It’s that time of year again – when employers with 100 or more employees, or Federal Contractors with 50 or more employees and a contract valued at $50,000 or more, are getting ready to file their annual EEO-1 Report. This week’s Tip provides the Who, What, Where, Why and How of annual report filing. Set forth below are the most frequently asked questions around the EEO-1, as provided by the Equal Employment Opportunity Commission, as well as some additional resources to help you understand your compliance obligations.
ABOUT THE EEO-1 SURVEY
1. What is the EEO-1 Report? A: The EEO-1 Report is a compliance survey mandated by federal statute and regulations. The survey requires company employment data to be categorized by race/ethnicity, gender and job category. A sample copy of the EEO-1 form and instructions are available here.
2. Is EEO-1 data confidential? A: The EEOC is prohibited by federal statute, (i.e. Section 709(e) of Title VII of the Civil Rights Act of 1964, as amended), from making public the employment data derived from any of its compliance surveys. Many years ago, the courts ruled that the prohibition against disclosure in Title VII does not apply to federal government prime contractors or first-tier subcontractors. However, requests for employment data for federal government prime contractors/first-tier subcontractors must be directed to the Office of Federal Contract Compliance Programs (OFCCP) in the U.S. Department of Labor.
3. How do the EEOC and Office of Federal Contract Compliance Programs (OFCCP) use EEO-1 survey data? A: Both the EEOC and OFCCP have used EEO-1 data since 1966. The EEO-1 Report is used by the agencies to collect data from private employers and government contractors about their women and minority workforce. The agencies also use the EEO-1 Report data to support civil rights enforcement and to analyze employment patterns, such as the representation of women and minorities within companies, industries or regions.
WHO NEEDS TO FILE THE EEO-1
1. What companies are required to file the EEO-1 report? A: All companies that meet the following criteria are required to file the EEO-1 report annually:
a. Subject to Title VII of the Civil Rights Act of 1964, as amended, with 100 or more employees; or
b. Subject to Title VII of the Civil Rights Act of 1964, as amended, with fewer than 100 employees if the company is owned by or corporately affiliated with another company and the entire enterprise employs a total of 100 or more employees; or
c. Federal government prime contractors or first-tier subcontractors subject to Executive Order 11246,as amended, with 50 or more employees and a prime contract or first-tier subcontract amounting to $50,000 or more.
2. Do I need to file if my company has fewer than 50 employees but does have a federal government contract worth $50,000 or more? A: No, your company must meet both requirements of 50 employees and the government contract worth $50,000 or more.
GETTING STARTED WITH THE EEO-1
1. What is the annual EEO-1 filing deadline? A: All EEO-1 reports must be submitted and certified no later than September 30th, annually.
2. My company is required to file the EEO-1 report for the first time. How do I obtain an EEO-1 company number and password? A: Register the company online at http://www.eeoc.gov/eeo1survey and use the link "click here to register" and follow the online instructions. After submitting the registration form, print the next screen as that gives the company number and password.
3. If I am a new company and registered online but didn't receive a company number and password on the screen do I need to register again? A: No. You must contact the EEO-1 Joint Reporting Committee so we can look up your login information and email it to you.
4. Are there alternate EEO-1 Reporting Formats? A: The preferred and most efficient method of submitting EEO-1 reports is through the EEO-1 Online Filing Application or as an electronically transmitted datafile (ASCII/TEXT file). The EEOC-approved specifications for creating an EEO-1 datafile is available at http://www.eeoc.gov/eeo1survey. Only upon approval will paper EEO-1 forms be generated and only under extreme circumstances where Internet access is not available.
5. Do I report establishments that are outside of the U.S.? A: No. You cannot include establishments that are outside of the United States or the District of Columbia.
6. What is the difference between a single-establishment and a multi-establishment company? A: A single-establishment company does business at only one physical address. A multi-establishment company does business at two or more physical addresses. Single-establishment companies are only required to submit one EEO-1 data record/report. Multi-establishment companies are required to submit a separate report for the headquarters, a separate report for each establishment with 50 or more employees, and separate report for each establishment with fewer than 50 employees, and a consolidated report that includes all employees. (See the section "Types of Reports" in FAQ for more detail).
COMPLETING THE EEO-1
1. From what time period must companies use to extract EEO-1 employment data? A: Employment data must be pulled from one pay period in July, August, or September of the current survey year.
2. If I think I know an employee's ethnicity, can I just write that in on the report? A: No. Self-identification is the preferred method of identifying the race and ethnic information necessary for the EEO-1 report. Employers are required to attempt to allow employees to use self-identification to complete the EEO-1 report. If an employee declines to self-identify, employment records or observer identification may be used.
3. Do I include part-time employees? A: Yes. Both full and part-time employees are included in EEO-1 reporting.
4. Does the EEO-1 report require applicant data? A: No. The EEO-1 report requires employment data only.
5. How should employees who telework, i.e. work from home, be reported on the EEO-1 report? A: Employees who telework, i.e. work from home, must be included in the EEO-1 report for the establishment to which they report. DO NOT indicate home addresses for these employees.
6. What happens if I do not hit the "certify report" button? A: Without clicking the "certify report" button, the EEO-1 Joint Reporting Committee (JRC) will not receive your report. You will receive a notification of violation and considered not in compliance.
TYPES OF REPORTS
1. How many EEO-1 data records/reports is a single-establishment company required to submit? A: A single-establishment company is required to submit only one EEO-1 data report - a Type 1 EEO-1 Report.
2. How many EEO-1 data records/reports is a multi-establishment company required to submit?
A: Multi-establishment companies are required to submit the following types of EEO-1 data reports:
o Type 2 - Consolidated Report (Required) - The Consolidated Report must include all employees of the company categorized by race, gender and job category.
o Type 3 - Headquarters Report (Required) - The Headquarters Report must include employees working at the main office site of the company and those employees that work from home that report to the corporate office. Employment data must be categorized by race, gender and job category. A separate EEO-1 report for the headquarters establishment is required even if there are fewer than 50 employees working at the headquarters establishment.
o Type 4 - Establishment Report - A separate EEO-1 Type 4 report must be submitted for each physical establishment with 50 or more employees. Employment data must be categorized by race, gender and job category.
o Sites With Fewer Than 50 Employees:
a. Type 8 - Establishment Report - A separate EEO-1 report must be submitted for each establishment employing fewer than 50 employees. Like the Type 4 - Establishment Report, Type 8 report employment data must also be categorized by race, gender and job category.
OR
b. Type/Status 6 - Establishment List - The establishment name, complete address and total number of employees must be provided for each physical location where fewer than 50 employees are working;
NOTE: If you choose to create a Type 6 data report for each establishment employing fewer than 50 employees, you MUST manually enter data categorized by race, gender and job category to the Type 2 - Consolidated Report to include all company employees. If you choose to create a Type 8 report for each establishment employing fewer than 50 employees, you must enter employment data categorized by race, gender and job category for each Type 8 report. The employment data entered for each such establishment will automatically populate the Type 2 - Consolidated Report.
RETURNING FILERS
1. If my company has previously filed type 6 reports, can I switch to type 8 or vice versa? (Note that this question only applies to multi-establishment companies). A: Absolutely. If you feel that using a different type of report would better serve your company, please contact the EEO-1 Joint Reporting Committee. For example, multi-establishment companies with relatively few establishments (under 20) may find it easier to utilize type 8 reports, while those with many establishments with under 50 employees may find it much easier to use type 6 reports.
Use whichever report type is easiest for your company. Keep in mind that with the type 6 reports, you must manually enter employment data categorized by race, gender, and job category into the Consolidated Report to include all company employees.
If you want to change the type of report for establishments with fewer than 50 employees, you may send an email requesting the change to e1.techassistance@eeoc.gov. Please include your company name and company number.
2. How can I obtain my company's EEO-1 company number and password? A: Your company number is located on your company's annual notification letter. If you are your company's designated EEO-1 contact person or certifying official for the company's previous year's EEO-1 report, you may use your company number located on your notification letter and the contact's email id to obtain your password at https://egov.eeoc.gov/eeo1/login.jsp.
If you are the company's new designated EEO-1 contact person, please send a letter, on your company's letterhead stating such. The letter must be dated, signed by an approving official and emailed to the EEO-1 Joint Reporting Committee at e1.techassistance@eeoc.gov or faxed to 1-877-392-4647 (Toll-free).
3. How can I view our company's prior years' reports? A: Log into the company's database, click "VIEW REPORTS," then click the down arrow under the 'Year,' select the desired year and click the "Refresh Screen" button.
4. Our Company has moved. How do we change our address for filing the EEO-1? A: Log into the company's EEO-1 online database, click "Edit EEO-1" and answer all questions. In the Type 2 Consolidated report screen you will be allowed to edit the address. This will also change the address for the Type 3 Headquarter report. To update the telephone number, scroll through the screens in the Type 2 Consolidated report until you reach the "Contact Information" screen and update information, as appropriate. For single-establishment companies, log into your database and begin with Step 1 of "6 Steps to EEO-1 Completion".
5. My company has filed for bankruptcy. Are we still required to file the EEO-1 report? A: If your company has filed for bankruptcy prior to July 1st in the current year, then you must contact the EEO-1 Joint Reporting Committee at 1-866-286-6440 or send an email to e1.techassistance@eeoc.gov attaching documentation that your company is now out of business. The company will be removed from the mailing list.
6. Are companies able to correct employment information provided in prior years' reports? A: No.
7. My company has experienced an acquisition, merger, or spin-off since the last survey reporting period. How should these changes be reflected in this year's survey report? A: If your company has experienced an acquisition or merger since the last survey period, send an email to e1.acquisitionsmergers@eeoc.gov. For mergers, your email should include the names and company numbers (if known) of all companies affected by the merger, the name and address of the corporate headquarters and the name of the new company. For an acquisition, your email should include the name, address, and company number of both the acquiring and the acquired companies. If a company acquired a small company that otherwise would not be required to file the EEO-1 report, or a company that has not previously filed EEO-1 report, the acquiring company may proceed with adding an establishment and filing for the new employees. If your company has experienced a spin-off since the last survey reporting period, send an email to e1.spinoffs@eeoc.gov. Please include the name, address, and company number (if known) of the current parent company. Additionally, please include the establishment considered to be the new headquarters that should be spun off in employer EEO-1 database with a list of all physical addresses for the new company.
8. My company files using Type 8 Establishment Reports and it acquired another company which used Type 6 Establishment Lists. How should I file for our establishments employing fewer than 50 employees? When the acquired company is merged under the acquiring company's database, the Type 6 Establishment Lists reports will be converted to Type 8 Establishment Reports.
9. My company just acquired a small company that was not required to file EEO-1 Reports in the past. Do I still need to send an email to e1.acquisitionsmergers@eeoc.gov. before filing my reports? When a corporation acquires a small company that would otherwise not be required to file EEO-1 Reports, that corporation can proceed with adding an establishment(s) for that small company. There is no need to send an email.
Additional Resources. Click hyperlinks for more information:
Who Must File
How to File
When to File
Fact Sheet
Sample EEO-1 Notification Letter
Filing Procedures/Instructions
Alternate Reporting Formats
Additional Documentation
Note: Comprehensive Services clients have access to an EEO-1 Worksheet in Workforce Now (WFN) that allows clients to cull the data needed for filing the EEO-1. The Worksheet strives to mimic the official EEO-1 Report, but it is not the official Report, and should not be filed as such. As of August 2016, it does not presently contain the FEIN field. The worksheet can be accessed in Custom Reports.
Note: (As of August 2016). Revisions to the EEO-1 Reporting requirements are pending. On July 14, 2016, the EEOC published a revised Notice of Proposed Rulemaking that will, if finalized, require employers to ALSO report on the wages earned and hours worked. In addition, the filing deadline will change (from September 30 to March 31), the pay period snapshot will change (from July, August, September to October, November, December). Updates to the WFN Worksheet will be made accordingly.
As always, if you have any questions about anything contained in this Tip, please contact your Relationship Manager or your Service Team.