U.S. Department of Justice, Office of Justice Programs

Questions & Answers and Self-Test Scenarios

What is an Equal Employment Opportunity Plan (EEOP)?

An Equal Employment Opportunity Plan or EEOP is a workforce report that some organizations must complete as a condition for receiving Justice Department funding authorized by the Omnibus Crime Control and Safe Streets Act (Safe Streets Act) of 1968. The purpose of the EEOP is to make sure that recipients of financial assistance from the Justice Department are providing equal employment opportunities to men and women regardless of sex, race, or national origin. The federal regulations establishing the EEOP requirement also link a diverse workforce to effective law enforcement:

The experience of the [Justice Department] in implementing its responsibilities under the Omnibus Crime Control and safe Streets Act of 1968, as amended, . . . has demonstrated that the full and equal participation of women and minority individuals in employment opportunities in the criminal justice system is a necessary component to the Safe Streets Act's program to reduce crime and delinquency in the United States.

28 C.F.R. § 42.301. The Justice Department regulations pertaining to the development of a comprehensive EEOP can be found at 28 C.F.R. § 42.301-.308.

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What is an EEOP Utilization Report?

The Office for Civil Rights (OCR) has developed the EEOP Utilization Report to help recipients comply with the EEOP regulations. Instead of requiring recipients to report all of the employment data that the federal regulations require recipients to keep (see 28 C.F.R. § 42.301-.308), OCR uses the EEOP Utilization Report to prompt recipients to collect and analyze key employment data, organized by race, national origin, and sex. The OCR also uses the EEOP Utilization Report as an initial screening tool. If the OCR's review of an agency's EEOP Utilization Report indicates that a more thorough examination of employment practices may be appropriate, the OCR may request that the recipient provide additional employment data that the EEOP regulations require.

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Why is it important to know under which authorizing statute a recipient has received financial assistance?

The requirement to develop, maintain, and submit an Equal Employment Opportunity Plan (EEOP) derives from federal regulations implementing the Safe Streets Act. Recipients who have received funding under the Safe Streets Act must comply with the EEOP requirements. In addition, recipients of funding under the Juvenile Justice and Delinquency Prevention Act (JJDPA) must comply with the EEOP requirements because the JJDPA relies on the administrative provisions of the Safe Streets Act. Recipients of funding under the Victims of Crime Act (VOCA) must also comply with the EEOP requirements because as a matter of policy, the Office for Victims of Crime (OVC) has made compliance with the EEOP requirements a condition for VOCA awards. Recipients of federal assistance that do not receive funding under the Safe Streets Act, the JJDPA, or VOCA are not bound by the EEOP regulations.

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How can I tell if a recipient is subject to the administrative provisions of the Safe Streets?

A recipient is subject to the administrative provisions of the Safe Streets Act, if it receives funding under any of the grant programs listed here. This list of grant programs may not be complete. If you are still unsure of whether your agency is receiving funds under a program subject to the administrative provisions of the Safe Streets Act, contact your Justice Department program manager.

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Do recipients of funding under the Victims of Crime Act (VOCA) have to prepare an EEOP?

The Victims of Crime Act (VOCA), similar to the Safe Streets Act, prohibits recipients from discriminating either in employment or in the delivery of services or benefits on the basis of race, color, national origin, religion, sex, or disability. Although programs funded under VOCA are not subject to the administrative provisions of the Safe Streets Act, the Office for Victims of Crime (OVC), which administers VOCA-funded programs, requires all recipients of VOCA funding to comply with the Safe Streets Act regulations that apply to the development of an EEOP.

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Which recipients are exempt from developing an EEOP?

Recipients subject to the administrative provisions of the Safe Streets Act (as well as recipients of VOCA funds) are exempt from the EEOP requirement, if they meet ANY of the following criteria:

  • The recipient is a nonprofit organization, a medical or educational institution, or an Indian Tribe; OR
  • The recipient has less than 50 employees; OR
  • The recipient received a single award for less than $25,000.

To claim the exemption from developing an EEOP, you must complete Section A of the Certification Form and send it to the Office for Civil Rights (OCR).

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Which recipients are required to develop an EEOP Utilization Report?

Recipients subject to the authority of the Safe Streets Act (as well as recipients of VOCA funds) must develop an EEOP if they meet ALL of the following criteria:

  • The recipient is a state or local government agency or a business; AND
  • The recipient has 50 or more employees; AND
  • The recipient has received a single award of $25,000 or more.

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If a recipient has to develop an EEOP Utilization Report, is there other information not in the EEOP Utilization Report that the recipient has to collect?

Yes. Recipients that are required to complete an EEOP Utilization Report are also required to keep race, national origin, and sex data relating to the following employment actions:

  • Recruitment
  • Applicant screening
  • Hiring
  • Promotion
  • Termination
  • Transfer
  • Discipline

For a complete listing of the data that recipients are required to keep, see 28 C.F.R. § 42.301-.308, or download a copy of the EEOP regulations.

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Which recipients have to send an EEOP Utilization Report to the Office for Civil Rights (OCR) for review?

If your organization is required to develop an EEOP Utilization Report and your organization has received a single award for $500,000 or more, whether directly from the Justice Department or indirectly from a state or local agency, you must send the EEOP Utilization Report to OCR for review. The mailing address is as follows:

Attn: EEOP Utilization Report Submission
Office for Civil Rights
Office of Justice Programs
U.S. Department of Justice
810 7th Street, NW
Washington, DC 20531

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Even if a recipient is required to develop an EEOP, can it be exempt from the submission requirement?

Yes. Organizations required to develop an EEOP can claim an exemption from the submission requirement, if they have not received a single award of $500,000 or more. To claim the exemption, a recipient must complete Section B of the Certification Form and send it to the Office for Civil Rights (OCR).

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Do recipients or subrecipients in American Samoa have to comply with the EEOP Utilization Report requirement?

No. Although recipients of all Justice Department funds have to comply with applicable federal laws prohibiting discrimination in employment and in the delivery of services or benefits, recipients and subrecipients of Justice Department funding in America Samoa, even if they are subject to the nondiscrimination provisions in the Safe Streets Act or VOCA, are exempt from the requirement to develop an EEOP Utilization Report because the appropriate labor market statistics are unavailable. Nonetheless, recipients should be mindful of the regulatory requirement to keep employment data related to hiring, promoting, transferring, and disciplining workers (see 28 C.F.R. § 42.301-.308).

In some instances, OCR may request employment data in lieu of the EEOP Utilization Report (e.g., applicant flow data, cross-classified by race, national origin, and sex, for all entry-level positions).

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Do recipients or subrecipients in Guam have to comply with the EEOP Utilization Report requirement?

Yes. The Guam labor market statistics, collected by the Guam Bureau of Statistics and Plans, allows recipients and subrecipients of Justice Department funds subject to the Safe Streets Act and VOCA to develop an EEOP Utilization Report. However, Guam recipients and subrecipients cannot use the online system for devloping the EEOP Utilization Report because the racial and national origin categories used by the Guam Bureau of Statistics and Plans are more extensive than the ones used in the EEOP Utilization Report.

Guam recipients and subrecipients seeking assistance in developing an EEOP Utilization Report should contact:

Ms. Lola E. Leon Guerrero, Planner
Bureau of Statistics and Plans
P.O. Box 2950
Hagatna, Guam 96932
leleong@mail.gov.gu
671-472-4201/2/3

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Do recipients or subrecipients in the Commonwealth of Puerto Rico have to comply with the EEOP Utilization Report requirement?

Although the U.S. Census Bureau has collected extensive data on Puerto Rico, the relevant labor market files for preparing an EEOP Utilization Report are not readily available. Therefore, the online system for creating the EEOP Utilization Report cannot access this information. In the past, recipients in Puerto Rico have used, and the Office for Civil Rights (OCR) has accepted, alternative labor market data collected by the Commonwealth of Puerto Rico or local jurisdictions. In preparing an EEOP Utilization Report, recipients in Puerto Rico should focus primarily on sex: reporting the number and percentage of women in the recipient's workforce in each of the eight major job categories and then comparing this percentage to the percentage of qualified women in each of the same job categories in the relevant labor market. If there is significant underutilization, the recipient should analyze the result and propose, if warranted, objectives to correct the problem and the steps it plans to take to achieve the objectives. Recipients should find the Sample EEOP Utilization Report helpful in creating a similar off-line report. Recipients should also include an internal and external plan for disseminating the modified EEOP report.

Even if recipients in Puerto Rico are unable to prepare an EEOP Utilization Report because of the absence of relevant labor market statistics, they should be mindful of the regulatory requirement to keep employment data related to hiring, promoting, transferring, and disciplining workers (see 28 C.F.R. § 42.301-.308).

In some instances, the OCR may request employment data in lieu of the EEOP Utilization Report (e.g., applicant flow data, cross-classified by race, national origin, and sex, for all entry-level positions).

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Do recipients or subrecipients in the Commonwealth of the Northern Mariana Islands have to comply with the EEOP Utilization Report requirement?

No. Although recipients of all Justice Department funds have to comply with applicable federal laws prohibiting discrimination in employment and in the delivery of services or benefits, recipients and subrecipients of Justice Department funding in the Commonwealth of the Northern Mariana Islands, even if they are subject to the nondiscrimination provisions in the Safe Streets Act or VOCA, are exempt from the requirement to develop an EEOP Utilization Report because the appropriate labor market statistics are unavailable. Nonetheless, recipients should be mindful of the regulatory requirement to keep employment data related to hiring, promoting, transferring, and disciplining workers (see 28 C.F.R. § 42.301-.308).

In some instances, the Office for Civil Rights (OCR) may request employment data in lieu of the EEOP Utilization Report (e.g., applicant flow data, cross-classified by race, national origin, and sex, for all entry-level positions).

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Do recipients or subrecipients in the U.S. Virgin Islands have to comply with the EEOP Utilization Report requirement?

No. Although recipients of all Justice Department funds have to comply with applicable federal laws prohibiting discrimination in employment and in the delivery of services or benefits, recipients and subrecipients of Justice Department funding in the U.S. Virgin Islands, even if they are subject to the nondiscrimination provisions in the Safe Streets Act or VOCA, are exempt from the requirement to develop an EEOP Utilization Report because the appropriate labor market statistics are unavailable. Nonetheless, recipients should be mindful of the regulatory requirement to keep employment data related to hiring, promoting, transferring, and disciplining workers (see 28 C.F.R. § 42.301-.308).

In some instances, the Office for Civil Rights (OCR) may request employment data in lieu of the EEOP Utilization Report (e.g., applicant flow data, cross-classified by race, national origin, and sex, for all entry-level positions).

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Is there a quick way to learn what a recipient has to do to comply with the EEOP requirement?

Yes. For recipients subject to the administrative provisions of the Safe Streets Act (as well as the Victims of Crime Act (VOCA)), the following chart shows at a glance the responsibilities a recipient has in complying with the federal regulations pertaining to the EEOP requirement:

What is the recipient type? What is the award amount? What is the number of employees? Does the recipient need to develop an EEOP? Does the recipient need to submit a Certification Form to OCR? Must the recipient submit an EEOP to OCR?
Nonprofit, Indian Tribe, Medical or Education Institution Does not matter Does not matter NO YES (Section A) NO
State or local government and private entity Less than $25,000 Does not matter NO YES (Section A) NO
State or local government and private entity Does not matter Less than 50 employees NO YES (Section A) NO
State or local government and private entity $25,000 or more, but less than $500,000, for an individual grant 50 or more employees YES YES (Section B) Certifying that the recipient has created an EEOP and is maintaining it on file in a designated office for review by employees, applicants, OCR, or a state administrative agency NO
State or local government and private entity $500,000 or more for an individual grant 50 or more employees YES NO YES

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What materials are needed to complete an EEOP Utilization Report?

To complete an EEOP Utilization Report, you will need to assemble the following information:

  1. For each award, you will need to know the grant number, the amount of the award, the date of the award, the duration of the grant, and the program under which the award was made.
  2. If your organization is receiving an award directly from the Justice Department, namely the Office on Community Oriented Policing Services (COPS), the Office on Violence Against Women (OVW), or the Office of Justice Programs (OJP), including its program offices and bureaus, you will need the name and contact information for the grant manager at the federal level.
  3. If your organization is receiving an award from a state or local government, you will need the name and contact information of the grant manager from the state or local agency that made the grant.
  4. You will need the name and contact information for each grant manager in your organization who administers a program funded by monies made available through COPS, OVW, or OJP.
  5. You will need a copy of the equal employment opportunity policy statement for your organization.
  6. You must be able to identify the relevant labor market for your organization (e.g., the name of a metropolitan statistical area, a particular city or town, a county, or some other designated area).
  7. You will need a list of all the positions in your organization, with each one identified as belonging to one of eight major job categories for public entities.
  8. You will need a workforce survey that contains the following information: the employee's position and the employee's race, national origin, and sex. This survey, along with the list of positions in your organization categorized by the eight major job categories for public entities (see the previous item), will allow you to produce a chart that shows the number of employees in your organization, cross-classified by race, national origin, and sex, in each of the eight major job categories.
  9. If you are preparing an EEOP for a law enforcement agency, you will need to know the minimum age and educational level for entry-level sworn officers.
  10. If you are preparing an EEOP for a law enforcement agency, you will need to know the race, national origin, sex, and rank for each sworn employee.
  11. You will need to know your organization's policy (or have the authority to draft the policy) for improving any significant underutilization in the workforce in any of the eight major job categories based on race, national origin, and sex.

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Is a sample EEOP Utilization Report available?

Yes. There is a Sample EEOP Utilization Report for a law enforcement agency, and a sample EEOP Utilization Report for an organization that is not a law enforcement agency.

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For EEOP purposes, who is an employee?

For EEOP purposes, in calculating the total number of employees in its workforce, a recipient should include part-time and full-time workers but exclude seasonal employees, political appointees, and elected officials.

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What are the race and national origin categories a recipient should use in reporting the composition of its workforce?

For the purpose of developing an EEOP Utilization Report, a recipient should use the following seven race and national origin categories in describing its workforce: (1) Hispanic or Latino, (2) Black or African American, (3) White, (4) Asian, (5) Native Hawaiian or Other Pacific Islander, (6) American Indian or Alaska Native, and (7) Two or More Races. In the Workforce Analysis Chart in the EEOP Utilization Report, the recipient would enter separately in each of the eight major job categories the number of male employees of a particular race or national origin in that job category and the number of female employees of a particular race or national origin in that job category. For example, in completing the Workforce Analysis Chart, a recipient might report that for the Protective Services: Non-Sworn job category, it has the following number of employees: 12 Hispanic or Latino males, 18 Black or African American males, 16 Black or African American females, 14 White females, and 19 Asian females.

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What are the eight major job categories in the EEOP Utilization Report for a state or local government agency?

The U.S. Census Bureau uses the following eight major job categories in collecting employment statistics for state or local government agencies: (1) Officials and Managers, (2) Professionals, (3) Technicians, (4) Protective Services: Sworn, (5) Protective Services: Non-sworn, (6) Administrative Support, (7) Skilled Craft, and (8) Service Maintenance. State and local government agencies should use these same categories in developing an EEOP Utilization Report.

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If a recipient or subrecipient is a business and has to develop an EEOP Utilization Report, should it use the same eight major job categories that state and local governments use?

No. In developing an EEOP Utilization Report, business recipients and subrecipients, which the EEOP regulations refer to as "private entities," should use the following nine EEO-1 job categories: (1) Officials and Managers, (2) Professionals, (3) Technicians, (4) Sales Workers, (5) Administrative Support Workers, (6) Craft Workers, (7) Operatives, (8) Laborers and Helpers, and (9) Service Workers.

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What should a business do to complete an EEOP Utilization Report?

The EEOP regulations refer to businesses as "private entities." Because there are relatively few private entities that are required to develop an EEOP Utilization Report, the online system is geared primarily for state and local government agencies. Businesses and other private entities can use the Sample EEOP Utilization Report as model for creating a similar report with the following modifications:

  1. A business recipient should provide the information that the Sample EEOP Utilization Report required (e.g., name of the recipient, recipient contact information, award data, amount for each award, contact information for the program manager at the grantmaking agency, and so forth).
  2. In the second step, the business recipient must create an off-line Workforce Analysis Chart, which should have nine rows corresponding to the nine EEO-1 job categories and fourteen columns for the following classifications: (1) Hispanic or Latino males, (2) Black or African American males, (3) White males, (4) Asian males, (5) Native Hawaiian or Other Pacific Islander males, (6) American Indian or Alaska Native males, (7) males of Two or More Races, (8) Hispanic or Latino females, (9) Black or African American females, (10) White females, (11) Asian females, (12) Native Hawaiian or Other Pacific Islander females, (13) American Indian or Alaska Native females, and (14) females of Two or More Races. For each of the nine job categories, the business recipient should enter in the chart the number of employees in each of the 14 classifications. The business recipient should then convert the number of employees in each classification in each of the nine job categories to percentages, so that each job category (and not the entire workforce) would total 100%.
  3. To compare its workforce to the relevant labor market statistics, a business recipient may find the appropriate data on the U.S. Census Bureau web site. To access the relevant statistics from this site, one should first select under the Occupational Tables, Employment by EEO-1 Job Categories and then retain the selection for Residence under the Select Geography section at the bottom of the page. On the next screen, one should select the appropriate geographic area corresponding to the recipient's labor market. On the next screen, while holding the control key down, one can select all of the nine EEO-1 job categories. Finally, one would retain the selected option, Show Detailed Race/Ethnicity Categories. The subsequently generated table includes the numbers and percentages of eligible people in the relevant labor market in each of the nine EEO-1 job categories cross-classified by race, national origin, and sex.
  4. Using the percentages in the generated table, the recipient could then create a Utilization Analysis Chart by comparing the percentages of employees in each job category, cross-classified by race, national origin, and sex, to the corresponding percentages of workers in the relevant labor market. The utilization analysis relies on subtraction: the percentage of employees in the business's workforce in a particular job category, cross-classified by race, national origin, and sex, minus the percentage of workers in the same job category in the relevant labor market, also cross-classified by race, national origin and sex. For example, if the business's Workforce Analysis Chart shows that there are 20% Asian males in the Sales Workers job category, and if the community labor statistics table shows that in the relevant labor market, 40% of Sales Workers are Asian males, then the business is underutilizing Asian males in the Sales Workers job category by -20%. Negative numbers indicate underutilization.
  5. Based on the Utilization Analysis Chart, the recipient business would then write a narrative that first describes the results and then identifies any significant underutilization.
  6. After writing the interpretive narrative, the business recipient would return to the online EEOP Utilization Report system and complete the remaining steps: identifying objectives, proposing steps to achieve the objectives, and a making a plan for disseminating the EEOP Utilization Report both inside and outside the business.
  7. To complete the EEOP Utilization Report, a responsible official, defined as an administrator with the authority to implement the plan, must sign and date it. If the business is not required to send the EEOP Utilization Report to the Office for Civil Rights (OCR) for review, it should send the completed Section B of the Certification Form to OCR to request an exemption from the submission requirement. If the business is required to submit the EEOP Utilization Report to OCR, it should send the document to the following address:

Attn: EEOP Utilization Report Submission
Office for Civil Rights
Office of Justice Programs
U.S. Department of Justice
810 7th Street, NW
Washington, DC 20531

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In completing a workforce chart, what should a recipient do if it does not know the race, national origin, or sex of an employee?

All workforce data related to race, national origin, and sex relies on voluntary employee reporting. Employers may conduct voluntary surveys of employees to gather the relevant information. If employees decline to identify themselves by race, national origin, or sex, employers should not independently assign them to one of these categories.

As a preliminary step in preparing a workforce chart for the EEOP Utilization Report, recipients should report both the total number of employees as well as the number of employees of unknown race, national origin, or sex. The Workforce Analysis Chart in the EEOP Utilization Report should include only those employees who have identified themselves by race, national origin, and sex.

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What if the total number of minorities in a recipient's service population is less than three percent?

If the total number of minorities (i.e., non-Whites) in a recipient's service population is less than three percent, the recipient should only provide information on men and women in its EEOP Utilization Report. The recipient would still report on the number of men and women in its workforce, perform a utilization analysis based on sex, and develop objectives and steps to address any significant underutilization.

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What is a nondiscrimination policy statement?

As part of the first step in completing an EEOP Utilization Report, a recipient must post a nondiscrimination policy statement that applies to its employment practices. The nondiscrimination policy statement is usually a relatively brief text, often officially adopted by a senior administrator or governing body, that sets forth the recipient organization's philosophy on providing equal employment opportunities to both applicants and employees, regardless of race, color, national origin, sex, religion, disability, and perhaps other state and local protected classes. Some recipients use the nondiscrimination policy statement in notifying employees, prospective employees, and members of the public that the recipient organization is complying with federal civil rights laws.

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For EEOP purposes, what is a patrol officer?

For a law enforcement agency that is required to report the number of sworn officers in its workforce, the EEOP Utilization Report has two charts, the Sworn Officers Chart and the Utilization Analysis Chart, that use the title "patrol officers." Even though law enforcement agencies throughout the country may differ in their use of this title, "patrol officers" in the EEOP Utilization Report signifies the most common rank for a commissioned officer in a law enforcement agency. For a sheriff's department, the rank is usually deputy sheriff; for a department of corrections with sworn employees, the rank is usually correctional officer. Nonetheless, in completing the Sworn Officers Chart in the EEOP Utilization Report, these law enforcement agencies would enter data pertaining to the most common rank for sworn officers in their organizations in the row marked "patrol officers."Although the online system will allow users to enter the titles of ranks above"patrol officers" in creating the Sworn Officers Chart, the first row in the chart, "patrol officers," remains fixed. Users cannot substitute an alternative title.

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For EEOP purposes, who is a sworn officer in a law enforcement agency?

For EEOP purposes, a sworn officer in a law enforcement agency is an individual who has taken a solemn oath to perform duties on behalf of the public in a manner that merits the public's trust. He or she holds a commissioned position and is trained and empowered to perform a full range of law enforcement duties, including, but not limited to, preventing and suppressing crime and investigating, apprehending, and detaining individuals suspected or convicted of offenses that violate the public interest.

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Which grantmaking components of the Justice Department make awards requiring compliance with the EEOP regulations?

The following components of the Justice Department may make awards that require a recipient to comply with the EEOP regulations:

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In preparing an EEOP Utilization Report, why do law enforcement agencies use both Community Labor Statistics and Civilian Labor Force Statistics?

For law enforcement agencies preparing the EEOP Utilization Report, the online system automatically accesses both the Community Labor Statistics and the Civilian Labor Force statistics from the relevant labor market that the law enforcement agency selects.

The Community Labor Statistics from the U.S. Census Bureau show the percentage of eligible workers in each of the major job categories for state and local government agencies in a selected labor market, cross-classified by race, national origin, and sex. Law enforcement agencies that have already calculated the percentages of employees in their workforces in each of the major job categories, also cross-classified by race, national origin, and sex (i.e, the Workforce Analysis Chart in the EEOP Utilization Report), can then compare the demographics of their workforces to the demographics of eligible workers in the relevant labor markets. The comparison allows recipients to identify underutilization of employees in any of the eight job categories.

In completing the EEOP Utilization Report, law enforcement agencies break down the number of employees in the Protective Services: Sworn job category into two additional subcategories: (1) Protective Services: Sworn–Officials and (2) Protective Services: Sworn-Patrol Officers. The subcategory of sworn patrol officers represents the most common rank for commissioned officers in a law enforcement organization; the subcategory of sworn officials represents all sworn employees above the rank of patrol officer.

To compare the demographics of Protective Services: Sworn–Officials in a law enforcement agency's workforce to the relevant labor market, the EEOP Utilization Report uses Community Labor Statistics for the relevant labor market. The Community Labor Statistics include demographic information on workers in the relevant labor market who already hold positions in the Protective Services: Sworn job category.

To compare the demographics of the Protective Services: Sworn–Patrol Officers in a law enforcement agency's workforce to the relevant labor market, the EEOP Utilization Report uses the Civilian Labor Force statistics for the relevant labor market. The Civilian Labor Force statistics for a selected geographic area provides information on the percentages of people in the relevant labor market, cross-classified by race, national origin, and sex, who are eligible to become patrol officers based on the required minimum age and educational level. The comparison of the demographics of patrol officers to the Civilian Labor Force shows, at least to some extent, how well patrol officers represent the pool of possible recruits in the relevant labor market.

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Should the percentage of employees, cross-classified by race, national origin, and sex, in each major job category on the Workforce Analysis Chart add up to 100%?

Yes. In preparing a Workforce Analysis Chart in the EEOP Utilization Report, one of the most common errors that recipients made in the past was to calculate the percentage of workers, cross-classified by race, national origin, and sex, in each job category in comparison to the total number of employees in the recipients' workforces. The correct calculation of the percentages of workers, cross-classified by race, national origin, and sex, in each job category requires a comparison to the total number of workers in the same job category. The total number of workers in each of the major job categories represents 100%. The Community Labor Statistics makes a similar comparison in reporting the percentage of eligible workers, cross-classified by race, national origin, and sex, in each job category in the relevant labor market. For example, if a recipient has 50 employees in the Professional job category, representing 10 Hispanic males, 2 Asian males, 25 Black or African American females, and 13 American Indian or Alaska Native females, the EEOP Utilization Report online system will automatically convert these numbers entered in the row for Professionals on the Workforce Analysis Chart to the following percentages: 20% Hispanic males, 4% Asian males, 50% Black or African American females, and 26% American Indian or Alaska Native females.

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If a recipient already has an Affirmative Action Plan (AAP) in effect, can it submit the AAP to the Office for Civil Rights (OCR) instead of the EEOP Utilization Report?

No. An EEOP and an Affirmative Action Plan (AAP) are not the same. Extracting from the AAP relevant statistical data and employment policies, a recipient may use its AAP as a resource in preparing the EEOP Utilization Report. However, the OCR will not accept a previously prepared AAP as a substitute for the EEOP Utilization Report.

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If the Office for Civil Rights (OCR) requires an agency to submit an EEOP Utilization Report or Certification Form, what is the deadline for sending this information?

Recipients should submit EEOP Utilization Reports and Certification Forms to the OCR within 60 days of the grant award date. Each grant award packet includes notification of the recipient's civil rights obligations, as well as the time frame for submitting any required information to OCR.

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If an agency is the recipient of grant funding from the Department of Justice (DOJ) and subawards all of the funding to other agencies, is the recipient still responsible for meeting the EEOP requirement?

Yes. The direct recipient (named grantee) of DOJ funds must comply with all civil rights regulations, including the EEOP requirement, even if the funding is being passed through to other agencies. In addition, all agencies who receive subawards from a direct DOJ recipient must also satisfy any EEOP requirements.

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If a recipient makes a subaward to another agency, what is the responsibility of the grantmaking agency for assuring the compliance of the subrecipient agency with the EEOP regulations?

Grantmaking agencies that make subawards from federal aid subject to the administrative provisions of the Safe Streets Act are responsible for ensuring that subrecipients comply with the EEOP regulations. State administering agencies as well as grantmaking agencies in local government should have established procedures for monitoring subrecipients' compliance (e.g., requiring grant applicants to sign assurances that expressly state that the applicant will comply with the EEOP regulations, monitoring whether subrecipients have either developed an EEOP or filed the appropriate Certification Forms with the OCR). The failure of a subrecipient to comply with the EEOP regulations may result in the OCR finding that the grantmaking agency is also not in compliance with the same regulations.

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For local governments, when should the EEOP include an analysis of the entire local government's workforce and when should the EEOP just include an analysis of the local government's law enforcement agency?

The reporting requirements may be different depending on the funding source. If a local government agency receives an award subject to the Safe Streets Act from the Office on Violence Against Women (OVW) or from the Office of Justice Programs (OJP) and its components (and the agency meets other regulatory thresholds), then the recipient agency must prepare an EEOP Utilization Report that analyzes the workforce of the agency named as the grantee on the official award document. For example, if the Bureau of Justice Assistance (BJA), an OJP component, makes a formula grant to a county, then the county should include an analysis of the entire county's workforce in its EEOP Utilization Report.

If a local law enforcement agency receives a direct award from the Office of Community Oriented Policing Services (COPS), the local law enforcement agency would analyze only its own workforce in developing an EEOP Utilization Report. For example, if a sheriff's department with more than 50 employees receives a COPS award of more than $25,000, the sheriff's department must prepare an EEOP Utilization Report that analyzes just the workforce of the sheriff's department (both sworn and civilian employees). However, if either a city or a county receives a COPS award, both the named grantee (i.e., the city or county) and the funded law enforcement agency must satisfy the EEOP requirement. For instance, if a city is the named recipient of a COPS grant award of $25,000 or more and the police department has at least 50 employees, both the city and the police department must comply with the federal EEOP regulations. Both need to develop an EEOP Utilization Report. The city and the police department could work together to develop a single EEOP Utilization Report, but the city and the police department would each still have to complete a separate utilization analysis, including objectives and steps that address any identified underutilization in either workforce. Alternatively, the city and the police department could develop separate EEOP Utilization Reports, one for the city and one for the police department.

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In preparing a workforce chart for the EEOP Utilization Report, how does a recipient that is a state or local government agency decide which of the eight major job categories used in the 2000 Census is the appropriate classification for a particular job title?

In preparing a workforce chart for an EEOP Utilization Report, a recipient may need to reclassify some jobs in its workforce to correspond with the revised job categories used in the 2000 Census. For example, to reclassify jobs that were previously classified as Para-Professional, a category that no longer exists, or to reclassify jobs previously designated as simply Protective Services (instead of the new categories of Protective Services Sworn and Protective Services Non-Sworn), one should use the job classifications listed on the U.S. Census Bureau's web site. To access the information from the website, locate the third line from the top of the page, click on the underlined words "State and Local Occupation Groups. "The link will lead to the file Occupational Crosswalk to State and Local Government Job Categories. Scrolling downward, find particular job titles listed in the Category Title column, and on the same line for each job title, in the far right column, there is a number that corresponds to one of the eight job categories in the 2000 Census (i.e., one (1) for Officials and Managers, two (2) for Professionals, three (3) for Technicians, four (4) for Protective Services: Sworn, five (5) for Protective Services: Non-sworn, six (6) for Administrative Support, seven (7) for Skilled Craft, and eight (8) for Service Maintenance).

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If the Office for Civil Rights (OCR) has already approved a recipient's EEOP Utilization Report in connection with a previous award, is it necessary to send an additional copy to OCR for each new award?

If OCR approved an agency's EEOP Utilization Report within two years prior to the date of a new award, it is not necessary for the recipient agency to submit another EEOP Utilization Report. Instead, the recipient need only send to OCR a copy of its EEOP Utilization Report approval letter along with a cover letter referencing the new grant number. However, if the EEOP approval is more than two years old, the recipient must submit an updated EEOP Utilization Report to OCR to fulfill the requirements connected to the new award.

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How long is the EEOP effective?

The EEOP is effective for a two-year period, commencing with the date of the approval letter from the OCR.

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In analyzing underutilization in a recipient's workforce in comparison with the relevant community labor statistics, does the Office for Civil Rights (OCR) use a particular threshold percentage to identify significant underutilization?

No. In analyzing the Underutilization Chart in the EEOP Short-Form, OCR does not use a particular threshold percentage to determine whether a recipient has significant underutilization based on race, national origin, or sex in any of the eight major job categories. It is the responsibility of recipients to determine what they consider significant underutilization The analysis is highly fact-specific. For example, having a 20% underutilization of Asian males in the Skilled Craft job category would be less significant for an employer who has a total of five employees in this job category than for an employer that has 500 employees in the same job category. In the context of analyzing underutilization, recipients should be aware that the OCR does not expect an exact parity between the workforce and the relevant community labor market.

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In writing objectives and steps to address identified underutilization in its workforce, can a recipient use numerical goals to increase the representation of women and minorities in particular job categories?

No. In writing objectives and steps in the EEOP Utilization Report, recipients should avoid setting numerical goals for hiring or promoting employees based on race or sex to remedy identified underutilization (e.g., hiring seven American Indian women in the Technicians job category). Setting hiring quotas based on race, national origin, or sex is generally impermissible. If OCR receives an EEOP Utilization Report that contains quotas, OCR will return the document to the recipient along with a request for an explanation and a caution to avoid this ordinarily unacceptable remedy.

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In preparing an EEOP Utilization Report, what is an example of an objective based on the underutilization analysis?

If a recipient identified significant underutilization of African American women in the Professionals job category, the recipient might, for example, write the following objective: "To ensure equal employment opportunities for Black or African American women when our organization fills vacancies that become available in the Professionals job category."

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In preparing an EEOP Utilization Report, what are some examples of steps to achieve an objective?

If the recipient has decided that one of its objectives is "to ensure equal opportunities for Black or African American women when our organization fills vacancies that become available in the Professionals job category," then some examples of the steps to achieve this objective might include the following:

  • Our organization will designate a person on our human resources team to serve as a liaison and outreach coordinator to educational institutions and professional organizations with significant Black or African American women members. In the next twelve months, our organization will make contacts with at least the following institutions: Acadia University, Black Women's Professional Association, the Carlton Group, Dynamic Magazine, Eta Sorority, Faith Temple Women's Club, the Good Government Coalition, and Hancock Civic Association.
  • Our organization will review all employment organizational data related to the Professional job category to identify any issues that may pose barriers for Black or African American women (e.g., review the records of exit interviews of former employees; examine applicant flow data for recent vacancies; review job posting and advertizing practices; determine whether there are in-house career paths; evaluate the hiring, retention, and attrition rates for particular positions or for particular offices or regions).
  • Based on the internal review of employment data, we will design an action plan within three months of the date of this EEOP to attract more Black or African American professional women. Within 12 months of the date of this EEOP we will review our action plan and evaluate our progress.

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What are some examples of disseminating an EEOP Utilization Report externally?

Some examples of disseminating an EEOP Utilization Report to people outside of a recipient's organization may include the following:

  • Notifying applicants, vendors, and contractors in writing that the recipient has developed an EEOP Utilization Report and that it is available on request for review;
  • Posting a copy of the EEOP Utilization Report on the recipient's public website; and
  • Making copies of the EEOP Utilization Report available in the reading rooms of local public libraries.

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What are some examples of disseminating an EEOP Utilization Report internally?

Some examples of disseminating an EEOP Utilization Report to people within a recipient's organization may include the following:

  • Posting the EEOP Utilization Report on the recipient's intranet, an in-house, electronic communication service that only employees can access;
  • Placing a copy of the EEOP Utilization Report in the recipient's policies and procedures manual;
  • Posting information on bulletin boards in employee break areas about how to obtain a copy of the EEOP Utilization Report;
  • Distributing a copy of the EEOP Utilization Report to all of a recipient's supervisors, department heads, or elected officials; and
  • Sending electronic and hard copy memoranda to every employee stating that a copy of the EEOP Utilization Report is available on request in the recipient's human resources office.

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Can I cut and paste text into the online EEOP Utilization Report?

Yes. You can cut and past text into any of the text boxes in the online EEOP Utilization Report, if the destination text box can accept the length of the text or number of characters being pasted. You should spell check text before pasting it into a text box, as you will be unable to do so afterwards.

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Can I attach documents to the online EEOP Utilization Report?

You cannot electronically attach any files (as you might on e-mail) to the online EEOP Utilization Report. However, after creating the EEOP Utilization Report online and printing it out, you may attach hard copies of supplemental materials before sending the signed EEOP Utilization Report to the OCR for review. In the appropriate text boxes in the online system, you may indicate that you are attaching hard copies of relevant documents to the EEOP Utilization Report by typing, "Please see the attached hard copy document."

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Whom should I contact if I have questions about developing an EEOP?

OCR is available to provide guidance on developing an EEOP. For technical assistance, please call the equal employment assistant at 202-307-0690.

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What is Significant Underutilization?

The online system will display information regarding underutilization.

For each job category that has less than thirty employees, the online system will perform a simple subtraction, showing the difference between the percentage of employees in the particular job category (cross-classified by race, national origin, and sex) and the percentage of employees in the same job category in the relevant labor market.

For each job category that has thirty or more employees, the online system will perform a statistical analysis and then display any job categories that have underutilization of two or more standard deviations. The calculations indicate that it is unlikely that the underutilization is based on chance. If the online system does not identify underutilization in the recipient's workforce of two standard deviations or more, the online system will only display the utilization analysis chart based on simple subtraction.

In the employment context, courts have generally recognized that statistics showing underutilization of two standard deviations or more (comparing the percentage of employees of a protected class in a particular job category to the percentage of similarly qualified workers of the same protected class in the relevant labor market) may be evidence of employment discrimination. See generally Barbara T. Lindemann & Paul Grossman, 1 Employment Discrimination Law 124-26 (4th ed. 2007).

When the online system identifies and displays underutilization of two standard deviations or more, the recipient should address the underutilization in its narrative in the EEOP Utilization Report. The identified underutilization will most likely become the basis for developing objectives and next steps.

If the utilization analysis chart does not show two or more standard deviations, the recipient should still review the chart based on simple subtraction and identify the most significant underutilization in its workforce. The identified underutilization should inform drafting the recipient's narrative, objectives, and next steps.

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