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Instructions to Federal Agencies for EEO MD-715: Section III

The U.S. Equal Employment Opportunity Commission

Instructions to Federal Agencies for EEO MD-715

Section III
Reporting Requirements and Line-By-Line Instructions


Reporting Requirements

General

This section contains an overview of EEOC FORM 715-01, which must be submitted to EEOC on an annual basis, followed by detailed, line-by-line, instructions on how to complete it.

EEOC FORM715-01 prescribes the standard format for federal agencies' use in reporting progress in establishing and maintaining continuous programs of equal employment opportunity. Agencies are reminded that the component parts of EEOC FORM 715-01 are designed to collect federal agency, government-wide information in a consistent format. Agencies should submit EEOC FORM 715-01 as prescribed by the EEOC and refrain from modifying any part of it.

Modifications to Race and National Origin Categories and the Need to Re-Survey

EEO MD-715 requires agencies to report the race and national origin of employees and applicants for employment. In establishing the race and ethnic categories for these reporting purposes, EEOC was guided by the need to balance three interests: (1) accommodating changing demographics and the Office of Management and Budget's (OMB) government-wide Revisions to the Standards for the Classification of Federal Data on Race and Ethnicity(1) ("OMB Standards"); (2) obtaining data that will be useful to the agencies' Title VII programs; and (3) limiting the burden on agencies. Therefore, EEOC is only asking agencies to report data to EEOC in the race and national origin categories set forth on our forms. These categories include the five minimum categories designated by OMB for data on race: American Indian or Alaska Native, Asian, Black or African American, Native Hawaiian or Other Pacific Islander, and White. The forms also include the OMB minimum categories for data on ethnicity: "Hispanic or Latino" and "Not Hispanic or Latino."

Nothing in EEOC's reporting requirements prohibits agencies from collecting data on race and national origin in a more detailed fashion consistent with OMB guidance so long as the information collected can be aggregated into the categories EEOC requires for reporting on the EEO MD-715 forms. Thus, agencies may wish to ask racial information of those who identify themselves as Hispanic. Similarly, agencies are encouraged to allow employees who identify themselves as members of more than one race to identify those races with specificity (i.e. "White" and "Asian").

Identification of Employees: Self-identification is the preferred method for gathering racial and national origin information. Agencies should provide employees with opportunities to do so and should advise employees of the importance of the data and the agency's obligation to report it. If an employee refuses to provide a self-identification, the agency should make visual identification and inform the employee of the data it will be reporting. 29 C.F.R. § 1614.601(b).

Resurveying: Beginning in 2004, agencies are encouraged to resurvey their employees for accurate race and national origin identification. At a minimum, all new hires, and those for whom the agency does not have race or national origin information, should be given the opportunity to self-identify their race and national origin, including the ability to identify their membership in more than one race. In addition, before filing their first reports under EEO MD-715, agencies will need the resurvey those employees who had previously identified themselves as Asian/Pacific Islander in order to break out those employees into the two new categories: (1) Asians and (2) Native Hawaiian or Other Pacific Islander.

Disability: Agencies are strongly encouraged to periodically resurvey their employees to accurately capture current disability status.


EEO MD-715 Reporting Format and Due Date

The requirement to file an EEOC FORM 715-01 applies to all covered federal departments and agencies. The heads of all covered departments and agencies are responsible for preparing and submitting department/agency-wide annual fiscal year status reports. EEOC FORM 715-01 is due by January 31st following the end of the fiscal year that is being reported.

Consistent with Section 717 of Title VII of the Civil Rights Act, EEOC requires operating components and field installations with 500 or more employees to develop separate plans in accordance with these instructions.


Overview of the EEOC FORM 715-01 and Related Documentation

The EEOC FORM 715-01 is divided into ten (10) parts, designated PART A through PART J. There are a total of 34 Workforce Data Tables, 17 of which provide data on the participation of persons by race, ethnicity and sex (Workforce Data Tables A1 through A14) and 17 of which provide data on the participation of persons with disabilities (Workforce Data Tables B1 through B14). Agencies with temporary employees must file two sets of Tables A4, A5, A6 and A7 and Tables B4, B5, B6 and B7, one set providing the data for permanent employees and one set providing the data for temporary employees.


PARTS A through C require agencies to provide information that identifies the reporting agency or subordinate level reporting component, the total number of employees, and the agency officials responsible for the oversight of the agency's EEO Programs.

All covered agencies, regardless of size, are required to submit PARTS A through C.


PART D requires agencies and subordinate level reporting components to identify all units (i.e., regions, field installations, etc.), that are included in the subject report.

Depending on the size and structure of the reporting agency or subordinate level reporting component, not all agencies will be required to complete PART D. See the chart on page 3 of this section.


PART E, the Executive Summary, requires agencies to provide a succinct narrative of the status of the agency's overall EEO program, discuss any problems discovered during its self-assessment, report on the barriers identified as a result of its barrier analyses, and briefly outline what activities will be undertaken to address any program deficiencies and plans to eliminate the identified barriers.

All covered agencies, regardless of size, are required to submit PART E.


PART F requires the Principal EEO Director/Official for the reporting agency or subordinate level reporting component to certify that the agency has completed an annual self-assessment of its EEO Program against the EEO MD-715 essential elements and conducted comprehensive barrier analyses.

All covered agencies, regardless of size, are required to submit PART F.


PART G is the Self-Assessment Checklist. When filing the annual status report, the agency may choose to submit the Self-Assessment Checklist (included in Section 1 of this manual) as PART G of the report. As noted in Section 1, the Self-Assessment Checklist provides agencies with a comprehensive listing of the kinds of agency documents and systems that should be in place in order to operate a model EEO program.

Although submission is voluntary, all covered agencies, regardless of size, are required to complete the Self-Assessment Checklist as PART G and retain a copy for EEOC review upon request.


PART H, EEO Plan For Attaining the Essential Elements of A Model EEO Program, requires agencies to report specific plans of action aimed at correcting those facets of their EEO Program that are not fully compliant with the essential elements prescribed in EEO MD-715. Part H can be completed only after the agency has finished assessing its overall EEO program and filled out the Self-Assessment Checklist.

Covered agencies that employ 500 or more employees in permanent full-time/part-time (FT/PT) appointments are required to submit PART H.


PART I, EEO Plan To Eliminate Identified Barrier, requires agencies to report specific plans of action aimed at removing barriers from their policies, procedures, or practices that limit or restrict free and open competition of all groups to participate in employment opportunities and benefits.

Covered agencies that employ 500 or more employees in permanent FT/PT appointments are required to submit PART I.


PART J, The Special Program Plan for the Recruitment, Hiring and Advancement of Individuals with Targeted Disabilities is required for all covered agencies that employ 1,000 or more employees in permanent FT/PT appointments. PART J requires reporting agencies to examine employment trends and participation rates of persons with reportable and targeted disabilities in agency programs.

Agencies employing fewer than 1,000 employees in permanent FT/PT appointments are not required to submit PART J. However, such agencies must maintain any documentation regarding the establishment and maintenance of their Section 501 program as is necessary to permit the Commission to verify compliance during an EEOC program evaluation.


What Must Be Filed?

For Fiscal Year 2004, each covered entity must file on or before January 31, 2005, a Federal Agency Annual EEO Program Status Report (EEOC FORM 715-01) with the Commission for the Commission's review and approval, consistent with 29 C.F.R. §1614.602(c). The initial EEO Plan will take effect on October 1, 2004.

Thereafter, on an annual basis, each covered agency must file a Federal Agency Annual EEO Program Status Report (based on workforce statistics covering the prior fiscal year (October 1 to September 30) with the EEOC on or before January 31st following the end of the fiscal year that is being reported.

Status reports must include the annual certification that each agency has a continuing program of equal employment opportunity that is consistent with the requirements outlined in EEO-MD-715 and report on activities undertaken and accomplishments made in implementing its EEO Plans.

Consistent with the requirements at 29 C.F.R. §1614.601, the reports shall be in the format prescribed by the Commission.

Quick Guide To What Must Be Filed Annually (See also quick-check on the next page)
IF you are ... ... AND ... THEN, you must file ... WITH ...
A covered agency you employ 1,000 or more employees in permanent FT/PT appointments FORM 715-01 PARTS A through F and PARTS H through J.

Workforce Data Tables 1-14

EEOC, OFO
A covered agency you employ 500 or more (but fewer than 1,000) employees in permanent FT/PT appointments FORM 715-01 PARTS A through F and PARTS H and I.

Workforce Data Tables 1-7

A covered agency you employ 499 or fewer employees in permanent FT/PT appointments. FORMS 715-01 PARTS A through F.

Workforce Data Tables 1-5

A 2nd level reporting component you employ 1,000 or more employees in permanent FT/PT appointments FORM 715-01 PARTS A through F and PARTS H through J.

Workforce Data Tables 1-14

Your agency HQ for inclusion in agency-wide report.

File a copy with EEOC.

you employ 500 or more (but fewer than 1,000) employees in permanent FT/PT appointments FORM 715-01 PARTS A through F, and PARTS H and I.

Workforce Data Tables 1-7

Your agency HQ for inclusion in agency-wide report.

Maintain a copy.

A 3rd or 4th level reporting component you employ 1,000 or more employees in permanent FT/PT appointments FORM 715-01 PARTS A through F and PARTS H through J.

Your next higher reporting level for inclusion in its report.

Maintain a copy.



Quick-check:

EEOC FORMS and Documents Included With This Report
* Executive Summary [FORM 715-01 PART E], that includes:
  • Brief paragraph describing the agency's mission and mission-related functions
  • Summary of results of agency's annual self-assessment against MD-715 "Essential Elements"
  • Summary of Analysis of Work Force Profiles including net change analysis and comparison to RCLF
  • Summary of EEO Plan objectives to attain essential element(s) of a model EEO program or to eliminate identified barriers
  • Summary of EEO Plan action items implemented or accomplished
  * Annual Self-Assessment Checklist Against Essential Elements [FORM 715-01 PART G] [FILING WITH EEOC IS OPTIONAL.]  
  * EEO Plan For Attaining Essential Elements of a Model EEO Program [FORM 715-01 PART H] for each programmatic essential element requiring improvement  
  * EEO Plan To Eliminate Identified Barrier
[FORM 715-01 PART I] for each identified barrier
 
  * Special Recruitment Program/Plan for Individuals With Targeted Disabilities for agencies with 1,000 or more employees [FORM 715-01 PART J]  
  * Work Force Data Tables  
  * Copy of data from 462 Report as necessary to support action items related to Complaint Processing Program deficiencies, ADR effectiveness, or other compliance issues.  
* Statement of Establishment of Continuing Equal Employment Opportunity Programs
[FORM715-01 PART F]
  * Copy of Facility Accessability Survey results as necessary to support EEO Action Plan for building renovation projects  
* Copies of relevant EEO Policy Statement(s) and/or excerpts from revisions made to EEO Policy Statements

 
  * Organizational Chart  

Where To File

Annual status reports should be mailed to:

Equal Employment Opportunity Commission
Office of Federal Operations
P.O. Box 77960
Washington, DC 20013

Or hand-delivered to:

Equal Employment Opportunity Commission
Office of Federal Operations
131 M Street, NE
Suite 5SW12G
Washington, DC 2050

Reports under 30 pages may be faxed to:

(202) 663-4388


EEOC Contact Point

Inquiries and correspondence concerning federal affirmative programs of equal employment opportunity should be directed to the Office of Federal Operations which oversees federal agency equal employment opportunity programs for compliance and administers EEO MD-715.

Correspondence may be mailed to:

Equal Employment Opportunity Commission
Office of Federal Operations
P.O. Box 19848
Washington, D.C. 20036

Telephone: (202) 663-4599
Facsimile: (202) 663-4388


Line-by-line Instructions for EEOC FORM 715-01


PART A

Department or Agency Identifying Information


Description: Part A identifies the reporting agency or agency component that is the subject of the report. This part of the EEOC FORM 715-01 requires information about the organizational and geographic location of the reporting agency or agency component.
Reporting Change
to Note

Each reporting agency or agency component will be required to report the Central Personnel Data File (CPDF) codes compiled by the Office of Personnel Management and the Federal Information Processing Standards (FIPS) codes compiled by the Office of Management and Budget that serve to locate agency-specific personnel/work force information.


Line 1. Agency

Enter full name of the Department or Agency. This line identifies all agencies that must submit an agency-wide report, regardless of their size. Do not use acronyms or abbreviated names. The agency-wide report that is filed with the EEOC will only have Line 1 completed.

Part A

Department or Agency Identifying Information

1. Peace Corps of the United States
1.a.
1.b.
1.c.





Line 1.a. 2nd level reporting component

Enter the name of the 2nd level reporting component that is directly under the headquarters level on line 1.a. Second level reports must be submitted to headquarters for inclusion in the agency-wide report. Second level organizations with 1000 or more employees must also file a copy with the EEOC.

For Departments, the 2nd level components might be separate bureaus. For example, the Marshal Service, Drug Enforcement Administration, and Federal Bureau of Investigation are 2nd level components of the Department of Justice.

For independent and executive branch agencies, the 2nd level components might be identified as a region. Any agency wishing to inquire as to the proper classification a component should contact the Office of Federal Operations, Federal Sector Programs.

Part A

Department or Agency Identifying Information

1. U.S. Environmental Protection Agency
1.a. Mountains & Plains - Region 8
1.b.
1.c.



For reporting purposes, departments and independent agencies of the Department of Defense are to report as 2nd level reporting components even though they do not submit their reports through the DOD Office of the Secretary of Defense.

Part A

Department or Agency Identifying Information

1. U.S. Department of the Defense
1.a. Department of the Air Force
1.b.
1.c.




Line 1.b. 3rd level reporting component

Enter the name of the agency sub-component that is directly under the 2nd level reporting component and that must submit a report for inclusion in the component-wide report.

For departments, the 3nd level components might be regional offices of 2nd level components. For example, the Denver and Philadelphia Mints are 3rd level components of the Department of the Treasury because they are directly under the Bureau of the Mint which is a 2nd level component of the Department of the Treasury.

For independent agencies, the 3rd level components might be identified as installations, laboratories, or service centers. Many independent agencies will not have a 3nd level.

Part A

Department or Agency Identifying Information

1. U.S. Department of the Treasury
1.a. U.S. Bureau of the Mint
1.b. Denver Mint
1.c.





Line 1.c. 4th level reporting component

Enter the name of any agency sub-component that is directly under the 3rd level reporting component and that must submit a report for inclusion in the 3rd level-wide report. (The 3rd level reporting component also will be included in the 2nd level-wide report, just as the 2nd level reporting component will be included in the agency-wide report.)

Part A

Department or Agency Identifying Information

1. U.S. Department of the Treasury
1.a. Internal Revenue Service
1.b. IRS Service Center - Andover, MA
1.c. IRS Tax-Payer Assistance Center, Hartford, CT





Line 2. Address

Enter the street address or post office box for the agency or reporting component covered by the report.




Line 3. City, State, Zip Code

Enter the city, state, and zip code for the agency or reporting component covered by the report.




Line 4. CPDF Code

Enter the agency Central Personnel Data File (CPDF) Code.

What is a CPDF code? It is the code which the EEOC utilizes to access personnel statistics from the annual CPDF download provided by the U.S. Office of Personnel Management. The information is based upon federal agency SF-50 transactions, or what can be termed as "personnel actions." Each covered agency has an "Agency Code" which appears in block 47 of the SF-50. CPDF codes consist of two letters for the agency and those two letters plus at least two numerals for agency subcomponents. For example, the CPDF code for the Department of Justice is DJ. The code for the Marshal Service is DJ08.

For assistance in identifying these codes, agencies may contact their human resources/personnel offices. For information about the CPDF in general and federal employment statistics, see the OPM website - http://www.opm.gov/feddata/html.




Line 5. FIPS Code(s)

Enter the reporting component Federal Information Processing Standards (FIPS) code, or codes, as appropriate.

What is a FIPS code? It is a code published by the Office of Management and Budget which identifies the geographic area where most of the employees and applicants reside. If an agency's region covers more than one FIPS, identification of the specific codes will assist the agency and EEOC in assuring that the agency is using the appropriate data.

For example, Region 10 in one agency might cover the states of Idaho, Oregon, Washington, and Alaska, but for another agency Region 10 covers the states of Idaho, Oregon, Montana, and Wyoming.

FIPS codes generally consist of five numerals. For assistance in identifying these codes, agencies may contact their human resources/personnel offices.




PART B
Total Employment




Description: Part B requires the agency to provide a break-out of information about its total workforce.
Reporting Change
to Note

Agencies need to assess the adequacy of the resources that they have allocated to the EEO program in order to ensure an effective complaint program and to protect employees' right to a workplace free from discrimination. Accordingly, an agency must consider the total workforce (or segments thereof) that participate in various EEO programs.


Line 1. Total number of permanent full-time and part-time employees.

For purposes of agency affirmative programs of equal employment opportunity under Section 717, agencies should count all permanent employees -- that is, any member of the permanent workforce serving under either a competitive or excepted appointment, including permanent employees who work full-time, part-time, or intermittent work schedules. For these purposes, "permanent employees" include all employees serving under permanent accession codes.

Some examples of accession (or new hire) codes and corresponding nature of action descriptions that often appear in blocks 5-A and 5-B of SF-50 transactions are shown below:

Accessions Codes - Permanent Appointments
Code Nature of Action
100 Career Appointment
101 Career Conditional Appointment
130 Transfer
140 Reinstatement - Career Appointment
170 Excepted Appointment [Schedule A, B, or C]
500 Conversion to Career Appointment
501 Conversion to Career Conditional Appointment
570 Conversion to Excepted Appointment [Schedule A, B, or C]
etc.



Line 2. Total number of temporary employees
.

Agencies should also track separately the representation of each EEO group in temporary jobs at each grade level. For these purposes, temporary workers are those who have been employed under temporary appointing authorities at any time during the fiscal year being analyzed.

Because an agency's EEO program covers temporary employees, who have a right to a workplace that is free of discrimination and to access to both the agency complaint program and the Alternative Dispute Resolution (ADR) Program, the number of temporary employees must be considered in the planning and allocation of the agency's EEO Program to ensure that sufficient resources are available.

Some examples of temporary accession codes that may appear in blocks 5-A and 5-B of SF-50 are shown in the following chart:

Accessions Codes - Temporary Appointments
Code Nature of Action
108 Temporary Appointment NTE [under a direct hire authority]
115 Temporary Appointment NTE (date)
117 Summer Appointment NTE (date)
171 Excepted Appointment NTE (date)



Line 3. Non-appropriated fund employees.

Non-appropriated fund employees in the workforce are also entitled to access the agency's complaint program, utilize the ADR program, and have a workplace that is free of discrimination. Non-appropriated fund employees must be included in the planning and allocation of EEO Program resources to ensure that sufficient resources are available.

The EEOC utilizes the Office of Personnel Management's CPDF codes to monitor federal government employment. However, non-appropriated fund employees in Defense Activities, Commissioned Corps employees, and Foreign Nationals employed outside of the United States or its territories are not included in the CPDF. For detail on CPDF coverage see http://www.opm.gov/feddata/demograp.




Line 4. Total Employment.

Add PART B lines 1 through 3.


PART C
Agency Official(s) Responsible For Oversight of EEO Program(s)




Description: Part C identifies the agency officials at the reporting agency or agency component that is the subject of the report who are responsible for the oversight and administration of the EEO Program.

Agency EEO complaint staff personnel, such as EEO Counselors and EEO Investigators, are not listed in this part as they are included in the 462 report.




Line 1. Head of Agency

Enter the name and official title of the head of the department or agency. For example, the head of the EEOC is the "Chair," the head of a department might be a "Secretary" or "Administrator" of [Name of Department], and the head of an independent agency may have a unique title, such as "The Archivist of the United States."




Line 2. Agency Head Designee.

Enter the name and official title of the agency official who has been delegated authority by the agency head under 29 C.F.R. § 1614.607.

For a department-wide report, such a delegation might be made to a Deputy Secretary. In an independent agency-wide report, the delegation could be made to the chief operating officer.

For a subordinate-level component report, the component head should have delegated authority for the EEO program in his/her respective jurisdiction and be listed on Line 2.




Line 3. Principal EEO Director/Official.

Enter the name and official title of the agency official who has been designated by the agency head under 29 C.F.R. § 1614.102(b)(4) to carry out the EEO functions described in the regulations.

In the Part 1614 regulations, the title for this official is the EEO Director. Agencies have a variety of titles for the Principal EEO Director/Official, ranging from "EEO Director" to "Director of Civil Rights and Work Force Diversity." No matter what title an agency chooses, the official designated the overall responsibility for the day-to-day operation and coordination of Section 717 and Section 501 programs of equal employment opportunity should be listed on line 3. For a component report, the component EEO Manager or Official should be listed on Line 3.




Lines 4, 5, and 6. Other EEO Program Officials.

Enter the name(s) and official title(s) of the agency official(s) delegated authority for the day-to-day operation of various EEO/AE programs under 29 C.F.R. § 1614.102(b)(4).




Line 7. Other Responsible EEO Staff.

Enter the names and official titles of any other agency official delegated responsibility for the day-to-day operation of an EEO or EEO-related program or function. This could include , but is not limited to, the ADR Coordinator, Special Emphasis Program Manager(s), Selective Placement Coordinator (if different from the Section 501 Program Official), or the agency official responsible for making final decisions on requests for reasonable accommodations.


PART D
List of Subordinate Components Covered in This Report


Reporting Change
to Note

Description: Part D identifies all of the subordinate units that are included in the agency or agency component that is the subject of the report. Those identified subordinate units may or may not file separate reports to the EEOC under EEO MD-715, as indicated on the chart on page 3 of this section.

The EEOC anticipates a reduction in the number of pages that agencies will need to submit with their reports because the EEOC can access work force data directly from the OPM's CPDF. For example, the city/state location of Watervliet, NY is easier to locate in the CPDF database if the FIPS is identified. Cross referencing the FIPS with the census CLF tables should also be more expeditious.

Subordinate Component and Location (City/State)

List the names and locations for each subordinate unit included in the report. For example, a department-wide report would fill in only Line 1 of Part A then list each 2nd level reporting component (and the component's CDPF and FIPS codes) in PART D.

Part A

Department or Agency Identifying Information

1. U.S. Department of Government
1.a.
1.b.
1.c.

Part D

List of Subordinate Components Covered in This Report

Bureau of Investigation DG02/11-001
Bureau of Government Service DG03/11-001
Government Enforcement DG06 11-001
etc.


For a component-wide submission, Lines 1 and 1.a. of Part A are filled in and Part D lists all the reporting units that are covered in the component-wide report. The example below includes possible worksite FIPS codes for the location of each regional office.

Part A

Department or Agency Identifying Information

1. U.S. Department of Government
1.a. Bureau of Government Service
1.b.
1.c.

Part D

List of Subordinate Components Covered in This Report

Central Office

Washington, D.C. DG03 /11-001

Mid-Atlantic Region

Baltimore, MD DG03/24-510

North Central Region

Kansas City. KS DG03/20-091

Northeast Region

Philadelphia, PA DG03/42-101

South Central Region

Dallas, TX DG03/48-113

etc.


A report prepared by a 3rd level reporting component completes Lines 1, 1.a., and 1.b. of Part A and list all of the units in PART D that are covered in its report as depicted below. In the example below, the FIPS for the area office located in Watervliet, NY, is 36-001, the FIPS code for a cluster of federal jobs in the Albany/Schenectady/ Troy, NY area.

Part A

Department or Agency Identifying Information

1. U.S. Department of Government
1.a. Bureau of Government Service
1.b. Northeast Region
1.c.

Part D

List of Subordinate Components Covered in This Report

Government Area Office

Erie, PA DG03//42-049

Government Area Office

Danbury , CT DG03/09-001

Government Area Office

Watervliet, NY DG03/36-001

etc.



PART E
Executive Summary

Purpose of the Executive Summary
Reporting Change
to Note

The purpose of the Executive Summary is to alert all managers and supervisors of their responsibilities regarding the status of the agency's EEO program. The Executive Summary also provides the reader with a quick and informative review of EEO program administrative deficiencies that will be addressed during the upcoming year as well as the barriers that have been identified.

Content of the Executive Summary

Elements of the Executive Summary as prescribed by PART C of EEO MD-715 include:

  • A brief narrative description of the agency's mission and mission-related functions;
  • A brief description of strengths and weaknesses of the agency's EEO Programs when evaluated against the essential elements of a model program;
  • A brief description of activities undertaken in connection with the annual self-assessment, including the barriers identified for elimination and program deficiencies that require correction; and,
  • A brief description of action items and plans to be implemented/accomplished by the agency during the upcoming year.

The Executive Summary should be as short and concise as possible. Extraneous information, such as a complete iteration of the agency's strategic plan, should not be included in the Executive Summary.

Remember that the Executive Summary is intended to be an introductory summary which catches the attention of the agency's top managers and supervisors. This is to ensure their understanding of the agency's overall EEO program direction and of their expected contributions necessary for the agency to become a Model Employer.

Instructions for completing PART E

The Executive Summary can be written only after all the data is completed and analyzed, and the agency has identified barriers and plans for addressing the barriers.

On page 1, and in the header of page 2 of EEOC FORM 715-01 PART E, the report preparer will replace [Insert the Name of Agency or Reporting Component] with the agency name that appears on Line 1 of PART A of the EEOC FORM 715-01.

The Executive Summary may then be placed on the form, which is designed to expand and self-paginate as necessary to accommodate the narrative. While brevity is desired, agencies should not feel limited in fully describing the results of their self-assessment and plans for achieving a Model EEO Program.


PART F
Certification of Establishment of Continuing Program of Equal Employment Opportunity




Data Check

Enter the name and title of the Principal EEO Official/Director and the name of the agency or reporting component where indicated on the form. The information entered here should match the entries that were made on EEOC FORM 715-01 PART A, Line 1; and EEOC FORM 715-01 PART C, Line 3.

The Principal EEO Director/Official and the Agency Head (or Designee) should sign and date where indicated on the form.


PART G
Agency Self-Assessment Checklist

The Self-Assessment Checklist and the instructions for completing it are set forth in Section 1 of this manual. The Self-Assessment Checklist may be included as Part G of EEOC FORM 715-01.

Agencies are responsible for maintaining documentation and data relating to their establishment of a Model EEO Program. Such documentation must be available upon request by the EEOC but should not be submitted with the annual status report.


PART H
EEO Plan For Attaining the Essential Elements of a Model EEO Program




After completing of the Self-Assessment Checklist, agencies will have a clearer picture of what actions it needs to take to become a Model Agency.

For each problem (or cluster of problems) that an agency identifies for correction or improvement, an EEOC FORM 715-01 PART H must be prepared.




Identify the Agency

Insert the name of the agency where indicated on the form. Make copies of the page as appropriate for the number of problems that have been identified.


Statement of Model Program Essential Element Deficiency

For each model program element deficiency, provide a description of the specific condition that exists in the program area being addressed. An example of a deficiency might be: Only 75% of the agency's 3,000 managers and supervisors have received training on the Reasonable Accommodation Procedures.


Objective

For each model program element deficiency described, provide a clear statement of the measurable objective that will resolve/correct the problem. In the previous example of a deficiency, the measurable objective to resolve/correct the problem might be: To train all of the currently untrained managers and supervisors while ensuring that new managers and supervisors are trained simultaneously.


Responsible Official

Enter the Official Title of the agency official who will be responsible for implementing/overseeing the agency's completion of the objective. For the previous example, the agency may have assigned the objective to the Training Officer.


Date Objective Initiated

Enter the fiscal year report date when the objective was put into place.


Target Date for Completion of Objective

Enter the date by which the agency plans to complete the objective. Objectives can be short-term or long term depending on the simplicity or complexity of the plan.

For instance, in the previous example, and given its current training resources, the agency can reasonably conduct three comprehensive EEO courses per quarter for managers and supervisors (i.e., twelve courses per year, times 35 participants per course or 420 managers/supervisors trained per year).

Since, in the example given, there are 750 current managers/supervisors to train plus an estimated 50 new managers/supervisors each year, the agency may want to plan for a three-year time frame to complete the objective.




Enter the specific activities/actions that will be implemented to complete the objective. The target dates for the activities should lead to the completion date for the objective (i.e., if the target date for the Objective is the last quarter of FY 2005, the target date for one of the planned activities should not be in FY 2006).


Report of Accomplishments and Modifications To Objective

This section is used to report the status of activities undertaken. If an objective is initiated in FY 2003, this section should be completed for the FY 2004 report submission.


PART I
EEO Plan To Eliminate Identified Barrier




Upon completion of its Barrier Analyses, agencies will have identified barriers that are impeding the full realization of equal employment opportunity for all employees and applicants.

For each barrier (or group of barriers) that an agency identifies, an EEOC FORM 715-01 PART I must be prepared.


Identify the Agency

Insert the name of the agency where indicated on the form. Use a separate FORM 715-01 PART H for each of the barriers identified.




Statement of Condition That Raised Flag For A Potential Barrier

Enter a narrative statement that succinctly describes the condition that raised a flag and the source (i.e., workforce data indicator, advocacy group, exit interviews or other survey tool).




Barrier Analysis

Describe the steps taken and the data sources analyzed to determine the cause of the condition.


Statement of Identified Barrier

For each barrier addressed, provide a description of the specific agency policy, procedure or practice that is causing the barrier. These barrier statements should logically flow from the results of the Barrier Analyses.


Objective

For each barrier, provide a clear statement of one or more measurable objectives (such as the implementation of an alternative or revised agency policy, procedure or practice) which will be implemented to correct the undesired condition.




Responsible Official

Enter the Official Title of the agency official who will be responsible for implementing/overseeing the agency's completion of the objective.


Date Objective Initiated

Enter the fiscal year report date when the objective was put into place.




Target Date for Completion of Objective

Enter the date by which the agency plans to complete the objective. Objectives can be short-term or long-term depending on the simplicity or complexity of the plan.


Planned Activities Toward Completion of the Objective

Enter the specific activities/actions that will be implemented to complete the objective. Activities/actions should be designed to directly contribute toward completion of the objective. The target dates for the activities should lead to the completion date for the objective ( i.e., if the target date for the Objective is the last quarter of FY 2005, the target date for one of the planned activities should not be in FY 2006).


Report of Accomplishments and Modifications To Objective

This section is used to report the status of activities undertaken. If an objective is initiated in FY 2003, this section should be completed for the FY 2004 report submission.


PART J
Special Program Plan for the Recruitment, Hiring, and Advancement of Individuals With Targeted Disabilities




In accordance with Section 501 of the Rehabilitation Act, agencies with 1,000 or more employees are required to maintain a Special Recruitment Program for Individuals With Targeted Disabilities and establish specific goals for the employment and advancement of such individuals. For planning and goal setting purposes, targeted disabilities may be considered as a group.

EEOC FORM 715-01 PART J is designed for agencies to report the changes in the permanent workforce to determine if progress is being made in the participation rate of individuals with disabilities, including specifically those with targeted disabilities.

Second level reporting components having 1,000 or more permanent FT/PT employees should use this form for filing with respective agency headquarters for inclusion in the agency-wide report.

All other subordinate reporting components should complete EEOC FORM 715-01 PART J relative to their responsibilities to establish and maintain local disability programs that implement the objectives of the agency-wide program or initiatives on individuals with disabilities, including specifically those with targeted disabilities.




PART I
Department or Agency Information

Line 1. Agency
Data Check

Enter the full name of the Department or Agency. The information entered here should match the entry that was made on EEOC FORM 715-01715-01 PART - A, Line 1. An agency must file EEOC FORM 715-01 - PART J with the EEOC if the total number of permanent employees from Workforce Data Table 1.a. will be 1,000 or greater.

All agencies with 999 or fewer permanent employees are to complete this form and maintain a copy for EEOC upon request.




Line 1.a. Second Level Component
Data Check

Enter the name of the 2nd level reporting component that is directly under the department or agency headquarters. The information entered here should match the entry that was made on EEOC FORM 715-01 PART A, Line 1.a.

A 2nd level component must file EEOC FORM 715-01 PART J with the EEOC in addition to filing with their headquarters, if the component's total number of permanent employees from Work Force Data Table 1.a. will be 1,000 or greater.

All other subordinate components with 999 or fewer permanent employees are to complete this form, file it with the next higher reporting level and maintain a copy for EEOC upon request.


Line 1.b. Third Level or lower.
Data Check

Enter the name of the 3rd level or lower reporting component. The information entered here should match the entry that was made on EEOC FORM 715-01 PART A, Line 1.b., or 1.c.

All other subordinate components with 999 or fewer permanent employees are to complete this form, file it with the next higher reporting level and maintain a copy for EEOC upon request.




PART II
Employment Trend and Special Recruitment for Individuals With Targeted Disabilities

Total Work Force.

Beginning of Fiscal Year Column: Enter the total number of permanent employees from Workforce Data Table B1 section with previous FY totals. The percentage of employees with reportable disability and targeted disability is calculated by dividing the number in each group by the total workforce as shown in the example below.

Enter Actual Number

at the ...

... beginning of FY

Number

%
Total Work Force 88,194 100.00%
Reportable Disability 5,575 6.32%
Targeted Disability 988 1.12%


End of Fiscal Year Column: Enter the total number of permanent employees from Workforce Data Table B1section with current FY totals. The percentage of employees with reportable disability and targeted disability is calculated in the same manner.

Enter Actual Number

at the ...

... end of FY

Number

%
Total Work Force 90,858 100.00%
Reportable Disability 6,628 7.29%
Targeted Disability 990 1.09%


Net Change Column: The purpose of calculating the "net change" is to assist agencies in determining whether their employees with disabilities, especially those with targeted disabilities, are experiencing growth or loss at rates that are similar to the change rate for the total agency.

Using the hypothetical numbers provided in the preceding examples for the beginning and end of FY columns, the net change is calculated by taking the difference between the number of employees from the beginning FY to the end of the FY and dividing that number by the number at the beginning.

In the example, the agency had a total of 88,194 employees at the beginning and 90,858 at the end of the FY, or a net change of 2,664. The rate of change for the total work force is 3.02% (2,664 ÷ 88,194). In this manner, compute the net change for Reportable Disabilities and Targeted Disabilities and compare the results with the net change for the total workforce.

Enter Actual Number

at the ...

Net Change

Number

Rate of Change

Total Work Force 2,664 3.02%
Reportable Disability 1,053 18.89%
Targeted Disability 2 0.20%


The numbers in the example demonstrate a situation where the agency experienced growth. If the beginning and ending totals were opposite, the net change would be expressed as a negative (2,664). The rate of change would then be -2.93% (-2,664 ÷ 90,858).




Total Number of Applications Received from Persons with Targeted Disabilities

Enter the total number of applications received from individuals with targeted disabilities during the reporting period.




Total Number of Selections of Individuals with Targeted Disabilities

Enter the total number of selections of Individuals with targeted disabilities during the reporting period.


PART III
Participation Rates in Agency Employment Programs

This section of the form is designed to provide agencies with an overall snapshot of the degree to which employees with reportable and targeted disabilities participate in the agency's employment programs and how they compare to employees not identifying a disability or reporting no disability. All numbers are derived from, and are the same as those reported in, the Workforce Data Tables.

Employees with reportable or targeted disabilities participating in agency employment programs at participation rates that are comparable to the rates experienced by non-disabled employees in the work force is an indicator of a successful Section 501 program.


PART IV
Identification and Elimination of Barriers

As instructed, agencies with 1,000 or more permanent employees that conduct a barrier analysis to address any barriers to increasing employment opportunities for employees and applicants with targeted disabilities should do so using FORM 715-01 PART I.




PART V
Goals for Targeted Disabilities


Consistent with EEO MD-715, agencies with 1,000 or more employees are required to maintain a special recruitment program and to establish specific goals for the employment and advancement of individuals with targeted disabilities.

Enter agency goals for the upcoming fiscal year for the recruitment, hiring, and advancement of individuals with targeted disabilities. For this purpose, targeted disabilities may be considered as a group. Agency goals should be set in such a manner as will effect measurable progress from the preceding fiscal year. Agencies are encouraged to set a goal for the hiring of individuals with targeted disabilities that is at least as high as the anticipated losses from this group during the next reporting period, with the objective of avoiding a decrease in the total participation rate of employees with disabilities.

Agencies with 1,000 or more permanent employees are to use the remaining space provided to describe the strategies and activities that will be undertaken during the coming fiscal year to increase employment opportunities for employees and applicants with targeted disabilities.

Objectives and strategies described should focus on internal as well as external sources of candidates and include discussions of activities planned to identify individuals with targeted disabilities who can be (1) hired; (2) placed in such a way as to improve possibilities for career development; and (3) advanced to a position at a higher level or with greater potential than the position currently occupied.


1. These OMB Standards can be found at www.whitehouse.gov/omb/fedreg/ombdir15.html


This page was last modified on December 12, 2008.