Frequently Asked Questions

About the EEO-4 Report

 

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What is the EEO-4 Report?

What is the EEO-4 Report?

The State and Local Government Information Report (EEO-4), EEOC Form 164, also referred to as the EEO-4 Report, is a mandatory biennial data collection that requires all State and local governments with 100 or more employees to submit demographic workforce data, including data by race/ethnicity, sex, job category, and salary band. The filing by eligible State and local governments 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 1602.30 and .32-.37. See Appendix 5 of the EEO-4 Instruction Booklet for additional information.

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 1602.30 and .32-.37, prescribing the reporting and related record retention requirements for State and local governments. 29 CFR 1602.30 requires every covered State and local government to make or keep all records necessary for completion of an EEO-4 submission and retain those records for three years. 29 CFR 1602.32 requires EEO-4 filers to retain a copy of each filed EEO-4 report for three years. See Appendix 5 of the EEO-4 Instruction Booklet for additional information.

Filing Deadline

When is the 2021 EEO-4 filing deadline?

The 2021 EEO-4 data collection will open on Tuesday, October 26, 2021. The EEO-4 Report for calendar year 2021 must be filed no later than Tuesday, January 4, 2022.

Data Security and Confidentiality

Is EEO-4 data confidential?

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-4 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 individual’s information.

Which State and Local Governments Must File?

Which State and local governments are required to file the EEO-4?

The State and Local Government Information Report (EEO-4), EEOC Form 164, also referred to as the EEO-4 Report, is a mandatory biennial data collection that requires all State and local governments with 100 or more employees to submit demographic workforce data, including data by race/ethnicity, sex, job category, and salary band. The filing by eligible State and local governments 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 1602.30 and .32-.37. See Appendix 5 of the EEO-4 Instruction Booklet for additional information.

What are the relevant reporting periods (i.e., for counting employees) for the 2021 EEO-4 data collection?

Employment data used for the EEO-4 report must be provided as of June 30th of the reporting year (i.e., 2021). The employment status (full-time or part-time) employees are reported under, must also be based on their employment as of June 30th of the reporting year (i.e., 2021).

For purposes of the EEO-4 report, a person is an employee of a political jurisdiction if the employee is on the payroll of that jurisdiction, regardless of the source of the funds by which the employee is paid.

Relevant Reporting Periods for EEO-4 Employee Data

Full-time Employee Data: Full-time employee data should cover the payroll period which includes June 30th of the reporting year (i.e., 2021).

Part-time Employee Data: Part-time employee data should cover the payroll period which includes June 30th of the reporting year (i.e., 2021).

New Permanent Full-Time Hires Data: Filers must provide a breakout of new permanent full-time hires during the fiscal year (i.e., July 1st, 2020 – June 30th, 2021). Data for such new hires covers the entire fiscal year which ends on June 30th of the reporting year (i.e., 2021). The relevant time period for the 2021 reporting year would be July 1st, 2020 – June 30th, 2021. Please note that the data for new hires only includes permanent full-time new hires. Part-time/temporary new hires would not be included in “New Hires during Fiscal Year.” However, any new permanent full-time hires covered by the payroll period which includes June 30th, 2021, should also be included under “Full-Time Employees.

What if EEO-4 data are not available centrally for a jurisdiction?

In those jurisdictions where all data are available at a single location, all reports may be completed by the central office. Where data are not available centrally, data should be obtained by the central office from all departments/agencies and aggregated into the relevant report by function.

What if the branch or agency of a government has separately elected officials or is autonomous or semi-autonomous in its operations?

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 the 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, the jurisdiction should list the name and address of each department/agency for which data has not been included under section 5 F. Departments/Agencies Not Included in This Report.

What about the existence of special district governments? How should those be handled for purposes of the 2021 EEO-4 Report?

Where interstate, intercounty, boards, agencies, commissions, or other types of special district governments exist for each function performed.

What are the filing requirements for all jurisdictions?

  1. All State and local governments must file one report for each function listed under section 5 C. Function (if that function is performed) for a maximum of 15 function reports. These functions may be found in the EEO-4 Instruction Booklet as well as below. Jurisdictions should only report employees on the jurisdiction’s payroll during the relevant period (i.e., payroll period covering June 30th of the reporting year). For the 2021 EEO-4 Report, the reporting year is 2021.
  2. Additionally, for each function report, the jurisdiction should list the departments or agencies that perform the function indicated in the report under section 5 E. Departments/Agencies Included in This Report (see the EEO-4 Instruction Booklet for additional information). For example, Function 1 “Financial Administration” and “General Control” might include the following departments/agencies: Office of the Tax Collector, Office of the Mayor, Office of the District Attorney, etc. Jurisdictions should also include under that section, the National Crime Information Center (NCIC) numbers assigned by the U.S. Department of Justice to any criminal justice departments/agencies whose data are included in this report.
  3. If a jurisdiction cannot supply the data for every department or agency with the below functions, the jurisdiction should list the name and address of each department or agency for which data has not been included in the report under section 5 F. Departments/Agencies Not Included in This Report (see the EEO-4 Instruction Booklet for additional information).

Are there different reporting requirements for jurisdictions with fewer than 1,000 employees?

No. All eligible State or local governments that have 100 or more employees must file the EEO-4 Report. All State and local governments (regardless of the number of employees performing the function) must file one report for each function listed under section 5 C. Function (if that function is performed) for a maximum of 15 function reports.

Preparing to File

 

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Data included in the EEO-4 Report

How does a filer report the “type of government” for its jurisdiction in the EEO-4 Report?

Under the “Type of Government” section in the EEO-4 Report, a filer must select only one of the following (i.e., type of government):

  1. State
  2. County
  3. City
  4. Township
  5. Special District
  6. Other (Specify)
    Note: If filers select “other,” please specify what type of government best identifies your political jurisdiction.

For purposes of the EEO-4 Report, what is a “function” performed by employees?

EEO-4 filers must indicate which jurisdiction function(s) is (are) performed by the employees on the report. Below is the list of 15 functions for the EEO-4 Report.

List of 15 Functions

  1. FINANCIAL ADMINISTRATION. Tax billing and collection, budgeting, purchasing, central accounting and similar financial administration carried on by a treasurer’s, auditor’s or comptroller’s office and;
    GENERAL CONTROL. Duties usually performed by boards of supervisors or commissioners, central administration offices and agencies, central personnel or planning agencies, all judicial offices and employees (judges, magistrates, bailiffs, et al.).
  2. STREETS AND HIGHWAYS. Maintenance, repair, construction and administration of streets, alleys, sidewalks, roads, highways, and bridges.
  3. PUBLIC WELFARE. Maintenance of homes and other institutions for the needy; administration of public assistance. (Hospitals should be reported under Function number 7 below).
  4. POLICE PROTECTION. Duties of a police department sheriff’s, constable’s, coroner’s office, etc. Including technical and clerical employees engaged in police activities.
  5. FIRE PROTECTION. Duties of the uniformed fire force and clerical employees. (Report any forest fire protection activities in Function number 6 below).
  6. NATURAL RESOURCES. Agriculture, forestry, forest fire protection, irrigation drainage, flood control, etc., and;
  7. PARKS AND RECREATION. Provision, maintenance and operation of parks, playgrounds, swimming pools, auditoriums, museums, marinas, zoos, etc.
  8. HEALTH. Provision of public health services, outpatient clinics, visiting nurses, food and sanitary inspections, mental health, alcohol rehabilitation service, etc.
  9. HOUSING. Code enforcement, low rent public housing, fair housing ordinance enforcement, housing for elderly, housing rehabilitation, rent control.
  10. COMMUNITY DEVELOPMENT. Planning, zoning, land development, open space, beautification, preservation.
  11. CORRECTIONS. Jails, reformatories, detention homes, halfway houses, prisons, parole and probation activities.
  12. UTILITIES AND TRANSPORTATION. Includes water supply, electric power, transit, gas, airports, water transportation and terminals.
  13. SANITATION AND SEWAGE. Street cleaning, garbage and refuse collection and disposal. Provision, maintenance and operation of sanitary and storm sewer systems and sewage disposal plants.
  14. EMPLOYMENT SECURITY. State governments only.
  15. OTHER.(Specify).
    Note: If a jurisdiction selects “other,” please list the function(s) performed under this selection.

The data reported for the above functions should be aggregated for all the performing departments or agencies within the particular function. This also applies to unspecified functions which are to be combined for Function 15 “Other” above. Any jurisdictions reporting employees under Function 15 “Other” should also list these unspecified functions. State education agencies (both agencies covering elementary and secondary schools and those covering education) should be included in Function 15 “Other” above. However, data for public elementary and secondary school systems and districts should not be included in the EEO-4 Report. The EEOC collects such data separately under the EEO-5 Elementary-Secondary Staff Information Report. Additional information regarding the EEO-5 Report can be found at https://EEOCdata.org/eeo4.

Where the jurisdiction is unable to separate data, the department or agency should be reported under the function that represents it 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 under Function 2 “Streets and Highways” above.

All jurisdictions (regardless of the number of employees performing the function) must file one report for each function listed above (if that function is performed) for a maximum of 15 function reports.

For purposes of the EEO-4 Report, how do I report full-time employees and annual salary data?

Employee data for Full-time Employees should include total full-time employees except for certain exempted elected and appointed officials described in Appendix 1 of the EEO-4 Instruction Booklet. Where employees receive separate salaries or payments from two or more jurisdictions, but work full-time for one jurisdiction, those employees should be counted as full-time employees by that jurisdiction. Additionally, those employees’ annual salaries, to the extent possible, 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 function, the employee should be reported for the function which accounts for most of the employee’s worktime. Trainees should be counted in the appropriate columns by job, salary, race/ethnicity, and sex. Every “full-time employee” must be accounted for in one and only one of the listed categories. The specific job categories as well as race/ethnicity definitions can be found in Appendices 2 and 3 of the EEO-4 Instruction Booklet.

Annual Salary: Full-time employee data must also be reported by annual salary in the provided pay bands within the job category. The list of annual salary pay bands can be found in Appendix 4 of the EEO-4 Instruction Booklet. Report each employee in only one job/annual salary category. Where employees are paid on other than an annual basis, their regular earnings in the payroll period which includes June 30th of the reporting year (i.e., 2021) 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.

For purposes of the EEO-4 Report, how do I report other than full-time employees?

Employee data for Other Than Full-time Employees should include all employees not included under the Full-time Employees, except for certain exempted elected and appointed officials described in Appendix 1 of the EEO-4 Instruction Booklet. 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. Employees on the payroll of the jurisdiction for a specified temporary appointment, such as a public employment program, should be included under Other Than Full-time Employees. Every “other than full-time employee” must be accounted for in one and only one of the listed categories. Job categories as well as race/ethnicity definitions can be found in Appendices 2 and 3 of the EEO-4 Instruction Booklet. Filers are not required to provide annual salary data for “other than full-time employees.”

For purposes of the EEO-4 Report, how do I report new hires during fiscal year?

Employee data under new hires during fiscal year should include those employees who were hired during the fiscal year (i.e., July 1, 2020 – June 30, 2021) into permanent full-time positions. New permanent full-time hires should be included in this section even if they were terminated prior to the end of the fiscal year. Additionally, new hires reported under new hires during fiscal year should also be reported under Full-time Employees if the new hires were on the payroll as of June 30th, 2021 of the fiscal year. Every “new hires during fiscal year” must be accounted for in one and only one of the listed categories. Job categories as well as race/ethnicity definitions can be found in Appendices 2 and 3 of the EEO-4 Instruction Booklet. Filers are not required to provide annual salary data for “new hires during fiscal year” under this section.

How to Classify Employees into Categories

How does a State or local government determine an employee’s race and/or ethnicity?

Self-identification is the preferred method of identifying the race/ethnicity information necessary for the EEO-4 Report. State and local governments are required to attempt to allow employees to use self-identification to complete the EEO-4 Report.

As to the method of collecting data, the basic principles for ethnic and racial self-identification for purposes of the EEO-4 Report are:

  1. Offer employees the opportunity to self-identify.
  2. Provide a statement about the voluntary nature of this inquiry. For example, language such as the following may be used (State and local governments may adapt this language):

    “The State or local government 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 State or local government invites employees s to voluntarily self-identify their race/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/ethnicity, personnel records or observer identification may be used. Where records are maintained, it is recommended that they be kept separately from the basic files on employees, or other records available to those responsible for personnel decisions.

What if an employee declines to self-identify their race and/or ethnicity?

Self-identification is the preferred method of identifying race and ethnicity information necessary for the EEO-4 Report. If an employee declines to self-identify their race/ethnicity, personnel records or observer identification may be used. Where records are maintained, it is recommended that they be kept separately from the basic files on employees, or other records available to those responsible for personnel decisions.

What are the Race and Ethnicity Categories to be used for the 2021 EEO-4 Report?

For the purposes of this report, the following race and ethnicity categories must be used:

  • Hispanic or Latino
  • White (Not Hispanic or Latino)
  • Black or African American (Not Hispanic or Latino)
  • Asian (Not Hispanic or Latino)
  • Native Hawaiian or Other Pacific Islander (Not Hispanic or Latino)
  • American Indian or Alaska Native (Not Hispanic or Latino)
  • Two or More Races (Not Hispanic or Latino)

See the EEO-4 Instruction Booklet for race and ethnicity category descriptions.

We are a political jurisdiction located in the State of Hawaii. Are we still permitted to report data for additional race/ethnicity categories?

Yes. Under the Remarks section, jurisdictions in Hawaii may choose to also include data for employees based upon the below prior historical EEO-4 race/ethnicity categories for the State of Hawaii. The reporting of such data is not mandatory and is optional for jurisdictions in the State of Hawaii.

  1. “Hawaiian”: Includes persons of Hawaiian descent including part Hawaiian with any other descent.
  2. “Chinese and Korean”: Includes persons of Chinese and Korean descent.
  3. “Filipino”: Includes persons of Filipino descent.
  4. “Japanese”: Includes persons of Japanese descent.

    Please preface these data with the phrase “Additional Hawaii Jurisdiction Data.”

For example: Additional Hawaii Jurisdiction Data: Function 4 Police Protection: 1 Chinese or Korean Female employee in job category Protective Service; salary band $33.0 – 42.9. Function 6 Natural Resources: 2 Filipino Male employees in job category Professionals; salary band: $43.0 – 54.9. 1 Filipino Female Employee in job category Professionals; salary band: $43.0 – 54.9. Function 1 General Administration: 4 Hawaiian Female employees in job category Officials – Administrators; salary band: $70.0 plus.

If a jurisdiction in the State of Hawaii has questions about the reporting of such data by the above race/ethnicity categories, please contact the EEO-4 Filer Support Center at EEO4FilerSupport@EEOCdata.org. Emails must include the subject line: Hawaii Supplemental Data Question.

Our State or local government is now collecting gender beyond the male/female binary. We would like to report this for the 2021 EEO-4 data collection. How do we report this data?

State and local governments may choose to report non-binary gender counts for employees in the comment box on the Certification Page within the EEO-4 Online Filing System. Please preface this data with the phrase “Additional Employee Data:”

For example, “Additional Employee Data: Function 4 Police Protection: 1 White (not Hispanic or Latino) non-binary gender employee in job category Protective Service; salary band $33.0 – 42.9. Function 6 Natural Resources: 2 Black or African American (not Hispanic or Latino) non-binary gender employees in job category Professionals; salary band: $43.0 – 54.9. Function 1 General Administration: 4 Hispanic or Latino non-binary gender employees in job category Officials – Administrators; salary band: $70.0 plus.”

Getting Started

 

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How Do I File?

What are the options for submitting the 2021 EEO-4 Report?

EEO-4 reporting is an electronic, online application. The EEOC requires that EEO-4 Reports be submitted via the new EEO-4 Online Filing System at https://EEOCdata.org/eeo4. 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-4 Online Filing System. The data file upload option will not be available on October 26, 2021. The filer support page on the website will include updates on data file upload instructions and availability of this option to submit data after data collection launches. Filers can begin submitting data for the 2021 EEO-4 data collection through the EEO-4 Online Filing System on Tuesday, October 26, 2021.

State and Local Governments Filing for the First Time

If a State or local government has never filed an EEO-4 Report before, how can the State or local government get started?

Visit EEOCdata.org/eeo4, navigate to the registration page and follow the online instructions. After submitting the registration form filers will be provided with a Registration ID and PIN via email. File using the Registration ID and PIN that is provided.

If a State or local government is required to file the EEO-4 Report for the first time, how does a filer obtain an EEO-4 Registration ID and PIN?

Visit EEOCdata.org/eeo4, navigate to the registration page, and follow the online instructions for State and local governments filing for the first time. After submitting the registration form, a filer will receive a Registration ID and PIN via email.

If I am a newly eligible State or local government and registered online but didn't receive a Registration ID number and PIN on the screen, do I need to register again?

No. After registering an account, filers should be able to log in to the account using the username (email address) and the user account password created in the registration and account creation process. After logging into the EEO-4 Online Filing System, filers can access their Registration ID and also invite others to create accounts under your State or local government by adding additional contacts.

State and Local Governments That Have Filed Before

How can a filer access a State or local government’s dashboard to begin submitting the 2021 EEO-4 Report?

All filers will need to create a new user account in 2021 using the Registration ID and PIN included in the notification letter. This letter will be mailed to filers in mid-October 2021. If the State or local government filed previously and has not received their Registration ID and PIN, please use filer support page ‘Contact Us’ form to contact the EEO-4 Filer Support Team.

Once the user account is linked to a State or local government, the filer will be able to access its State or Local Government Dashboard and file the EEO-4 Report via the EEO-4 Online Filing System.

How does a filer correct or update a State or local government’s address for filing the 2021 EEO-4?

Log into the EEO-4 Online Filing System and navigate to your State or Local Government Dashboard and update the information under “Confirm State or Local Government Information and Contacts.”

How can a State or local government update a point of contact(s) for the 2021 EEO-4 data collection?

Contact the EEO-4 Filer Support Team to submit the State or local government’s updated contact information. This request must be submitted by an authorized official who is currently a point of contact or include a letter in electronic PDF format on the State or local government letterhead from an authorized official identifying the new contacts.

How can a State or local government view prior year reports?

If a State or local government has filed in the past, the 2019 EEO-4 Reports are available in the EEO-4 Online Filing System. From the Dashboard, click on Historical Data (Prior EEO-4 Reports) to download prior year reports.

Are State and local governments able to correct information provided in prior year reports?

No. State and local governments are not able to correct, or update information reported in prior year reports (e.g., 2019 EEO-4 Reports).

Are State and local governments able to file previous year reports?

No. Once the reporting year’s data collection has closed, no additional reports can be filed. For example, the 2019 EEO-4 data collection has closed, and no further reports are being accepted.

Account and Log-in Information

How can a filer create an account?

Each user will be able to create a unique user account during the registration process. This will be a new account specifically for the 2021 EEO-4 Report. Once the user account is created, authorized staff can use the Registration ID and PIN provided in the advance notification letter to link the State or local government to their account.

What should a filer do if a State or local government did not receive (or cannot locate) the advance notification letter that includes the Registration ID and PIN?

The letters will be mailed in mid-October 2021. If a State or local government did not receive the letter by the beginning of November and the State or local government filed previously, please use the filer support page ‘Contact Us’ form to contact the EEO-4 Filer Support Team. It may be necessary to update the contact information. It will be necessary to verify that the caller is authorized to receive this information. The caller must be an existing point of contact in our records or must provide a letter on State or local government letterhead in electronic PDF format, signed by an authorized representative authorizing filer access.

The State or local government point of contact has changed since the last data collection. How does the State or local government update a point of contact?

Please use EEO-4 filer support page ‘Contact Changes’ form to submit updated contact information. In the request, please send the following information:

  1. State or local government name
  2. New Contact Name
  3. New Contact Email
  4. New Contact Phone Number
  5. Whether this replaces or adds to existing contacts
  6. New Mailing Address (if applicable)

Can State or local governments include more than one point of contact to receive all communications?

Yes. State and local governments can include more than one person as the point of contact. State and local governments can also add additional contacts.

Data Submission

 

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EEO-4 Online Filing System

How do filers save entries within the EEO-4 Online Filing System?

As filers move from one screen to another, the EEO-4 Online Filing System saves filer progress. Please select ‘Save and Continue Later’ at the bottom of the screen before navigating away from the EEO-4 Online Filing System. There is no need to select this option on every screen, just on the final screen before leaving the EEO-4 Online Filing System. After selecting ‘Save and Continue Later’, filers can close the browser and return another day to finish.

How can filers print an EEO-4 Report for their records?

After certification, filers may print the report by selecting ‘Report’ in the State or Local Government Dashboard in the EEO-4 Online Filing System.

How does the filing system indicate filers are finished?

As filers complete each step of the process on the State or Local Government Dashboard, each step will change from ‘Active’ to ‘Complete’. Please note that the ‘File/Upload EEO-4 Report’ step will not be marked as “Complete” until all of the steps on the State or Local Government Functions List are marked as “Complete”. Once The ‘File/Upload EEO-4 Report’ is shown as “Complete,” the ‘Review EEO-4 Reports’ and the ‘Certify EEO-4 Reports’ steps will become ‘Active.’ Reviewing reports is not required but is encouraged to prevent errors. When the ‘Certify EEO-4 Reports’ step is ‘Active’, select that step to complete the certification process. Filers will then proceed to a screen to enter Certifying Official information and certify the Report. Filers will receive an email indicating that the EEO-4 Report was certified.

Certification

What happens if a filer does not complete the Certify EEO-4 Reports step?

If a filer fails to complete the certify EEO-4 Report step within the EEO-4 Online Filing System, the status of the State or local government’s filing will be considered incomplete by the EEOC. If the State or local government’s submission is not certified by the filing deadline, the EEOC will send the State or local government a notification of Failure to File letter. This letter will request that the State or local government certify its data in order to complete its required filing.

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