1 FNS Instruction 113-1 Civil Rights Compliance and Enforcement Nutrition Programs and Activities Issued: November 8, 2005 SERO-Civil Rights Office.

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FNS Instruction 113-1FNS Instruction 113-1Civil Rights Compliance and Civil Rights Compliance and

EnforcementEnforcementNutrition Programs and ActivitiesNutrition Programs and Activities

Issued: November 8, 2005Issued: November 8, 2005

SERO-Civil Rights OfficeSERO-Civil Rights Office

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Prior policy was conveyed through a series Prior policy was conveyed through a series ofof

8 FNS Instructions which designated the: 8 FNS Instructions which designated the:

113-1, 113-1, Civil Rights Compliance and Civil Rights Compliance and EnforcementEnforcement (issued May 1982), as (issued May 1982), as the overarching instruction; and the overarching instruction; and

sequentially numbered instructions sequentially numbered instructions were program-specific.were program-specific.

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The recently issued The recently issued FNS Instruction 113-1FNS Instruction 113-1

merges all of the previously merges all of the previously independent instructions into 1 independent instructions into 1 document; anddocument; and

includes 4 appendices that provide includes 4 appendices that provide program-specific guidance.program-specific guidance.

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The Appendices are:The Appendices are: Appendix A: Food Stamp ProgramAppendix A: Food Stamp Program Appendix B: Child Nutrition ProgramsAppendix B: Child Nutrition Programs Appendix C: Food Distribution ProgramsAppendix C: Food Distribution Programs Appendix D: WIC and WIC Farmers’ Appendix D: WIC and WIC Farmers’

Market Market Nutrition Program (FMNP)Nutrition Program (FMNP) Appendix E: Sample Complaint FormsAppendix E: Sample Complaint Forms Appendix F: Complaint Processing and Appendix F: Complaint Processing and Procedures FlowchartProcedures Flowchart

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What does the recently issued What does the recently issued 113 change?113 change?

amends certain procedures;amends certain procedures; affords equal opportunity for affords equal opportunity for

religious organizations;religious organizations; clearly establishes complaint clearly establishes complaint

handling procedures; andhandling procedures; and is a single reference for civil rights is a single reference for civil rights

compliance and enforcement.compliance and enforcement.

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CommonCommon Areas in Former and Areas in Former and Current VersionsCurrent Versions

PurposePurpose AuthorityAuthority PolicyPolicy ApplicabilityApplicability

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Common Areas in Former and Common Areas in Former and Current Versions (continued)Current Versions (continued)

DefinitionsDefinitions ResponsibilitiesResponsibilities Public NotificationPublic Notification AssurancesAssurances Civil Rights TrainingCivil Rights Training

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Common Areas in Former and Common Areas in Former and Current Versions (continued)Current Versions (continued)

Data Collection and ReportingData Collection and Reporting Compliance ReviewsCompliance Reviews Resolution of NoncomplianceResolution of Noncompliance Complaints of DiscriminationComplaints of Discrimination

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New SectionsNew Sections

Limited English Proficiency (LEP)Limited English Proficiency (LEP)

Equal Opportunity for Religious Equal Opportunity for Religious OrganizationsOrganizations

AppendicesAppendices

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I. PURPOSEI. PURPOSE Establishes and conveys policyEstablishes and conveys policy

Provides guidance and direction to USDA, Provides guidance and direction to USDA, FNS and its recipients and customersFNS and its recipients and customers

Ensures compliance with and Ensures compliance with and enforcement of the prohibition against enforcement of the prohibition against discrimination in all FNS programs and discrimination in all FNS programs and activities, whether federally funded in activities, whether federally funded in whole or not.whole or not.

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II. AUTHORITYII. AUTHORITY

Title VI of the Civil Rights of 1964 – Title VI of the Civil Rights of 1964 – race, color, and national originrace, color, and national origin

American with Disabilities Act – American with Disabilities Act – disabilitydisability

Title IX of the Education Amendments Title IX of the Education Amendments of 1972 – sexof 1972 – sex

Section 504 of the Rehabilitation Act of Section 504 of the Rehabilitation Act of 1973 – disability1973 – disability

Age Discrimination Act of 1975 – ageAge Discrimination Act of 1975 – age

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II. AUTHORITY (continued)II. AUTHORITY (continued) The Personal Responsibility and Work The Personal Responsibility and Work

Opportunity Reconciliation Act of 1996, and Opportunity Reconciliation Act of 1996, and DOJ Memorandum dated 1/28/99, entitled, DOJ Memorandum dated 1/28/99, entitled, “Policy Guidance Document – Enforcement of “Policy Guidance Document – Enforcement of Title VI of the Civil Rights Act of 1964 and Title VI of the Civil Rights Act of 1964 and Related Statutes in Block Grant Type Related Statutes in Block Grant Type Programs.”Programs.”

Civil Rights Restoration Act of 1987 – clarifies Civil Rights Restoration Act of 1987 – clarifies the scope of the Civil Rights Act of 1964.the scope of the Civil Rights Act of 1964.

Food Stamp Act of 1977 – added religious Food Stamp Act of 1977 – added religious creed and political beliefs as protected classes creed and political beliefs as protected classes in the Food Stamp Program.in the Food Stamp Program.

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II. AUTHORITY (continued)II. AUTHORITY (continued) Executive Order 13166 – enforces National Executive Order 13166 – enforces National

Origin discrimination for persons with Origin discrimination for persons with Limited English Proficiency.Limited English Proficiency.

USDA Departmental Regulation 4330-2 – USDA Departmental Regulation 4330-2 – prohibits discrimination in programs and prohibits discrimination in programs and activities funded by USDA.activities funded by USDA.

7 CFR Part 16, Equal Opportunity for 7 CFR Part 16, Equal Opportunity for Religious Organizations – religiously Religious Organizations – religiously affiliated organizations should be able to affiliated organizations should be able to compete on an equal footing with other compete on an equal footing with other organizations for USDA assistance.organizations for USDA assistance.

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III. POLICYIII. POLICYProtected Bases for FNS Protected Bases for FNS

ProgramsPrograms RaceRace ColorColor National OriginNational Origin AgeAge SexSex DisabilityDisability Religion (FSP) (FDPIR)Religion (FSP) (FDPIR) Political Beliefs (FSP) (FDPIR)Political Beliefs (FSP) (FDPIR)

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III. POLICY (continued)III. POLICY (continued) The U.S. Department of Agriculture prohibits The U.S. Department of Agriculture prohibits

discrimination in all its programs and activities on the discrimination in all its programs and activities on the basis of race, color, national origin, age, disability, and basis of race, color, national origin, age, disability, and where applicable, sex, marital status, familial status, where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, genetic parental status, religion, sexual orientation, genetic information, political beliefs, reprisal or because all or information, political beliefs, reprisal or because all or part of an individual’s income is derived from any part of an individual’s income is derived from any public assistance program. public assistance program. (Not all prohibited (Not all prohibited bases apply to all programs.) Persons with bases apply to all programs.) Persons with disabilities who require alternative means for disabilities who require alternative means for communication of program information (Braille, communication of program information (Braille, large print, audiotape, etc.) should contact large print, audiotape, etc.) should contact USDA’s TARGET Center at (202) 720-2600 (voice USDA’s TARGET Center at (202) 720-2600 (voice and TTY).and TTY).

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III. POLICY (continued)III. POLICY (continued)

Although it is the policy of the USDA to Although it is the policy of the USDA to provide fair and equitable treatment to provide fair and equitable treatment to every employee and customer, there are every employee and customer, there are specific laws and regulations that provide specific laws and regulations that provide for the protected bases for each nutritional for the protected bases for each nutritional assistance program.assistance program.

For this reason, sexual orientation, marital For this reason, sexual orientation, marital or family status, parental status, and or family status, parental status, and protected genetic information are not protected genetic information are not protected bases in FNS federally assistance protected bases in FNS federally assistance programs.programs.

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IV. APPLICABILITYIV. APPLICABILITY

This Instruction is applicable to all This Instruction is applicable to all programs and activities of a recipient programs and activities of a recipient of Federal financial assistance, of Federal financial assistance, whether those programs and whether those programs and activities are federally funded in activities are federally funded in whole or not.whole or not.

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VII. LIMITED ENGLISH VII. LIMITED ENGLISH PROFICIENCY (LEP)PROFICIENCY (LEP)

Definition:Definition:

Individuals who do not speak English as their Individuals who do not speak English as their primary language and who have a limited ability primary language and who have a limited ability to read, speak, write, or understand English.to read, speak, write, or understand English.

Recipients of Federal financial assistance have a Recipients of Federal financial assistance have a responsibility to take reasonable steps to ensure responsibility to take reasonable steps to ensure meaningful access to their programs and meaningful access to their programs and activities by persons with limited English activities by persons with limited English proficiency.proficiency.

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VII. LEP (continued):VII. LEP (continued):

Factors to consider in addressing LEP:Factors to consider in addressing LEP:

Number or proportion of LEP persons served Number or proportion of LEP persons served or encountered in the eligible population. or encountered in the eligible population.

Frequency with which LEP individuals come Frequency with which LEP individuals come in contact with the program.in contact with the program.

Nature and importance of the program, Nature and importance of the program, activity, or service provided by the program.activity, or service provided by the program.

Resources available to the recipient and Resources available to the recipient and costs.costs.

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VII. LEP (continued)VII. LEP (continued)

For further information:For further information:

www.LEP.govwww.LEP.gov

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VIII. EQUAL OPPORTUNITY FOR VIII. EQUAL OPPORTUNITY FOR RELIGIOUS ORGANIZATIONSRELIGIOUS ORGANIZATIONS

Ensures a level playing field for Ensures a level playing field for the participation of faith-based the participation of faith-based organizations and other organizations and other community organizations in community organizations in USDA programs.USDA programs.

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VIII. EQUAL OPPORTUNITY FOR VIII. EQUAL OPPORTUNITY FOR RELIGIOUS ORGANIZATIONS RELIGIOUS ORGANIZATIONS

(continued)(continued)This is accomplished by:This is accomplished by:

prohibiting discrimination on the basis of prohibiting discrimination on the basis of religion, religious belief, or religious character religion, religious belief, or religious character in the administration of Federal funds;in the administration of Federal funds;

allowing a religious organization that allowing a religious organization that participates in USDA programs to retain its participates in USDA programs to retain its independence and continue to carryout its independence and continue to carryout its mission, provided that direct USDA funds do mission, provided that direct USDA funds do not support any inherently religious activities not support any inherently religious activities such as worship, religious instruction, or such as worship, religious instruction, or proselytization;proselytization;

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VIII. EQUAL OPPORTUNITY FOR VIII. EQUAL OPPORTUNITY FOR RELIGIOUS ORGANIZATIONS RELIGIOUS ORGANIZATIONS

(continued)(continued)

clarifying that faith-based organizations can clarifying that faith-based organizations can use space in their facilities to provide USDA-use space in their facilities to provide USDA-funded service without removing religious funded service without removing religious art, icons, scriptures, or other religious art, icons, scriptures, or other religious symbols; andsymbols; and

ensuring that no organization that receives ensuring that no organization that receives direct financial assistance from the USDA can direct financial assistance from the USDA can discriminate against a program beneficiary, discriminate against a program beneficiary, on the basis of religion or religious belief.on the basis of religion or religious belief.

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For further information: www.fbci.govFor further information: www.fbci.gov

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IX. PUBLIC NOTIFICATIONIX. PUBLIC NOTIFICATION

All FNS assistance programs must include All FNS assistance programs must include a public notification system. a public notification system.

The purpose of this system is to inform The purpose of this system is to inform applicants, participants, and potentially applicants, participants, and potentially eligible persons of:eligible persons of: program availability, program availability, program rights and responsibilities, program rights and responsibilities, the policy of nondiscrimination and the policy of nondiscrimination and the procedure for filing a complaint. the procedure for filing a complaint.

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3 Elements of Public 3 Elements of Public NotificationNotification

1. Program Availability1. Program Availability

2. Complaint Information2. Complaint Information

3. Nondiscrimination Statement3. Nondiscrimination Statement

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3 Elements of Public 3 Elements of Public NotificationNotification

1. Program Availability1. Program Availability

Inform applicants, participants, and potentially Inform applicants, participants, and potentially eligible persons of their program rights and eligible persons of their program rights and responsibilities and the steps necessary for responsibilities and the steps necessary for participation.participation.

2. Complaint Information2. Complaint Information

Advise applicants and participants at the service Advise applicants and participants at the service delivery point of their right to file a complaint, how delivery point of their right to file a complaint, how to file a complaint, and the complaint procedures. to file a complaint, and the complaint procedures.

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3. Nondiscrimination Statement3. Nondiscrimination Statement

All information materials and sources, including All information materials and sources, including Web sites, used by FNS, State agencies, local Web sites, used by FNS, State agencies, local agencies, or other subrecipients to inform the agencies, or other subrecipients to inform the public about FNS programs must contain a public about FNS programs must contain a nondiscrimination statement. The statement is nondiscrimination statement. The statement is not required to be included on every page of the not required to be included on every page of the program Web site. At a minimum the program Web site. At a minimum the nondiscrimination statement or a link to it must nondiscrimination statement or a link to it must be included on the home page of the program be included on the home page of the program information. information.

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Nondiscrimination Nondiscrimination StatementStatement

FSP and FDPIR State or local agencies and their FSP and FDPIR State or local agencies and their subrecipients must use the following statement*:subrecipients must use the following statement*:

“ “In accordance with Federal law and U.S. Department of In accordance with Federal law and U.S. Department of Agriculture policy, this institution is prohibited from Agriculture policy, this institution is prohibited from discriminating on the basis of race, color, national origin, discriminating on the basis of race, color, national origin, sex, age, religion, political beliefs, or disability. sex, age, religion, political beliefs, or disability.

To file a complaint of discrimination, write USDA, Director, To file a complaint of discrimination, write USDA, Director,

Office of Civil Rights, 1400 Independence Avenue, S.W., Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410 or call (800) 795-3272 Washington, D.C. 20250-9410 or call (800) 795-3272 (voice) or (202) 720-6382 (TTY). USDA is an equal (voice) or (202) 720-6382 (TTY). USDA is an equal opportunity provider and employer.”opportunity provider and employer.”

* Exception provided for the use of a * Exception provided for the use of a joint applicationjoint application for for FSP/HHS—see Instruction for approved language FSP/HHS—see Instruction for approved language

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Nondiscrimination Nondiscrimination StatementStatement

All other FNS Programs, State or local agencies, All other FNS Programs, State or local agencies, and their subrecipients, must use the following and their subrecipients, must use the following statement:statement:

“ “In accordance with Federal law and U.S. In accordance with Federal law and U.S. Department of Agriculture policy, this institution is Department of Agriculture policy, this institution is prohibited from discriminating on the basis of prohibited from discriminating on the basis of race, color, national origin, sex, age or disability. race, color, national origin, sex, age or disability.

To file a complaint of discrimination, write USDA, To file a complaint of discrimination, write USDA, Director, Office of Civil Rights, 1400 Independence Director, Office of Civil Rights, 1400 Independence Avenue, SW, Washington, D.C. 20250-9410 or call Avenue, SW, Washington, D.C. 20250-9410 or call (800) 795-3272 or (202) 720-6382 (TTY). USDA is (800) 795-3272 or (202) 720-6382 (TTY). USDA is an equal opportunity provider and employer.”an equal opportunity provider and employer.”

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Methods of Public NotificationMethods of Public Notification

Prominently display the “And Justice for All” Prominently display the “And Justice for All” poster. poster.

Inform potentially eligible persons, applicants, Inform potentially eligible persons, applicants, participants and grassroots organizations of participants and grassroots organizations of programs or changes in programs.programs or changes in programs.

Provide appropriate information in alternative Provide appropriate information in alternative formats for persons with disabilities.formats for persons with disabilities.

Include the required nondiscrimination statement Include the required nondiscrimination statement on all appropriate FNS and agency publications, on all appropriate FNS and agency publications, Web sites, posters and informational materials.Web sites, posters and informational materials.

Convey the message of equal opportunity in all Convey the message of equal opportunity in all photos and other graphics that are used to photos and other graphics that are used to provide program or program-related information.provide program or program-related information.

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X. ASSURANCESX. ASSURANCES

To qualify for Federal financial To qualify for Federal financial assistance, an application must be assistance, an application must be accompanied by a written assurance accompanied by a written assurance that the entity to receive financial that the entity to receive financial assistance will be operated in assistance will be operated in compliance with all nondiscrimination compliance with all nondiscrimination laws, regulations, instructions, laws, regulations, instructions, policies, and guidelines;policies, and guidelines;

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FNS will obtain a written assurance FNS will obtain a written assurance from each State agency and will from each State agency and will ensure that State agencies obtain ensure that State agencies obtain assurance from local agencies; andassurance from local agencies; and

a civil rights assurance must be a civil rights assurance must be incorporated in all agreements incorporated in all agreements between State agencies and local between State agencies and local agencies.agencies.

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XI. CIVIL RIGHTS TRAININGXI. CIVIL RIGHTS TRAINING

State agencies are responsible for State agencies are responsible for training local agencies on an training local agencies on an annual annual basisbasis. .

Local agencies are responsible for Local agencies are responsible for training their subrecipients, including training their subrecipients, including “frontline staff” who interact with “frontline staff” who interact with applicants or participants on an applicants or participants on an annual basisannual basis..

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XI. CIVIL RIGHTS TRAININGXI. CIVIL RIGHTS TRAINING(continued)(continued)

Specific subject matter required, but not limited to:Specific subject matter required, but not limited to:

Collection and use of data;Collection and use of data; Effective public notification systems,Effective public notification systems, Complaint procedures,Complaint procedures, Compliance review techniques,Compliance review techniques, Resolution of noncompliance,Resolution of noncompliance, Requirements for reasonable accommodation of Requirements for reasonable accommodation of

persons with disabilities,persons with disabilities, Requirements for language assistance,Requirements for language assistance, Conflict resolution, andConflict resolution, and Customer service.Customer service.

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XII. DATA COLLECTION AND XII. DATA COLLECTION AND REPORTINGREPORTING

The purpose is to:The purpose is to:

determine how effectively FNS programs determine how effectively FNS programs are reaching potential eligible persons and are reaching potential eligible persons and beneficiaries,beneficiaries,

identify areas where additional outreach is identify areas where additional outreach is needed, needed,

assist in the selection of locations for assist in the selection of locations for compliance reviews, andcompliance reviews, and

complete reports, as required.complete reports, as required.

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Collecting and Reporting Collecting and Reporting Participation DataParticipation Data

State agencies, local agencies and other subrecipients State agencies, local agencies and other subrecipients are required to obtain data by race and ethnic are required to obtain data by race and ethnic category on potentially eligible populations, applicants, category on potentially eligible populations, applicants, and participants in their program service area.and participants in their program service area.

Systems for collecting actual racial and ethnic data Systems for collecting actual racial and ethnic data must be established and maintained for FNS programs must be established and maintained for FNS programs with the exception of certain Food Distribution with the exception of certain Food Distribution Programs listed in Appendix C.Programs listed in Appendix C.

Ask all program applicants and participants to identify Ask all program applicants and participants to identify all racial categories that apply (per OMB guidance).all racial categories that apply (per OMB guidance).

Self-identification or self-reporting is the preferred Self-identification or self-reporting is the preferred method of obtaining data.method of obtaining data.

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Collecting and Reporting Collecting and Reporting Participation Data (continued)Participation Data (continued)

In instances were racial/ethnic data is collected via In instances were racial/ethnic data is collected via online, provisions must be made for applicants/ online, provisions must be made for applicants/ participants to self-identify. The ability to verify this participants to self-identify. The ability to verify this data by some manner of signing a printout, etc., must data by some manner of signing a printout, etc., must be available. be available.

Data must be collected/retained by the service delivery Data must be collected/retained by the service delivery point for each program as specified in the program point for each program as specified in the program regulations, instructions, policies and guidelines.regulations, instructions, policies and guidelines.

Records must be maintained for 3 years.Records must be maintained for 3 years.

Access restricted only to authorized personnel.Access restricted only to authorized personnel.

Submitted, as requested to FNS.Submitted, as requested to FNS.

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Race and Ethnic Categories Race and Ethnic Categories Two Question FormatTwo Question Format

1. Ethnicity:1. Ethnicity:

Hispanic or LatinoHispanic or Latino Not Hispanic or LatinoNot Hispanic or Latino

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2. Race2. Race

American Indian or Alaskan NativeAmerican Indian or Alaskan Native AsianAsian Black or African AmericanBlack or African American Native Hawaiian or Other Pacific Native Hawaiian or Other Pacific

IslanderIslander WhiteWhite

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State agency may have categories for race State agency may have categories for race in addition to the ones required by FNS; in addition to the ones required by FNS; however, the additional categories must however, the additional categories must be mapped and extracted to the required be mapped and extracted to the required categories. categories.

Program applicants may not be required to Program applicants may not be required to

furnish race or ethnicity.furnish race or ethnicity.

Visual observation will be used when the Visual observation will be used when the applicant does not self-identify.applicant does not self-identify.

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XIII. COMPLIANCE REVIEWSXIII. COMPLIANCE REVIEWS

Examines activities to determine Examines activities to determine adherenceadherence

with civil rights requirements for:with civil rights requirements for:

State agencies,State agencies, local agencies, andlocal agencies, and other subrecipients.other subrecipients.

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Compliance ReviewsCompliance Reviews

State agencies review local agencies. State agencies review local agencies. Local agencies review their Local agencies review their

subrecipients.subrecipients. State agency must report significant State agency must report significant

findings to the reviewed entity and findings to the reviewed entity and FNS. FNS.

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Compliance ReviewsCompliance Reviews

3 Types of Compliance Reviews:3 Types of Compliance Reviews:

Pre-approval or Pre-award Pre-approval or Pre-award Post-award or Routine Post-award or Routine Special Special

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Pre-approval or Pre-award Pre-approval or Pre-award Compliance ReviewsCompliance Reviews

No federal funds shall be made available No federal funds shall be made available to a State agency or local agency until a to a State agency or local agency until a

Pre-award Compliance Review has been Pre-award Compliance Review has been conducted and the applicant is determined conducted and the applicant is determined to be in compliance with civil rights to be in compliance with civil rights requirements.requirements.

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Pre-approval or Pre-award Pre-approval or Pre-award

May be a desk or onsite reviewMay be a desk or onsite review Used to identify issues such as Used to identify issues such as

lawsuits on the basis of race, color or lawsuits on the basis of race, color or national origin, or civil rights national origin, or civil rights complaintscomplaints

An onsite review must be conducted, An onsite review must be conducted, if warrantedif warranted

Written report is requiredWritten report is required

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Pre-approval or Pre-awardPre-approval or Pre-awardData and Information RequiredData and Information Required

Manner in which services will be Manner in which services will be providedprovided

Demographics of population to Demographics of population to evaluate program accessevaluate program access

Data regarding covered employment, Data regarding covered employment, including use of bilingual public-including use of bilingual public-contact employees serving LEP contact employees serving LEP beneficiaries of the programbeneficiaries of the program

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Pre-approval or Pre-awardPre-approval or Pre-awardData and Information RequiredData and Information Required The location of existing or proposed The location of existing or proposed

facilities connected with the program facilities connected with the program and whether access would be and whether access would be unnecessarily denied because of unnecessarily denied because of their localetheir locale

Makeup of planning or advisory Makeup of planning or advisory boardboard

A civil rights impact analysis where A civil rights impact analysis where relocation is involvedrelocation is involved

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Post-Award or Routine Post-Award or Routine Compliance ReviewCompliance Review

Frequency -- defined in the AppendicesFrequency -- defined in the Appendices

FNS: Part of Management Evaluation (ME) FNS: Part of Management Evaluation (ME) ProcessProcess

State Agencies: In accordance with Program State Agencies: In accordance with Program RegulationsRegulations

WIC State agency reviews include vendors WIC State agency reviews include vendors

FMNP State agency reviews include farmers, FMNP State agency reviews include farmers, farmers’ markets and roadside standsfarmers’ markets and roadside stands

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Selection based on an indication of possibleSelection based on an indication of possible

concerns such as:concerns such as: an unusual fluctuation in participation of an unusual fluctuation in participation of

racial or ethnic groups in a service area,racial or ethnic groups in a service area, the number of discrimination complaints the number of discrimination complaints

filed,filed, information from grassroots and advocacy information from grassroots and advocacy

groups, individuals and State officials, andgroups, individuals and State officials, and unresolved findings from previous civil unresolved findings from previous civil

rights reviews.rights reviews.

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Content Content

FNS reviews State agency for:FNS reviews State agency for:

Review of lower-level agencies;Review of lower-level agencies; Data collection counts are valid;Data collection counts are valid; Data collection program records have Data collection program records have

restricted access;restricted access; Program requirements are applied Program requirements are applied

uniformly;uniformly; Public notification;Public notification;

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Content Content

Complaint process;Complaint process; Training;Training; Non-discrimination statement usage;Non-discrimination statement usage; State agency is training local State agency is training local

agencies;agencies; Analysis of denied applications; andAnalysis of denied applications; and Vendor compliance.Vendor compliance.

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Content Content

Scope of State agency or FNS reviews of localScope of State agency or FNS reviews of localagencies: agencies:

eligible persons and households have an eligible persons and households have an equal opportunity to participate;equal opportunity to participate;

case records are coded by race or ethnic case records are coded by race or ethnic origin;origin;

offices are displaying the “And Justice for offices are displaying the “And Justice for All” poster in a prominent location;All” poster in a prominent location;

nondiscrimination statement;nondiscrimination statement;

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Content Content

availability of program information to availability of program information to eligible persons, program applicants and eligible persons, program applicants and participants;participants;

racial and ethnic data collection, and racial and ethnic data collection, and maintenance for 3 years;maintenance for 3 years;

complaint processing; andcomplaint processing; and training.training.

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Special Compliance ReviewsSpecial Compliance Reviews

Conducted by FNS when:Conducted by FNS when:

Program participation data indicates Program participation data indicates that a particular group in a specific area that a particular group in a specific area is not benefiting from an FNS program;is not benefiting from an FNS program;

reports of alleged noncompliance made reports of alleged noncompliance made by the media, grassroots organizations, by the media, grassroots organizations, or advocacy groups need to be resolved;or advocacy groups need to be resolved;

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Special Compliance ReviewsSpecial Compliance Reviews

reports of alleged noncompliance reports of alleged noncompliance made by other agencies, such as made by other agencies, such as DOE and HHS, need to be resolved; DOE and HHS, need to be resolved; oror

patterns of complaints of patterns of complaints of discrimination have been discrimination have been documented.documented.

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XIV. RESOLUTION OF XIV. RESOLUTION OF NONCOMPLIANCENONCOMPLIANCE

Definition of “Noncompliance”Definition of “Noncompliance” A factual finding that any civil rights A factual finding that any civil rights

requirement, as provided by law, requirement, as provided by law, regulation, policy, instruction, or regulation, policy, instruction, or guidelines, is not being adhered to guidelines, is not being adhered to by a State agency, local agency, or by a State agency, local agency, or other subrecipient.other subrecipient.

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A finding of noncompliance A finding of noncompliance may be the result of:may be the result of:

a Management Evaluation or a Civil a Management Evaluation or a Civil Rights Compliance Review;Rights Compliance Review;

a special review; ora special review; or

an investigation.an investigation.

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What are some examples of What are some examples of noncompliance?noncompliance?

Denying an individual or household Denying an individual or household the opportunity to apply for program the opportunity to apply for program benefits or services on the basis of a benefits or services on the basis of a protected class.protected class.

Providing FNS program services or Providing FNS program services or benefits in a disparate matter on the benefits in a disparate matter on the basis of a protected class (except as basis of a protected class (except as a disability accommodation).a disability accommodation).

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What are some examples of What are some examples of noncompliance? (continued)noncompliance? (continued)

Selecting members for planning and Selecting members for planning and advisory bodies in such a way as to advisory bodies in such a way as to exclude persons from membership exclude persons from membership on the basis of a protected class.on the basis of a protected class.

Selecting FNS program sites or Selecting FNS program sites or facilities in a manner that denies an facilities in a manner that denies an individual access to FNS program individual access to FNS program benefits, assistance, or services on benefits, assistance, or services on the basis of a protected class.the basis of a protected class.

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What happens once What happens once noncompliance is determined?noncompliance is determined?

Steps must be taken immediately to Steps must be taken immediately to obtain voluntary compliance.obtain voluntary compliance.

Effective date of the finding of Effective date of the finding of noncompliance is the date of notice noncompliance is the date of notice to the State agency, local agency, or to the State agency, local agency, or other subrecipient. other subrecipient.

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To achieve voluntary To achieve voluntary compliance, the State agency compliance, the State agency

must:must: Provide immediate Provide immediate written noticewritten notice to the local to the local

agency or other subrecipient indicating:agency or other subrecipient indicating: the areas of noncompliance, and the areas of noncompliance, and the action required to correct the situation.the action required to correct the situation.

Negotiate with the local agency or other Negotiate with the local agency or other subrecipient to achieve compliance.subrecipient to achieve compliance.

If corrective action has not been completed If corrective action has not been completed within 60 days of the finding, submit Report within 60 days of the finding, submit Report of Findings of Noncompliance in letter of Findings of Noncompliance in letter format to the Regional Administrator with format to the Regional Administrator with attachments.attachments.

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SERO determines if further voluntary SERO determines if further voluntary compliance efforts should be pursued.compliance efforts should be pursued.

If so, case is referred back to State If so, case is referred back to State agency with suggestions for further agency with suggestions for further actions.actions.

In cases where all efforts have been In cases where all efforts have been exhausted or initial determination exhausted or initial determination was made by SERO-CRO, SERO sends was made by SERO-CRO, SERO sends letter to the State agency, local letter to the State agency, local agency or other subrecipient. agency or other subrecipient.

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If voluntary corrective action If voluntary corrective action cannot be achieved within 60 cannot be achieved within 60

daysdays FNS-HQ must be advised and provided FNS-HQ must be advised and provided

with pertinent documentation.with pertinent documentation. FNS-HQ will decide on appropriate action.FNS-HQ will decide on appropriate action. Once voluntary compliance efforts are Once voluntary compliance efforts are

exhausted 30 day notification is provided.exhausted 30 day notification is provided. If still unresolved, forwarded to USDA If still unresolved, forwarded to USDA

OCR for formal enforcement action.OCR for formal enforcement action. As a last resort, FNS assistance is As a last resort, FNS assistance is

terminated or suspended.terminated or suspended.

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XV. COMPLAINTS OF XV. COMPLAINTS OF DISCRIMINATIONDISCRIMINATION

Recognizing a Civil Rights Complaint--Recognizing a Civil Rights Complaint--allegation based on:allegation based on: Race,Race, Color,Color, National Origin,National Origin, Age,Age, Sex, or Sex, or Disability.Disability.

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In FSP and FDPIR, also may be based In FSP and FDPIR, also may be based on:on:

Religion andReligion and

Political Belief.Political Belief.

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XV. COMPLAINTS OF XV. COMPLAINTS OF DISCRIMINATIONDISCRIMINATION

timeframes for processing must be timeframes for processing must be adhered to;adhered to;

Right to File: complaint must be filed Right to File: complaint must be filed in 180 days; in 180 days;

complaints may be written or verbal complaints may be written or verbal as well as anonymous;as well as anonymous;

the use of a form is not required the use of a form is not required though provided as a prototype in the though provided as a prototype in the Instruction;Instruction;

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certain key information should be requested; certain key information should be requested; FSP SAs may be given the authority to process FSP SAs may be given the authority to process

complaints -- complaints to WIC SAs and CNP SAs complaints -- complaints to WIC SAs and CNP SAs are forwarded to CRO for processing;are forwarded to CRO for processing;

a letter of acknowledgement is sent to the a letter of acknowledgement is sent to the complainant;complainant;

age discrimination complaints are referred to age discrimination complaints are referred to FMCS within 10 days;FMCS within 10 days;

the parties are encouraged to resolve the issue at the parties are encouraged to resolve the issue at the lowest possible level, as expeditiously as the lowest possible level, as expeditiously as possible; andpossible; and

if finding(s), corrective action required.if finding(s), corrective action required.

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XVI. GUIDELINES FOR XVI. GUIDELINES FOR PROCESSING CIVIL RIGHTS PROCESSING CIVIL RIGHTS

COMPLAINTSCOMPLAINTS

Appendix F: Review of FNS 113 Complaint Appendix F: Review of FNS 113 Complaint Processing Procedures and TimelinesProcessing Procedures and Timelines

FSP SAs must submit a report to CRO of FSP SAs must submit a report to CRO of each complaint processed, prior to issuing each complaint processed, prior to issuing a decision letter to the complainant for a decision letter to the complainant for CRO concurrenceCRO concurrence

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XVII. PROCEDURES FOR XVII. PROCEDURES FOR PROCESSING AND RESOLVING PROCESSING AND RESOLVING

COMPLAINTS OF DISCRIMINATIONCOMPLAINTS OF DISCRIMINATION

Complaints may be received by USDA, Complaints may be received by USDA, FNS-HQ, FNS-SERO, other Executive FNS-HQ, FNS-SERO, other Executive Recipients or SAsRecipients or SAs

All complaints must be processed All complaints must be processed within 90 days of receiptwithin 90 days of receipt

State Operations Plan must contain a State Operations Plan must contain a description of the agency’s description of the agency’s discrimination complaint/grievance discrimination complaint/grievance processing systemprocessing system

1 FNS Instruction 113-1 Civil Rights Compliance and Enforcement Nutrition Programs and Activities Issued: November 8, 2005 SERO-Civil Rights Office.

Documents

civil rights act

civil rights compliance

civil rights restoration

food stamp act

serocivil rights office

rehabilitation act

fns programs

age slide