The enactment of Regents' Resolution SP-2 in 1995 and Proposition 209 in 1996 raised many questions about the status of affirmative action programs in faculty hiring, promotion, and retention in the University of California. The Regents' Resolution SP-2 states that race, religion, sex, color, ethnicity, or national origin shall not be used as criteria in employment practices as of January 1, 1996. Proposition 209, which went into effect on August 28, 1997 as Section 31 of Article 1 of the California State Constitution, requires that the University shall not discriminate against or grant preferential treatment to any individual or group on the basis of race, sex, color, ethnicity or national origin.

However, both the Regents' Resolution and Proposition 209 contain language stating that their prohibitions do not apply to actions which are necessary to establish or maintain eligibility for any Federal program, where ineligibility would result in a loss of Federal funds to the University. As a Federal contractor, the University of California has an obligation to comply with affirmative action regulations governing all levels of employment, including academic personnel practices.¹ The University also has an obligation to comply with State and Federal laws that prohibit discrimination on the basis of race, sex, color, national origin, and other protected categories.

In addition, the University of California may engage in a variety of voluntary practices that, although not required by Federal affirmative action regulations, promote values of equal employment opportunity and do not otherwise run afoul of the prohibitions set forth in the State Constitution and University policy. These types of non-preferential affirmative action programs are important vehicles for expressing the University's commitment to diversity, equal opportunity, and academic freedom.

The following guidelines describe both mandatory and voluntary affirmative action programs, consistent with law and University policy, which may be undertaken to promote equal employment opportunity and diversity in the context of faculty employment practices.

1. Written Affirmative Action Plans

Federal affirmative action regulations and University policy require that all campuses maintain a written Affirmative Action Plan (or plans) covering staff, faculty, and all other academic employees.² For faculty, the written Affirmative Action Plan should include an analysis of whether women or minority groups are "underutilized" in any field or organizational unit.³ Underutilization is calculated by comparing the percentage of women or minorities in the organizational unit to the percentage of women or minorities theoretically available in the field. The availability of women and minorities generally is estimated by using national data regarding recipients of Ph.D.s or other relevant degrees.

If underutilization is identified, the written Affirmative Action Plan should reflect a "goal" for hiring individuals from the underutilized group at the rate they are available in that field.⁴ For example, if women are underutilized as associate and full professors in a particular organizational unit and the availability rate for women at the tenure level in that field is 25 percent, the goal would be met if there were four hires at that level during that year and one woman was hired. The process of setting goals continues until there is no underutilization. The goal is not a quota, but a reasonably attainable target against which the campus can measure affirmative action progress.⁵ Neither underutilization nor the failure to meet goals is evidence of discrimination. Rather, these are analytical tools that can be used to measure the effectiveness of good faith efforts, such as the recruitment and retention programs described below.

Federal affirmative action regulations also require that all campuses collect and analyze data regarding other academic personnel transactions such as promotion, merit pay, and termination.⁶ If a campus identifies potential affirmative action problem areas, the campus must make good faith efforts to isolate the source of the problems and implement appropriate corrective action.

2. Faculty Recruitment

Federal affirmative action regulations require the University to make good faith efforts to provide equal employment opportunity in faculty hiring.⁷ Pursuant to the Regents' Resolution SP-2, the University policy does not permit the consideration of race or gender in the selection process for academic appointments. Therefore, programs which allowed the hiring department to consider affirmative action in hiring decisions such as the Target of Opportunity for Diversity and the "tie-breaker" policy, are no longer available as tools to increase academic employment opportunities for women and minorities. Under current law and University policy, the most important method for promoting equal opportunity is to conduct thorough outreach and recruitment to ensure that qualified women and minorities are well represented in applicant pools for faculty positions. Many departments maintain faculty affirmative action committees that are charged with developing and implementing the practices described below to ensure departmental compliance with Federal equal opportunity standards.

Every effort should be made to conduct a thorough search and advertise widely before filling any faculty positions. Search waivers should be granted only in exceptional situations and for compelling reasons. Search efforts should include all available avenues for publicizing the position, including national publications, personal contacts, listservs, mailing lists, professional and academic conferences, and Web sites. All advertisements for faculty positions should state that the University is an "Equal Opportunity/ Affirmative Action Employer."⁸ It also is consistent with University policy and obligations as a Federal contractor for advertisements to state that "all qualified applicants are encouraged to apply, including minorities and women."⁹

Many University search committees engage in targeted recruitment activities that are consistent with University policy and effective for increasing the numbers of women and minority applicants for academic appointments. In addition to general advertising for an open position, Federal affirmative action regulations suggest that positions be advertised with organizations and publications that are targeted to women and minority audiences.¹⁰ This targeted advertising may be placed in nationally known publications such as "Black Issues in Higher Education" or "The Hispanic Outlook in Higher Education," or in specialized publications such as a newsletter for a women's section of a national academic organization. Each campus should develop and maintain a list of targeted publications, by field, where academic positions could be advertised.

In addition to broad advertising, federal affirmative action regulations suggest that search committees engage in other types of informational outreach to increase the numbers of women and minority candidates for faculty positions.¹¹ As search committee members write letters or make phone calls to their colleagues to ask about promising candidates, they may also inquire about women and minority candidates who may be interested in being considered. As search committee members attend conferences or other academic meetings for the purpose of interviewing or networking with potential candidates, they may also make a specific effort to attend conferences or meetings attended primarily by women and minorities in the field. Search committees should consult with female and minority members of the campus faculty regarding their knowledge of potential candidates, and should actively encourage them to refer candidates.¹² In accordance with Federal regulations, a special effort should be made to include minorities and women on search committees.¹³ Search committees also may broaden the pool by utilizing the resources of specialized academic and professional organizations and making efforts to identify individuals who have achieved excellence outside academe.

It is a good affirmative action practice, and consistent with University policy, for campuses to collect data regarding the race and gender of their applicant pools, and to analyze each pool prior to beginning the selection process to determine if women and minority applicants are represented in the pool.¹⁴ If women and minority applicants are not present in the pool at the rate of their estimated availability in the field, then search committees should consider reopening their search with expanded targeted recruitment efforts.

3. Faculty Retention

Federal affirmative action regulations require the campuses to collect race and gender data on personnel transactions such as promotions, transfers and resignations and make good faith efforts to address any racial or gender based disparities that may be reflected in those data.¹⁵ In addition to active recruiting during the hiring process, campuses should be vigilant to identify retention problems that may have a negative impact on faculty diversity. In addition to data collection, some campuses have conducted exit interviews with departing faculty, including minorities and women, to determine why they are leaving the University. This provides an opportunity for understanding obstacles to retention and designing effective responses to identified problems. Campuses also may want to interview faculty who have been successful in obtaining tenure, or who have remained with the University for a long period of time, in order to identify factors that contributed to successful faculty careers. Campuses may enlist senior faculty members in developing and implementing successful retention programs.

Many campuses have faculty development programs designed to assist junior faculty in their progress toward tenure. These programs provide mentors, financial support, and/or release time to support research. Although University policy prohibits the consideration of race or gender as a factor in determining eligibility for these programs, the availability of these types of assistance for all junior faculty contributes toward the retention of women and minority junior faculty. Because the benefits are provided in a formal program, they are available on an equal basis to women and minority faculty who may not otherwise be a part of informal campus support networks. Also, such programs can serve to recognize junior faculty members for additional service and mentoring they often provide to a department seeking their representation on committees and in student advising roles.

4. Distribution of Information

Information regarding the number of minorities and women appointed to the faculty at each campus and the University as a whole, and the changes in these numbers over time, is collected annually and may be distributed to faculty involved in recruitment and retention activities. This information will serve to inform the University community about the status of diversity in faculty appointments and promote widespread discussion of the issues. The Office of Academic Advancement at the Office of the President currently compiles an annual statistical report, "Composition of Graduate Students and Faculty at the University of California by Race and Sex", which is available on the Web at: http://www.ucop.edu/acadadv/datamgmt/pub-98.html In addition, campuses may compile their own data sets with more detailed breakdowns reflecting the status of women and minorities in faculty appointments.

In addition to demographic data, all academic administrators and faculty involved in academic personnel matters should receive information on an annual basis regarding availability, utilization, and goals in their field or organizational unit.¹⁶ This information is important for identifying potential affirmative action problems and creating good faith programs to address such problems. Information regarding affirmative action requirements and campus specific affirmative action data should be provided to all department chairs and deans on an annual basis and might be discussed in the orientation programs for new chairs and deans held on most campuses during the fall.

5. Enforcement of Nondiscrimination Policy

Each campus should demonstrate its commitment to equal opportunity and diversity by taking active steps to disseminate and enforce the University's policy prohibiting illegal discrimination. University policy, consistent with State and Federal laws, prohibits discrimination, including harassment, on the basis of race, color, national origin, religion, sex, physical or mental disability, medical condition (cancer-related or genetic characteristics), ancestry, marital status, age, sexual orientation, citizenship, or status as a covered veteran.¹⁷ This policy applies to all employment practices, including recruitment, selection, promotion, transfer, merit increase, salary, training and development, demotion, and separation. Campuses can promote the enforcement of this policy by having knowledgeable persons available to facilitate resolution of complaints, by providing ready access to informal and formal channels for bringing grievances, and by conducting training for all staff and faculty regarding the requirements of the nondiscrimination policy. Campuses may promote pay equity by conducting regular analyses of academic compensation practices. Training programs regarding sexual harassment and cross-cultural sensitivity are examples of educational programs that may help prevent behavior that could lead to discrimination complaints and provide a more productive employment experience for all employees.

6. Campus Climate

Each University campus may promote faculty diversity by making every effort to provide an educational environment that is welcoming and supportive of all participants, regardless of their race, color, ethnicity, or gender. Consistent with Federal affirmative action regulations, Chancellors should issue an annual statement reaffirming their commitment to affirmative action in employment.¹⁸ This statement should be distributed widely to publicize the campus position regarding affirmative action and compliance with Federal regulations.¹⁹ Campus leaders can make similar public statements declaring their support for the value of diversity in the educational community. Campus groups can sponsor speakers, discussions, and other educational events to discuss questions of affirmative action, diversity, and equal opportunity. Such discussions also may be effectively introduced on the campuses via the curriculum in a broad array of disciplines. Exploring and implementing diversity in approaches to teaching and research can support ethnic and gender diversity in the classroom, and can assist departments in diversifying and strengthening their faculty. Campuses may facilitate research efforts to pursue scholarly exploration of topics such as affirmative action, equal opportunity, and diversity in education. Campuses may provide public recognition for individuals who make outstanding contributions to the diversity and excellence of the University. Maintaining an ongoing and civil dialogue at the campus level will provide a welcoming academic environment for women and minority faculty. Such dialogues also will provide opportunities for input from a wide variety of persons including the campus leadership, faculty, staff, students and community members.

7. Valuing Diversity

It is within the academic discretion of the University to promote diversity through the expression of certain academic values in faculty selection, promotion and evaluation criteria. Campus departments may encourage faculty to conduct research that contributes to the overall diversity of the academic curriculum. Campuses may consider developing joint appointments with ethnic and women studies programs or with centers whose focus of research is on women and ethnic minorities. In addition, campuses and campus departments may consider as criteria for faculty recruitment and advancement outstanding contributions made by a faculty member toward K-12 outreach or other educational pipeline programs. Campuses may provide release time or faculty development funds for faculty who are active in research or service programs working with educationally disadvantaged students. Campus academic administrators also may be evaluated for their contributions to affirmative action and diversity in program administration and academic personnel practices. Performance reviews for deans and department chairs should include an evaluation of their efforts to promote vigorous recruitment in faculty hiring and enforce the nondiscrimination policy in all academic matters.²⁰

Valuing diversity will improve the campus climate for women and minorities, and promote equal opportunity for all members of the academic community. The expression of diversity as an academic value will provide incentives and rewards for faculty contributions to the programs that will expand the pool of women and minority students qualified to become the faculty members of the next generation.

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¹41 C.F.R. 60 et seq.
²41 C.F.R. 60-2.1(a)
³41 C.F.R. 60-2.11
⁴41 C.F.R. 60-2.12
⁵Id.
⁶41 C.F.R. 60-2.10,41 C.F.R. 60-2.23
⁷Id.
⁸41 C.F.R. 60-1.4(a)(2)
⁹Implementation of Proposition 209: How it Affects Employment Practices, Office of the President (August 1997)
¹⁰41 C.F.R. 60-2.24(e)
¹¹41 C.F.R. 60-2.24(e)
¹²41 C.F.R. 60-2.24(e)(3)
¹³41 C.F.R. 60-2.24(e)(4)
¹⁴41 C.F.R. 60-2.23
¹⁵41 C.F.R. 60-2.23,41 C.F.R. 60-2.25(a)
¹⁶41 C.F.R. 60-2.25
¹⁷Academic Personnel Manual-035 (revised 4/1/99)
¹⁸41 C.F.R. 60-2.20(a)
¹⁹41 C.F.R. 60-2.21
²⁰Id.  

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