April 17, 1997
Harvard
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  Summary of Affirmative Action Plan 1997: 20-page supplement

HISTORY

Harvard University formally established its policy of nondiscrimination in 1966, but the University has long endorsed the principle of equal opportunity. During the 1960s, it became widely recognized that statements of nondiscrimination, without the review and modification of certain policies, were inadequate to overcome the effects of past discrimination. Well-conceived and directed efforts along with commitment from senior University administrators are necessary to lessen the impact of historical patterns of discrimination.

Harvard University has responded to the need to eliminate discrimination by developing a more aggressive response to the educational needs of minority students and the career aspirations of its female and minority employees. In 1970, Clifford Alexander, Jr., a member of the Board of Overseers, was appointed to develop an affirmative action program designed to increase employment opportunities at Harvard for women and members of minority groups. A formal Plan was drafted and the Office of Minority Affairs was created in the Office of the President.

Derek C. Bok became President of Harvard University in 1971, and the University's Affirmative Action Plan was revised and submitted to the Department of Health, Education and Welfare (HEW) that year. It was one of the first affirmative action plans submitted to HEW, and, although final government regulations had not yet been issued, the Plan outlined the University's commitment to recruit and hire women and members of minority groups in every category of employment.

The Plan described special training programs designed to qualify employees to advance quickly from entry level to more advanced positions. The Plan outlined maintenance procedures and a system for improved monitoring of the University's efforts. Special attention was paid to the flow of applicants in recognition that a sufficient number of female and minority applicants for employment is essential to the success of any affirmative action effort. The 1970 Plan promised to monitor progress and provide reports at quarterly intervals. It also listed 12 existing University program opportunities for women and minorities.

In 1973, the Affirmative Action Plan was revised to incorporate new nondiscrimination policies on issues such as leaves of absence, nepotism, and grievance procedures. The revised Plan more closely followed established HEW regulations, and HEW formally accepted it in 1973.

As a result of an HEW on-site faculty review in 1975, the Affirmative Action Plan was revised, updated, and resubmitted in December 1976. The revised Plan presented goals and timetables through June 1978, and included an analysis of Harvard's work force. A work force analysis was submitted to HEW during the spring of 1978, and HEW returned to Harvard to conduct an on-site review.

The ten-day review included interviews with key Harvard officials, an examination of complaints filed against the University, and a review of the applicant flow during the previous 12 months. A general analysis of the University's affirmative action process was also conducted. Based on the on-site review and the material submitted to HEW, HEW issued a letter of compliance to the University in July 1978.

In 1978, the Department of Labor's Office of Federal Contract Compliance Programs (OFCCP), assumed jurisdiction over Executive Order 11246, which required the establishment and implementation of an affirmative action plan by certain federal contractors. OFCCP requested an update of the University's Affirmative Action Plan in May 1979. The Plan was submitted to OFCCP in June 1979, and in February 1980 the agency began a comprehensive on-site review. During the five-month review, OFCCP representatives examined University employment data for 1979 and performed a wage and salary analysis of the University work force. While much of the information of interest to OFCCP was included in the 1979 Plan, the agency sought to standardize and update the format for affirmative action plans. It should be noted that OFCCP has never been entirely satisfied with utilization analyses based on the categories outlined by HEW's Office of Civil Rights. In 1979, OFCCP requested that the University organize its work force according to new categories called job families. The OFCCP issued a provisional letter of compliance based on the contents of the 1979 Affirmative Action Plan, and the University revised its Affirmative Action Plan and submitted it to OFCCP in August 1980. A letter of compliance was issued in June 1982. Since 1982, the University's Affirmative Action Plan has been reviewed periodically through either a desk audit or an on-site pre-award audit. A pre-award audit was conducted in October 1987.

On January 2, 1990, the Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) notified Harvard University that it would conduct an audit of the University's affirmative action and equal employment opportunity program. This audit included a desk audit that began on February 8, 1990, and an on-site review including visits to individual Harvard schools and departments by OFCCP officials that lasted from March 2, 1990, until September 13, 1990. As a result of this audit, the University signed a conciliation agreement with OFCCP that cited ten school or department specific violations to be remedied during the three-year period that the agreement remains in effect. The University submitted a interim report to the Department of Labor on progress toward compliance with the agreement in March, 1991. Harvard was found to be in compliance with the conciliation agreement. As of the end of 1996, there have been no further developments.

STATEMENT OF

EQUAL OPPORTUNITY

LAWS AND POLICIES

Harvard University has developed a policy of providing equal opportunity in employment for all qualified persons and prohibiting discrimination in employment on the basis of race, color, religion, creed, sex, sexual orientation, national origin, handicapped status, age, or veteran status. Personnel actions relating to compensation, benefits, transfers, layoffs, return from layoff, training, education, and tuition assistance are based on the principle of equal employment opportunity. Each administrative officer of the University is responsible for eliminating discriminatory practices where they exist and for assuring that applicants and employees are not denied access to these benefits.

Employment

Title VII of the 1964 Civil Rights Act, as amended, and Executive Order 11246, as amended, prohibit discrimination in employment on the basis of race, color, religion, sex, or national origin. In addition, Executive Order 11246 requires certain federal contractors to take affirmative steps to ensure equality of opportunity in all aspects of employment policy. The Civil Rights Act of 1991 expanded the relief available to employees found to be victims of intentional discrimination based on religion, sex, national origin, or physical or mental disability. The 1991 Act gives plaintiffs seeking redress for intentional discrimination under Title VII of the Civil Rights Act of 1964, the Americans with Disabilities Act and the Rehabilitation Act of 1973 the right to demand a trial by jury and to recover compensatory and punitive damages. In the Commonwealth, Chapter 151B of the General Laws of Massachusetts, as amended, makes it unlawful to discriminate in employment on the basis of race, color, religious creed, national origin, ancestry, sex, sexual orientation, age, or disability. The Massachusetts Equal Rights Law (M.G.L. 93, Section 103) also provides that all persons in Massachusetts "regardless of sex, race, color, creed, or national origin, shall have, except as otherwise provided or permitted by law, the same rights enjoyed by white male citizens, to make and enforce contracts to hold and sell property and to the full and equal benefit of all laws and proceedings for the security of persons and property." A 1990 amendment to this law extends this protection to the elderly and persons with disabilities who, regardless of age or handicap, shall, with "reasonable accommodation," have the "same rights as other persons to make and enforce contracts."

The Equal Pay Act of 1963 prohibits discrimination on the basis of sex in rates of pay. The Age Discrimination in Employment Act of 1967, as amended, prohibits discrimination in employment on the basis of age.

Section 504 of the Rehabilitation Act of 1973 prohibits discrimination in employment against an otherwise qualified handicapped individual by any program or activity that receives federal financial assistance. Section 503 of that Act further requires certain federal contractors to provide for the employment and advancement of qualified workers with disabilities in their affirmative action plans. In 1990, Congress enacted the Americans with Disabilities Act ("ADA"), a bill that prohibits private employers with 15 or more employees from discrimination against disabled individuals. The ADA expands the protections available to persons with disabilities, and prohibits discrimination against the disabled in employment (Title I), public transportation services (Title II), and public accommodations and services (Title III). Consistent with these two laws, Harvard University does not discriminate on the basis of mental or physical disability and provides reasonable accommodations for all employees with documented disabilities.

The Vietnam Era Veterans Readjustment Assistance Act of 1972 imposes affirmative action obligations on certain government contractors with respect to special disabled veterans and all veterans of the Vietnam-era. Harvard University actively encourages applications for employment from special disabled and Vietnam-era veterans and does not discriminate against Vietnam-era or disabled veterans in hiring or promotion decisions.

The Immigration Reform and Control Act of 1986 ("IRCA") makes it unlawful for an employer in hiring, discharging or recruiting to discriminate against any individual who is authorized to work in the United States because of that individual's national origin or, if the individual is a citizen or 'protected individual' as defined by the Act, because of that individual's citizenship status. Under new anti-discrimination provisions enacted as part of the Immigration Act of 1990, additional unfair immigration-related employment practices are prohibited, and special agricultural workers, replenishment agricultural workers, and other designated classes of aliens have been included in the category of 'protected individuals under the anti-discrimination provisions of the Act. Harvard's employment policies and procedures are consistent with these provisions of the Immigration Act.

Access

Title VI of the Civil Rights Act of 1964, as amended, prohibits discrimination on the basis of race, color, or national origin in programs receiving federal financial assistance. Title IX of the Education Amendments of 1972 ("Title IX") specifically bars sex discrimination in educational programs receiving federal funding. Consistent with the requirements of Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, Harvard does not discriminate on the basis of handicap in admissions or access to its educational programs and activities. The University admits students of any sex, race, sexual orientation, color, religion, and national and ethnic origin to all the rights, privileges, programs, and activities generally accorded or made available to students at the University. The University does not discriminate on the basis of sex, race, color, sexual orientation, national and ethnic origin or handicap in administration of its educational policies, admission policies, scholarship and loan programs, athletic, social, recreational and other University-administered programs.

Any person who believes himself or herself subject to unlawful discrimination is encouraged to bring the matter to the attention of his/her supervisor or other appropriate University official at the earliest practical opportunity. No person will be punished, retaliated against, or limited in employment opportunity for exercising any rights protected under the laws, regulations or policies set out above, or for filing complaint, furnishing information for or participating in an investigation, compliance review, hearing, or any other activity related to the administration of these laws, regulations, and policies.

The President and Fellows of Harvard College have reaffirmed the University's policy concerning affirmative action and equal employment opportunity. The Assistant to the President has been designated to coordinate the University's compliance activities under the laws and regulations mentioned above. Inquiries should be referred to the Office of the Assistant to the President, 935 Holyoke Center, Harvard University, Cambridge, Massachusetts 02138.

INTERNAL AUDIT AND

MONITORING PROCEDURES

The University's internal audit and monitoring procedures are vital to the successful implementation of the Affirmative Action Plan. The Office of the Assistant to the President (OAP) has implemented the following audit and monitoring procedures at Harvard.

Adverse impact analysis and applicant flow monitoring

Adverse impact analysis is performed twice a year for all Schools and VP Offices for all non faculty women and minorities.

The adverse impact analysis is performed for three different job actions: 1) hires, including those searches for which an internal candidate is selected; 2) job changes, including transfers, reclassifications and promotions due to reorganizations and 3) employment terminations, including layoffs, discharges and voluntary terminations. These reports are shared with the affirmative action liaisons in the various Schools and VP Offices.

Additionally, OAP surveys all exempt minority staff members who have left the University and selectively interviews former minority employees, for the purposes of climate assessment and trend analysis.

On at least an annual basis, OAP also selectively reviews the employment patterns of the four minority groups and discusses these patterns with managers at the Schools and Departments . Based on these patterns and discussions, specific action oriented strategies, such as the BASEC fair in 1994, the BASEC contract in 1994-95 and the Latino Professional Network reception in February of 1996 have been designed to strengthen efforts in areas where underrepresentation exists.

Affirmative action liaisons at the Schools are responsible for monitoring waivers, reorganizations and strong internal candidate specifications.

The Faculties monitor the applicant flow for all faculty positions. A special report discussing reasons why minorities and women on the final list of candidates were not hired is prepared for each position in the Senior Faculty and Ladder Faculty job groups for which a white male is selected. These reports are forwarded to the Office of the Governing Boards before the appointment is made.

The applicant flow for all other posted positions is recorded on the affirmative action applicant form. The form references the affirmative action plan goals and calls for a description of the special recruitment efforts made for meeting the goals, as well as the following information: name, race, gender, disability, veteran status, and the reason why each candidate was not interviewed or not hired.

Monitoring of salary equity

OAP performs an annual salary equity review by race and gender for selected Human Resources families. Results are reviewed with the Office of Human Resources and presented to the Schools and Vice President offices for further analysis.

The workforce analysis report is also used for the purposes of monitoring salary equity.

Monitoring of employment activity and progress toward goals

OAP reviews all non faculty employment activity: hires, promotions, transfers, terminations and reclassifications on a bi-annual basis. Employment activity records are the basis from which the Schools and Departments prepare their annual progress towards goals analysis, which are included in each unit's affirmative action plan narrative.

Special recruitment efforts

OAP manages the Administrative Fellows Program, a special initiative designed to increase the representation of minorities in managerial and professional positions. As a special effort to attract minorities into the fields of development and public relations, Harvard started to participate in the Council for the Advancement and Support of Education (CASE) program in 1992.

Additional efforts include maintaining a minority vita bank and assisting the Schools and VP offices in specific searches.

DESCRIPTION OF CONTENTS

The President and Fellows of Harvard College have issued and reaffirmed a policy statement setting out the University's commitment to employment opportunities free of discrimination. This revised Affirmative Action Plan commits the University to continued evaluation of University progress toward this goal. This Plan commits the University to communicate the importance of this program to each member of the University community and to ensure that each administrative officer understands his or her individual responsibility to support its effective implementation.

This document sets forth a comprehensive body of policies, procedures, and safeguards designed to effect the aims of equal employment opportunity and affirmative action at Harvard. These policies and procedures cover all employee categories at Harvard and all facets of the employment relationship, including but not limited to recruitment, hiring, promotion, training, benefits, problem-solving procedures, and pay.

The 1996 Affirmative Action Plan is based on an analysis of the University work force. It has three parts: an availability analysis, a utilization analysis, and a set of goals. Below is a description of each part of the analysis.

Job Group Structure and Utilization Analysis

The job group structure was revised last year to allow for a more accurate personnel reclassification. New job groups were added for functions of increased size and importance at the University. These new job groups include, among others: Publications and Communications Managers & Sr. Specialists, Alumni Affairs and Development Managers & Sr. Specialists, Library Professionals, Museum Professionals, and others. The criteria for including employees in each job group were also revised this fall. Individuals are now slotted into an affirmative action job group based on their salary grade and their compensation family. The job group structure was developed considering federal guidelines on equal wage, content and opportunity, and the University's current efforts in developing a compensation system.

Harvard's job group structure consists of 53 job groups as the basis for its utilization analyses for all EEO6 categories. These job groups are divisions of the Equal Employment Opportunity Commission's EEO6 categories and include: Faculty, Executive/Administrative/Managerial, Professional, Technical/Paraprofessional, Secretarial/Clerical, Skilled Crafts, and Service/Maintenance.

The utilization analysis is used to determine the level of participation of women and minorities in the University work force. Minority and female utilization is determined by an examination of their presence within various job groups.

The utilization analysis permits comparison between the representation of minority and female workers in the University workforce and their availability. The analysis identifies job groups in which women and/or minorities are underutilized in the University work force. This analysis serves as a basis for establishing goals and helps to focus efforts in recruiting and training. It also provides the basis for a well-designed Affirmative Action Plan.

Underutilization in a particular Faculty or unit is not by itself evidence of unlawful discrimination. Underutilization within a job group leads the University to focus its efforts within the context of the University's Affirmative Action Plan.

Goals

The University has set goals to increase representation of minority and female employees where there is underutilization in its work force. Three-year goals, starting in 1994, were set for the Faculty. Within this three-year time frame, one-year goals are estimated by each School, based on the expected number of hiring and promotional opportunities, the availability rates and the existing pools of women and minorities in open faculty searches.

Each school's section contains a three-year goals table which includes the calculated or statistical goals derived from the availability percentages, as well as the estimated number of appointments and adjusted goals for each year. Some schools have set goals even when there was no technical underrepresentation, usually in anticipation of faculty growth.

One-year goals, based on the availability rates for women and minorities, are set every year for the administrative units. Goals are not set where a calculation of underutilization yields less than "one-half position."

Each unit's section also contains a summary of one-year goals and target populations for this year. A target population is the number of protected class members a unit would achieve if the goals were met at the end of each year. Target populations are determined by adding the goals to the current population of protected class members.

Goals are not rigid employment quotas. The statistical analysis and establishment of related goals represent an affirmative effort to ensure that the University continues to provide employment opportunities on a nondiscriminatory basis.

RACIAL/ETHNIC DEFINITIONS

The following definitions are consistent with those found in Title 41, Part 60-3.4B of the Code of Federal Regulations.

Black (not of Hispanic origin): A person having origins in any of the Black racial groups of Africa.

Asian or Pacific Islander: A person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands, and Samoa. The Indian subcontinent takes in the countries of India, Pakistan, Bangladesh, Sri Lanka, Nepal, Sikkim, and Bhutan.

Native American or Alaskan Native: A person having origins in any of the original peoples of North America and who maintains cultural identification through tribal affiliation or community recognition.

Hispanic: A person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race. Only those persons of Central or South American countries who are of Spanish origin, descent, or culture should be included in this classification. Persons from Brazil, Guyana, Surinam, or Trinidad, for example, would be classified according to their race and would not necessarily be included in the Hispanic classification. In addition, this classification does not include persons from Portugal, who should be classified according to race.

White (not of Hispanic origin): A person having origins in any of the original peoples of Europe, North Africa, or the Middle East.

UNIVERSITY STRUCTURE AND RESPONSIBILITY FOR

IMPLEMENTATION

Harvard University is best understood as a confederation of its various Faculties with a Central Administration. Decision making is decentralized, and high degrees of responsibility for governance are vested in its various academic units. Consequently a great deal of cooperation, consent, and consultation characterize the governance process of the University. A collegial environment for decision making prevails, allowing for the combination of freedom and control that best suits an academic institution.

A special Committee on Governance articulated the objective of management at Harvard in 1971:

Effective administration in an academic community turns less on formal assignment of power than on the general acceptance of University objectives, the support each academic unit feels it is receiving for its programs, the quality of leadership offered by the President, Deans, and department heads, and the relationship between the President and his Governing Boards and between the President and his Deans.

The Office of the President is the central governance unit of the University. Five Fellows of the University along with the President and the Treasurer comprise the Corporation, the principal governance board. This board is charged with the responsibility of maintaining the University's resources. The Board of Overseers, composed of 32 persons, reviews certain academic affairs and the management of the University through its visiting committees. The Provost works in close concert with the President on the major policy, planning, and administrative issues that are important to the University as a whole.

There are ten Deans whose responsibilities include management of both academic and administrative affairs of the following academic units: the Faculty of Arts and Sciences, the Graduate School of Business Administration, the School of Dental Medicine, the Graduate School of Design, the Divinity School, the Graduate School of Education, the John F. Kennedy School of Government, the Law School, the Medical School, and the School of Public Health. Each Faculty holds considerable autonomy in terms of determining academic purpose and management policy, and each has developed its own structure to meet the needs of its students, faculty, and staff. Coordination and communication among the Deans and Faculties occurs through the University's Academic Council. The President meets regularly with the Council to discuss, review, and recommend University-wide policies and procedures.

The Central Administration, structured around five vice presidents, holds responsibility for formulating and implementing University-wide policy and for providing administrative support for the Faculties as needed. The five administrative departments headed by vice presidents are: Vice President for Administration; Vice President for Alumni Affairs and Development; Vice President for Finance; Vice President and General Counsel; and Vice President for Government, Community, and Public Affairs.

The effectiveness of equal employment policies within this University structure is enhanced when flexibility is given to each Faculty to develop its own decision-making processes and procedures, such as sources of referral of female and minority candidates within specific academic disciplines. However, appropriate elements of University-wide affirmative action policy are interpreted, monitored, and reviewed centrally by representative offices and officials within Harvard. All Faculties and administrative units hold independent responsibility for affirmative action within their own units of employment, but some officials in Central Administration offices hold specific University-wide responsibility.

The Assistant to the President, on behalf of the Office of the President, holds responsibility for developing, advancing, and coordinating an effective University-wide affirmative action program. The Assistant to the President serves as Chair of the Equal Employment Opportunity Committee; provides regular reports on the University's performance to the Deans and the University community; maintains liaison with the Labor Department and the government agencies charged with affirmative action monitoring; monitors affirmative action implementation at Harvard including conduct of grievance procedures and hiring review practices; and initiates, sponsors, and/or conducts a variety of ad hoc activities and programs aimed at increasing the employment and promotion of women and minorities at the University, ranging from recruitment to conferences on nationally focused affirmative action issues. The Assistant to the President also maintains communication with various organizations representing the perspectives of women and minorities at the University, and through similar liaison, provides advice and support to the Faculties and administrative units of the University.

The University-wide Equal Employment Opportunity Committee (EEOC) is composed of appointed representatives from each of the Faculties and administrative divisions of the University. Most Faculties designate two committee representatives, one for faculty affairs and one for staff employment matters. Designees are usually Associate Deans, Assistant Deans, and personnel directors.

The University EEOC was established in 1970 to provide advice and to coordinate University-wide policies. The Committee assists the President with implementation of the Affirmative Action Plan by communicating to Deans and other supervisory officials and executives changes in governmental requirements and review procedures; by identifying problem areas and recommending solutions; and by clarifying personnel management and planning needs for the future.

Each Faculty holds responsibility for periodically establishing an administrative forum on affirmative action matters. In most cases, the Faculties have established formal affirmative action committees or assigned this responsibility to an already existing personnel committee. Also each Faculty and administrative unit has designated an affirmative action liaison, with the larger Faculties designating a specialist for faculty matters and one for staff concerns. The committees and affirmative action liaisons hold responsibility for making all employees in the various parts of the University aware of affirmative action issues. They also monitor routine personnel activities, like hiring procedures, to make sure that minorities and women receive fair consideration and treatment.

The affirmative action liaisons also hold responsibility for data review and analysis associated with establishing the Affirmative Action Plan. They assist the Assistant to the President and the Office of Human Resources as necessary in monitoring routine personnel activities of their units. Since most participate on the University-wide EEOC, affirmative action liaisons also coordinate University-wide programs and activities and help identify University-wide areas of concern.

The Offices of Human Resources at each of the Schools and Vice Presidents' Offices advance the University's affirmative action policies by making known the University's commitment to employ members of minority groups and women. These offices stress the University's commitment through contacts with community groups, schools, universities, advocacy and special interest groups, and public and private employment agencies.

In cooperation with the Assistant to the President, the Central Office of Human Resources holds responsibility for personnel data analysis, identification of employment opportunities for minorities and women, and advising schools and departments on the implementation of affirmative action activities. Responsibility for personnel data collection is held by the Office for Information Systems, in cooperation with the Office of the Assistant to the President. The Office of Human Resources provides guidance to personnel officers and hiring supervisors on the processes used to hire nonfaculty employees to ensure that minorities and women are considered. The Office of Human Resources has established an emphasis within its own operation on employment for minority exempt staff. It also organizes and implements regular orientation and supervisory training sessions for employees and supervisors to stress University policy and the mechanics of its implementation.

The Office of the Secretary of the University plays a role in the University's affirmative action program by monitoring the processes by which faculty are hired. It does so on behalf of the President and Fellows and the Board of Overseers who jointly hold responsibility for final approval of faculty appointments. Each Faculty submits for review by the Secretary's office documentation of the process used to make sure as many minority and women candidates were included as possible within the pool of applicants for faculty positions.

The Office of the General Counsel provides legal assistance to the Assistant to the President and to the Office of Human Resources by giving advice on the interpretation and implementation of federal and state laws, regulations, and court decisions. The Office provides technical assistance to officers of the Faculties and to the administrative units of Central Administration. The General Counsel represents the University in hearings, negotiations, and litigation before administrative agencies, and participates in the development of University-wide affirmative action policy as appropriate.

As in any institution, the translation of policy into reality can be accomplished only with the full cooperation of all persons who hold policy-making and supervisory positions. All executives, administrators, and managers at Harvard are charged with responsibility for implementing those affirmative action procedures that arise in the course of their assignments. Department chairs are responsible for the fairness of searches for new faculty and for vigorous searches for female and minority candidates in their departments. Administrative officers are responsible for the application of fair standards in hiring, promoting, compensating, and terminating non-teaching staff.

The supervisory staff is informed of its responsibilities by the University Affirmative Action Plan, through training programs, and through the University's Personnel Manual. Personnel interviewers must be scrupulous in the application of nondiscriminatory interviewing techniques. Purchasers and contractors for the University must be conscientious in their efforts to seek out female and minority vendors, suppliers, and firms. All employees and University representatives are urged to advance the University's commitment to a discrimination-free environment by conscientious adherence to the policies contained in these documents.

FACULTY OF

ARTS AND SCIENCES

The Faculty of Arts and Sciences (FAS), largest of Harvard's ten faculties, encompasses Harvard College and the Graduate School of Arts and Sciences, as well as various extension programs, research centers, libraries, museums, and laboratories. The Dean of FAS is the chief administrative officer of the faculty.

Faculty

There has been steady progress in the appointment of women to tenured positions over the first five years of the administrations of President Rudenstine and Dean Knowles, although the relatively low turnover of the senior faculty means that large percentage increases are difficult to achieve in the short term. Since 1991, 20 of 84 (24%) tenure appointments have been of women, a marked increase from the 15% that was attained during the preceding five-year interval. Nearly one-third (nine of 28) of internal promotions to tenured professorial positions have been of women, which is also up significantly from the level of the previous five-year period (18%). At a time when an increasing proportion (33% in 1991-96, up from 29% in 1986-91) of all senior appointments have represented promotions from our own junior faculty, the junior ladder ranks have been an important source of the growth in the number of tenured women faculty during the past several years. While the recruitment of scholars from other institutions ó both men and women ó continues to present challenges in an era of dual-career families, the Faculty has been fortunate in the extent to which excellent candidates have been promoted from the junior faculty: indeed, of the 20 tenure appointments of women in the past five years, nine (45%) were the result of internal promotions, as contrasted with 30% of appointments of men.

Despite these gains, women still represent only 11.5% of the Senior professors in the Faculty of Arts and Sciences. While this rate is comparable to that at many of our peer institutions (especially when one looks only at tenured full professors), the Dean of the Faculty acknowledges that this is low and that progress in changing the proportion of women in the tenured ranks is disappointingly slow. Part of this stems from the simple arithmetic difficulty of effecting large percentage increases in a large faculty, although it should be noted that insofar as women continue to be appointed at a rate above the existing level and above the rate of availability (as has been the case), the overall percentage of women will continue to grow. Part of the difficulty also reflects the relatively few hiring opportunities that arise in any given year.

In academic year 1995-96 the Faculty of Arts and Sciences made 17 new tenure appointments, three of whom are women. Two of these women were promoted from the FAS ladder faculty; this follows upon the record number (four) of women promoted to tenure from the ladder faculty ranks in the preceding year. One of these appointments is in the Natural Sciences and two are in the Social Sciences, in both of which areas women are relatively underrepresented. While this one-year statistic is low, we are encouraged that several tenure offers to women have already been made for 1996-97. Women continue to be underrepresented across the academic divisions and departments, with the Social Sciences experiencing the largest gap between the availability rate and the percentage of FAS appointments.

Women continue to hold leadership positions in the Faculty. Eight of this year's 38 department or degree committee chairs are women, equal to the record number attained in 1994-95. One of the two Academic Deans charged with setting up ad hoc committees, which are instrumental in the appointment process, is a woman, Professor Susan Pharr. Finally, Professor Marjorie Garber continues to serve as Associate Dean for Affirmative Action, in which capacity she discusses searches for both tenured and untenured positions with department chairs and others, as well as serving as a resource for faculty concerns in this area.

Thirty-five percent of ladder faculty appointments during the last five years have been of women, a rate that is close to availability. Currently, 60 (30.9%) of the Faculty's 194 junior faculty are women. Despite year-to-year variations in hiring, progress has continued to be steady in this area. The last year in particular saw an impressive jump in women as a proportion of new hires: 12 of 26 new ladder faculty starting appointments in academic year 1996-97 are women, for a hiring rate of 46.2%. The representation of women still lags behind availability in all three divisions, however, and continued attentiveness to this issue is necessary.

The FAS has had much success during recent years in appointing minority ladder faculty in all divisions. Indeed, the representation of minority ladder faculty in the FAS (14.9%) remains above the availability rate, or the percentage of new minority Ph.D. recipients (12.7%) in the fields in which the FAS makes academic appointments. Utilization is greater than availability in all three divisions.

The Other Faculty group encompasses a very wide range of appointments, including visiting faculty and annual or term appointments designed to fill short-term or specialized needs. It includes full- and part-time visiting faculty, preceptors, lecturers, senior preceptors, senior lecturers, and professors of the practice. Some number of these appointments are secondary and are dependent upon primary appointments that are administrative or curatorial. The catch-all nature of this job group results in a range of career stages. Visiting professors, professors of the practice, senior lecturers, and senior preceptors, most of whom are at a mature career stage, are mixed with lecturers and preceptors, many of whom have only recently obtained their Ph.D. Consequently, there is not a well-defined labor pool for this rather eclectic appointment job group. We used the same sources for external availability as for the junior ladder faculty, which overestimates the true representation of women and minorities in some segments of this labor pool. Therefore, although the Faculty of Arts and Sciences is technically underrepresented in the Other Faculty job group for women in all three divisions and for minorities in the Humanities and the Natural Sciences, this is in part a function of the overestimation of the labor pool.

The FAS is also underrepresented for women in the Humanities and the Natural and Social Sciences for the Research Faculty job group, which includes full- and part-time salaried appointees with the title of visiting scholar, post-doctoral fellow, research associate, or senior research fellow. The vast majority of such research appointments are made in the Natural Sciences.

As Associate Dean for Affirmative Action, Professor Marjorie Garber has continued her practice of meeting frequently with department chairs to discuss strategies for increasing the representation of women and minority scholars. Department chairs are asked early in each academic year to provide Professor Garber with information about pending searches including 'intermediate' and 'short' lists of candidates for faculty positions and data regarding women and minority candidates. The emphasis in Harvard's Affirmative Action program is on acting affirmatively at the outset of searches so that the pools of candidates are as deep and diverse as possible. Professor Garber also reviews follow-up reports on the outcomes of each search including, when applicable, an explanation of why a white male nominee is preferred to women and minority candidates. However, it is fair to say that it is the planning and consultation that takes place in the early stages of a search that is most useful.

Professor Garber also works with department chairs and others to respond to the general concerns of women and minorities within the departments and the Faculty as a whole. For instance, she hosts periodic lunch meetings of senior and ladder faculty women from all departments to discuss issues affecting the quality of their professional and personal lives at Harvard. Topics range from procedures for promotion review, to strategies for becoming known in one's field, to childcare concerns. Representatives from the Office for Academic Affairs, the Office of the General Counsel, and other offices in the University are asked to speak and to answer questions at these meetings.

Success in recruiting a diverse faculty depends not only on formal policies but on creating and sustaining a welcoming environment for faculty members from a wide range of backgrounds. During the past several years, a variety of both ongoing and one-time efforts have been made to create such an atmosphere in the FAS, and to explore innovative ways to increase faculty diversity.

Providing ladder faculty with time and support for research is critical to their success in preparing for promotion and tenure reviews. Radcliffe's Junior Faculty Fellowship program, initiated and funded by Radcliffe College and its Alumnae Association, has been important in supporting the scholarship and enhancing the promotion prospects of women junior faculty at Harvard. These Fellowships have been awarded to several promising ladder faculty women. The Resources Committee is presently considering the entire issue of junior faculty compensation, including the provision of leave time in support of scholarship. Finally, in support of opportunities for scholarly development, the Dean has made the leave eligibility policy for ladder faculty more flexible, and in some cases has provided salary support to supplement research fellowships that fall short of full salary replacement.

The Faculty's progressive Parental Teaching Relief and Childcare Appointment Extension Policies benefit male and female faculty, but they have been used primarily by women. Ladder faculty women and men are eligible to take parental teaching relief and/or to request an extension of their appointments; most have taken both. Such policies are extremely important in attracting and in retaining young faculty, and in enhancing the quality of their professional lives.

The Faculty's Standing Committee on the Status of Women, which in recent years has examined the status of women in the Natural Sciences at Harvard, is now turning its attention to the Social Sciences, an area where the gap between availability and utilization is noticeable for women and minorities at both junior and senior levels. Last year's research on gender attitudes in this division is being followed this year with a survey of childcare needs and conversations with ladder faculty women to evaluate the atmosphere they experience within Social Science departments.

The Faculty's Sexual Harassment Coordinating Committee continues to investigate claims of harassment and to undertake educational efforts concerning both the more obvious and blatant forms of harassment, as well as subtler forms of behavior that may create an environment hostile to women.

The Ethnic Studies Program, now chaired by Professor Leo Lee, continues to contribute to the diversity of the curriculum. The Committee coordinates and supports scholarly research and teaching concerned with the study of ethnicity, with some emphasis on the study of ethnicity within the United States. The Committee promotes the appointment of faculty whose scholarly work centers on the study of ethnicity and fosters the generation of courses on these subjects. In addition to Core and departmental courses listed in the annual publication Ethnic Studies at Harvard: A Guide to Courses and Programs, a number of visiting faculty teach courses on topics ranging this year from the politics of immigration, to the Mexican-Chicano ballad, to Asian-American writing. Such visiting faculty appointments, within the Ethnic Studies program and in general, have often provided a vehicle for increasing, albeit temporarily, faculty diversity.

During the past year, Dean of the College Harry Lewis has instituted a study examining the experience of women undergraduates in the College, in an effort to confirm that all opportunities are available equally to women and men. There are plans to increase interaction of women faculty and alumnae with undergraduates. The establishment of the Dean's Coordinating Committee on Women by Dean Knowles is similarly intended to bring a broad perspective to bear on the various groups concerned with the experience of students and alumnae.

Ongoing affirmative action recruitment activities include asking departments to carry out the following as they pursue new ladder and senior faculty: 1. Advertise the position and take other steps, as appropriate, to enlarge the pool of applicants and specify that minorities and women are especially invited to apply; 2. Consult with other universities about potential minority and female candidates; 3. Report on specific efforts to identify minority and female candidates and indicate the total number of applicants as well as estimates of the numbers of female and minority applicants; 4. Provide a list of all candidates considered, including those on the original 'long list' as well as those on the final 'short list'; 5. Report on withdrawals or offers rejected at earlier points in the process; 6. Describe the search procedure, including copies of correspondence and advertisements, records of telephone conversations, and description of all efforts to identify minority and women candidates; and 7. Describe, if a minority or woman is not selected, the qualifications of the leading minority and women candidates and compare these candidates to the nominee, whether or not they were included in the department's short list. Departments are also asked to report to the Dean all the decisions not to review, or not to recommend, a current faculty member for promotion, either to associate or full professor.

In summary, the Faculty of Arts and Sciences has made considerable progress during the past several years, but there is much yet to be done. Despite the increase in the appointment of women to tenure overall, women are still underrepresented in almost all fields. Similarly, there has also been an encouraging increase in the appointment of tenured minority faculty, but minority representation is still low. Harvard's Faculty of Arts and Sciences is committed to do more both to identify, recruit, and appoint women and minority faculty and to encourage women and minority students to pursue academic careers.

Nonfaculty

The representation of women and minorities on the staff of the Faculty of Arts and Sciences remained stable during this past year (11/1/95-10/31/96). Overall, 64% of our 328 positions were filled by women and 10% by minorities.

The FAS is committed to filling positions at both the exempt and non-exempt levels with internal Harvard candidates, particularly those who have been or are about to be laid off. This year 32% of FAS positions were filled with current Harvard employees; of these, 65% were women and 11% were minorities. Our commitment to promoting Harvard employees, coupled with low turnover rates, have made it difficult to reach our affirmative action goals.

Action-oriented programs to alleviate underutilization at FAS include the following:

Association of Black Faculty, Administrators and Fellows: The Associate Director of Personnel Services served as Treasurer. Her involvement helped with networking and the identification of minorities for FAS vacancies.

BASEC: In 1996, we attended BASEC's annual job fair; BASEC is a not-for-profit organization that helps match minorities with employer's job vacancies. Attendance at the job fair has helped to establish a strong pool of potential candidates for professional vacancies throughout the year.

Campus College Recruiting: We continue to recruit at local colleges and universities, particularly at those with large women and minority enrollments. We will attend Career Expo for the seventh straight year. Career Expo provides an opportunity for companies to meet graduating minority students from the Boston area.

Crimson and Brown: Last year, we attended the Crimson and Brown Minority Job Fair. We successfully identified graduating minority candidates for our entry level positions. We will continue our association and attend their job fair again.

Technology: The increased use of technology in recruiting, specifically listservers, allows for greater access to our job openings at all levels which is useful in broadening our pools of applicants. We will continue to enhance efforts in this area during the plan year.

Training: The FAS continues to offer multiple opportunities for diversity training for the staff.

University efforts: FAS continues to support University-wide efforts promoting Harvard as an employer. We jointly hosted the annual Latino Professional Networking Event on campus.

Last year we hired eight women into Faculty and Student Services Professional positions, achieving our goal. As a result, we eliminated this goal for the plan year. For women, the FAS has met or surpassed availability statistics for Human Resources Managers and Specialists, Facilities and Operations Supervisors, Finance Managers and Senior Specialists, Financial Professionals and Operations Supervisors, Food Service Managers and Supervisors, Administrative Professionals (Levels I and II), Faculty and Student Services Professionals, Publications and Communications Professionals, Research Professionals, Human Resources Professionals, Health Professionals, Lab Support, Financial Support, Machine Operators, and Building Workers.

The FAS continues to meet or surpass availability statistics for minorities in the job groups of Human Resources Managers and Senior Specialists, Library Managers and Senior Specialists, Technical Professionals, Managers and Senior Specialists, Alumni Affairs and Development Professionals, Health Professionals, Publications and Communications Professionals, Animal Care, Machine Operators, and Building Workers.

The identification of qualified minorities for our entry level or support positions have helped increase our representation. The majority of our minority hires were in the support staff area. This year we will focus more of our efforts on increasing our minority representation in professional level positions.

GRADUATE SCHOOL OF

BUSINESS ADMINISTRATION

Faculty

Estimates of the availability of minority and women candidates for tenured professorships at the Graduate School of Business Administration are determined from an analysis of two sources: representation in the associate professor rank at the Harvard Business School is considered the internal pool; representation in ladder rank faculties of nine business schools from which we predominately hire is considered the external pool. In recent years, 76% of newly tenured professors have been promoted from within; consequently, the availability pools are weighted 76% internal and 24% external.

Ladder and Research Faculty availabilities were calculated by analyzing minority and women representation in ladder and research faculty ranks among the faculties of nine business schools from which we predominately hire. These availabilities were used in establishing our three-year goals, displayed below.

During the 1996-97 academic year, four Associate Professors were promoted to Professor with Tenure (two women); one external candidate (a minority) was appointed to Professor with Tenure. Four faculty were promoted to Associate Professor (including two women). None of these four were minority candidates.

Of the nine newly appointed Ladder Faculty, three are women and two minorities. In the Other Faculty group, there were 12 new appointments; two were women, two minorities. There were three new appointments to our Research Faculty group; two of these were women, none minorities.

The representation of various groups in our faculty as of September 1, 1996 is as follows: of the 91 tenured professors, nine are minorities, 11 women; of the 65 Ladder Faculty, 15 are minorities, 18 women; of the 16 Other Faculty, three are minorities, two women; and of the four Research Faculty, none are minorities, but three are women. For the entire faculty group, overall representation is 17% minorities and 19% women.

The Senior Associate Dean, Director of Faculty Development, has led and coordinated the School's recruiting activities. Beginning in 1997, a new Senior Associate Dean for Faculty Planning will take over these responsibilities.

All unit heads, with the cooperation of their colleagues, monitor and support the careers of new entrants from doctoral programs as well as closely follow minorities and women currently in the fields their units draw from. To enlarge the pool of candidates for entry-level and more senior positions, the School faculty expanded the number of institutions whose Ph.D. graduates they review most intently and increased the number of candidates with whom preliminary interviews are held. The number of doctoral program graduates who seek academic positions is, however, shrinking; many doctoral students in business-related fields are accepting more lucrative positions in industry.

Unit faculty are asked to contact colleagues at other business schools and departments with expertise in their fields to obtain names of doctoral students who are expected to enter the job market. We continue our efforts to make the doctoral program attractive to increased numbers of MBA students, especially minorities and women. Faculty members attend professional meetings in order to obtain additional information about potential candidates already identified and to identify new candidates. Candidates are interviewed, for example, at meetings of the American Accounting Association and the American Marketing Association and invited to Harvard. Faculty at the School also are developing pools of candidates for senior level appointments; these are candidates outstanding in research, business, or government who may be interested in career changes.

Faculty are working together on a Recruiting Committee formed by the Dean in an effort to coordinate activities, combine energies and communicate more openly, creating a forum for cross-unit collaboration. Our hope is to increase and improve opportunities for candidates in a creative and positive environment for development and fit, as well as share information about candidates.

The School also advertises in a number of publications which are reviewed systematically to ensure a growing candidate pool; the list includes The Economist, The New York Times, Chronicle of Higher Education, Black Issues in Higher Education, AACSB Newsline, the American Historical Association's Perspectives, the Affirmative Action Register, the Academy of Management Position Roster, The Hispanic Outlook in Higher Education. This year, our outreach included posting jobs on the Internet.

The School continues to make progress in the hiring of minorities and women in the Ladder, Research, and Other Faculty groups. Minorities are not underrepresented in the Ladder, Other, or Research Faculty Groups. Nor are women underrepresented in the Research Faculty Group, according to the calculations. Because Asians represent 70% of the total minority population of the School, the School will continue efforts to increase appointments of Blacks, Hispanics, and Native Americans given constraints by availability. The goals produced by the formula for Senior Faculty -- five minorities and ten women over three years -- are unrealistic because of the limited number of tenured appointments, and the process's strong dependency on the internal pool of candidates. However, during 1997-98, two minorities and two women are scheduled for promotion review to professor with tenure. We continue to search for qualified candidates in the external pool.

Nonfaculty

Minority utilization remained about the same for 1996 due to a concentration of open jobs in the Information Technology job family with little turnover in other areas. The 1996 nonfaculty utilization overall was 11.28% while the current nonfaculty utilization is 11.92%. The 1996 goal for minority hiring is 15 in the administrative and professional positions, compared to 14 last year, and remains at zero for the support staff hiring.

Minority representation goals for the job families of Alumni Affairs and Development, Research, Communications, Librarians, Human Resources, and Finance, and Facilities Managers remain high, with continued goals of zero or one. The minority representation in the support staff classifications remains high at 15.35% and zero goals. The areas of Faculty and Student Services positions and Information Technology remain a challenge with each having minority hiring goals of three.

In utilization of women, the overall figure of 72.25% is a decrease from last year's 75.27%. The goal for hiring women is at 24 overall, compared to last year's 17. The majority of the goal, 16, is for support staff positions, while the remaining eight fall mostly in the Information Technology exempt job family. It should be noted that although the support staff positions have a goal of 16 women to be hired, 81.33% of the incumbents are women. In the more general sense of diversity, beyond hiring goals, there is a substantial representation of women on the HBS campus in positions at all levels.

The 1997 strategy regarding diversity remains a combination of philosophy, training, and action steps with a goal of an integrated organization valuing both minority and non-minority individuals.

Looking at diversity holistically allows us to address management practices and retention when considering our strategy, as well as representation. While the representation figures outlined in this report are an important measurement tool, they are just one aspect of the overall approach to creating a diverse and multi-cultural community.

It is important to note when considering representation on campus that the majority of open positions at HBS this past year have been in the Research and IT job families. HBS has traditionally excelled in filling research positions with minority candidates, and this trend continues with a goal of one. In the IT job family, which accounted for 32% of open positions since January 1996, the recruiting challenges are immense. The field is the most competitive that we recruit in, and the expertise required narrows the pipe-line of candidates creating a dramatic challenge when seeking minorities. Despite the challenge, HBS continues to seek out and present minority candidates to hiring managers in this field with one successful minority hire this year.

As in the past, a significant portion of nonfaculty positions were filled with internal candidates. Since January 1996, 50% of positions open in Salary Band 54-56 were filled by internals. There have been eight open positions in Bands 54-56; six of the eight were filled by women, three with internal candidates.

Four were filled by internals, and two were filled by internal minority candidates. This movement supports one strategy of filling support and lower level exempt positions with women and minority candidates, providing the pool that will be considered for higher level jobs.

Efforts designed to increase representation include:

1. Critical Skills Identification: Required skills, experience, and education will be examined for every job posted to determine the truly critical components of a successful candidate. Examining the key requirements for positions allows for more creativity in forming an applicant pool, and ensures there is no adverse impact.

2. Administrative/Professional Recruiting: Turnover in these positions is unpredictable and tends to be low, and the probability of new FTE's being created is minimal. In order to promote optimal affirmative action hiring under these conditions, the following efforts will take place:

National Black MBA Association - utilizing the NBMBAA data bank for job listings and attending their national functions to gather resumes and network;

Minority Job Fairs - participating in minority job fairs to gather resumes and send a message of support to the minority community;

Minority Advertisement - when job openings deem it necessary, HBS will investigate doing a joint ad with other major faculties to develop a pool of minority candidates;

Minority Recruitment Agencies - the experiment of a one-year contract with BASEC, Inc. showed that these types of agencies can be useful in recruiting minority candidates, although BASEC was not able to develop a strong pool of candidates interested in working in higher education. HBS may utilize an agency to identify minority candidates for some searches and continues to emphasize the priority of minority candidates to any executive search firm engaged;

Candidate pool - HBS continues to commit to having at least one minority candidate in the pool of resumes considered by all hiring managers.

3. Non-exempt Recruiting: Since 1994, when HBS first achieved a goal of zero for minority representation in non-exempt jobs, HBS has continued the activities that lead to this level of representation to build a larger pool of potentially promotable candidates such as:

Internals - reviewing HBS internal candidates for openings.

Outreach - encouraging minority internal candidates from other areas of Harvard by contacting other HR officers.

Informational Interviewing - meeting with minority candidates to form a pool of potential applicants.

Temporary Agencies - requesting minority candidates from temp agencies (as temporary staff often become successful candidates for permanent positions).

HARVARD SCHOOL OF

DENTAL MEDICINE

The Faculties of Harvard School of Dental Medicine (HSDM) and Harvard Medical School (HMS) together comprise the Faculty of Medicine. Therefore, policies, practices, and goals of HSDM are consistent with those of HMS.

HSDM supports and fully complies with the guidelines set forth in the Harvard University Affirmative Action Handbook. As part of its monitoring efforts, HSDM has carefully reviewed and continues to comply with the revised action policies and procedures of the University as submitted to the Office of Federal Contract Compliance Programs. The HSDM has requested and received assurances from the Chiefs of Dental Services that all affiliated hospitals and other programs outside of the School are complying with affirmative action regulations.

The 1996 HSDM EEO Utilization Analysis confirms that the School is maintaining and improving on its past successes in employing women and minorities in most job groups. Women are underutilized at HSDM in two faculty job groups. This is true nationally in dental education, and HSDM compares favorably with national utilization rates of women in dental education. Similarly, minorities are underutilized at HSDM in three faculty job groups, but the School compares favorably with national utilization rates, based on information from the American Dental Association and the American Association of Dental Schools.

Faculty

HSDM has been most successful in attracting minorities and women to fill vacant positions in the junior ranks. For instance, two of the four new senior tutors responsible for the pre-doctoral clinical education under the new problem-based curriculum are women. Minorities and women are underutilized in two of the four faculty job groups: Senior and Ladder Faculty. In addition, minorities are underutilized in Research Faculty positions. Efforts will be made to identify and hire more women and minorities as hiring and promotion opportunities occur.

All available faculty positions are advertised in the appropriate national journals. Ad hoc committees actively seek and focus upon minority and female candidates for available positions. Department chairpersons are charged with seeking information on available minority and female candidates in their disciplines through the American Association of Dental Schools, the American Dental Association, the National Dental Association, and the specialty organizations of their disciplines. Personal contact with associates at various institutions throughout the country, and at national and international meetings is encouraged for the purpose of identifying minority and female prospects. HSDM is currently searching for a professor to serve as a department head. Extraordinary efforts are being made to identify minority and women candidates for this position.

HSDM provides training and support designed to assist faculty in realizing their full potential. The transition from traditional discipline-based clinical teaching to a problem-based interdisciplinary curriculum involves dramatic change. Over the past two years HSDM has held approximately 20 faculty development sessions, in addition to a three-day retreat for senior tutors, core faculty, and course block heads.

Finally, the administration at HSDM is committed to providing long-range solutions to the problem of too few minorities and women in dentistry as a whole. This is not only reflected in new and innovative recruitment efforts by HSDM but also by the admission to its degree programs of large percentages of women and minorities. For the last three years, over 50% of the predoctoral entering class has been women and minorities.

The future of recruiting is very bright for minority and female students applying to HSDM, given the continuing increase in highly qualified minority and female applicants. The Dean has continued the scholarship funds available to attract outstanding and needy students. The Associate Dean for Admissions and Student Affairs has increased recruiting efforts at the primarily minority colleges that produce the most candidates for dental schools (Howard, Xavier, Morehouse, etc.) The chairperson of the admissions committee is a woman.

Nonfaculty

Total nonfaculty employment at Harvard School of Dental Medicine (HSDM) increased by 7% in 1996, with an decrease in minority representation (-10%) and an increase in female representation (+3%). The decrease in minority representation occurred primarily in the Clerical group, yet there were slight increases in the Professional and Technical/Paraprofessionals job groups. The increase in female representation occurred primarily in the Professionals and Technical/Paraprofessionals job groups and a slight decrease is seen in the Clerical job group.

A 1997 female hiring goal for Finance Professionals/Senior Specialists is not set for the year. Last year's goal of one is considered to have been met since there is an increase in the number of total females at the Dental School.

A minority hiring goal of one remains in Administrative Professionals Level II. There was one hiring opportunity in this job category in 1996. If additional positions do become available in 1997, every effort will be made to fill the vacancies with minority candidates.

There continue to be few administrative hiring opportunities at HSDM. Aggressive efforts will be made to retain and increase, when possible, female and minority representation, should opportunities become available.

It is not expected that HSDM will have a significant number of hiring opportunities in 1997. If positions do become available, they will be primarily clinic support positions.

All programs identified to enhance HMS progress will also be utilized at HSDM.

GRADUATE SCHOOL OF DESIGN

Faculty

At the start of the just-ending three-year plan, our calculated goals were to add four tenured women to the Senior Faculty and one minority to the Ladder Faculty. In the course of those three years we have hired two tenured women and eliminated the minority underrepresentation in the Ladder category.

During AY 1995-96, the Graduate School of Design appointed one tenured professor: one white man. The school also appointed four assistant professors: one white woman, one Hispanic woman, and two white men

The School made no further progress in meeting its specified affirmative action goals for women in the job group of Senior Faculty during this past year. There was only one tenured faculty search last year, where the successful candidate was a white man. Two of the four finalists in that search were women. The GSD will continue to pursue its goal of hiring more women in its tenured ranks. Minorities are not underrepresented in the Senior Faculty.

The School is not underrepresented in either minority Ladder Faculty or women Ladder Faculty.

The Other Faculty group includes three subgroups: 1) adjunct professors and senior lecturers, who are appointed as a result of a national or international search for renewable terms of five years, usually at 0.25% dedication. They are senior professionals in private practice and, historically viewed, are re-appointed over the long term, a number of the current population for more than 20 years. There are currently 11 individuals in this category. 2) Multi-year design critics and lecturers, who are appointed for renewable terms of three years at less than half-time, usually 0.25% dedication. They are less senior professionals in private practice and, historically viewed, are re-appointed in less than 50% of the cases. There are currently 12 individuals in this category. 3) Annual design critics and lecturers. The GSD hires approximately 30 individuals to approximately eight FTE positions each fall and each spring term to these annual appointments. In fall 1996, of the 52 individuals in these three subgroups, 23% were women and 7% were minorities. Neither women nor minorities are underrepresented in this job group. Compared with last year, the number of women (from eight to 12) and minorities (from six to seven) has risen in this group, correcting last year's underrepresentation of women in this category.

During the academic year 1996-97, the GSD is conducting searches for two tenured faculty members in the fields of Public Policy/Housing Studies and Finance/Real Estate Development. We hope to be able to hire at least one woman into these positions. In addition, searches are also being conducted for two or more junior faculty in architectural design, two junior faculty in landscape architectural design, one junior faculty in freshwater landscape ecology, and one junior faculty in urban design history. We are making focused efforts to identify and encourage women and minority candidates to apply for these positions. While women are underrepresented only in the Senior Faculty, there is turn-over in the Ladder and Other Faculty and women and minorities will have to be hired on a continuing basis to replace departing individuals from these groups.

The opportunities for progress in appointing more women and minority faculty will of course continue to depend on the nature of the pool of candidates with the appropriate academic and professional qualifications. Candidates for tenured positions at the School generally have received their terminal degree (either master's or doctorate) 15 to 20 years before appointment. In 1975-76, 20.8% (by comparison, in 1990-91, 35.7%) of the individuals receiving master's degrees in the field of architecture and environmental design were women, and only 15.9% (in 1990-91, 25.2%) of those receiving doctorates were women. The percentage of master's degrees awarded to minorities in 1975-76 was 10.8% (in 1989-90, 10.1%) and the percentage of doctorates awarded to minorities was 8.5% (in 1989-90, 8.3%). One way the School is working to overcome this "pipeline" issue is through its student admissions decisions. Since 1980-81 the School has consistently had more than 30% female students; the current level is 41%. In the landscape architecture degree programs, women have outnumbered men since 1983-84. Since 1980-81 the number and percentage of minority students has grown from 9.4% to the current 20.7%.

In the summer of 1996 we awarded five full scholarships to our summer Career Discovery Program to underrepresented minority students, who would otherwise not have been able to participate in this program. The Career Discovery Program is a six-week-long, hands-on, intensive introduction to the fields of architecture, landscape architecture, or urban design for students interested in exploring the possibility of entering a degree program in one of these fields.

One method we use to assess promising candidates in whom we are interested but for whom we lack sufficient information on abilities and effectiveness as teachers is to invite them to teach a course for one semester at the GSD as visitors. We are planning to do that this spring with one woman candidate for a currently open junior faculty position.

All faculty searches at the GSD are advertised in the Affirmative Action Register in addition to subject-specific journals. Other special efforts are made to identify women and minorities through consultation with individuals in the fields, whether at universities or in private practice. As the result of a re-organization at the GSD three years ago, the Director of Faculty Planning, who manages all faculty searches and attends and staffs all meetings of the search committees, has a specific responsibility to make the search committees aware of affirmative action procedures and goals.

Nonfaculty

We had goals to hire one minority for each of the following job groups: Library Professionals and Faculty and Student Services Professionals. Despite advertising and recruiting efforts, we were unable to meet our goals for either group. In the Library Professionals Group, we had two opportunities this year. One was considered a promotional opportunity for a strong internal candidate and the other was a temporary appointment requiring very specific skills that was filled by a GSD graduate, who is now a part of the GSD faculty. Our only two opportunities in the Faculty and Student Services Professionals group were both temporary positions and also filled by strong internal candidates because of their knowledge of the job.

We had a goal to hire two women in the Information Technology group which we met, although growth in the job group has created the need for an additional goal. We also had a goal to hire one woman in the Library/Museum Support group, and we will continue to work on it this year.

We have a goal to hire one minority in each of the following job groups: Faculty and Student Services, Library Professionals, Administrative Professionals and General Office. We have experienced low turnover in the first three groups, and will make additional efforts to recruit qualified minority applicants. We are experiencing a higher turnover rate in the General Office group and should have a greater opportunity to meet our goal.

We have a goal to hire two women in the following job groups: Administrative Professionals and General Office, and a goal to hire one woman in both the Information Technology and Library/Museum groups. As mentioned previously, we were able to meet our goal in hiring two women in the IT group in 1996, and we will use similar recruiting efforts to hire the additional woman.

A variety of recruiting efforts to increase minority and female representation have been made and will continue throughout the next year. The following represent recent and new efforts:

1. Human Resources Director and the Human Resources Coordinator holding membership in the AAAP (Associate for Affirmative Action Professionals), attending AAAP meetings, and sending job postings on a regular basis;

2. Sending the Human Resources/Faculty Planning Coordinator to the New England Minority Job Fair and participating in other fairs such as Crimson and Brown;

3. Holding informational interviews with minority candidates in order to introduce them to the GSD and to discuss potential job vacancies;

4. Requesting minority employees when using temporary help agencies as these arrangements may result in regular employment;

5. Attending and participating in the Latino Professional Network functions;

6. Advertising vacant positions in publications with large minority readerships, such as Affirmative Action Register, El Mundo, Black Issues in Higher Education, The Boston Globe, Sampan, and The Bay State Banner;

7. Networking with Human Resources Professionals within Harvard and staff in the Office to the Assistant to the President to share female and minority applicants;

8. Working with managers to identify hiring needs in order to develop strategies for recruiting minorities and women for underutilized job groups;

9. Analyzing turnover statistics to identify areas needing special attention;

10. Hosting receptions for minority-run organizations (such as the Latino Professional Network) in order to develop a pool of applicants;

11. Increasing retention by resolving workplace problems through coaching, training, and consultation;

12. Continuing attendance to minority job fairs, such as BASEC's Networking Reception;

13. Soliciting help and suggestions from GSD employees on how to attract minority and women applicants; and

14. Asking for referrals of minority and women applicants from GSD employees.

The Human Resources staff will continue to work closely with hiring managers in achieving our goals and increasing and maintaining a diverse work force.

HARVARD DIVINITY SCHOOL

Faculty

Each faculty search committee is charged by the Dean with the responsibility for identifying and recruiting female and minority applicants. In addition, the Associate Dean for Academic Affairs serves as the School's Affirmative Action officer for all faculty matters. Recruitment strategies include advertising in the Chronicle for Higher Education, Black Issues in Higher Education, AAR/SBL Openings, and other publications relevant to specific faculty searches, as well as sending mailings to and maintaining direct contacts with professional colleagues soliciting nominations of minority and female candidates. We remain committed to the fundamental goal of enhancing the diversity of our faculty and, consequently, of identifying women and minority candidates in all faculty searches.

Availability statistics for Senior Faculty are based, in part, on data compiled by the Association of Theological Schools (ATS); in addition, the backgrounds and characteristics of current HDS faculty and our own hiring history are also analyzed. This year's review indicates Senior Faculty availability of 19.9% and 15.7% for women and minorities, respectively. When these figures are compared with our current Senior Faculty profile (22 faculty, including four women and three minorities), we find no underrepresentation among women or minorities that requires the setting of a goal.

This year has been marked by the departure of Professor Margaret Miles, who assumed the deanship of the Graduate Theological Union in Berkeley, California in July. Professor Miles first joined the HDS community in 1978, eventually becoming the School's first tenured woman in 1985. It was largely through her vision and leadership that the doctoral program in Religion, Gender, and Culture was established at HDS, the only program of its kind in the world. This year has also seen the arrival of Robert Scribner as Professor of Modern European Christianity. Professor Scribner came to HDS from Cambridge University in England, where he had been a Reader of the Social History of Early Modern Europe for many years. In addition, we are currently in the final stages of a faculty search in New Testament; this has been an open-rank search, and we now anticipate hiring at the senior level, with the appointment effective July 1, 1997.

The availability figures for the Ladder Faculty job group (which includes only three people -- two men, one woman, one minority) are based on ATS data for all faculty at accredited institutions. Given the current availability figures for women and for minorities, our utilization analysis reveals no underrepresentation among women or minorities. In last year's report, we anticipated making a junior appointment in Theology for academic year 1996-97; that process has taken longer than originally planned, but it is now moving into its final stages, and we do expect to make an appointment for next academic year (i.e., effective July 1, 1997). We are also in the beginning stages of an additional junior-level search in Theology, for which we hope to make an appointment effective sometime during calendar year 1998.

The Other Faculty job group population can fluctuate significantly from year to year and includes visiting faculty on short-term appointments, instructors, lecturers, and research associates. Based on both National Research Council data on earned doctorates in the humanities and hiring statistics on current incumbents in this group, availability statistics are 32.7% for women and 12.1% for minorities. Of the 12 faculty in this job group this year, nine (75%) are women and two (16.7%) are minorities; therefore, there is no underrepresentation in either group. However, maintaining adequate minority and female representation in this category on a continuing basis remains an important priority.

Nonfaculty

Affirmative action responsibility for all nonfaculty employees at the Divinity School resides with the Associate Dean for Finance and Administration and the Manager of Personnel Services. Included under this heading are all administrative, managerial, supervisory, professional, and support personnel. All of the goal-setting in this report for nonfaculty positions is, once again, for one year only.

This year, Darryl Smaw, Assistant Dean for Student Life, has agreed to participate formally in the School's staff hiring process, thus strengthening our efforts in this regard. Specifically, the Dean has asked Dr. Smaw to consult closely with HDS hiring supervisors and others to ensure that the School works actively and aggressively to develop diverse pools of candidates for staff positions and to build genuinely toward our institutional goals of inclusiveness and diversity.

Any review of hiring statistics at HDS must take into account the relatively small size of the staff as well as the pattern of turnover and hiring opportunities. This past year, 15 people were hired for various nonfaculty positions at the School, 12 (80%) of whom are women and three of whom (20%) are minorities. During the same period, however, 16 staff members left the School, an unusually high departure rate; of these 16 exiting staff members, ten (62.5%) were women and seven (43.8%) were minorities. These events serve to underscore the importance of an integrated program of recruitment, hiring, and retention where overall institutional goals of inclusiveness and diversity are concerned.

The Faculty and Student Services Managers and Senior Specialists job family includes seven people, two (28.6%) of whom are minorities and five (71.4%) of whom are women. Compared with availability figures of 11.4% for minorities and 57.1% for women, we find no underutilization in either category.

The Administrative Managers and Senior Specialists job family totals four people, including no minorities and one woman (25%). With availability figures of 9% for minorities and 67.4% for women, there is underrepresentation among women by two but none for minorities.

Availability figures for the Library Managers and Senior Specialists are 11.1% for minorities and 68% for women. With two people, both white men, currently employed in this job group, we find underutilization of women by one and none where minorities are concerned.

As mentioned in previous reports, gender diversity within the professional Librarian staff continues to be a concern. Our current staff of three librarians includes no women or minorities, as compared with current availability figures of 72% for women and 13.5% for minorities. Although turnover in the professional Librarian ranks is historically low, we have registered a long-term goal of two additional women in this job group and will work aggressively to identify appropriate female candidates when openings occur.

The Faculty and Student Services Professionals category comprises the offices of the Registrar, Admissions and Recruitment, and Financial Aid, as well as Denominational Counselors and others. Availability figures are 15.3% for minorities and 61.4% for women. Of the 16 people in this category, 12 (75%) are women and one (6.3%) is a minority; therefore, there is no underrepresentation of women, but we do have a goal of one minority. We anticipate turnover of at least two people in this category over the coming year and will aggressively seek minority candidates in these searches.

Availability figures for the Administrative Professionals Level II category are 14.2% for minorities and 72.8% for women. With four people currently employed in this job group, none of whom are minorities and three of whom are women, we find underutilization of minorities by one and none where women are concerned.

Availability figures in the General Office Support category are 14.3% for minorities and 88.7% for women. Of the 25 people in this category, five (20%) are minorities and 22 (88%) are women. This coming year we have no goals for either group, having reached last year's goal of adding two women to this category.

Availability figures this year for Library/Museum Support are 21.4% for minorities and 72.4% for women. Of the six individuals in the library assistant category, one (16.7%) is a minority and five (83.3%) are women, with no underutilization in either group.

In all support staff searches, our goal is not only to build toward appropriate diversity, but also to provide a pool of strong candidates from which to recruit into the professional ranks.

GRADUATE SCHOOL OF

EDUCATION

Faculty

Faculty affirmative action data are maintained by the Academic Dean and the academic appointments administrator, who monitor all faculty searches with regard to the recruitment of minorities and women.

Last fall, GSE determined that women were underrepresented in the Other Faculty job group, and women and minorities were both underrepresented in the Research Faculty group. For 1997, new availability figures were calculated for each faculty rank. Using the new availability data, women appeared on the utilization analysis as being underrepresented in the Senior Faculty, Other Faculty, and Research Faculty job groups, and minorities in the Other Faculty group. However, the number of open positions at GSE during the next year, figured with the availability data, would prevent us from meeting those goals. Thus, the revised goals for the next year and the following two years of the three-year plan, are listed in the tables provided within this report.

This year, we have set a goal to increase representation on our Senior Faculty by one woman. Women have not, in previous years, been underutilized in this group. However, published data used in recalculating our availability figures this year showed an increase in the number of women qualified for tenured positions. We have also had one senior woman retire during this past year.

GSE is currently conducting two senior faculty searches, which will give us an opportunity to meet our 1997 goal of increasing the number of tenured women from seven to eight.

Although we had not set goals in this job group, faculty searches resulted in the hiring of two women (one of whom is a minority). Women and minorities are now fully represented in the Ladder Faculty.

The Other Faculty job group includes instructors, lecturers, senior lecturers, and visiting appointments. Because most appointments in this job group are made for one semester or one academic year, the turnover is greater than in the Other Faculty job groups.

We had set a goal last year to increase representation by two women, from 31 to 33. We did meet the goal, hiring three women to bring the total to 34. Changes in the availability data would have left us again underutilized in this group; however, because of the lack of hiring opportunities in the group, we will not be setting a goal this year.

Last year, we had set a goal to increase the Research Faculty job group, which includes only faculty with the title Senior Research Associate, by one woman and one minority. We do not foresee an opening in this group; however, if we do conduct a search, the committee will make every effort to recruit women and minority researchers as candidates for the position.

Faculty searches include recruitment activities geared toward expanding the pool of female and minority applicants. Search committees, which include women and minorities whenever possible, receive a formal letter from the Dean reminding them of the School's commitment to affirmative action. The Academic Dean and academic appointments administrator then monitor the recruitment efforts, suggesting ways to reach potential candidates and writing to women and minorities nominated by the committees. Committee members call and write to colleagues at Harvard as well as other colleges and universities, institutions, agencies, and corporations announcing the School's interest in hearing from minority and female applicants. Directories of minority and women doctoral students may be utilized to assist committees in identifying potential candidates for junior faculty positions.

In the fall of 1992, Dean Jerome Murphy appointed a committee to identify and recruit minority scholars as visiting faculty members, with the possibility of subsequent recruitment for more permanent positions at GSE. This effort resulted in the appointment of one Black woman as visiting professor for academic year 1993-94; an Hispanic man as visiting professor during 1994-95 who was given a tenured professorship as of July 1995; and an Hispanic man as visiting professor for the current academic year. The pool of applications established by the committee is maintained by the coordinator of academic services, who may make recommendations for other faculty positions at the University as appropriate. In spring 1994, the Dean's Office initiated a survey of members of the applicant pool, as well as members of our current faculty and staff, specifically focused on where best to place our recruitment advertising in order to reach persons of color. The completed report (which cited the Chronicle of Higher Education as the most widely-used publication, but included other suggestions as well) was circulated to members of the GSE faculty and administration last year and will be available for use by faculty search committees.

A student organization, the African-American, Latino, Asian, and Native American Council (ALANA), is an advisory committee which provides a forum for the minority community to present concerns to the Academic Dean. The Harvard Native American Program offers academic, cultural, and personal support services to Native American students.

Nonfaculty

The nonfaculty categories include all of the administrative, supervisory, professional, technical, financial, and support staff. The affirmative action responsibilities for this group of employees are shared by the human resources officers and supervisors of the School.

Modest progress was achieved in two goal areas from last year: in the Research Professionals job group, an African-American male was hired; in the General Office job group, the goal for women is reduced from 11 to nine.

We note that several key high-visibility exempt positions were filled by a diverse group of minorities/women. A Black woman was hired for the position of director of school partnerships. An Asian man filled the position of director of Gutman Conference Center. The School also proudly hosts three administrative fellows: a Native American woman serves in the Native American Program; a Black woman serves in the Harvard Family Research Project; a Black man serves as program recruiter, Teacher Education Addressing Mathematics and Science in Boston and Cambridge (TEAMS-BC).

Furthermore, in line with our fostering of career development among internal staff, six promotional opportunities allowed five internal female support staff to advance to exempt positions in the past year.

Underutilization of minorities continues in several job groups: Research Managers and Sr. Specialists (two), Library Managers and Sr. Specialists (one), Research Professionals (two), Library Professionals (one). In addition, new areas of underutilization emerged in Finance Professionals and Financial Operations Supervisors (one) and Financial Support (one). In the past year, goals for minorities in the Research area, despite recruitment efforts, were not met; goals in the Library area were not met due to the absence of vacancies.

Underutilization of women continues in General Office (nine); new areas of underutilization of women emerged in Information Technology Professionals (one) and Library/Museum Support (one).

At the present, vacancies in the Library Managers/Professionals and Finance Professionals and Financial Operations Supervisors areas are not anticipated. As for hiring opportunities in the remaining underutilized areas, we are fully committed to expanding creative outreach and recruitment efforts (see below).

Recruiting qualified applicants for information technology positions has been a challenge given the recent high labor market demand in this area. We have filled two new exempt openings in information technology by promoting from within, one of whom was a woman. In addition, we recently filled a computer user support position with a woman. To address the to-date limited pool of applicants for Research positions, we have turned to the Administrative Fellowship Program, successfully placing a minority in a major research project. Recruiting minority graduate and undergraduate research assistants/work study students is another vehicle for diversifying the Research workplace. A number of GSE Research organizations have also expressed commitment to providing information interviews to help broaden and diversify their applicant pools.

We have utilized new sources and tools of recruitment: increasing use of the World Wide Web -- various USENET newsgroups, DECUSERVE, and CAUSE's online "association for managing and using information resources in higher education"; listservs for various student service professions; on-line publications for Harvard Family Research Project; email postings in local colleges for library/office support positions; internal University listservs to ensure outreach to potential internal candidates who may be lay-offs. Other new sources of recruitment include professional organizations/publications -- local chapter of the National Association of School Personnel Administrators, National Society for Fundraising Executives, Ed Week; as well as local/community organizations such as Asian American Civic Association and Latinos Unidos Para Educar.

The Strategic Human Resources Planning Team has been addressing a number of objectives related to diversity, including developing training materials and opportunities to further the understanding and appreciation of diversity in the workplace and classroom. Last year, initiatives included school-wide viewing and panel/forum discussions of the award-winning film on race The Color of Fear; select offices viewed and discussed a variety of training films on diversity and sexual harassment issues. Plans are underway for continued school-wide viewing/discussion of films on race and ethnicity.

Other planning objectives include finalization of a brochure to disseminate School policy and procedures regarding harassment; development of an annual New Supervisor Orientation Workshop which integrates into its training package, under "Qualities of Supervision Valued at HGSE," the importance of respecting difference and creating a safe environment for diverse opinions. Another planning objective is to continue to foster School interest in the Administrative Fellowships program. A special reception this past fall to welcome the three new Administrative Fellows also served to stimulate larger community-wide acquaintance with the Program.

The Human Resources Office reached out to minority students at the School. Staff attended the Students of Color Recruiting Fair to meet new members of the community informally and talk about career opportunities at the School. Staff also assisted in other student-related activities such as registration and commencement.

Last year, the GSE Events Committee invited Marie Trottier to speak about access issues in events planning. School-wide training opportunities on disability issues will continue to be developed with the hiring of a new assistant director of Student Affairs.

In summary, achievement of affirmative action goals has been modest last year, and several new ones have emerged this year, but we think that our earnest commitment to diversity coupled with our pro-active initiatives and programs will help guide us toward realizing our targeted goals.

JOHN F. KENNEDY SCHOOL

OF GOVERNMENT

Faculty

The Kennedy School of Government continues to focus on faculty diversity as one of its most important objectives, particularly on the dimensions of gender, race, and ethnicity. Of the ten new faculty members successfully recruited during 1995-96, four are women or minorities. The majority of these appointments were the result of three years of extensive search activity, characterized by less traditionally defined position descriptions, tied less to a single field of study and more to identifying extraordinary candidates according to multiple dimensions, including scholarship, teaching, institutional commitment, academic leadership, and diversity. Increased candidate referrals among search committees continue to be a particularly productive outgrowth of this new approach. It is encouraging that particular progress has been made in diversifying tenured and tenure-track faculty where progress had been relatively difficult to achieve in the past.

Effective academic year 1996-97, the following women and minorities have been appointed to the Kennedy School faculty: Xavier Briggs, assistant professor; Jane Mansbridge, professor; Katherine Newman, professor; and William Julius Wilson, professor. In addition, junior faculty member Jane Fountain has been promoted to associate professor. With these appointments, the Kennedy School has met its 1993-96 three-year goals for Senior and Ladder Faculty.

Among targeted affirmative action populations, the School has had the greatest success in recruiting women, who make up 25.8% of the full faculty (12.5% of women faculty are also minorities). Among minorities: African-Americans make up 7.5% of KSG's full faculty; Hispanic faculty, 4.3%; Asian faculty, 2.1%; and Native Americans, 0%. The School's search committees have found that gaining access to new referral networks, usually associated with one particular underrepresented group, greatly facilitates the identification of candidates in that particular group.

Continuing initiatives within the search process aimed at enhancing successful affirmative action hiring include:

1. Inviting faculty members from other Harvard faculties and from the junior faculty ranks to be search committee members, expressly to ensure more diverse committee membership, and by extension, appropriate consideration of diversity concerns in the search process.

2. Outreach to alumni/ae, as well as current students, soliciting nominations for candidates in current searches.

3. Continued enhancement of "search letter" recipient lists, in attempts to broaden the cohorts we approach seeking peer review.

In addition to these specific approaches to diversity faculty recruitment, the Dean's Advisory Committee on Diversity in the Faculty continued to work on other activities that create a positive atmosphere for diversity. Pedagogical initiatives, like the Diversity-in-Case-Teaching Seminar that was held during academic year 1995-96, aim to create an authorizing environment for the inclusion of diversity issues within the classroom and, ultimately, throughout the School community.

Availability figures have been arrived at through the Department of Labor formulas using 1996 data. Senior "professors of practice" are counted in the Senior Faculty, together with tenured professors. By computing the number of minority and women faculty at competing institutions and newly-minted doctorates in comparable institutions, the Kennedy School's affirmative action goals are set as follows:

1. Senior Faculty Women. The Kennedy School has four Senior Faculty women out of 32 Senior Faculty members. According to availability calculations, 18.9% (six) of the Senior Faculty should be women. The Kennedy School is two women short of full utilization.

2. Senior Faculty Minorities. The Kennedy School has three Senior Faculty minorities out of 32 Senior Faculty members. According to availability calculations, 10.2% (three) of the Senior Faculty should be minority. The Kennedy School has met full utilization.

3. Ladder Faculty Women. According to availability calculations, 33.2%, or nine, of the Ladder Faculty should be women. The Kennedy School has seven women on its Ladder Faculty. The Kennedy School is two women short of full utilization.

4. Ladder Faculty Minority. The availability of minority Ladder Faculty in 1996 is 22%. Six of the Kennedy School's 26 Ladder Faculty should be minorities. Currently, there are seven minorities at the School who are assistant or associate professors. The Kennedy School has thus met full utilization and exceeded it.

5. Other Faculty. Goal setting for Other Faculty is calculated by computing the aggregate pool of 1996 Ph.D. recipients in relevant fields at 12 comparable institutions, of which 26.8% were women and 6.7% were minorities. The Kennedy School has met full utilization for minorities in the Other Faculty category and, in the case of women, exceeded it.

6. Research Faculty. Under the category Research Faculty, the Kennedy School lists five individuals. These appointments are annual and the classification can cover a wide range of activities, including part-time, nonstipendiary positions and consultants to research projects. Utilization is calculated using the same availability as Other Faculty (26.8% women, 6.7% minorities). The Kennedy School had met full utilization in the Research Faculty category.

Nonfaculty

Over the past year, the Kennedy School of Government continued in its efforts to achieve its affirmative action goals and objectives. Particular emphasis was placed on internal career growth. We promoted 21 employees during this period. Of these promotions, 16 were women. Four of these 16 women were promoted from support level positions into administrative/professional jobs

Progress in reducing underutilization during 1996 was made in the Research Managers and Senior Specialists group, where we hired a woman; in the Administrative Professionals Level II group, where we met our goal of one minority; and in the General Office group, where we hired over 31 women.

The following activities are representative of efforts made by the School during the past year to alleviate underutilization:

1. Contacting area secretarial and vocational schools to recruit minority and female candidates.

2. Maintaining liaison with the Office of the Assistant to the President, in order to access potential minority and female candidates for recruitment and referral purposes.

3. Advertising vacant positions in publications having large minority readership, such as Black Issues in Higher Education, El Mundo, Sarpan, and Boston Herald Jobfind as well as The Boston Globe, which has a tri-state readership of 780,000.

4. Recommending two African-American female employees to participate in the University's Administrative Fellows program.

5. Continuing contact with Personnel Officers within Harvard to share female, minority, and disabled applicants.

6. Creating a search committee, with female and minority representation, to fill a professional staff vacancy.

7. Requesting minority employees when using temporary help agencies, as these arrangements sometimes result in regular employment.

8. Interacting with professional organizations such as the New England Human Resources Association, AAAP, and the Boston Human Resources Association to exchange information on affirmative action recruiting and diversity.

9. Hiring female candidates from casual positions into regular positions.

10. Working with managers to identify hiring needs; developing strategies for recruiting minorities and women for those jobs in which they are currently underutilized.

11. Developing a process for marketing job opportunities at KSG to outstanding women and minorities.

12. Enhancing minority and female recruitment by networking with appropriate placement staff and distributing available position listings more widely.

13. Analyzing turnover statistics to identify areas needing special attention.

Additionally, the following recruitment and retention actions/programs are planned:

14. Regularly checking the SPARTIN database for minority and female candidates and following up with information interviews.

15. Contracting with professional minority placement services BASEC, Inc. to assist in identifying minority candidates.

16. Hosting receptions for minority-run organizations in order to foster relationships with the minority community and develop a pool of applicants.

17. Reaching out to local universities' minority student populations. Engaging in activities such as receptions and informational interviewing.

18. Increasing retention by resolving workplace problems through coaching, training, and consultation.

19. Developing strategic alliances with minority and women's organizations to provide successful recruitment channels.

20. Membership by staff members in BHRA (Boston Human Resource Association) and AAAP (Association of Affirmative Action Professionals).

21. Using of outplacement activities of companies and organizations experiencing workforce reductions.

22. Encouraging managers and supervisors to support the growth and development of talented minorities and women by appointments to committees and consideration for promotional opportunities.

HARVARD LAW SCHOOL

Faculty

The Faculty has vested primary responsibility for appointments in the Entry Level Appointments Committee and Lateral Appointments Committee (collectively, the "appointments committees.") The chairs of the appointments committees seek to implement the School's affirmative action goals by identifying qualified women and minority candidates from the pool of available applicants world-wide. The chairs, in coordination with the Office of Academic Affairs, gather and disseminate to their committees information on all candidates. The committees, giving due weight in their deliberations to the School's affirmative action plan, as set forth more fully below, prepare initial evaluations and recommendations for action by the full Faculty.

The Dean serves on the appointments committees. In addition, the Dean acts independently to identify qualified women and minority candidates, contact them, and bring them to the attention of the relevant appointments committee.

In furtherance of its commitment to increasing the diversity of the Faculty, the School has, for many years, acted in the following ways:

1. Faculty Solicitation: Each year, the appointments committees send to the Faculty a memorandum requesting recommendations of promising candidates for teaching appointments from among the School's recent graduates. This memorandum specifically solicits the names of women and minority graduates. Candidates identified in this manner receive special consideration by the appointments committees.

2. Canvass of HLS Honor Graduates: The appointments committees annually review the list of HLS honor graduates for the past ten years to identify promising candidates for consideration as Faculty members. Women and minority honor graduates identified in this process receive special consideration by the appointments committees.

3. Recruitment of Non-Harvard Scholars: Members of the appointments committees monitor faculty composition at leading law schools around the country to identify and solicit the candidacies of promising scholars. This year, the Lateral Appointments Committee began to identify professors who have recently received tenure at major law schools for possible recruitment as tenured faculty or visiting professors. The Entry Level Appointments Committee targets promising women and minority candidates, among others, through an exchange of information with their counterparts at other leading law schools. Finally, the Dean communicates regularly with the deans of other prominent law schools to identify faculty prospects, especially women and minority candidates. The Dean passes on the names of such candidates to the relevant appointments committee.

4. Participation in the AALS Annual Meeting: The American Association of Law Schools (AALS) holds an annual conference where teaching candidates are interviewed by interested law schools. The Law School regularly sends two members of the Entry Level Appointments Committee to interview approximately 15 job-seekers, who have been selected in advance for their scholarly promise and fit with the existing and anticipated needs of the School. After the AALS interviews, the most attractive candidates are invited back to make mini-presentations to the appointments committee and, if successful in that forum, the full Faculty. At each step in this process, the appointments committee gives weight to the affirmative action goals of the School in determining the relative strength of a particular candidate. Promising women and minority applicants are identified at the outset, and tracked in their progress from application through interview, mini-presentation, and Faculty presentation.

5. Other Efforts: In addition to the above, the appointments committees and the Dean maintain regular contacts with prominent members of the legal profession and their organizational affiliations which provide opportunities for the School to identify potential women and minority candidates. For example, members of the Entry Level Appointments Committee regularly visit the United States Supreme Court to interview clerks and Justices and maintain ongoing communications with other federal and state judges for the purpose of identifying potential junior Faculty members.

The appointments committees also make efforts to create contacts with major law firms, governmental agencies, and other legal organizations in order to identify qualified women and minority candidates. As the Clinton Administration enters its second term, for example, the appointments committees are alert to opportunities presented by women and minorities who may be considering a transition into an academic career from a career in public service.

The Law School typically requires that members of its junior faculty spend five years at the rank of assistant professor before becoming eligible for tenure review and possible promotion to professor. The Law School's pool of Ladder Faculty is consistently very small and subject to variation in demographic composition from year to year; in 1996-97, it consisted of nine assistant professors, of whom four were women and one was a Black male. Because of its small size, changeable composition, and the ability of eligible candidates to influence the timing of their tenure review, the pool of Ladder Faculty is not deemed to be a reliable basis for predicting availability and setting hiring goals. As specified below, the Law School determines availability for Faculty members based on statistics maintained by the American Bar Association (ABA).

Senior Faculty (professors) are usually filled by candidates with a minimum of ten years of experience. Therefore, our availability figures are based on 1986 ABA statistics. These statistics show that of 676,584 attorneys licensed that year to practice law in the United States, an estimated 14.00% were women. In the same year, the estimated percentage of licensed minority attorneys was 6.22%.

Ladder Faculty (assistant professors) are usually filled by candidates with a minimum of three to five years of experience. Our availability figures are based on ABA statistics of graduates from ABA-accredited law schools in 1991, 1992 and 1993. Of 118,438 graduates during this period, 50,459 or 42.60% were women, and 15,124 or 12.77% were minorities.

Visiting Faculty (visiting professors) are usually filled by candidates with a minimum of ten years of experience, who have held or hold faculty positions at other institutions. Visiting professors do not feed into the Ladder Faculty. Our availability figures are based on the same 1986 ABA statistics used for Senior Faculty.

Lecturer positions are filled by candidates with varying degrees of experience, who teach part-time for one or two semesters in an area of specific curricular need. Lecturers do not feed into the Ladder Faculty. Our availability figures are based on the same 1986 ABA statistics used for Senior Faculty.

The following statistics represent the utilization of women and minorities within the Faculty ranks.

Current utilization for women is 11.48% and availability is 14.00%. We are underutilized in this job group and have set a goal of two additional women in this category by 1999. The recruitment of qualified women into the Senior Faculty remains a very high priority. Accordingly, we will attempt to add one additional tenured woman in 1997, 1998, and 1999. The utilization of minority Senior Faculty is 9.84% and the availability is 6.22%. Minorities are not underrepresented in this job group. However, the Law School will continue to seek out and attempt to retain the best qualified minority candidates for Senior Faculty positions. Accordingly, we have set a goal of one hire in 1997 and one hire in 1998.

Current utilization for women faculty in ladder positions is 44.44% and the availability pool is 42.60%. We are not underutilized in this job group. However, we hope to add one woman to the Ladder Faculty in each of the next three years. The utilization of minority Ladder Faculty is 11.11% and the availability pool is 12.77%. However, the Ladder Faculty contains one minority member. Even though we are not underutilized in this job group, the Law School will continue to target promising minority candidates for possible hire into the Ladder Faculty and has set a goal of one minority hire in each of the next three years.

On October 31, 1996, the Law School payroll included six emeriti, three visiting professors, and nine lecturers. Utilization for women Other Faculty is 16.67% and availability is 14.00%. We are not underutilized in this job group. Utilization for minority Other Faculty is 16.67% and availability is 6.22%. Minorities are not underrepresented in this job group. Nonetheless, we have set goals for minority and women Other Faculty for 1997-99 which reflect the number of faculty members in these categories in 1996.

Nonfaculty

The nonfaculty categories include all administrative, managerial, supervisory, professional, and support staff of the Law School. The affirmative action responsibilities for this group are shared by department managers and supervisors, the Assistant Dean for Personnel Services, and the Administrative Dean.

The Law School has achieved, and in many places exceeded, overall goals for representation of female and minority staff in all managerial areas except alumni affairs and development, research, and library positions. During this past year, there were significant efforts made to expand the pool of candidates for one senior position, and efforts to identify women and minority prospective candidates should continue.

There has not been turnover in senior library management, and goals remain in this area. Identification of women and minority candidates for senior level research positions also remains an area of emphasis.

Currently, the Law School has supported less-than-full time work schedules for six women professionals and managers throughout the Law School specifically to address work and family responsibilities; these arrangements include job shares.

The Law School has achieved overall goals for hiring women professionals in ten of 12 categories. We will continue to target female candidates for technology positions as turnover occurs. Two women joined the Law Library in the first two quarters of the 1996 plan year; one of these was a temporary appointment which was recently made permanent. However, the goal of meeting the 72% availability statistic on which goals are based remains elusive and does not truly reflect the market for candidates qualified for law librarianship.

Employment of minority professionals meets or exceeds goals in ten of twelve categories. For FY 1996-97, using the flexibility gained through a maternity leave, the Law School appointed an Administrative Fellow, a lawyer, in the Office of Career Services. Law Library management restructured two professional positions during 1996, which enabled them to accomplish a very difficult goal of appointing two qualified minority staff to professional librarian positions in one year. We congratulate the Library.

Alumni Affairs and Development managers have been very successful in identifying minority candidates for staff assistant positions over the past year.

Although minority representation in the General Office and Library Support categories remains consistent with the labor market, goals for women remain. The staffing pattern has consistently remained 50% men and 50% women.

Positions within the nonfaculty categories are diverse in nature, requiring a variety of recruiting methods. Internal candidates from the Law School and the University are recruited through postings on HLS bulletin boards, in Inside Harvard, and in the Harvard University Gazette. Advertisements are placed selectively in several external publications, including the Boston Globe, Chronicle of Higher Education, New York Times, Bay State Banner, and Lawyer's Weekly.

For positions requiring a law degree or other specialized training, we have used professional contacts and specialty publications. Professional organizations and staff referrals also are considered part of a recruitment plan. The Law School supports minority career fairs and reviews resumes obtained through these programs as positions become available. For support staff level positions, the Law School once again chose to use University special initiative funds to support funding for an Employment Officer charged with identifying sources of minority candidates and active recruitment of these candidates.

HARVARD MEDICAL SCHOOL

Faculty

In the past academic year the Medical School faculty has seen net increases in the numbers of women and minorities. However, because of the growth of the entire faculty these increases in numbers have resulted in only slight increases at some ranks and slight decreases in others when measured in percent representation at rank.

This past year the following additions have been made to ranks. At the senior rank, four more minorities and four more women have attained the rank of professor; two more minorities and four women have reached the rank of associate professor; five minorities and 19 women have progressed to the rank of assistant professor; 111 more minorities and 117 more women have attained the rank of instructor/lecturer; 156 more minorities and 115 more women are now in training status.

Female faculty representation continues to slightly exceed that of minority faculty representation.

For clinical faculty, which represents the vast majority of Medical School faculty, recruitment is critical at the entry level rank of resident (trainee). A five-year review of Harvard residents reveals a lack of progress in raising the numbers of underrepresented minorities. Since the majority of HMS faculty are "grown" within the system rather than recruited, bringing in trainees at the residency level is essential for increasing the ranks of minority faculty. Efforts to address this continue in meetings with the training directors and department heads at Harvard hospitals. In addition, the Visiting Clerkship Program, which brings minority medical students to Harvard hospitals for clerkships in various departments, offers exposure to minority medical students, some of whom have subsequently been recruited to Harvard training programs.

For both basic and clinical faculty, utilization of minority supplements to bring qualified minority postdoctoral fellows and junior faculty continues.

Action-oriented programs to alleviate underutilization:

1. Faculty Development and Diversity (FDD)

Established January 1, 1995, the department is under the leadership of Dr. William Silen, Faculty Dean for Faculty Development and Diversity and a distinguished professor of surgery at Harvard Medical School. The office undertakes the following initiatives:

* Meetings with department heads and medical school committees concerning diversity efforts. Individual meetings are also routinely held with faculty, fellows, and students regarding career development concerns.

* In 1996, focus groups were held in the Longwood Medical Area and at Massachusetts General Hospital with underrepresented minority faculty and trainees.

* A newsletter, Mentations, is disseminated to faculty, fellows, students, and staff, which discusses issues of concern to medical faculty including diversity activities, upcoming programs at the medical school and/or hospitals, and fellowship or funding opportunities.

* The Second Annual HMS/HSDM Award for Excellence in Mentoring, an award which honors excellence in mentoring as an important aspect of faculty development, is presented to one outstanding member of the HMS/HSDM faculty. All medical and dental faculty and medical and graduate students were asked to nominate the outstanding faculty mentor at HMS or HSDM.

* A new Web Site was created that lists all diversity programs undertaken by the medical and dental schools as well as programs undertaken at the Harvard-affiliated institutions. A Master Calendar notes diversity-related events occurring at the medical/dental school.

Minority Faculty Development Program (MFDP)

Under the auspices of Faculty Development and Diversity, the Minority Faculty Development Program undertook the following programs:

* The Commonwealth Fund/Harvard University Fellowship In Minority Health Policy creates physician-leaders with expertise in minority health who will pursue careers in health policy, public health practice and academia in a one-year academic, degree-granting program.

* An Orientation Guide informs new minority faculty, trainees, and visiting clerkship students interested in learning about resources in the Longwood Medical Area. This directory is updated yearly.

* Project Success: Opening the Door to Biomedical Careers selects outstanding minority high school students from Boston or Cambridge to spend the summer working in medical laboratories at HMS and affiliated institutions, and to attend seminars in the summer and throughout the year.

* The Teacher Institute in the Neurosciences provides a one-week intensive summer workshop and academic year sessions for science teacher in Boston and Cambridge. Program goals are to impart new knowledge in the rapidly changing field of neuroscience and to improve scientific literacy among students of all ethnic groups

* The NIH Inservice Teacher program provides a paid, full-time summer position in a working laboratory at HMS to a local science teacher from Boston or Cambridge. The Inservice Teacher also attends the Teacher Institute and shares his/her summer lab experience with the other Teacher Fellows.

* Visiting Clerkship Program brings third and fourth year minority students from other accredited medical schools in the United States and Puerto Rico for one month electives at HMS-affiliated hospitals.

Women in Academic Medicine

Brought together a focus group representing women's groups from HMS and the Harvard affiliates to discuss issues and problems related to the career development of women in medicine and science.

2. The Biomedical Science Careers Project (BSCP)

Supports and encourages careers in biomedicine for minorities through a collaboration of educational institutions, hospitals, businesses, trade associations, and biotechnology companies.

3. Career Development Series

Designed for minority physicians in postdoctoral training, junior faculty, and residents who are interested in career advancement.

4. Human Differences in Medicine Seminar Series

Included Demographics Shifts in the U.S. Populations: Consequences for Medical Practice and Cultural Values of Healing in the 1996 programs. Sponsored by the Oliver Wendell Homes Society and the Inter-Society Multicultural Fellows Committee.

5. The HMS-HSDM-HSPH Ombuds Office

Established in January 1991 to provide a safe place for members of the Harvard community to voice concerns about discrimination or harassment in the workplace.

6. The Joint Committee on the Status of Women

"Facilitates the development and contribution of women affiliated with Harvard Medical and Harvard School of Dental Medicine by expanding and improving the opportunities for the advancement of women to achieve their maximum potential."

7. Committee for the Fiftieth Anniversary Program for Scholars in Medicine

Screens and recommends faculty for ten fellowships per year. Celebrates the 50th year since women were admitted to HMS.

Nonfaculty

Total nonfaculty employment at Harvard Medical School (HMS) increased by 1.6% (+14) in 1996, with a decrease of 0.2% (ñ1) in the total female representation and a 3% (ñ5) decrease in minority representation. The slight increase in total employment is due primarily to new programmatic HMS initiatives which are externally funded.

Due to an increase in the total nonfaculty population, last year's total hiring goal of 36 women has been increased to 48. The 1996 hiring goal of 30 minorities remains the same for 1997.

Specific areas of significant improvement in female representation (+5) include the Executive/Administrative/Managerial category. There was also a significant increase in minority representation (+9) within the Professional/Non-Faculty category this year.

In 1996, there were few external hiring opportunities since the training and development of existing staff has become a vehicle to gain the competencies required for future open positions. Most of the external hires this year were in areas requiring technical training and specialized skills not currently in our internal candidate pool.

Several administrative programs are designed to support recruitment and retention of women and underrepresented minorities at HMS. In particular, the Office of Human Resources is finalizing competency models for all job families to assist in the design of training programs to address staff career development needs.

Second, the formal position review process of the Medical School requires careful evaluation of all recruitment requests in order to determine their relative value to the School and to identify possible internal candidates.

Finally, hiring managers' performance appraisals continue to include an assessment of individual effectiveness in increasing both female and minority representation in the HMS community.

The Advisory Committee on Diversity (ACD) published a brochure this year which was sent to all staff soliciting their support and involvement. ACD has continued to sponsor educational and cultural theme events this past year in an effort to meet the training needs of the community regarding diversity issues and also to expose staff to different cultures and their value in the workplace. In the next year, the ACD will work closely with the office of the Dean of Faculty Development and Diversity to collaboratively sponsor educational opportunities and events.

Total minority representation decreased slightly this year (-3%). The total 1996 minority goal of 30 remains the same for 1997.

1996 goals were met in the Library Manager, Information Technology Professionals, Financial Support, and Machine Operators job groups. In the Library Manager and Machine Operators group, this is due to a reduction in availability in the local applicant pool. There were minority hires in the Information Technology and Financial Support job group to enable elimination of these hiring goals.

This year's goal for the Executive/Administration/Managerial (E/A/M) category remains at nine. There may be hiring opportunities in this group in 1997 if additional initiatives are implemented and the skills required of new positions do not exist in the current HMS staff population.

In the Professional category, the goal for Research Professionals has increased by one. Hiring opportunities should be available in the coming year.

1997 hiring goals in the Technical Professionals, Publications and Communications Professionals, and Administrative Professionals Level I remain the same.

The 1996 minority hiring goal of four for Administrative Professionals Level II remains unchanged for 1997. It should be possible to increase minority representation in this job group in the new Plan year. This will either be due to external hires or internal promotions into this job group.

Hiring goals remain in the Technical/Mechanical, Mechanics, and Custodial/Maintenance areas. There is seldom hiring activity in these categories, and none are expected in 1997.

A hiring goal of two is set for 1997 in the Library/Museum Support job group. It is expected that there will be hiring opportunities in this group in the coming year due to a pre-renovation project at the Countway Library of Medicine.

Total female representation decreased slightly by 0.2%. The total 1997 hiring goal increased by 12.

The total female hiring goal for the Executive/Administration/Managerial (E/A/M) category increased by two. This past year, there has been a significant increase in female representation in this job group. It is expected that this will also be the case in 1997 if new initiatives are implemented and the requisite skills do not exist in the current HMS population.

The 1997 hiring goal for Facilities/Operations Managers has decreased by one. Since there are few renovations and capital projects planned for 1997, it is unlikely there will be progress toward reaching this goal in the coming year.

A new goal of three has been set for Administrative Managers and Senior Specialists for 1997. Hiring opportunities are expected in this area over the next year.

There is no change in the goal set of one for Facilities/Operations Supervisors in 1997. As previously mentioned, progress in this area in unlikely since there will be few, if any, hiring opportunities in this job group.

A new goal of one is set for Information Technology Professionals in 1997. This goal is expected to be met in 1997 due to either new positions or attrition.

The 1997 hiring goal for Animal Care has been increased by one. Hiring opportunities remain, and it is likely that progress toward the new goal of ten will be made in 1997.

A hiring goal of two remains in the Financial Support job group. Opportunities are expected in the coming year.

The female hiring goal for General Office is increased by seven for 1997. This appears due to an increase in the hiring of male staff assistants. Progress in female representation is expected in the new Plan year.

The Library/Museum Support goal of five represents an increase of one. There will be a few positions available for a portion of the coming year due to a pre-renovation project at the Countway Library of Medicine.The goal of two remains in the Services/Maintenance category for Custodial/Maintenance positions. It is unlikely that there will be hiring opportunities in this category in 1997.

The Advisory Committee on Diversity will continue to work within the HMS community to identify and develop opportunities for staff training and the creation of a more diverse workforce. Cooperative efforts will increase over the next year with those organizations, particularly the office of the Dean for Faculty Development and Diversity, which represent faculty and student interests in this area.

HMS, in partnership with the Harvard School of Public Health, is sponsoring again this year the "Mission Hill Career Development Program." This program will integrate education, practical skills training, and clerical internship opportunities for program participants. The goal is to increase the likelihood that the interns will be hired into General Office positions after the completion of a successful training period. To date, one individual from the 1996 program has been hired as a casual employee and other graduates of the program remain in our active applicant pool as prospective hires. Our plan is that this trend continue into 1997 so we can further increase local minority representation in our clerical pool.

SCHOOL OF PUBLIC HEALTH

Faculty

Since the last report, five new professorial appointments have been made, all white males (three with tenure, two term appointments). Four were promotions from within the School; the fifth was from outside. The School currently has seven minority professors and expects to appoint an additional one within this academic year. This is consistent with the national percentage representation of minorities at comparable institutions.

Seven new non-tenured faculty appointments were made last year, six as assistant professor and one as lecturer (white male). Of the six assistant professors, two are women and one is a minority male. Six male assistant professors, of whom two are minorities, were promoted to associate professor.

The progress reported over the last several years has made it possible for the School to meet many of its goals for the three-year period, 1993-96. Most notably, in the 1994 report, goals were set over the three-year period for three tenured women faculty and 15 ladder women faculty. During this period, three tenured women were hired, one senior woman term professor was hired, and 14 ladder women faculty were hired. In addition, we had goals of hiring two tenured minority faculty members and five minority ladder faculty. Although only one minority was appointed to a senior faculty position (a term professorship), nine new minority faculty members were hired, thus surpassing our goals.

Our new three-year goals show an increased need for tenured women and minority faculty. This is largely due to the promotion of a number of white male faculty members as well as a slight, but steady increase in faculty size. The new goal of three tenured minorities is also due to the fact that 20% of our associate professors are minorities, a number that far exceeds our calculated availability. Over the last three years, 77% of those achieving tenure were promoted from within the School. It remains a priority to increase representation of women and minorities at the non-tenured ranks as well as the tenured one.

Finally, although progress during the first two years of the plan was excellent, the lack of equal progress during the past year is of concern to the School. We anticipate improvement over the coming year.

Within a few weeks there will be three active searches for senior faculty plus one which is quiescent pending the arrival of a new department chair.

In the Ladder Faculty group, 17 faculty are currently being sought. Based upon the experience of previous years, ten individuals are likely to be appointed during 1997.

Since the last report, several initiatives have been undertaken to increase the diversity of the faculty, in addition to the continuation of those activities reported in previous years. Among them are the following:

As noted in last year's report, the Faculty Council created a committee to study ways in which to increase diversity among the faculty. The Committee's charge was to draft proposals to foster increased racial and gender diversity among the faculty. One of its first activities was to evaluate the work of 24 search committees which had been in existence over the previous three years. The Council wished to determine what specific efforts had been made by each committee. Among the questions asked were: Which searches resulted in minority recruitment? Which ones did not? What specific efforts were made by each committee to attract female and minority candidates?

The Faculty Council subsequently distributed a report with several recommendations; this report was the starting point for a Faculty Forum, held in June to discuss experiences of minority faculty members and explore ways in which the School could increase diversity among its members. Speakers included the Dean of the Faculty of Public Health, three professors, one of them an African-American, and an associate dean from the Medical School, also an African-American. The Faculty Council is continuing efforts this year.

The Standing committee on the Concerns of Women Faculty undertook a study of promotion rates of women faculty over the past 15 years. The results of this study, which showed some difference in promotion rates for men and women in some departments and fields, were disseminated first to the committee of Chairs of Departments and subsequently to the faculty as a whole. The report will be discussed soon at a luncheon to which all faculty will be invited.

At a faculty luncheon last year, a faculty member led the discussion on a survey that he and colleagues had conducted on "Difference in Racial Attitudes and Beliefs." The luncheon was well attended and interest in the topic high. Subsequently the report of this survey was distributed to all faculty.

The Commonwealth Fund Harvard University Fellowship in Minority Health Policy has been established through support from the Commonwealth Fund. The School of Public Health is participating in this program, directed by the Medical School, which is designed to prepare physicians for leadership roles in formulating and implementing public health policy and practice in areas of particular concern to minority communities. Three minority students, supported by the Fellowship program, are studying for an MPH degree at the School this year.

Continuing efforts include:

The Minority Post-doctoral Fellowship Program, now in its sixth year. The program is designed to attract individuals from underrepresented minorities and to help prepare them for academic careers in public health.

The Minority Internship Program in the Division of Biological Sciences is in its fifth year. Approximately 24 percent of the students enrolled are now in graduate training in the basic sciences.

The Summer Program in Biostatistics was conducted for the third time. All of the 23 people who have attended the Summer Program were undergraduates from historically Black colleges and universities. Half of those who have completed their undergraduate education are now enrolled in graduate programs in biostatistics; two of them are at this School.

The High School Research Apprenticeship Program completed its 16th year of operation this summer.

Nonfaculty

The non-faculty goals for 1996 were very ambitious for both women and minorities:

Increase the number of women in each job group for a net result of 15 new hires.

Increase the number of minorities in each job group for a net result of seven new hires.

Although our success was mixed, we believe that our effort was excellent -- in identifying qualified women and minorities, in getting interviews for qualified candidates, in establishing new networks (and in strengthening existing networks) both internally and outside of Harvard), and in actually meeting several of the goals:

With one hiring opportunity, we successfully met the Facilities and Managers job group goal for women, but failed to meet the goal for minorities.

We were successful in meeting both goals (for women and minorities) in the Information Technology Professionals job group.

We met the goal to hire nine women into the General Office job group within the first half of 1996.

We identified two minority candidates who were semi-finalists for the Administrative Professionals job group.

There were no hiring opportunities for the Information Technology Managers job group nor for the Administrative Managers/Sr. Specialists (Grade 58 and above) job group.

Our performance in hiring minorities in the Research Managers and Sr. Specialists job group and the Alumni Affairs and Development Professionals job group continues to be disappointing. Although there were several hiring opportunities throughout the year, no minorities were hired.

The Human Resources Office has tried various strategies during the last five-plus years to hire minorities in the Research and Alumni Affairs and Development job groups. We believe that one strategy -- which offers hope for the Research Manager job group -- is to increase the number of hires in the Research Professionals (entry level) job group. With a decreasing turnover rate (from 23% to 19% over the last five years), the opportunities to promote staff from this job group to the research manager job group increases. SPH has a strong history of promoting from within.

We have continuously failed to have an impact on the Development group although we have made many attempts internally, and have continued to maintain contact with professional organizations and known development professionals. Perhaps this continued effort will result in more success in 1997.

SPH has taken the following employment and training strategies and initiatives:

1. Mission Hill Career Development Program: In its third year with the School, this program which is grant funded, placed eight interns in temporary staff positions in 1996. Through our efforts with ABCD which provides office and computer training for many of the interns and through tremendous consultative efforts with Sociedad Latina whose goal is to identify, train, and offer internship opportunities to Latino males, we believe the school will continue to benefit and maintain its reputation as the Harvard leader in community relations and in staff diversity.

2. Research Apprenticeship Programs: There are several programs offered during the summer months to provide research exposure for both high school sophomores and juniors and for sophomores and juniors at historically Black colleges and universities.

The school writes grants annually to fund these programs. At the end of the summer, the school hosts receptions for the students during which each presents the project on which he/she has worked. The faculty supervisors and mentors often continue their role as a resource in the student's academic and career development.

We believe this strategy of introducing minority youth to research has long term advantages; we hope that these efforts will result in future hires as research professional staff and research faculty.

3. Training Initiatives: The issue of diversity is present in most of the supervisory and professional development training programs presented at SPH. We believe that it is key in enlightening supervisors (and colleagues) about the talents and attributes of others. We believe that teams of diverse personalities and talents enhance the goals of the school. Therefore, courses in Hiring and Interviewing, Coaching and Counseling, Performance Management, and Managing a Diverse Workforce are all presented with diversity as a strong component.

A recent two-part workshop entitled "Then and Now" based on a PBS series ("A Class Divided") was well received. The feedback overwhelmingly recommended that similar workshops be held more frequently to give staff at all levels an opportunity to discuss diversity and how it affects day-to-day work relationships.

The Project on Human Development in Chicago Neighborhoods (PHDCN), the largest and most diverse project at SPH, has experienced a significant funding crisis. The Project, which began in 1993, notified 32 staff in November 1996 that their positions would be eliminated effective in February 1997. Two staff in Boston (who provide some administrative support to Chicago) and at least 16 additional staff in Chicago will be notified in January 1997 that their positions will be eliminated effective April 1997. Twenty-eight of those laid-off are minorities. Although PHDCN's layoffs will have an adverse effect on the diversity of the school, the project will continue to be extremely diverse: 65% of the staff are minorities. The layoff, however, poses a tremendous challenge for us in meeting 1997 goals.

Our challenges are clearly greater for 1997 and, perhaps, also for 1998.

OFFICES OF THE PRESIDENT

The Offices of the President include the Executive Office of the President, the Office of the Provost, the Office of the Assistant to the President, the Office of the Governing Boards, the Harvard Trade Union Program, the International Office, Memorial Church, Nieman Foundation, the Program in Ethics, University Library Administration, Office of the University Marshal, and the Harvard University Art Museums. The Executive Office of the President includes the President's personal staff. All units listed under the Offices of the President have independent hiring responsibility. Therefore, hiring goals are disaggregated and allocated to specific offices.

The Harvard University Art Museums, the University Library Administration, University Information Systems, and the International Office had hiring goals for 1996. These same offices have hiring goals for 1997 and describe their affirmative action efforts and progress below.

Executive Offices of the President, Office of the Provost,

and Other Offices of the President

In addition to the Executive Office of the President and the Office of the Provost, this group includes: the Office of the Assistant to the President, the Office of the Governing Boards, the Harvard Trade Union Program, Memorial Church, Nieman Foundation, the Program in Ethics, and the Office of the University Marshal.

This is the first year that specific goals have been set for this group of offices. Because of the independent nature of each of these small offices, annual turnover is hard to predict and usually low. Goals have been established for women in the Administrative Managers & Senior Specialists job group and for minorities in the Administrative Professionals Levels I and II job groups. Although overall these offices are diverse (13.64% representation of minorities and 68.18% representation of women), additional efforts will be made to meet our affirmative action goals, if hiring opportunities become available.

Harvard University Art Museums

The following job groups at the Harvard University Art Museums required goals for minorities in 1996: Facilities and Operations Managers (one), Museum Professionals (six), Lab Support (one), Technical/Mechanical (one), General Office (two), Library/Museum Support (one), and Guards (seven). For women, the 1996 goals were: Lab Support (one) and Technical/Mechanical (two).

We were able to hire an Asian woman in the Museum Professionals group and another Asian woman as a research assistant in the Lab support job group, thereby reducing our goals in these groups. We were also able to hire a Black man and a Black woman in the Guards job group, decreasing our minority goals in this group to five for 1997.

We were able to meet our goal of one additional woman research assistant in Lab Support, but a goal of three additional women installers in the Technical/Mechanical group remains for 1997.

Over the past year, the Art Museums put forth special effort in announcing available positions. In addition to posting available positions with Harvard University, jobs are posted at area universities, colleges, trade schools, museums and other arts institutions, women's organizations and resources, and employment resource offices for minorities. Available positions at the Art Museums are also advertised on the Internet on a special list for Museum professionals.

The Manager of Human Resources attends regular meetings of the Diversity Resource Group sponsored by the Museum of Fine Arts, Boston. The group includes representatives from other museums and cultural organizations in the greater Boston area and explores concrete initiatives for meeting the need for diversity in recruitment, providing supportive working environments, and addressing access issues for disabled employees, job applicants, and visitors.

In 1997, the Art Museums hired a new Manager of Human Resources, who will continue to work toward a more diversified community by developing more aggressive strategies for recruiting and promoting qualified women and minority candidates to professional, support, and security positions.

Harvard University Library Administration (Harvard University Library)

HUL continues its efforts to meet affirmative action goals in some categories of its staff. Among the 11 "library managers and senior specialists," we have goals for three females. With low turnover in this group, opportunities are limited. The situation in the following year is likely to appear even less successful when the RECON Project ends, and the manager position in that program, which is now occupied by a female, is eliminated.

Because of the specialized nature of HUL's departments, vacancies often yield only one or two viable candidates, even after a national search. In our recent hiring of a replacement of a female University Records Management Officer, the only female candidate withdrew her application. In the Preservation Center, our search for a Preservation Librarian for Digital Projects yielded one candidate, a male.

In the category of "library support staff," we face some different problems. The Harvard Depository is regarded as a library, and consequently, a number of the staff are classified as "Library Assistants." The nature of the work at the Depository, however, does not attract female candidates. The 16 male library assistants perform their work by lifting heavy boxes of books, retrieving boxes from 30-foot high shelves utilizing vehicles known as "cherry pickers," and pick up or deliver these materials to Cambridge and Boston in vans, from which they must carry heavy cartons to various libraries. It should also be noted that support staff at the Depository are hired from the local areas around Southborough, Massachusetts, where the populations of minorities are smaller than in the Boston/Cambridge area.

Back in Cambridge, support staff positions continue to be recruited from local markets. The decrease in the numbers of unemployed persons has resulted in smaller numbers of applicants from which to choose. Upper-level support staff positions are more likely to be filled from within the University's libraries because experience with the Library system is highly desirable.

We will continue to try to identify both minorities and female candidates for HUL support staff positions and welcome any guidance from the Office of the Assistant to the President in meeting our goals.

University Information Systems

University Information Systems (UIS) is Harvard's new central information technology services unit, reporting to the Office of the Provost. This new organization, which was created in the spring of this year, is comprised of the services formerly provided by the Office for Information Technology and Project ADAPT. When this new organization was created, many of its components underwent a major reorganization and restructuring. These reorganization activities included the offering of a voluntary staff reduction program to all staff members in the Office for Information Technology. A significant number of staff elected to participate in the staff reduction program. The job openings which resulted from the voluntary staff reduction program provided UIS with an excellent opportunity to aggressively recruit female and minority candidates. Additionally, though the new structure is a flatter organization, we were able to create a much more diverse management team through a series of internal promotions.

In the Information Technology Managers Group, there was previously a goal of five minorities and eight women. Through some of the above efforts, we now do not have a goal for women, but a goal of six minorities remains. We have recently made significant progress toward this goal, although due to the timing of this report, that progress is not reflected in these numbers. In the area of Information Technology Professionals, we have a goal of four minorities and eight women. We have several open positions in this group and hope to successfully recruit minority and women candidates for some of these openings.

In the area of Administrative Professionals Level I, there is a goal of two minorities and two women. Although we do not expect significant turnover or growth in this group, we hope to achieve some diversity in this area through internal promotion.

There is a goal of one woman in the Technical and Mechanical job group, and we do not expect any changes in this group. In the General Office category, there is a goal of three minorities and 29 women. It is hoped through some current recruiting efforts that we will be able to make some progress toward these goals, though due to the recent restructuring of this job class, there are some units reflected in this group (e.g., computer assistants and computer operators) where there is, in reality, less availability of female applicants. Additionally, we have chosen to take a more non-traditional approach to the recruiting of secretaries/staff assistants, and though the availability of women is greater for these roles, we have a more diverse mix of men and women in this group.

UIS has established a central account to fund the costs incurred by business units when eliciting the help of outside consultants and agencies for minority recruiting. This serves as additional incentive for unit managers to make sound long-term decisions without direct negative short-term financial impact. In addition, we will continue to develop our internal candidate pools of women and minorities, identifying opportunities for career enhancement and promotion.

University Information Systems is strongly committed to the goals of equal employment and affirmative action and continues to seek to achieve diversity within its organization.

International Office

With an exempt staff of such limited numbers (13 professionals for the past several years) and with virtually no mobility of late, it has been difficult to meet our goal of one minority staff member in the Faculty and Student Services job group. However, we have increased the diversity of our staff through the appointment of a Black woman, Zarrin Taj Foster, to the position of Coordinator, Friends of International Students under the Administrative Professional Level I grouping. In addition, we have met our goal of one minority in the General Office job group by hiring Sarmonica Jones, a Black woman.

We shall continue vigorous affirmative action efforts should any future openings occur on our staff, particularly in the Faculty and Student Services job group where our goal of one minority staff member remains unmet.

UNIVERSITY HEALTH SERVICES

The Harvard University Health Services (HUHS) is working to meet, in an exemplary manner, the health care needs of the members of the Harvard Community. Our mission is to heal those who are sick, to care for all, and to educate members of our Harvard Community about health and health care issues. The work of process improvement is proceeding. This past year's work processes are streamlined and more effective; positions were added and deleted from HUHS. The net result was a continuation of the gradual decrease in the total number of our staff.

The total number of staff in the Executive/Administrative/Managerial category has increased from 16 to 21. Our utilization of minorities and women continues with one hiring goal in the group of Finance Professionals and Senior Specialists. It has been noted previously that because the group is very small and stable, it was expected that there would be no opportunities to hire staff into the group. That has proven to be true and again this year because of the statistics indicating the availability of women, the same hiring goal has been set. Once again, however, there is no expectation that there will be turnover in the two positions included in the group.

In the category of Professionals there has been a decrease of staff from last year's 144 to our current 132. In the two groups for which hiring goals were set last year the number of staff has decreased. In the group of Physicians, there were 58 staff members and a hiring goal of four minorities and two women last year. During the year the total number of physicians has decreased to 47 staff members. HUHS was successful in maintaining the number of minorities while there has been a decrease in the size of the group of approximately 20%. There continues to be a hiring goal of three minorities and two women; we will continue to work toward achieving that.

The Group of Health Professionals in the Professional category has also decreased in size slightly from last year's total of 78 staff members to this year's 74. We have been able to maintain the percentage of representation for women at 75.68% while there has been a reduction in the number of minority staff in the group from seven to six. We continue to be successful in our ability to attract and retain women and need to work positively to increase the number of minority Health Professionals.

The category of Technical/Paraprofessional has decreased in number of staff from 25 to 20. The Secretarial/Clerical category has increased from 105 to 109 staff and the Service/Maintenance category has increased from zero to one staff member. There continues to be no need to set hiring goals for any of the job groups within these categories.

Over the past year we have continued to retrain current staff to increase skill levels and the ability of staff to work in newly designed positions which respond to our organizational improvements. Our staff training also has included an in-service program for HUHS Managers and clinicians concerned with diversity in our patient population. This program served, in addition, to increase the general consciousness of our managers to the need for diversity in the workplace. In an effort to increase the number and diversity of applicants for our open positions, we have doubled the volume of our advertising in the Boston Globe during the last six months.

HUHS remains committed to attracting and retaining a qualified, well-trained, diverse staff. To this end, our supervisors are key and we continue to emphasize the importance of the role they play in affirmative action.

OFFICES OF THE VICE PRESIDENT FOR ADMINISTRATION

The offices of the Vice President for Administration (VPA) fully recognize the value that a truly diverse workforce can add to its organizations. With this in mind, the VPA offices, including Arnold Arboretum, Faculty Club, Office of Human Resources, Harvard Magazine, Harvard Planning and Real Estate, Harvard University Press, Harvard Printing and Publication Services, University Dining Services and University Operations Services are committed to the recruitment, retention, and professional development of female and minority candidates and staff.

With the significant exception of the Food Service job group, progress towards goals remained substantially consistent. In areas where 1997 goals have been set higher than 1996 goals, these higher goals appear generally to reflect changes in the availability data rather than a diminished commitment to minority and female hiring.

Three categories of job classification showed notable progress. Food Services saw a total population increase within the department of 24 people, minority staff correspondingly increased by 25, and the population of female staff increased by five. This increase in minority staff significantly reduced 1997 minority goals in this job group. The total population of Machine Operators decreased from eight staff to six, however, the minority population increased by one and the female population increased by a total of three, resulting in a reduction of both goals to zero. The total population of Human Resources Professionals increased by two and the minority population increased by three.

Women are currently most underutilized in the areas of Printers, Mechanics, Lab Support, Custodial/Maintenance, Food Service, Food Services Supervisors, Human Resources Professionals, and Publications and Communications Managers. Minorities are underrepresented in Food Service Supervisors. These underutilized areas show little change from last year except in the skilled crafts, Food Service and Custodial/Maintenance and Human Resources Professionals. With the total population increase in Food Service of 24, the population of women only increased by five, and therefore, utilization decreased and raised the goal for women from 31 to 40. The total population of the Custodial/Maintenance job group was reduced by 31, and women employees decreased by 18, resulting in a goal increase for women from 24 to 30. Human Resources Professionals experienced a total population increase of two, and a decrease of women by four, causing an increased goal from zero in 1996 to five in 1997.

VPA-wide diversity efforts continue, most recently with a survey to assess the climate within VPA. The results are currently being evaluated and plans to address the identified issues will be undertaken on a pilot basis where opportunities present themselves. The Cambridge Rindge and Latin Internship program continues in a few of the VPA departments, and Personnel Services continues to highlight recruitment goals for minorities and women as positions become available.

In 1997, we plan to focus our efforts on several additional resources to assist hiring departments with their recruitment options. We will continue to advertise positions in the Boston Globe, and other special publications as appropriate, and will expand advertising to include the Department of Employment and Training. We have just begun a project to research and identify trade schools and other locations for advertising technical and specialized positions, expanding on Harvard Planning and Real Estate's current recruitment model. We anticipate completion of this project by January 1997. Personnel Services will more vigorously emphasize the importance of minority recruitment by participating in minority job fairs, and will forward resumes of qualified minority candidates to the hiring departments for those positions with identified goals for minorities and women.

Training and Awareness programs are aggressively being pursued to help foster promotability of minorities and women. Personnel Services will be sponsoring a workshop on Gender Conflict, and Communication. In addition, Dining Services is working towards the development of an internal management training program to provide current bargaining unit employees the skills necessary to compete for advancement.

OFFICES OF THE

VICE PRESIDENT

FOR ALUMNI AFFAIRS AND DEVELOPMENT

Three major divisions report to the Vice President: the Harvard Alumni Association, the Recording Secretary's Office, and the University Development Office. Under the leadership of the Vice President, the Director of Human Resources serves as the affirmative action officer.

As we move into the second half of the capital campaign, we continue ongoing heavy recruitment for both exempt and nonexempt positions. This is due to a variety of factors, but primarily is the result of periodic restructuring to best utilize the skills and talents of employees where they are most needed, creating the need for new positions. It is also typical to experience some attrition at this point in a long-term, ambitious fundraising campaign. This year there has been nearly equal turnover of exempt and nonexempt staff. The percentage of women in all areas continues to be high: 52.63% at the managerial level and 71.43% at the professional level, but we continue to search both for women and minority candidates at all levels to meet our affirmative action goals.

Because the pool of qualified minorities for development professional positions continues to be very small, especially at the mid- to senior level, our challenge is to locate and attract those who may be available, and to create programs that will develop more entry-level candidates to move into these positions. We are also continuing to examine our work environment to ensure that all employees' diverse skills and backgrounds are valued and maximized.

We continue to make progress in hiring and promoting minority support staff. Several years ago, we determined that progress toward goals for professional staff was dependent on a strong pool of minorities in the support staff because these jobs are training grounds for professional level positions.

Because of the pressures of the campaign, it continues to be a challenge to emphasize the training and mentoring of entry-level professionals. Our currently high-pressure environment creates a situation in which employees must exhibit a high level of performance very quickly, and, as a result, we are forced to look more and more for experienced people.

Since the availability of minorities for exempt level jobs in fundraising is relatively low, our efforts have been and continue to be focused on increasing the pool of minorities interested and qualified to work in development:

1. Minority Internship Program: Alumni Affairs and Development has continued interest in sponsoring a development intern through the Council for Advancement and Support of Education (CASE). This program is designed to attract minority professionals to institutional advancement at higher education institutions and independent schools. Host institutions are asked to be "partners" with CASE, choosing an intern who might be eligible for permanent placement at the host institution, and providing half of the funding for the intern's salary. Last year, although without sufficient funding initially, we were successful in partnering with FAS to develop both the funds and an internship training program. Since there were only five internship candidates and at least 12 institutions interested in sponsoring an intern, however, we were ultimately unable to achieve an appropriate match for our opening.

2. Recruitment Initiatives: Our primary source for candidates continues to be the extensive network of our current staff members. In recent years, as the staff has become more diverse, the pool of candidates for openings, especially at the support staff level, is also increasing.

We continue to participate in minority recruitment events, attending the New England Minority Job Fair, BASECís Networking Reception for Minority Professionals, and Career Expo. Unfortunately, these events have not produced as many qualified applicants as we would like.

We have increased our advertising to attract minorities and women. Ads posted in Harvard's Office of Career Services have attracted a number of well-qualified applicants including a strong minority pool, primarily for support positions. Several of our recent support staff hires who are minorities have come to us from this advertising source. We also have evidence that this source will provide a pool for CASE interns.

In addition, we attended two CASE regional conferences specifically to provide an opportunity for minority candidates to discuss openings at Harvard and further develop these relationships toward potential future employment.

Openings for fundraising professionals and fundraising managers are now posted in the Chronicle for Philanthropy, Black Issues in Higher Education, and in Women in Development job postings. Those ads receive national attention, resulting in a more diverse pool of candidates.

OFFICES OF THE VICE PRESIDENT FOR FINANCE

The Offices of the Vice President for Finance include the Office of Financial Administration, LASPAU: Academic and Professional Programs for the Americas, and the Harvard Institute for International Development. All of these have independent hiring responsibility. Therefore, hiring goals are disaggregated and allocated to specific offices.

Financial Administration

Last year, the redefinition of E/A/M and Professional job categories resulted in new goals being set for Financial Managers and Information Technology Managers in the Financial Administration.

For 1997, VPF has a goal to increase representation for minorities (+4) in the Financial Managers and Senior Specialist job group of the E/A/M group. Since 1995, the overall FTE count for Financial Managers and Senior Specialists has increased. While representation by women has kept pace with this growth, minority representation has not. In the Professional job group, Financial Administration continues to meet or exceed representation for women and minorities in the Financial Professionals and Financial Operations supervisors group. Recent promotions in the fall of 1996 will continue to increase representation by women and minorities even though no goals need to be set. Historically, internal promotion from support staff positions to entry and mid-level professional exempt positions has been a significant means of achieving affirmative action goals.

There continues to be a goal to increase representation by women (+2) in the Informational Technology Managers job group. In addition, staff turnover has resulted in a new goal for 1997 of increasing representation by minorities (+1) for the same Information Technology Managers job group. There also continues to be a goal for increasing representation by minorities (+1) in the Information Technology Professionals group.

In the two non-exempt job categories of Financial Support and General Office, Financial Administrations current utilization exceeds availability for minorities. Goals for women, however, appear to have increased dramatically from (+5) to (+14) in the General Office job group. During the past few years, the increasing availability percentage for women (now 89%) has meant the emergence of goals for women where none existed previously. For 1997 the goal has increased because of a declining percentage of women occupying the General Office job group. Further examination of the utilization analysis indicates that the current job categorization process results in a misleadingly high goal for women in the General Office job group. The availability data for women for Financial Support (73%) is substantially different than General Office (89%). Positions in the Financial Administration are classified into either of the these groups based on generic title of "staff assistant" vs. "accounting assistant." If actual job content is considered, most non-exempt positions in the Financial Administration should be classified as Financial Support. This reclassification will most likely result in a marked decrease in goals for women for the General Office job group.

During the next three to four years, Financial Administration will experience a great deal of organizational change resulting from reengineering business processes and installing new information technology systems. These changes will require redesigning existing positions and will likely result in staff turnover that creates new recruitment or promotional opportunities.

Financial Administration will continue its strategy of balancing external recruitment with internal promotions. Internal promotions have worked well at entry and mid-level professional positions. At senior level Financial and Information Technology positions, where there are goals for women and minorities, the task is more difficult because there are fewer positions and therefore less turnover opportunities. During the upcoming period of change and inevitable reorganization, Financial Administration will need to be vigilant about possible opportunities to meet its goals. In addition, there are renewed efforts to increase coordination among central administration human resources offices. Areas for possible collaboration include position advertising, sharing of recruitment resources, and diversity training.

LASPAU: Academic and Professional Programs for the Americas

LASPAU continues to meet or exceed the goals established for hiring women and minorities in the professional job groups. The greatest change to affect our affirmative action goals in our organization during the 1996 target year was the reduction in our head count. This has resulted in consolidation in several areas of the organization, which was managed carefully through attrition enabling us to achieve our professional goals without new hires. Specifically, for the two areas where there was a goal for a woman, the Information Technology Professional group was reduced from four people to three, and the Faculty and Student Service Professional group was reduced from 19 to 16.

Our success in meeting goals for women in the non-exempt job categories in 1996 has been mixed. The goal in the Financial Support group was met with the hiring of a woman for that job group. However, the two goals for the General Office job group continue to present a challenge. There were two opportunities during the year to hire staff, and they were both filled by women, one of whom is Hispanic. The representation of minorities in this job group continues to offset our goal for women in that our current utilization is four times greater than the availability statistics for the group. Unless there is a change in the support staff complement or additional jobs open, our inability to achieve the necessary goals will continue. This group will represent our only goal for 1997.

In recent efforts to hire a new Director of Finance and Administration, we advertised widely both locally and nationally and were successful in hiring a woman for the position. We expect there will be other hiring opportunities in the coming year. Harvard Institute For International Development (HIID)

Faculty

The Harvard Institute for International Development (HIID) has made great progress towards meeting its hiring goals in the faculty job group. The institute's hiring goals for both minorities and women have been cut by half in this, the institute's highest turn-over job group.

As expected, HIID had one hiring opportunity in the Other Faculty group. HIID met its hiring goal of one minority hire in this group with the promotion of a Research Faculty staff member. In addition, the institute continues to meet its minority hiring goals in the Research Faculty job group with an equal rate of minority hires and departures this year.

HIID decreased its goals for Other Faculty and Research Faculty female hires due to new availability data reflecting a shift in the pool of qualified candidates. The institute saw a significant drop in goals for this group despite an unusually high turn-over among female hires in this group. HIID does have one other female hire not reflected in the job group due to her primary appointment at the Kennedy School of Government. She does, however, hold a tenured position as fellow of the institute at HIID and would otherwise be included in this group.

The institute will be shifting from mainly project-based work to a combination of research and project-based work over the next several years. It is unclear what effect this shift will have on the number and nature of hiring opportunities. Indeed, the institute has a very strong record in attracting and retaining female and minority staff and it will continue its commitment of meeting these goals.

Nonfaculty

HIID shows consistent strength in both female and minority hiring in the non-faculty group. The institute has minority hiring goals in only four job groups and female hiring goals in just two job groups out of a total of 16 job groups.

The institute had its largest hiring goal (eight women) in the General Office job group and made its greatest gains in this area. Despite a 60% departure rate of women, this group had a hiring rate of over 80% of women giving this traditionally high turnover group a net gain of five female hires.

HIID has eliminated its minority hiring goals in the Financial Support group with the hiring of two minorities in the only hiring opportunities in this group. Our current utilization now far exceeds the availability data.

The institute has added two minority goals in the General Office job group. Despite continued outreach, and in part due to the departure of three minority staff members, HIID had slippage in this job area.

HIID gained a minority goal in the Administrative Professional Level II job group and maintained a goal of one in the Administrative Professional Level I group. In both cases three non-minority females were hired and in each case one of three was promoted. The institute will focus on these areas in the next year through when hiring opportunities arise.

HIID continually seeks out new and appropriate Internet sites at which to post its positions. The institute also continues to list professional job opportunities on its World Wide Web site at http://www.hiid.harvard.edu. HIID's human resource department, in addition to being a member of the Association of Affirmative Action Professionals, consistently posts positions at minority organizations such as the Chinese American Civic Association, Concilio Hispano de Cambridge, Inc., the North American Indian Center of Boston, and the Urban League of Boston. For national and international searches, the employment and alumni newsletters of minority colleges have also been targeted for position postings. In addition to these outreach efforts, HIID also targets women in its searches by regularly posting positions at the Women's Education and Industrial Union. Another resource increasingly used in posting positions targeted for women are the alumnae offices of women's schools in the area.

HIID also continues to advertise its positions in national and international professional journals and newspapers, and continues to seek out those geared towards minorities such as Hispanic Outlook in Higher Education. HIID regularly advertises all professional level positions in International Employment Opportunities, a bi-monthly national journal advertising professional level overseas positions.

OFFICES OF THE VICE PRESIDENT AND GENERAL COUNSEL

The Office of the General Counsel and the Police and Security Department make up the offices of the Vice President and General Counsel. Consistent with University policy, these offices are committed to ensuring nondiscrimination and affirmative action in employment. The Vice President and General Counsel has assigned affirmative action and equal employment opportunity responsibilities to the Associate Director for Finance and Administration in the Police and Security Department and the Administrative Coordinator in the Office of the General Counsel.

The Police and Security Department had three opportunities to meet minority goals and was successful employing one minority candidate into a communications dispatcher position (General Office job group). The Police and Security Department was not able to actively recruit minorities to fill two police officer vacancies because they were obligated to offer the positions to candidates who had been selected as finalists from the 1993 examination process. The Office of the General Counsel had one opportunity to meet the General Office group minority goal but was unsuccessful. Recruitment efforts for this position were made by advertising in local newspapers servicing the minority population in the Boston area.

The Police and Security Department had six retirements during the 1996 Plan year (four police sergeants, one police lieutenant, and one patrol officer) and reinstated a police captain's position which created opportunities to employ five police professionals and two patrol officers. The Police and Security Department is restructuring the Department with a focus on community-oriented problem solving. As part of that reorganization, the Department promoted current staff into all of the police professional positions. The Department was not able to meet its goals for women. The Police and Security Department employed two police officer candidates from the last examination process, including a woman, however she resigned while in the police academy to accept employment with a municipal department. The Office of the General Counsel's vacancy this year in the General Office job group was filled by a woman.

The Police and Security Department anticipates no new opportunities within the Security Guard Unit because downsizing is very likely to continue. Guard turnover was 10.5% during 1996, which included the loss of two minority males to retirement and two females (one minority) for other employment. Any recruiting effort will focus on retaining women and minorities in this job group and looking for opportunities to promote guards into other positions within the Department.

Retirements in the Police and Security Department created significant turnover of police staff during 1996, including three Black male staff officers. Opportunities for four police officers and three police professionals should develop during the 1997 Plan Year. The Police and Security Department also anticipates adding one or two positions that will require significant technical expertise to service security systems and to help manage community safety programs. The Police and Security Department is likely to continue promoting from within, whenever possible, but will aggressively pursue recruiting women and minorities into police officer positions.

The Police and Security Department will likely make significant progress toward meeting goals for women and minority police officers and police professionals; however they anticipate making no progress toward Guard or General Office goals because no vacancies are anticipated. The Police and Security Department has discontinued the police examination process that had been in use, in part because it inhibited rather than supported affirmative action goals. Their recruitment effort will focus on developing a network to help produce qualified candidates, especially with local college placement offices.

In the Legal Professionals group, the Office of the General Counsel already exceeds or meets availability for both women and minority categories. Women already occupy all general office positions at the Office of the General Counsel, and opportunities at the Police and Security Department will be limited. However, our best efforts will be made to meet our affirmative action goals. With regard to the minority goals in the General Office job group, the Office of the General Counsel has no vacancies at the present time, but will actively seek to recruit minority applicants should a vacancy occur during the year.

OFFICES OF THE

VICE PRESIDENT FOR

GOVERNMENT, COMMUNITY, AND PUBLIC AFFAIRS

Ultimate responsibility for affirmative action efforts in this department rests with the Vice President. Actual implementation of recruitment and hiring has been delegated to the Associate Vice President and the Directors of Public Affairs and the Harvard News Office.

Because of an accounting change, the employees in our Washington Office are not included in this year's utilization analysis although they remain functionally and budgetarily a part of the department. As a result, the underrepresentation of women and minorities in the Publications & Communications Managers job group and the General Office job group is overstated. Moreover, since the time of the report, we have hired an additional female manager to head Community Relations in Cambridge. We shall seek over the next year to hire additional women and minorities in the areas where they are underrepresented, although we are a small department with little turnover and not likely to expand due to the current budgetary climate.

In its role as Harvard's liaison to the external community, the Office of Community Affairs contributes to a number of organizations which support the minority community, including the Lena Park Community Center, the Cambridge Family YMCA and YWCA, Cambridge Camping, Mission Possible, the Cambridge Boy Scouts, the Cambridge NAACP, the Urban League, the Massachusetts Black Caucus, homeless organizations and food pantries. Our department runs the annual University campaign, Community Gifts through Harvard, which collects more than $700,000 that is distributed to United Way and other community charities. Each summer our department organizes youth employment efforts at the University for disadvantaged high school students. In addition, in cooperation with the Admissions Office, we have carried out a series of campus visits for elementary, middle school, and high school students in Cambridge and Boston to encourage students from these cities to study hard in school so that a college career will be possible for them in the future.

RADCLIFFE COLLEGE

At Radcliffe College, the percentage of staff who are people of color increased from 11.0% in 1995 to 16.5% in 1996; the number of people of color on Radcliffe's staff increased from 19 in 1995 to 26. At the same time, the total number of full- and part-time regular employees has decreased by 15, from 173 in 1995 to 158 in 1996.

In 1996, Radcliffe worked diligently toward its goal of hiring seven minorities in underfilled areas. The goal of hiring two people of color in the General Office job group and one person of color in Administrative Professional Level I was met. We did not have the opportunity to meet the stated goals of hiring one person of color each in the Faculty, Student Services Managers & Senior Specialists, Publications & Communications Professionals, and Library/Museum Support job groups, because no vacancies occurred. We had only one vacancy in Administrative Professionals Level II and the goal to hire a minority was not met.

All told, in 1996, six people of color were hired. (One person who was hired in 1994-95, but only identified herself during 1995-96 as an Asian-American, is included in the total minority staff count.) The College continues to use a combination of its in-house networks of alumnae, Bunting Fellows, scholars, its computer database of minority contacts, and the College's and University's Offices of Human Resources to recruit minority applicants for vacant positions. The underpinning of all these efforts is the commitment of President Linda S. Wilson to support the initiatives described below. The ready cooperation of Radcliffe's program directors and the continuing support and encouragement from Radcliffe's Office of Human Resources have also contributed to the College's efforts.

Women represent 89.9% of the College's workforce. In 1996, Radcliffe met its goal of hiring one additional woman in the General Office job group.

For 1997, Radcliffe goals include hiring one person of color in each of the four job groups Faculty, Student Services Managers & Senior Specialists, Publications & Communications Professionals, Administrative Professionals Level II, and Library/Museum Support. There is a goal of hiring one woman in the Finance Professionals and Finance Operations Supervisors job group.

Annual workshops are offered on the hiring process that instruct hiring supervisors on how to use the database of minority contacts administered by Radcliffe's Office of Human Resources and how to develop and maintain diverse recruitment sources.

Radcliffe continues to participate in the Administrative Fellow program, recruiting Bonnie Liu to serve as an Administrative Fellow at Radcliffe's Mary Ingraham Bunting Institute in 1996-97. The University sponsors this program to provide minority mid-career professionals with an opportunity to work with Harvard/Radcliffe administrators. Ms. Liu's project this year is to coordinate the 35th anniversary for the Mary Ingraham Bunting Institute.

The College's programs incorporate diversity as a value. Examples from the College's two major branches -- Radcliffe Educational Programs and the Radcliffe Institutes for Advanced Study -- follow below.

1. Undergraduate Programs:

The Radcliffe Office of Undergraduate Programs (formerly the Office of the Dean) offers The Radcliffe Research Partnership Program, which affords undergraduate women the opportunity to do research with senior women scholars at Radcliffe as well as Harvard. This year at least one-half of student participants were women of color, as were one-half of the paid staff.

Further, the Radcliffe Office of Undergraduate Programs administers the Externship Program, which provides undergraduates with the opportunity to meet and learn from Radcliffe alumnae. All participants are women and of those students who reported ethnicity last year, 67% were women of color. Of these, 50% were Asian-American and 18% were Black.

The Radcliffe College Alumnae Association (RCAA) continues to arrange mentorships for undergraduates, in cooperation with the Radcliffe Office of Undergraduate Programs. This program connects students with Radcliffe alumnae. There is a strong effort made to form mentorships between minority students and women of the same racial/cultural background. Ten percent of the current mentorships are between women of color. The RCAA has also aggressively recruited minority women to hold positions on the RCAA Board of Management. At this time the Board has approximately 25% minority representation.

The Radcliffe Office of the Undergraduate Programs also sponsors several smaller programs of note. Education for Action (E4A) is a multi-cultural, student-run organization for women and men students interested in combining education with social action. Student volunteers and paid staff this year have been 79% female and 38% people of color and have represented more than seven religious traditions, five socio-economic classes, and different sexual orientations. All E4A events/projects focus on gender, class, or race. In addition, students provide regular outreach to organizations that focus on gender, class, race, sexual orientation, or physical ability.

The Radcliffe Office of Undergraduate Programs also administers the Harvard-Radcliffe Science Alliance, a special orientation program for first-year women who are interested in careers in science or mathematics. Of those participants who reported ethnicity in the 1996 program, 74% were women of color. Of these, 47% were Asian-American and 16% were Black.

Through their Grants for Innovative Arts Projects, the Office for the Arts at Harvard and Radcliffe provides many opportunities for student groups to explore their own and others' ethnic/cultural backgrounds. In 1995-96, for example, 25% of its grants were awarded in the genre of traditional/cultural arts.

The Radcliffe Dance Program offers weekly classes in the Art of Black Dance and Music, and Flamenco Spanish Dance, as well as occasional master classes in traditional folk dance. Rehearsal and performance slots in the Radcliffe Dance Center are managed specifically to include new ethnic and cultural dance companies. Each spring, the Harvard Foundation for Intercultural and Race Relations is guaranteed a performance slot in Agassiz Theater for a student production.

The Radcliffe Ceramics Studio has a culturally-diverse staff of artists serving a culturally-diverse community. In 1996 Radcliffe Ceramics Studio's program included visiting artists from Uganda and Jamaica.

2. The Graduate Studies Center:

The Radcliffe Seminars offers graduate credit courses, noncredit courses, workshops, lecture series, conferences, and other learning opportunities for adult students. Fully open to women and men, the Seminars Program in 1995-96 enjoyed almost 1,700 student enrollments. In the credit programs, for which demographic data are maintained, 91% of the students were women. Since information about ethnicity is not requested on Seminars applications, no such information can be reported. Although there were no people of color, in 1996 women comprised two-thirds of the 71-member Seminars' faculty, and they hold the key leadership positions in the administration.

The Seminars' curriculum always includes some courses that focus on women. In 1995-96, those courses included Literature: Women's Lives, Women's Tales, Photography and Being Female: Woman as Subject, Object, and Photographer since 1839, and Psychological Insights through Case Studies of Women, and Investing for Women.

In 1996, 17% of the Radcliffe Publishing Course students were minorities. An initiative to increase the number of minorities participating in the Publishing Course includes increased recruiting efforts to two historically black institutions, Spelman College and Atlanta University Center (a clearinghouse of five Black Colleges). A major goal for the Publishing Course is to attract talented people of color into the publishing industry. One full-time staff person of the Radcliffe Publishing Course is a woman of color.

Radcliffe Career Programs (formerly Radcliffe Career Services) offers exploratory learning opportunities on career and workplace issues for workers of all ages and professions. Additionally, the Program educates the general public about work issues that directly affect women. Many of the workshops offered are for targeted groups. For example: "Career Exploration and Decision-making for Women" (a 14-week course) and "Using the Internet as a Career Tool," and "Mid-Career Development for Professional Women."

3. Radcliffe Institutes for Advanced Studies:

The Arthur and Elizabeth Schlesinger Library on the History of Women in America continues its important contribution to affirmative action with its assiduous attention to the history of women of color in its collection of books and manuscripts. The oral history program also continues to make a significant contribution, with ongoing programs in Chinese-American and Latina-American oral history. This year the library added a Cambodian-American refugee oral history that is also a photographic and video project.

The Mary Ingraham Bunting Institute of Radcliffe College awards fellowships to assist scholars, artists, and other professionals to advance their careers and to contribute significantly to their disciplines. A major goal of this program, which is highly competitive, is to help our society move further toward the development and utilization of the highest capabilities of educated women. Of the 39 fellows in the 1995-96, three were members of targeted American minorities.

The Henry A. Murray Research Center has a long-standing commitment to affirmative action, and this commitment continues to be reflected in its holdings, programs, and hiring practices. A four year project "Building a Racially and Ethnically Diverse Archive," funded by grants from NIMH and NSF, has just completed its first year.

The Radcliffe Public Policy Institute brings together different constituencies -- policy makers, labor and business people, scholars, the media, grassroots organizations, and the public -- to formulate new approaches and solutions to selected policy problems. The inclusion of diverse populations within these constituencies is a major goal of the Institute, as is the equal partnership of men and women in public policy development and implementation.

Of the seven fellows selected for 1996-97, all are women, one is Asian-American and one is African-American. The student staff, a vital force in the work of the Institute, is comprised of 11 women, four of whom are African-American and two of whom are Latinas. The Public Policy Institute strongly encourages applications from minority candidates and women for all of its positions.

4. Communications and Outreach:

The Lyman Common Room, a multi-cultural, multi-generational, gender-sensitive setting, provides space for its constituencies which include undergraduate and graduate students, staff, and alumnae. The room is open from noon to 10 p.m. seven days a week, and is staffed by undergraduate and graduate women. This year, one-third of the LCR staff were women of color.

The Office of Communications, which publishes the Radcliffe Quarterly and the Radcliffe News, regularly solicits articles by and about women of color in all of its publications. The editorial advisory board for the Radcliffe Quarterly has been reformulated to better reflect its diverse audience.

The Development Office has actively sought and enlisted the assistance of women of color to be leaders on the campaign cabinet. This cabinet now has 15% minority representation. Also, of the 49 Radcliffe Partners whose mission it is to act as ambassadors for the College, 8% are minorities.

HARVARD CREDIT UNION

For the purpose of analyzing affirmative action utilization, Credit Union employees have been categorized into the following five job groups; Financial Managers & Sr. Specialists, Human Resources Professionals, Financial Professionals & Financial Operations Supervisors, Financial Support and General Office. The analysis shows that women are underrepresented in the Financial Managers and Financial Professionals job groups. Minorities are underrepresented in the Financial Professionals and General Office job groups.

The Credit Union continues to be successful in attracting and maintaining women and minority candidates to positions in all other job groups, having increased the total number of employees in these groups. Overall, there were three hiring opportunities in 1996. Two of the positions were filled with minority and female candidates. Asian, Black, and Hispanic minority groups are clearly represented in the different job groups in the Credit Union. In addition to our regular employees, we employed three minority high school students as interns during the academic year.

The Credit Union was successful in achieving and exceeding Financial Support job group goals for 1996 by hiring two female employees during the year. Unfortunately, the Credit Union was unable to achieve its other 1996 affirmative action goals, given the limited number of opportunities. We worked with the Office of the Assistant to the President to find a pool of qualified minority and female candidates for the only Financial Professional opening during 1996. There were other candidates in the pool who had stronger qualifications and greater experience.

Goals have been set to increase the representation of minorities in the General Office and Financial Professionals job groups and of women in the Financial Managers and General Office job groups. We anticipate one General Office opening for 1997 and will work toward meeting the goal of one minority and/or female officer, although turnover during the year is expected to remain relatively low.

AFFIRMATIVE ACTION

PROGRAMS FOR PERSONS

WITH DISABILITIES

The purpose of this section of the Affirmative Action Plan is to meet the obligations of Chapter 60 of Title 41 of the Code of Federal Regulations, Part 60-741, implementing Section 503 of the Rehabilitation Act of 1973.

Section 503(a) provides that contracts with the federal government in excess of $2,500 "shall contain a provision requiring that, in employing persons to carry out such contract the party contracting with the United States shall take affirmative action to employ and advance in employment qualified handicapped individuals. . ." This provision applies as well to subcontracts in excess of $2,500. The language of the Rehabilitation Act itself does not purport to extend to subcontractors below the first tier. The Office of Federal Contract Compliance Programs has, however, interpreted the Department of Labor regulations to apply to all contractors working on government contract jobs, regardless of how far down the contracting ladder they are.

Additionally, every government contractor or subcontractor holding a contract of $50,000 or more and having 50 or more employees is required by the Department of Labor to maintain a written affirmative action program at each of its establishments, which complies with 40 C.F.R., Sec. 60-741.5.

In accordance with the aforementioned law and regulations, an individual with a disability is defined as one who (1) has a physical or mental impairment that substantially limits one or more of such person's major life activities, (2) has a record of such impairment, or (3) is regarded as having such an impairment.

A "qualified handicapped individual" means an individual with a disability as defined above who is capable of performing a particular job, with reasonable accommodation to his/her handicap.

The affirmative action requirements of the Act differ significantly from the affirmative action mandate of Executive Order 11246 in the following ways: (A) Affirmative action plans developed under the provisions of the Rehabilitation Act are not required to contain a utilization analysis or goals and timetables. The regulations thus recognize the unique nature of the work force with disabilities which, with its highly individualized skills, abilities, and limitations, does not lend itself to group generalizations for goals. (B) The University invites job applicants and employees who believe themselves covered by the Act, and who wish to benefit from the Affirmative Action Program, to identify themselves. The information provided to the University under the provisions of this Act must be kept on a confidential basis. (C) The University must make a reasonable accommodation to the physical or mental limitations of the applicant or employee with a disability. In determining the extent of the contractor's accommodation obligations, the following factors, among others, must be considered: (1) business necessity and (2) financial cost and expenses.

Labor Department regulations require that an affirmative action clause appear in all government contracts and subcontracts for the furnishing of supplies or services or for the use of real property for $2,500 or more. The clause must contain the following provisions: (1) that the employer will take affirmative action to employ, advance in employment, and otherwise treat individuals with disabilities without discrimination based upon their physical or mental impairment; (2) an agreement that the employer will be bound by the rules, regulations, and orders issued by the Secretary of Labor pursuant to the Act; (3) an agreement to take appropriate action in the event of noncompliance; (4) an agreement to post appropriate notices informing employees and applicants of the contractor's affirmative action obligations under the Act; (5) an agreement to notify collective bargaining representatives of the contractor's obligations under the Act; and (6) an agreement that the clause will be included in every subcontract or purchase order that exceeds $2,500, unless specifically exempted.

The regulations of the Labor Department require that the contractor make a reasonable accommodation to the physical and mental limitations of an employee unless the contractor can prove undue business hardship as demonstrated by business necessity, financial cost, and expenses or resulting personnel problems. 41 C.F.R. 60-741.5(d); 45 FR 86265 (1980).

In determining whether an "undue hardship" would be imposed by accommodation, the Labor Department regulations provide that the following factors should be considered: (1) the overall size of the recipient's program with respect to the number of employees, number and type of facilities, and size of budget; (2) the type of the recipient's operation, including the composition and structure of the recipient's work force; and (3) the nature and cost of the accommodation needed. The weight assigned to each of these factors will vary depending upon the particular situation. 42 FR 22688.

Labor Department regulations require that the University policy must be stated, a plan for external and internal policy dissemination must be established, responsibility must be assigned, appropriate recruiting sources must be contacted, problem areas must be identified, and a plan for remedial action must be developed.

The five primary actions taken by the University to ensure compliance include: (1) Reviewing the University's employment practices to determine whether its personnel policies provide the required affirmative action for employment retention and advancement of individuals covered by the Act. (2) Reviewing its personnel process to determine whether present procedures ensure proper consideration of qualifications of applicants or employees covered by the Act for job vacancies (filled either by hiring or promotion), promotion, and training opportunities. (3) Reviewing all physical or mental job qualification requirements to ensure that they do not screen out qualified applicants, are job related, and are consistent with business necessity and safety. (4) Including affirmative action clauses in each of its covered government contracts or subcontracts. (5) Inviting all employees who believe themselves covered by the Act and who wish to benefit under the Affirmative Action Program to identify themselves.

In furtherance of its affirmative action obligations toward persons with disabilities, the University: (1) Utilizes publications to inform all employees of the Plan. (2) Posts information publicly to inform employees and applicants of the Rehabilitation Act of 1973. (3) Enlists the assistance of organizations serving and training individuals with disabilities, including Massachusetts Department of Employment and Training and Massachusetts Rehabilitation Commission. (4) Determines reasonable accommodation, consistent with business needs, for such qualified individuals with disabilities on an individual basis. (5) Establishes internal procedures to ensure that the program is implemented. (6) Includes in its advertisements the program of nondiscrimination with respect to individuals with disabilities. (7) Reviews records of employees with disabilities to determine whether their potential is being realized by identifying qualifications for promotion and/or training. (8) Provides written notification of the University's obligation to its contractors and subcontractors. (9) Includes employees with disabilities in advertisements and University publications.

Responsibility for coordinating the overall Affirmative Action Plan for Persons with Disabilities has been delegated to the Office of the Assistant to the President (OAP). Any staff member may inspect a copy of the plan in the Office of the University Disability Coordinator, Holyoke Center Room 932, 1350 Massachusetts Avenue, Cambridge, Massachusetts.

The University's Office of Human Resources ensures implementation of personnel policies when qualified individuals with disabilities are considered for hire or promotion. The Self Identification Form that includes coding for members of protected groups has been amended to include individuals with disabilities. Confidentiality is assured for those applicants who so identify themselves.

Dissemination of Policy

Steps taken to disseminate the policy internally include: (1) Publication of the University policy in the Harvard University Personnel Manual. (2) Publication of the University policy in the preface to each Harvard Opportunities section of the Harvard University Gazette. (3) Discussion of the policy and Plan in management training programs for supervisors and managers as well as in special affirmative action workshops. (4) Discussion of the policy as part of orientation for new staff members and in updates of personnel policies and benefits for existing staff members. (5) Communication of the policy through written notice to officials of the Maintenance Trades Council of New England, AFL-CIO; Harvard University Police Association; Hotel, Restaurant, Institutional Employees and Bartenders Union, Local 26, AFL-CIO; Graphic Arts International Union, Local 600; Boston Typographical Union, #13, AFL-CIO; Service Employees International Union, Local 254; International Union of Operating Engineers, Local 877; and Harvard Union of Clerical and Technical Workers. (6) Posting the policy statement on bulletin boards in central, faculty, and departmental personnel offices. (7) Dissemination of the policy through memoranda to holders of the Harvard University Personnel Manual.

Steps that have been taken by the University to disseminate this policy externally include: (1) Listing all appropriate positions with the Massachusetts Department of Employment and Training. (2) Contacting the local Specialist for Services to the Disabled or his/her designee in the Massachusetts Department of Employment and Training in Cambridge and Boston for assistance in recruiting for open positions. (3) Contacting local offices or service organizations such as The Resource Partnership, Massachusetts Rehabilitation Commission, and Massachusetts Commission for the Blind. (4) Assuring that letters and advertisements that are used as part of the recruitment effort clearly state the University's policy. (5) Assuring that all contractors and subcontractors are notified by written communication from the University's director of purchasing of the University's commitment and ongoing programs.

Pre-employment procedures are scrupulously reviewed to ensure that individuals with disabilities do not face discrimination in the employment process. For example, there is no University-wide pre-employment medical examination requirement. Medical examinations are required only in those administrative units where health and physical condition are important safety considerations for those being served and for the welfare of the employee.

Harvard's Affirmative Action Program is a good faith effort to hire and retain qualified persons with disabilities. The University has taken sever steps toward this end.

The University's Disability Coordinator, located in the Office of the Assistant to the President, has primary responsibility for the implementation of the University's Affirmative Action Plan for Persons with Disabilities. Sources that include qualified individuals with disabilities in their applicant pools are utilized in University recruitment efforts.

Staff members of the University's Office of Human Resources play an important role in ensuring that potential and current employees with disabilities have equal access to information about vacancies. They are considered for employment and promotion on an equal basis.

The University Disability Coordinator has principal responsibility for outreach, recruitment, and referral of qualified individuals with disabilities. Individuals with disabilities are encouraged to contact and identify themselves to the coordinator so that job mobility may be monitored.

Oversight responsibility for this plan is delegated to the Office of the Assistant to the President. This office participates in the annual review and update of the University Affirmative Action Plan; periodically reviews the progress of affirmative action efforts and takes corrective action where appropriate; provides pertinent personnel information for government agency review where appropriate; and offers the Office of the University Coordinator of Disability Services as a site for informal review, guidance, and counseling when complaints allege discrimination.

Harvard Resources for Students with Disabilities

Harvard University is committed to the policy of providing all students, faculty, and staff common access to academic opportunities, and to attempting to provide access to cultural and recreational facilities and programs at the University. The administrators, faculty, staff, and students listed below are directly involved in working to fulfill that commitment.

The University officer responsible for coordinating support programs for students with disabilities is the Disability Coordinator. This officer, with assistance from the local disability coordinators within each faculty, is responsible for the development of University-wide policy relating to students with disabilities; for compliance with federal legislation covering students with disabilities; for identification and publication of central resources; for coordination of University-wide services such as transportation and snow removal; and for providing assistance with the interpretation of federal, state and local regulations.

Local faculty disability coordinators are responsible for assisting students with disabilities in their adaptation to the University, and for aiding individual students in resolving particular problems (e.g., finding readers and interpreters, coordinating with the registrar the movement of classes to accessible rooms). After admission acceptances are announced, all entering students with disabilities are encouraged to contact the local disability coordinator for the faculty in which they are enrolled as soon as possible. Local disability coordinators meet with the University Disability Coordinator formally throughout the year.

Copies of handbooks, maps, etc. are available from the local disability coordinators or through the University Disability Coordinator, 932 Holyoke Center, Cambridge, MA, telephone: 495-1859 (voice); 495-4805 (TTY).

AFFIRMATIVE ACTION PROGRAM FOR VETERANS WITH

DISABILITIES AND

VIETNAM-ERA VETERANS

Policy of Nondiscrimination and Affirmative Action

The University will not discriminate against any applicant or staff member because he or she is a veteran with a disability or a veteran of the Vietnam era. Such action shall apply to all employment practices, including but not limited to the following: hiring, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay, or other forms of compensation, and selection for training, including apprenticeship and on-the-job training programs.

The purpose of this section of the Affirmative Action Plan is to meet the obligation of 41 C.F.R. Chapter 60, Part 60-250, implementing Section 402 of the Vietnam Veterans Readjustment Assistance Act of 1974 and Title V of the Veteran's Employment Assistance Act of 1980. In accordance with the aforementioned law and regulations, a "veteran of the Vietnam era (nondisabled)" is defined as one who served on active duty for a period of more than 180 days, any part of which occurred between August 5, 1964, and May 7, 1975, and who received any discharge other than a dishonorable discharge.

The definition of ìspecial disabled veteran" is generally (1) a person who is entitled to disability compensation of 30% or more under Veterans Administration laws, or (2) one whose release from active duty was for a disability incurred or aggravated in the line of duty.

Affirmative action policy statements have been issued by the responsible officials of Harvard University. Internal and external dissemination of University policy will be described later in this Plan.

Responsibility for coordinating the overall Affirmative Action Program for veterans with disabilities and Vietnam-era veterans has been delegated to the Office of the Assistant to the President. Implementation of those parts of the Plan covering staff members and applicants in these categories is handled through the offices of human resources at each of the faculties and departments. Any University employee may inspect a copy of the Plan in the Office of the Assistant to the President or the central Office of Human Resources in Cambridge.

The offices of human resources ensure implementation of personnel policies when veterans' qualifications are considered at the time of hire or promotion. Record keeping includes the Self Identification Form that applies to members of protected groups including veterans with disabilities or Vietnam-era veterans. Confidentiality is assured for those applicants who so request.

Dissemination of Policy

Specific steps to disseminate the policy internally include: (1) Publication of University policy regarding veterans with disabilities and Vietnam-era veterans in the Harvard University Personnel Manual. (2) Publication of the policy in the preface to each Harvard Opportunities section of the Harvard University Gazette. (3) Publication of a summary of the Affirmative Action Plan annually in the Harvard University Gazette. (4) Discussion of the policy and Plan in management training for Harvard supervisors and managers, as well as in special affirmative action workshops. (5) Discussion of the policy as part of the orientation for new staff members and in updates of personnel policies and benefits for existing staff members. (6) Inclusion of the policy in nondiscrimination clauses in all union agreements. (7) Posting of the policy statement on bulletin boards in central administration, faculty, and departmental personnel offices. (8) Dissemination of the policy through memoranda to holders of the Harvard University Personnel Manual and other staff members.

Specific steps that have been taken by the University to disseminate this policy externally include: (1) Listing all appropriate positions with the Massachusetts Department of Employment and Training. (2) Contacting the local veterans employment representative or his/her designee in the Massachusetts Department of Employment and Training in Cambridge and Boston for the purpose of recruiting for open positions. (3) Maintaining contacts with the Boston Regional Office of Veterans Administration as well as local offices of service organizations such as the American Legion, Disabled American Veterans, Jewish War Veterans of the U.S.A., Vietnam Veteran's Outreach Center, and Veterans of Foreign Wars for the purpose of recruiting for open positions. (4) Ensuring that letters and advertisements that are used as part of the recruitment effort clearly state the University's policy. (5) Ensuring that all contractors and subcontractors are notified by written communication from the University's director of purchasing of the University's commitment and ongoing programs.

Coordinated by the central Office of Human Resources, pre-employment procedures are scrupulously reviewed to ensure that no member of a protected group, including veterans with disabilities and Vietnam-era veterans, is discriminated against in the employment process. For example, there is no University-wide pre-employment medical examination requirement at the University. Only in those departments where health and physical condition are considered important for the safety of those being served and of co-workers is the passing of a medical examination a condition of employment.

MINORITY PROCUREMENT

PROGRAM

Purchasing, Contracting, and Subcontracting

The Harvard University Procurement Department supports Harvard's Minority Business Enterprise Program by identifying qualified minority business entrepreneurs and introducing them to the University community through outreach programs and vendor fairs. Buyers interested in learning more about the Minority Business Enterprise Program are encouraged to contact the Minority Business Enterprise Coordinator at 495-5401.

Harvard University maintains its commitment to the minority business community through its association with the New England Minority Purchasing Council, the Minority Business Development Group of the National Association of Purchasing Management, and the National Minority Supplier Development Council.

In addition, Harvard University maintains an affirmative action program on all University construction projects. This program, established in 1970, continues to be included in all construction documents. It places a strong emphasis on the level of minority and female personnel employed on each construction site as well as the level of opportunity offered to minority- and women-owned businesses.

The affirmative action program for construction projects is administered by the Affirmative Action Officer for Construction Projects. The construction contract clauses clearly state that: (1) The contractor shall direct special efforts toward the recruitment of minority and female workers. (2) The contractor shall make affirmative effort to work with individual minority and women subcontractors to insure that minority and women subcontractors have the option to submit bids on all phases of the work. The contractor shall notify the owner of their intended bid list. The owner may recommend additional bidders for any phase of the work.

Neil Rudenstine, President

Albert Carnesale, Provost

THE FACULTIES

Faculty of Arts and Sciences

Jeremy R. Knowles, Dean

Marjorie Garber, Associate Dean for Affirmative Action

Eloise McGaw, Director of Personnel for Harvard College Undergraduate Life and

Services

Faith Oliver, Associate Director of Personnel Services in the Faculty of Arts and Sciences

Elizabeth Doherty, Assistant Dean for Academic Planning

Graduate School of Business Administration

Kim B. Clark, Dean

Robert H. Hayes, Senior Associate Dean, Director of Faculty Planning

Robert Scalise, Associate Dean for Administration, Senior Executive Officer

Ellen Cirillo, Chief Human Resources Officer

Margaret Blout, Manager of Faculty Appointments, Secretary of the Faculty

Carliss Y. Baldwin, Senior Associate Dean, Director of Faculty Planning

School of Dental Medicine

R. Bruce Donoff, Dean

Mary Cassesso, Associate Dean for Administration and Finance

Geoffrey Forrest, Director of Finance

Graduate School of Design

Peter Rowe, Dean

Patricia Roberts, Associate Dean for Academic Affairs

Mike McGrath, Director of Faculty Planning

Sophia Borcic, Director of Human Resources

Harvard Divinity School

Ronald Thiemann, Dean

Timothy Cross, Associate Dean for Finance and Administration

Clarissa Atkinson, Associate Dean for Academic Affairs

Nancy Grimes, Manager of Personnel Services

Graduate School of Education

Jerome T. Murphy, Dean

Joel Monell, Dean for Administration and Academic Services

Susan Moore Johnson, Academic Dean

Carol Luongo, Academic Appointments Administrator

Ellen Slater, Director of Human Resources

John F. Kennedy School of Government

Joseph Nye, Dean

Barbara Salisbury, Administrative Dean

Jean Hood, Director of Human Resources

Beth Banks, Human Resources Coordinator

Harvard Law School

Robert C. Clark, Dean

Alan Ray, Director of Academic Affairs

Sandra S. Coleman, Administrative Dean

Mary A. Cronin, Director of Personnel Services

Harvard Medical School

Daniel Tosteson, Dean

William Silen, Faculty Dean for Development & Diversity

Brenda Hoffman, Director of Academic Development

Barbara Lewis, Director of Human Resources

Diane Santoro, Assistant Director of Human Resources

School of Public Health

Harvey V. Fineberg, Dean

Ann Oliver, Associate Dean for Academic Affairs

Carolyn Everette, Director of Human Resources

CENTRAL ADMINISTRATION

Offices of the President

Office of the President

Neil Rudenstine, President

Albert Carnesale, Provost

James S. Hoyte, Assistant to the President and Associate Vice President

Jacqueline A. O'Neill, Staff Director

Harvard Trade Union Program

Elaine Bernard, Executive Director

International Office

Seamus Malin, Director

Memorial Church

Peter Gomes, Minister of Memorial Church and Plummer Professor of Christian Morals

Nieman Foundation

Bill Kovach, Curator

Office of the Governing Boards

Michael W. Roberts, Secretary of the Board of Overseers, Secretary to the Corporation,

Secretary of the University, and Assistant to the President

Office of the University Marshal

Richard Hunt, University Marshal

University Information Systems

Anne Margulies, Assistant Provost for Information Systems

Deborah Brooks, Director of Human Resources

University Health Services

Dr. David Rosenthal, Director

University Library Administration

Sidney Verba, Director

University Art Museums

James Cuno, Director

Vice President for Administration

Sally Zeckhauser, Vice President

Arnold Arboretum

Robert E. Cook, Director & Arnold Professor

Dining Services

Michael P. Berry, Director

Faculty Club

James R. Gill, Director

Heinrich Lutjens, General Manager

Harvard Magazine

John Rosenberg, Editor

Laura Freid, Publisher

Harvard Planning and Real Estate

Kathy Spiegelman, Associate Vice President

Harvard University Press

William Sisler, Director

Office of Human Resources

Polly Price, Associate Vice President

Office of the University Publisher

James R. Gill, Director

University Operations Services

Thomas Vautin, Associate Vice President

Vice President for Alumni Affairs & Development

Thomas Reardon, Vice President

Susan K. Feagin, Director, University Development Office

John H. Hanselman, Recording Secretary

John P. Reardon, Jr. , Associate Vice President for University Relations, and Executive

Director, Harvard Alumni Association

Mary Livingston, Director of Human Resources

Vice President for Finance

Elizabeth Huidekoper, Vice President

Corvis Catsouphes, Director of Human Resources/Career Planning

Harvard Institute for International Development

Jeffrey Sachs, Director

Louisa French, Assistant Director for Human Resources

Kate Mente, Recruitment Officer

Latin American Scholarship Program of American Universities

Lewis Tyler, Executive Director

Peter Bryant, Director of Finance and Administration

Joyce Lamensdorf, Human Resources Officer

Vice President and General Counsel

Anne Taylor, Acting Vice President and General Counsel

University Security

Francis D. Riley, Director

Herbert Vallier, Assistant Director of Police and Security, for Finance and Administration

Office of the General Counsel

Robert Donin, University Attorney and Administrative Coordinator

Mary Ann Mendes, Office Administrator

Vice President for Government, Community, and Public Affairs

James Rowe, Vice President

Jane Corlette, Associate Vice President

Alex Huppé, Director, Public Affairs

RADCLIFFE

Linda Wilson, President

Nancy Dunn, Vice President for Finance & Administration and Treasurer

Joanne Doherty, Director of Human Resources

AUXILIARY

Credit Union

Eugene Foley, Chief Operating Officer

Celina Rosas y Belgrano, Marketing/Human Resources Officer

PROCEDURES TO SOLVE WORK-

RELATED PROBLEMS FOR

ADMINISTRATIVE, PROFESSIONAL,

AND NON-BARGAINING SUPPORT STAFF

The following procedures and resources are available to regular administrative/professional staff members and non-bargaining unit support staff members who seek to resolve work-related problems, or to review a work-related decision such as discipline or termination of employment. These procedures are not available to staff members hired on a casual payroll, those not employed on a regular Harvard payroll (e.g. consultants), teaching faculty and other instructional staff, or staff covered by collective bargaining agreements. Therefore, the term "staff member" as used in this policy does not include such persons.

The failure to extend employment beyond a previously established term and the termination of employment due to a layoff or reduction in staff are not reviewable under these procedures. When a staff member's employment has been terminated for other reasons, and only after review at the local level, a request may be submitted for a University-level review of the termination.

No staff member's status with the University shall be adversely affected in any way because s/he uses these procedures. Likewise, a staff member's use of these procedures will not prevent, limit, or delay any appropriate disciplinary action or enforcement of a policy.

Resolving Problems Within Local Schools/Departments

1) Initial informal steps to resolve a work-related problem

Work-related issues should be raised promptly. Any staff member with a work-related problem involving his/her supervisor, another staff member, or a formal or informal work-related policy (e.g., flexible scheduling, changes in work responsibilities, etc.) is encouraged to discuss and attempt to resolve the matter directly with the other person(s) involved.

When a staff member believes that he or she has been treated unfairly, within 14 calendar days of the action in question, s/he should express in detail (in writing where appropriate) his/her concerns to her/his supervisor, or to the other staff member(s) involved in the matter. The staff member should state the reason s/he believes the action to be unfair and how s/he would prefer to see the matter resolved. As soon as possible thereafter, the supervisor or other party should discuss the staff member's concerns with him/her, in an attempt to resolve the matter.

2) Continuing steps to resolve work-related problems when initial informal efforts do not succeed

If these initial informal attempts to reach a resolution are not successful, a staff member may request assistance through his/her local human resources office. Each local school/ administrative unit has designated resources and procedures to assist staff members in addressing workplace issues (such as peer mediation programs, ombuds programs, and other formal and informal problem solving programs). The local human resource officers are available to inform and guide all parties in resolving workplace problems. The staff member should work with his/her supervisor, human resources officer, and/or the other local problem-solving resources to determine an approach and time-frame for resolving the matter (i.e., what needs to be communicated to whom, what is the desired outcome, etc.).

The staff member may request that the human resources officer or other persons assisting in the matter contact any of the other parties in the dispute, including his/her supervisor, other staff member(s), and the local human resources officer (where s/he is involved in the matter and not participating in the review of the problem). Discussions should be held with the parties (either separately or together) to determine the facts and to work towards a resolution. Such discussions normally should conclude within 30 calendar days of the staff member's request for formal assistance. At the conclusion of this process, the person conducting the review should summarize the results of these efforts in writing and send a copy to each party.

3) Additional problem-solving resources available within the University

Many other resources are available within the University to advise staff members on strategies and options prior to or in conjunction with their efforts to resolve workplace problems. These resources include the Office of Human Resources (OHR) Staff Relations Department, the Faculty and Staff Assistance Program, the University Health Services Counseling Center, and human resource officers from other University schools/units.

4) Second-level (formal) review within the local school/unit following informal steps to resolve a work-related problem

If a problem is not resolved as a result of the informal steps described above, the staff member may request a review by his/her local Dean, Vice President, or his/her designee in an attempt to resolve the matter. In administrative units that do not report to a Dean or Vice President, the local human resource officer, in conjunction with the unit director, may select a designee from within the University community to review the matter.

The staff member's request for a review must be delivered in writing to the local human resource officer and other person(s) involved in the matter within 14 calendar days of receiving the written summary at the conclusion of the initial problem-solving steps (see I.-B). The staff member must summarize the problem, the problem-solving efforts to date, their outcomes, and describe what s/he believes to be the appropriate resolution to the matter. The other person(s) involved may, but is not required to, deliver a reply to the staff member and a copy to the local human resource officer within 14 calendar days of receiving the request for review. The human resource officer will promptly forward the staff member's request, any reply, and other appropriate documentation to the Dean, Vice President, or designee, and to the OHR Staff Relations Department.

Within a reasonable period of time (normally 45 calendar days) of having the matter referred to him/her, the Dean, Vice President, or designee will review the documents, investigate the matter further as s/he determines appropriate, and render a written decision. A copy of this decision will be delivered promptly to the staff member. This decision is final except in the case of termination of employment (see II. below).

Review of an Employment Termination Decision at the University Level

The details of the procedures to be followed when reviewing termination decisions are included in the University's Policies manual.

DISCRIMINATION POLICY AND

REVIEW PROCEDURE

Discrimination on the basis of race, color, sex, sexual orientation, religion, creed, national origin, age, veteran status, or disability unrelated to job requirements is unlawful and intolerable to the University. Any staff member who feels s/he is a victim of discrimination is encouraged to seek assistance through the informal or the formal processes. It should be noted that the process described below may not be appropriate in every circumstance. Therefore, the process should be considered a flexible one that can be modified as appropriate to the situation.

1) Informal Process - Any staff member who feels that s/he is a victim of discrimination is encouraged to discuss the matter with his/her supervisor or local human resources officer. S/he may also wish to discuss the matter confidentially with the Faculty and Staff Assistance Program (495-4357) or counselors at University Health Services. Through such discussions a satisfactory resolution to the problem may be found.

2) Formal Process - In cases when an informal review does not yield a satisfactory resolution, the staff member should first refer to any discrimination complaint process in place at his/her school or department. Most schools and departments have formal complaint review procedures to investigate complaints of discrimination. In the absence of such a mechanism, the staff member may request a formal review of a complaint of discrimination by submitting a written request to the local human resources officer.

The human resources officer and, if requested by the staff member or school/department, a staff relations consultant from the Office of Human Resources will consult with the staff member bringing the complaint, the person against whom the complaint has been made, and others, if appropriate, in order to determine the facts and views of both parties. The Office of the General Counsel may also be consulted. The human resources officer and staff relations consultant (if appropriate) will then prepare a set of findings within 90 days of the original complaint. These findings will be sent to the appropriate dean or vice president, the complainant, and the person against whom the complaint was made. The Dean or vice president, or his/her designee, will determine the resolution of the matter.

If this review is not satisfactory to the complainant, s/he may request a final review by the President's Office by submitting in writing a request for review that contains an explanation of the basis for further appeal of the resolution that was made by the Dean or Vice President, or his/her designee. The President's Office may designate a representative to review the complaint in order to accept or modify the Dean's or Vice President's resolution.

It is Harvard's policy, in accordance with federal and state laws and regulations, that no person shall, on the basis of sex, be denied the benefits of, or be subjected to discrimination in any aspect of his/her employment. The University's commitment to equal opportunity for women is reflected in policies that cover, but are not limited to, the following areas:

Recruitment

Harvard University personnel policy requires that affirmative efforts be taken to recruit, employ, and promote female candidates in those categories where they are underrepresented in the work force. To this end, the following policies have been established and are in force:

1) All vacancies require an affirmative action search in order to ensure that female candidates are given an equal opportunity to be considered for positions at the University. The University recruits employees on the basis of demonstrated ability and competence without regard to an applicant's sex. During the vacancy, efforts are made to recruit minorities, women, disabled individuals, and Vietnam-era and disabled veterans in accordance with the University's Affirmative Action Plan.

2) All advertising for positions listed with the Office of Human Resources is reviewed to assure compliance with University affirmative action guidelines.

3) Departments that have completed a search process are required to document efforts made to attract female candidates.

Personnel Policies and Procedures

1) Personnel policies which discriminate on the basis of sex in hiring, employment, or promotion are prohibited.

2) Bargaining agents, union representatives, contractors, and vendors with whom the University maintains contractual agreements, have been informed of the University's nondiscriminatory policy. Agreements between the University and contractors or subcontractors must be consistent with the affirmative action policies of the University.

3) Employees of both sexes have an equal opportunity to compete for all available jobs that they are qualified to perform. The University does not deny a female employee the right to any job because of any state "protective law."

4) The University does not make distinctions based upon sex in employment opportunities, wages, hours, or other conditions of employment.

Family and Medical Leaves Policy

This policy incorporates the provisions of the Family and Medical Leave Act of 1993 (FMLA) with policies and benefits that were available to eligible Harvard staff before the Act was passed. The FMLA provides eligible staff up to 12 weeks of unpaid, job-protected leave each year for specified family and medical reasons; other University policies and programs may provide salary continuation and additional benefits (see details below). Harvard will simultaneously administer any policies and programs that may apply (for example, the Short Term Disability Plan or Worker's Compensation) when a staff member is on a Family and Medical Leave.

A regular staff member who works at least 17-1/2 hours per week is entitled to up to 12 weeks of Family and Medical Leave during any 12-month period for: (1) the birth of a child and to care for the newborn; (2) the placement of a child with the staff member for adoption or foster care; (3) a serious health condition that makes the staff member unable to perform the functions of his/her job; or (4) the care of a spouse (which includes, for the purposes of this policy, a qualified domestic partner; see Section 4-6 for definition), child (including the dependent child of a qualified domestic partner), or parent with a serious health condition. Each absence from work for the above-stated reasons will be considered as Family and Medical Leave and will count toward fulfillment of the 12 weeks.

A staff member who has a serious health condition or a female staff member who gives birth to a child is eligible for Family and Medical Leave upon date of hire. To be eligible for a Family and Medical Leave for other covered reasons, staff must successfully complete their orientation and review period.

The 12-month period is measured forward from the date a staff member's first Family and Medical Leave begins. For example, a staff member's first Family and Medical Leave begins on May 1. From that point forward, that staff member's "leave year" begins on May 1 and ends on April 30 of the following year.

Requests for Family and Medical Leave should be made in writing to the supervisor or local human resources officer. When leave is foreseeable based on childbirth, placement of a child for adoption or foster care, or planned medical treatment, the staff member is expected to give as much advance notice as possible, generally at least 30 days. When this is not possible (for example, due to unanticipated medical circumstances or inadequate notice from relevant agencies), the staff member must provide notice as soon as possible -- ordinarily within one or two business days of when s/he learns of the need for leave. A staff member on Family and Medical Leave may be asked to report periodically to the employing department on his/her status and intention to return to work.

Upon return from Family and Medical Leave, the staff member will be returned to the position s/he held when the leave began or, if agreeable to the staff member and the employing department, an equivalent position with equivalent employment benefits, pay and other terms and conditions of employment. A staff member whose position is eliminated while on Family and Medical Leave is entitled to the same rights and benefits as other staff members whose positions are eliminated. However, s/he will have no greater rights to reinstatement or other benefits and conditions of employment than if s/he had continued to work.

Spouses who work for Harvard and who are both eligible for Family and Medical Leaves are limited to a combined total of 12 weeks of Family and Medical Leave during any 12-month period for birth or placement of a child and to care for a sick parent. Each eligible spouse is entitled to 12 weeks of Family and Medical Leave for his/her own serious health condition or that of the other spouse or a child.

Nepotism Policy

The policy of the University is that all employment decisions should be made solely on the basis of merit.

1) Staff members should neither initiate nor participate in, directly or indirectly, decisions involving a direct benefit (e.g., initial employment or appointment, retention, promotion, salary, course or work assignments, research funds, leave of absence, etc.) to members of their immediate family or household. For the purpose of this policy statement: (1) "immediate family" includes husband and wife; son and daughter (including stepchildren), grandchild, son- and daughter-in-law; parents (including stepparents), grandparents, father- and mother-in-law; brother and sister (including stepbrother and stepsister); brother- and sister-in-law; and (2) "household" includes individuals regularly sharing the staff member's residence. It may be that other relationships are such that objective and equitable supervisory decisions are not possible; in all such cases, the Staff Relations Department should be consulted to ensure consistency with the spirit and intent of this policy.

2) Persons should not be employed in positions where they will be subject to the close supervisory authority of a member of their immediate family or household, or where a member of their immediate family or household, in the ordinary course of business, makes decisions or plays a significant role in making decisions concerning their direct benefits. In situations where this policy would be applicable, but the department is large enough that decisions concerning direct benefits and supervision can be made without the participation of the immediate family or household member of the person employed, hiring and other employment decisions should be made on the appropriateness of the situation, without reference to this policy.

3) In some instances, the University's policy of preserving the confidentiality of records or other materials may make it inappropriate to have a member of the immediate family or household of another staff member in a particular job at the University. For example, it is usually inappropriate for someone to hold a job providing access to confidential records concerning the performance of a member of the staff member's immediate family or household.

Exceptions to this policy, which applies to all categories of employment at the University, require the written approval of the appropriate dean or vice president; a copy of the written approval should be sent to the Office of the General Counsel. Questions on the interpretation of this policy should be referred to the local human resources officer.

Sexual harassment in the workplace is discriminatory, unlawful, and clearly inconsistent with the nature of an academic community. The University regards such behavior as a violation of the standards of conduct required of all persons associated with the institution.

Federal and state laws define sexual harassment as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, when submission to such conduct is made either explicitly or implicitly a term or condition of employment; submission to or rejection of such conduct is used as the basis for employment decisions; or such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.

It is difficult to define with precision what kinds of verbal or physical behavior constitute sexual harassment because it depends on circumstances such as the severity of the conduct and whether it is part of a pattern or an isolated incident. Although it is not possible to list all types of conduct which, if unwelcome, might under certain circumstances constitute sexual harassment, the following are some examples:

1. Sexual advances, whether or not they involve physical touching;

2. Requests for sexual favors in exchange for actual or promised job benefits, such as favorable reviews, salary increases, promotions, increased benefits, or continued employment;

3. Lewd or sexually suggestive comments, jokes, innuendoes, or gestures;

4. Displaying sexually suggestive objects, pictures, magazines, or cartoons;

5. Commenting about or inappropriately touching an individual's body;

6. Inquiries or discussion about an individual's sexual experiences or activities and other written or oral references to sexual conduct.

Any staff or faculty member who believes he or she has been harassed should report the incident promptly. Staff and faculty members are urged to bring any concerns or complaints of sexual harassment to the University's attention through the most comfortable of a variety of routes.

The staff or faculty member may select an informal process and discuss the problem with his or her supervisor or a designated contact, listed in the chart below. Most schools and departments also have formal procedures to investigate complaints of sexual harassment. A faculty or staff member may request a formal review of a sexual harassment complaint by submitting a written request for such action to his or her designated contact.

Staff may also consult the University Office of Employee Relations, located at Holyoke Center 754, 1350 Massachusetts Ave., Cambridge, MA 02138, 496-2214. Members of collective bargaining units may consult their union contracts for any additional resources. Both faculty and staff may find the counseling services of the Faculty and Staff Assistance Program or the University Health Services helpful in these circumstances.

Complaints of sexual harassment will be treated confidentially, to the extent that is consistent with conducting a fair investigation. Any staff or faculty member who after investigation is found to have violated this policy will be subject to appropriate disciplinary action by the University, up to and including dismissal.

It is unlawful to retaliate against a staff or faculty member for filing a complaint of sexual harassment or for cooperating in an investigation of such a complaint. Retaliation against a staff or faculty member who in good faith reports alleged harassment or who participates in an investigation is a violation of this policy and is subject to appropriate discipline.

DESIGNATED CONTACTS

Graduate School of Business Administration

Faculty: Director, MBA Program

Staff: Director of Human Resources

Harvard School of Dental Medicine

Faculty: Dean of the HSDM, Ombudsperson

Staff: Director of Human Resources, Ombudsperson, Associate Dean for Administration

Harvard Divinity School

Faculty: Associate Dean of Academic Affairs

Staff: Dean of the Faculty

The Faculty of Arts and Sciences

Faculty: Assistant Dean for Academic Planning

Staff: Director of Personnel for Harvard College, Undergraduate Life and Services

Graduate School of Design

Faculty: Associate Dean for Academic and Student Services

Staff: Director of Human Resources

Graduate School of Education

Faculty: Coordinator of Academic Services

Staff: Human Resources Officers

John F. Kennedy School of Government

Faculty: Associate Academic Dean

Staff: Director of Human Resources

Law School

Faculty: Dean of the Law School

Staff: Assistant Dean for Personnel Services

Medical School

Faculty: Dean for Faculty Affairs, Ombudsperson

Staff: Director of Human Resources, Ombudsperson

School of Public Health

Faculty: Associate Dean for Academic Affairs

Staff: Director of Human Resources, Associate Director of Human Resources

Alumni Affairs and Development

Staff: Director of Human Resources

College Library

Staff: Director of Human Resources

Continuing Education

Staff: Director of Human Resources

Financial Administration

Staff: Human Resources Officer

Harvard University Press

Staff: Human Resources Officer

Harvard University Art Museums

Staff: Deputy Directory of Finance and Administration

Harvard University Police Department

Staff: Associate Director for Finance and Administration

HIID

Staff: Assistant Director for Human Resources

Office of the General Counsel

Staff: Office Administrator, Administrative Coordinator

Offices of the President & Provost; Vice President for Administration; Vice President for Government, Community & Public Affairs

Staff: Human Resources Office

Radcliffe

Staff: Director of Human Resources

University Health Services

Staff: Assistant Director of Human Resources and Operations, Coordinator of Human Resources

University Information Systems

Staff: Human Resources Officer

University Library Administration

Staff: University Personnel Librarian

University Operations Services

Staff: Director of Administration and Finance

The following state and federal employment discrimination agencies enforce the law against sexual harassment and can be contacted at the addresses and telephone numbers listed:

Massachusetts Commission Against Discrimination, One Ashburton Place, Room 601, Boston, MA 02108, (617) 727-3990; or 424 Dwight St., Suite 220, Springfield, MA 01103, (413) 739-2145; and the U.S. Equal Employment Opportunity Commission, One Congress St., Room 1001, Boston, MA 02114, (617) 565-3200.

 


Copyright 1998 President and Fellows of Harvard College