Local Union Report (EEO-3)

UNION REPORTING PROGRAM

Approved by OMB
No. 3046-0006
Expires: ___XX/2020___

EQUAL EMPLOYMENT OPPORTUNITY COMMISSION WASHINGTON, D.C. 20507
EEOC FORM 274, LOCAL UNION REPORT (EEO-3)

REFERRAL LOCAL UNIONS ONLY

INSTRUCTIONS FOR FILING AND RECORDKEEPING REQUIREMENTS
These instructions were written to assist in the preparation of Local Union Report (EEO-3). Submit
the original no later than December 31 to the address on the EEO-3 website
https://egov.eeoc.gov/eeo3/contact.htm.
operation individuals customarily and
regularly seek or gain employment through the
union or an agent of the union.

1. WHO MUST FILE REPORT
Local Union Report (EEO-3). This report
must be completed in full and filed by or on
behalf of all referral local unions subject to
Title VII of the Civil Rights Act of 1964, as
amended, which have had 100 or more
members at any time since December 31 of
the preceding year. (See Section 1602.22 of
the regulations in Section 8 of these
instructions, and Section 701 (d) of the Title
VII for a more exact definition of “labor
organization.”)

For the purposes of this report, a local union
will be considered to be a Referral Union only
if it:
(a) Operates a hiring hall or hiring office
(on its own behalf or through a joint
council or other referral agent), or
(b) Has an arrangement under which one
or more employers are required to
consider or hire persons referred by the
union or its agent, or (c) Has 10 percent or
more of its members employed by
employers which customarily and

“Referral Union” is a term which describes
unions under whose normal methods of
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regularly look to the union, or any agent of
the union, for employees to be hired on a
casual or temporary basis, for a specified
period of time, or for the duration of a
specified job.

Surveys Staff, 131 M Street, NE, Room
4SW32H, Washington, DC 20507.
3. SURVEY REPORTING PERIOD:
DEFINITION OF "2-MONTH PERIOD"

The union will not be considered a Referral
union where there are only occasional referrals
to an employer who relies on sources other
than the union, or an agent of the union, for a
substantial portion of all hires. Thus, the fact
that a union representative in an industrial
plant occasionally recommends persons for a
job at the employer’s request would not in
itself result in the classification of that union
as a Referral Union.

The EEO-3 biennial report must be filed with
the Equal Employment Opportunity
Commission Reporting Center no later than
December 31. The “2-month period” required
to report certain information in Schedule I
may be any consecutive period of 2 months
beginning no earlier than August 1 and
ending no later than November 30. For
example, the referral union may gather the
information between September 15 and
October 15, or August 15 and October 15, But
NOT between July 1 and September 1, or
October 15 and December 15.

Only those local referral unions located in the
50 States and the District of Columbia,
excluding Hawaii, should be reported. No
reports should be filed for local unions in
Puerto Rico, the Virgin Islands, and other
American protectorates. However, reports are
required for union members regularly
employed within the 50 States and the District
of Columbia, except Hawaii, by foreignowned companies.

4. METHODS OF OBTAINING
INFORMATION AS TO RACE AND
ETHNICITY IDENTIFICATION
There are four methods of obtaining the
necessary information as to the race and
ethnicity identification of individuals required
to be listed in the tables in Questions 1 and 2
of Schedule I: As noted in Section 8 of these
instructions, the existence of State or Local
laws prohibiting inquiries and recordkeeping
as to race, etc., of individuals is not an
acceptable excuse for failure to report the
information called for in these tables. It is
recognized that exact identification of race,
color, or national origin of an individual is not
always possible. A good faith effort is
acceptable.

2. REQUESTS FOR SPECIAL
REPORTING PROCEDURES
A local union which claims that preparation or
the filing of Report EEO-3 would create
undue hardship may apply to the Commission
for a special reporting procedure. In such
cases, the respondent must submit in writing
an alternative proposal for compiling and
reporting information to:

(a) Existing Record - Where there is
already a record of the race and ethnicity

The EEO-3 Coordinator, EEO-3 Reporting
Center, EEOC Program Research and

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designation of the persons involved, that
record should be used.
(b) Visual Survey - A visual survey, or
“head count” may be used for identifying
individuals by race and ethnicity category
and sex. An individual may be included in
the race and ethnicity group to which
he/she appears to belong or considers
himself/herself to belong. A visual survey
is usually the simplest way to gather
information about race and ethnicity
designation where persons are gathered in
one place. Where it is impractical to
conduct a visual survey, the reporting
union may use the other method described
below.
(c) Making a Tally From Personal
Knowledge - One or more officers or
members of the union may examine
membership, and referral, of any kind and
make a tally of each person by race and
ethnicity category and sex using personal
knowledge and acquaintanceship with the
person listed on membership or other rolls.
(d) Self-Identification - The Commission
is aware of the high degree of sensitivity
of many persons when asked to identify
themselves. Therefore, gathering
information as to the race and ethnicity
identification of an individual by direct
inquiry is not encouraged. However, in
those instances where, because of the
conditions under which the union
operates, all other methods prove
impractical and burdensome (as for
example, where union members are
working at widely scattered sites), the
union may adopt a method of selfidentification or some other method of
direct inquiry.

SELF-IDENTIFICATION PROCEDURES
ARE AUTHORIZED ONLY UNDER THE
FOLLOWING CONDITIONS.
(1) It shall be made clear on any written form
or in any oral or other method of inquiry
that:
(a) The identification is made in
compliance with regulations issued by the
Equal Employment Opportunity
Commission under Title VII of the Civil
Rights Act of 1964, as amended; and
(b) The answer will be kept confidential,
and will not be used for any purpose other
than filing this report.
(2) The person signing the report states by
signature in Part C of the report that the
persons asked to identify themselves were told
the purpose of the question and advised of the
confidential nature of their answers.
A written inquiry, if used, might be in the
form of a postcard or other circular, returnable
to the union, on which card the individual is
asked to identify himself or herself by name
and as a member of the race and ethnicity
groups listed in Section 5 below. Replies
returned anonymously are not acceptable.
5. RACE AND ETHNICITY
CATEGORIES
Race and ethnicity designation as used by the
Equal Employment Opportunity Commission
does not denote scientific definitions of
anthropological origins. For the purpose of
this report, an employee may be included in
the group to which he or she appears to
belong, identifies with, or is regarded in the
community as belonging. However, no person
should be counted in more than one race and
ethnicity group.
NOTE: The category “HISPANIC”, while not
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a race identification, is included as a separate
race and ethnicity race because of the
employment discrimination often encountered
by this group; for this reason do not include
HISPANIC under either “white” or “black”.

Hispanic or Latino - Include all employees
who answer YES to the question, Are you
Hispanic or Latino. Report all Hispanic males
in Column A and Hispanic females in Column
B.

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

White (Non-Hispanic or Latino) - Include all
employees who identify as White males in
Column C and as White females in Column I.

Hispanic or Latino - A person of Cuban,
Mexican, Puerto Rican, South or Central
American, or other Spanish culture or origin
regardless of race.

Black or African American (Non-Hispanic
or Latino) - Include all employees who
identify as Black or African American males
in Column D and as Black or African
American females in Column J.

White (Non-Hispanic or Latino) – All persons
having origins in any of the original peoples of
Europe, North Africa or the Middle East.

Asian (Non- Hispanic or Latino) - Include
all employees who identify as Asian males in
Column E and as Asian females in Column K.
Native Hawaiian or Other Pacific
Islander (Non- Hispanic or Latino) - Include
all employees who identify as Native
Hawaiian or Other Pacific Islander males in
Column F and as Native Hawaiian or Other
Pacific Islander females in Column L.

Black or African American (Non- Hispanic
or Latino) - A person having origins in any of
the black racial groups of Africa.
Asian (Non-Hispanic or Latino) - A person
having origins in any of the original peoples of
the Far East, Southeast Asia, or the Indian
Subcontinent, including, for example,
Cambodia, China, India, Japan, Korea,
Malaysia, Pakistan, the Philippine Islands,
Thailand, and Vietnam.

American Indian or Alaska Native (NonHispanic or Latino) - Include all employees
who identify as American Indian or Alaska
Native males in Column G and as American
Indian or Alaska Native females in Column
M.

Native Hawaiian or Other Pacific Islander
(Non-Hispanic or Latino) - A person having
origins in any of the peoples of Hawaii, Guam,
Samoa, or other Pacific Islands.

Two or More Races (Non-Hispanic or
Latino) - Report all male employees who
identify with more than one of the above five
races in Column H and all female employees
who identify with more than one of the above
five races in Column N.

American Indian or Alaska Native (NonHispanic or Latino) - A person having
origins in any of the original peoples of North
and South America (including Central
America), and who maintain tribal affiliation
or community attachment.

6. ESTIMATE OF BURDEN
Public reporting burden of this collection of
information is estimated to average 2.05 hours
per response, including the time for reviewing
instructions, searching existing data sources,
gathering and maintaining the data needed and
completing and reviewing the collection of
information. A response is defined as one
survey form. Send comments regarding this

Two or More Races (Non-Hispanic or
Latino) - Persons who identify with two or
more racial categories named above.
Instructions for assigning employees into
the race and ethnicity categories:

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burden estimate or any other aspect of this
collection
of
information,
including
suggestions for reducing this burden to:

persons referred will be sufficient. In
other cases, individual records may be
made
through
self-identification
procedures as suggested in Section 4 of
these instructions.

The EEOC Clearance Office

Where referral of persons is handled by an
agent of the local union, or under a joint
arrangement with other local unions
(representing the same or different crafts or
trades), it is the responsibility of the
reporting union to see to it that the agent
compiles the information necessary for
Item 2. The definition of a labor
organization in Title VII of the Civil Rights
Act makes it clear that “agents" of a local
union are covered by the law and therefore
are equally subject to the reporting and
recordkeeping regulations adopted under
it.

Office of Research Information and
Planning
131 M Street NE, Room 4SW30F
Washington, D.C. 20507

The full text of the OMB regulation may be
found at 5 CFR, Part 1320, or Federal
Register, Vol. 60, No. 167, Tuesday, August
29, 1995, page 44978.
7. SCHEDULE I
If the local union answered “Yes” to Part B,
Question 1 and “Yes” to any one of three
questions in Part B, Question 2, of the report,
it must complete EEO-3 Schedule I.

(b) Question 1 -Method of Identification:
Check the applicable boxes to indicate
how
race
and
ethnicity
group
identification was made in completing
Item 2.

(a) Question 1 and 2 - Method of
identification and Statistics: The schedule
requires information by race and ethnicity
group and by sex, for: (a) union
members; and (b) persons referred for
jobs. It also asks information about
applicants for membership and applicants
for referral. It is recognized that under a
variety of referral arrangements in
existence throughout the United States, as
in the case where referral for employment
is requested or made by telephone, it may
be difficult for the referral union to
compile the data requested on
individuals. However, within the
particular framework of its own
operation, the referral union will be
expected to establish and maintain a
recordkeeping system that will enable it
to report, for the 2-month period, the
information called for in Question 2b. In
many instances, a daily tally of the
race/ethnic identification and sex of

(c) Question 2 - Statistics:
All entries are for Total Both Sexes, and
by sex and race and ethnicity group.
Membership in Referral Unit.
 Enter in Item 2a(1) the members in
the referral unit.
 Enter in Item 2a(2) the number of
applicants
for
membership
during the preceding year.
Referrals During 2-Month Period The 2Month period referred to may be
selected from any time between August
1 and November 30 of the survey year,
such as September 1 to October 31 for
example. For each column:
Enter in Item 2b(1) the number of
individual persons referred to a
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job during the 2-Month period.
Enter in Item 2b(2) the number of
referrals the persons in Item
2b(1) were sent out during the 2
month period. If a member is
sent out (referred) more than one
time during the 2-month period,
the total number of these
referrals must be included in this
item.
Enter in Item 2b(3) the number of
persons who were applicants for
referral during the 2-month
period.

as reasonable, necessary, or appropriate
for the enforcement of this subchapter or
the regulations or orders thereunder. The
Commission shall, by regulation, require
each employer, labor organization, and
joint labor-management committee
subject to this subchapter which controls
an apprenticeship or other training
program to maintain such records as are
reasonably necessary to carry out the
purposes of this subchapter, including,
but not limited to, a list of applicants
who wish to participate in such
program, including the chronological
order in which applications were
received, and to furnish to the
Commission upon request, a detailed
description of the manner in which
persons are selected to participate in the
apprenticeship or other training
program. Any employer, employment
agency, labor organization, or joint
labor-management committee which
believes that the application to it of any
regulation or order issued under this
section would result in undue hardship
may apply to the Commission for an
exemption from the application of such
regulation or order, and, if such
application for an exemption is denied,
bring a civil action in the United States
district court for the district where such
records are kept. If the Commission or
the court, as the case may be, finds that
the application of the regulation or order
to the employer, employment agency, or
labor organization in question would
impose an undue hardship, the
Commission or the court, as the case
may be, may grant appropriate relief. If
any person required to comply with the
provisions of this subsection fails or
refuses to do so, the United States
district court for the district in which
such person is found, resides, or
transacts
business,
shall,
upon

(d) Question 3 - Period Used For
Referral Date: Enter the actual dates of
the 2-month period used to prepare your
records.
8. LEGAL BASIS FOR REPORTING
AND RECORDKEEPING

Section 709 (c), Title VII, Civil Rights Act
of 1964
(As Amended by the
Equal
Employment Opportunity Act of 1972)
Execution, retention, and preservation of
records; reports to Commission; training
program records; appropriate relief from
regulation or order for undue hardship;
procedure for exemption; judicial action
to compel compliance
Every employer, employment agency,
and labor organization subject to this
subchapter shall (1) make and keep such
records relevant to the determinations of
whether unlawful employment practices
have been or are being committed, (2)
preserve such records for such periods,
and (3) make such reports therefrom as
the Commission shall prescribe by
regulation or order, after public hearing,
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§ 1602.23 Penalty for making of willfully
false statements on reports.

application of the Commission, or the
Attorney General in a case involving a
government, governmental agency or
political subdivision, have jurisdiction
to issue to such person an order
requiring him to comply.

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.

§ 1602.22 Requirements for filing and
preserving copy of report.

§ 1602.24 Commission’s remedy for failure
to file report. Any person failing or refusing
to file Report

On or before December 31, 1986, and
biennially thereafter, every labor organization
subject to title VII of the Civil Rights Act of
1964, as amended, shall file with the
Commission or its delegate an executed copy
of Local Union 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 709 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.

Any person failing or refusing to file Report
EEO-3 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 709(c) of title VII.

§ 1602.25 Exemption from reporting
requirements.
If it is claimed that the preparation or filing of
Report EEO-3 would create undue hardship,
the labor organization may apply to the
Commission for an exemption from the
requirements set forth in this part.

§ 1602.26 Additional reporting
requirements.

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
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“referral union” in the instructions
accompanying Report EEO-3, or agent
thereto, shall preserve other membership or
referral records (including applications for
same) made or kept by it for a period of 1
year from the date of the making of the
record. Where a charge of discrimination
has been filed, or an action brought by the
Commission or the Attorney General,
against a labor organization under title VII,
the ADA, or GINA, the respondent labor
organization shall preserve all records
relevant to the charge or action until final
disposition of the charge or the action. The
date of “final disposition of the charge or the
action” means the date of expiration of the
statutory period within which the aggrieved
person may bring an action in a U.S. District
Court or, where an action is brought against
a labor organization either by the
Commission, the aggrieved person, or by the
Attorney General, the date on which such
litigation is terminated.

title VII, the ADA, or GINA. Any system
for requirement of such reports will be
established in accordance with the
procedures referred to in section 709(c) of
title VII, section 107 of the ADA, or section
207(a) of GINA, and as otherwise
prescribed by law.

§ 1602.27 Records to be made or kept.
Those portions of Report EEO-3 calling for
information about union policies and practices
and for the compilation of statistics on the
race, color, national origin, and sex of
members, persons referred, and apprentices,
are deemed to be “records” within the
meaning of section 709(c), title VII, Civil
Rights Act of 1964. Every local, independent,
or unaffiliated union with 100 or more
members (or any agent acting in its behalf, if
the agent has responsibility for referral of
persons for employment) shall make these
records or such other records as are necessary
for the completion of Report EEO-3 under the
circumstances and conditions set forth in the
instructions accompanying it, which are
specifically incorporated herein by reference
and have the same force and effect as other
sections of this part.

(b) Nothing herein shall relieve any
labor organization covered by title VII of the
obligations set forth in subpart E, §§1602.20
and 1602.21, relating to the establishment
and maintenance of a list of applicants
wishing to participate in an apprenticeship
program controlled by it.

§ 1602.29 Applicability of State or Local
law.
The requirements imposed by the Equal
Employment Opportunity Commission in
these regulations, subparts D through G,
supersede any provisions of State or local law
which may conflict with them. Any State or
local laws prohibiting inquiries and
recordkeeping with respect to race, color,
national origin, or sex do not apply to
inquiries required to be made under these

§ 1602.28 Preservation of records made or
kept.

(a) All records made by a labor organization
or its agent solely for the purpose of
completing Report EEO-3 shall be preserved
for a period of 1 year from the due date of
the report for which they were compiled.
Any labor organization identified as a
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regulations and under the instructions
accompanying Reports EEO-2 and EEO-3.

EEO-3 BK(REV.12/14) Previous editions are
obsolete

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