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EEO-1 and VETS-4212 Reports: How To

Maintain Compliance

Presented by:

Michelle Perris - Human Resources Consultant

Robin Niel – Team Leader- Human Resources Consulting

[email protected]

Today’s Agenda

EEO-1

� Background/History

� Who must file

� Why/How data is collected

� When to file

� How to file

� Job categories

� How to Prepare

� Recordkeeping

� Failure to File

VETS 4212

� What has changed

� Who must file

� When to file

� How to file

� Recordkeeping

� Failure to File

The US Equal Employment Opportunity

Commission

� Enforces EEO-1 and VETS-4212 Reporting

� Enforces Federal laws prohibiting employment

discrimination based on race, color, religion, sex,

national origin, age, disability or genetic information.

� Prohibits harassment by managers, co-workers or

others in the workplace based on the same

characteristics.

Who Must File the EEO-1 Report?

Private Employers� Subject to Title VII of the Civil Rights Act of 1964

� 100 or more employees excluding State and local governments

All Federal Contractors (private employers)� Not exempt

� 50 or more employees

� Prime contractors of first-tier subcontractors

� Have a contract or subcontract (or purchase order) amounting to $50,000 or more

� Serve as a depository of government funds in any amount

� Financial institution which is an issuing or paying agent for US Savings Bonds and Notes

Why is this Data Collected?

� Data is collected and used for variety of purposes₋ Enforcement

₋ Self-assessment by employers

₋ Research

� Employers have a legal obligation to provide data – it is NOT voluntary

� Each report collects data about gender, race and ethnicity, and job category and is shared with other authorized federal agencies

� Data is confidential

EEO-1 Voluntary Self Identification Form

� Forms are for reporting purposes only and should be kept separate from all other personnel records.

� Race/Ethnicity₋ Hispanic or Latino

₋ White (Not Hispanic or Latino)

₋ Black or African American (Not Hispanic or Latino)

₋ Native Hawaiian or Other Pacific Islander (Not Hispanic or Latino)

₋ Asian (Not Hispanic or Latino)

₋ American Indian or Alaska Native (Not Hispanic or Latino)

₋ Two or more races (Not Hispanic or Latino)

Methods of Collecting Data

The two basic principles for ethnic and racial self-identification for purposes of the EEO-1 report are:

I. Offer employees the opportunity to self-identify

II. Provide a statement about the voluntary nature of this inquiry for employees

� Equal Employment Advisory Council -http://www.eeac.org/public/03-243a.pdf

� Observer Identification Method

When to File the EEO-1 Form Report

Annual report MUST be filed with Joint Reporting Committee no later than September 30th!

� May use any pay-period in July through September of the current survey year

� May request an extension by e-mailing the EEOC beforeSeptember 30th!

Email: [email protected]

EEO-1 & VETS Pay Period Selection

EEO-1 reporting pay period and the VETS 4212 pay period:

� EEO-1 may use any pay-period in July through September of the current survey year

� VETS 4212 must select a pay period between July 1st and August 31st

� Best practice to use the pay period ending July 31st for both reports and/or the pay period that best represents the organization

How to File the EEO-1 Report

Single Establishment Employers:

� Must complete a single Standard Form 100, or use alternate filing method

Multi-Establishment Employers:

� Report covering the principal or headquarters office

� Consolidated report that must include all employees by race, sex, and job category in establishments with or without 50 employees

� A list showing the name, address, total employment and major activity for each establishment employing fewer than 50 persons

Types of Reports (Status Code)

Single Establishment Employers:

1– Single-establishment company

Multi-Establishment Employers:

2– Consolidated Report (Required)

3 – Headquarters Report (Required)

4 – Establishment Report (50 or more employees)

6 – Establishment List (Option 1)

8 – Establishment Report (less than 50 employees) (Option 2)

Where to File the EEO-1 Report

� Submission of EEO-1 data through the EEO-1 Online

Filing System or as an electronically transmitted data

file is strongly preferred.

� Paper EEO-1 forms will be generated on request

only, in extreme cases where Internet access is not

available to the employer. An EEO-1 report submitted

on paper must be prepared following the directions.

EEOC’s EEO-1 Job Categories

Officials and Managers

� Executive/Senior Level Officials and Managers

� Chief Executive Officers, Chief Financial Officers

� First/Mid Level Officials and Managers

� General and Operations Managers, HR Managers

Professionals

� Agents, Business Managers, Performers, Athletes

� HR Specialists, Compliance Officers, Accountants

� Loan Officers


Technicians

� Drafters

� Engineering Technicians

� Surveying and Mapping Technicians

Sales Workers

� Cashiers

� Retail Sales

� Advertising

� Travel Agents

� Sales Reps


Administrative Support Workers

� Paralegals and Legal Assistants

� Library Technicians

� Teacher Assistants

� Bookkeeping, Accounting, and Auditing Clerks

Craft Workers

� First-line Supervisors

� Carpenters

� Electricians

� Painters


Operatives

� Graders and Sorters

� Engine and Machine Assemblers

� Bakers

Laborers and Helpers

� Grounds Maintenance

� Construction Workers

� Service Station Attendants


Service Workers

� Dental Assistants

� Fire Fighters

� Detectives

� Police Officers

� Cook

How to Prepare a

Standard Form 100

Section A – Type of Report

Section B – Company Identification

Section C – Employers Who Are

Required To File

Section D – Employment Data

Section E – Establishment Information

Section F - Remarks

Section G – Certification

EEO-1 Recordkeeping

� Commission reserves right to impose recordkeeping

requirements if those records are necessary for

effective operation of EEO-1 reporting system or to

accomplish purposes of Title VII or the ADA

� Any personnel or employment record should be

retained for a period of at least one year from the

date of making the record

Failure to File the EEO-1 Report

� There are no fines or penalties for not filing the

required EEO-1 report

� However, the Equal Employment Opportunity

Commission can FORCE employers to file

Vietnam Era Veterans'

Readjustment Assistance as

Amended – VETS 4212

What has changed from 2014 VETS

reporting?

� Eliminates the VETS-100 and replaces the 100A report

� Reduces reporting elements by about half

� Revisions to categories and terminology

� Reporting of current employees will be in aggregate

� Reporting of new hires by hire date location or in

aggregate

Reporting Elements Then VS Now

2014 VETS (100/100A)

Reporting Elements Then VS Now

2015 VETS (4212)

Revisions to “Protected Veterans” Categories

The VETS-4212 Report categories are simply "Protected

Veterans'" as defined as:

� Disabled veterans;

� Other protected veterans (veterans who served on active duty in the U.S.

military during a war or in a campaign or expedition for which a campaign

badge is awarded);

� Armed Forces service medal veterans (veterans who, while serving on

active duty in the Armed Forces, participated in a United States military

operation for which an Armed Forces service medal was awarded

pursuant to Executive Order 12985); and

� Recently separated veterans (veterans within 36 months from discharge

or release from active duty).

Who Must File the VETS-4212 Reports?

� All nonexempt Federal contractors and subcontractors with a

contract or subcontract in the amount of $100,000 or more.

� Contract and subcontracts include agreements for the purchase,

for the sale, or for the use of personal services and non-personal

services (including construction).

When to File the VETS-4212 Report?

� The VETS- 4212 filing cycle began on August 1st

� The VETS- 4212 filing deadline is September 30th

How to Prepare the VETS-4212

Reports?

Number of Employees:

� Select any payroll period ending between July 1 and

August 31 of the current year.

� Provide all data for permanent full-time and part-

time employees who were veterans as of the ending

date of the selected payroll period.

VETS-4212 - Select the Correct Reporting

Organization and Type of Form

Identify Required VETS-4212 Reports

Single establishment employers must file:

� One completed form

All multi establishment employers must file: � One (1) form covering the principal or headquarters office; or

� A separate form for each hiring location employing 50 or more

persons; and either

I. A separate form for each hiring location employing fewer

than 50 persons;

or

II. Consolidated reports that cover hiring locations within one

State that have fewer than 50 employees.

VETS-4212

Complete the Company Identification

VETS 4212 customer support staff at (866)237-0275 Email: [email protected]

VETS-4212

Complete Employee Information

How to File the VETS 4212 Reports

� The preferred method for filing VETS-4212 Reports is

electronically through the VETS web-based filing system.

� Instructions for electronically filing the VETS-4212 Report are

found on the VETS website at

http://www.dol.gov/vets/vets4212.htm

� Alternatively, The VETS-4212 Report may also be filed in paper

format. Reporting organizations may download a paper version

of the VETS-4212 Report from the VETS website at

http://www.dol.gov/vets/vets4212.htm

How to File the VETS 4212 Reports

� VETS-4212 Reports in paper format or electronic data files on

compact discs or other electronic storage media may be delivered

by U.S. mail or courier delivery service to:

Veterans’ Employment and Training Service, c/o

Department of Labor National Contact Center,

15000 Conference Center Drive, Suite B0132,

Chantilly, VA 20194.

� Paper copies of the VETS-4212 Reports and electronic data files

(also may be sent as e-mail attachments to: VETS4212-

[email protected]

VETS-4212 Report

Recordkeeping Requirements

� Employers must keep a copy of the completed annual VETS-

4212 Report(s) submitted to DOL for a period of three years.

Failure to File the VETS Report

Two types of sanctions for noncompliance:

� The OFCCP generally attempts to negotiate a

mutually acceptable remedy to resolve the major

violation.

� Federal legislation forbids Federal Contracting

Officers to award or modify Federal contracts

unless the VETS Reports have been submitted.

Additional Resources

EEO-1 Report Resources

� Website: http://www.eeoc.gov/employers/eeo1survey/index.cfm

� Email: [email protected]

� Toll Free Number: 1-866-286-6440

VETS- Report Resources

� Website: http://www.dol.gov/vets/vets4212.htm#howtofile

� Email: [email protected]

� Toll Free Number: 1-866-237-0275

Affirmative Action Plan Obligations

Are required to develop an affirmative action plan (AAP)?

• Federal contractors with 50 or more employees and at least $50,000 in federal

contracts must develop a written affirmative action.

• For addition information, please refer to the following websites:

• http://www.dol.gov/ofccp/regs/compliance/faqs/emprfaqs.htm#Q1

• http://www.dol.gov/ofccp/regs/compliance/AAPs/AAPs.htm

• For a sample Affirmative Action Plan (AAP), please refer to the following website:

• http://www.dol.gov/ofccp/regs/compliance/AAPs/Sample_AAP_final_JRF_QA

_508c.pdf

Q&AMichelle Perris

Robin Niel

Phone Number: (314) 594-2700

Email Address: [email protected]

The recommendations and opinions provided herein are based on general Human Resources management fundamentals, practices and principles and are not legal opinions or guaranteed outcomes. We strongly recommend as part of a team approach to management, that clients consult with legal counsel of their choice to address legal concerns related to human resource issues.

today’s webinar brought to you by… - j.w. terrill · vets-4212 reports in paper format or...

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