ministration and enforcement of the Title.

(b) This Part 1602 sets forth the procedure to be used by the Commission in establishing, amending and revoking such regulations, and by future amendments will set forth regulations so established.

[30 F.R. 8409, July 1, 1965]

Subpart A-Procedure

SOURCE: The provisions of this Subpart A appear at 30 F.R. 8409, July 1, 1965; 31 F.R. 2832, Feb. 17, 1966, unless otherwise noted. § 1602.2 Initiating a proceeding.

The Commission, on its own motion, or upon the petition of an interested person submitted as provided in § 1601.32 of this chapter, may initiate a proceeding to make, amend, or revoke regulations requiring persons subject to Title VII to make or keep records or to provide information in accordance with section 709.

§ 1602.3 Notice of a proceeding.

(a) Notice of the institution of a proceeding shall be published in the FEDERAL REGISTER. Such notice shall (1) refer to section 709 as authority for the proposed regulations and direct attention to this Part 1602 governing the procedure; (2) contain the terms or substance of the proposed regulations; and (3) invite interested persons (i) to participate in a public hearing to be held with respect to the proposed regulations, specifying the time and place that such hearing shall commence and information that must be submitted earlier by persons desiring to participate, and (ii) to submit pertinent written data, views, and argument by means other than participation in a hearing, specifying the time and place for such submission.

(b) The Commission may also give additional notice of the initiation of a proceeding as it may deem necessary or appropriate.

part of the record shall be presented at the hearing by an attorney designated by the Commission who may call and examine witnesses, and cross-examine witnesses called by other persons. Subject to such limitations as the presiding officer may impose to limit the record to pertinent matter, every interested person shall be afforded the opportunity to offer evidence through witnesses, to cross-examine witnesses called by others, and to present argument. The presiding officer shall regulate the course of the hearing and shall dispose of procedural requests, objections and comparable matter. The presiding officer shall also have power to call and examine witnesses, to govern the content of the record, to exclude persons from the hearing room for good cause, and, upon the conclusion of the testimony, to keep the hearing open for a stated reasonable time in order to receive written proposals and supporting reasons.

§ 1602.5 Decision.

After the close of the hearing and the receipt of materials under § 1602.3(a) (3) (ii), the Commission shall carefully consider all matter presented to it and any other matter available, and shall thereafter make a final decision adopting, rejecting, or modifying the proposed regulation. The decision shall be expressed in a document signed by the Chairman of the Commission on behalf of the Commission and shall be published in the FEDERAL REGISTER as an amendment to this Part 1602.

$ 1602.6 Effective date of record keeping and reporting rules.

Except to the extent that such decision of the Commission relieves a restriction, it shall provide an effective date for the change of not less than 30 days after the date of its publication in the FEDERAL REGISTER unless a shorter time is provided for good cause found and expressed in the document. Subpart B-Employer Information Report

SOURCE: The provisions of this Subpart B appear at 31 F.R. 2833, Feb. 17, 1966, unless otherwise noted.

§ 1602.7 Requirement for filing of re

port.

On or before March 31, 1967, and annually thereafter, every employer subject to Title VII of the Civil Rights Act of 1964 which meets the 100-employee

test set forth in section 701(b) thereof shall file with the Commission or its delegate executed copies of Standard Form 100, as revised (otherwise known as "Employer Information Report EEO-1") in conformity with the directions set forth in the form and accompanying instructions. Notwithstanding the provisions of § 1602.14, every such employer shall retain at all times at each reporting unit, or at company or divisional headquarters, a copy of the most recent report filed for each such unit and shall make the same available if requested by an officer, agent, or employee of the Commission under the authority of section 710(a) of Title VII. Appropriate copies of Standard Form 100 in blank will be supplied to every employer known to the Commission to be subject to the reporting requirements, but it is the responsibility of all such employers to obtain necessary supplies of same prior to the filing date from the Joint Reporting Committee, Federal Depot, 1201 East 10th Street, Jeffersonville, Ind. 47130. [31 F.R. 16780, Dec. 31, 1966]

§ 1602.8 Penalty for making of willfully false statements on report.

The making of willfully false statements on Report EEO-1 is a violation or the United States Code, Title 18, section 1001, and is punishable by fine or imprisonment as set forth therein.

§ 1602.9 Commission's remedy for employer's failure to file report.

Any employer failing or refusing to file Report EEO-1 when required to do so may be compelled to file by order of a U.S. District Court, upon application of the Commission.

§ 1602.10

Employer's exemption from

reporting requirements.

If an employer is engaged in activities for which the reporting unit criteria described in section 4 (c) of the Instructions are not readily adaptable, special reporting procedures may be required. In such case, the employer should so advise by submitting to the Commission or its delegate a specific proposal for an alternative reporting system prior to the date on which the report is due. If it is claimed the preparation or fiilng of the report would create undue hardship, the employer may apply to the Commission for an exemption from the requirements set forth in this part.

Subpart C-Record-Keeping by
Employers

SOURCE: The provisions of this Subpart C appear at 31 F.R. 2833, Feb. 17, 1966, unless otherwise noted.

§ 1602.12 Records to be made or kept.

The Commission has not adopted any requirement, generally applicable to employers, that records be made or kept. It reserves the right to impose recordkeeping requirements upon individual employers or groups of employers subject to its jurisdiction whenever, in its judgment, such records (a) are necessary for the effective operation of the EEO-1 reporting system or of any special or supplemental reporting system as described above; or (b) are further required to accomplish the purposes of Title VII. Such record-keeping requirements will be adopted in accordance with the procedures referred to in section 709 (c), and as otherwise prescribed by law.

§ 1602.13

Records as to racial or ethnic identity of employees.

Employers may acquire the information necessary for completion of Items 5 and 6 of Report EEO-1 either by visual surveys of the work force, or at their option, by the maintenance of postemployment records as to the identity of employees where the same is permitted by State law. In the latter case, however, the Commission recommends the maintenance of a permanent record as to the racial or ethnic identity of an individual for purpose of completing the report form only where the employer keeps sucnh records separately from the employee's basic personnel form or other records available to those responsible for personnel decisions, e.g., as part of an

automatic data processing system in the payroll department.

§ 1602.14 Preservation of records made or kept.

(a) Unless the employer is subject to a State or local fair employment practice law or regulation governing the preservation of records and containing requirements inconsistent with those stated in this part, any personnel or employment record made or kept by an employer (including but not necessarily limited to application forms submitted by applicants and other records having to do with hiring, promotion, demotion, transfer, layoff or termination, rates of pay or other terms of compensation, and selection for training or apprenticeship) shall be preserved by the employer for a period of 6 months from the date of the making of the record or the personnel action involved, whichever occurs later. In the case of involuntary termination of an employee, the personnel records of the individual terminated shall be kept for a period of 6 months from the date of termination. Where a charge of discrimination has been filed, or an action brought by the Attorney General, against an employer under Title VII, the respondent employer shall preserve all personnel records relevant to the charge or action until final disposition of the charge or the action. The term "personnel records relevant to the charge," for example, would include personnel or employment records relating to the charging party and to all other employees holding positions similar to that held or sought by the charging party; and applications forms or test papers completed by an unsuccessful applicant and by all other candidates for the same position as that for which the charging party applied and was rejected. The date of "final disposition of the charge or the action” means the date of expiration of the statutory period within which a charging party may bring an action in a U.S. District Court or, where an action is brought against an employer either by a charging party or by the Attorney General, the date on which such litigation is terminated.

(b) The requirements of this section shall not apply to application forms and other pre-employment records of applicants for positions known to applicants to be of a temporary or seasonal nature. NOTE: The reporting and/or recordkeeping requirements contained herein have been

approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.

Subpart D-Apprenticeship Information Report

SOURCE: The provisions of this Subpart D appear at 32 F.R. 10650, July 20, 1967, unless otherwise noted.

§ 1602.15 Requirement for filing and preserving copy of report.

On or before September 30, 1967, and annually thereafter, certain joint labormanagement committees subject to Title VII of the Civil Rights Act of 1964 which control apprenticeship programs shall file with the Commission, or its delegate, executed copies of Apprenticeship Information Report EEO-2 in conformity with the directions set forth in the form and accompanying instructions. The committees covered by this regulation are those which (a) have five or more apprentices enrolled in the program at any time during August and September of the reporting year and (b) represent at least one employer sponsor and at least one labor organization sponsor which are themselves subject to Title VII. Every such committee shall retain at all times among the records maintained in the ordinary course of its affairs a copy of the most recent report filed, and shall make the same available if requested by an officer, agent or employee of the Commission under the authority of section 710 (a) of Title VII. It is the responsibility of all such committees to obtain from the Commission or its delegate necessary supplies of the form.

§ 1602.16 Penalty for making of willfully false statements on report.

The making of willfully false statements on Report EEO-2 is a violation of the U.S. Code, Title 18, section 1001, and is punishable by fine or imprisonment as set forth therein.

§ 1602.17 Commission's remedy for failure to file report.

Any person failing or refusing to file Report EEO-2 when required to do so may be compelled to file by order of a U.S. District Court, upon application of the Commission, under authority of section 710 (b) of Title VII.

§ 1602.18 Exemption from reporting requirements.

If it is claimed the preparation or filing of Report EEO-2 would create undue

hardship, the committee may apply to the Commission for an exemption from the requirements set forth in this part. § 1602.19 Additional reporting require

ments.

The Commission reserves the right to require reports, other than that designated as Report EEO-2, about apprenticeship procedures of joint labor-management committees, employers, and labor organizations whenever, in its judgment, special or supplemental reports are necessary to accomplish the purpose of Title VII. Any system for the requirement of such reports will be established in accordance with the procedures referred to in section 709 (c) of Title VII and as otherwise prescribed by law.

Subpart E-Apprenticeship
Recordkeeping

SOURCE: The provisions of this Subpart E appear at 32 F.R. 10650, July 20, 1967, unless otherwise noted.

§ 1602.20 Records to be made or kept.

(a) Every person required to file Report EEO-2 shall make or keep such records as are necessary for its completion under the conditions and circumstances set forth in the instructions accompanying the report, which are specifically incorporated herein by reference and have the same force and effect as other sections of this part.

(b) Every employer, labor organization, and joint labor-management committee subject to Title VII which controls an apprenticeship program (regardless of any joint or individual obligation to file a report) shall, beginning August 1, 1967, maintain a list in chronological order containing the names and addresses of all persons who have applied to participate in the apprenticeship program, including the dates on which such applications were received. (See section 709 (c), Title VII, Civil Rights Act of 1964). Such list shall contain a notation of the sex of the applicant and of the applicant's identification as "Negro," "Spanish American," "Oriental," "American Indian," or "Other." The methods of making such identification are set forth in the instructions accompanying Report EEO-2, section 7. The words "applied," "applicant" and "application" as used in this section refer to situations involving ac

tual applications only. An applicant is considered to be a person who files a formal application, or in some informal way indicates a specific intention to be considered for admission to the apprenticeship program. A person who casually appears to make an informal inquiry about the program, or about apprenticeship in general, is not considered to be an applicant. The term "apprenticeship program" as used herein refers to programs described in section 8 of the instructions accompanying Report EEO-2.

(c) In lieu of maintaining the chronological list referred to in § 1602.20 (b), persons required to compile the list may maintain on file written applications for participation in the apprenticeship program, provided that the application form contains a notation of the date the form was received, the address of the applicant, and a notation of the sex, and the race, color, or national origin of the applicant as decribed above.

§ 1602.21 Preservation of records made or kept.

(a) Notwithstanding the provisions of section 1602.14, every person subject to § 1602.20 (b) or (c) shall preserve the list of applicants or application forms, as the case may be, for a period of 2 years from the date the application was received, except that in those instances where an annual report is required by the Commission calling for statistics as to the sex, and the race, color, or national origin of apprentices, the person required to file the report shall preserve the list and forms for a period of 2 years or the period of a successful applicant's apprenticeship, whichever is longer. Persons required to file Report EEO-2, or other reports calling for information about the operation of an apprenticeship program similar to that required on Report EEO-2, shall preserve any other record made solely for the purpose of completing such reports for a period of 1 year from the due date thereof.

(b) Other records: Except to the extent inconsistent with the law or regulation of any State or local fair employment practices agency, or of any other Federal or State agency involved in the enforcement of an antidiscrimination program in apprenticeship, other records relating to apprenticeship made or kept by a person required to file Report

EEO-2, including but not necessarily limited to test papers completed by applicants for apprenticeship and records of interviews with applicants, shall be kept for a period of 2 years from the date of the making of the record. Where a charge of discrimination has been filed, or an action brought by the Attorney General under Title VII, the respondent shall preserve all records relevant to the charge or action until final disposition of the charge or the action. The term "records relevant to the charge," for example, would include applications, forms or test papers completed by an unsuccessful applicant and by all other candidates for the same position as that for which the charging party applied and was rejected. The date of "final disposition of the charge or the action" means the date of expiration of the statutory period within which a charging party may bring an action in a U.S. District Court or, where an action is brought either by a charging party or by the Attorney General, the date on which such litigation is terminated.

Subpart F-Local Union Equal Em

ployment Opportunity Report

SOURCE: The provisions of this Subpart F appear at 32 F.R. 10651, July 20, 1967, unless otherwise noted.

§ 1602.22 Requirements for filing and preserving copy of report.

On or before November 30, 1967, and annually thereafter, every labor organization subject to Title VII of the Civil Rights Act of 1964 shall file with the Commission or its delegate an executed copy of Local Union Equal Employment Opportunity Report EEO-3 in conformity with the directions set forth in the form and accompanying instructions, provided that the labor organization has 100 or more members at any time during the 12 months preceding the due date of the report, and is a "local union" (as that term is commonly understood) or an independent or unaffiliated union. Labor organizations required to report are those which perform, in a specific jurisdiction, the functions ordinarily performed by a local union, whether or not they are so designated. Every local union, or a labor organization acting in its behalf, shall retain at all times among the records maintained in the ordinary course of its affairs a copy of the most recent report filed, and shall make the

same available if requested by an officer, agent, or employee of the Commission under the authority of section 710 (a) of Title VII. It is the responsibility of all persons required to file to obtain from the Commission or its delegate necessary supplies of the form.

§ 1602.23 Penalty for making of willfully false statements on reports.

The making of willfully false statements on Report EEO-3 is a violation of the United States Code, Title 18, section 1001, and is punishable by fine or imprisonment as set forth herein.

ments.

Additional reporting require

The Commission reserves the right to require reports, other than that designated as Report EEO-3, about the membership or referral practices or other procedures of labor organizations, whenever, in its judgment, special or supplemental reports are necessary to accomplish the purposes of Title VII. Any system for requirement of such reports will be established in accordance with the procedures referred to in section 709 (c), and as otherwise prescribed by law. Subpart G-Recordkeeping by Labor Organizations

SOURCE: The provisions of this Subpart G appear at 32 F.R. 10651, July 20, 1967, unless otherwise noted.