What is the EEO-1 Form?

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Philip Heath
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1 Review of EEO-1 and VETS-100/100-A Reporting Requirements for Federal Contractors Joseph Parma, JD Sr. Implementation Consultant Julia Méndez Fuentes, PHR, CELS Director, WCDS, Peopleclick AuthoriaResearch Institute July 29, 2010 Page 1 What is the EEO-1 Form? A form that collects the race, ethnicity and gender composition of your workforce by establishment Submitted to both the EEOC and OFCCP (Joint Reporting Committee) Page 2 1

2 Which Employers Must Complete an EEO-1 Report? All private employers with 100 or more employees All federal contractors (private employers) who have 50 or more employees and $50,000 or more in government contracts or subcontract or purchase orders All financial institutions with 50 employees which are an issuing and paying agent for U.S. Savings Bonds and Notes Religious organizations and other non-profit organizations Page 3 Which Employers Are Exempt From Completing an EEO-1 Report? Exempt from preparing EEO-1 are the following: State and local governments; Primary and secondary school systems; Institutions of higher education; Indian tribes; Tax-exempt private memberships clubs other than labor organizations. Page 4 2

3 Which Employees are Included in EEO-1 Report? All full-time employees employed during the selected payroll period All part-time employees who were employed during the selected payroll period Do not include employees hired on a casual basis for a specified time Do not include temps hired through an employment agency Only employees working in establishments in the 50 states and District of Columbia are included Page 5 Other EEO Reports EEO-3 Report: Formally known as the Local Union Report, is a biennial survey conducted every other year in the even calendar years. EEO-4 Report: Formally known as the State and Local Government Report, is collected in odd-numbered years from State and Local governments. If you have questions about this survey, or to be placed on a mailing list you may eeo4.survey@eeoc.gov, call the EEO-4 Coordinator at (202) , or send a fax to (202) EEO-5 Report: Formally known as the Elementary-Secondary Staff Information Report, is a joint requirement of the EEOC, and the Office for Civil Rights (OCR) and the National Center for Education Statistics (NCES) of the Department of Education. It is conducted biennially, in the even numbered years, and covers all public elementary and secondary school districts with 100 or more employees in the United States. Page 6 3

special reporting procedure detailing an alternative proposal for compiling

4 When Must Report be Filed? Must be filed no later than September 30 th Apply in writing to JRC for special reporting procedure detailing an alternative proposal for compiling and reporting information if hardship in meeting deadline Page 7 Filing for First Time Page 8 4

How Do You Handle Mergers? If a company merged with another entity, the company should contact the EEO-1 Joint Reporting Committee and provide the name and address of the new parent company.

5 How Do You Handle Mergers? If a company merged with another entity, the company should contact the EEO-1 Joint Reporting Committee and provide the name and address of the new parent company. Company A Company AB Company B Page 9 How is the Information Submitted? Send as an electronically transmitted data file (Preferred method) File through the EEO-1 Online Filing System Paper submission generated by request only Page 10 5

6 How is the Information Submitted? Preferred method for completing the EEO-1 reports is the web-based filing system. If you cannot locate your Login ID and/or Password, contact the EEO-1 Joint Reporting Committee at No Installation: The online form is totally web based. There is no Software to download or install. Data Reuse: As much as possible, information is prefilled from the previous year to speed up data entry. Secure: Data is transferred over the Internet using encryption, assuring your privacy. Historical Access: Access up to 10 years worth of EEO-1 data for your establishments. Page 11 Type of Report (Status Code) 1 Single-establishment company Multi-establishment company 2 Consolidated Report (Required) 3 Headquarters Report (Required) 4 Establishment Report (50 or more employees; not first time reporting) 5 Special Reporting Procedure 8 Establishment Report (less than 50 employees) 9 New Establishments Page 12 6

7 What is Done With Data Collected? OFCCP uses information as a tool to select companies for compliance reviews EEOC uses information to develop trend analysis across the country, region, state Analysis can be conducted by factors such as industry (NAICS/SIC provided by employer) Link to NAICS information Page 13 How Does a Company Obtain Race/Ethnicity and Gender Information? Self-identification is the preferred method Employers are required to attempt to allow employees to use self-identification Self-identification is voluntary If an employee declines to self-identify, employment records or observer identification may be used Company must accept employees self-identification even if employee s race or ethnicity appears to be different from what the employee claims Page 14 7

8 Sample Employee Survey Are you Hispanic, Latino, or of Spanish Origin? 0 Yes 0 No 0 I prefer not to answer What is your race? Please select all that apply. 0 American Indian or Alaska Native 0 Asian 0 Black or African American 0 Native Hawaiian or other Pacific Islander 0 White 0 I prefer not to answer. Page 15 EEO-1 Categories Executive / Senior Level Officials and Managers First / Mid-Level Officials and Managers Professionals Technicians Sales Workers Administrative Support Workers Craft Workers Operatives Laborers and Helpers Service Workers Page 16 8

9 Sections A & B Page 17 Section B & C Page 18 9

10 Section D Page 19 Sections E, F, G Page 20 10

Additional Information Q: Where can employers find more information about the EEO-1? A: General information about the EEO-1 can be found at the EEOC s website at http://www.eeoc.

11 Additional Information Q: Where can employers find more information about the EEO-1? A: General information about the EEO-1 can be found at the EEOC s website at Page 21 VEVRAA Origin Title 38 of the U.S. Code, Section 4212, Vietnam Era Veterans' Readjustment Assistance Act (VEVRAA) of 1974 law requires that employers with Federal contracts or subcontracts meeting dollar threshold provide equal opportunity and affirmative action for covered veterans. Page 22 11

12 VEVRAA Requirements Required to extend an invitation to self-identify voluntarily Required to accommodate a disabled veteran if requested in order to perform essential job duties (unless undue hardship on company) Page 23 Outreach Requirement Note that OFCCP can request to view VETS-100 report in order to determine if contractor is meeting AA obligations to recruit, retain, and promote veterans Posting positions through State Employment Office might be deemed insufficient if VETS-100 figures show no veterans or very small percentage of covered veterans employed by your company Page 24 12

13 Who Must File VETS-100/100A Report Any entity who received a contract(s) from the Federal Government in the amount of $25,000 or more, prior to December 1, 2003, or any subcontractor who received a contract(s) from such a covered contractor in the amount of $25,000 or more must file a VETS-100 Report on an annual basis. Due to Jobs for Veterans Act, the reporting threshold increased to $100,000 effective December 1, 2003 for contracts awarded on or after this date. Page 25 When Must Reports Be Filed? When to file The VETS-100 Report is due September 30, on an annual basis. The period covered The VETS-100 Report allows Federal contractors to select a reporting period based on payroll periods between July 1 and August 31. Federal contractors may pick any pay period as noted during this quarter to determine their previous 12-month reporting period for defining the reporting year. Page 26 13

14 VETS-100 Form Page 27 VETS-100 Form Current Employees New Hires Page 28 14

15 Electronic Submission Website or electronic submission is preferred Things to know about electronic submission CSV Files only accepted Format must meet the exact file requirements specified by VETS One record for Headquarters location One record for each hiring location Company Number is required and supplied by VETS Hiring location number is defined by the employer; optional Minimum and Maximum number must represent the span of 12 months up to the reporting date. Page 29 State Consolidation State Consolidated reporting is allowed Group multiple hiring locations with less than 50 employees into one consolidated report Report type: MSC Report must indicate the number of locations consolidated in the report If State Consolidated is used then you must submit a separate file listing all the consolidated locations by state In hardcopy or ed with electronic VETS-100 file Page 30 15

16 Other Data Requirements NAICS code - The North American Industry Classification System (NAICS) DUNS Dun & Bradstreet Number Employer Identification number assigned by Dun and Bradstreet used to identify federal contractors and subcontractors EIN - Employer Identification number assigned by the Internal Revenue Service to all employers; used by VETS to identify federal contractors and linking to the federal contractors database Page 31 JVA Jobs for Veterans Act of 2002 (JVA) Added 41 CFR (affirmative action and non-discrimination requirements) Created VETS-100A Report (41 CFR ) Increased threshold from $25,000 to $100,000 Page 32 16

JVA Jobs for Veterans Act of 2002 (JVA) Removed classification: Vietnam era veteran Modified classifications Recently separated veterans Disabled veterans Added new classification Armed forces

17 JVA Jobs for Veterans Act of 2002 (JVA) Removed classification: Vietnam era veteran Modified classifications Recently separated veterans Disabled veterans Added new classification Armed forces service medal veteran Page 33 JVA Disabled veterans: Veteran of the U.S. military, ground, naval or air service who is entitled to compensation under laws administered by the Secretary of Veterans Affairs; or A person who was discharged or released from active duty because of a service-connected disability Page 34 17

18 JVA Armed forces service medal veteran: A veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to E.O Medal authorized in January 11, 1996 Medal to be awarded to members of the Armed Forces who participated in military operations of significant numbers with no foreign armed opposition or the threat of imminent hostile action Page 35 JVA Recently separated veteran: A veteran during the three-year period beginning on the date of such veteran s discharge or release from active duty in the U.S. military, ground, naval or air service June 2008 Page 36 18

19 Who is covered under JVA? Contractors and sub-contractors with federal contracts worth $100,000 or more Date of contract is on or after December 1, 2003 Any previous contracts that were modified on or after December 1, 2003 which meet the $100,000 threshold Page 37 Can a contractor use a different payroll period for VETS-100A? If the contractor has a written approval from the EEOC to use December 31 st as the ending date for the EEO-1 reports, the contractor may also use that date as the ending payroll period for the VETS-100A Page 38 19

20 Will some contractors need to fill out both VETS-100 & VETS-100A? Yes if contractor has existing contracts prior to December 1, 2003 that have not been amended/modified in the amount of $25,000 or more AND contracts on or after December 1, 2003 for $100,000 December Page 39 What is considered a modification of a contract? Any alteration in the terms and conditions of a contract, including supplemental agreements, amendments and extensions Contract Page 40 20

How is it possible to still have contracts open from prior to 12/1/03?

company for 20 ships It might take 10 years for the shipbuilding company to deliver on

Employees in each of the states of the United States, the District of Columbia, the

21 How is it possible to still have contracts open from prior to 12/1/03? An example would be the Navy signing a contract on 11/30/03 with a shipbuilding company for 20 ships It might take 10 years for the shipbuilding company to deliver on all 20 ships Page 41 Who is covered by VETS-100A? Employees in each of the states of the United States, the District of Columbia, the Virgin Islands, Puerto Rico, Guam, American Samoa, Northern Mariana Islands, Wake Island, and the Trust Territories of the Pacific Islands Page 42 21

22 How to I obtain information on employee veterans status? Contractors and subcontractors knowledge of veterans status may be obtained in a variety of ways, including the following: In response to an invitation to self-identify in accordance with 41 CFR Voluntary self-disclosures by covered incumbent veterans Actual knowledge of an employee s veteran status by a contractor or subcontractor Page 43 Self-Identification Forms Although the regulations permit contractors to invite applicants to self-identify veteran status, there are only a couple of instances when you can request selfidentification for disabled or special disabled veterans prior to job offer Asking disabled individuals certain questions prior to post offer can violate ADA Page 44 22

23 Proof of veteran status Report of separation in recent years is DD Form 214 (Certificate of Release or Discharge from Active Duty) which may include the following: Date and place of entry into active duty Date and place of release from active duty Last duty assignment and rank Decorations, medals, badges, citations, and campaign awards Separation information (type of separation, character of service, authority and reason for separation, separation and reenlistment eligibility codes) Page 45 What happens if a contractor does not submit a VETS Report? Failure to submit the required report can lead to 2 types of sanctions for noncompliant Federal contractors or subcontractors 1. Information on noncompliance will be provided to OFCCP 2. Federal legislation forbids Federal Contracting Officers to award or modify Federal contracts unless the current VETS Reports have been submitted Page 46 23

Are small banks required to file this report? The term services includes insurance and fund depository, irrespective of whether or not the government is the purchaser or seller.

24 Are small banks required to file this report? The term services includes insurance and fund depository, irrespective of whether or not the government is the purchaser or seller. If your facility meets one of the following criteria, you may be required to file: Participation in any federal deposit insurance program including FDIC in any amount Serve as a depository of federal funds Sell and/or redeem US Savings Bonds Page 47 What is the employee count threshold for filing VETS-100A? There is no employee count threshold for filing the VETS-100, VETS-100A or for preparing an affirmative action program for veterans (or disabled) The only threshold is the dollar amount of the federal contract/sub-contract Page 48 24

25 VETS Website and other useful support resources VETS-100 Information: VETS Help Desk Phone Number: (301) Page 49 Questions? Page 50 25

Final Rule for Veterans (VEVRAA)

Final Rule for Veterans (VEVRAA) On September 24, 2013 the Federal Register published the Office of Federal Contract Compliance Programs (OFCCP) Final Rule revising the obligations of federal contractors