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