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[Please Read This Booklet before Completing Enclosed Report]
Under Public Law 88-352, Title VII of the Civil Rights Act of 1964, as amended by the Equal Employment Opportunity Act of 1972, all State and local governments that have 15 or more employees are required to keep records and to make such reports to the Equal Employment Opportunity Commission as are specified in the regulations of the Commission. The applicable provisions of the law, Section 709(c) of Title VII, and the regulations issued by the Commission are printed in full in the Appendix (4) of these instructions. School systems and educational institutions are covered by other employment surveys and are excluded from EEO-4.
In the interests of consistency, uniformity and economy, State and Local Government Report EEO-4 is being utilized by Federal government agencies that have responsibilities with respect to equal employment opportunity. A joint State and Local Reporting Committee, with which this report must be filed, represents those various Federal agencies. In addition, this report should bring about uniformity in State and local government recordkeeping and reporting and should serve as a valuable tool for use by the political jurisdiction in evaluating their own internal programs for ensuring equal employment opportunity.
As stated above, the filing of Report EEO-4 is required by law; it is not voluntary. Under Section 709 (c) of Title VII, the Attorney General of the United Stated may compel a jurisdiction to file this report by obtaining an order from a United States District Court.
Beginning with the 1993 survey year and biennially (every odd-numbered year) thereafter, those who must file this report include: (1) all States; (2) all other political jurisdictions which have 100 or more employees; and (3) a sample of those political jurisdictions which have 15-99 employees. The sample is rotated biennally, so that none of the smaller jurisdictions will be required to file in consecutive survey years, but all will be required to file in their turn. Sampled jurisdictions will be informed by receipt of the forms that they have been selected to report in a particular survey year.
Every political jurisdiction with 15 or more employees must make and keep records and statistics which would be necessary for the completion of Report EEO-4, as set forth in these instructions. Records must be kept for a period of 3 years. See regulations 1602.30 and 1602.31 in the Appendix(4).
Although the EEO-4 report requires the combining of agency data to complete the report, separate data for each agency must be maintained either by the agency itself or by the office responsible for preparing the EEO-4 report, and should be available upon request to representatives of Federal agencies.
State and local governments must file EEO-4 reports according to the number of full-time employees on the payroll as follows:
(1) File one (1) report which includes all employees in functions performed with fewer than 100 employees.
(2) In addition to (1), file a separate report for each function which has 100 or more employees.
(3) Check each box in section C which represents a function performed by the jurisdiction.
(4) Include a list of any agencies not included in the report with the complete address for those agencies.
File one form for each function listed on page 1 of the form (if that function is performed), for a maximum of 15 forms. Jurisdictions should report only persons on the jurisdiction's payroll.
Blank forms will be sent to a central office for the political jurisdiction. In those jurisdictions where all data are available at a single location, forms may be completed by the central office. Where data are not available centrally, figures should be obtained by the central office from all agencies and aggregated onto the proper forms by functions.
If you file forms for more than one function, a Summary Sheet will be included with your forms. On the Summary Sheet you are requested to check those functions for which you are submitting completed reports; functions for which you are not reporting; and functions for which you will be reporting at a later date. This will facilitate our own recordkeeping, and minimize unnecessary follow-up correspondence. Full-time employment must also be reported on the Summary Sheet.
The Summary Sheet provides for one certification statement as to the accuracy and completeness of the entire report from the jurisdiction. If such certification can be and is made by one official, a separate signature on every form will not be required.
The fact that a branch or agency of a government has separately elected officials, or is autonomous or semi-autonomous in its operations does not affect the legal status of the jurisdiction, nor the requirement that EEO-4 cover the entire jurisdiction. To the extent feasible, the report should cover all branches of the government. In any cases where that is not feasible, and data are not available to the central office of the government, a list of agencies and addresses not included should accompany the report.
Where interstate, intercounty, etc., boards; agencies, commissions, or other type special district governments exist, ONE FORM should be submitted by the headquarters of the special district.
In conclusion, the submitted report must contain the following, submitted in one (1) package:
(1) One (1) SUMMARY SHEET.
(2) The original and one (1) copy of up to 15 reports based on the number of functions performed.
(3) A list of agencies not included in the report but which should have been included in the report, with the complete address for any agency listed.
This biennial report must be filed with the Equal Employment Opportunity Commission no later than the date printed in the accompanying cover letter. Full-time and part-time employment figures should cover the payroll period which includes June 30 of the survey year. New hires data is for the entire fiscal year which ends on June 30th.
The original and one (1) copy of the completed reports (in duplicate) should be forwarded to the address indicated on the EEO-4 form. All request for additional information and report forms should also be directed to that address.
An employer who claims that preparation or the filing of Report EEO-4 would create undue hardships may apply to the Commission for a special reporting procedure. In such cases, the employer must submit in writing a proposal for compiling and reporting information to:
The EEO-4 Coordinator
EEOC-Surveys
1801 L Street, N. W.
Washington, D.C. 20507
Only those special procedures approved in writing by the Commission are authorized. Such authorizations remain in effect until notification of cancellation is given or EEOC publishes a change to the survey form.
A computer printout, magnetic tape or diskette is also a special reporting procedure. Only the report formats for those media which are designed and approved by EEOC will be accepted. A copy of those formats with an explanatory memorandum may be acquired from the EEO-4 Coordinator at the above address.
Section 701(f) of the Equal Employment Opportunity Act of 1972 contains an exemption for elected and certain appointed officials that is set forth in the definition of "employee" in Appendix (1). Based on the legislative history of Section 701 (f), the General Counsel of the Commission has ruled that this exemption was intended by the Congress to be construed narrowly. This ruling concluded that only the following persons would be included in the exemption:
(1) State and local elected officials.
(2) Such official's immediate secretary, administrative, legislative or other immediate or first-line aide.
(3) Such official's legal advisor.
(4) Appointed cabinet officials in the case of a Governor, or heads of executive departments in the case of a mayor or County Council. No other persons appointed by an elected official are exempt under this interpretation. In no case is any person exempt who is appointed by an appointed official, whether or not the latter is exempt. Furthermore, as specified in Section 701 (f), the exemption does not include employees subject to the civil service laws of a State government, governmental agency or political subdivision.
All reports and information from individual reports are subject to the confidentiality provisions of Section 709(e) of Title VII, and may not be made public by EEOC prior to the institution of any proceeding under Title VII. However, aggregate data may be made public in a manner so as not to reveal any particular jurisdiction's statistics. Barring prohibitive State or local legislation, a political jurisdiction may make its EEO-4 Report public at any time.
Public reporting burden for this collection of information is estimated to vary from one (1) to five (5) hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the collection of information. A response is defined as one survey form. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to:
The EEOC Clearance Officer
Office of the Financial and Resource
Management
1801 L Street, N. W.
Washington, D.C. 20507
Unless the collection displays a currently valid Office of Management and Budget (OMB) control number, respondents are not required to fill out this form.
The full text of the new OMB regulations may be found at 5 CFR Part 1320, or Federal Register, vol. 60, no. 167, Tuesday, August 29, 1995, page 44978.
PLEASE DO NOT SEND YOUR COMPLETED REPORT TO THE ABOVE ADDRESS.
Definitions of Terms and Categories are Located in the Appendix
Check one box indicating type of government.
Indicate the name and central mailing address of the governmental jurisdiction if different from address label in top margin.
Jurisdiction with fewer than 1,000 full- time employees are initially mailed only one form. Report all jurisdiction employees on this form unless you are filing a separate report for a function which has 100 or more employees, in which case a request for additional form(s) must be made. Indicate in Section C of the form which functions are performed by your jurisdiction. On page 4 of the form, list the departments or agencies included on the form by activity function.
Jurisdictions with more than 999 full- time employees are mailed up to 15 forms. Please use a separate form for each function for which you are reporting in accordance with the instructions provided in part 3 of this booklet.
The data should be aggregated for all agencies performing in a particular function. This also applies to unspecified functions which are to be combined in one report for Function 15, "Other". State education agencies, both agencies covering elementary and secondary schools and those covering education, should be included in Function 15.
Where the political jurisdiction is unable to separate data, the agency should be reported under the function that represents its dominant activity. For example, if a transportation department includes among other functions, streets and highways, and two-thirds of the employees of the department are engaged in street and highway activities, those employees should be separated out and reported separately if feasible. If not, the entire department should be reported separately in function 2, Streets and Highways. On page 4 of each function report, list the departments or agencies included in this function. For instance, Function 1 might include: Office of the Tax Collector, Office of the Mayor, Office of the District Attorney, etc.
For purposes of this report, a person is an employee of a political jurisdiction if he or she is on the payroll of that jurisdiction, regardless of the source of the funds by which the person is paid.
(For detailed explanation of job categories and race/ethnic identification, see Appendix.)
Employment data should include total full-time employment except those elected and appointed officials specified in Section 7 above of these instructions. Where employees receive separate salaries or payments from two or more jurisdictions, but work full-time for one jurisdiction, they should be counted as full-time employees by that jurisdiction and to the extent possible their annual salary should reflect their total earnings from all jurisdictions from which they are paid. Also, where a person is a full-time employee of a jurisdiction, but is employed in more than one function, he or she should be reported for the function which accounts for most of the worktime. Trainees should be counted in appropriate columns by job, salary, race/ethnic group, and sex. Every employee must be accounted for in one and only one of the categories. Definitions are included in the Appendix (2).
Employment data should include all employees not included in a full-time matrix, except those specifically exempted (see Section 7, Elected and Appointed Officials.) Where employees are working part-time for different jurisdictions, and are on separate payrolls of different jurisdictions, they should be reported as part-time employees of the separate jurisdictions. Persons on the payroll of the jurisdiction for a specified temporary appointment, such as a public employment program, should be included in this category.
*Total Lines- Report total employment for this matrix, as well as row totals.
Include those employees who were hired during the fiscal year into permanent full-time positions whether or not they terminated employment prior to the end of the fiscal year. New Hires are included in Section D-1 if they were full-time employees at the end of the fiscal year. Total Lines-Report total employment for this matrix, as well as row totals.
Include in this section: (1) the list of your government agencies included in this report, and (2) any remarks, explanations, or other pertinent information regarding this report.
NOTE: List here the National crime Information Center (NCIC) numbers assigned by the U.S. Department of Justice to any criminal justice agencies whose data are included.
Each form must be certified and signed by an official responsible for the information, unless a Summary Sheet has been certified and signed and submitted with the completed forms.
An employer may acquire the race/ethnic information necessary for this section either by visual surveys of the work force, or from post-employment records as to the identity of employees. Since visual surveys are permitted, and the fact that race/ethnic identifications are not present on agency records is not an excuse for failure to provide the data called for. However, although the Commission does not encourage direct inquiry as a method of determining racial or ethnic identity, this method is not prohibited in cases where it has been used in the past, or where other methods are not practical, provided it is not used for purposes of discrimination.
Moreover, the fact that employees may be located at different addresses does not provide an acceptable reason for failure to comply with the reporting requirements. In such cases, it is recommended that visual surveys be conducted for the employer by persons such as supervisors who are responsible for the work of the employees or to whom the employees report for instruction or otherwise.
Please note that the General Counsel of the Commission has ruled, on the basis of court decisions, that the Commission has the authority to require the racial and ethnic identification of employees, regardless of any possible conflicting state or local laws.
The concept of race as used by the Equal Employment Opportunity Commission does not denote clearcut scientific definitions of anthropological origins. For the purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. However, no person may be counted in more than one race/ethnic category.
NOTE: The category "HISPANIC", while not a race identification, is included as a separate race/ethnic category because of the employment discrimination often encountered by this group; for this reason do not include HISPANIC under either "white" or "black".
For the purposes of the report, the following race/ethnic categories will be used:
(As Amended by the Equal Employment Opportunity Act of 1972)
Every employer, employment agency, and labor organization subject to this title shall (1) make and keep such records relevant to the determinations of whether unlawful employment practices have been or are being committed, (2) preserve such records for such periods, and (3) make such reports therefrom as the Commission shall prescribe by regulation or order, after public hearing, as reasonable, necessary, or appropriate for the enforcement of this title or the regulations or orders thereunder. The Commission shall, by regulation, require each employer, labor organization, and joint labor-management committee subject to this title which controls an apprenticeship or other training program to maintain such records as are reasonably necessary to carry out the purpose of this title, including, but not limited to, a list of applicants who wish to participate in such programs, including the chronological order in which applications were received, and to furnish to the Commission upon request, a detailed description of the manner in which persons are selected to participate in the apprenticeship or other training program. Any employer, employment agency, labor organization, or joint labor-management committee which believes that the application to it of any regulation or order issued under this section would result in undue hardship may apply to the Commission for an exemption from the application of such regulation or order, and, if such application for an exemption is denied, bring a civil action in the United States district court for the district where such records are kept. If the Commission or the court, as the case may be, finds that the application of the regulation or order to the employer, employment agency, or labor organization in question would impose an undue hardship, the Commission or the court, as the case may be, may grant appropriate relief. If any person required to comply with the provisions of this subsection fails or refuses to do so, the United States district court for the district in which such person is found, resides, or transacts business, shall upon application of the Commission, or the Attorney General in a case involving a government, government agency or political subdivision, have jurisdiction to issue to such person an order requiring him to comply.
§ 1602.30 Records to be made or kept.
On or before September 30, 1974, and annually thereafter, every political jurisdiction with 15 or more employees is required to make or keep records and the information therefrom which are or would be necessary for the completion of report EEO-4 under the circumstances set forth in the instructions thereto, whether or not the political jurisdiction is required to file such report under § 1602.32 of the regulations in this part. The instructions are specifically incorporated therein by reference and have the same force and effect as other sections of this part. Such records and the information therefrom shall be retained at all times for a period of 3 years at the central of the political jurisdiction and shall be made available if requested by an officer, agent, or employee of the Commission under Section 710 of Title VII, as amended. Although agency data are aggregated by functions for purposes of reporting, separate data for each agency must be maintained either by the agency itself or by the office of the political jurisdiction responsible for preparing the EEO-4 form. It is the responsibility of every political jurisdiction to obtain from the Commission or its delegate necessary instructions in order to comply with the requirements of this section.
§ 1602.31 Preservation of records made or kept.
(a) Any personnel or employment record made or kept by a political jurisdiction (including but not necessarily limited to application forms submitted by applicants and other records having to do with hiring, promotion, demotion, transfer, layoff or termination, rates of pay or other terms of compensation, and selection of training or apprenticeship) shall be preserved by the political jurisdiction for a period of 2 years from the date of the making of the record of the personnel action involved, whichever occurs later. In the case of involuntary termination of an employee, the personnel records of the individual terminated shall be kept for period of 2 years from the date of termination. Where a charge of discrimination has been filed, or an action brought by the Attorney General against a political jurisdiction under Title VII, the respondent political jurisdiction shall preserve all personnel records relevant to the charge or action until final disposition of the charge or the action. The term''personnel record relevant to the charge," for example, would include personnel or employment records relating to the person claiming to be aggrieved; and to all other employees holding positions similar to that held or sought by the person claiming to be aggrieved and application forms or test papers completed by an unsuccessful applicant and by all other candidates for the same position as that as for which the person claiming to be aggrieved applied and was rejected. The date of final disposition of the charge or the action means the date of expiration of the statutory period within which a person claiming to be aggrieved may bring an action in a U.S. district court, or where an action is brought against a political jurisdiction either by a person claiming to be aggrieved or by the Attorney General, the date on which such litigation is terminated.
(b) The requirements of this section shall not apply to application forms and other preemployment records of applicants for positions known to applicants to be of a temporary or seasonal nature.
§1602.32 Requirement for filing and preserving copy of report.
On or before September 30, 1993 and biennially thereafter certain political jurisdictions subject to Title VII of the Civil Rights Act of 1964, as amended, shall file with the Commission or its delegate executed copies of "State and Local Government Information Report EEO-4" in conformity with the directions set forth in the form and accompanying instructions. The political jurisdictions covered by this section are (a) Those which have 100 or more employees, and (b) Those other political jurisdictions which have 15 or more employees from whom the Commission requests the filing of reports.
Every such political jurisdiction shall retain at all times a copy of the most recently filed EEO-4 at the central office of the political jurisdiction for a period of 3 years and shall make the same available if requested by an officer, agent, or employee of the Commission under the authority of Section 710 of Title VII, as amended.
§1602.33 Penalty for making willfully false statements on report.
The making of willfully false statements on report EEO-4, is a violation of the United States Code, Title 18, Section 1001, and is punishable by fine or imprisonment as set forth therein.
§ 1602.34 Commission's remedy for political jurisdiction's failure to file report.
Any political jurisdiction failing or refusing to file report EEO-4 when required to do so may be compelled to file by order of a U.S. district court, upon application of the Attorney General.
§1602.35 Political jurisdiction's exemption from reporting requirements.
If it is claimed the preparation of filing of the report would create undue hardship, the political jurisdiction may apply to the Commission for an exemption from the requirements set forth in this part by submitting to the Commission or its delegate a specific proposal for an alternative reporting system prior to the date on which the report is due.
§ 1602.36 Schools exemption.
The recordkeeping and report-filing requirements of subparts I and J shall not apply to State and local educational institutions or to school districts or school systems or any other educational functions. The previous sentence of this section shall not act to bar jurisdiction which otherwise would attach under § 1602.30.
§ 1602.37 Additional reporting requirements.
The Commission reserves the right to require reports, other than that designated as the "State and Local Government Information Report EEO-4", about the employment practices of individual political jurisdictions or group of political jurisdictions whenever, in its judgment , special supplemental reports are necessary to accomplish the purposes of Title VII. Any system for the requirement of such reports will be established in accordance with the procedures referred to in section 709 (c) of the Title VII and as otherwise prescribed by law.
§ 1602.38 Applicability of State or Local Law.
The requirements imposed by the Equal Employment Opportunity Commission in these regulations, subparts I and J supersede any provisions of State or local law which may conflict with them.