Title 29:
Labor
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PART 1602�RECORDKEEPING AND REPORTING REQUIREMENTS UNDER TITLE VII AND
THE ADA
Section Contents
Subpart
A�General
� 1602.1 Purpose
and scope.
�� 1602.2-1602.6 [Reserved]
Subpart
B�Employer Information Report
� 1602.7 Requirement
for filing of report.
� 1602.8 Penalty
for making of willfully false statements on report.
� 1602.9 Commission's
remedy for employer's failure to file report.
� 1602.10 Employer's
exemption from reporting requirements.
� 1602.11 Additional
reporting requirements.
Subpart
C�Recordkeeping by Employers
� 1602.12 Records
to be made or kept.
� 1602.13 Records
as to racial or ethnic identity of employees.
� 1602.14 Preservation
of records made or kept.
Subpart
D�Apprenticeship Information Report
� 1602.15 Requirement
for filing and preserving copy of report.
� 1602.16 Penalty
for making of willfully false statements on report.
� 1602.17 Commission's
remedy for failure to file report.
� 1602.18 Exemption
from reporting requirements.
� 1602.19 Additional
reporting requirements.
Subpart
E�Apprenticeship Recordkeeping
� 1602.20 Records
to be made or kept.
� 1602.21 Preservation
of records made or kept.
Subpart
F�Local Union Equal Employment Opportunity
Report
� 1602.22 Requirements
for filing and preserving copy of report.
� 1602.23 Penalty
for making of willfully false statements on reports.
� 1602.24 Commission's
remedy for failure to file report.
� 1602.25 Exemption
from reporting requirements.
� 1602.26 Additional
reporting requirements.
Subpart
G�Recordkeeping by Labor
Organizations
� 1602.27 Records
to be made or kept.
� 1602.28 Preservation
of records made or kept.
Subpart
H�Records and Inquiries as to Race, Color, National Origin, or
Sex
� 1602.29 Applicability
of State or local law.
Subpart
I�State and Local Governments
Recordkeeping
� 1602.30 Records
to be made or kept.
� 1602.31 Preservation
of records made or kept.
Subpart
J�State and Local Government Information
Report
� 1602.32 Requirement
for filing and preserving copy of report.
� 1602.33 Penalty
for making of willfully false statements on report.
� 1602.34 Commission's
remedy for political jurisdiction's failure to file
report.
� 1602.35 Political
jurisdiction's exemption from reporting requirements.
� 1602.36 Schools
exemption.
� 1602.37 Additional
reporting requirements.
Subpart
K�Records and Inquiries as to Race, Color, National Origin, or
Sex
� 1602.38 Applicability
of State or local law.
Subpart
L�Elementary and Secondary School Systems, Districts, and Individual
Schools Recordkeeping
� 1602.39 Records
to be made or kept.
� 1602.40 Preservation
of records made or kept.
Subpart
M�Elementary-Secondary Staff Information
Report
� 1602.41 Requirement
for filing and preserving copy of report.
� 1602.42 Penalty
for making of willfully false statements on report.
� 1602.43 Commission's
remedy for school systems' or districts' failure to file
report.
� 1602.44 School
systems' or districts' exemption from reporting
requirements.
� 1602.45 Additional
reporting requirements.
Subpart
N�Records and Inquiries as to Race, Color, National Origin, or
Sex
� 1602.46 Applicability
of State or local law.
Subpart
O�Recordkeeping for Institutions of Higher
Education
� 1602.47 Definition.
� 1602.48 Records
to be made or kept.
� 1602.49 Preservation
of records made or kept.
Subpart
P�Higher Education Staff Information Report
EEO�6
� 1602.50 Requirement
for filing and preserving copy of report.
� 1602.51 Penalty
for making of willfully false statements on report.
� 1602.52 Commission's
remedy for failure to file.
� 1602.53 Exemption
from reporting requirements.
� 1602.54 Additional
reporting requirements.
Subpart
Q�Records and Inquiries as to Race, Color, National Origin, or
Sex
� 1602.55 Applicability
of State or local law.
Subpart
R�Investigation of Reporting or Recordkeeping
Violations
� 1602.56 Investigation
of reporting or recordkeeping violations.
Authority: 42 U.S.C. 2000e�8,
2000e�12; 44 U.S.C. 3501 et seq. ; 42 U.S.C.
12117.
Subpart A�General
top
� 1602.1 Purpose and scope.
top
Section 709 of title VII (42 U.S.C. 2000e) and section 107 of the
Americans with Disabilities Act (ADA) (42 U.S.C. 12117) require the
Commission to establish regulations pursuant to which employers, labor
organizations, joint labor-management committees, and employment agencies
subject to those Acts shall make and preserve certain records and shall
furnish specified information to aid in the administration and enforcement
of the Acts.
[56 FR 35755, July 26, 1991]
�� 1602.2-1602.6 [Reserved]
top
Subpart B�Employer Information Report
top
� 1602.7 Requirement for filing of
report.
top
On or before September 30 of each year, every employer that is subject
to title VII of the Civil Rights Act of 1964, as amended, and that has 100
or more employees shall file with the Commission or its delegate executed
copies of Standard Form 100, as revised (otherwise known as �Employer
Information Report EEO�1�) in conformity with the directions set forth in
the form and accompanying instructions. Notwithstanding the provisions of
�1602.14, every such employer shall retain at all times at each reporting
unit, or at company or divisional headquarters, a copy of the most recent
report filed for each such unit 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. Appropriate copies of Standard Form
100 in blank will be supplied to every employer known to the Commission to
be subject to the reporting requirements, but it is the responsibility of
all such employers to obtain necessary supplies of the form from the
Commission or its delegate prior to the filing date.
[37 FR 9219, May 6, 1972, as amended at 56 FR 35755, July 26,
1991]
� 1602.8 Penalty for making of willfully false
statements on report.
top
The making of willfully false statements on Report EEO�1 is a violation
of the United States Code, title 18, section 1001, and is punishable by
fine or imprisonment as set forth therein.
[31 FR 2833, Feb. 17, 1966]
� 1602.9 Commission's remedy for employer's
failure to file report.
top
Any employer failing or refusing to file Report EEO�1 when required to
do so may be compelled to file by order of a U.S. District Court, upon
application of the Commission.
[31 FR 2833, Feb. 17, 1966]
� 1602.10 Employer's exemption from reporting
requirements.
top
If an employer claims that the preparation or filing of the report
would create undue hardship, the employer may apply to the Commission for
an exemption from the requirements set forth in this part, according to
instruction 5. If an employer is engaged in activities for which the
reporting unit criteria described in section 5 of the instructions are not
readily adaptable, special reporting procedures may be required. If an
employer seeks to change the date for filing its Standard Form 100 or
seeks to change the period for which data are reported, an alternative
reporting date or period may be permitted. In such instances, the employer
should so advise the Commission by submitting to the Commission or its
delegate a specific written proposal for an alternative reporting system
prior to the date on which the report is due.
[56 FR 35755, July 26, 1991]
� 1602.11 Additional reporting
requirements.
top
The Commission reserves the right to require reports, other than that
designated as the Employer Information Report EEO�1, about the employment
practices of individual employers or groups of employers whenever, in its
judgment, special or supplemental reports are necessary to accomplish the
purposes of title VII or the ADA. Any system for the requirement of such
reports will be established in accordance with the procedures referred to
in section 709(c) of title VII or section 107 of the ADA and as otherwise
prescribed by law.
[31 FR 2833, Feb. 17, 1966, as amended at 56 FR 35755, July 26,
1991]
Subpart C�Recordkeeping by Employers
top
� 1602.12 Records to be made or kept.
top
The Commission has not adopted any requirement, generally applicable to
employers, that records be made or kept. It reserves the right to impose
recordkeeping requirements upon individual employers or groups of
employers subject to its jurisdiction whenever, in its judgment, such
records (a) are necessary for the effective operation of the EEO�1
reporting system or of any special or supplemental reporting system as
described above; or (b) are further required to accomplish the purposes of
title VII or the ADA. Such record-keeping requirements will be adopted in
accordance with the procedures referred to in section 709(c) of title VII,
or section 107 of the ADA, and otherwise prescribed by law.
(Approved
by the Office of Management and Budget under control number 3046�0040)
[31 FR 2833, Feb. 17, 1966, as amended at 46 FR 63268, Dec. 31, 1981;
56 FR 35755, July 26, 1991]
� 1602.13 Records as to racial or ethnic
identity of employees.
top
Employers may acquire the information necessary for completion of items
5 and 6 of Report EEO�1 either by visual surveys of the work force, or at
their option, by the maintenance of post-employment records as to the
identity of employees where the same is permitted by State law. In the
latter case, however, the Commission recommends the maintenance of a
permanent record as to the racial or ethnic identity of an individual for
purpose of completing the report form only where the employer keeps such
records separately from the employee's basic personnel form or other
records available to those responsible for personnel decisions, e.g., as
part of an automatic data processing system in the payroll department.
[31 FR 2833, Feb. 17, 1966]
� 1602.14 Preservation of records made or
kept.
top
Any personnel or employment record made or kept by an employer
(including but not necessarily limited to requests for reasonable
accommodation, application forms submitted by applicants and other records
having to do with hiring, promotion, demotion, transfer, lay-off or
termination, rates of pay or other terms of compensation, and selection
for training or apprenticeship) shall be preserved by the employer for a
period of one year from the date of the making of the record or 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 a period of one year from the date
of termination. Where a charge of discrimination has been filed, or an
action brought by the Commission or the Attorney General, against an
employer under title VII or the ADA, the respondent employer shall
preserve all personnel records relevant to the charge or action until
final disposition of the charge or the action. The term �personnel records
relevant to the charge,� for example, would include personnel or
employment records relating to the aggrieved person and to all other
employees holding positions similar to that held or sought by the
aggrieved person and application forms or test papers completed by an
unsuccessful applicant and by all other candidates for the same position
as that for which the aggrieved person 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 the aggrieved person may
bring an action in a U.S. District Court or, where an action is brought
against an employer either by the aggrieved person, the Commission, or by
the Attorney General, the date on which such litigation is
terminated.
(Approved by the Office of Management and Budget under
control number 3046�0040)
[37 FR 9219, May 6, 1972, as amended at 46 FR 63268, Dec. 31, 1981; 56
FR 35755, July 26, 1991]
Subpart D�Apprenticeship Information Report
top
� 1602.15 Requirement for filing and preserving
copy of report.
top
On or before September 30, 1967, and annually thereafter, certain joint
labor-management committees subject to title VII of the Civil Rights Act
of 1964 which control apprenticeship programs shall file with the
Commission, or its delegate, executed copies of Apprenticeship Information
Report EEO�2 in conformity with the directions set forth in the form and
accompanying instructions. The committees covered by this regulation are
those which (a) have five or more apprentices enrolled in the program at
any time during August and September of the reporting year, and (b)
represent at least one employer sponsor and at least one labor
organization sponsor which are themselves subject to title VII. Every such
committee shall retain at all times among the records maintained in the
ordinary course of its affairs a copy of the most recent report filed, 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. It is the responsibility of all such committees to obtain from the
Commission or its delegate necessary supplies of the form.
[37 FR 9220, May 6, 1972]
� 1602.16 Penalty for making of willfully false
statements on report.
top
The making of willfully false statements on Report EEO�2 is a violation
of the U.S. Code, title 18, section 1001, and is punishable by fine or
imprisonment as set forth therein.
[32 FR 10650, July 20, 1967]
� 1602.17 Commission's remedy for failure to
file report.
top
Any person failing or refusing to file Report EEO�2 when required to do
so may be compelled to file by order of a U.S. District Court, upon
application of the Commission, under authority of section 709(c) of title
VII.
[37 FR 9220, May 6, 1972]
� 1602.18 Exemption from reporting
requirements.
top
If it is claimed that the preparation or filing of Report EEO�2 would
create undue hardship, the committee may apply to the Commission for an
exemption from the requirements set forth in this part.
[32 FR 10650, July 20, 1967]
� 1602.19 Additional reporting
requirements.
top
The Commission reserves the right to require reports, other than that
designated as Report EEO�2, about apprenticeship procedures of joint
labor-management committees, employers, and labor organizations whenever,
in its judgment, special or supplemental reports are necessary to
accomplish the purpose of title VII or the ADA. Any system for the
requirement of such reports will be established in accordance with the
procedures referred to in section 709(c) of title VII or section 107 of
the ADA and as otherwise prescribed by law.
[32 FR 10650, July 20, 1967, as amended at 56 FR 35755, July 26,
1991]
Subpart E�Apprenticeship Recordkeeping
top
� 1602.20 Records to be made or kept.
top
(a) Every person required to file Report EEO�2 shall make or keep such
records as are necessary for its completion under the conditions and
circumstances set forth in the instructions accompanying the report, which
are specifically incorporated herein by reference and have the same force
and effect as other sections of this part.
(b) Every employer, labor organization, and joint labor-management
committee subject to title VII which controls an apprenticeship program
(regardless of any joint or individual obligation to file a report) shall
beginning August 1, 1967, maintain a list in chronological order
containing the names and addresses of all persons who have applied to
participate in the apprenticeship program, including the dates on which
such applications were received. (See section 709(c), title VII, Civil
Rights Act of 1964.) Such list shall, contain a notation of the sex of the
applicant and of the applicant's identification as �White,� �Black,�
�Hispanic,� �Asian or Pacific Islander� or �American Indian or Alaskan
Native.� The methods of making such identification are set forth in the
instruction accompanying Report EEO�2. The words �applied,� �applicant�
and �application� as used in this section refer to situations involving
actual applications only. An applicant is considered to be a person who
files a formal application, or in some informal way indicates a specific
intention to be considered for admission to the apprenticeship program. A
person who casually appears to make an informal inquiry about the program,
or about apprenticeship in general, is not considered to be an applicant.
The term �apprenticeship program� as used herein refers to programs
described in the instructions accompanying Report EEO�2.
(c) In lieu of maintaining the chronological list referred to in
�1602.20 (b), persons required to compile the list may maintain on file
written applications for participation in the apprenticeship program,
provided that the application form contains a notation of the date the
form was received, the address of the applicant, and a notation of the
sex, and the race, color, or national origin of the applicant as described
above.
[32 FR 10650, July 20, 1967, as amended at 33 FR 282, Jan. 9, 1968; 42
FR 33557, Aug. 10, 1977]
� 1602.21 Preservation of records made or
kept.
top
(a) Notwithstanding the provisions of section 1602.14, every person
subject to �1602.20 (b) or (c) shall preserve the list of applicants or
application forms, as the case may be, for a period of 2 years from the
date the application was received, except that in those instances where an
annual report is required by the Commission calling for statistics as to
the sex, and the race, color, or national origin of apprentices, the
person required to file the report shall preserve the list and forms for a
period of 2 years or the period of a successful applicant's
apprenticeship, whichever is longer. Persons required to file Report
EEO�2, or other reports calling for information about the operation of an
apprenticeship program similar to that required on Report EEO�2, shall
preserve any other record made solely for the purpose of completing such
reports for a period of 1 year from the due date thereof.
(b) Other records: Except to the extent inconsistent with the law or
regulation of any State or local fair employment practices agency, or of
any other Federal or State agency involved in the enforcement of an
antidiscrimination program in apprenticeship, other records relating to
apprenticeship made or kept by a person required to file Report EEO�2,
including but not necessarily limited to requests for reasonable
accommodation, test papers completed by applicants for apprenticeship and
records of interviews with applicants, shall be kept for a period of 2
years from the date of the making of the record. Where a charge of
discrimination has been filed, or an action brought by the Attorney
General under title VII, or the ADA the respondent shall preserve all
records relevant to the charge or action until final disposion of the
charge or the action. The term �records relevant to the charge,� for
example, would include applications, forms or test papers completed by an
unsuccessful applicant and by all other candidates for the same position
as that for which the charging party 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 charging party may bring
an action in a U.S. District Court or, where an action is brought either
by a charging party or by the Attorney General, the date on which such
litigation is terminated.
[32 FR 10660, July 20, 1967, as amended at 56 FR 35755, July 26,
1991]
Subpart F�Local Union Equal Employment Opportunity Report
top
� 1602.22 Requirements for filing and preserving
copy of report.
top
On or before December 31, 1986, and biennially thereafter, every labor
organization subject to title VII of the Civil Rights Act of 1964, as
amended, shall file with the Commission or its delegate an executed copy
of Local Union Report EEO�3 in conformity with the directions set forth in
the form and accompanying instructions, provided that the labor
organization has 100 or more members at any time during the 12 months
preceding the due date of the report, and is a �local union� (as that term
is commonly understood) or an independent or unaffiliated union. Labor
organizations required to report are those which perform, in a specific
jurisdiction, the functions ordinarily performed by a local union, whether
or not they are so designated. Every local union or a labor organization
acting in its behalf, shall retain at all times among the records
maintained in the ordinary course of its affairs a copy of the most recent
report filed, and shall make the same available if requested by an
officer, agent, or employee of the Commission under the authority of
section 709 of title VII. It is the responsibility of all persons required
to file to obtain from the Commission or its delegate necessary supplies
of the form.
(Approved by the Office of Management and Budget under
control number 3046�0006)
[51 FR 11018, Apr. 1, 1986]
� 1602.23 Penalty for making of willfully false
statements on reports.
top
The making of willfully false statements on Report EEO�3 is a violation
of the United States Code, title 18, section 1001, and is punishable by
fine or imprisonment as set forth herein.
[32 FR 10651, July 20, 1967]
� 1602.24 Commission's remedy for failure to
file report.
top
Any person failing or refusing to file Report EEO�3 when required to do
so may be compelled to file by order of a U.S. District Court, upon
application of the Commission, under authority of section 709(c) of title
VII.
[37 FR 9220, May 6, 1972]
� 1602.25 Exemption from reporting
requirements.
top
If it is claimed that the preparation or filing of Report EEO�3 would
create undue hardship, the labor organization may apply to the Commission
for an exemption from the requirements set forth in this part.
[32 FR 10651, July 20, 1967]
� 1602.26 Additional reporting
requirements.
top
The Commission reserves the right to require reports, other than that
designated as Report EEO�3, about the membership or referral practices or
other procedures of labor organizations, whenever, in its judgment,
special or supplemental reports are necessary to accomplish the purposes
of title VII or the ADA. Any system for requirement of such reports will
be established in accordance with the procedures referred to in section
709(c) of title VII or section 107 of the ADA, and as otherwise prescribed
by law.
[32 FR 10651, July 20, 1967, as amended at 56 FR 35755, July 26,
1991]
Subpart G�Recordkeeping by Labor Organizations
top
� 1602.27 Records to be made or kept.
top
Those portions of Report EEO�3 calling for information about union
policies and practices and for the compilation of statistics on the race,
color, national origin, and sex of members, persons referred, and
apprentices, are deemed to be �records� within the meaning of section
709(c), title VII, Civil Rights Act of 1964. Every local, independent, or
unaffiliated union with 100 or more members (or any agent acting in its
behalf, if the agent has responsibility for referral of persons for
employment) shall make these records or such other records as are
necessary for the completion of Report EEO�3 under the circumstances and
conditions set forth in the instructions accompanying it, which are
specifically incorporated herein by reference and have the same force and
effect as other sections of this part.
(Approved by the Office of
Management and Budget under control number 3046�0006)
[32 FR 10651, July 20, 1967, as amended at 46 FR 63268, Dec. 31,
1981]
� 1602.28 Preservation of records made or
kept.
top
(a) All records made by a labor organization or its agent solely for
the purpose of completing Report EEO�3 shall be preserved for a period of
1 year from the due date of the report for which they were compiled. Any
labor organization identified as a �referral union� in the instructions
accompanying Report EEO�3, or agent thereto, shall preserve other
membership or referral records (including applications for same) made or
kept by it for a period of 1 year from the date of the making of the
record. Where a charge of discrimination has been filed, or an action
brought by the Commission or the Attorney General, against a labor
organization under title VII or the ADA, the respondent labor organization
shall preserve all records relevant to the charge or action until final
disposition of the charge or the action. The date of �final disposition of
the charge or the action� means the date of expiration of the statutory
period within which the aggrieved person may bring an action in a U.S.
District Court or, where an action is brought against a labor organization
either by the Commission, the aggrieved person, or by the Attorney
General, the date on which such litigation is terminated.
(b) Nothing herein shall relieve any labor organization covered by
title VII of the obligations set forth in subpart E, ��1602.20 and
1602.21, relating to the establishment and maintenance of a list of
applicants wishing to participate in an apprenticeship program controlled
by it.
(Approved by the Office of Management and Budget under control
number 3046�0040)
[37 FR 9220, May 6, 1972, as amended at 46 FR 63268, Dec. 31, 1981; 56
FR 35755, July 26, 1991]
Subpart H�Records and Inquiries as to Race, Color, National Origin, or
Sex
top
� 1602.29 Applicability of State or local
law.
top
The requirements imposed by the Equal Employment Opportunity Commission
in these regulations, subparts D through G, supersede any provisions of
State or local law which may conflict with them. Any State or local laws
prohibiting inquiries and recordkeeping with respect to race, color,
national origin, or sex do not apply to inquiries required to be made
under these regulations and under the instructions accompanying Reports
EEO�2 and EEO�3.
[32 FR 10652, July 20, 1967]
Subpart I�State and Local Governments Recordkeeping
top
� 1602.30 Records to be made or kept.
top
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 herein by reference
and have the same force and effect as other sections of this
part.1 Such reports and the information therefrom
shall be retained at all times for a period of 3 years at the central
office 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.
1 Note:Instructions were published as an
appendix to the proposed regulations on Mar. 2, 1973 (38 FR
5662).
(Approved by the Office of Management and Budget
under control number 3046�0008)
[38 FR 12604, May 14, 1973, as amended at 39 FR 30832, Aug. 26, 1974;
46 FR 63268, Dec. 31, 1981]
� 1602.31 Preservation of records made or
kept.
top
Any personnel or employment record made or kept by a political
jurisdiction (including but not necessarily limited to requests for
reasonable accommodation 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 for 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 or 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 a 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 or the ADA, 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 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.
(Approved by the Office of Management and Budget under
control number 3046�0040)
[38 FR 12605, May 14, 1973, as amended by 46 FR 63268, Dec. 31, 1981;
56 FR 35756, July 26, 1991]
Subpart J�State and Local Government Information Report
top
Source: 38 FR 12605, May 14, 1973,
unless otherwise noted.
� 1602.32 Requirement for filing and preserving
copy of report.
top
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.
[58 FR 29536, May 21, 1993]
� 1602.33 Penalty for making of willfully false
statements on report.
top
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.
top
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.
top
If it is claimed that the preparation or 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.
top
The recordkeeping and report-filing requirements of subparts I and J of
this part shall not apply to State or 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.
top
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 or
supplemental reports are necessary to accomplish the purposes of title VII
or the ADA. Any system for the requirement of such reports will be
established in accordance with the procedures referred to in section
709(c) of title VII or section 107 of the ADA and as otherwise prescribed
by law.
[38 FR 12605, May 14, 1973, as amended at 56 FR 35756, July 26,
1991]
Subpart K�Records and Inquiries as to Race, Color, National Origin, or
Sex
top
� 1602.38 Applicability of State or local
law.
top
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.
[38 FR 12605, May 14, 1973]
Subpart L�Elementary and Secondary School Systems, Districts, and
Individual Schools Recordkeeping
top
� 1602.39 Records to be made or kept.
top
On or before November 30, 1974, and annually thereafter, every public
elementary and secondary school system or district, including every
individually or separately administered district within a system, with 15
or more employees and every individual school within such system or
district, regardless of the size of the school shall make or keep all
records and information therefrom which are or would be necessary for the
completion of report EEO�5 whether or not it is required to file such a
report under �1602.41. The instructions for completion of report EEO�5 are
specifically incorporated herein by reference and have the same force and
effect as other sections of this part.1 Such records
and the information therefrom shall be retained at all times for a period
of 3 years at the central office of the elementary or secondary school
system or district, or at the individual school which is the subject of
the records and the information therefrom, where more convenient, and
shall be made available if requested by an officer, agent, or employee of
the Commission under section 710 of title VII, as amended. It is the
responsibility of every such school system or district, to obtain from the
Commission or its delegate necessary instructions in order to comply with
the requirements of this section.
1 Note:Instructions were published as an
appendix to the proposed regulations on June 12, 1973 (38 FR
15463).
(Approved by the Office of Management and Budget
under control number 3046�0003)
[38 FR 26719, Sept. 25, 1973, as amended at 39 FR 30832, Aug. 26, 1974;
46 FR 63268, Dec. 31, 1981]
� 1602.40 Preservation of records made or
kept.
top
Any personnel or employment record made or kept by a school system,
district, or individual school (including but not necessarily limited to
requests for reasonable accommodation, 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 for training or apprenticeship) shall be
preserved by such school system, district, or school, as the case may be,
for a period of 2 years from the date of the making of the record or 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 a period of 2 years from the date
of termination. Where a charge of discrimination has been filed, or an
action brought against an elementary or secondary school by the Commission
or the Attorney General, the respondent elementary or secondary school
system, district, or individual school shall preserve similarly at the
central office of the system or district or individual school which is the
subject of the charge or action, where more convenient, all personnel
records relevant to the charge or action until final disposition thereof.
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 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 school system, district, or school either by a person claiming
to be aggrieved, the Commission, or the Attorney General, the date on
which such litigation is terminated.
(Approved by the Office of
Management and Budget under control number 3046�0040)
[38 FR 26719, Sept. 25, 1973, as amended at 46 FR 63268, Dec. 31, 1981;
56 FR 35756, July 26, 1991]
Subpart M�Elementary-Secondary Staff Information Report
top
Source: 38 FR 26719, Sept. 25, 1973,
unless otherwise noted.
� 1602.41 Requirement for filing and preserving
copy of report.
top
On or before November 30, 1982, and biennially thereafter, certain
public elementary and secondary school systems and districts, including
individually or separately administered districts within such systems,
shall file with the Commission or its delegate executed copies of
Elementary-Secondary Staff Information Report EEO�5 in conformity with the
directions set forth in the form and accompanying instructions. The
elementary and secondary school systems and districts covered are:
(a) Every one of those which have 100 or more employees, and
(b) Every one of those others which have 15 or more employees from whom
the Commission requests the filing of reports.
Every such elementary or secondary school system or district shall
retain at all times, for a period of 3 years, a copy of the most recently
filed report EEO�5 at the central office of the school system or district,
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. It is the responsibility of the school systems or
districts above described in this section to obtain from the Commission or
its delegate necessary supplies of the form.
[48 FR 8058, Feb. 25, 1983; as amended at 61 FR 33660, June 28,
1996]
� 1602.42 Penalty for making of willfully false
statements on report.
top
The making of willfully false statements on report EEO�5 is a violation
of the United States Code, title 18, section 1001, and is punishable by
fine or emprisonment as set forth therein.
� 1602.43 Commission's remedy for school
systems' or districts' failure to file report.
top
Any school system or district failing or refusing to file report EEO�5
when required to do so may be compelled to file by order of a U.S.
district court, upon application of the Commission or the Attorney
General.
[61 FR 33660, June 28, 1996]
� 1602.44 School systems' or districts'
exemption from reporting requirements.
top
If it is claimed that the preparation or filing of the report would
create undue hardship, the school system or district 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.
[61 FR 33660, June 28, 1996]
� 1602.45 Additional reporting
requirements.
top
The Commission reserves the right to require reports, other than that
designated as the Elementary-Secondary Information Report EEO�5, about the
employment practices of private or public individual school systems,
districts, or schools, or groups thereof, whenever, in its judgment,
special or supplemental reports are necessary to accomplish the purposes
of title VII or the ADA. Any system for the requirement of such reports
will be established in accordance with the procedures referred to in
section 709(c) of title VII or section 107 of the ADA and as otherwise
prescribed by law.
[38 FR 27619, Sept. 25, 1973, as amended at 56 FR 35756, July 26,
1991]
Subpart N�Records and Inquiries as to Race, Color, National Origin, or
Sex
top
� 1602.46 Applicability of State or local
law.
top
The requirements imposed by the Equal Employment Opportunity Commission
in these regulations, subparts L and M of this part, supersede any
provisions of State or local law which may conflict with them.
[38 FR 26720, Sept. 25, 1973]
Subpart O�Recordkeeping for Institutions of Higher
Education
top
� 1602.47 Definition.
top
Under subparts O and P of this part, the term institution of higher
education means an institutional system, college, university,
community college, junior college, and any other educational institution
which offers an associate degree, baccalaureate degree or higher degree or
which offers a two year program of college level studies without degree.
The term college level studies means a post secondary program which
is wholly or principally creditable toward a baccalaureate degree or
terminates in an associate degree.
[40 FR 25188, June 12, 1975]
� 1602.48 Records to be made or kept.
top
Commencing August 1, 1975, every institution of higher education,
whether public or private, with 15 or more employees, shall make or keep
all records, and information therefrom, which are or would be necessary
for the completion of Higher Education Staff Information Report EEO�6
whether or not it is required to file such a report under �1602.50. The
instructions for completion of Report EEO�6 are specifically incorporated
herein by reference and have the same force and effect as other sections
of this part.1 Such records, and the information
therefrom, shall be retained at all times for a period of three years at
the central administrative office of the institution of higher education,
at the central administrative office of a separate campus or branch, or at
an individual school which is the subject of the records and information,
where more convenient. Such records, and the information therefrom, shall
be made available if requested by the Commission or its representative
under section 710 of title VII and 29 U.S.C. 161. It is the responsibility
of every institution of higher education to obtain from the Commission or
its delegate the necessary instructions in order to comply with the
requirements of this section.
1 Note:Instructions were published as an
appendix to the regulations at 40 FR 25188, June 12,
1975.
(Approved by the Office of Management and Budget
under control number 3046�0009)
[40 FR 25188, June 12, 1975, as amended at 46 FR 63268, Dec. 31,
1981]
� 1602.49 Preservation of records made or
kept.
top
(a) Any personnel or employment record (including but not necessarily
limited to requests for reasonable accommodation, application forms
submitted by applicants and other records having to do with hiring,
promotion, tenure, demotion, transfer, layoff, or termination, rates of
pay or other terms of compensation, and selection for training) made or
kept by an institution of higher education shall be preserved by such
institution of higher education for a period of two years from the date of
the making of the personnel action or record involved, whichever occurs
later. In the case of the involuntary termination of an employee, the
personnel records of the individual terminated shall be kept for a period
of two years from the date of termination. Where a charge of
discrimination has been filed, or a civil action brought against an
institution of higher education by the Commission or the Attorney General,
the respondent shall preserve similarly at the central administrative
office of the institution of higher education, at the central office of a
separate campus or branch, or at the individual school which is the
subject of the charge or action, where more convenient, all personnel
records relevant to the charge or action until final disposition thereof.
The term �personnel records 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; it would also
include application forms or test papers completed by an unsuccessful
applicant and by all other candidates for the same position as that 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 the United States District Court, or,
where an action is brought against an institution of higher education by a
person claiming to be aggrieved, the Commission, or the Attorney General,
the date on which such litigation is terminated.
(b) The requirements of paragraph (a) of this section shall not apply
to application forms and other preemployment records of non-student
applicants for positions known to non-student applicants to be of a
temporary or seasonal nature.
(Approved by the Office of Management and
Budget under control number 3046�0040)
[40 FR 25188, June 12, 1975, as amended at 46 FR 63268, Dec. 31, 1981;
56 FR 35756, July 26, 1991]
Subpart P�Higher Education Staff Information Report EEO�6
top
Source: 40 FR 25189, June 12, 1975,
unless otherwise noted.
� 1602.50 Requirement for filing and preserving
copy of report.
top
On or before November 30, 1975, and biennially thereafter, every public
and private institution of higher education having fifteen (15) or more
employees shall file with the Commission or its delegate executed copies
of Higher Education Staff Information Report EEO�6 in conformity with the
directions set forth in the form and accompanying instructions. Every
institution of higher education shall retain at all times, for a period of
three years a copy of the most recently filed Report EEO�6 at its central
administrative office, at the central office of a separate campus or
branch, or at an individual school which is the subject of the report,
where more convenient. An institution of higher education shall make the
same available if requested by the Commission or is representative under
the authority of section 710 of the Act and 29 U.S.C. 161. It is the
responsibility of the institutions above described in this section to
obtain from the Commission or its delegate necessary supplies of the
form.
� 1602.51 Penalty for making of willfully false
statements on report.
top
The making of willfully false statements on Report EEO�6 is a violation
of the United States Code, title 18, section 1001, and is punishable by
fine or imprisonment as set forth therein.
� 1602.52 Commission's remedy for failure to
file.
top
Any institution of higher education failing or refusing to keep
records, in accordance with �1602.48 or �1602.49 of subpart O of this
part, or failing or refusing to file Report EEO�6 when required to do so,
in accordance with �1602.50 of this part, may be compelled to keep records
or to file by order of a United States District Court upon application of
the Commission, or the Attorney General in a case involving a public
institution.
� 1602.53 Exemption from reporting
requirements.
top
If it is claimed that the preparation or filing of the report would
create undue hardship, the institution of higher education may apply to
the Commission for an exemption from the requirements set forth in
subparts O and P of this part by submitting to the Commission or its
delegate a specific proposal for an alternative reporting system no later
than 45 days prior to the date on which the report must be filed.
� 1602.54 Additional reporting
requirements.
top
The Commission reserves the right to require reports, other than that
designated as the Higher Education Staff Information Report EEO�6, about
the employment practices of private or public institutions of higher
education whenever, in its judgment, special or supplemental reports are
necessary to accomplish the purposes of title VII or the ADA. Any system
for the requirement of such reports will be established in accordance with
the procedures referred to in section 709(c) of title VII or section 107
of the ADA and as otherwise prescribed by law.
[40 FR 25189, June 12, 1975, as amended at 56 FR 35756, July 26,
1991]
Subpart Q�Records and Inquiries as to Race, Color, National Origin, or
Sex
top
� 1602.55 Applicability of State or local
law.
top
The requirements imposed by the Equal Employment Opportunity Commission
in these regulations, subparts O, P, and Q of this part, supersede any
provisions of State or local law which may conflict with them.
[40 FR 25189, June 12, 1975]
Subpart R�Investigation of Reporting or Recordkeeping
Violations
top
� 1602.56 Investigation of reporting or
recordkeeping violations.
top
When it has received an allegation, or has reason to believe, that a
person has not complied with the reporting or recordkeeping requirements
of this part or of part 1607 of this chapter, the Commission may conduct
an investigation of the alleged failure to comply.
[56 FR 35756, July 26, 1991]
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