EEO-1 Reports:
How to Ensure a Complete, Correct
Filing in Time for the Sept. 30 Deadline
Thursday, August 4, 2011
Presented by the Employer Resource Institute
© 2011 Employer Resource Institute. All rights reserved. These
materials may not be reproduced in part or in whole by any process
without written permission.
Disclaimers
• This webinar is designed to provide accurate and authoritative
information about the subject matter covered. It is sold with the
understanding that the publisher is not engaged in rendering legal,
accounting, or other professional services.
• This webinar provides general information only and does not
constitute legal advice. No attorney-client relationship has been
created. If legal advice or other expert assistance is required, the
services of a competent professional should be sought. We
recommend that you consult with qualified local counsel familiar
with your specific situation before taking any action.
© 2010 Employer Resource Institute. All Rights Reserved
About Today’s Presentation
• This entire webinar is being recorded and all of the
accompanying materials are protected by copyright.
• If at any time during today’s event you experience technical
issues, please call (877) 297-2901 to reach an operator.
• Questions or comments about this webinar?
Employer Resource Institute
(800) 695-7178
custserv@employeradvice.com
© 2010 Employer Resource Institute. All Rights Reserved
Recertification Credit
This program has been approved for 1.5 recertification credit hours toward
PHR® and SPHR® recertification through the Human Resource Certification
Institute (HRCI).
Please be sure to note the program ID number on your recertification
application form. The moderator will issue the number during the live
webinar session.
For more information about certification or recertification, please visit the
HRCI home page at www.hrci.org.
The use of the above seal is not an endorsement by HRCI of the quality of the program.
It means that this program has met HRCI’s criteria to be pre-approved for recertification.
© 2010 Employer Resource Institute. All Rights Reserved
About Our Speaker
Kristine E. Kwong, Esq., is a partner in the Los Angeles
office of the law firm Musick, Peeler & Garrett, LLP.
She advises and counsels clients on a wide range of
business and employment issues, and her practice
includes the drafting and updating of handbooks, policy
manuals, codes of conduct, and severance packages. She
regularly produces and presents training programs for
employers on current issues of employment law, and she's
a longtime popular speaker for BLR.
Kristine earned her law degree from the University of the
Pacific (McGeorge School of Law).
k.kwong@mpglaw.com
www.mpglaw.com
© 2010 Employer Resource Institute. All Rights Reserved
EEO-1 Reports:
How to Ensure a
Complete, Correct Filing
in Time for the
Sept. 30 Deadline
Kristine E. Kwong, Esq.
Musick, Peeler & Garrett, LLP
k.kwong@mpglaw.com
Agenda
 The Basics of Filing Your EEO-1 Report
 The Major EEO-1 Changes Made Recently
 Employee Resurveys
 Additional EEO-1 Issues
(Sources: EEOC; Business & Legal Resources; Gordon & Rees)
Copyright 2011 BLR Inc.
EEO-1 Basics
What is the EEO-1 Report?
The EEO-1 Report (technically, it’s called the “Employer Information Report” or,
sometimes, “Standard Form 100”) is a U.S. federal government form requiring many
employers to submit a current count of their employees – first by job category,
and then by ethnicity, race, and gender.
The EEO-1 report goes to both the U.S. Equal Employment Opportunity Commission
(EEOC) and the U.S. Department of Labor, Office of Federal Contract Compliance
Programs (OFCCP).
Copyright 2011 BLR Inc.
EEO-1 Basics
What’s the legal basis for the EEO-1 Report?
The Employer Information EEO-1 survey is conducted annually under the authority
of Public Law 88-352, Title VII of the Civil Rights Act of 1964, as amended by the
Equal Employment Opportunity Act of 1972.
The filing of this report is required by law; it is not voluntary. Under section
709(c) of Title VII, the Equal Employment Opportunity Commission may compel an
employer to file this form by obtaining an order from the United States District Court.
Copyright 2011 BLR Inc.
EEO-1 Basics
Which employers are required to file an EEO-1 Report?
•
All employers with 100 or more employees (or employers with fewer than 100
employees if owned by or corporately affiliated with another company and the
entire enterprise employs at least 100 employees); OR
•
All federal government contractors and first-tier subcontractors with 50 or more
employees AND a contract amounting to $50,000 or more
Copyright 2011 BLR Inc.
EEO-1 Basics
What does the government do with the EEO-1 Report data?
Both the EEOC and OFCCP have used the EEO-1 since 1966.
The EEOC uses the data to support civil rights enforcement. The EEOC also
uses the data to analyze employment patterns, such as the representation of female
and minority workers within companies, industries, or regions.
OFCCP uses EEO-1 data to determine which employer facilities to select for
compliance evaluations. OFCCP’s system uses statistical assessment of EEO-1
data to select facilities where the likelihood of systematic discrimination is the
greatest.
Copyright 2011 BLR Inc.
EEO-1 Basics
How should we file the EEO-1 Report?
The EEOC’s preferred method for completing your EEO-1 Report is using its
online filing system. The system is completely web-based, so there’s no software
to download or install. Your data will be transferred via encrypted links to the EEOC,
ensuring its privacy. Data from your previous year’s EEO-1 Report will automatically
fill the blanks for the current year’s form, saving data entry time. And, you can
access up to 10 years’ worth of EEO-1 data for your workforce.
You may also submit EEO-1 reports as computer printouts. (See
http://www.eeoc.gov/eeo1survey for the EEOC-approved specifications for creating
an EEO-1 data file and submitting your report as a printout.)
Paper EEO-1 forms will be generated on request only, and only in extreme cases
where Internet access is not available to the employer.
Copyright 2011 BLR Inc.
EEO-1 Basics
How should we file the EEO-1 Report?
General instructions on how to file are available on the EEOC’s website at
http://www.eeoc.gov/employers/eeo1survey/howtofile.cfm
If you are a first-time EEO-1 filer, you may register at:
https://egov.eeoc.gov/eeo1/register.jsp
The EEOC also has a helpful instruction booklet for first-time filers that includes
more detailed explanations about the types of data you need to collect:
http://www.eeoc.gov/employers/eeo1survey/upload/instructions_form.pdf
Copyright 2011 BLR Inc.
EEO-1 Basics
How should we file the EEO-1 Report?
All multi-establishment employers, i.e. employers doing business at more than
one establishment, must file the following:




a report covering the principal or headquarters office;
a separate report for each establishment employing 50 or more persons;
a consolidated report that MUST include ALL employees by race, sex and job
category in establishments with 50 or more employees as well as establishments
with fewer than 50 employees; AND
a list, showing the name, address, total employment and major activity for each
establishment employing fewer than 50 persons, must accompany the
consolidated report.
Copyright 2011 BLR Inc.
EEO-1 Basics
How should we file the EEO-1 Report?
The total number of employees indicated on the headquarters report, PLUS the
establishment reports, PLUS the list of establishments with fewer than 50
employees, MUST equal the total number of employees shown on the consolidated
report.
All forms for a multi-establishment company must be collected by the headquarters
office for its establishments or by the parent corporation for its subsidiary holdings
and submitted in one package.
For the purposes of this report, the term Parent Corporation refers to any corporation
which owns all or the majority stock of another corporation so that the latter stands in
the relation to it of a subsidiary.
Copyright 2011 BLR Inc.
EEO-1 Basics
How should we file the EEO-1 Report?
Only those establishments located in the District of Columbia and the 50 states are
required to submit a report.
No reports should be filed for establishments in Puerto Rico, the Virgin Islands or
other American Protectorates.
Copyright 2011 BLR Inc.
EEO-1 Basics
What’s the deadline for this year’s EEO-1 Report?
You must file this year’s EEO-1 report no later than September 30, 2011.
Sept. 30 is, in fact, the deadline each year for the EEO-1 report.
The report must based on your employment numbers from one pay period in July,
August, or September of the current survey year. (And, the EEO-1 report requires
employee data only – not applicants.)
Copyright 2011 BLR Inc.
Major EEO-1 Changes
Race and Ethnic Categories
 Adding a new category titled "Two or more races, not Hispanic or Latino“
 Deleting the "Asian and Pacific Islanders" category
 Adding a new category titled "Asians, not Hispanic or Latino"
 Adding a new category titled "Native Hawaiian or Other Pacific Islander, not
Hispanic or Latino“
 Extending the EEO-1 data collection by race and ethnicity to the state of Hawaii
Copyright 2011 BLR Inc.
Major EEO-1 Changes
Job/Position Levels
The “Officials and Managers” category was divided into two new groupings:
 Executive/Senior Level Officials and Managers. These positions plan, direct,
and formulate policy, set strategy, and provide overall direction. In larger
organizations, they are within two reporting levels of the CEO.
 First/Mid-Level Officials and Managers. These positions direct implementation
or operations within specific parameters set by Executive/Senior Level Officials
and Managers. They oversee day-to-day operations.
The revised EEO-1 also moves business and financial occupations from the
"Officials and Managers" category to the "Professionals" category to improve data for
analyzing trends in mobility of minorities and women within these ranks.
Copyright 2011 BLR Inc.
Employee Resurveys
As you prepare to submit your EEO-1 data, this year, you may need to resurvey
your employees so that they're given the chance to self-identify their race and
ethnic categories.
Employers who fall under EEO-1 reporting requirements must keep gender,
race, and ethnicity data on file for every full-time and part-time employee. You
may not have active employees described in your HR or payroll records as
"unknown" for these fields.
As part of the handout for this webinar, you’ll find a one-page sample survey form
that you can use with your employees for the EEO-1 resurvey. You should distribute
and collect these completed forms as soon as possible to meet the Sept. 30
deadline.
Copyright 2011 BLR Inc.
Employee Resurveys
On this form, note the first and second paragraphs. They will help you to
communicate with employees that you are required by the federal government to
conduct the survey, but that they won’t be treated unfairly if they choose not to
respond.
Also, note that the survey asks separate questions about ethnic and race
categories. Whatever resurvey method you choose, you should always ask if an
employee self-identifies as Hispanic or Latino (ethnicity), and then ask what race(s)
the employee considers himself/herself to be. (The EEOC calls this the "Two
Question Format.")
You may circulate this survey form using electronic means, as long as you have
the capability of storing the results confidentially and allowing your workers to answer
these questions as shown.
It's a good practice to ask new hires to self-identify their race and ethnic
categories as soon as possible once they're onboard, particularly if you're storing
employee data in your HRIS records for EEO-1 reporting.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
The Critical Importance of Employee Self-Identification
EEOC strongly prefers that your workers pick their own categories, rather than
having you as the employer or HR director assign categories based on your own
visual identifications of individual workers.
Note: You must accept, without argument, an employee’s self-identification –
even if you think the worker is lying, mistaken, or wrong.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Employers Who Refuse to Self-Identify
If an employee declines to self-identify, don't push – but, you should require that
employee to turn in the survey with the "Declines self-identification" line
checked. Then, you should keep these surveys in your files.
Because you're required to solicit voluntary self-identifications in these surveys,
these steps may protect you in the future.
In terms of filing your EEO-1 Report, you may obtain the necessary information
for these workers from their existing employment records or your own visual
observation. However, remember that employment records and visual identification
may be used ONLY if an employee refuses to self-identify.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Resurveying Some (But Not All) of Your Workers
In preparing the EEO-1 Report, some employers choose to resurvey only employees
who fall into certain race or ethnic categories (to confirm the way they identify
themselves), for example, to avoid the effort involved in resurveying the entire
workforce.
However, this approach raises the risk of creating a perception among
employees that you're singling out a single racial or ethnic group – or, that
you're not being fair to other workers who may decide to self-identify with the new
"Two or More Races" category (created during the 2007 EEO-1 revisions) but
weren't given the chance to do so in earlier years.
Consult your employment counsel if you have questions about avoiding legal risks
when resurveying your workers for EEO-1 compliance.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Unusual and Creative Resurvey Answers From Employees
As with most HR forms, your employees may find very unique and unusual ways to
fill out their resurveys! Here's a short list of the most common questions that have
arisen regarding the way workers complete their EEO-1 resurveys:
If employees select several specific races, even though you asked them only if
they consider themselves to be "Two or More Races," you should count these
employees in the "Two or More Races" category – but, save the resurvey forms
showing the detailed race information these workers picked, because the forms
qualify as employment records that must be preserved. You may decide to ask
employees to specify particular races, instead of simply checking the "Two or
More Races" category, but you're not required to do so. (If you do, remember to
preserve the forms.) However, for purposes of filing the EEO-1 report, you must
still report these workers in the "Two or More Races" category.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Unusual and Creative Resurvey Answers From Employees
If employees who self-identify as Hispanic or Latino also answer the question
about race, you do not report the race data for these workers on the EEO-1
report (but, again, you must preserve these resurvey forms as employment
records).
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Confidentiality
Regardless of the survey format you choose, you should make sure that the form
given to your employees contains a disclaimer similar to the first and second
paragraphs shown in the sample form included with this webinar.
Also, the completed forms should be treated in the same way you handle
medical records. They should be locked up separately from the day-to-day
personnel files and available only on a strictly need-to-see basis.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Federal Contractors
If you're a federal contractor, you're required generally to collect and maintain
records on the race, ethnicity, and gender of your workers by the Office of Federal
Contract Compliance Programs (OFCCP). In the past, the OFCCP adopted the
same race and ethnicity categories used by the EEOC: Blacks, Hispanics,
Asians/Pacific Islanders, and American Indians/Alaskan Natives. The OFCCP has
not yet updated its regulations to adopt the new categories for the EEO-1 report. In
the meantime, though, it's issued interim guidelines permitting employers to
use the new EEO-1 categories in their reports to OFCCP.
(See http://www.dol.gov/ofccp/regs/compliance/EEO1_Interim_Guidance.htm.)
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Using the Same EEO-1 User ID and Password Each Year
Make sure that you always use the same User ID and Password issued to your
organization by the EEOC every year that you file the EEO-1 Report.
Since the 2007 EEO-1 revisions, EEOC officials have begun sending "show cause
letters" to a greater number of employers who filed their EEO-1 reports but used an
outdated or mistaken User ID (making it seem as if they did not file their reports as
required). These letters will be a headache for you to resolve, so it pays to avoid the
problem by double checking the User ID you're using each year.
Copyright 2011 BLR Inc.
Additional EEO-1 Issues
Penalties for Failing to File the EEO-1 Report
What happens if your organization qualifies as being required to submit an EEO-1
report each year, but you fail to do so?
There are no fines or penalties associated with not filing the required EEO-1
report (or filing the report late). The only remedy available to the EEOC is forcing
you to file the report (including a court order requiring the filing). However, you
should avoid the hassles and expense of dealing with "show cause letters" or a court
order in this situation (and the perception that you have something to hide in terms of
possible workforce discrimination).
If you're a federal contractor, failing to file your EEO-1 report can trigger several
problems, including complete debarment from accepting future government
contracts.
Copyright 2011 BLR Inc.
Questions?
Kristine E. Kwong, Esq.
Musick, Peeler & Garrett, LLP
One Wilshire Boulevard, Suite 2000
Los Angeles, CA 90017
213.629.7977 (phone)
213.624.1376 (fax)
k.kwong@mpglaw.com
www.mpglaw.com
Copyright 2011 BLR Inc.
Thank You
• Recordings of this webinar and past presentations
can be ordered by calling (800) 695-7178
• Or visit www.employeradvice.com for information.
• We hope you’ll join us again soon.
Please be sure to complete your program evaluation. You’ll find a
link to the evaluation inside your follow-up emails from ERI.
© 2009 Employer Resource Institute. All Rights Reserved