Elementary-Secondary Staff Information (EEO-5)

Approved by OM B No. 3046-0003

School Reporting Committee (EEO-S)
Equal Employment Opportunity Commission
Office for Civil Rights (ED)
U.S. Department of Justice

EQUAL EMPLOYMENT OPPORTUNITY
WASHINGTON, D.C. 20507

COMMISSION

EEOC FORM 168A, ELEMENTARY-SECONDARY STAFF INFORMATION (EEO-5)
INSTRUCTIONS FOR FILING AND RECORDKEEPING REQUIREMENTS
(Definitions of Terms and Categories are Located in the Appendix)
2. WHEN TO FILE

Federal law authorizes the Equal Employment
Opportunity Commission (EEOC) and the Office for
Civil Rights (OCR) of the U.S. Department of
Education (ED) to prescribe such records and reports
as are necessary for the enforcement of the Civil
Rights Act of 1964, as amended. Accordingly this
report is required by the OCRJED to ensure
compliance with Title VI of the Act and is required
by EEOC under Section 709(c) of Title VII. Every
employer subject to this Title shall keep such records
and submit such reports as required by the EEOC.
This compliance reporting system is being
implemented as a joint effort between EEOC and
OCRJED for the collection of employment data of
public elementary and secondary school systems or
districts.
The applicable laws and regulations
promulgated pursuant to such laws by EEOC and the
OCRJED are reprinted in Section 4 of the Appendix.

Employment statistics must cover the payroll period
closest to October 1 of the reporting year and the
report must be filed no later than November 30.
3. WHERE TO FILE

The completed report should be forwarded to the
address indicated on the form or in the cover letter.
EEO-5 reports can also be filed electronically by
going to EEOC's On-line System for the EEO-5 at
https:llegov.eeoc.gov/ee05.
4. HOW THE FORMS WILL BE DISTRIBUTED

Forms will be distributed by EEOC using two
methods: (1) direct mail to the school system or
district, and (2) indirect mail to the school system or
district through the State Education Agency. The
indirect mail method is a special reporting procedure.
This method will only be used in those states in
which the State Education Agency agrees to the
special procedures set forth by EEOC for such
transmittals.
The school system or district will retain the ultimate
responsibility for its completed EEO-5 report. EEOC
will inform the school system or district if it is in an
indirect mail state. The reports from indirect mail
states may be certified within the system or district at
the state level if prepared by the state.

1. RECORDKEEPING AND FILING REQUIREMENTS

Every public elementary and secondary school
system or district-including every individually- or
separately-administered district, with 15 or more
employees within a system; and every individual
school, regardless of its size, within such system or
district-is required to make or keep all records
necessary for completing and filing the report EEO-5,
whether or not it is required to file the report in any
particular year.
Biennially, in the even numbered years, EEOC will
determine which of these systems, districts, and
schools will be required to file report EEO-5, and
will notify them of that fact.
A report must be filed covering the employment
data of all the administrative and other functions of
the system or district and the combined employment
data of all the schools and annexes within the system
or district, regardless of the employment size of
individual schools or annexes.

5. REQUIREMENTS FOR INFORMATION AND SPECIAL
PROCEDURES

A school system or district that believes that
preparation or the filing of report EEO-5 would
create an undue hardship may apply to EEOC for
leave to use a special reporting procedure, submitting
a written, alternate proposal for preparing or
reporting the required information.
Computer
printouts and diskettes are special reporting

1

procedures. See Section 11 for general guidelines to
be used in their preparation.
On.ly those special reporting procedures approved in
wntmg by EEOC are authorized. Such authorization
will remain in effect until written notification of
cancellation is given by either party.
Direct all requests for special reporting procedures
to:
The EEO-5 Coordinator, EEOC Program
Research and Surveys Division, 131 M St., NE,
Washington, D.C. 20507. No other address is valid
for these requests.

PART II - STAFF STATISTICS
This part of the report will reflect, for the given
payroll period, the number of employees who are
full-t~me, part-time and full-time new hires by
activIty aSSIgnment classification as shown in the
stub of the matrix. The total for each activity
assignment classification should be reported in
colunm A. The totals must be further tabulated by
sex for each of the designated race/ethnicity
categories in columns B thl"Ough K. Be sure to give
the actual date of payroll used for your report.

6. INSTRUCTIONS FOR FILING EEO·5

A. TYPE OF REPORT

A. Full-Time Staff (See Section 2 of Appendix for
definitions of assignment classifications)

EEOC Form 168A is the aggregate report for the
entire school system or district. The report for the
school system or district must provide sunm1ary data
for all personnel employed by the school system or
district either full-time or part-time, regardless of the
location of the person's assignment to a school or
other unit of the school system or district. Full-time
personnel must be reported in Part II-A of the report;
part-time personnel are to be reported in Part II-B. It
is important to note that if a person is employed on a
full-time basis by the school system or district but
assigned to one or more schools on a part-time basis
in each, that person must be reported as a full-time
employee on EEOC Form 168A.

Lines 1-19 should include all full-time employees,
except for elected and certain appointed officials (as
explained in the definition of "Employee" in section
1 of the Appendix). Include in these statistics all fulltime employees of the system or district whether or
not they are assigned part-time to one or more
schools. With the exceptions of persons required to
be reported on line 9, Psychological, report
employees having multiple activity assignments, such
as teacher-counselor or similar combinations as is
frequently the case in guidance, library, audiovisual,
etc., as full-time in the assignment in which they
spend at least 51 percent of the time. If the employee
spends exactly 50 percent of the time in one of two
assignments, report him or her as full-time in the
more critical one. If the time is distributed between
more than two assignments, report the employee as
full-time in the one in which he or she spends the
major portion of the time or in the more critical one if
the time is evenly distributed.

B. DATA TO BE REPORTED

PART I - IDENTIFICATION INFORMATION
A. Type of Agency Which Operates the Reporting
School System or District.
Check the agency which operates the reporting unit
(School System or District) and which has the
responsibility or ultimate authority for the
employment or dismissal of a member or members of
the staff.

B. Part-Time Staff
Lines 20 through 22 should include statistics for all
part-time employees.

B. School System Identification

C. Full Time New Hires

This section may be omitted if the address
information on the preprinted label is correct. If the
preprinted address is incorrect, please provide the
correct mailing address in this section.

Lines 23-28 should include the number of full-time
new employees who appear on the payroll for the
first time between July 1 and October 1 of the survey
year, for each of the assignment classifications listed.
Use the definition of full-time shown in the Appendix
for reporting new hires in school systems and
districts. Do not report as a new hire an employee
who has been on sabbatical or any other type of leave
which is not considered a break in service, nor should
anyone involved in a change in job category or
promotion be reported as a new hire.

C. General Statistics/SchoolInformation
General Statistics (EEOC Form 168A)
Enter the total number of schools and separate
teaching facilities or annexes operated by the school
system or district. Also enter the total emollment as
of October I of the current year or the nearest date
when em-ollment is stabilized.

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New hires must also be counted in part A, FullTime Staff.

11. SUBMISSION OF COMPUTER PRINTOUTS AND
DISKETTES

7. PRESERVATION OF RECORDS MADE OR KEPT

Computer printouts and diskettes may be submitted
in lieu of the standard EEO-S survey form as a
special reporting procedure. A school district or
system or State Education Agency must have written
approval of its printout or diskette format before the
printout is submitted in fulfillment of EEO-S filing
requirements. The following guidelines must be
adhered to:
a. The print format designed by EEOC must be
used. A copy of the format may be obtained
from the following address:
The EEO-S Coordinator
EEOC-Program Research and Surveys Division
131 M Street, N.E.
Washington, D.C. 20S07
Test output must also be mailed to this address
b. Each printed report must be individually
signed or signature stamped as if it were a
standard survey form.
c. The original and one copy of the printed
report must be filed.
d. The school district or system must keep one
copy of its report on file as required by
Chapter XIV, Title 29, Code of Federal
Regulations, Section 1602 AI.
Print formats other than those approved by EEOC
will not be accepted.

The EEO-S report requires the combining of some
Separate employment data by sex and
data.
race/etlUlicity identification in those job categories
should be maintained on site in such manner as is
required in the EEO-S report, and should be available
upon request to representatives of Federal Agencies.
Copies of the submitted EEO-S report must be
retained for a period of 3 years.
8. CERTIFICATION

Certification of EEOC Form 168A should be made
by a school official. Documents in support of the
certification should be maintained at the central
office.
Enter the telephone number (include area code and
extension, if any), email, name, title, and signature of
the school district official who is responsible for the
report and can answer questions about it. The EEOC
General Counsel has approved rubber stamp
signature reproductions as legally valid for the EEOS survey forms. If your district uses a rubber stamp,
please be sure to stamp all copies before returning
them to EEOC.
9. PUBLICATION OF EEO-5 DATA

12. ESTIMATE OF BURDEN

The two organizations that sponsor EEO-S operate
under different legislative authorities and have
different plans for publication.
Within these limitations, both organizations may
publish or otherwise make available statistics
combining school systems
into
geographic
aggregates, such as States, regions, etc.
As restricted by Section 709( e) of the Civil Rights
Act of 1964, the EEOC will not publish any data
other than such aggregates.
The Office for Civil Rights may, as in some of its
previous surveys, publish privacy-protected data by
school system or district.
10. REQUEST
BOOKLET

FOR

FORMS AND

Public reporting burden for this collection of
information is estimated to average two and a half
(2.S) 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 the collection of information,
including suggestions for reducing this burden to:
The EEOC Clearance Officer
Office of Research, Information
Planning
131 M Street, N.E. Room 4SW30F
Washington, D.C. 20S07

INSTRUCTION

Copies of EEOC Form 168A and the Instruction
Booklet may be ordered from EEOC at the address
printed in the cover letter, from the designated State
Liaison
Officer,
or
obtained
at
https:llegov.eeoc.gov/eeoS.

and

Unless the collection displays a currently valid OMB
control number, respondents are not required to fin
out this form.

3

The full text of the 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.

h.

APPENDIX

i.

1. DEFINITIONS

a.

EEOC refers to the Equal Employment
Opportunity Commission established under
Title VII of the Civil Rights Act of 1964,
as amended.
b. Employee refers to a person employed by a
school system or district. This term shall
not include any person elected to public
office in a State or political subdivision of
a State by the qualified voters thereof, or
any person appointed by such officer to be
on such officer's personal staff, or an
appointee at the policy-making level, or an
immediate adviser with respect to the
exercise of the constitutional or legal
However, this
powers of the office.
exemption shall not include employees
subject to the civil service laws of a State
government, government agency, or
political subdivision.
c. Full-time employees refers to persons
employed on a full-time basis during the
pay period. These are the staff members
who work for the school system or district
for the whole day everyday (excluding
temporary and substitute employees).
d. New hires refers to persons who were
hired for the first time or after a break in
service for full-time employment by the
particular school system and who appear
on the district payroll for the first time
between July 1 and October 1.
e. OCR refers to the Office for Civil Rights,
U.S. Department of Education.
f. Part-time employees refers to persons
employed during this pay period who are
usually engaged for less than the regular
full-time work week.
Do not include
temporary or substitute employees.
g. School refers to a division of the school
system or district consisting of a group of
pupils in one or more grade groups
organized as a unit with one or more
teachers to give instruction of a defined
type and housed in a school plant of one or
more buildings.

2.

School system or district refers to the
political jurisdiction, or a dependent agency
of a political jurisdiction charged with the
responsibility for the operation of
elementary and/or secondary schools
within given geographic boundaries.
State Educational Agency refers to an
agency of a State government that has
some
functional
or
jurisdictional
relationship to the operations of the school
systems or districts within the State.

ASSIGNMENT CLASSIFICATION
through 28 of Part II of the form)

a.

(Lines

Line 1 - Officials, Administrators and
Managers:
These are occupations
requiring administrative personnel who
set broad policies (not elected or
appointed officials), exercise overall
responsibility for execution of these
policies, or direct individual departments
or special phases of the school system, or
district or school operations. Include in
this category superintendent of schools,
deputy,
associate,
and
assistant
superintendent of schools, school business
officials, directors and administrators of
district-wide
programs,
and
other
professional administrative staff. (Do not
include principals, assistant principals or
Nonsupervisors of instruction).
professional supervisors of service
workers, skilled crafts and laborers should
be
reported
(counted)
in
their
corresponding categories.
b.
Line 2 - Principals: Staff members
performing the assigned activities of the
administrative head of their respective
schools (not school systems or districts) to
whom has been delegated responsibility
for the coordination and direction of the
activities of the school.
c.
Lines 3 and 4 - Assistant Principals:
(1) Teaching:
Staff members who in
addition to assisting the head of a school
(normally the principal) in performing the
activities of directing and managing schools
are also engaged in instructing pupils in
courses in classroom situations.
(2) Non-Teaching: Assignment of staff
members to perform only the professional
activities of assisting the head of a school
(normally the principal) in performing the
activities of directing and managing a
school.

4

d. Lines 5, 6 and 7 - Classroom Teachers:
Staff members assigned the professional
activities of instructing pupils in courses in
classroom situations for which daily pupil
attendance figures for the school system are
kept. Include in this category music, band,
physical education, and home economics
teachers, etc., as classroom teachers if they
teach full-time at a school campus. Report
classroom teachers separately for elementary,
secondary or other. Use the local school
system's definition of elementary and
secondary. If a teacher has responsibility at
both the elementary and secondary levels,
report the teacher at one level only. DO NOT
report the teacher at both the elementary and
"Other Classroom
secondary levels.
Teachers" applies to full-time classroom
teachers who teach ungraded classes, special
education, art, music, band, physical
education, home economics, etc., who have
not been reported in the elementary or
secondary classroom teacher categories.
e.
Line 8 - Guidance:
Include staff
members responsible for advising pupils with
regard to their abilities and aptitudes,
educational and occupational opportunities,
personal and social adjustments, etc.
f. Line 9 - Psychological: Include only the
following
individuals:
psychologists,
psychometrics,
psychiatrists
and
psychological/social workers who are engaged
in providing psychological-evaluative services
to pupils .for placement purposes regardless of
the amount of time spent in this activity. All
other professionals engaged in placement of
pupils should be reported in their most
pertinent category in Part II - A such as item 1
(Officials/Administrators/Managers), item 8
(Guidance) or item 12 (Other Professional
Staff), etc.
g. Line 10 - Librarians and Audio-Visual:
Librarians include staff members responsible
for organizing and managing school libraries.
Audio-visual personnel include staff members
responsible for preparing, caring for, and
making available to instructional programs,
the equipment, materials, scripts, and other
aids which assist teaching and learning
tlu'ough special appeal to the senses of sight
and hearing, e.g., a director of audiovisual
services, scriptwriter; etc.
h. Line 11 - Consultants and Supervisors of
Instruction:
Include staff members
performing activities of leadership, guidance,
and expertise in the field of specialization for

the purpose of improving the performance of
teachers and other instructional staff members.
1.
Line 12 - Other Professional Staff:
Include staff members performing some
instructional or related function on a full-time
basis who CatUlot be properly classified for
reporting on lines 2 through I 1, such as nonclassroom teachers who may be teaching the
home-bound,
teaching
tlu'ough
correspondence, teaching through radio or
television from a studio, providing instruction
for exceptional pupils released from regular
classes for short periods of time, and
instructing pupils in non-course (cocurricular)
actIVItIes.
Include persons engaged in
psychotherapy and other mental health
services such as psychiatrists or psychologists
who are not reported in Part II-A, item 9 (See
paragraph f. above).
Also included are
professional noninstructional staff
(not
officials/administrators,
etc.)
such
as
physicians, dentists, speech therapists, school
social
workers,
community
workers,
attendance officers, attorneys, architects,
engineers, registered professional nurses and
other professional noninstructional persolllel.
j. Line 13 - Teacher Aide: A staff member
performing assigned activities which are not
classified as professional educational, but
which assist a staff member to perform
professional-educational-teaching
assignments. Include all persollnel working
with students under the direct supervision of a
classroom teacher or under the direct
supervision of a staff member performing
professional-educational-teaching assignments
Oil a regularly scheduled basis.
In other
words, aides who participate on a regularly
scheduled basis in the formal education effort
directed toward the student and/or whose
impressions of student educational progress or
needs may contribute to the formal authorized
educational evaluation of students should be
classified as Teacher Aides.
Examples:
(1)
Librarian aide
(a) A librarian aide who functions to
fulfill particular educational needs of
specific students on a regularly
scheduled basis should be reported as a
Teacher Aide.
(b) A librarian aide who functions
essentially as a clerical or physical
aide to the librarians and whose
contact with particular students is

5

casual or irregular should be counted
on line 10 - Librarian and Audio
Visual.
Playground aide
(2)
(a) A playground aide who has been
advised by the professional staff of
the particular educational needs of
specific children and who regularly
directs efforts toward meeting these
needs should be counted as a Teacher
Aide.
(b) A playground aide whose prime
function is custodial should be
counted as a Service Worker - line
16.
k. Line 14 - Technicians: Occupations
requiring a combination of knowledge and
manual skill which can be obtained through
about 2 years of post-high school
education, such as is offered in many
technical institutes and junior colleges, or
through equivalent, on-the-job training.
Includes:
computer programmers and
operators, film inspectors, projectionists,
graphic artists, drafters, engineering aides,
non-teaching -related mathematical aides,
licensed, practical or vocational nurses,
dietitians, photographers, radio operators,
scientific assistants, technical illustrators,
technicians (medical, dental, electronic,
physical sciences), and similar occupations
which cannot be properly classified in other
activity assignments.
I. Line 15 - Clerical/Secretarial: Those
are occupations requmng skills and
training in all clerical-type work including
activities such as preparing, transcribing,
systematizing, or preserving written
communications, and reports or operating
sLlch
mechanical
equipment
as
bookkeeping machines, typewriters and
tabulating machines. Include bookkeepers,
messengers, office machine operators, clerk
-typists, stenographers, statistical clerks,
payroll clerks and kindred workers.
m. Line 16
Service Workers
(paraprofessionals and persons in cafeteria
maintenance, transportation, etc.): Staff
members performing a service for which
there are no formal qualifications including
paraprofessionals
and
nonsupervisory
personnel in cafeteria, or transportation
work. Include also custodial workers or
others with the responsibility for cleaning
the buildings of school plants or supporting
service
facilities;
maintenance
and

operating such equipment as heating and
ventilating systems; preserving the security
of school property; and keeping the school
plant safe for occupancy and use. Such
activates may include cleaning, sweeping,
disinfecting, heating, lighting, moving
furniture,
keeping
school
entrances
appropriately locked or unlocked, keeping
such facilities as fire escapes and panic
bars in working order, and guard duties.
n. Line 17 - Skilled Crafts: Occupations
in which workers perform jobs which
require special manual skill and a thorough
and comprehensive knowledge of the
processes involved in the work which is
acquired through on-the-job training and
experience or through apprenticeship or
other formal training programs. Includes:
mechanics and repairers, electricians,
heavy equipment operators, stationary
engineers, skilled machining occupations,
carpenters, compositors and typesetters and
kindred workers.
o. Line 18 - Laborers: Staff members
who perform manual labor not classified in
another activity assignment classification.
Include garage laborers, car washers and
greasers, gardeners and groundskeepers or
activities such as lifting, digging, mixing,
loading and pulling operations.
p. Line 20 - Professional Instructional:
This classification (required under B. PartTime-Staff) should include all the activity
assignment
classifications
listed
in
numbers 2 tlu'ough 12 under A. Full-Time
Staff in Part II of the form.
q. Line 26 - Other Professional Staff:
This classification (required under C. New
Hires) should include ail activity
111
assignment
classifications
listed
numbers 8 tlu·ough 12 under A. Full-Time
Staff in Part II of the form.

3.

RACE/ETHNICITY IDENTIFICATION

As to the method of collecting data, the basic
principles for ethnic and racial self-identification for
purposes of the EEO-5 report are:
(1) Offer employees the opportunity to self-identify.
Self-identification is the preferred method of

6

identifying the race and ethnic information necessary
for the EEO-5 report. Employers are required to
attempt to allow employees to use self-identification
to complete the EEO-5 report.

Native Hawaiian 01" Other Pacific Islander (Not
Hispanic or Latino) - A person having origins in any
of the peoples of Hawaii, Guam, Samoa, or other
Pacific Islands.
American Indian or Alaska Native (Not Hispanic
or Latino) - A person having origins in any of the
original peoples of North and South America
(including Central America), and who maintain tribal
affiliation or conm1Unity attachment.
Two or More Races (Not Hispanic or Latino) Persons who identify with two or more racial
categories named above.

(2) Provide a statement about the voluntary nature of
this inquiry for employees. For example, language
such as the following may be used (employers may
adapt this language):
"The employer is subject to certain governmental
recordkeeping and reporting requirements for the
administration of civil rights laws and
regulations. In order to comply with these laws,
the employer invites employees to voluntarily
self-identify their race or ethnicity. Submission
of this information is voluntary and refusal to
provide it will not subject you to any adverse
treatment. The information obtained will be kept
confidential and may only be used in accordance
with the provisions of applicable laws, executive
orders, and regulations, including those that
require the information to be smID11arized and
reported to the federal government for civil
rights enforcement. When reported, data will not
identify any specific individual."

Instructions for assigning employees into the
race/ethnicity categories:
Hispanic or Latino - Include all employees who
answer YES to the question, Are you Hispanic or
Latino. Report all Hispanic males in Column A and
Hispanic females in Column B.
White (Not Hispanic or Latino) - Include all
employees who identify as White males in Colunm
C and as White females in Colunml.
Black or African American (Not Hispanic or
Latino) - Include all employees who identify as
Black males in Colunm D and as Black females in
Column J.
Asian (Not Hispanic or Latino) - Include all
employees who identify as Asian males in CoIUlID1 E
and as Asian females in Column K
Native Hawaiian or Other Pacinc Islander (Not
Hispanic or Latino) - Include all employees who
identify as Native Hawaiian or Other Pacific Islander
males in Colunm F and as Native Hawaiian or Other
Pacific Islander females in Colunm L.

(3) If an employee declines to self-identify,
employment records or observer identification may
be used.
Where records are maintained, it is recOlIDnended
that they be kept separately from the employees'
basic personnel file or other records available to
those responsible for persOimel decisions.
Race/Ethnicity designations as used by EEOC do
not denote scientific definitions of anthropological
origins.
Definitions of the race and ethnicity
categories are as follows:
Hispanic or Latino - A person of Cuban, Mexican,
Puerto Rican, South or Central American, or other
Spanish culture or origin regardless of race.
White (Not of Hispanic origin) - All persons having
origins in any of the original peoples of Europe,
North Africa or the Middle East.
Black or African American (Not Hispanic or
Latino) - A person having origins in any of the black
racial groups of Africa.
Asian (Not Hispanic or Latino) - A person having
origins in any of the original peoples of the Far East,
Southeast Asia, or the Indian Subcontinent,
including, for example, Cambodia, China, India,
Japan, Korea, Malaysia, Pakistan, the Philippine
Islands, Thailand, and Vietnam.

American Indian or Alaska Native (Not Hispanic
or Latino) - Include all employees who identify as
American Indian or Alaska Native males in Colunm
G and as American Indian or Alaska Native females
inColunmM.
Two or More Races (Not Hispanic or Latino)Report all male employees who identify with more
than one of the above five races in Column H and all
female employees who identify with more than one
of the above five races in Colul1m N.

7

4. LEGAL BASIS FOR REPORTING REQUIREMENTS;
RECORDKEEPING REGULATIONS

responsibility of every such school system or district,
to obtain from the Conmlission or its delegate
necessary instructions in order to comply with the
requirements of this section.

Equal Employment Opportunity Commission

§ 1602.40 Preservation of records made or kept.

a. Section 709(c), Title VII, Civil Rights Act of
1964 (as amended).

(a) Any personnel or employment record made or
kept by a school system, district, or individual school
(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 payor 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 fue
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 tennination.
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 clailning to be aggrieved, the
COl1IDlission, or 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 pre-employment
records of applicants for positions known to
applicants to be of a temporary or seasonal nature.

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 there from,
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 there under.
b.
Chapter XIV, Title 29, Code of Federal
Regulations
Subpart L - Public Elementary and Secondary
School Systems, Districts, and lndividual Schools
Recordkeeping
§ 1602.39 Records to be made or kept.
On or before November 30, 1974 and ammally
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 there from 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. I
Such records and the
information there from 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 there from, where more
convenient, and shall be made available if requested
by an officer, agent, or employee of the COllunission
under section 710 of Title VII, as amended. It is the

I Note.-Instructions were published as an appendix to
the proposed regulations on June 12, 1973 (38 F.R.
15463).

Subpart M - Elementary Information Report

8

Secondary Staff

compelled to file by order of a U.S. district court,
upon application of the Commission the Attorney
General.

Sec.
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.
1062.44 School systems' or districts' exemption from
reporting requirements.
1602.45 Additional reporting requirements.

§ 1602.44 School systems' or districts' exemption
from reporting requirements.
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.

AUTHORITY - Sec. 709(c), 78 Stat.265, 42 U.S.c.
sec. 200e-S (c); 29 CPR 1602.3

§ 1602.45 Additional reporting requirements.
The Commission reserves the right to require
reports, other than designated as the ElementarySecondary 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
purpose 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 Title
VII and as otherwise prescribed by law.

§ 1602.41 Requirement for filing and preserving
copy of report.
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 COlmnission 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) everyone of
those which have 100 or more employees, and (b)
everyone of those others which have 15 or more
employees from whom the Conmlission requests the
filing ofreports. 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.

Subpart N - Records and Inquiries as to Race,
Color, National Origin, or Sex

§ 1602.46 Applicability of State or local law.
The requirements imposed by the Equal
Employment Opportunity Conunission in these
regulations, subparts Land M of this part, supersede
any provisions of State or local law which may
conflict with them.

Office for Civil Rights, U.S. Department of
Education

§ 1602.42 Penalty for making of willfully false
statements on report.

a. Section 203(c), Department of Education
Organization Act of 1979 (codified at Section
3413(c) of Title 20, United States Code).

The making of willfully false statements on report
EEO-5 is a violation of the United States Code, title
IS, section 1001, and is punishable by fine or
imprisonment as set forth therein.

In addition to the authority otherwise provided
under this section, the Assistant Secretary for Civil
Rights, in carrying out the provisions of this section,
is authorized (1) to collect or coordinate the collection of data
necessary to ensure compliance with civil rights laws
within the jurisdiction of the Office for Civil Rights;
(2) to select, appoint, and employ such officers and
employees, including staff attorneys, as may be

§ 1602.43 Commission's remedy for school
systems' or districts' failure to file report.
Any school system or district failing or refusing to
file report EEO-5 when required to do so may be

9

necessary to carry out the functions of such Office,
subject to the provisions of title 5 governing
appointments in the competitive service and the
provisions of chapter 51 and subchapter III of chapter
53 of such title relating to classification and General
Schedule pay rates;
(3) to enter into contracts and other arrangements for
audits, studies, analyses, and other services with
public agencies and with private organizations and
persons, and to make such payments as may be
necessary to carry out the compliance and
enforcement functions of such Office; and
(4) notwithstanding any other provision of this
chapter, to obtain services as authorized by section
3109 of title 5 at a rate not to exceed the equivalent
daily rate payable for grade GS-18 of the General
Schedule under section 5332 of such title.

person shall fail or refuse to furnish this information
the recipient shall so certify in its report and shall set
forth what efforts it has made to obtain the
information. Asserted considerations of privacy or
confidentiality may not operate to bar the Department
from evaluating or seeking to enforce compliance
with this part. Information of a confidential nature
obtained in connection with compliance evaluation or
enforcement shall not be disclosed except where
necessary in formal enforcement proceedings or
where otherwise required by law.
(d) information to beneficiaries and participants.
Each recipient shall make available to participants,
beneficiaries, and other interested persons such
information regarding the provisions of this
regulation and its applicability to the program for
which the recipient receives Federal financial
assistance, and make such information available to
them in such manner, as the responsible Department
official finds necessary to apprise such persons of the
protections against discrimination assured them by
the Act and this regulation.
(Secs. 601, 602, Civil Rights Act of 1964; 78 Stat.
252; 42 US.c. 2000d, 2000d-l)

b. Title 34, Code of Federal Regulations

§ 100.6 Compliance information.
(a) Cooperation and assistance. The responsible
Department official shall to the fullest extent
practicable seek the cooperation of recipients in
obtaining compliance with this part and shall provide
assistance and guidance to recipients to help them
comply voluntarily with this part.
(b) Compliance reports. Each recipient shall keep
such records and submit to the responsible
Department official or his designee timely, complete
and accurate compliance reports at such times, and in
such form and containing such information, as the
responsible Department official or his designee may
determine to be necessary to enable him to ascertain
whether the recipient has complied or is complying
with this part. For example, recipients should have
available for the Department racial and ethnic data
showing the extent to which members of minority
groups are beneficiaries of and participants in
federally-assisted programs. In the case of any
program under which a primary recipient extends
Federal financial assistance to any other recipient,
such other recipient shall also submit such
compliance reports to the primary recipient as may be
necessary to enable the primary recipient to carry out
its obligations under this part.
Each
(c)
Access to sources of information.
recipient shall permit access by the responsible
Department official or his designee during normal
business hours to such of its books, records, accounts,
and other sources of information, and its facilities as
may be pertinent to ascertain compliance with this
part. Where any information required of a recipient
is in the exclusive possession of any other agency,
institution or person and this agency, institution or

c. Title 34, Code of Federal Regulations
§ 106.71 Procedures.
The procedural provisions applicable to title VI of
the Civil Rights Act of 1964 are hereby adopted and
incorporated herein by reference. These procedures
may be found at 34 CFR 100.6-100.11 and 34 CFR
Part 101.
(Secs. 901,902, Education Amendments of 1972, 88
Stat. 373, 374; 20 US.c. 1681,1682)

EEO-5 BK
Previous editions are obsolete.

10