EEO4Instructions

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No. 3046 -0008
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EQUAL EMPLOYMENT
OPPORTUNITY COMMISSION
WASHINGTON, D.C.
S tate and Local Reporting Committee
131M Street, NE
Washington, D .C. 2 0 5 0 7

EEOC FORM 164, STATE AND LOCAL GOVERNMENT INFORMATION (EEO-4)
INSTRUCTION BOOKLET
[Please Read This Booklet before Completing Enclosed Report]

Under Public Law 88-352, Title VII of
the Civil Rights Act of 1964, as amended by
the Equal Employment Opportunity Act of
1972, all State and local governments that
have 15 or more employees are required to
keep records and to make such reports to the
Equal Employment Opportunity Commission
as are specified in the regulations of the
Commission. The applicable provisions of the
law, Section 709(c) of Title VII, and the
regulations issued by the Commission are
printed in full in the Appendix (4) of these
instructions. School systems and educational
institutions are covered by other employment
surveys and are excluded from EEO-4.
In the interests of consistency,

uniformity and economy, State and Local
Government Report EEO-4 is being utilized
by Federal government agencies that have
responsibilities with respect to equal
employment opportunity. A joint State and
Local Reporting Committee, with which this
report must be filed, represents those various
Federal agencies. In addition, this report
should bring about uniformity in State and
local government recordkeeping and reporting
and should serve as a valuable tool for use by
the political jurisdiction in evaluating their
own internal programs for ensuring equal
employment opportunity.
As stated above, the filing of Report
EEO-4 is required by law; it is not voluntary.

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(2) In addition to (1), file a separate report for
each function which has 100 or more
employees.

Under Section 709 (c) of Title VII, the
Attorney General of the United Stated may
compel a jurisdiction to file this report by
obtaining an order from a United States
District Court.

(3) Check each box in section C which
represents a function performed by the
jurisdiction.

1. WHO MUST FILE
Beginning with the 1993 survey year
and biennially (every odd-numbered year)
thereafter, those who must file this report
include: (1) all States; and (2) all other
political jurisdictions which have 100 or
more employees.

(4) Include a list of any agencies not included
in the report that should have been included
with the complete address for those agencies.

2. WHO MUST KEEP RECORDS

File one form for each function listed
on page 1 of the form (if that function is
performed), for a maximum of 15 forms.
Jurisdictions should report only persons on the
jurisdiction’s payroll.

B.
MORE THAN 999 FULL-TIME
EMPLOYEES

Every political jurisdiction with 15 or
more employees must make and keep records
and statistics which would be necessary for
the completion of Report EEO-4, as set forth
in these instructions. Records must be kept
for a period of 3years. See regulations
1602.30 and 1602.31 in the Appendix(4).
Although the EEO-4 report requires
the combining of agency data to complete the
report, separate data for each agency must be
maintained either by the agency itself or by the
office responsible for preparing the EEO-4
report, and should be available upon request to
representatives of Federal agencies.

In those jurisdictions where all data
are available at a single location, forms may
be completed by the central office. Where
data are not available centrally, figures should
be obtained by the central office from all
agencies and aggregated onto the proper form
by functions.
If you file forms for more than one
function, a Summary Sheet will be included
with your forms. On the Summary Sheet you
are requested to check those functions for
which you are submitting completed reports;
functions for which you are not reporting; and
functions for which you will be reporting at a
later date. This will facilitate our own
recordkeeping, and minimize unnecessary
follow-up
correspondence.
Full-time
employment must also be reported on the
Summary Sheet.
The Summary Sheet provides for one
certification statement as to the accuracy and
completeness of the entire report from the

3. HOW TO FILE
State and local governments must file
EEO-4 reports according to the number of
full-time employees on the payroll as follows:
A. FEWER THAN 1,000 FULL-TIME
EMPLOYEES
(1) File one (1) report which includes all
employees in functions performed with fewer
than 100 employees.
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jurisdiction. If such certification can be and is
made by one official, a separate signature on
every form will not be required.
The fact that a branch or agency of a
government has separately elected officials, or
is autonomous or semi-autonomous in its
operations does not affect the legal status of
the jurisdiction, nor the requirement that
EEO-4 covers the entire jurisdiction. To
the extent feasible, the report should cover
all branches of the government. In any cases
where that is not feasible, and data are not
available to the central office of the
government, a list of agencies and addresses
not included should accompany the report.

the payroll period which includes June 30 of
the survey year. New hires data is for the
entire fiscal year which ends on June 30th.

Where interstate, intercounty, etc.,
boards, agencies, commissions, or other type
special district governments exist, ONE
FORM should be submitted by the
headquarters of the special district.
In conclusion, the submitted report
must contain the following, submitted in one
(1) package:

An employer who claims that
preparation or the filing of Report EEO-4
would create undue hardships may apply to
the Commission for a special reporting
procedure. In such cases, the employer must
submit in writing a proposal for compiling and
reporting information to:

(1)

One (1) SUMMARY SHEET
(SUMMARY IS NOT REQUIRED
FOR A FILER WITH ONLY ONE
FUNCTION).

(2)

The original and one (1) copy of up to
15 reports based on the number of
functions performed.
A list of agencies not included in the
report but which should have been
included in the report, with the
complete address for any agency
listed.

(3)

4.

5.

WHERE TO FILE

The original and one (1) copy of the
completed reports (in duplicate) should be
forwarded to the address indicated on the
EEO-4 form.
All requests for additional
information and report forms should also be
directed to that address.
6.

SPECIAL REPORTING
PROCEDURES

The EEO-4 Coordinator
EEOC-Surveys
131M Street NE
Washington, D.C. 20507
Only those special procedures
approved in writing by the Commission are
authorized. Such authorizations remain in
effect until notification of cancellation is
given or EEOC publishes a change to the
survey form.
A computer printout, magnetic tape or
diskette is also a special reporting procedure.
Only the report formats for those media
which are designed and approved by EEOC
will be accepted. A copy of those formats
with an explanatory memorandum may be
acquired from the EEO-4 Coordinator at the
above
address.

WHEN TO FILE

This biennial report must be filed with
the Equal Employment Opportunity
Commission no later than the date printed in
the accompanying cover letter. Full-time and
part-time employment figures should cover
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confidentiality provisions of Section 709(e) of
Title VII, and may not be made public by
EEOC prior to the institution of any
proceeding under Title VII.
However,
aggregate data may be made public in a
manner so as not to reveal any particular
jurisdiction’s statistics. Barring prohibitive
State or local legislation, a political
jurisdiction may make its EEO-4 Report
public at any time.

7.
ELECTEDAND APPOINTED
OFFICIALS
Section 701(f) of the Equal
Employment Opportunity Act of 1972
contains an exemption for elected and certain
appointed officials that is set forth in the
definition of "employee” in Appendix (1).
Based on the legislative history of Section 701
(f), the General Counsel of the Commission
has ruled that this exemption was intended by
the Congress to be construed narrowly. This
ruling concluded that only the following
persons would be included in the exemption:
(1)
State and local elected
officials.
(2)
Such official’s immediate
secretary,
administrative,
legislative or other immediate
or first-line aide.
(3)
Such official’s legal advisor.
(4)
Appointed cabinet officials in
the case of a Governor, or
heads o f e x e c u t i v e
departments in the case of a
mayor or County Council. No
other persons appointed by an
elected official are exempt
under this interpretation. In no
case is any person exempt who
is appointed by an appointed
official, whether or not the
latter is exempt. Furthermore,
as specified in Section 701 (f),
the exemption does not
include employees subject to
the civil service laws of a State
government, governmental
agency or p o l i t i c a l
subdivision.
8.

9.

ESTIMATE OF BURDEN

Public reporting burden for this
collection of information is estimated to be
(7.16 hours per response, including the time
for reviewing instructions, searching existing
data sources, gathering and maintaining the
data needed and completing and reviewing
the collection of information. A response is
defined as one survey form. Send comments
regarding this burden estimate or any other
aspect of this collection of information,
including suggestions for reducing this
burden to:
The EEOC Clearance Officer
Office of Research, Information and
Planning
131 M Street, N. E.
Room 4Sw30F
Washington, D.C. 20507
PLEASE DO NOT SEND YOUR
COMPLETED REPORT TO THE ABOVE
ADDRESS.
Unless the collection displays a
currently valid Office of Management and
Budget (OMB) control number, respondents
are not required to fill out this form.

CONFIDENTIALITY

All reports and information from
individual reports are subject to the

The full text of the OMB regulations
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may be found at 5 CFR Part 1320, or Federal
Register, vol. 60, no. 167, Tuesday, August
29, 1995, page 44978.

Where the political jurisdiction is
unable to separate data, the agency should be
reported under the function that represents its
dominant activity.
For example, if a
transportation department includes among
other functions streets and highways, and
two-thirds of the employees of the
department are engaged in street and highway
activities, those employees should be
separated out and reported separately if
feasible. If not, the entire department should
be reported separately in function 2, Streets
and Highways. On page 4 of each function
report, list the departments or agencies
included in this function.
For instance,
Function 1 might include: Office of the Tax
Collector, Office of the Mayor, Office of the
District Attorney, etc.

INSTRUCTIONS ON HOW TO
PREPARE INFORMATION REPORTS
Definitions of Terms and Categories are
Located in the Appendix
SECTION A - TYPE OF GOVERNMENT
Check one box indicating type of
government.
SECTION B-IDENTIFICATION
Indicate the name and central mailing
address of the governmental jurisdiction if
different from address label in top margin.

SECTION D- EMPLOYMENT DATA
AS OF JUNE 30

SECTION C-FUNCTION
For purposes of this report, a person is an
employee of a political jurisdiction if he or she
is on the payroll of that jurisdiction, regardless
of the source of the funds by which the person
is paid.
1.
FULL-TIME EMPLOYEES

A jurisdiction with fewer than 1,000
full-time employees should report all
jurisdiction employees on its form unless it
is filing a report for a function which has
100 or more employees. Indicate in Section
C of the form which functions are
performed by your jurisdiction. On page 4 of
the form, list the departments or agencies
included on the form by activity function.
Jurisdictions with more than 999 fulltime employees should use a separate form for
each function for which you are reporting
in accordance with the instructions provided
in part 3 of this booklet.
The data should be aggregated for all
agencies performing in a particular function.
This also applies to unspecified functions
which are to be combined in one report for
Function15, "Other”. State education
agencies, both agencies covering elementary
and secondary schools and those covering
education, should be included in Function 15.

(For detailed explanation of job
categories
and
race
and
ethnicity
identification, see Appendix.)
Employment data should include total
full-time employment except those elected and
appointed officials specified in Section 7
above of these instructions. Where employees
receive separate salaries or payments from two
or more jurisdictions, but work full-time for
one jurisdiction, they should be counted as
full-time employees by that jurisdiction and to
the extent possible their annual salary should
reflect their total earnings from all
jurisdictions from which they are paid. Also,
where a person is a full-time employee of a
jurisdiction, but is employed in more than one
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employees not included in a full-time matrix,
except those specifically exempted (see Section
7, Elected and Appointed Officials.)
Where employees are working part-time for
different jurisdictions, and are on separate
payrolls of different jurisdictions, they should
be reported as part-time employees of the
separate jurisdictions.
Persons on the
payroll of the jurisdiction for a specified
temporary appointment, such as a public
employment program, should be included in
this category.

function, he or she should be reported for the
function which accounts for most of the
worktime. Trainees should be counted in
appropriate columns by job, salary, race and
ethnicity group, and sex. Every employee
must be accounted for in one and only one
of the categories. Definitions are included
in the Appendix (2).
a. Race and Ethnicity/Sex Data- 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 B. In columns A
through N, report employment for the
categories indicated. The line totals for
columns A through N are entered in Column
O.
b.
Occupational Date- Employment
data should be reported by annual salary
within job category. Report each employee
in only one job/salary category. In order to
simplify and standardize the method of
reporting, all jobs are considered as
belonging in one of the broad occupations
shown in the table. To assist you in
determining how to place your jobs within
the occupational groups, a description of
job categories with examples follows in the
Appendix (3). The list of examples is in
no way exhaustive.
*Total Lines- Report total employment for
this matrix, as well as row totals.
c. Annual Salary- Where employees
are paid on an other than annual basis,
their regular earnings in the payroll period
which includes June 30 should be expanded
and expressed in terms of an annual income.
All special increments of an employee’s
annual earnings which are regular and
recurrent should be included. Overtime pay
should not be included.

*Total Lines- Report total employment for
this matrix, as well as row totals.
3. NEW HIRES DURING FISCAL YEAR (A
FISCAL YEAR COVERS THE PERIOD JULY
1-JUNE 30)
Include those employees who were
hired during the fiscal year into permanent
full-time positions whether or not they
terminated employment prior to the end of the
fiscal year. New Hires are included in Section
D-1 if they were full-time employees at the
end of the fiscal year. Total Lines-Report
total employment for this matrix, as well as
row totals.
REMARKS
Include in this section: (1) the list of
your government agencies included in this
report, and (2) any remarks, explanations, or
other pertinent information regarding this
report.
NOTE: List here the National crime
Information Center (NCIC) numbers assigned
by the U.S. Department of Justice to any
criminal justice agencies whose data are
included.

2. OTHER THAN FULL-TIME EMPLOYEES
Employment data should include all
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d. Other Than Full-time Employees Persons employed during this pay period on
a part-time basis. Include those daily or
hourly employees usually engaged for less
than the regular full-time work week,
temporaries working on a seasonal basis
(whether part-time or full time) or hired for
the duration of a particular job or operation,
including public employment programs, and
intermittents.
e. "New Hires During Fiscal Year - Persons
both with and without previous experience
and transfers who were hired for the first
time in this jurisdiction or rehired after a
break in service for permanent full-time
employment.

CERTIFICATION
Each form must be certified and signed
by an official responsible for the information,
unless a Summary Sheet has been certified
and signed and submitted with the completed
forms.
APPENDIX
1.

DEFINITIONS APPLICABLE
TO ALL EMPLOYERS

a.
Commission
refers to the Equal
Employment Opportunity Commission
established under Title VII of the Civil Rights
Act of 1964.

2.
b. Employee means an individual employed
by a political jurisdiction, who is on the payroll
of that jurisdiction, regardless of the source of
the funds by which the worker is paid. The
following is an exception to the definition,
subject to the interpretation in Section 7 above
these instructions. The term "employee” shall
not include any person elected to public office
in any State or political subdivision of any state
by the qualified voters thereof, or any person
chosen by such officer to be on such officer’s
personal staff, or an appointee on the policy
making level or an immediate adviser with
respect to the exercise of the constitutional or
legal powers of the office. The exception set
forth in the preceding sentence shall not
include employees subject to the civil service
laws of a State government, governmental
agency or political subdivision.
c. Full-time Employees -Persons employed
during this pay period to work the number of
hours per week that represent regular fulltime employment (excluding temporaries and
intermittents).

RACE AND ETHNICITY
IDENTIFICATION

An employer may acquire the race and
ethnicity information necessary for this
section either by visual surveys of the work
force, or from post-employment records as to
the identity of employees.
Since visual
surveys are permitted, the fact that race and
ethnicity identifications are not present on
agency records is not an excuse for failure to
provide the data called for. However, although
the Commission does not encourage direct
inquiry as a method of determining racial or
ethnic identity, this method is not prohibited
in cases where it has been used in the past, or
where other methods are not practical,
provided it is not used for purposes of
discrimination.
Moreover, the fact that employees may
be located at different addresses does not
provide an acceptable reason for failure to
comply with the reporting requirements. In
such cases, it is recommended that visual
surveys be conducted for the employer by
persons such as supervisors who are
responsible for the work of the employees or
to whom the employees report for
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instruction or otherwise.
Please note that the General Counsel
of the Commission has ruled, on the basis of
court decisions, that the Commission has the
authority to require the racial and ethnic
identification of employees, regardless of any
possible conflicting state or local laws.
The concept of race as used by the
Equal Employment Opportunity Commission
does not denote clear cut scientific definitions
of anthropological origins. For the purposes
of this report, an employee may be included in
the group to which he or she appears to
belong, identifies with, or is regarded in the
community as belonging. However, no person
may be counted in more than one race and
ethnicity category.
NOTE: The category "HISPANIC”,
while not a race identification, is included as
a separate race and ethnicity category because
of the employment discrimination often
encountered by this group; for this reason do
not include HISPANIC under either “white”
or “black”.
For the purposes of the report, the
following race and ethnicity categories will be
used:

Subcontinent, including, for example,
Cambodia, China, India, Japan, Korea,
Malaysia, Pakistan, the Philippine Islands,
Thailand, and Vietnam.

Hispanic or Latino - A person of Cuban,
Mexican, Puerto Rican, South or Central
American, or other Spanish culture or origin
regardless of race.

Black or African American (Non Hispanic
or Latino) - Include all employees who
identify as Black or African American males
in Column D and as Black or African
American females in Column J.

White (Non Hispanic or Latino) – All
persons having origins in any of the original
peoples of Europe, North Africa or the
Middle East.

Asian (Non Hispanic or Latino) - Include
all employees who identify as Asian males in
Column E and as Asian females in Column
K.

Native Hawaiian or Other Pacific Islander
(Non 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 (Non
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 community attachment.
Two or More Races (Non Hispanic or
Latino) - Persons who identify with two or
more racial categories named above.
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 or
Latino males in Column A and Hispanic or
Latino females in Column B
White (Non Hispanic or Latino) - Include
all employees who identify as White males in
Column C and as White females in Column I.

Native Hawaiian or Other Pacific
Islander (Non Hispanic or Latino) - Include
all employees who identify as Native
Hawaiian or Other Pacific Islander males in
Column F and as Native Hawaiian or Other
Pacific Islander females in Column L.

Black or African American (Non Hispanic
or Latino) - A person having origins in any
of the black racial groups of Africa.
Asian (Non Hispanic or Latino) - A person
having origins in any of the original peoples
of the Far East, Southeast Asia, or the Indian

American Indian or Alaska Native (Non
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Hispanic or Latino) - Include all employees
who identify as American Indian or Alaska
Native males in Column G and as American
Indian or Alaska Native females in Column
M.

lieutenants, librarians, management analysts,
airplane pilots and navigators, surveyors and
mapping scientists, and kindred workers.
c.
Technicians: Occupations
which require a combination of basic
scientific or technical knowledge and manual
skill which can be obtained through
specialized post-secondary school education
or through equivalent on-the-job training.
Includes: computer programmers, drafters,
survey and mapping technicians, licensed
practical nurses, photographers, radio
operators, technical illustrators, highway
technicians, technicians (medical, dental,
electronic, physical sciences), police and fire
ser geants , inspectors (production or
processing inspectors, testers and weighers),
and kindred workers.
d.
Protective Service Workers:
Occupations in which workers are entrusted
with public safety, security and protection
from destructive forces. Includes: police patrol
officers firefighters, guards, deputy sheriffs,
bailiffs, correctional
officers, detectives,
marshals, harbor patrol officers, game and fish
wardens, park rangers (except maintenance),
and kindred workers.
e.
Paraprofessionals: Occupations in
which workers perform some of the duties of a
professional or technician in a supportive
role, which usually require less formal training
and/or experience normally required for
professional or technical status. Such positions
may fall within an identified pattern of staff
development and promotion under a New
Careers c o n c e p t . Included: research
assistants, medical aides, child support
workers, policy auxiliary welfare service aides,
recreation assistants, homemakers aides, home
health aides, library assistants and clerks,
ambulance drivers and attendants, and kindred
workers.
f. Administrative Support (Including
Clerical and Sales): Occupations in which
workers are responsible for internal and

Two or More Races (Non 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 Column N.
3.

D E S C R I P T I O N OF JOB
CATEGORIES

a.
Officials and Administrators:
Occupations in which employees set broad
policies, exercise overall responsibility
for execution of these policies, direct
individual departments or special phases of
the agency’s operations, or provide
specialized consultation on a regional, district
or area basis. Includes: department heads,
bureau c h i e f s , d i v i s i o n chiefs, directors,
deputy directors, controllers, wardens,
superintendents, sheriffs, police and fire
chiefs and inspectors, examiners (bank,
hearing, motor vehicle, warehouse), inspectors
(construction, building, safety, rent-andhousing, fire, A.B.C. Board, license, dairy,
livestock, transportation), assessors, tax
appraisers and investigators, coroners, farm
managers, and kindred workers.
b.
Professionals: Occupations which
require specialized and theoretical knowledge
which is usually acquired through college
training or through work experience and other
training which provides comparable
knowledge. Includes: personnel and labor
relations workers, social workers, doctors,
psychologists, registered nurses, economists,
dietitians, lawyers, systems analysts,
accountants, engineers, employment and
vocational rehabilitation counselors, teachers
or instructors, police and fire captains and
9

external communication, recording and
retrieval of data and/or information and other
paperwork required in an office. Includes:
bookkeepers, messengers, clerk-typists,
stenographers, court transcribers, hearing
reporters, statistical clerks, dispatchers,
license distributors, payroll clerks, office
machine and computer operators, telephone
operators, legal assistants, sales workers,
cashiers, toll collectors, and kindred
workers.
g. Skilled Craft Workers: Occupations in
which workers perform jobs which require
special manual skill and a thorough and
comprehensive knowledge of the process
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, power plant operators, water and
sewage treatment plant operators, and kindred
workers.
h. Service-Maintenance: Occupations in
which workers perform duties which result in
or contribute to the comfort, convenience,
hygiene or safety of the general public or
which contribute to the upkeep and care of
buildings, facilities or grounds of public
property. Workers in this group may operate
machinery. Includes: chauffeurs, laundry and
dry cleaning operatives, truck drivers, bus
drivers, garage laborers, custodial employees,
gardeners and groundskeepers, refuse
collectors, construction laborers, park rangers
(maintenance), farm workers (except
managers), craft apprentices/trainees/helpers,
and kindred workers.
4.

(As Amended by the Equal
Employment Opportunity Act of 1972)
Execution, retention, and preservation of
records; reports to Commission; training
program records; appropriate relief from
regulation or order for undue hardship;
procedure for exemption; judicial action to
compel compliance
Every employer, employment agency,
and labor organization subject to this
subchapter shall (1) make and keep such
records relevant to the determinations of
whether unlawful employment practices have
been or are being committed, (2) preserve
such records for such periods, and (3) make
such reports therefrom as the Commission
shall prescribe by regulation or order, after
public hearing, as reasonable, necessary, or
appropriate for the enforcement of this
subchapter or the regulations or orders
thereunder. The Commission shall, by
regulation, require each employer, labor
organization, and joint labor-management
committee subject to this subchapter which
controls an apprenticeship or other training
program to maintain such records as are
reasonably necessary to carry out the
purposes of this subchapter, including, but
not limited to, a list of applicants who wish to
participate in such program, including the
chronological order in which applications
were received, and to furnish to the
Commission upon request, a detailed
description of the manner in which persons
are selected to participate in the
apprenticeship or other training program.
Any employer, employment agency, labor
organization, or joint labor-management
committee which believes that the application
to it of any regulation or order issued under
this section would result in undue hardship
may apply to the Commission for an
exemption from the application of such

LEGAL BASIS FOR REQUIREMENTS

Section 709 (c), Title VII, Civil Rights Act of
1964
10

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.

regulation or order, and, if such application
for an exemption is denied, bring a civil
action in the United States district court for
the district where such records are kept. If the
Commission or the court, as the case may be,
finds that the application of the regulation or
order to the employer, employment agency,
or labor organization in question would
impose an undue hardship, the Commission
or the court, as the case may be, may grant
appropriate relief. If any person required to
comply with the provisions of this subsection
fails or refuses to do so, the United States
district court for the district in which such
person is found, resides, or transacts
business, shall, upon application of the
Commission, or the Attorney General in a
case involving a government, governmental
agency or political subdivision, have
jurisdiction to issue to such person an order
requiring him to comply.

1

Note: Instructions were published as an
appendix to the proposed regulations on Mar.
2, 1973 (38 FR 5662).
§ 1602.31 Preservation of records made or
kept.

Title 29, Chapter XIV, Code of Federal
Regulations

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, the
ADA, or GINA, the respondent political

Subpart I-State and Local Governments Recordkeeping

§ 1602.30 Records to be made or
kept.
On or before September 30, 1974,
and annually thereafter, every political
jurisdiction with 15 or more employees is
required to make or keep records and the
information therefrom which are or would be
necessary for the completion of report EEO4 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
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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.

filed EEO-4 at the central office of the
political jurisdiction for a period of 3 years
and shall make the same available if requested
by an officer, agent, or employee of the
Commission under the authority of section
710 of title VII, as amended.
§1602.33 Penalty for making willfully false
statements on report.
The making of willfully false
statements on report EEO-4, is a violation of
the United States Code, title 18, section 1001,
and is punishable by fine or imprisonment as
set forth therein.
§1602.34 Commission’s remedy for political
jurisdiction’s failure to file report.
Any political jurisdiction failing or
refusing to file report EEO-4 when required
to do so may be compelled to file by order of
a U.S. district court, upon application of the
Attorney General.

Subpart J- State and Local Government
Information Report

§1602.35 Political jurisdictions exemption
from reporting requirements.

§1602.32 Requirement for filing and
preserving copy of report.
On or before September 30, 1993, and
biennially
thereafter,
certain
political
jurisdictions subject to title VII of the Civil
Rights Act of 1964, as amended, shall file
with the Commission or its delegate executed
copies of “State and Local Government
Information Report EEO-4” in conformity
with the directions set forth in the form and
accompanying instructions. The political
jurisdictions covered by this section are (a)
those which have 100 or more employees, and
(b) those other political jurisdictions which
have 15 or more employees from whom the
Commission requests the filing of reports.
Every such political jurisdiction shall
retain at all times a copy of the most recently

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.
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
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systems or any other educational functions.
The previous sentence of this section shall
not act to bar jurisdiction which otherwise
would attach under §1602.30.
§ 1602.37 Additional reporting requirements.
The Commission reserves the right to require
reports, other than that designated as the
“State and Local Government Information
Report EEO-4,” about the employment
practices of individual political jurisdictions
or group of political jurisdictions whenever,
in its judgment, special or supplemental
reports are necessary to accomplish the
purposes of title VII, the ADA, or GINA. 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, section 107 of the ADA, or section
207(a) of GINA and as otherwise prescribed
by law.

Subpart K-Records and Inquires as to Race,
Color, National Origin, or Sex
§ 1602.38 Applicability of State or Local
Law.
The requirements imposed by the Equal
Employment Opportunity Commission in
these regulations, subparts I and J, supersede
any provisions of State or local law which
may conflict with them.

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