Non-revised EEO-3 Instructions

Approved by OMB
No. 3046-0006
Expires: 12/30/06

UNION REPORTING PROGRAM

EQUAL EMPLOYMENT OPPORTUNITY COMMISSION WASHINGTON, D.C. 20507
EEOC FORM 274, LOCAL UNION REPORT (EEO-3)

REFERRAL LOCAL UNIONS ONLY

INSTRUCTIONS FOR FILING AND RECORDKEEPING REQUIREMENTS
These instructions were written to assist in the preparation of Local Union Report (EEO-3). Submit the original
and one copy no later than December 31 to the address in the enclosed memorandum.
1. WHO MUST FILE REPORT EEO-3
Local Union Report (EEO-3). This report must be
completed in full and filed by or on behalf of all
referral local unions subject to Title VII of the
Civil Rights Act of 1964, as amended, which have
had 100 or more members at any time since
December 31 of the preceding year. (See Section
1602.22 of the regulations in Section 8 of these
instructions, and Section 701 (d) of the Title VII for
a more exact definition of “labor organization.”)
“Referral Union" is a term which describes
unions under whose normal methods of operation
individuals customarily and regularly seek or gain
employment through the union, or an agent of the
union.

For the purposes of this report, a local union will
be considered to be a Referral Union only if it:
(a) Operates a hiring hall or hiring office (on its
own behalf or through a joint council or other
referral agent), or
(b) Has an arrangement under which one or more
employers are required to consider or hire persons
referred by the union or its agent, or
(c) Has 10 percent or more of its members
employed by employers which customarily and
regularly look to the union, or any agent of the
union, for employees to be hired on a casual or
temporary basis, for a specified period of time, or
for the duration of a specified job.
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July 1 and September 1, or October 15 and
December 15.

The union will not be considered a Referral Union
where there are only occasional referrals to an
employer who relies on sources other than the
union, or an agent of the union, for a substantial
portion of all hires. Thus, the fact that a union
representative in an industrial plant occasionally
recommends persons for a job at the employer’s
request would not in itself result in the classification
of that union as a Referral Union.
Only those local referral unions located in the 50
States and the District of Columbia, excluding
Hawaii, should be reported. No reports should be
filed for local unions in Puerto Rico, the Virgin
Islands, and other American protectorates.
However, reports are required for union members
regularly employed within the 50 States and the
District of Columbia, except Hawaii, by foreignowned companies.

4. METHODS OF OBTAINING
INFORMATION AS TO RACE/ETHNIC
IDENTIFICATION
There are four methods of obtaining the necessary
information as to the race/ethnic identification of
individuals required to be listed in the tables in
Items 1 and 2 of Schedule I: As noted in Section 8
of these instructions, the existence of State or Local
laws prohibiting inquiries and recordkeeping as to
race, etc., of individuals is not an acceptable excuse
for failure to report the information called for in
these tables. It is recognized that exact identification
of race, color, or national origin of an individual is
not always possible. A good faith effort is
acceptable.
(a) Existing Record - Where there is already a
record of the race/ethnic designation of the persons
involved, that record should be used.
(b) Visual Survey - A visual survey, or “head
count” may be used for identifying individuals by
race/ethnic category and sex. An individual may be
included in the race/ethnic group to which he/she
appears to belong or considers himself/herself to
belong. A visual survey is usually the simplest way
to gather information about race/ethnic designation
where persons are gathered in one place.
Where it is impractical to conduct a visual survey,
the reporting union may use the other method
described below.
(c) Making a Tally From Personal Knowledge One or more officers or members of the union may
examine membership, referral, or apprenticeship
records of any kind and make a tally of each person
by race/ethnic category and sex using personal
knowledge and acquaintanceship with the person
listed on membership or other rolls.
(d) Self-Identification - The Commission is aware
of the high degree of sensitivity of many persons
when asked to identify themselves. Therefore,
gathering information as to the race/ethnic
identification of an individual by direct inquiry is
not encouraged. However, in those instances where,
because of the conditions under which the union

2. REQUESTS FOR SPECIAL REPORTING
PROCEDURES
A local union which claims that preparation or
the filing of Report EEO-3 would create undue
hardship may apply to the Commission for a special
reporting procedure. In such cases, the respondent
must submit in writing an alternative proposal for
compiling and reporting information to:
The EEO-3 Coordinator, Union Reporting
Program, EEOC Program Research and Surveys
Staff, 1801 L Street, NW, Washington, DC
20507.
3. SURVEY REPORTING PERIOD:
DEFINITION OF "2-MONTH PERIOD"
The original and one copy of this biennial report
must be filed with the Equal Employment
Opportunity Commission no later than December
31. The “2-month period” required to report
certain information in Schedule I may be any
consecutive period of 2 months beginning no earlier
than August 1 and ending no later than November
30. For example, the referral union may gather the
information between September 1 and October 31,
or August 15 and October 15, But NOT between
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Black (Not of Hispanic origin) - Persons having
origins in any of the black racial groups of Africa.
Hispanic - Persons of Mexican, Puerto Rican,
Cuban, Central or South American, or other Spanish
culture or origin, regardless of race.
Asian or Pacific Islander - Persons having origin
in any of any of the original peoples of the Far East,
Southeast Asian, the Indian Subcontinent, or the
Pacific Islands. This area includes, for example,
China, India, Japan, Korea, the Philippine Islands,
and Samoa.
American Indian or Alaskan Native – Persons
having origins in any of the original peoples of
North America, and who maintain cultural
identification through tribal affiliations or
community recognition.

operates, all other methods prove impractical and
burdensome (as for example, where union members
or apprentices are working at widely scattered
sites), the union may adopt a method of selfidentification or some other method of direct
inquiry. SELF-IDENTIFICATION PROCEDURES
ARE AUTHORIZED ONLY UNDER THE
FOLLOWING CONDITIONS.
(1) It shall be made clear on any written form or in
any oral or other method of inquiry that:
(a) The identification is made in compliance with
regulations issued by the Equal Employment
Opportunity Commission under Title VII of the
Civil Rights Act of 1964, as amended; and
(b) The answer will be kept confidential, and will
not be used for any purpose other than filing this
report.
(2) The person signing the report states by
signature in Part E of the report that the persons
asked to identify themselves were told the purpose
of the question and advised of the confidential
nature of their answers.
A written inquiry, if used, might be in the form of
a postcard or other circular, returnable to the union,
on which card the individual is asked to identify
himself or herself by name and as a member of the
race/ethnic groups listed in Section 5 below.
Replies returned anonymously are not
acceptable.

6. ESTIMATE OF BURDEN
Public reporting burden of this collection of
information is estimated to average one and one half
(1.5) 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:

5. RACE/ETHNIC CATEGORIES
The EEOC Clearance Office / Office of
Financial and Resource Management /
Room 2928
1801 L Street NW, Washington, D.C.
20507

Race/ethnic designation as used by the Equal
Employment Opportunity Commission does not
denote scientific definitions of anthropological
origins. For the purpose 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
should be counted in more than one race/ethnic
group.
White (Not of Hispanic origin) - Persons having
origins in any of the original peoples of Europe,
North Africa or the Middle East.

AND
Paperwork Reduction Project (3046-0006)
Office of Management and Budget
Washington, D.C. 20503
The full text of the new OMB regulation may be
found at 5 CFR, Part 1320, or Federal Register, Vol.
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(b) Item 1 - Method of Identification:
Check the applicable boxes to indicate how
race/ethnic group identification was made in
completing Item 2.
(c) Item 2 - Statistics:
All entries are for Total Both Sexes, and by sex and
race/ethnic group.
---Membership in Referral Unit.
Enter in Item 2a(1) the members in the referral
unit. Enter in Item 2a(2) the number of applicants
for membership during the preceding year.
---Referrals During 2-Month Period
The 2-Month period referred to may be selected
from any time between August 1 and November 30
of the survey year, such as September 1 to October
31 for example.
For each column:
Enter in Item 2b(1) the number of individual
persons referred to a job during the 2-Month period.
Enter in Item 2b(2) the number of referrals the
persons in Item 2b(1) were sent out during the 2month period. If a member is sent out (referred)
more than one time during the 2-month period, the
total number of these referrals must be included in
this item.
Enter in Item 2b(3) the number of persons who
were applicants for referral during the 2-month
period.
(d) Item 3 - Period Used For Referral Date:
Enter the actual dates of the 2-month period used to
prepare your records.

60, No. 167, Tuesday, August 29, 1995, page
44978.
7. SCHEDULE I
If the local union answered “Yes” to Part C, Item
1 and “Yes” to any one of three questions in Part C,
Item 2, of the report, it must complete EEO-3
Schedule I.
(a) Item 1 and 2 - Method of identification and
Statistics: The schedule requires information by
race/ethnic group and by sex, for: (a) union
members; and (b) persons referred for jobs. It also
asks information about applicants for membership
and applicants for referral. It is recognized that
under a variety of referral arrangements in existence
throughout the United States, as in the case where
referral for employment is requested or made by
telephone, it may be difficult for the referral union
to compile the data requested on individuals.
However, even in such circumstances, this is not to
be considered to be impossible; and within the
particular framework of its own operation, the
referral union will be expected to establish and
maintain a recordkeeping system that will enable it
to report, for the 2-month period, the information
called for in Item 2b. In many instances, a daily
tally of the race/ethnic identification and sex of
persons referred will be sufficient. In other cases,
individual records may be made through selfidentification procedures as suggested in Section 4
of these instructions.

8. LEGAL BASIS FOR REPORTING AND
RECORDKEEPING

Where referral of persons is handled by an
agent of the local union, or under a joint
arrangement
with
other
local
unions
(representing the same or different crafts or
trades), it is the responsibility of the reporting
union to see to it that the agent compiles the
information necessary for Item 2. The definition
of a labor organization in Title VII of the Civil
Rights Act makes it clear that “agents" of a local
union are covered by the law and therefore are
equally subject to the reporting and
recordkeeping regulations adopted under it.

a. Section 709(c), Title VII, Civil Rights Act of
1964, as amended.
Every employer, employment agency, and labor
organization subject to this title shall (1) make and
keep such records relevant to the determination 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
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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 purposes of this title,
including, but not limited to, a list of applicants who
wish to participate in such program, including the
chronological order in which applicants were
received, and to furnish to the Commission upon
request, a detailed description of the manner in
which persons were 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 for 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,
governmental agency, or political subdivision, have
jurisdiction to issue to such person an order
requiring him to comply.

§ 1602.22 Requirement for filing and preserving
copy of report.
On or before December 31, 1986, and biennially
thereafter, every labor organization subject to Tit1e
VII of the Civil Rights Act of 1964, as amended,
shall file with the Commission or it 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 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 710 of Title VII. It is the responsibility of
all persons required to file to obtain from the
Commission or it delegate necessary supplies of the
form.
[50 FR 31196, August 1, 1985]
§ 1602.23 Penalty for making of willfully false
statements on reports.
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.

b. Chapter XIV, Title 29, Code of Federal
Regulations.

§ 1602.24 Commission’s remedy for failure to
file report.

Source: 32 FR 10651, July 20, 1967, unless
otherwise noted.

Any person failing or refusing to file Report EEO3 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.
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(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501
et seq))

[37 FR 9220, May 6, 1972]
§ 1602.25 Exemption from reporting
requirements.

[32 FR 10651, July 20, 1967, as amended at 46 FR
63268, Dec. 31, 1981]

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 requirement set forth in this
part.

§ 1602.28 Preservation of records made or kept.
(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 one 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 6 months from the date of the making of
the record. Where a charge of discrimination has
been flied, or an action brought by the Commission
or Attorney General, against a labor organization
under Title VII, 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
of 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 obligation
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.

§ 1602.26 Additional reporting requirements.
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.
Any system for requirement of such reports will be
established in accordance with the procedures
referred to in section 709(c), and as otherwise
prescribed by law.
§ 1602.27 Records to be made or kept.
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, Civi1 Rights Act of 1964. Every local,
independent, or unaffiliated union with 100 or more
members (or an 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 others of this part.

(Approved by the Office of Management and
Budget under control number 3046-0006)
Pub. L. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et
seq)

[(Approved by the Office of Management and
Budget under control number 3046-0006)]
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[37 FR 9220, May 6, 1972, as amended at 46 FR
63268, Dec. 31, 1981]
§ 1602.29 Applicability of State or Local law.
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]

EEO-3 BK(REV.4/OO) Previous editions are
obsolete
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