EEO-5 Instruction Booklet

EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
COLLECTION OF 2020 EEO-5 DATA

Elementary – Secondary Staff Information Report (EEO-5)
EEOC Form 168A

Instruction Booklet

Section 709(c) of Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e-8(c), requires employers to make and keep records relevant to a determination of whether unlawful employment practices have been or are being committed, to preserve such records, and to produce reports as the Commission prescribes by regulation or order. Accordingly, the EEOC has issued regulations, 29 CFR 1602.39 and .41-.45, prescribing the reporting and related record retention requirements of public elementary and secondary school districts. 29 CFR 1602.39 requires school districts to make or keep all records necessary for completion of an EEO-5 submission and retain those records for three years. 29 CFR 1602.41 requires EEO-5 filers to retain a copy of each filed EEO-5 report for three years.

Summary Information

 

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1. WHO MUST FILE

The Elementary – Secondary Staff Information Report (EEO-5), EEOC Form 168A, also referred to as the EEO-5 Report, is a mandatory biennial data collection that requires all public elementary and secondary school systems and districts with 100 or more employees to submit demographic workforce data, including data by race/ethnicity, sex, and activity assignment classification. The filing by eligible school systems or districts is required under section 709(c) of Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e-8(c), 29 CFR 1602.39 and .41-.45.

2. HOW TO FILE

EEO-5 reporting is an electronic, online application. The EEOC requires that EEO-5 Reports be submitted via the EEO-5 Online Filing System at https://EEOCdata.org/eeo5. Data can be entered directly into the online application or submitted as an electronically transmitted data file (i.e., data file upload) through the EEO-5 Online Filing System. Filers can begin submitting data for the 2020 EEO-5 data collection through the EEO-5 Online Filing System on Tuesday, July 27, 2021.

3. WHEN TO FILE

The 2020 EEO-5 data collection will open on Tuesday, July 27, 2021. The EEO-5 Report for calendar year 2020 must be filed no later than October 4, 2021. This filing deadline date is posted on the EEOC’s dedicated website for the EEO-5 data collection at https://EEOCdata.org/eeo5, and on the EEOC’s public website at www.eeoc.gov. For the 2020 EEO-5 data collection, the workforce data reported must be from the pay period closest to October 1st of the reporting year (i.e., 2020).

4. CONFIDENTIALITY

All reports and any information from individual reports are subject to the confidentiality provisions of Section 709(e) of Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e-8(e), as amended (Title VII) and may not be made public by the EEOC prior to the institution of any proceeding under Title VII involving the EEO-5 data. Any EEOC employee who violates this prohibition may be found guilty of a criminal misdemeanor and could be fined or imprisoned. The confidentiality requirements allow the EEOC to publish only aggregated data, and only in a manner that does not identify any particular filer or reveal any individual employee’s personal information.

5. REQUESTS FOR INFORMATION AND SPECIAL PROCEDURES

Pursuant to 29 CFR § 1602.44, if a school system or district claims 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. School systems or districts must submit requests in writing to EEO5FilerSupport@EEOCdata.org. Requests for special reporting procedures or alternative reporting under 29 CFR § 1602.44 should also be submitted to the Commission in writing to EEO5FilerSupport@EEOCdata.org. Requests under 29 CFR § 1602.44 should be submitted to the Commission prior to the filing deadline for the report. For the 2020 EEO-5 data collection, the filling deadline is October 4, 2021.

6. BURDEN ESTIMATE

Comments regarding this collection of information, including suggestions for reducing burden, can be sent at any time to: EEO5Filersupport@EEOCdata.org and:

Paperwork Reduction Act (3046-0003)
Office of Management and Budget
Washington, DC 20503

The full text of the OMB regulations on the Paperwork Reduction Act may be found at 5 CFR Part 1320.

7. INSTRUCTIONS FOR FILING EEO-5 REPORTS

A. TYPE OF REPORT

The EEO-5 Report is the aggregate report for the entire school system or district. The report for the school system or district must provide summary data for all personnel employed by the school system or district broken down in sections by Full-Time Staff, Part-Time Staff and Full-Time New Hires. The workforce data reported must be from the pay period closest to October 1st of the reporting year. The EEO-5 Report also separately captures Full-Time New Hires who are on the payroll for the first time between July 1st and September 30th of the reporting year. These Full-Time New Hires must also be included (i.e., counted) in the Full-Time Staff section.

B. DATA TO BE REPORTED

IDENTIFICATION

A. Type of Agency Which Operates the Reporting School System or District.

Select 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. School System Identification

Review the address provided in the EEO-5 Online Filing System and confirm if it is correct. If the address is incorrect, please provide the correct mailing address.

C. General Statistics

Enter the following information: (1) total number of schools operated; (2) total number of annexes operated; and (3) total enrollment as of October 1st of the reporting year.

STAFF STATISTICS

This part of the report will reflect, for the pay period closest to October 1st of the reporting year, the number of employees who are Full-Time Staff, Part-Time Staff and Full-Time New Hires by Activity Assignment Classification (see Appendix 2 below for descriptions of the Activity Assignment Classifications). The total for each Activity Assignment Classification should be reported. The totals must be further tabulated by sex for each of the designated race/ethnicity categories. Filers must also provide the specific date of the pay period closest to October 1st of the reporting year from which the staff statistics were pulled (e.g., September 29th, September 30th, October 1st).

A. Full-Time Staff

The Full-Time Staff section should include statistics for all full-time employees, except for elected and certain appointed officials (see Appendix 1 below for the definition of “Employee”). Full-Time Staff are employees employed on a full-time basis during the pay period closest to October 1st of the reporting year. These are the staff members who work for the school system or district for the whole day everyday (excluding temporary and substitute employees). If an employee 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 employee must be reported as a full-time employee in this section.

Except for employees required to be reported in the Activity Assignment Classification, Psychological, filers should report employees having multiple Activity Assignment Classifications, such as teacher-counselor or similar combinations as full-time in the Activity Assignment Classification in which they spend at least 51 percent of the time. If the employee spends exactly 50 percent of the time in each of two Activity Assignment Classifications, report the employee as full-time in the more critical classification. If the time is distributed among more than two Activity Assignment Classifications, report the employee as full-time in the classification in which the employee spends the major portion of their time or in the more critical classification if the time is evenly distributed.

B. Part-Time Staff

The Part-Time Staff section should include statistics for all part-time employees. Part-time staff are employees employed during the pay period closest to October 1st of the reporting year who are usually engaged for less than the regular full-time work week. Do not include temporary or substitute employees.

If an employee 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 employee must be reported as a full-time employee.

C. Full-time New Hires

The Full-Time New Hires section should include statistics for all full-time new hires. Full-Time New Hires are full-time new employees who are on the payroll for the first time between July 1 and September 30 of reporting year, for each of the Activity Assignment Classifications within this section. Specifically, Full-Time New Hires refers to employees who were hired for the first time or after a break in service for full-time employment by the particular school system or district.

Use the definition of full-time in Appendix 1 below for reporting full-time new hires. Do not report as a full-time new hire an employee who has been on sabbatical or any other type of leave which is not considered a break in service. Additionally, employees with a change in Activity Assignment Classification or a promotion should not be reported as a full-time new hire. Please note that full-time new hires must also be included (i.e., counted) in the Full-Time Staff section.

8. CERTIFICATION

Once the EEO-5 report has been completed for the school system or district, the name and contact information for the Certifying Official should be entered. The Certifying Official is then required to check the box on the screen in the EEO-5 Online Filing System certifying that the information in the report is correct and true to the best of their knowledge and was prepared in accordance with the instructions.

Appendix 1. Definitions

 

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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 powers of the office. However, this exemption shall not include employees subject to the civil service laws of a State government, government agency, or political subdivision.

c. Full-time employees

Refer to persons employed on a full-time basis during the pay period closest to October 1st of the reporting year. These are the staff members who work for the school system or district for the whole day everyday (excluding temporary and substitute employees).

d. Full-Time New Hires

Refer to persons who were hired for the first time or after a break in service for full-time employment by the particular school system or district and who appear on the payroll for the first time between July 1st and September 30th of the reporting year.

e. Part-time employees

Refer to persons employed during the pay period closest to October 1st of the reporting year who are usually engaged for less than the regular full-time work week. Do not include temporary or substitute employees.

f. 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.

g. 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.

h. 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.

Appendix 2. ACTIVITY ASSIGNMENT CLASSIFICATION

 

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a. Officials, Administrators, 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 supervisors of instruction). Non­ professional supervisors of service workers, skilled crafts and laborers should be reported (counted) in their corresponding categories.

b. 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. 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.
d. Elementary Classroom Teachers, Secondary Classroom Teachers and Other 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 secondary levels. "Other Classroom Teachers" applies to full-time classroom teachers who teach ungraded classes who have not been reported in the elementary or secondary classroom teacher categories.

e. 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. 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 such as Officials/Administrators/Managers, Guidance, or Other Professional Staff, etc.

g. Librarians and Audio-Visual

Librarians include staff members responsible for organizing and managing school libraries. Audiovisual 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 through special appeal to the senses of sight and hearing, e.g., a director of audiovisual services, scriptwriter; etc.

h. 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.

i. Other Professional Staff

Include staff members performing some instructional or related function on a full-time basis who cannot be properly classified for reporting in other professional assignments, such as non­-classroom teachers who may be teaching homebound students, teaching through 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 (co-curricular) activities. Include persons engaged in psychotherapy and other mental health services such as psychiatrists or psychologists who are not reported in the psychological assignment (See paragraph f. above). Also included are professional non-instructional 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 non-instructional personnel.

j. Teacher Aides

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 personnel 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 on 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
    1. 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.
    2. A librarian aide who functions essentially as a clerical or physical aide to the librarians and whose contact with particular students is casual or irregular should be counted in the Librarian and Audiovisual Activity Assignment Classification.
  2. Playground aide
    1. 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.
    2. A playground aide whose prime function is custodial should be counted in the Service Worker assignment.
K. 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.

l. Administrative Support Workers

Those are occupations requiring skills and training in all clerical-type work including activities such as preparing, transcribing, systematizing, or preserving written communications, and reports or operating such 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. 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. 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. Laborers and Helpers

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. Professional Instructional

This activity assignment classification (required in the Part-Time Staff section) should include all the activity assignment classifications listed in paragraphs b. through i. above.

q. Other Professional Staff

This classification (required in the Full-time New Hires section) should include all activity assignment classifications e. through i. above.

Appendix 3. RACE/ETHNICITY IDENTIFICATION

 

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Overview

Self-identification is the preferred method of identifying the race and ethnicity information necessary for the EEO-5 Report. School systems and districts are required to attempt to allow employees to use self-identification to complete the EEO-5 Report.

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.
  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):
  3. "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 summarized and reported to the federal government for civil rights enforcement. When reported, data will not identify any specific individual."

If an employee declines to self-identify his or her race and/or ethnicity, employment records or observer identification may be used. Where records are maintained, it is recommended that they be kept separately from the employee’s basic personnel file or other records available to those responsible for personnel decisions.

Race and ethnicity designations as used by the Equal Employment Opportunity Commission for the EEO-5 Report do not denote scientific definitions of anthropological origins. In addition, such designations do not control who is protected by Title VII prohibitions against employment discrimination based on race or national origin.

Definitions of the EEO-5 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 - All persons having origins in any of the original peoples of Europe, North Africa or the Middle East.

Asian - 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.

Black or African American - A person having origins in any of the black racial groups of Africa.

Native Hawaiian or Other Pacific Islander - A person having origins in any of the peoples of Hawaii, Guam, Samoa, or other Pacific Islands.

American Indian or Alaska Native - 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 - All persons who identify with more than one of the above five races (White, Black or African American, Asian, Native Hawaiian or Other Pacific Islander, American Indian or Alaska Native). For the purposes of this group, identifying as Hispanic or Latino and only one of the listed 5 race groups does NOT qualify.

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?” in the appropriate category for both males and females as indicated.

White (Not Hispanic or Latino) - Include all employees who identify as White and no other race, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

Asian (Not Hispanic or Latino) - Include all employees who identify as Asian and no other race, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

Black or African American (Not Hispanic or Latino)- Include all employees who identify as Black or African American and no other race, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

Native Hawaiian or Other Pacific Islander (Not Hispanic or Latino) - Include all employees who identify as Native Hawaiian or Other Pacific Islander and no other race, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

American Indian or Alaska Native (Not Hispanic or Latino) - Include all employees who identify as American Indian or Alaska Native and no other race, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

Two or More Races (Not Hispanic or Latino) - Include all employees who identify with more than one of the above five races, and who did not answer “YES” to the question “Are you Hispanic or Latino?” for both males and females as indicated in the appropriate category.

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