honor, Respect, 

and Devotion to Duty. I am personally committed to maintaining a work environment that does 

not compromise those core values or any other Coast Guard policy. 

# 

J-1 
Appendix J to COMDTINST M5350.4E 

Enclosures: (1) File 1 

Copy: Superior Unit/Chain of Command 

File 

J-2 
Appendix J to COMDTINST M5350.4E 
 

 

 

 

 

 

 

 

 

 

 

. Department o~- Homeland Security • ~-"j 

United States 

Coast Guard 

U.S 

Appendix K to COMDTINST M5350.4E 

Appendix K: USCG Potential Hate Incident - 48 Hour Report 

Commanding Officer Street Address 

United States Coast Guard City, ST Zip Code 

Phone 

Fax 

Email: 

5354 

1 Jan 20XX 

MEMORANDUM 

From: Name of CO/OIC Reply to 

CG Unit Name Attn of: 

To: COMDT (CG-00H) 

Thru: CRSP 

Subj: POTENTIAL HATE INCIDENT – 48 HOUR REPORT 

1. Date, time and location of the incident. What day did the incident occur? What time? 

Where did the incident occur? Were there multiple or repeated incidents? Who were the parties 

involved? How was the incident brought to the Command’s attention? 

2. Bias motivation and description of the incident. Specify the legally protected status on 

which the report is based. (i.e. race, color, religion, sexual harassment, gender based, national

origin, disability, age, or sexual orientation) Also, provide any relevant information about the 

incident not already stated above. This report should be filed within 48 hours of the complaint

and should not be delayed for additional investigation. Units are not required to complete

extensive investigation prior to reporting and are encouraged to follow up as more information

becomes available. 

3. Action taken by command to investigate and secure evidence. Identify immediate and 

future command actions. If there is any evidence to support a claim it should be included with 

this or follow up reports. Evidence can include photographs, emails, etc. 

4. Does this incident represent a local hate or bias motivated incident trend? 

5. Is there media or Congressional interest? Is there media attention at the national or local 

level? Has the unit been contacted by any reporters or congressional staff? 

NOTE: A Findings and Outcome Memo will be forwarded to COMDT (CG-00H) within 

45 days of the initial report. 

Units are encouraged to email this report as soon as possible. If email is not available, the 

report may be sent via phone, fax or other means as operations permit. The report should not be 

delayed to collect additional evidence or conduct further investigation 

# 

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