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NOV-17-97 MON 2:05 PM OERI / PLLI
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NATIONAL CENTER FOR EDUCATION STATISTICS
Statistical Analysis Report
September 1997
Postsecondary Education Descriptive Analysis Reports
Access to Postsecondary Education for
the 1992 High School Graduates
Lutz Berkner
Lisa Chavez
MPR Associates, Inc.
2150 Shattuck Avenue, Suite 800
Berkeley, CA 94704-1321
C. Dennis Carroll
Project Officer
National Center for Education Statistics
U.S. Department of Education
Office of Educational Research and Improvement
NCES
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HIGHLIGHTS
This report uses data from the National Education Longitudinal Study of 1988 (NELS:88)
to examine access to postsecondary education of 1992 high school graduates by 1994, two years
after high school graduation. After an overview of the postsecondary enrollment rates of the 1992
high school graduates by family income, race-ethnicity, and parental levels of education, the re-
port focuses on the factors associated with the relatively low four-year college enrollment rates of
Hispanic, black, and low-income high school graduates. It examines college costs and financial
aid, the educational expectations and immediate college plans of the high school graduates, and
their academic preparation as measured by a four-year "college qualification index" developed for
this study. The index is used to identify those who would have met the minimum requirements to
be admitted to a four-year college, the group of high school graduates who are considered to be
"college-qualified." The major findings are:
Although there are differences by income and race-ethnicity in the four-year college en-
rollment rates of college-qualified high school graduates, the differences between col-
lege-qualified low-income and middle-income students, as well as the differences
among college-qualified black, Hispanic, Asian, and white students, are eliminated
among those students who have taken the college entrance examinations and completed
an application for admission, the two steps necessary to attend a four-year college.
High school graduates whose parents have low levels of income and education are able
to attend four-year colleges at the same rates as students from middle-income families,
if they do what four-year colleges expect them to do. That is, if low-income) students
have an academic record and aptitude test scores which demonstrate even the minimal
qualifications for admission to a four-year institution, if they take a college entrance ex-
amination, and if they submit an application for admission, the majority of low-income
students enroll in postsecondary education, and over 83 percent attend a four-year col-
lege or university.
College-qualified low-income students who have been accepted for admission to public
four-year colleges and universities and those who have been accepted to private four-
year colleges and universities are just as likely to enroll in them as are middle- and high-
income students. There is no measurable difference by family income in the proportion
of those accepted at private institutions who choose to enroll in a public four-year in-
stitution instead. There are also :noldifferences in the enrollment rates of those college-
qualified blacks, Hispanics, Asians, or whites who have been accepted for admission to
either public or private four-year colleges and universities.
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HIGHLIGHTS
Low-income, black, and Hispanic high school graduates are less likely to be well pre-
pared academically to attend a four-year college. Even among those who are college-
qualified, low-income and Hispanic (but not black) students are less likely to take the
college entrance examinations and apply for admission to a four-year institution.
Among all college-qualified seniors who enrolled in postsecondary education, Hispanics
were less likely than any other racial-ethnic group to attend a four-year institution. In-
stead, college-qualified Hispanics were more likely than any other racial-ethnic group
to attend a public two-year institution. College-qualified Hispanics were also less likely
to take college entrance examinations and submit an application for admission to a four-
year institution compared with Asian, white, and black college-qualified students.
Three-quarters of all 1992 high school graduates enrolled in some type of postsecon-
dary institution by 1994. Almost half (45 percent) enrolled in a four-year institution,
one-quarter (26 percent) enrolled in a public-two-year college, and 4 percent enrolled in
other institutions offering less than four-year programs.
The proportion of all students who enrolled in postsecondary education within two
years of high school graduation was directly related to family income: 64 percent of
low-income, 79 percent of middle-income, and 93 percent of high-income students at-
tended postsecondary education by 1994.
About 80 percent of the low-income high school graduates who enrolled in postsecon-
dary institutions received financial aid. Their average educational expenses after finan-
cial aid ranged from about $4,900 at public two- and four-year institutions to $5,700 at
private, not-for-profit, four-year institutions. To help meet these costs, two-thirds of
the low-income students worked while enrolled, for an average of 24 hours a week.
When the 1992 high school graduates were in the eighth grade, 59 percent of low-
income, 76 percent of middle-income, and 92 percent of high-income students said that
they texpected to finish college. There was no substantial change in these expectations
by family income or race-ethnicity when they were seniors in 1992.
Nearly 80 percent of the 1992 high school graduates said that they expected to attend
postsecondary education immediately after high school. In October 1992, 65 percent
were actually enrolled. By 1994; 75 percent had been enrolled. Among those students
who had planned to attend immediately after high school, 89 percent had enrolled by
1994
1
1
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INI
States
ILLUSTRATION BY Jost ORTEGA/SIS
DIVERS
Walk the Walk, and Drop the Talk
BY CLIFFORD ADELMAN
34
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ike most knowledge workers who straddle the ages of paperian
L
gigabytes, I find a periodic cleaning of both kinds of files Y.Y. ce
sary. One recent afternoon, then, while the combuter upload ed
files to a mainframe, I turned to the cabinets in the office. In a drawer.ran
opened was a folder labeled "diversity issues." I started afing through th
documents-a case study on accountability for minority tudent success
Richard Richardson's "equity score" formulas for judging minority thro
ment, a detailed plan by a community college in a minority district topre
pare students for assessments in proficiency-based computer applic ior
an analysis of campus climate for minority students in a tate with ow
percentage of minorities, the University of Texas-El Pase's pre-coll
panic Mother-Daughter Program-wait a minute! This fuff was printy
good, directed at meaningful equity, and refreshing to re d. The word"d
versity" appeared rarely but with a warm resonance. The date stam or
these documents ranged from 1986 to 1990. I moved the m to a set ma
zine boxes labeled, "Equity Issues: Minority Students." That's a label I
derstand. But I don't understand "diversity" anymore.
Clifford Adelman is a Senior Research Analyst with the U.S. Department of cation. and an reas
contributor 10 these pages. The opinions expressed here are his own. and do not necessarily
of
the Department.
ITY
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Somehow, in an awfully short time. we
tics, language dominance, physic
racter-
have pounded and bleached the word diversi-
istics, disabilities, and so on) as
ers,
cy into nothingness. How did we do it?
then the fog spreads far indeed. I
ry dif-
The answer to that question marks the be-
ficult to formulate public policy,
tives
ginning of a difficult journey. At the end of
for organizational behavior, or g
nes for
this journey, I hope you will seriously con-
personal behavior in fog.
sider the proposition that the rhetoric of di-
When "shoulds" and "bughts)
dded to
versity (and all the time we spend on it) is
ordinary discourse, the clarity of
ms
avoidance behavior, that it hides the realities
becomes more important as they
the
of inequities in education and helps us evade
worlds of ethics and law. For ex
if we
the hard work necessary to overcome those
use the term diversity as in hond
abel,
inequities. 1 also hope you will seriously con-
apply it to populations we define
serv-
sider some propositions for more hard work
able visual characteristics, and to
ple or
on behalf of equity.
institutions how they "should" b
with
respect to those populations, we
that
I. "DIVERSITY" AND THE NET OF
this honorific universe excludes
ations
LANGUAGE
whose characteristics are not OS
visu-
Both philosophers and students of political
al-for example, religious mino
or sin-
rhetoric and propaganda have contributed
gle parents. When we this ap
on in
much to our understanding of the ways in
policy, we invite legal challenge
which language creates, reflects, and masks
Think, though. for a moment
no the
reality. Some have also demonstrated, very
"we" is here. The people who di
diversi
powerfully, how public and organizational
ty." set the "diversity agenda,"
late the
policies stand or fall on words.
"diversity policies," and run the
rsity
"Diversity" is a critical case in point. A
conferences" are usually those
majority
comparative content analysis of a random
who see others as different. The
rs."
week's worth of major newspapers (let alone
who rarely have a say in the def
and
issues of Change) from the years 1996 and
use of the term, are swept along
mo-
1986 will quickly demonstrate how central
mentum of what sociolir guists
"supra-
and common the term has become in contem-
dialect," a politically dominant
age.
porary discourse. Its currency has risen faster
than the stock market. The analogy is not
2. "DIVERSITY" IN HIGH
chosen lightly: at current levels of valuation,
EDUCATION: A MULTIPL
FE
our use of the term is both overextended and
As one might expect, the ter
ersity
indiscriminate. The less clear the term be-
has had a full life in the world
er edu-
comes, the more it is read. cynically, as a eu-
cation. But the different applic
of the
phemism. The more cynicism, the less likely
term-to institutions, environm
instruc
policy grounded in the term will be effective.
tion. curriculum, and people-
alway
"Just try to get through the day." colum-
in harmony. Furthermore, they
a exist in
nist Russell Baker wrote last April in The
an uneasy tension with the lang
and ide-
New York Times, "without reading or hearing
als of equity. Let us see how thi
pens.
about someone who is championing diversi-
Diversity of Institutions, En
ments,
ty." As my colleague Jacqueline Woods, the
and Learning. By "diversity of
ions."
Education Department's liaison to communi-
refer to ostensible (size, location)
vioral
ty colleges, wisely notes. "in 1997. when you
(highest degree. level of research
y). taxo
use the word 'diversity,' you end the conver-
nomic (Camegie class), control (
private
sation." (See Resources.)
for-profit) and imputed (mission)
cteristic
To help matters, some have suggested that
Missions, in turn. can be populati
ven (his
"diversity" never be used in ordinary lan-
torically black colleges and univer
HBCUs
guage as a stand-alone noun. Always qualify
women's colleges), sponsorship
(reli-
the term, for example, "racial/ethnic diversi-
gious, military). or curricular (m
echnold
ty." The problem with qualifiers. though, is
gy, fine arts). Our pride in this ry
liversity
that some (such as "racial/ethnic") are clear
is intense and very public
reflections of reality. while others (such as
A subtext of this diverse ins
nal
"cultural") are foggy.
framework involves diversity
Iron-
And if we add other observable and non-
ments, that is. the opportunity
al kinds
observable population characteristics (nation-
cultural. political, and social of
ations
al origin. gender, age, social class, income
develop and express themselve
in insti
level. marital status. parental status, sexual
tutions. Students (and faculty)
DO
expre
orientation. religion. geographic origin. poli-
sion just as they choose institu
Of
36
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course, campuses differ hugely in what they
families of limited means, they are thus SUD-
11
IS
san
have to offer here: the larger and more resi-
ject to more inequity. When students of color
dential the institution, the greater the oppor-
are affected, this clash of "diversity" and eq-
say that the
tunity for this genre of diversity. The scent of
uity becomes an unhappy paradox.
inequity begins to emerge because some stu-
Diversity of People and the Diversity
traditional Way
dents thus have far more opportunity to expe-
Co-curriculum. Lastly, higher education
rience this "diversity" than others.
values the diversity of people attending (and
of justifyi g
Within the vast universe of choice in U.S.
teaching at) its institutions. We value stu-
higher education. our language also places high
dents with a "diversity of talents and inter-
race-base
value on what one might call "diversities of
ests" (athletics, music, theater. journalism,
learning." Lectures. discussions, labs, computer-
service). We value students from diverse
admissions
assisted instruction, telecourses. group indepen-
parts of the nation, from diverse types of
dent study, service learning, student research
communities, from other countries. We value
to be re-tho ght.
participation, simulations on the Web-we want
students from diverse age groups, types of
it all and we value individuals who learn in dif-
families, social and economic classes. And
The Presio nt
ferent ways! It's another honorific flag.
most of all. we value students-and faculty-
But it is obvious that not even the majority
from diverse racial and ethnic groups.
h mself ha set
of institutions can offer this diverse mix of in-
There is an implicit co-curriculum in
structional methodologies that allows stu-
these values of inclusion: the incontrovert-
the guidel he:
dents to find their own best combinations for
ible notion that encounter with a wide variety
learning. Wealthy institutions can do it. Large
of people from diverse backgrounds is itself
'Mend il
institutions can do it. But that is a limited
an instructional methodology that prepares
group. The scent of institutional inequities
students to be better citizens of the nation
grows stronger.
and the world. This implicit co-curriculum is
Diversity of Curriculum. We are also
sometimes made explicit in formal encounter
proud of our diversity of curriculum. Our sys-
groups in which students talk through or act
tem offers everything. And our normative
out differences in perceptions and experience.
statements (the "shoulds" and "oughts") indi-
But it is obvious that not all of our "diverse"
cate that we want students to study or demon-
institutions can attract "diverse" people. in no
strate competence in everything: mathematics,
matter what combination of people-characteris-
science, history, literature. writing, computer
Lics. in order to offer this valuable co-curricu-
skills. and so on.
lum. Only truly national institutions of high
But it is obvious that the vast majority of
selectivity. flagship public universities in some
students have neither the time nor the money
states, and a few colleges located in metropoli-
to study everything. Students attending com-
tan areas with a full range of ethnic populations
munity colleges. in the main. have very fo-
can achieve multi-level diversity. The ideal of a
cused and limited objectives. for example, an
diversity of people again runs into inequities
associate's degree in nursing or a certificate in
across the diversity of institutions.
computer programming. With respect to pub-
John Matlock of the University of Michi-
lic four-year colleges. state legislatures no
gan wisely perceives shortcomings in the
longer have the patience to underwrite six-year
supra-dialect definition of diversity in his ob-
degrees with 160-plus credits so that students
servation that different ethnic groups define di-
can experience. on public time, the infinite
versity differently. African-American students
manifestations of knowledge. What is true
who participated in his longitudinal study of
for state legislatures holds for families with
changing experience and attitudes toward di-
enough Stafford and PLUS loans already.
versity in their college years-he pointed out
Given the diversity of student objectives,
at the 1997 AAHE National Conference-did
when we add curricular requirements. such as
not describe diversity in terms of numbers or
those for "diversities of (cultural] perspec-
proportions. whereas white students did. Nor
live." we run into inequities in ability to pay.
did they define diversity in terms of the oppor-
Even when these requirements are substitutes
tunity for social interactions, whereas Asian-
and not add-ons, students who seek degrees
American and Latino students did. Instead,
in fields requiring licensure or certification
their definition focused on the university's
(education, engineering, accounting, nursing,
commitment to inclusion-in curricular mat-
and others) will still take the courses required
ters, in interactions between teachers and stu-
to prepare them for these occupations. and
dents of color. and most of all, in being taken
will wind up with considerably more than
seriously as students. This is not "diversity": it
120 to 130 credits.
is common-sense equity.
For these students. we have ratcheted up
We too often forget that some institutions.
graduation requirements: if they come from
by virtue of mission. do not seek "diversity"
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We seem more
in their student bodies, do not necessarily wel-
uncomfortable observations that bedevil
come a full "diversity of environments." and
the language of diversity and cry out for
concerned with
do not offer a "diversity co-curriculum"-al
acknowledgment. We have learned that
least as the supra-dialect has come to define
recruiting minority students or faculty to in-
this year's
"diversity." Women's colleges are for worn-
stitutions located far from minority commu-
en. not men. The primary commitments of
nities leaves them with sucha low "comfort
"diversity counts"
HBCUs are to the education of African Amer-
level" that they are not likels to stay, unless
icans, and their student populations are (and
the institution is one of the few whose ca-
than with
will remain) overwhelmingly black. A com-
chet is "worth" the discomfort. Here in
munity college founded to serve a barrio is not
September. gone by May.
what happens to
going to attract wealthy students of any ethnic
We seem more concerned with this year's
background from another part of town.
"diversity counts" than with what happens to
real people.
In the "virtual university," the diversity co-
real people. That is John Matock's point. too,
curriculum is virtually impossible. A Baptist
in explaining black students' greater concern
college is not designed for Jewish students (in
with retention and completion rates than with
an old joke, the University of Chicago, with its
head counts. Those students are a lot smarter
Episcopalian campus, agnostic faculty, and
than the people responsible for the majoritari-
Catholic curriculum, was a singular exception).
an discourse about diversity
Are these institutions exempt from our
The bottom line injour tonuous uses of "di-
normative statements about diversity? Do we
versity" in higher education that we have
say that diversity is for some people but not
created an ideal that can only be achieved by
for others? It's a tough question because we
an aristocracy. by the right tell on the distribu-
value special missions under the rubric of
tion of institutional opportunity. Maybe if we
"diversity of Institutions." The problem,
were not mesmerized/by the word. we'd see
again, is that the "we" who define the "diver-
that we've done something modestly better
sity agenda" cannot imagine a diversity in
than that.
any terms other than "different from us."
But while issuing self-righteous state-
3. SOME EVIDENCE For DIVERSITY,
ments about the inclusive benefits of "diver-
BUT WITHOUT THE WORD
sity," the majority does something very
Consider. first. the following data from the
strange when it consistently stereotypes and
National Center for Education Statistics' lon-
isolates Asian-American populations. First,
gitudinal study of the high school class of
we leave them out of the "diversity agenda"
1982 (the so-called "High School & Be-
because-why? Because their academic be-
yond/Sophomore Cohort"). Participants were
havior is too much like that of the people
asked questions about the racial composition
who define what diversity is and is not? Be-
of the neighborhood in which they attended
cause they are different but not "diverse"?
high school (1978 to 1982) and the racial
We tie ourselves in knots that Houdini could
composition of the neighbo hood in which
not unravel with our treatment of populations
they lived at age 28 10 29 92).
ranging from the Hmong of Duluth to fifth-
A powerful lest ofjinternalization of the val-
generation Niesi of the East Bay to the South
ues of a pluralistic society is where one choos-
Asians of "Mississippi Makala."
es to live. Taking out a mortgage or paying the
Second, in the language of "underrepre-
rent to live in a given place takes one far be-
sentation." the majority tells them that they
yond "tolerance" or putative understanding of
are-in Gish Jen's simple eloquence-"quite
"otherness." Your money is on the table.
profoundly nobody neither seers nor seen."
Overall. 44 percent of the High School &
(See Resources.)
Beyond cohort lived in more racially mixed
Indeed. We have very few Asian-Ameri-
neighborhoods at age 28 to 29 than they did
can school teachers in this country. We con-
when they were in high school. The proba-
linue to receive immigrants from the Pacific
bility of electing a pluralistic environment.
Rim. for whom learning an alphabetic, in-
though. increased with the level of educa-
flected language such as English is a border-
tional attainment. For example. the likeli-
crossing like no other. Our diversity talk
hood of seeking out such a neighborhood
includes honor to role models in the ethnic
was 53 percent for those who earned bache-
match of teacher and student, but when we
lor's degrees and 36 percent for those who
advance a policy of "minority teacher recruit-
never went to college.
ment." Asian Americans are not part of the
In other words. degree recipients were
equity equation. Why? The question is simple
half again more likely to live in multiracial
but very uncomfortable.
neighborhoods as young adults than those
Further Discomforts. There are other
who did not attend college. This trend. how-
38
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7
ever. held more for black and white respon-
depts than it did for Latinos and Asian
Americans, more than 20 percent of whom
moved into racially homogeneous neighbor-
hoods by their late 20s.
In
There is a great deal more one can say
about these data, and many more hypotheses to
explore: the society as a whole became more
mobile during the 1980s; the black middle
class expanded dramatically; jobs, school. and
circumstance often determine where one lives;
college graduates are more likely to live in
cities: age 28 to 29 may not be the best point in
the life cycle to measure this phenomenon. and
sq on. But the correlations between higher ed-
ucation/degree attainment and investment in
living in a more pluralistic community cannot
be ignored. Certainly, our subjects learned
something, even if by osmosis.
Second, instead of relying on "diversity
requirements" for graduation under which a
student can select one or two from dozens or
even hundreds of qualifying courses (thus
marginalizing the whole issue), more and
more institutions have chosen the route of
curricular integration of materials and topics
op the culture and status of minority popula-
tions in the United States.
In disciplines ranging from sociology to
Although litigation will cloud the environ-
lijerature, this is nothing new. But we have
ment in states that have been affected to date,
realized that in courses of study leading to ca-
it is safe to say that the traditional way of jus-
reers in the helping professions (teaching. so-
tifying race-based admissions has to be
cial work, nursing). professional service
rethought. The President himself has set the
(medicine. law, architecture). and communi-
guideline: "Mend it!"
cations fields (journalism. public relations,
Non-selective institutions. institutions with
commercial art). in particular. it is utter folly
no national visibility, and special-mission insti-
to leave this material out.
tutions such as the HBCUs will go on doing
You cannot say you know anything about
their business as usual. The composition of
ethnic perceptions of health care, for example.
their incoming classes will continue to reflect
on the basis of your social contacts or encounter
the regional and special populations they serve.
groups or "diversity dinners" in college. The so-
But in what I called the "aristocracy" of institu-
ciety cannot afford that level of superficiality:
tional opportunity, the rules have changed.
the material has to be part of your formal prepa-
These institutions-the ones that make the
ration as an effective health-care worker. There
newspapers-have two choices. They can un-
are social and economic utilities in this kind of
dertake massive efforts to prepare minority
"diversity curriculum"-except it isn't a "diver-
students better for higher education, or they
sity curriculum": il's common sense.
can invent a new language in which to wrap
old selection policies. The former task is
4. EQUITY OF PARTICIPATION AND
bloody hard. will not yield results in 1998,
'REDEFINING MERIT"
and is potentially rewarding to the entire soci-
It is obvious why we are talking more
ety; the latter is easy enough. will generate
about "diversity," with all its contradictions,
the numbers in whatever year you want them,
in 1997. The 20 percent of all colleges and
benefits a relatively small population, and
universities in the United States that exercise
keeps the lawyers employed. Which route do
the slightest degree of selectivity in admis-
you think these institutions will take?
sions at the undergraduate level. along with
So far. in the main. it's the latter. To
the much higher percentage of graduate and
achieve "diversity," some will now "redefine
professional schools that exercise even a mod-
merit" without mentioning any visual charac-
est degree of selectivity in admissions. are
teristics of individuals. The same majority
facing radical changes in affirmative action.
"we" who defined "the diversity agenda" in
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If we disposed
terms of "different from us" will be con-
thinking that we can induce, at age 18 or 19,
structing the new definitions.
the kinds of skills that the of the world
entirely of
When we take this route we say, in effect,
recognizes as the earliest tools of learning.
that the rules and formulas for building a
What happens? The national data show
the word
bridge over an urban ravine are different for
that two-thirds of the students in remedial
different populations. We say that population
reading in college are also in at least two oth-
diversity, we
X doesn't need to know about strength of ma-
er remedial courses. and that their chances of
terials or how to calculate structural stress, or
completing a bachelor's degree by age 30 are
might actually
even how to cut steel and mix cement, so long
about one in eight. This is not equity of par-
as they have other "merits." The bridge may
ncipation in higher education. These students
describe
collapse; people may die; poor people and
are obviously more likely to be unhappy. but
people of color may be more likely to die
they are smart enough to know that lan-
the reality and
when the bridge collapses. but that's okay as
guage-telling them that they have other
long as the builders had "other merits."
"merits"-will not change thereality. If they
the problem.
We may even escalate this argument by
know it. you can wager that redefining "mer-
claiming that cement, steel, wood, formulas
it" will be correctly perceived by the general
of stress, and even the laws of gravity are so-
public as another euphemistic blanket, and
cially constructed realities alien to population
will threaten all the good efforts states are
X. In such a patronizing manner would new
making both to improve opportunity to learn
euphemisms start leading us down the sides
and to raise academic standards and achieve-
of increasingly slippery ravines.
ment for all students.
The rest of the world-most of which is
not white-does not behave this way. The
5- BEYOND EUPHEMISM: CLEANING
principles for building bridges over urban
Up THE LANGUAGE WITH NUMBERS
ravines are the same from Manila to Mo-
If we disposed entirely of the word diversi-
gadishu to Manaus. You either know how to
ty, we might actually describe the reality and
do it and pass the licensing examination, or
the problem. We need a few numbers on ac-
you will never be hired by anybody, any-
cess and completion to help usout. Numbers
where. to build a bridge.
have a remarkable ability to cut through fog.
What goes for bridge-building also goes for
The numbers come from the longitudinal
financial analysis, copyright law. and internal
studies of the National Center for Education
medicine, for example. When John Matlock
Statistics and are the most powerful for pur-
says that black students want to be taken seri-
poses of determining rates of access and com-
ously as students. this is what he means: they
pletion available anywhere in this country.
want to pass the licensing exam, build the
First. consider the proportion of high school
bridge-and be asked back to build another.
graduates continuing on to postsecondary ed-
When we embrace a propagandistic lan-
ucation (that is. "access rates") in three age
guage that tells domestic minority popula-
cohorts (Table 1).
tions. from an early age. that they do not have
The 1972 and 1982 figures are based on
to demonstrate basic academic achievement,
college transcripts taken at roughly age 30.
we shut them out of the world economy. At
The 1992 figure is based on If-reports two
the least, we shut them out of careers that pro-
years after high school graduation. Despite
vide a high degree of mobility in a world
these differences. the trend is clear: the gener-
economy. That is not only inequitable; it is
al access rate for recenthigh school graduates
unconscionably discriminatory.
is fairly high. and the "access gap" between
Yes. a person who overcomes poverty, a
whites and minorities has closed dramatically.
single-parent home. and a dangerous neigh-
Yes. there are differences insuttendance par-
borhood to graduate from high school has
terms (particularly for Latinos. who start with
demonstrated greater persistence and "merit"
comparatively low high/school graduation
than someone who never faced such daunting
rates and rely heavily on community colleges).
challenges. And there are lots of people who
In this space. though. let's jump to bachelor's
demonstrate precisely this kind of merit. But
completion rates. by age 30. for people who at-
if they still cannot read-despite the high
tended at least one four-year codege and
school diploma-we do them no favors by
earned at least a semester's worth of credits,
sitting them down in front of a college chem-
and. in the case of the class of 1992. for the
istry textbook or a Web site loaded with his-
proportion still enrolledin 1994 (Table 2).
torical documents and watching them cry
These stark tables leave a lo to be said. bur
in frustration.
the message is unmistakable: if the gaps in ac-
We do them fewer favors when we put
cess have narrowed. the gaps id completion
them in remedial reading classes in college.
remain stubbornly wide. We will not know the
40
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TABLE
POSTSECONDARY ACCESS RATES IN THREE HIGH SCHOOL CLASSES
High School Classes of:
1972
1982
1992
All
60%
70%
75%
White
61
73
76
Black
54
62
71
Latino
53
58
71
Aslan
77
92
86
TABLE 2.*
COLLEGE COMPLETION RATES IN THREE AGE COHORTS
High School Classes of:
1972
1982
1992
All
66%
65%
60%
White
68
68
62
Black
49
42
52
Latino
44
49
52
Asian
81
79
73
Sources: The data for Tables I and 2 are taken from The Condition of Education. 1996. Washington. DC: National
Center for Education Statistics. 1996. page 25: and the Data Analysis System (DAS) for the National Education Longi-
tudinal Study of 1988. 1988-1994.
full story of completion for the class of 1992
transcript records, this indicator adjusts the
until transcripts are gathered in 2002 or 2004.
content and intensity measure. You get two
but the initial 5 percent access gap has already
extra points for reaching trigonometry, pre-
doubled and this is not good news.
calculus or calculus, You lose two points if
In the analyses of who finished bachelor's
all of your high school math courses were re-
degrees and why for the high school classes
medial.
of 1972 (by 1984) and 1982 (by 1993), as
3. Class rank, in quintiles. This is a per-
well as for who was most likely to attend a
formance measure. Where class rank isnot
four-year college in the class of 1992. the an-
available. grade point average in academic
swer is exactly the same: the people who
subjects. by quintile. was substituted (The cor-
were best prepared. regardless of race. re-
relation between class rank quintile and aca-
gardless of financial aid. This is a common-
demic GPA quintile is .81). At the top you
sense finding. but you will never find it in a
get another 30 points.
landscape of euphemisms.
4. Score on a "mini-SAT," a test di gen-
What does "best prepared" mean? Using
eral learned abilities, as given in the 12th
the rich data from the High School & Beyond
grade. The scores were set out in quintiles,
longitudinal study, I have built an index of
with the highest quintile yielding 35 points
"academic resources" from five unobtrusive
and the lowest yielding seven.
indicators:
5. Score on a reading test given the
1. Academic intensity of one's high
12th grade. Reading is given a special em-
school curriculum. This is a content measure
phasis because of its prominent position in
worth 30 points out of 100 on the academic
the constellation of skills necessary for high-
resources scale. The evidence comes from
er-order thinking and applications. let lone
high school transcripts.
its critically correct position in currentina-
2. Highest level of mathematics studied
tional policy as articulated by Education Sec-
in high school. Also drawn from high school
retary Richard Riley. Again. set out in
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"ACADEMIC RESOURCES," ACCESS, AND DEGREE COMPLETION, BY RACE
Academic Resources Models
White
Asian
Black
Latino
1) Tests Weighted High
Proportion in highest
two quintiles
43%
55%
14%*
17%*
Access rate of those in
highest two quintiles
91
98
89
93
Highest degree by age 30:
Associate's
7*
7*
10
Bachelor's
58
70
44*
42*
2) Curriculum Weighted High
Proportion in highest
two quintiles
41
57
17*
19*
Access rate of those in
highest two quintiles
92
98
87
91
Highest degree by age 30:
Associate's
7*
-
6*
9
Bachelor's
59
70
43
39
3) Class Rank/GPA Weighted High
Proportion in highest
two quintiles
42
59
17
22
Access rate of those in
highest two quintiles
90
97
89
88
Highest degree by age 30:
Associate's
7*
-
6*
13
Bachelor's
57
68
42
36
*The differences reflected in these pairs are not statistically significant.
- Too few sample observations for a reliable estimate.
quintiles, you get five points for scoring in
number for this type of relationship. In addi-
the top group.
tion, 74 percent of the students in the highest
Put it all together in academic resources,
quintile earned bachelor's degrees versus 41
sort by quintiles, run some basic cross-tabs.
percent in the second quintile versus 17 per-
and perform some basic statistical tests. One
cent in the third-and down it goesin leaps
finds first that the correlation between aca-
and bounds,
demic resources and degree completion of
Some people will say tharthis formula for
any kind (bachelor's or associate's) is .56.
academic resources gives 100 much weight-
and that the correlation with the bachelor's
40 percent-to third-party lests, that African-
degree alone is .57. That's a fairly strong
American and Latino students do not perform
42
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as well as others on tests. and therefore. that
even if statistically significant, are minor.
If we are
the formula is unfair. (It is more accurate to
The message is remarkably consistent, no
say that the correlation between socioeco-
matter what weighting one invokes.
genuinely
nomic status [SES] and lest score was much
If we are genuinely interested in degree
higher [.394] than that between SES and the
completion for minority students. then, we
interested
academic intensity of curriculum [.290]. let
have to help them acquire more of the re-
alone class rank/GPA [.171]. Since African-
sources that enhance their chances: an aca-
degree compl
American and Latino students are overrepre-
demic curriculum of high Intensity and of a
sented in the lower SES quintiles, they will be
quality that inevitably will be reflected in
for minori
more affected by these relationships.)
third-party assessments. And if 71 percent of
Others will say that the tests do not judge
African-American and Latino high school
students, then
the students as much as their opportunity to
graduates now continue their education after
learn, and hence are a check on the quality of
high school (see Table 1), our objective
ve have to elp
delivered education. Students may take Alge-
should be not merely to improve their repre-
bra 2, for example, but in high schools in a
sentation in the top two quintiles of "academ-
them acquire
barrio, a rural county in south Texas, or a sec-
ic resources." but to fill the top three-or
ond-tier suburb in Alabama (the Census tells
even four-quinciles with more academic
more of the
us very clearly that black and Latino students
content and meaning.
are not confined to central cities), the course
We have been told persistently that minor-
resources that
may be the equivalent of Algebra 1 taught
ity students need minority faculty as "role
elsewhere.
models" in order to finish degrees. The asser-
enhance
With these hypotheses in mind, I devel-
tion starts a cat chasing its own tail. For we
oped four other weightings of the basic aca-
will not get minority faculty without minority
their chance
demic resources formula. each of which
PhDs, and we will not get minority PhDs (or
counted the general learned abilities test less
school teachers or engineers) without im-
and either the curriculum or performance
proving the bachelor's degree completion
variables/more.
rates. And we will not improve completion
Table 3 presents three of the five varia-
rates until higher education makes a massive.
tions for all students who graduated from
creative effort (with courage, conviction. and
high school within a year of the norm for the
real money) to improve the precollegiate aca-
class of 1982. For each alternative weighting
demic resources of minority students.
model. Table 3 also indicates the proportion
This is what we have to do-not play lan-
of students in the top two quintiles who a)
guage games. Otherwise, we will be chasing
continued their education after high school
our tails for the next three decades. and few-
("access rate") and b) earned associate's and
er students will have a chance to learn any-
bachelor's degrees by age 30 (in 1993). by
thing about the values of pluralism-even
race. (See sidebar for statistical information.)
by osmosis.
Table 3 shows us first that the access rate
for anyone who winds up in the top 40 percent
6. CREATING "DIVERSITY" WITH
on the academic resources scale-no matter
SWEAT, NOT WORD GAMES
what weighting is used-is stunningly high:
School-college collaboration projects have
roughly 9 out of 10. regardless of race (the mi-
multiplied over the past decade, but to the best
nor differences, by race, are not statistically
of anybody's ability to count, they are current-
significant). Second, the table indicates, as
ly involving relatively small numbers nation-
one would expect, a higher proportion of
ally. One noted program recently boasted at a
black and Latino students will be included in
national convention that it had affected 400
the top two academic resource quintiles if we
students. of whom nearly 70 percent ultimate-
maximize high school class rank/academic
ly earned bachelor's degrees. That sounded
GPA (weighting it at 50 percent) and mini-
fabulous until you realize that it happened
mize the weight for the general learned abili-
over a period of 12 years. Godspeed to all of
ties test (15 percent).
these efforts, but we need something more.
But the increase over the model in which
Virtually every state in the country is
tests are weighted high (40 percent) is not
working on K-12 systemic reform projects
great (14 to 17 percent for African Ameri-
and trying to ensure equity in the opportunity
cans and 17 to 22 percent for Latinos). This
to learn. It isn't easy because of factors in stu-
weighting also produces a slight loss in
dents' environments and uses of time that are
degree completion for both those African
beyond the control of schools. Higher educa-
Americans (51 versus 48 percent) and Lati-
tion thus has to help the schools by supple-
nos (52 versus 49 percent) who wound up in
menis that change those non-school
the top two quintiles. All of these changes,
environments and non-school uses of time.
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Instead of
precollegiate teach activities and should
WORKS CITED
not be read as a dirent evaluation of federal-
spending $50,000
ly sponsored presollege TRIO program such
Baker, R. "The Blathery Gibberish,"
as Upward Bound But if we took the High
on your next
The New York Times, April 29, 1997, p.
School & Beyond cohort (granted. it' not
A25.
contemporary with the NCES survey but it is
"diversity
Jen, Gish. "Who's to Judge: Identity
all we have at the present moment to alk
Politics V. Inner Lives." The New Republic,
about long-term follege attendance and at-
conference,"
Vol. 216, No.16, April 21, 1997, PP. 18-19.
tainment), broke but a universe of students in
Chaney, B., L. Lewis, and E. Farris.
the lowest two cioeconomic-status quin-
at which
Programs at Higher Education Institutions
tiles, split these groups between those who
for Disadvantaged Precollege Students.
said they participated in a precollege TRIO-
academics will
Washington, DC: National Center. for Edu-
type program and those who said they did
cation Statistics, Statistical Analysis Re-
not, and asked what difference this ticipa-
preach to the
port, December 1995.
8
tion made. we would find that the dift erences
in access rates and degree completion by age
choir, set 50
President Clinton's proposal to use Ameri-
30 were comparatively modest. and the dif-
corp's volunteers and College Work-Study
ferences in preparation were nil.
disadvantaged
students as reading tutors for 8-year-olds is
Fifty-seven parcent of the TRIO-type stu-
right on target-particularly if combined with
dents continued beir education after igh
minority kids up
family literacy programs such as EvenStart-
school. compare with 50 percent of the non-
because reading abilities are the key to every-
TRIO-type group The difference in bache-
with desks,
thing. Reading competence acquired at age 8
lor's degree completion rates was 17 percent
will not be lost, but it will stagnate unless
(TRIO-type) to percent (non-TRIC-type).
computers, and
higher education takes the President one step
While the gree-completion spread
further.
speaks better for TRIO-type program these
Intranet
So where can we focus the real work? We
numbers are far elow the 44 percent rate for
can start with precollegiate outreach pro-
all High School Beyond students who con-
connections.
grams designed to change non-school uses of
tinued their education after high scho 1.
time, but which-as reflected in a recent Na-
There was no difference in the profile of math
tional Center for Education Statistics survey
course-taking in ligh school: 71 percent of
of 1.200 two-year and four-year colleges-
the TRIO-type population and 74 percent of
affect too few, too late. with too little. (See
the non-TRIO-typ group never got as far as
Resources.)
Algebra 11. And both groups. only 5 per-
How so? Only 32 percent of institutions of
cent earned 11 othore Carnegie Units in core
higher education even sponsored a precolle-
academic subject in high school. The data
giate outreach program for disadvantaged
suggest that an injection of quality control is
students. The median number of participating
in order.
faculty was six per college, the mean stu-
For the High School & Beyond collort. as
dent/staff ratio was 46:1, and 42 percent of
well as for the students of the early 1990s in
participating students attended only during
the programs reported in the NCES survey,
the summer. One out of seven participating
minorities accounted for 60 percent of those
students entered after high school graduation,
in precollegiate outreach programs. If we are
which means they didn't stay long. Only a
ever going to do the right thing for minority
third entered prior to high school, and-we
students, and if we are ever going to thieve
can infer-were out well before they finished
true diversity, higher education has todo
high school.
something very dramatic.
The average reported annual time in these
So let's set the following targets for the
programs was 250 hours. That number
next five years:
sounds decent-until we see how the time
Double the proportion of four-year col-
was used. Colleges were asked to indicate the
leges with precollegiate outreach programs:
three most important services carried out
and, because of their proximity to isolated
within their largest outreach programs. The
populations, increase the number of commu-
top item on the list was "social skills develop-
nity colleges sponsoring these programs.
ment." Preparatory courses and remediation
Quadruple the median number of faculty
ranked fifth and sixth.
involved, and cut the mean ratio of students
Social skills development will not get you
to staff to 30/1 or less.
a degree. Academic preparation will increase
Start all participating students while they
the chances dramatically.
are still in middle school: use Saturday
The NCES survey covered all kinds of
schools during the academic year andeight-
44
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STATISTICAL INFORMATION
for those interested in
F
on degree completion than
attainment for the High
statistical matters.
moving up a step on the SES
School & Beyond/Sopho-
simple logistic regres-
scale. These numbers change
more Cohort.
sion analyses of bachelor's
but slightly according to
When SES is added, the
degree completion by "aca-
which of the five models of
two variables have an Ad-
demic resources," control-
academic resources is used.
justed R-square of .324,
ling for socioeconomic
In a simple regression
which means that SES did
status (SES), show that with
model (Ordinary Least
not add that much to the ex-
each move up the quintile
Squares) with the same
planatory power of academ-
ladder of academic re-
variables, the coefficient for
ic resources (not surprising
sources, the chances of earn-
academic resources is .167
when the correlation be-
ing a bachelor's degree (not
with a T value of 34.1.
tween SES and academic re-
the best way of describing
whereas the coefficient for
sources was .288). Further
the "odds ratio." but it will
SES is .058 with a T value
investigations of this model.
have to do) increased by 3.3.
of 11.8. The Adjusted R-
including replications with
For each move up an SES
square for academic re-
other data sels, other ap-
quintile range, the odds ratio
sources alone is .310, which
proaches to weighting the
increased by 1.6. Moving
means that, in this model.
components of academic re-
up a step of the academic
academic resources explain
sources, and more sophisti-
resources ladder. then. had
over 30 percent of the vari-
cated statistical analyses are
more than twice the effect
ance in bachelor's degree
being pursued.
?
week sessions in summer, with modest but
account but including the computers and In-
escalating stipends in a college scholarship
tranet connections, I estimate the cpst will be
escrow account for each year the student re-
an annual mean of $4,000 per student. If
mains in the program after grade 8.
1,000 institutions that were not doing this in
Put a desk, a dedicated computer. and In-
1996 started doing it in 1997. taking on an av-
tranel connection in every participating stu-
crage of 30 students a year beginning in grade
dent's residence. and arrange (at least)
6 or 7 and holding 80 percent of them through
twice-weekly interchanges with student men-
grade 12. we would affect about 168,000
tors; involve family and extended family in
more disadvantaged students by 2003 (two-
these electronic conversations and thus lever-
thirds of them black or Latino). and at a na-
age the impact of learning.
tional cost of about $672 million in 1997
Where the dominant home language is
dollars. Given the benefits. that's cheap.
not English. include ESL for family members
Who will pay for this expansion and in-
who wish to participate so as to expand the
creased quality control? If they are serious
students' environment of learning.
about "diversity," colleges themselves will.
Emphasize reading skills from the outset.
particularly those with a modicum of selec-
starting with software manuals: using Intranet
tivity, Think of it as part of the President's
tutorials. develop fluency in manipulating
call for more voluntarism. Instead of spend-
symbolic information.
ing $50,000 on your next "diversity confer-
Recognize that the students would not
ence" at which academics will preach to the
enroll in these programs unless they wanted
choir, set 50 disadvantaged minority kids up
to learn: hence, elevate preparatory instruc-
with desks. computers, and Intranet connec-
tion to the top position in terms of time and
tions. The choir will sing.
effort.
For four-year institutions. start setting
Reserve the second slot in terms of time
aside 5 percent of your endowment income
and effort for cultural expression and the de-
now. and 5 percent of your annual fund drive.
velopment of talent in music. an, dance, or
It will go a long way. Or. in your next capital
theater, as appropriate to institutional loca-
campaign, larget 20 percent for precollegiate
tion and capacity. These activities also rein-
outreach programs, and gel the foundations to
force academic objectives.
match. This is far more consequential busi-
Monitor and evaluate annually. and do
ness than "redefining merit"-far more ex-
not be afraid to fire somebody if the turnover
pensive. but far more credible. It has the
rate is excessive. Remember that it's the siu-
potential 10 cut the degree completion gap in
dents who count.
half-and without the jabberwocky. It's time
What does it cost? Exclusive of the escrow
to walk the walk and drop the talk,
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14
COMMENTARY
Turning College 'Access'
Into 'Participation'
By Clifford Adelman
Eight percent earned more than
60
credits
but
no
11
he idea of "access" to higher education has
degree. Nearly two-thirds of these students started
been ensurined in rhetoric for three decades,
out in four-year colleges, and 70 percent attended
during which time the number of undergradu-
more than one school The majority of them wandered
ates in the United States more than doubled,
from one major to another with no resolution.
from 6 million to nearly 13 million, while the propor-
The balance completed credentials: certificates (6
tion of college students completing degrees of any kind
percent). associate's degrees (9 percent), and bache-
remained flat. This contrast strongly suggests that "so-
lar's degrees (40 parcent). They at least emerged from
cess" may not be the word we need in 1997.
the building with a currency on which to draw in a
"Access" is what happened when buildings were mod-
credential-driven labor market.
tfied with ramps and special elevators so that individ-
In these stark numbers we are looking at different
uals previously excluded by structural
levels and indicators of "participation" in higher edu-
features had the opportunity to enter
cation, not "accesa." Compared to participation, access
and use the facilities. Indeed, they
enter, and in great numbers. But what
is easy work. If our rhetoric emphazized participation,
they actually do once they are in the
we might act more effectively in light of the problems
buildings and whether other users in-
that these numbers begin to reveal,
teract with them in productive
I'm not sure what we can do about the "incidental
these are not "access" issues.
students." More than a third were either high school
Similarly, a variety of policies have
dropouts at some time or said they really didn't like
opened the doors and provided ramps
school. For a majority, educational aspirations were
into colleges, community colleges, and
low, and precollege records followed suit with little
other postsecondary institutions for
over-higher proportions of our high
academic content. This combination is formidable.
school graduating classes. Three out of
But we can work with and for the other potential
four high school graduates (and seven
noncompleters, whose histories reflect inadequate high
out of 10 black and Latino high school
school preparation in mathematics (with the majority
graduates) in 1992, for the most recent
not getting even as far as Algebra 2), comparatively
availablerezample, took advantage of
high rates (20 percent) of callege-level remediation in
"access" to higher education by 1994.
reading, a high incidence of "stop-out," incoherent
That 75 percent "access rate" is up
courses of study, and a considerable amount of "school
from 67 percent for the class of 1982
hopping." Multi-institutional attendance is not damag-
and 58 percent for the class of 1972.
ing in and of itself, but in this configuration of behav-
In this accounting, "access" means
iora, it adds to a spiral of disillusionment.
that you enrolled for at least one course,
How do we address these dissonances so that stu.
and stayed long enough to generate a
dents with access can use the edifice of higher educa-
record. But what kind of record? Data
tion more efficiently? Bringing high school students
from the National Center for Education
through and (especially) beyond Algebra 2 has an in-
Statistics allow us to follow the same
credibly powerful impact on degree completion. So does
students on high school and college
improvement in reading skilla, which we 80 naively take
transcripts from age 14 to age 30. or
for granted. We ask our community colleges, in particu-
those in the high school class of 1982
lar, to develop these abilities after students enter the
who entered higher education, we find
building. Butthere are other options for community col-
that, by 1993:
leges to help guarantee student learning before "access."
Thirteen percent were incidental
For example, just as community colleges contract
students: They earned no more than 10 credits, and
60 percent were gone within a year of entry.
Another 24 percent earned more than 10 credits
but less than two years' worth of credits. Most started
out in community colleges, nearly half attended more
than one college, and an even higher proportion pro-
duced a curricular trail for which "amorphous" is a
(OVER)
generous description.
NOV-17-97 MON
2:04 PM OERI / PLLI
FAX NO. 202 501 3005
P. 15
with businesses to provide customized training pro-
grams, so could they be funded to contract with high
schools for courses such as trigonometry and supple-
mentary skill-building in reading, using the "feeder"
relationships many have developed with high schools
in the context of tech-prep and school-to-work pro-
grams. Some of this goes on today, but not enough.
Another strategy addresses nonschool time, and
the dispiriting fact that only 28 percent of commu-
nity colleges currently operate precollegiate outreach
programs under any sponsorship. De-
pending on proximity to the student
population, qne could choose ap-
proaches ranging from year-round Sat-
urday schools (rural, suburban) to
drop-in community technology centers
(urban) to Intranet links from commu-
nity college learning centers to termi-
nals in libraries, churches, and other
community institutions. The participa-
tion problem requires a vast expansion
of these efforts.
ut we need to do some work in-
B
side the building, as well. The
rates of stop-out and eclectic
multi-institutional attendance
reflect poor monitoring and advisement
in college as much as student con-
sumerism. The fact that a significant pro-
portion of the noncompleters have no
academic identity indicates, too, a failure
to assist them in finding fields of interest
and strength. To counter stop-out, col-
leges may have to bend the rules to
keep the student enrolled, attached to
the institution and its community, even
if for one course per term. The task of
assisting students in establishing aca-
demic identities, though, is more diffi-
cult and may involve a degree of insti-
tutional candor and risk that we rarely
encounter in higher education. If the
student expresses interest in a partic-
ular academic path and the college has nothing to
offer in that field but a trail with potholes and
washed-out bridges, it has an obligation to help the
student transfer to a school that can do better.
After all, if we really care about something more
than "access," it's the student who counts, not our in-
stitutional egos.
Clifford Adelman serves as a senior"
research analyst with the U.S. Department of Educa-
tion in Washington.
VALUING DIVERSITY
AN ONGOING COMMITMENT
W e t h e People
©
We the People @ IBM are first and foremost individuals. Individuals
in every sense of the word. We come from diverse origins, live
different lifestyles and pursue our own dreams. What we share is
the belief that each and every one of us makes a meaningful
contribution to IBM. We also believe that no particular
background has a monopoly on innovative thinking enjoys
inherent advantages or possesses the secret to success.
In fact, We the People @ IBM believe that "none of US is as strong
as all of us." We are that much stronger because of our social and
cultural diversity: What's more, we're proud to be part of a
company that is sensitive to the needs of its employees and their
communities. We are also proof of IBM's ongoing commitment to
a single measure of excellence. A standard based solely on talent,
results and commitment.
Together, We the People @ IBM - American Indian, Asian,
Black, White, People with Disabilities, Gay and Lesbian, Hispanic,
Men and Women, Young and Old, or any combination - will lead
Team IBM through the 90s and into the next century.
Table of Contents
3
The Open Culture @ IBM
7
Diversity Programs @ IBM
7
Equal Opportunity @ IBM
11
Affirmative Action @ IBM
14
In the Community
15
Professional Opportunity @ IBM
31
Expanding Educational Opportunities
35
Work/Life Programs @ IBM
41
IBM Principles
42
IBM Policy Letter: Workforce Diversity in the United States
44
An Ongoing Commitment @ IBM: Outside Recognition
45
Employment Data for U.S. Locations 1993-1995
People @ IBM: ILEANA & VINCE VILA
First
we formed
our
t
e
a
m,
then we found our
IBM gave us more than
field of d re ams.
It offered an environment the
appeals to our competitive natures
lleana: 20 years @ IBM. Advisory Engineer,
while satisfying our desire for stability.
Personal Systems Group. BS Electrical Engineering,
U. of Miami (#) in class). Born: Cuba.
Interests: Woman's soccer league, working out,
It encourages us to work hard. play hard.
watching daughter play soccer. Member: Society
of Women Engineers, Cary High Athletic Club.
Vince: 20 years @ IBM. Consulting Program
but never lose sight of the real meaning ÷
Administrator, Personal Systems Group.
BS Electricol Engineering, U. of Miami (magno
cum laude). Born: Cuba. Interests: Soccer,
of winning - balancing successful careers
college football. Membership: Cary High Athletic
Club, Capital Area Soccer League, church building
campaign. The Vilas live in Cary, NC, and have
and our home life.
"
The Open Culture @ IBM
IBV 3 C collerell, diverse organization. Inclusion has been on integral part of our
workforce diversity is a strategic
corporate culture for more than 80 years. As one of the first global enterprises, and
imperative. To know our markets and
C: leader in OR industry characterized by original thinking, we've long recognized
serve them well requires that 116
the value +: different people bring to our company. Toward that end. WE
understand them. And understanding
introduced - mony years before required by law - practices and policies that
comes from employing people who
encourage workforce diversity.
represent those markets. Only by
drawing the best people from today's
vast and diverse pool will we achieve
Today. IBM has one of the most
our business objectives.
diverse workforces in the world. A
AN ONGOING COMMITMENT
person's gender and ethnicity are only
Building a team of outstanding. dedi-
two aspects of diversity. Over time. we
cated people requires focusing not on
have expanded our definition of
what an individual 15. but on his or
diversity to include those human
her knowledge. skills and ability
characteristics that make each person
It also means recognizing that
umque: race. color. gender. national
characteristics unrelated to job per-
origin. culture. lifestyle. age. disability:
formance are entirely irrelevant.
sexual orientation. Vietnam-era
This perspective was not
veteran status. economic or marital
formed overnight. For more than
status and religion.
two generations. IBM has worked to
STRATEGICALLY CORRECT
establish a workforce free from
In America. diversity is still a political
all forms of discrimination and
issue - for example. the current
harassment. The first disabled
debate over abolishing affirmative
employee joined the company in
action. For IBM. diversity has tran-
1914. IBM placed women in profes-
scended politics and is clearly a
sional positions in 1936. and named
business issue. To compete and win
its first female vice president 11) 1943.
in the marketplace. we need to
The first Black sales representative
attract. and to retain. the most tal-
was hired in 1946. and a Black engi-
ented and motivated people. This is
neering manager was named in 1956.
as true in our U.S. markets as it is in
A GLOBAL APPROACH TO DIVERSITY
the global arena.
Workforce diversity fuels the high
The IBM principle "The mar-
performance culture necessary to
ketplace is the driving force behind
compete in the global market. Since
everything we do" helps explain why
1924. when the company became
Diversity € IEN
3
ople @ IBM: IRA DEARING
' I needlework and
workplace, ,
the greater the
a OF OEN
the more
interesting
the
As both an advocate
results.
for diversity and as
a needleworker. I
26 years @ IBM. Development Programmer
consistently find that it is the differ-
on assignment as Human Resources Equal
Opportunity and Diversity Program Manager,
Storage Systems Division. BA Mathematics,
ences - whether in color. material o:
California State University at Chico. Interests:
Needlework, traveling. Member: National Assn.
of Minority Engineering Women Program
point of view — that add vitality and
Administrators, National Society of Block
Engineers Region Six Advisor, National Action
Council for Minorities in Engineering. Morried
create the best product.
"
with one child.
The Open Culture @ IBM
International Business Machines.
The People @ IBM: TRIVINO
we've considered the world our
SEYMOUR
market. Today. it's interesting to con-
sider that IBM does business in
almost every nation on earth. With so
universal a scope. it's imperative 115
promote an equally international per-
spective. A. a global company. we
view every citizen of every country as
a potential consumer.
consumers must know that 1BM employs people who look
:-:
proteciate them. They must believe our people have
meet the business and personal needs.
IEM employee: where E' they work.
015
"
wouldn't be here if il
weren't 0 nurturing pick
A: any given time. 1BM
where I could grow. Grow
employees are op assignment 111 for-
with my family. Grow as an individual and
eign countries. These individuals play
be recognized for my effort. My managers
3 critical role in our global strategy.
have always understood that being 0 wife
They may be on assignment to help
and 0 mother are the most important
introduce new products in their
things to me. "
home markets. or as part of an
international team developing prod-
16 years @ IBM. Express Services
uses or strategies. What every visiting
Marketing Representative. BA Business
IBM employee can expect during his
Administration, U. of Texas, Austin.
or her assignment is to be treated as
Interests: Her daughter's Girl Scout troop,
an equal member of the IBM team.
interior design, eating out, travel.
Member: Alpha Phi Sorority, Girl Scouts
of America. Married with two children.
1e People @ IBM: WALT SMITH
I m just a
hall t O W n
boy
trying to make the
whole wor
Id
my
small town.
When IBN looked at menther
didn't see a blind man. Them
saw an opportuni,
Disabled Employee of the Year,
When at first it didn't work out. they
1995, CAREERS & the disABLED
Magazine
17½ years @ IBM. Technical writer,
have turned away. but they didn't We
Networking Hardware Division. BS Education,
Clarion State College, Clarion, PA; MLS, U. of
Pittsburgh, PA. Interests: Amateur radio, reading
looked again. and together found place
(history and biography), surfing the Internet.
Member: American Council of the Blind,
American Radio Relay League, Handy Hams.
where I could succeed and I did "
Married.
Diversity Programs @ IBM
Justice notion must demonstrate the will to acknowledge and correct evidence of
Opportunity Programs keeps our
inspubli. C company must understand how these issues impact its bottom line. We
corporate culture vital. increases
('
10 addressing social issues that could inhibit our effectiveness
our productivity: and enhances our
Since workforce diversity is C strategic resource. we have poli-
presence in the marketplace.
Initiatives that encourage and sustain diversity. These programs
REAL OPPORTUNITY
what VE do 05 C company. they ore centrol to our success.
Discrimination on the basis of factors
::
workforce diversity is built on three platforms: Equal
unrelated to the job simply are not
E Action and Work/Life Programs. Equal Opportunity means
tolerated at IBM. Individuals are
ct eve:, level of the company to qualified individuals.
hired and promoted on the basis of
include: those programs the: ensure everyone has the opportuni-
their qualifications and job-related
of ONCE on on equal basis IBM Work Life Programs help
requirements. To proceed otherwise
the increasing obligations of their
would be wrong and have a detri-
mental effect on our business.
IBM's first written statement
of equal opportunity was published
in 1953. more than a decade before
Equal Opportunity @ IBM
the landmark Civil Rights Act of
Equal opportunity means equal access
1964. This statement reinforced
to the workforce. For minorities and
IBM's commitment to nondiscrimi-
people with disabilities. access was
natory hiring practices. Since then.
once a matter of getting through the
our policy has maintained a nondis-
door. For women. who were tradi-
criminating and harassment-free
tionally confined to clerical and
environment. where no IBM
support work. It was access to profes-
employee feels at a disadvantage
sional and managerial positions.
because of his or her differences. but
Today. access is about the
where all employees are confident
elimination of all barriers. It's about
they will be evaluated solely by their
encouraging individuals to compete
qualifications.
for advancement. up to and including
At IBM. we work toward creat-
senior management and executive
ing an atmosphere conducive to the
positions. Equal opportunity is not a
highest quality work. A workplace
static concept As doors open for
where all people feel comfortable and
groups previously excluded. the con-
productive. Furthermore. IBM will not
cept continues to expand. In the final
allow any behavior that creates an
analysis. our commitment to Equal
intimidating or offensive environment.
The People @ IBM: TERRY POPP
" The
warrior spirit
is alive + well.
Good
1 think of
for
IBM,
bad for the competition.
the marketplace its .1 new
frontier. where my traditional tribal
11½ years @ IBM. Inside Sales Manager/
values give me and ny team a
Professional Development Manager, IBM North
America. BA Computer Science, U. of Georgia.
Interests: Physical fitness, sports, travel.
competitive edge "
American Indian - - one-quarter Lakota Sioux.
Diversity Programs @ IBM
Employees are encourag a to come
Architectural modifications and
The People @ IBM:
forward and talk to their manager at
computer adaptations for the
any time they have experienced
mobility impaired.
harassment. Communication chan-
Electronic bulletin boards to aid
nels. such is Open Door and Speak
employees with visual or mobility
Up: programs. exist to help employ-
impairments.
00 address their situations.
IBM publications on audio cas-
Because of the corrosive
settes for the visually impaired. and
effect of harassment on morale and
software and printers for Braille
productivity. employees engaged in
translations.
these activities are subject to disci-
Sign language interpreters. captioned
plinary measures. including dismissal.
videotapes and telecommunications
On: standard :- outlined 11) the IBM
devices for the hearing impaired.
Basiness Costine them Your
In addition. 1BM has developed
and other 1BM publications.
a variety of products and services
"
ACCESS POR RECELE WITH DISABILITIES
used by employees that are aiso avail-
Everybody has their
Since the earnest days at 1BM. people
able in the marketplace. including:
idea of family. This is
with disabilities have engoyed oppor-
IBM ScreenReader* with audio
mine. At home, I enjoy a deeply
number in biring and training In fact.
output for computer users with
committed 14-year relationship and
BMS commitment to people with
visual impairments (also available
two beautiful children. And at work,
disabilities has demonstrated itself
with OS graphical user inter-
supportive management that helps me
::: renovated buildings and offices.
face screens).
be my best at home and in my career.
"
and through the introduction of cut-
IBM SpeechViewer* 11. a comput-
ting-edge technology. These actions.
er program that converts elements
14 years @ IBM. Associate Programmer,
which offer greater access to employ-
of speech into interactive graphic
Software Group. BS Police Science Admin.,
ce with disabilities. began decades
displays with audio feedback to
Northern Arizona University. Interests:
before the first federal law addressed
increase the efficiency of speech
Her children, the Internet, raising cockatiels.
this issue
therapy:
Member: ¡HABLA! (school parent group).
Today. employees at all levels
IBM THINKable*. a multimedia
Debbi (standing) with domestic partner
of the company who have known
software program to help people
and two children.
disabilities are included 11) the com-
with memory loss resulting
pany's affirmative action program.
from head injury. developmental
The following are examples of work-
disabilities. drug abuse. neurological
force accommodations made for IBM
disorders and other cognitive
employees with disabilities:
disorders.
Diversity 9
The People @ IBM: DEBRA ZYKOFF & CARRIE HARDEN.
5
If the question is
work
or
family,
Job sharing gives 111 the best of
Ourlanswer IS
both
all possible worlds - time
with our families. income. and
Debra (left, in photo): 12 years @ IBM.
professional satisfaction - while it offers
Executive Secretary, Semiconductor Research
and Development Center. Interests: Needlepoint,
booting, collecting crystal pieces. Married with
the company two dedicated. hardworking
one child.
Carrie (right): 13 years @ IBM. Executive
Secretary, Semiconductor Research and
professionals. It's a balance that works to
Development Center. Interests: Horseback riding
and swimming. Morried, three children and
one on the way.
everyone's satisfaction. "
Diversity Programs @ IBM
AccessDos. a collection of software
tures and brings to the worldwide
aids that provide extended key-
marketplace products specifically
board. mouse and sound access for
created for individuals with disabil-
IBM DOS users. These extended
ities. IBM Special Needs Systems
access features have been incorpo-
has contracted with selected market
rated into the standard OS/2*
resellers and vendors of disability
operating system.
products to market these products.
IBMANe. Type Dictation* a voice
recognition product that allows
In 1967. IBM created on equal opportunity department to establish quidelines is ful.
J person to provide voice input
filling company policy. Today. workforce diversity is administered throughout the busi-
10 computer.
ness and 01 every IBM location.
IBM KeyGuard. a molded key-
The workforce diversity staff ensures that IBM S policies - and the - 05
board overlav with holes that
fully observed. IBM managers are responsible for implementing our workforce diver-
expos, and isolate each keytop.
sity objectives. To help and guide them, managers receive annual owareness training
this enhancing keving accuracy for
C: well as evaluations on how well they meet our goals. Employees also participate :
these may have impaired hand
01 least one review 0 year 10 ensure that they understand IBM policies and programs
organi muscular control.
IBM communications regard-
OPPORTUNITIES FOR VIETNAM-ERA AND
mg our program for people with
SPECIAL DISABLED VETERANS
disabilities include an awareness and
Another group included under
training module for line management
the umbrella of workforce diversity
OF the Americans with Disabilities
is Vietnam-era and other Special
Act. enacted in 1992.
Disabled veterans. IBM is committed
IBM has also established orga-
to the employment and advancement
nizations to assist people with
of these men and women. as well as
disabilities including the following:
their participation in the economic
Till Special News Programs Depart-
mainstream. IBM employs nearly
ment in Somers. NY. which reviews
12.000 Vietnam-era and Special
product design for accessibility and
Disabled veterans - in all areas and at
coordinates research projects both
all levels of our business - throughout
within and outside IBM to apply
the United States.
new and emerging technologies to
products for people with disabilities.
Affirmative Action @ IBM
Special Needs Systems in Austin. TX.
1BM affirmative action programs pro-
Trademark or registered trademark of
which designs. develops. manufac-
vide individuals with the opportunity
International Business Machines orporation.
[he People @ IBM: FRANCES ALLEN
This
view from
an 1vory
Em an explorer in
tower.
both the physical
and intellectual worlds. My work at
39 years @ IBM. IBM Fellow, IBM Research.
IBM has always provided exciting
1995 President of the IBM Academy of Technology.
BA Mathematics, SUNY Albany; MA Mathematics,
U. of Michigan. Hometown: Peru, NY. Interests:
opportunities for exploring new terrain and
Mountain climbing, skiing, environmental issues.
Member: Croton Village Planning Board, various
professional organizations.
challenges that test the limits of my creativity.
"
Diversity Programs @ IBM
(1) compete. and to advance. on an
the federal government's "Plans for
The People @ IBM:
equal basis At IBM. we have found It
Progress" - a voluntary effort to
in our best interest to offer assistance
aggressively promote and implement
to all who are disadvantaged.
equal employment opportunity. At
Our policies don't simply follow
that time. our U.S. minority popula-
the law. they assume the spirit of the
tion totaled 1.250. or 1.5 percent of
law Affirmative action at IBM is a
our workforce.
long-term investment IN people and
By the end of 1995. minorities
their communities. Our programs
had increased to more than 19.400
work 1.1 eliminate disadvantage. not to
regular employees. or 18.2 percent.
give anyone an advantage. They create
During the same period. the number
.1 level playing field. where everyone
of women employees grew to over
has the opportunity 10 compete.
30,000. or 28.7 percent.
:.
More than 3.500 women and
1BM sets goals by job groups. These
more than 2.000 minority employees
"
goals are based on our populations In
held management positions at the
The adrenaline rush of
the feeder groups - those jobs from
end of 1995 And of these. more than
responding to on emer-
which % typically recruit 10 fill .1
2.000 were in senior management.
gency call and getting C
particular posmon. For example. for
Of the 10.676 new employees
system up and running ore
entry-level positions. 111 look at the
hared in the U.S. last year. over 27
surprisingly alike. The things I do
composition of the relevant labor
percent were minorities and over 32
at work, and out of work, require creative
market
percent were women. The numbers
solutions and give me immediate satisfaction.
Goals are not quotas In huring
include more than 850 college grad-
Both IBM and the ambulance corps offer the
and promoting. goals are flexible and
uates. of whom approximately 32
opportunity to be 0 part of something as
require good faith efforts on the part
percent were minorities and 30 per-
exciting as it is important.
"
of IBM managers. In meeting these
cent were women.
goals. candidates are selected from
MENTORING PROGRAMS @ IBM
19 years @ IBM. MQSeries Consultant,
among the best qualified. in .1 way
One of the most personal ways for
Integrated Systems Solutions Corporation.
that ensures IBM is hiring the best
management to demonstrate support
BS Electrical Engineering, Newark College;
people possible.
for our workforce diversity goals is
MS Electrical Engineering, New Jersey
FORWARD MOTION @ IBM
our mentoring programs. These pro-
Institute of Technology. Interests: Ambulance
The percentage of minority employ-
grams encourage people from diverse
corps, woodworking, brewing beer. Member:
ee at 1BM has increased substantially
backgrounds to enhance their career
Blooming Grove Ambulance Corps. Married
11) the past 30 years. In 1962. IBM
potential through the help of a sea-
with four children.
WAS one of the first companies to join
soned professional.
13
Mentoring is based on com-
services and cash to social. cultural
mitment to trust and confidentiality
and educational programs amounted
between participants. It is a way to
to more than $65.3 million.
receive both positive and negative
This commitment is reflected
feedback. in an informal and. most
in a wide variety of programs. includ-
important of ail. nonjudgmental
ing the following:
environment.
COMMUNITY SERVICE ASSIGNMENT PROGRAM
While mentoring in itself is not
Employees who want to contribute
new. women. minorities and the dis-
to community organizations may
abled have traditionally been "out of
apply for the necessary time away
the loop." and. consequently. at a dis-
from work through the Community
advantage Mentoring 16 designed to
Service Assignment Program. Place-
eliminate this disadvantage once and
ments can be requested by employees.
for all.
nonprofit organizations or IBM. Most
assignments are for one year with full
For
us-fc
: 5 must be sensitive 10 our
IBM pay:
employees
and dedication in return.
Since 1971. more than 1.000
- Lee Gerstne:
IBMers have been granted assign-
Chairman and CEO 1BM
ments. The American Red Cross.
Phoenix House. National Urban
In the Community
League and National Executive
A1 IBM. the word community refers to
Service Corps are some of the organi-
social networks and obligations. It is
zations that have participated recently.
where we work. live and sell our
COMMUNITY SERVICE CAREER PROGRAM
products and services. Therefore. it's
The Community Service Career
not surprising that IBM is involved in
Program allows employees to work
the community.
full-time with community-based
One of IBM's guiding princi-
organizations upon retirement from
ples is: "We serve our interests best
IBM. Retirees accepted into the pro-
when we serve the public interest."
gram receive full IBM retirement
IBM is committed to improving the
benefits and a portion of their final
quality of life in the communities
salaries for up to two years.
where IBM employees live and work.
Participants have accepted
In 1995. the company's worldwide
positions with organizations that
contributions of technology: people.
address issues such as AIDS. illiteracy.
continuedonpg.27
Professional Opportunity @ IBM
As anyone who has encountered it knows. a "glass ceiling" isn't an archite
decoration. It's a metaphor for one of the most persistent forms of discriminant
the final barrier that separates women. minorities and people with disabilities their
achieving the very top positions in a corporation.
Today; there is no policy, rule or institutional attitude at IBM that supports
a "glass ceiling." While statistically in certain areas. the representation of
ties or women is not ideal. we've made significant progress. Continuing the
progress is a strategic objective at IBM. and a central issue of workforce deversity
IBM is serious about eliminating any barriers and erasing any cultural
that reinforce a "glass ceiling." Toward that end. 111 have established ::..
following objectives:
We actively support investing in people from diverse backgrounds.
We create, through our hiring. a pipeline of those individuals
We establish an environment of quality and excellence conducive 10 full
participation and personal and career growth.
We demonstrate the willingness to expend the time and energy 10 develop
people and provide them with opportunities commensurate with their abilities
We the People @ IBM who make up this special section are proof of IBMs
commitment to professional development. We not only represent IBM's diverse
constituencies. many of us lead organizations that would rank. if independent.
among the largest in corporate America.
Rod Adkins
Shakil Ahmed
Janet Andersen
15 years " 113M General Manager.
27 years !! IBM Director. Development
23 years i! IBM. Assistant Treasurer.
Commercial Desktop Systems. Personal
Staff Corporate Headquarters.
Corporate Headquarters. BS. Brown
Systems Group BA Physics Refus College:
BS Mechanical Engineering University
University: MBA. MIT Sloan
BS and 115 Electrical Engineering. Georgia
of Karachi: MS Metallurgy Michigan State
Business School. Interests. In-line
Tech. Management Development Program.
University MBA. Pace University:
skating. hiking reading. gardening
Harvard Business School Interests: Karate.
Hometown: Karachi. Pakistan. Interests:
Member Twin Lakes Water Works Board
tennis. reading. Little League coaching.
Bridge. behavioral science. Member. Institute
of Directors "If there is .1 risk. I can
Member Kappa Airlin P.: Fraturnity-life
of Electrical and Electronics Engineers.
make a difference."
member. Nad. Society to: Black Engineers-
Co-char 1BM Asian Task Force. Married
1BM Executive Sponsor. Southeastern
with two children.
Consortant for Minorities 15 Engineering
Board Married with illo children
Sharon Blasgen
Bruce Boggs
Kathy Butler
27 years " 113M Associate General
Payears a IBM. General Manager.
21 years a IBM.Vice President.
Counsel. Storage Systems Division.
Southwestern Area. 1BM North America
Worldwide Software Technical Support
BA. Scripps College ID L. of Cantosma
BS Computer Science. U of South
and Services. Software Group.
at Berkeley Boak Hall School of Law.
Carolina Hometown: Greenville SC. Interests:
BA Mathemanes. College of Mount Saint
Interests: Her family Member Cahforma
Mountain climbing. sailing golf. Member:
Vincent. Interests: Her nieces and nephews.
Law Employment Council Executive
Dallas Citizens Council. Co-chur White Male
gold sking piano playing. photography
Committee Permisel. AND General
Tack Force Married with three children
Counsels A...... Insure ... Envirol
and Electronics Engineers Married
with two children
Professional Opportunity @ IBM
Harold Bailey
Brenda Bazon
Diana Bing
25 years !! 1BM Vice President Lorus
It years i!! IBM. Vice President. Direct
19 years is IBM Director Resource
Markering Integration BA Philosophy and
Marketing Western Area. 1BM North
Development Personal Systems Greep
B Apphed Mathemines Brown University:
America. BA Art History. Princeton
BA. SUNY-Brockport M.Ed and MA.
Honorary P!:.D Homene Letters Brown
University Interests Culinary arts. oenophihia
Columbia University. Interests: He:
University Interests. Tennis. reading
"IBM allows me to pursue research. discuss
gardening. travel. reading Member Business
Member: Trustee Emeritus - Brown
and solve problems. 34 part of J team of
Advisory Council Chan. St. Augusting
University, Director of Diamock
incredibly bright people." Married with
College. Atlanta University Center Beard
Community Center - Boston 100
two children.
of Directors Married with one child
Black Men of Stamford CT. Married with
two children.
:
Carolyn Chin
Michael Coleman
Roul Cosio
" IBM Vice President. Strategic
20 years 'a IBM. General Manager.
21 years a IBM. General Manager.
Process Corporate Headquarters
PC Servers. Personal Systems Group
Manufacturing and Procurement.
BS Engineering. Renselaer Polytechnic
B.A. MBA and Ph.D. Gonzaga University
Server Group. BS Electrical Engineering.
Institute: MBA Harvard Business School
Interests Hiking. camping. music Member:
U. of Miami. Interests: Sports. travel
Interests. Her daughter. origan. voluntary
Active with Bov Scouts. battered women
Member: C. of Miami President's Countril
Menther Committee for
and other charities Co-chair. IBM People
Co-chair: IBM Hispame Task Force
Eveneme Development, NYC Outward
with Disabilities Task Force. Married with
Married with three children
Feed :- the Can of New York
two children
White House Fellows two Renselaer
Co-chair Asian Task Force.
Maried with CIR chald
Earlene Cox
Marianne Crew
Patt Romero Cronin
17 years !! IBN Director Federal Income
22 years is IBM.Vice President. Technical
15 years a IBM Director. Enterprise Data
TJX Operations. Corporate Headquarters,
Support. IBM North America C. of
Marketing Software Solutions Division
BA. U of North Carohna-t ereensboro: ID.
Tennessee Memphis State University,
BS. U of Santa Clara MBA. Golden Gate
U. of North Carelina-C hapel Hill. Interests:
Interests. Family and friends. horseback
University. Interests: Her family. kid's school.
Competitive tennis Member T. Executive
riding. Member: Norwalk Hospital Board
home projects Member: Ministry of St.
Institute. Umon Child Davoine Board of
of Directors. Guiding Eyes for the Blind
bidore. Girl Scours. :A. my career advanced.
Directors VPTW has Skv best about
Area Coordinator "I'm a very fortunate
I was able to keep the balance of work and
business and tentes how both require
woman. truk blessed 11) this life. who "
family. People were " supportive after my
you to be JO your aggressive i'..
committed to helping those who have
first child. there W.I no question about
taker." Married children
not been given the opportunities I have
having a second and a third." Married
enjoyed Two children.
with three children
Armando Garcia
Jose Garcia
Maria Garcia
14 years !! 1BN: Vice President. Services.
2- years a IBM. General Manager.
22 years @ IBM. Semor Contracts and
Applications and Solutions. IBM Research
Consumer Desktop Systems. Consumer
Negotiation Executive. Integrated Systems
BS Electrical Engineering. L of New
Division. BS Electrical Engineering
Solutions Corporation BA. Barnard College:
Haven. MS PM i) Electrical Engineering
L of Tennesse: MS Electrical Engineering.
ID. Columbia University Law School.
and Computer Screence MIT. Interests:
U of Kentucky. Hometown: Cienfuegos,
Member. American Bar Assn.. New York State
His children. Corting fiving.
Cuba. Interests: Walking. SCUBA. golf
Bar Awn. "When I began my career. 1BM
sking Member Institute 0: Electrical
Member. National Hispanic Corporate
already understood family issues. 1 had ny first
and Electronicos Engineer- Married with
Council. Co-Chan: 1BM Hispanic Tash
child and then another. Today. they are both 111
three children.
Force. Married with three children.
college. IBM always supported my decision to
be a mother and a professional." Co-chair IBM
Hispanic Task Force. Married with two children
Professional Opportunity @ IBM
Barbara Ellis
Nancy Faigen
Lorraine Fenton
22 your " 1BM Director. Worldwide
1- years iii IBM. Executive Assistant.
25 vears !! IBM. Vice President and
Fulfillment Protect Office. Technology
Office of the Chairman and CEO. Corporate
Corporate Information Officer Information
Group B Business Education. North
Headquarters BA and MBA. Darmouth
Technology IBM North America
Carolina ANT State University MBA. Pace
College. Hometown: Palm Beach FL.
BA Mathematics. Dickmson College.
University, Interests: Reading. community
Interests: Her children. golf. sking. aerobics.
Interests: Reading music. tenms. goif
service Member: Operation Link-up
Married with two children.
Member. Marymount College Board
Memoring Program. Pace University-Dyson
of Trustees. Fairfield County Girl Scours
College Advisory Beard. Delta Signa Thera
Corporate Board "I feel lucky I've had
Screenty P.C.. Namenal too: of Female
many great opportunities. challenging nobs.
Exeratives Co-chan 1BM Women's T...h
supportive friends and family."
Form Married with one child
Carlo Gude
Satish Gupta
Annette Haile
2. 1BM Director. System Software
14 years @ IBM. Vice President. Technical
22 years a IBM. Director. Solutions
Structure. Software Group. B.A. Vassar
Plans and Controls. IBM Research.
Design Delivery and Supply Management
College MA. Cornell University Interests:
BS Technology Indian Institute of
IBM North America. BS Biology loin:
Funnh and themas, sking sailing Member:
Technology. Kanpur. India: MS and Ph D
Carroll University MBA. Baldwin Wallace
League of Poughkeepsie Married
Computer Science Carnegie-Mellon
College. Hometown Gary: IN Interests
children
University Born. Delhi. India. Interests:
Theater. Chinese martial arts. crafts.
Hiking. cooking. Ping-Pong. Member: Ann
Member: Studio Theater Board of Trustees.
of Computer Manufacturers. Institute of
Co-chair IBM Black Task Force.
Electrical and Electronics Engineers
Married with one child.
Iro Hall
Nancy Hayes
Dennis Hearon
!1 years !! IBM. Director. International
IS years iii IBM. General Manager.
29 years @ IBM Vice President.
Operations. Corporate Headquarters
International Operations and Business
Availability Services. IBM North America.
BS Electrical Engineering. Stanford University,
Process Reengineering. Corporate
BA Mechanical Engineering. City College
MBA. Stanford University. Interests Skiing.
Headquarters. BA Finance. U of Dayton:
of New York: MS Industrial Engineering
golf. sailing. Member Southern New England
MBA. L. of Chicago. Hometown: Chicago.
Polytechme Institute of Brooklyn. Interests
Telecommunications Corp. Board of Directors.
IL. Interests Recording for the blind. volun-
Carpentry SCUBA photography Member
Jackie Robanson Foundation Board of
feering with semors. mentoring
Outward Bound USA Board. North
Directors. Alpha Pm Alpha Fratemary THE
Carolina Outward Bound School Board.
important to me to contribute sumukineoush
"I'm curious about almost anything"
to my family. 1BM and the communiral"
Married with two children.
Married with two children
Ron Lauderdale
Cathy Lewis
Charles Lickel
21 years a 1BM Legal Counsel AS 400
17 years @ IBM. Semor Director. Services
17 years ia IBM Vice President. S 390
Division. BS. Ohio University: ID. Ohio
Marketing Lows Development Corp.
Software Development. Server Group
State University Hometown: Columbas
BA Mathematics. Grambling State
BS. SUNY-Albany. Interests: Hiking. swim-
OH. Interests H:- children family. golf.
University Hometown: Minden. LA.
ming. stamp collecting Co-chair: IBM
history. Member American Be two
Interests: Tennis. bicycling Member:
Gay Lesbian Task Force. Domestic partner.
NY State B.:: A..... California B.: A......
National AND of Female Executives.
American Corporate Counsel Ave...
Elected one of five Women III Technology
Greenwich Coentry P.n. School Board
US Black Engineer Magazine, 1994 Married
of Trustees. 15 exciting being . part of
the rebuilding of IBM" Married with
two children
Professional Opportunity @ IBM optinued
Frank Jones
Jill Kanin-Lovers
Kim Kispert
Servears !! IBM Vice President. S 390
7 months is IBM.Vice President. Human
18 years i! IBM Director. Business
Worldwide Manufacturing and Site General
Resources - USA BA. SUNY-Albane:
Development. IBM Credit Corpo: MAY
Manager. Poughkeepsie BS Electronic
MA. U. of Pennsylvania: MBA. Wharton
BA and MBA Harvard Business School
Technology. Verginia State University:
Business School Interests Hiking. biking
Hometown. Detroit. MI Interests: Reading
Hometown: Brodnax. 1:4. Interest Golf.
murder mysteries. Member: American
sports Member: Family Centers bic. Board
fishing. Member: Alpha Ph: Alpha Fraternity:
Compensation Assn "I came to IBM when I
Horizons Student Enrichment Program
Misons Gait-m-Kind America Board of
realized that I was going to be part of a team
Fundraising Committee Married with
Trustees Poughkeepsie Chamber of
that was not only reviving a great business
two children
Commerce Married with THE children
but also 3 global asset" Married
Lip Lim
Allison Lowrie
Sharon Matthews
2: Vehic it 1BM. Director Worldwide
21 years a IBM. Director. Worldwide
15 years :a IBM Director Human
Application Software Strategy: IBM Europe
Channel Initiative Worldwide Channel
Resources. IBM Credit Corporation
M.ddle East Africa. BS Electrical
Strategy and Management. IBM North
BA Purdue University. Graduate studies
Engineering and Pn.D Computing Science.
America. BA Biochemistry Mathematics
Cornell University Interests Emoyy be:
Imperial College. London University
Mount Holyoke College Hometown
children and family. her two cars. travel.
Hondrown. Singapore Interests Day hiking.
Littleton. CO Interests: Tennis. sking.
reading mysteries. Member: Purdue Black
an: museums. wildflowers Member: R.C.
hiking Member. Elder of Presbyterian
Cultural Center Fundraising Committee
Ketchant High School Chapter of American
Church of Old Greenwich. CT.
"I an family-onented but energized in:
Free Services Co-chair. IBM Asian Task
hard work and achieving results Married
Fe... Married with one child
with two children.
Dan McCurdy
Cynthia Mitchell
D'Jaris (D. J.) Moore
13 years " IBM. Director, Business
22 years @ IBM. Director. Consulting
22 years @ IBM. Vice President. Markening.
Development IBM Research
and Systems Integration. Integrated Systems
K-12 Industry: IBM North America.
BA Histon Pointical Science. U of North
Solutions Corporation. BA Mathematics.
BS Biology Bennett College: MS Biology
Carohna-Chapei Hill summa can lander.
Syracuse University Interests: Her family.
North Carolina A&T University National
Interests: SCUBA. running weighthting.
gourmet cooking. golf. Married with
Science Foundation Grant recipient.
art. Member: Board of Directors SiBond
two children.
Interests: Collecting art. swimming. travel
L.L C., U.S. Competitiveness Poincy Coancil.
Member: Black Women's Corporate Ha!!
Phi Bet., Kappa. Order of the Gral.
of Fame. Los Angeles YWCA Leadership
Co-chair: 113M Gay Lesban T.... Force.
Council. Atlanta Chapter of the March
Domestic partner
of Dimes Board of Directors
Conchita Robinson
Anita Ross
Chuck Savage
14 years a 1BM Vice President. Software
22 years a IBM.Vice President.
28 years @ IBM. Director. Custom
Marketing. IBM North America.
Management Services. IBM Latin America.
Technology Offerings. IBM North America.
BA Mathemitics Newberry College.
BA (Honors French & Classics. MA and
BS Chemistry. Savannah State College
Interests. Traveling listening :- music.
Ph.D French Lit. & Linguistics. University
Interests: Old Testament study. pastoral care
Member: American Kidney Fund Board.
of Manitoba. Canada Interests Culinary
and counseling Member: Leadership Atlanta
Teachers as Leaders. Inc. lunio; League.
are photography. needlework Member:
Omega Psi Phi Fraternity "IBM 15 more
Leadership Arlanta. Morehouse is Spelman
Intl. Personnel Assn.. Latin American
than a 9-5 job and so R my pastoring work."
Colleges menter Two children.
Personnel Arm. Catalyst. TIBM give. me
Married with TWO children.
the opportunity to work with : splendid
arrav of talented people."
Professional Opportunity @ IBM
Carolyn Perkins
Elizabeth (Eli) Primrose-Smith
Gerry Prothro
your a IBM. Executive Assistant to
I years is IBM. IBM Director. Worldwide
20 years " IBM Vice President and Charl
General Manager Global Services
Olympic a Sports Operations. Corporate
Information Office: Corpor is Header :....
BA Economics Westeyan University: MBA.
Headquarters BA English Lit.. Stanford
BS Mathemanes Physics and M\ America.
U of North Carolina Interests: Her family
University: MBA. UCLA. Hometown:
Physics. Howard University Executive
UM basketball. singing. terms Broadway
Balumore MD Interests. Knitting. wim-
MBA Program. Harvard Business School
masseals the Internet.
ming reading Member. Los Angeles Sports
Hometown: Atlanta GA. Interests
Council Executive Board. American Athletes
Photography flying. sports
Development Foundation Executive Board.
swimming jazz. contemporary ...
Women's Sports Foundation Advisory Board.
Member: Howard University Board :
American Basketball League Advisory Board.
Trustees Co-chair: IBM Black T.S. Form
Married with one child
Married with three children
Fernand Sarrat
Raj Seksaria
Jim Stallings
21 years " HBM General Manager
S years is IBM Principal and Competency
11 years ill IBM. Director. Workdwick
Network - Centric Compoting Marketing
Leader. Business Architecture. Worldwide
Sales. AS 4001 Division. BS U.S. Navil
and Services BA Economics and Psychology.
Transformation Consulting Group.
Academy: MS. American University
Stanford University: MBA. Wharton School
BS Chemical Engineering Indian Institute
Hometown: Raleigh NC Interests H1.
of Business U of Pennsylvania Hometown:
of Technology Kanpur. India: MS Chemical
family. golf. running Member. Enterprise
San Salvador. El Salvador Interests: Reading.
Engineering. U. of Kentucky-Levington:
Florida Board of Directors U of North
fundy Member: Intl
MBA Finance Marketing. U. of Chicago
Florida Board of Directors. "1BM will it
How. of Publiciphina Board of Trastees
Interests: Photography. travel. Member:
you go it f.it its you wan: : go.Yoake
Mirroad with three chudren
Strategic Management Society. Married
only limited by you! willington is were
with one child
hard and your imagination Married
with two cinidren
Nancy Stewart
Curtis Tearte
John Thompson
25 years iu IBM Vice President. Global
17 years @ IBM. Vice President of
25 years a IBM. General Manager.
NetWorkStation Management. Integrated
Marketing Distribution Industry: IBM
Personal Software Products Division.
Systems Solutions Corporation
North America. B.A. Brandeis University:
BA. Business Administration. Florida A&M
BS Mathematics and MS Management. MIT.
ID. U. of Connecticut. Interests Sports
University: MS Management Science. MIT.
Interests. In-line skating. theater. mountain
enthusiast coaches daughter's basketball
Hometown: West Palm Beach. FL. Interests:
biking. Member: Child's Play Board.
team. Member: Omega Psi Phi Fraternity -
Hunting. outdoor sports. jazz. Member:
Children's Theater Group. Institute of
inte member. Brandeis University Alumni
Kappa Alpha Psi Fraternity: North Indiana
Electrical and Electronics Engineers.
Ann U of Connecticut Alumni Assn..
Public Service Company Board of Directors.
Coalition of Black Women. NAACP - his
NAACP Married with one child
Co-chair: IBM Black Task Force Married
member. National A... of Negro Business
with two children.
& Professional Women.
L.G. (Buzz) Waterhouse
Herbert Watkins
Irving Wladawsky-Berger
22 years a IBM. General Manager.
30 years .á IBM. Senior Site Location
25 years @ IBM. General Manager. Internet
Marketing and Business Development.
Executive. Charlotte NC BS Mathematics
Division. MS and Ph.D Physics. U. of
Global Services BS Finance Penn State
Physics. North Carolina Central University:
Chicago Hometown: Havana. Cuba.
University MBA Finance Youngstown State
MBA. Pace University. Interests SCUBA.
Interests: Baseball. the Olympics. jazz. cook-
University: Interests: Reading science fiction.
sking. road running. classical music.
ing. the Internet. Member: Fermilab Board
travel and adventure. Member Smeal
Member: Queens College Board of Visitors.
of Overseers Co-chair: IBM Hispanic Task
College of Business a: Perm State Board
Alpha Ph: Alpha Fraternity 100 Black Men
Force. Married with two children.
of Visitors. Conference Beards Council
of America Married with TWO children
of Planning Executives. Co-char- 1BM
American Indian Task Force. Married with
two children.
Professional Opportunity @ IBM
Greg VanErt
Donna Van Fleet
Anne-Lee Verville
2- years " 1BM Vice President Human
27 years a IBM. Vice President AIX
29 years !! IBM. General Manager
Resources and Skills Development. Global
Systems Development. RISC System 6000
Worldwide Education Industry. 1BM
Services. BA Business & Economics Ottawa
Division BS Mathematics. Muhlenberg
North America. BA Mathematics. Smith
University Others. KS. Interests Sports cars.
College. Allentown. PA. Interests: Family.
College. Interests. Bicychng. cross-country
golf. fishing. Member. American Red Crow
collecting art. Interature. theater. ballet.
sking. reading. Member. Appointed by
Board of Directors. Western CT "Atter 25
Member: Open Software Foundation Board
President Clinton to the National Skill
years I had major surgery. W.js out for six
of Directors. Unitorm Aun. Board of
Standards Board. Stanhome Corporation
months. and then resumed ny career with .1
Directors. St Edwards University School
Board. National Alliance of Business Date
renewed appreciation for nw co-workers. my
of Natural Science Advisory Board and
University Fuqua School of Business
manager and IBM's benefits." Co-chair: 1BM
Co-chain. Married with one child.
Co-chair: IBM Women's Task Force.
People with Disabilities Task Force. Married
with two children.
Patricia Wolpert
L.B. (Skip) Wyatt
AI Zollar
2- years " 1BM. General Manager.
24 years @ IBM. General Manager. Western
19 years @ IBM. Tivoli Semor Vice
Northeastern Area 1BM North America
Area. IBM North America. BS Mathematics
President. Tivoli Systems Business Umt.
BS Business Western Kentucky University
Accounting. Carson Newman College.
MA Applied Mathematics. U of Cahforma-
Hometown: Brandenburg, KY Interests:
letterson City, TN. Interests: Golf. chess.
San Diego. Hometown: Kansas City MO.
Time... golden antique collecting Member
community involvement. Member: Detwiler
Interests: Reading. tennis jazz. Member:
Missachusetts Business Roundtable Greater
Foundation Advisory Board. CA Chamber
SUCCEED Consortium External Advisory
Besten Chamber of Commerce NYC
of Commerce Board of Directors "I enjoy
Board. Duke Computer Science Department
Beard of Directors. NYC
working with smart. passionate. special peo-
Industrial Partners Program. North Carolina
P.P. enship. Married.
ple IBM IS filled with those kind of people."
A&T Computer Science Department
Married with 1110 children.
Advisory Board. Married with two children.
ssional Opportunity @ IBM: Working Mothers on the WMC
Vorldwide Management Council (WMC). comprised of principal IBM division and corporate stati executives. IS J forum to develop a common under-
ng of issues facing IBM and to discuss initiatives which will contribute to the company's overall success. These three women. all working mothers. are
ers of the WMC.
Abby Kohnstamm
2 /: years @ IBM. Vice President. Marketing
Corporate Headquarters. BA. Tutis University.
MA Education. New York University: MBA.
New York University Interests: Family activi-
nes. music. theater. Member Association of
National Advertisers Board. Overseers
Art and Sciences Board-Tufts University:
IBM Credit Corporation Board of Directors.
Ad. Council Board of Directors Married
with two children
Linda Sanford
20 years @ IBM. General Manager.
S/390 Division. BA Mathematics. St. John's
University: MS Operations Research.
Rensselaer Polytechnic Institute Interests
Family. piano. basketball. Member: Clarkson
PENN
University Board of Directors. Co-chair:
IBM Women's Task Force. Married with
two children.
Robin Sternbergh
25 years @ IBM. General Manager.
Distribution and Marketing, IBM North
America. BA Economics. Pomona College:
MBA. Harvard University Graduate School
of Business Administration. Interests: Watching
son play football and lacrosse, gardening.
reading. the Internet. Member: American
Institute for Managing Diversiry Board of
Trustees. "It never occurred to me that I
couldn't achieve both motherhood and my
career objectives. In fact, my first executive
job came when I returned from maternity
leave." Married with one child.
Diversity Programs @ IBM
affirmative action. unemployment
What's more. in 1995. IBM
and substance abuse.
participated in a number of conven-
FUND FOR COMMUNITY SERVICE
tions for nonprofit organizations
Many IBMers volunteer their time to
involved with these groups.
help nonprofit organizations or
WORKFORCE DEVELOPMENT @ IBM
schools in their communities. To
At IBM. we've long recognized the
encourage employee volunteerism.
importance of helping communities
IBM established the Fund for
prepare people for the workforce.
Community Service in 1972.
This includes helping them acquire
Through this program. IBM con-
the entry-level, skills necessary to
tributes financial or IBM product
find and hold a job. For example.
in 1968. following riots 11) Los
American education is at 0 crossroads. Businesses must be involved in education,
Angeles. IBM initiated a program to
but they also profit from this involvement. Their presence is necessary because
develop and support partnerships
today S students are tomorrow's employees and customers. Our involvement is our
with community-based job training
investment in future employees and customers."
providers by donating equipment.
- D. J. Moore
supplies. technical services and train-
Vice President of Marketing, K-12 Industry, IBM North America
ing. Several years later. IBM
launched a similar initiative to train
grants to community organizations or
and place people with severe physical
educational institutions in which
disabilities as entry-level computer
employees. retirees or their spouses
programmers.
are actively involved. Since its incep-
Over the years. IBM expanded
tion. grants for nearly 36,000 projects
its partnership network to include
have totaled nearly S60 million. In
more than 170 nonprofit job training
1995. IBM contributed $1.9 million
centers that serve dislocated workers.
in support of 1. 252 projects around
the chronically unemployed and
the U.S.
people with disabilities. These centers
SUPPORT FOR NONPROFIT ORGANIZATIONS
have prepared more than ,000 indi-
IBM employees serve as volunteers
viduals for successful integration in
and company representatives on
the labor market.
committees and boards of directors of
With more than a quarter cen-
various nonprofit organizations.
tury of involvement in workforce
including those that answer the needs
development. IBM has seen federal
of diverse groups.
job training policy evolve in many
2 People @ IBM: NELSON ENG
" Quiet.
reticent,
I'm here to effect
live.
Not
I
change ... starting
me
with attitudes and
12 years @ IBM. Client Business Unit Executive,
finishing with stereotypes. IBM is a
IBM North America. BS, New York University,
Stern School of Business (magno cum laude).
Hometown: New York City. Fifth generation
place where people define themselves
Chinese-Americon. Interests: Germon sports cars,
the arts, golf. Member: IBM Student Mentor
Program, Beto Gomma Sigmo Honor Society.
and succeed on their
own terms. "
Diversity Programs @ IBM CONTINUED
ways. Through all these changes.
to address job development. job
The People @ IBM: ANNONITATA
IBM continues to provide technolo-
placement. after-placement follow up
gy. training and other support to its
and job creation. This new IBM
network of job training center
initiative also focuses on disseminat-
partners. Since the inception of the
mg these successful practices to other
original program. 1BM has con-
service providers.
tributed more than $20 million.
SUPPORT OF MINORITY, WOMEN AND
Today. a the country reevalu-
DISABLED BUSINESSES
ares public support for adult education
1BM provides purchasing and
and employment training programs.
marketing opportunities to minority-
service providers must respond to
women- and disabled-owned com-
new funding provisions. increased
panies in all areas of our business.
employer requirements. is well as
The result of this policy has been
technological changes 111 the work-
the successful execution of a high-
force. Technology can and should be
ly diversified minority women
"
one of D. most powerful took to
disabled business development pro-
The point is no:
help program providers meet these
gram. program where 112 value the
can't do, but who:
new challenges A. i technology
products. services. skills and innova-
How does 0 company show its support for
company with unique expertise III
tions these individuals and firms
on employee? Imagine 0 situation where 0
the field of adult maining. 1BM
provide to IBM.
person because of her disability has had
maintains 10 philanthropic commit-
Worldwide procurement over-
12 surgeries in the past 10 years and not
ment 11: this area.
sees the minority women disabled
experienced 0 career setback. As long I
In April 1995. 1BM announced
supplier program. Since the 1980s.
con excel in my job, IBM will ensure that
a competitive grant program available
1BM has invested more than $3.5 bil-
my disability doesn't get in the way of my
to public and private nonprofit
lion through this program. In 1995.
opportunity for advancement.
"
organizations that provide adult
1BM purchased $389 million of
education and job training. This pro-
products and services provided by
17½ years @ IBM. Program Manage:
gram supports a limited number of
minority. women and disabled
HR Benefits, HR USA. BS Business
projects that demonstrate highly
entrepreneurs.
Administration, Boston College.
effective and resourceful uses of tech-
With continued focus and
Hometown: Milford, CT. Interests:
nology and telecommunications in
support within IBM. its subsidiaries
Needlepoint, enthusiastic spectator of
program design and implementation.
and all IBM related organizations
tennis & football, community service.
Recipients selected through this
that purchase products and services.
Member: Junior Leogue of Roleigh.
initiative focus on innovative or exper-
1BM will continue to do business
imental projects using technology
with minority. women and disabled
The People @ IBM: JOSEPH PEPLINSKI
" If the fish
knew I was
disabled
do you think
they would
We have to adapt 1.1 our em ironment
bife?
If wheelchairs and sand doi. H.I.. don't
fish the shore. But work envir
Disabled Employee of the Year,
can be made more accessible. When H3M
1994, Industry Labor Council.
11 years @ IBM. Senior Associate Programmer,
AS/400 Division. BS Therapeutic Recreation, U.
se'es an obstacle. they fix it. "
of Wisconsin at LaCrosse; BS Computer Science,
Winona State University. Hometown: Winona,
MN. Interests: Green Boy Packers, fishing, time
with family. Member: Rochester Area Disabled
Athletics and Recreation. Morried with one child.
Diversity Programs @ IBM
entrepreneurs not only because it is a
million initiative that promotes
The People @ IBM: BENJAM RCSA
good practice. but because it is good
systemic reform to ensure all children
business.
are prepared to meet world-class
MINORITY BANKS AND INSURANCE COMPANIES
standards of achievement. Potential
IBM has long supported the minor-
recipients were required to demon-
ITV banking community: in 1995.
strate their readiness for reform
the company invested in one-year
according to a number of criteria.
certificates of deposits with banks
including the establishment of high
participating 111 the Minority Banking
standards. continuous monitoring of
Program. These investments provide
student results and an emphasis on
program participants with capital
access to technology for disadvan-
in extend financing 10 businesses in
taged youngsters and those with
then communities. In addition. IBM
special needs.
has engaged minority-owned insur-
Sites selected for this program
and firms :.. underwrite about S182
all have new. higher standards for
"
milhon worth of IBM's group life
student achievement. especially
No fear. No rules. N:
msunance
tougher high school graduation
limits. Just like 0 day df
requirements. All districts also have a
the office. Day to day, I'm more
Expanding Educational Opportunities
track record of changing policy and
of on entrepreneur than on employee
Education has been a traditional
regulations in order to foster school
of 0 big company. To win in the market
focus of 1BM philanthropy In partic-
reform and restructuring. In addition
requires sheer creativity, freestyling
ulan the company has endeavored
to setting stringent criteria for
and a willingness to carve new trails
"
to make educational opportunities
broad-based and meaningful reform.
available for qualified minority stu-
IBM seeks locations in which there
12 years @ IBM. Manager, Financing
dents Our objective has been to
is a significant IBM presence II) the
Development/Brand Manager, Storage
stimulate interest in K-12 and in
local business community. as well
Systems Financing, IBM Credit Corp. BS
higher education by emphasizing
as sites which represent the diversity
Accounting, U. of Vermont; MBA New York
school reform: and the importance of
of the nation. IBM believes it is
University. Interests: Family, snowboard-
teaching science. engineering and
essential to provide the necessary
ing, community service. Member: National
computer sciences.
assistance to assure that all students
Black MBA Association, Alpho Phi Alpha
REINVENTING EDUCATION
reach the new standards.
Fraternity. Married with two children.
In 1994. 1BM restructured in corpo-
PUZZLE PLACE
rate contributions programs to focus
IBM is sponsoring a new PBS televi-
on the issue of school reform
sion show for children called Pazzle
"Reinventing Education" is a S25
Place. This program. which began
People @ IBM: BRENDA LEE PETERSON
)on't be fooled
tr poise & polish.
Behind it all
is a ferocious
The sense of accom-
11
to
win.
plishment I feel from a
well-executed movement is not
5 years @ IBM. Development Engineer,
unlike what I feel when .! process
Microelectronics Division. BS Engineering
Science, MS Engineering Mechanics, Penn State
University. Interests: Competitive equestrian
I've developed improves product
sports, woodworking, photography. Member:
United States Combined Training Association.
performance. Both dressage and engineer-
ing offer the deep satisfaction that comes
from hard work and discipline.
"
Diversity Programs @ IBM CONTUTUED
airing 11) January 1995. features a
corporate scholars program. which
multi-ethmc cast of kid puppets that
offers scholarship assistance to quali-
encounter the "puzzling" social situa-
fied students.
tions of everyday life. Puzzk Place
In 1976. IBM assisted in estab-
encourages self-esteem. cooperation
lishing the National Hispanic
and respect for others.
Scholarship Fund. Since that time.
HIGHER EDUCATION
the fund has awarded over $25 mil-
In addition to support of K-12
lion in undergraduate and graduate
education. 1BM has .) long-standing
student funding. The company has
relationship with the United Negro
also provided support to the
College Fund UNCF 311 associa-
American Indian Science and
DOC that dates back to the Fund's
Engineering Society:
inception :: 1944 In 1991. 1BM
made .) SIP milhon pledge. payable
/ enjoy working with great people special folks who are small Nomest and
over ten years 1991-2000. to
passionate about what they do. / don 1 kno.. another business the placedide High C
UNCF Campaign 2000 ..) capital
value on diversity
fund-raising campaigns. In 1995.
...0%
through this commitment. UNCF
General Monager Western Área IBM North America.
received almost $800,000 of IBM
technology for use 111 .1 major
FACULTY LCAN
information management system a
The IBM Faculty Loan Program
network to link UNCF headquarters
encourages employees to contribute
locations with It. +1 member colleges
to higher education in a very person-
and universities.
al way by donating their time
1BM has also worked with
and skills. Qualified IBMers are
the National Action Council for
granted leaves. at full salary. SO they
Minorities in Engineering (NACME
can teach. counsel or give profession-
and the Advertising Council for the
al support to colleges. universities and
public service announcement cam-
related educational institutions.
paign "Math 1: Power." The purpose
Employees must be involved with
of this program IS to encourage
programs supporting the needs of
minority elementary and high
minority: women and disadvantaged
school students to pursue math and
students. or students with disabilities.
science courses. In addition. IBM
Since 1971. IBM has provided more
provides annual support for NACMES
than 1.000 employees. each for a full
serving as a liaison to the institutions.
TECHNICAL ACADEMIC CAREER PROGRAM
Through the Technical Academic
Career Program. IBM helps reduce
the critical shortage of faculty in
engineering and physical sciences.
Technical professional employees who
are accepted into the program begin
full-time academic careers upon
retirement. They receive full IBM
retirement benefits and a portion of
their final salaries for up to two years.
Nearly 300 employees have started a
second career in technical. teaching
Competition is one thing, a level playing field is another. Charles Kelly, President and CEO of the
and managerial positions since this
American Association of Minority Businesses (AAMB), was quick to see that leading technology is key
program was initiated in 1984 A. a
to leveling the held. So he works closely with IBM to help the 12,000 entrepreneurs and business
owners of the AAMB understand, acquire and use IBM technology to build and grow their businesses.
result. many retired IBMers now hold
academic positions at universities and
colleges across the country.
MATCHING GRANTS
academic year at no cost. to more
Another way IBM supports educa-
than 250 institutions.
tional institutions is with matching
MINORITY CAMPUS EXECUTIVE PROGRAM
grants. The company matches on a
Another education initiative is the
one-to-one cash basis the contribu-
Minority Campus Executive Program.
tions of active employees. and on
1BM executives assigned to the
a one half-to-one cash basis the con-
program contribute their expertise
tributions of retired employees to
in areas related to the development
eligible universities. colleges. hospitals
and employment of resources critical
and cultural institutions.
to industry. The executive is a liaison
In addition. eligible institutions
to the college president. an advocate
have the option of selecting an equip-
in the development of solutions
software credit at IBM retail
and a role model for students
value at two or three times the cash
The executive continues to perform
match. depending on the type of
his or her regular 1BM job while
organization.
Diversity Programs @ IBM ontinued
1BM matches an individual's
more than half of all married couples
contribution of up to $5,000 per
in the U.S. are dual-income families,
institution per calendar year. and up
and many women. with children
to S10,000 in total contributions per
under the age of one. work outside
employee or retiree per calendar year.
the home. the separation of work
K-12 MATCHING GRANTS
from personal life is no longer feasi-
IBM assists active and retired employ-
ble. Particularly when it's estimated
ce who wish to contribute equip-
that some 76 million "baby boomers"
ment and software (1) the eligible K-12
began turning 50 in 1996. Many of
schools of their choice The donated
them have the dual responsibilities for
equipment and or software is used to
taking care of both young children
improve the quality of education III
and aging family members.
math. science reading language skills
or computer literacy, or in benefit the
got C) first impression of 18M WEEK Luce :: the thise and four
local community
receiping 10 1600 with 0 Science Research Associates (SRA) module remember
Requests are submitted by one
18% on the moterial and thinking Il was C place where realty small pection
or more 1BM donors who provide
20 percent of the retail price of a
Manager Financing Development Brand Manager Storage
particular prepackaged configuration.
1BM contributes the balance. Gifts
are limited (i) $5,000 per eligible
IBM's work /life programs are a
donor per school per year.
response (() a new reality where:
Sixty-two percent of IBM employ-
Work/Life Programs @ IBM
ees are part of a dual-income couple.
Significant changes 111 how we live.
Thirty-two percent of IBM employees
coupled with major demographic
have children who need care and
shifts are changing the nature of the
supervision.
workforce. The demands of work ver-
Four percent of employees are
sus the obligations of personal life has
single parents.
become a prominent business issue.
Thirty-two percent of employees
linked to long-term competitiveness
have some responsibility for the
and the overall health of a business.
care of an elderly relative or other
These new social conditions
adult.
are foreing businesses to examine the
Our work/life programs offer
business culture itself At a time when
employees a means to balance the
Research has shown that
employees who are given greater
flexibility - in respect to their hours
and conditions of work - have
reported more job satisfaction.
increased job productivity. higher
morale and motivation and greater
loyalty to IBM. What's more. people
must not be made to feel that they are
less committed to their careers when
they use such programs.
IBM work life programs
include: child care and elder care
resource and referral. adoption assis-
Margaret Smith is a mother, a lawyer, the founder of 0 business, the President of the National
nance. leaves of absence. flexible
Association of Women Business Owners, and on IBM customer. It's innovators and risk takers like
working arrangements. personal
Ms. Smith who are not only changing the face of business, but in fact, how business is done.
choice holidays. flexible vacation
scheduling and an Assessment. Brief
Counseling and Referral (ACR)
program to help employees and their
sometimes seemingly incompatible
families with a wide range of per-
choices between business goals and
sonal problems.
personal responsibilities. And they are
By dealing proactively with
tools to help managers achieve their
issues that are possible impediments
business goals without undue stress.
to employee attendance. productivity
Work The policies and pro-
and loyalty. IBM work/life programs
grams help attract and retain the best
offer positive solutions that advance
employees. while maximizing their
the company's interests. In addition.
contribution to the company. These
they contribute to measurable results.
programs bring both direct and indi-
such as productivity. as well as mtan-
rect benefits by creating flexible work
gibles. such as morale. The simple fact
environments responsive to individual
IS. giving employees more control
needs and responsibilities and by
over their time to accommodate their
stimulating the development and
needs helps IBM keep and inspire the
expansion of community programs.
best in our employees.
Diversity Programs @ IBM
INDIVIDUAL WORK SCHEDULES
adoption of a child or to cope with
Under the expanded Individualized
a family illness. However. leaves
Work Schedules Program. employees
may be requested for a variety of
are able to begin their workday up to
reasons. including education and
[\\\ hours before. or two hours after.
community service.
the normal location start and stop
IBM also offers unique flexible
times. This provides them with a
work arrangements that provide full-
four-hour window of flexibility. In
time employees the opportunity to
addition. employees may adjust their
reduce their workweek for a broad
teni hours worked to take a mini-
array of personal needs. such as
mum of 30 munutes. or a maximum of
dependent care responsibilities. "once
two hours to accommodate any per-
in a lifetime" opportunities or other
sonal choice activities that can be
individual needs
handled only during the middle of the
der This window of time can be
used for such personal activities as
attending child's play. visiting an
elderly relative or participating in a
(
sports activity This program 1. contin-
gent upon management approval and
To help employees transition to
the company's business needs.
retirement. those who are eligible or
LEAVES OF ABSENCE
will become eligible to retire within a
When employees need 10 be away
year may request a personal leave of
from work for an extended period of
absence of up to one year. During
time. they may take a personal leave
that time. employees may work part-
of absence for up to three years.
time at IBM or work for another
Although the Family and Medical
company. provided there is no con-
Leave Act of 1993 provides eligible
flict of interest. with full earnings and
employees with up to 12 weeks of
service credited toward retirement.
unpaid job-protected time off for
WORKPLACE FLEXIBILITY
certain family and medical reasons.
Employees can perform their work
1BM has been granting leaves of
at home or in another off-site loca-
absence since 1956.
tion-with computers and other
Typically. employees have taken
technology-to meet the demand
time off (1) be home after the birth or
of their day-to-day business. This
services to help employees plan for
their future.
The following are examples of
the types of services associated with
this offering:
An initial consultation to discuss
"life objectives." to assess current
financial situations and recommend
a course of action.
A detailed written analysis that rec-
ommends how to manage finances.
based on personal objectives. One-
on-one sessions with a financial
professional are available as part of
It's 0 truism that "if you wont to do something right, do it yourself." When Teresa Gonzales McBride
this service.
couldn't get the help she needed, she and some colleagues storted their own support system. Today
Seminars. offered locally at IBM
McBride and Associates, with o staff numbering in the hundreds and a solid IBM electronic infra-
structure, is providing seamless, flexible solutions around the country. While ambition and initiative
divisions. sites and locations.
don't have one face, Tereso is measuring herself by
LIFEWORKS
a single standard - her own.
IBM has been a national leader in
providing employees information on
flexibility provides them with oppor-
resources in their community
tunities to balance work and personal
on child and elder care programs.
needs.
In 1984. IBM established the IBM
PREPARING FOR RETIREMENT
Child Care Referral Service
Today: individuals can no longer rely
(CCRS), the first national child care
on either their employers. or the
resource and referral service. This
government alone to secure their
was followed by the Elder Care
financial future. More than ever.
Consultation and Referral Service
employees are becoming active part-
(ECCRS) in 1988, the first nation-
ners with their employers and the
wide corporate program to address
federal government to develop com-
elder care issues. Over the years these
prehensive financial strategies.
services have been expanded to
IBM Personal Financial Planning
include resources and consultation
includes educational seminars. indi-
for adoption, education and adult
vidual consultations and related
disabilities.
Diversity Programs @ IBM
Employees today face ever-
Funds for Dependent Care Initiatives
increasing challenges in managing
(FDCI) to further respond to
their job and personal responsibilities.
employees' work and family balance
In 1995. IBM announced it com-
needs. Over a five-year period. 1990
bined its Child Care Referral Service
through 1994. IBM invested $25 mil-
and Elder Care Consultation and
lion in more than 500 projects
Referral Service into a single pro-
designed to increase the supply and
gram called LifeWorks. This program
enhance the quality of child care and
provides employees with the support
elder care services in communities
they need 1.. balance their work and
where IBM employees live and work
personal lives over their life cycle.
Last year. the FDCI was replenished
helping with child and elder care
at a level of $50 million to cover the
needs. but also helping employees
years 1995-2000.
with parenting issues and caring for
themselves. The service offers tele-
15Mers worried about who's watching their children.
phon, consultations referrals and
!' be able 10 leave early 10 attend their child
consumer of emation.
correnta the dector
LifeWorks 1. delivered to
employees through .1 combination
Chairman 072 E 1511
of telephone counseling and con-
that with networks of local com-
Through this fund. IBM has
mumts -based specialists. LifeWorks
developed programs addressing child
has .1 network of 250 child care and
care centers. family day care. school-
175 elder care affiliates across the
age programs and backup care for
country. available to work with
children and adult day care. in-home
IBM employees 10 satisfy their
services. respite and intergenerational
dependent care needs. Since these
programs for elders. A strong focus
programs began. over 113,000 IBM
has been on provider training and a
families have used the child care
commitment to quality on the part
services and over 56,000 employees
of all of the programs supported
and returees have used the elder
through FDCI.
care services.
THE AMERICAN BUSINESS COLLABORATION
IEM FUNDS FOR DEPENDENT CARE
FOR QUALITY DEPENDENT CARE (ABC/QDC)
INITIATIVES (FDC')
Through FDCI. IBM participated
In 1989. 1BM established the IBM
in the American Business Collaboration
for Quality Dependent Care (ABC
SPECIAL CARE FOR CHILDREN ASSISTANCE PLAN
QDC). Launched in September
Under the Special Care for Children
1992. ABC QDC involved 136
Assistance Plan. IBM provides dis-
organizations investing a total of
abled children with coverage for
$25.4 million. In two years. this had
expenses not reimbursed under IBM's
grown to 154 organizations with an
medical plans. The maximum lifetime
investment of $27 million. More than
assistance per child (up to 23 years of
300 dependent care programs were
age) IS $50.000.
developed in 45 communities through
LIFE PLANNING ACCOUNT
the investments of the ABC QDC.
The Life Planning Account was
recently established at IBM to pro-
his is
ii
vide financial assistance to employees.
tually be E
retirees and their eligible dependents
when they complete a course or pro-
gram that helps promote a healthier
lifestyle. Programs eligible for finan-
ciai assistance can cover such subjects
In 1995. the ABC QDC
as physical fitness. weight manage-
announced It had gained a commit-
ment. nutrition. stress management.
ment to invest an additional
cancer prevention. cardiovascular
$100 million 11) dependent care pro-
health and financial planning.
grams between the years 1995-2000
1BM continues as one of 21 "champi-
on" companies that serves as a leader
of the ABC QDC. Champions are
national companies that have made
a long-term commitment to invest in
communities and to provide overall
direction for the ABC/QDC. IBM's
involvement in the ABC/QDC
provides a unique opportunity to
leverage our resources with others.
while improving the delivery of
services to our employees.
IBM Principles
IBM bases its business decisions on
eight fundamental operating principles:
The marketplace is the driving
force behind everything we do.
Ar our core. we are a technology
company with an overriding com-
mitment to quality.
Our primary measures of success
are customer satisfaction and share-
holder value
We operate as an entrepreneurial
organization with a minimum of
bureaucracy and .1 never-ending
focus or: productivity.
110 never lose sight of our strategic
vision.
111 think and act with a sense of
orgenes.
Outstanding dedicated people make
It all happen. particularly when 115
IBM has established 26 diversity councils around the world comprised of men and women rep-
work together as a team.
resenting 0 variety of backgrounds, cultures and work and life experiences. The councils'
vision is to build on IBM's diverse workforce, resulting in all employees reolizing their full
11. ire sensitive to the needs of all
potential and thus enhancing business achievement. The San Jose, CA, Diversity Council
employees and to the communities
(pictured) was the first in IBM, formed in 1992.
11) which 11'c operate.
First Row (from left to right): Kathy Merkin, Field Data Analysis Manager; Ira Dearing, Equal
Opportunity & Diversity Program Manager.
Second Row: Maria Magana, DB2 Systems Test Manager; Ed McCanless, Senior Engineer, OEM-
Large Accounts.
Third Row: Sofia Laskowski, Manager, Head Program Office; Margarita Chieng. Manager,
SORT Product Manager; Glenn Larnerd, Site General Manager, IBM San Jose.
Fourth Row: Ron Grogan, Human Resource Operations Manager; Monte Anglin, Director,
Future DAS Microcode; Bill Morrison, Manager, Materials Lob.
Fifth Row: Raymond Wynn, Program Manager; William Johnson, Manager, HGA/HSA/
HDD Launch.
Not Shown: Dave Arken, Eugenie Betzer, Henry Chang, Barbara Hill-Brown, Bonnie Paul,
Gina Whitney.
D 6 15M
41
nited States Instruction No.4
Ms employees represent a talented and diverse workforce. Achieving the full
tential of this diversity is a business priority that is fundamental to our
impetitive success. A key element in our workforce diversity programs is IBM's
ng-standing commitment to equal opportunity. a commitment based on sound
siness judgment and a fundamental behef 111 respect for the individual.
Business activities such as hiring. training. compensation. promotions.
nsfers, terminations and IBM-sponsored social and recreational activities are
inducted without discrimination based on race. color. religion. gender. sexual
tentation. national origin. disability; age or either Vietnam-era or Special
sabled veteran status These business activities and the administration of IBM
befit plans comply with à applicable federal. state and local laws. including
use dealing with equal opportunity 1BM also makes reasonable accommodation
disability and religious observance.
To provide equal opportunity and affirmative action for applicants and
ployees. 1BM carries out programs on behalf of women. minorities. people
th disabilities.\ ietnam-era veterans and Special Disabled veterans. This includes
treach as well :- human resource programs that ensure equity 111 compensation
di opportunity for growth and development.
In addition. the IBM work environment must be free from harassment
ed on sex or sexual orientation. race or ethnic origin. religion. age. disability:
veteran status. In respecting and valuing the diversity among our employees and
those with whom 112 do business. managers are expected to ensure a work
vironment free of all forms of discrimination and harassment.
Effective management of our workforce diversity IS an important strategic
jective. Every manager in 1BM is expected to abide by this policy and uphold
company's commitment to workforce diversity.
for is V. Jr.
Gerstner,
airman and Chief Executive Officer
M Corporation
Workforce Diversity in the United States
This brochure describes the ways in which IBM is committed to diversity
I hope one point that became clear as you read the brochure was the wealth of
diverse people in senior management. and at all levels of IBM. A "glass ceiling'
and attitudes leading to such barriers will not be permitted.
IBM has diversity firmly rooted in its heritage. This heritage helps us is see
workforce diversity as an evolutionary process. We have made significant progress
but the task is not yet complete.
We have a strong team committed to workforce diversity. That team melades
IBM's board of directors. management. employees and the human resource not-
work. IBM's global workforce diversity theme. "None of us is as strong as all of us.'
helps us focus on opportunities for employees and marketplace progress
The ties that bind us are stronger than the issues that divide 11. And the
most important tie 1> the opportunity to be on a diverse team that WHO
diverse marketplace Racism. sexism. agensm. bias against the disabled. and
phobia must be kept from influencing our workplace. our productivity and
competitive edge.
There's only one "ism" on which we need to focus - consumerise
citizen in every country is a potential consumer. Our customers must k: THE
people like themselves work here. are respected and are successful.
In the final analysis. workforce diversity is about real change in our corporate
culture. It's about replacing old assumptions. With our individual and collective
commitment to diversity. by offering all of our constituencies the opportunity i..
attain their full potential. and the rewards that come with It. we will provide ou:
employees. our customers. and our shareholders the very best chance to succeed.
Ted Childy
J.T. (Ted) Childs, Jr.
Director. Workforce Diversity
IBM Human Resources-USA
Ongoing Commitment @ IBM
tside Recognition
:s
commitment
workforce he: been widely recognized by mony
onizations
and
publication.
Acknowledgment in the form of awards end
ings.
hc:
come
experization:
ond
publications
the:
ocote diversity
MEN
(1989-1994): Black Professional
Children's "Yes I Care!" Award (1991)
e Women's Bureau Honor Roll
Magazine - Fabulous 50 in Reader
AMERICAN INDIANS
95: National Foundation
Survey (1993): Black Enterprise
National Center for American Indian
Women Business Owners
Magazine - 3 of to Top Executives
Enterprise Development - The First
stinguished Patron 1995 :
1993): Black Enterprise Magazine
American Enterprise Award (1995)
talyst Award American
"Best Places to Work" survey (1982-
AGING
siness Collaboration for Quality
1995: National Eagle Leadership
U.S. Administration on Aging-
pendent Care 119934 National
Institute Award (1995)
American Business Collaboration for
uncil of Jewish Women Founders
HISPANICS
Quality Dependent Care (1993): U.S.
and (1992) Honan Engineer
Hispanic Business Magazine - Best
Administration on Aging - Business
agazine - Top 10 1992. 1996.
Place to Work Top 20 (1993-1995):
and Aging Overall Achievement Award
ORITIES
Hispanic Magazine Top 100 (1990-
(1991): Business of the Year Award'
herican Association of Minority
1996;: Fisha Magazine - Top 50
American Society on Aging (1991)
sinesses - Attimn Award 1995
Employers (1995. 1996): Ser's Amigo
WORK/LIFE
tional Science Foundation
of the Year Top National Award
Working Mother Magazine 100 Best
versity Award (1995 Leadership
Hispanic Job Training (1992)
Companies - Top 10 (1988-1995):
ard. National Minority Supplier
GAYS/LESBIANS
Kathleen McDonald Award Family
velopment Council (1994::
Cracking the Corporate Closer - Best
Resource Coalition (1994): HR
mority Engineer Magazine - Top 111
Companies for Gays Lesbians (1995)
Executive Magazine - Benchmarking
92): National Minority Business
PEOPLE WITH DISABILITIES
article: Family & Work Institute
uncil/Outstanding Corporate
Easter Seal Society Award for
Family Friendly Index (1991): Labor
siness Award (1991)
Corporate Leadership (1995):
Investing for Tomorrow (1990)
CKS
CAREERS E the dis.ABLED
ik Collegian Magazine Top 100
Magazine - Top Company/Reader
aployers (1995): Black Engmeer
Survey (1992-1995): CAREERS &
The responsibility of IBM executives and IBM
the Year Award 1990. 1994. 1995.
the dis.ABLED Magazine - Employer
employees for Worktorce Diversity is covered 11)
IBM's Report on Executive Compensation
96): National Society of Black
of the Year (1992. 1993): The
which 1. available from the office of the
Director of Workforce Diversity at IBM's
gineers Employer of Choice
Foundation for Exceptional
headquarters in Armonk. New York.
Employment Data for U.S. Locations 1993-1995
Total
Total
American
Employees
Men
Women
Minorities
Black
Asian
Hispanic
Indian
Officials &
16,460
12,906
3,554
2,236
1,178
579
431
48
Managers
14,273
11,119
3,154
1,940
984
540
377
39
15,094
11,500
3,594
2,027
1,017
555
403
52
Professionals
70,082
51,090
18,992
12,172
4,398
5,744
1,883
147
55,947
40,549
15,398
9,437
3,221
4,554
1,530
132
51,877
37,459
14,418
9,334
3,200
4,525
1,486
123
Technicians
17,711
15,470
2,241
3,055
1,525
623
832
75
15,353
13,546
1,807
2,659
1,284
619
694
62
13,438
12,114
1,324
1,998
873
417
663
45
Marketing
11.127
7,674
3,453
1,816
888
520
362
46
8,979
6,418
2,561
1,456
675
448
298
35
13,496
9,750
3,746
2.153
1,051
655
394
53
Office &
13,491
4,384
9,107
3,528
2,440
349
710
29
Clerical
11,549
4,058
7,491
3,213
2,263
325
593
32
9.801
3,456
6,345
2,717
1,904
285
500
28
Craft Workers
8,355
6,258
2,097
1,728
710
435
571
12
2,273
1,859
414
499
205
109
180
5
1,464
1,316
148
274
128
87
57
2
Operatives
11,212
6,182
5,030
6,726
4,296
1,653
761
16
18.043
10,849
7,194
8,423
4,020
3,047
1,323
33
16,261
8,923
7,338
8,034
4,126
2,794
1,077
37
Total
148.438
103,964
44,474
31,261
15,435
9,903
5,550
373
126,417
88,398
38,019
27,627
12,652
9,642
4,995
338
121,431
84,518
36,913
26,537
12,299
9,318
4,580
340
Note. Table reflects all regular and complementary U.S. employees. The company's complementary workforce
includes various workers hired under temporary. port-time and limited-term employment orrangements
Basters Muchines Corporation
April
Descon
recycled
paper
D
45
Reconceptualizing the Legal Debate Concerning
Non-Remedial Affirmative Action in Higher Education
Scott R. Palmer
May 1997
Preliminary Draft
Please send comments to
5 Linnaean St., #45
Cambridge, MA 02138
or e-mail at [email protected]
This paper is an abridged version of a chapter from a larger paper entitled Making the Case for Non-Remedial
Affirmative Action in Higher Education: A Conceptual Framework for Assessing the Value of Diversity. I want to
thank the following people who have provided me with invaluable assistance in the preparation of this paper and
who I hope will continue to help me explore the ideas expressed within it: Derek Bok, Ron David, Christopher
Edley, Laura Heymann, Tom Kane, Adina Kole, Gary Orfield, Stephanie Naso, Anne Piehl, and Julie Wilson.
They deserve credit for all that is good in the paper and are blameless for all that is not. Finally, special thanks to
Tom Loveless, Robert Post, and Judith Winston (and the U.S. Department of Education Office of General Counsel)
without each of whom this paper would not have been possible.
Reconceptualizing the Legal Debate Concerning
Non-Remedial Affirmative Action in Higher Education
I.
Introduction
In Regents of the University of California v. Bakke,¹ Justice Powell, in an opinion that came to be
known as the opinion of the Court, held that securing the educational benefits that flow from diversity in
higher education is a compelling interest that can constitutionally support race-based actions. 2 As a result,
public and private universities across the country have for the last two decades adopted this diversity
rationale as their primary justification for affirmative action programs in student admissions. 3 However, in
Hopwood V. Texas, 4 the Fifth Circuit Court of Appeals rejected the notion that promoting educational
diversity is a compelling interest, striking down the affirmative action admissions program at the University
of Texas School of Law. Hopwood sets a precedent that, if extended nationally, threatens the viability of
nearly all affirmative action programs in higher education. This paper is meant to serve as an important
first step in rebutting Hopwood and making the case for affirmative action in higher education by providing
a policy framework for reconceptualizing the legal debate concerning the role of diversity in higher
education and applying that framework to the issue of affirmative action in student admissions. I conclude
that there is likely a strong case to be made for affirmative action in higher education based on the diversity
rationale, but much more needs to be done and done quickly both to use educational diversity more
effectively and to evaluate it more rigorously.
II.
A Policy Framework for Analyzing the Diversity Rationale: The Case of Affirmative Action
in University Admissions
This paper argues that in order to effectively make the case for affirmative action in higher
education based on the diversity rationale, it is first necessary to reconceptualize the legal debate into a
policy-oriented framework. The model I have chosen is relatively simple: Policy engineering can be
1 438 U.S. 265 (1978).
2 See id. at 312-15 (opinion of Powell, J.).
3
See, e.g., Tanya Y. Murphy, An Argument for Diversity Based Affirmative Action in Higher Education, 95 Ann.
Surv. Am. L. 515, (1995) ("Although affirmative action in higher education was created specifically for
remedial purposes, today the primary, and perhaps only, justification for the retention of affirmative action
programs is educational diversity.").
4
78 F.3d 932 (5th Cir. 1996), cert. denied, 116 S. Ct. 2581 (1996).
1
divided into four interrelated parts: (1) goals, (2) objectives, (3) strategy, and (4) design.⁵ Each part is
linked to the next by evidence and analytical presumptions (i.e., goals dictate objectives, objectives dictate
strategy, etc.). Understood in these terms, promoting racial diversity at universities is not an end in itself;
rather, it is an objective designed to further various goals of higher education. In order to achieve that
objective, a university may institute a given strategy, such as race-based affirmative action in admissions,
which in turn has a certain design, such as Bakke's "plus" factor design in which race is "but a single
though important element."
Using this framework to reconceptualize the legal debate concerning non-remedial affirmative
action in higher education clearly identifies the possible arguments in support of racial diversity and
highlights what needs to be done to make those arguments most effectively. The remainder of this paper
applies the policy framework described above to the issue of affirmative action in university admissions.
The following chart summarizes the analysis that follows. Each column indicates a different line of
argument in support of non-remedial affirmative action in higher education. The darker cells indicate the
weakest link in each column.
5 See Philip Zelikow, Foreign Policy Engineering: From Theory to Practice and Back Again, 18 Int'l Security
143 (Spring 1994) (dividing policy engineering into seven interrelated parts including the four discussed here).
2
Policy Analysis of Non-Remedial Affirmative Action in University Admissions
The Model
I
II
III
IV
Goals/Interests of
Promote teaching and
Enhance civic values
Remedy the lack of
Remedy racial
Higher Education
learning
essential-service
stratification in society
providers in under-
served communities
Not compelling in
most cases
Evidence Linking
Direct evidence:
Direct evidence:
Minority graduates are
Minority graduates of
Objective to Goals
Racial diversity
Racial diversity
more likely to practice
prestigious institutions
(possible evidentiary
increases substantive
promotes tolerance,
in under-served
are more likely to
links)
learning and/or
understanding, open-
communities (e.g.,
serve at advanced
cognitive development
mindedness, etc.
medical school
levels in society
graduates)
Indirect evidence:
Indirect evidence:
Minority graduates are
Diversity of
Interaction among
of instrumental value
perspectives promotes
different peoples
in some positions in
problem solving; all
promotes tolerance
society (e.g., medical
relevant perspective
(contact hypothesis)
school graduates)
are valuable; racial
perspectives are often
Lack of
relevant
substantial
evidence
Lack of
substantial
evidence
Objective
Promote racial
Promote racial
Promote racial
Promote racial
diversity in the student
diversity in the student
diversity in the student
diversity in the student
body (ensure a
body (ensure a
body (increase
body (increase
"critical mass" of
"critical mass" of
minority
minority
minority students)
minority students)
representation)
representation)
Strategy
Race-based affirmative
Race-based affirmative
Race-based affirmative
Race-based affirmative
action in admissions
action in admissions
action in admissions
action in admissions
Race-neutral
means available
Design
Race used as a single
Race used as a single
Race used as a single
Race used as a single
"plus" factor
"plus" factor
"plus" factor
"plus" factor
A.
Goals of Higher Education
Goals are defined here as the non-operational interests that drive policy choices. 6 In Hopwood V.
Texas, the Fifth Circuit rejected the diversity rationale for affirmative action in higher education without
fully considering the relevance of racial diversity to the various goals of higher education it may promote.
6
Id. at 160. Throughout the remainder of this paper, I use the terms "goals" and "interests" interchangeably.
3
The Hopwood court often seemed to consider all non-remedial uses of affirmative action to be akin to the
use of race for race's sake. Thus the court said, "[W]e see the case law as sufficiently established that the
use of ethnic diversity simply to achieve racial heterogeneity, even as part of a number of factors, is
unconstitutional." Obviously a university's use of affirmative action to foster racial diversity has to serve
some goal beyond the achievement of diversity itself. That much was clear from Regents of the University
of California V. Bakke. Racial diversity in the student body is not an end in itself; it is an objective that is
sought only because it serves some larger goals of higher education. It is those goals (or interests) that a
court must judge to determine if they are sufficiently compelling to justify affirmative action.
Much has been written about the goals of higher education, yet they are still a topic of debate. At
least four potentially compelling goals of higher education may be enhanced by pursuing the objective of
promoting racial diversity in the student body, by which I mean increasing minority representation at
predominantly white universities: (1) promoting teaching and learning (stimulating thought by providing
diverse perspectives relevant to various fields of study); (2) enhancing civic values (instilling students with
the tolerance, understanding, and open-mindedness necessary for them to function as good citizens and/or
effective leaders in our multicultural, democratic society); (3) remedying the lack of essential-service
providers in society (producing well-educated professionals to practice in under-served communities); and
(4) remedying racial stratification in society (producing well-educated minorities to serve at advanced
levels of society).⁹
The remainder of this section will describe in greater detail each of these goals and its link to the
objective of promoting racial diversity. Furthermore, this section will consider which, if any, of these goals
(or interests) are most likely to be considered "compelling" by the current Supreme Court. The Court has
offered little guidance concerning precisely what the term "compelling interest" means. 10 Nonetheless, it is
7 Hopwood, 78 F.3d at 945-46 (emphasis added).
8 See Bakke, 438 U.S. at 307 (opinion of Powell, J.).
9 Notice that the first two goals identified here constitute the "educational diversity" at issue in Bakke. They are
believed to be furthered by interactions among students of different races (i.e., it is the diversity that is important)
and are intended to benefit all students. The last two goals flow from the definition of diversity as the inclusion of
minorities at predominantly white universities. They are intended to benefit primarily the minority students and
some segments of society. All of these goals are interrelated and can be divided in several different ways. Finally,
other goals may also be relevant, such as the interest in developing new knowledge (providing diverse perspectives
to stimulate new research and writing), which is closely related to the goal of promoting teaching and learning.
10 See, e.g., Stephen E. Gottlieb, Compelling Governmental Interests: An Essential But Unanalyzed Term in
Constitutional Adjudication, 68 B.U. L. Rev. 917, 937 (1988) ("[W]ith few exceptions, the Court has failed to
explain the basis for finding and deferring to compelling governmental interests."). Some legal commentators
have suggested that the Court has adopted a "know it when I see it approach" to identifying compelling interests,
id. (quoting Jacobellis V. Ohio, 378 U.S. 184, 197 (1964) (Stewart, J., concurring), and that "compelling, even
more than beauty, [may be] in the eyes of the beholder," David Schimmel, Is Bakke Still Good Law? The Fifth
4
possible to glean some general principles from the Court's jurisprudence and to reach some tentative
conclusions with regard to the four goals identified above.
1.
Promoting Teaching and Learning
One interest that may be served by promoting racial diversity in student admissions is teaching and
learning. Teaching and learning is obviously a central part of the mission of higher education. It is also of
great importance to society. Significantly, teaching and learning at universities occurs not only between
faculty and students but among students themselves 11 In Bakke, Justice Powell recognized that "[p]eople
do not learn very much when they are surrounded only by the likes of themselves." Thus, a diversity of
student perspectives, including racial perspectives, promotes substantive teaching and learning, both in and
out of the classroom, by exposing students to a variety of views on whatever subject is at issue and by
challenging students' individual perspectives. Racial diversity, therefore, benefits all students by providing
them with a more complete educational experience.¹³
This interest in teaching and learning can perhaps be more fully explained by responding to the
criticisms often lodged against it. The most common criticism levied against this interest is that it equates
race with viewpoint: As the Fifth Circuit asserted in Hopwood, "To believe that a person's race controls
his point of view is to stereotype him."¹ But this criticism misses the point. The belief is not that a
person's race controls his viewpoint, but rather that a person's race may affect his/her life experience and,
in turn, his/her perspective on certain issues. This does not stereotype a person any more than the belief
that where a person was born and raised may have a similar effect. In a sense, what is at issue is not racial
diversity at all, but experiential diversity: "The variety of viewpoints that the university seeks to foster
Circuit Says No and Outlaws Affirmative Action, 113 Ed. L. Rep. 1052, (1996) (quoting Lino Graglia, Texas
Lawyer, Sept. 25, 1995 at 25).
11 See. e.g., Ernest T. Pascarella & Patrick T. Terenzini, How College Affects Students 620 (1991) ("Consistent
with evidence on the impact of student-faculty interaction, students' interactions with their peers also have a strong
influence on many aspects of change during college. Included are such areas as intellectual development and
orientation; political, social, and religious values; academic and social self-concept; intellectual orientation;
interpersonal skills; moral development; general maturity and personal development; and educational aspirations
and educational attainment.").
12 Bakke, 438 U.S. at 313 (quoting William Bowen, Admissions and the Relevance of Race, Princeton Alumni
Weekly 7, 9 (Sept. 26, 1977)).
13
See. e.g., Akhil Reed Amar & Neal Kuma Katyal, Bakke's Fate. 43 UCLA L. Rev. 1745, 1749 (1996)
("Integrated education does not just benefit minorities it advantages all students in a distinctive way, by
bringing rich and poor, black and white, urban and rural, together to teach and learn from each other as
democratic equals.").
14 Hopwood, 78 F.3d at 946.
5
does not come from any innate difference between the races themselves, but rather from the varying life
experiences of the individuals, due in large part to their racial backgrounds." Furthermore, the point is
not that every black person, for example, will feel the same about every issue, or that every black person
will feel differently than every white person about every issue. Rather, the simple reality is that black and
white persons are often perceived differently in the world and, in turn, often perceive the world
differently.¹⁶
The Fifth Circuit in Hopwood seems to deny the role of race in society by stating that race is no
more relevant than blood type. 17 This comparison is insulting. It is safe to assume that blood type is in no
way correlated with educational opportunity, socio-economic status, or the nature of interpersonal relations
in our country. Substantial evidence indicates that this is clearly not true for race. 18 The Fifth Circuit, like
all of us, may wish that there were not racial differences in society, but it cannot deny reality. "One must
be careful to distinguish between issues of is and ought." 19 And if the court's goal is to delegitimize racial
differences in society,²⁰ the question from the perspective of university admissions is what is more likely to
facilitate that goal -- allowing black and white students to interact in the university marketplace of ideas or
effectively censoring all differences between black and white students from discussion in that marketplace
by disallowing affirmative action in student admissions?
A second criticism that may be lodged against promoting racial diversity in the student body to
further the interest in teaching and learning is that it relies on a faulty pedagogical premise: The university
is a place where faculty teach students, not where students teach students. This criticism is both wrong and
15 Murphy, supra note 3, at
16
"Students 'come to "understand" primarily on the basis of their own reflecting experience, into which they seek
to incorporate the new ideas they encounter in their courses.' Because their experiences determine their frame of
reference, minority students bring the influence of these experiences to assignments and discussions." Note, An
Evidentiary Framework for Diversity as a Compelling Interest in Higher Education, 109 Harv. L. Rev. 1357, 1370
(1996) (quoting John D. Wilson, Student Learning in Higher Education 29 (1981)). Racially diverse perspectives
may be more relevant to some issues than others. See. e.g., Amar and Katyal, supra note 13, at 1778 ("Of course,
diversity cannot function in the same way, or be as important, in every academic context. There may be settings
where diversity may not have much educational importance at all (graduate school in math, perhaps) and other
settings where it will matter a great deal (college, for example).") But at any comprehensive university, racially
diverse perspectives are likely to be more often relevant than not.
17 See Hopwood, 78 F.3d at 945.
18
E.g., Affirmative Action Review: Report to the President 20-25 (July 1995) (presenting evidence of continued
racial stratification and discrimination in American society).
19
Adolphous Levi Williams, Jr., A Critical Analysis of the Bakke Case, 16 S.U. L. Rev. 129, 225 (1989).
"However unpleasant it may be, the issue of race is still very much an unresolved issue in the United States. As
desirable as it might be to set this issue to one side, pretend it does not exist, or acknowledge its existence and
accord it only minimal importance, the historical evidence and realities (for example the small percentage of Afro-
American[s] in the professions) lead us in the opposite direction and to another conclusion; specifically, that race
must be considered now and in the foreseeable future." Id. at 229.
20
See Hopwood, 78 F.3d at 940 (suggesting that the goal of equal protection is to make race irrelevant).
6
misses the point. It is wrong because it assumes that faculty have all the answers and have internalized all
relevant perspectives concerning their subjects. On the contrary, the role of faculty is to constantly
discover as well as to share knowledge, and "[these] functions of discovering and sharing knowledge are
intimately related. ,,21 Furthermore, the criticism is wrong because it assumes that all teaching and learning
occurs in the classroom. "A great deal of learning occurs informally."22 Finally, this criticism misses the
point because even if it were true that only faculty teach students, it is widely believed that student-centered
teaching, whether it be discussion sections in college, the Socratic method in law school, the case method in
business school, etc., improves the overall educational experience (i.e., promotes teaching and learning).
"In the classroom, professors can use the backgrounds and experiences of other students as a learning
tool.
,,23
Finally, the question of whether this interest in promoting teaching and learning, which is part of
the educational diversity endorsed in Bakke, is likely to be found compelling by the Supreme Court today is
a separate issue that can perhaps best be determined by examining the likely view of each Justice. On the
negative side of the ledger, Justices Scalia and Thomas and Chief Justice Rehnquist are unlikely to find this
interest to be compelling. Justices Scalia and Thomas have recently indicated that they favor full race-
neutrality,24 and Chief Justice Rehnquist shows no signs of favoring diversity.25 On the positive side,
Justice Stevens has taken a pragmatic view of what constitutes a compelling interest and now clearly
supports educational diversity as sufficiently compelling.26 Furthermore, while the views of Justices
21 Nannerl O. Keohane, The Mission of the Research University, in The Research University in a Time of
Discontent 157 (Jonathan R. Cole, Elinor G. Barber & Stephen R. Graubard eds., 1994). In this way, promoting
racial diversity can also further universities' goal of developing new knowledge, because students not only help
educate other students; they also educate and stimulate faculty. See id. at 157-64.
22 Bakke, 438 U.S. at 313 n.48 (quoting Bowen, supra note 12, at 9).
23 Note, supra note 16, at 1370.
24 See Adarand, 115 S. Ct. at 2119 (Scalia, J., concurring in part) ("To pursue the concept of racial entitlement --
even for the most admirable and benign purpose -- is to reinforce and preserve for future mischief the way of
thinking that produced race slavery, race privilege and race hatred. In the eyes of government, we are just one race
here. It is American."); id. (Thomas, J., concurring in the judgment) ("In my mind, government-sponsored racial
discrimination based on benign prejudice is just as noxious as discrimination inspired by malicious prejudice. In
each instance, it is racial discrimination, plain and simple.").
25
See, e.g., Amar & Katyal, supra note 13, at 1768 ("William Rehnquist voted for Allan Bakke once, and his
writings and opinions reveal no faith in Lewis Powell's diversity theory.").
26
See, e.g., Metro Broadcasting, Inc. V. FCC, 497 U.S. 547, 601-02 (Stevens, J., concurring) ("The public interest
in broadcast diversity -- like the interest in an integrated police force, diversity in the composition of a public
school faculty, or diversity in the student body of a professional school -- is in my view unquestionably
legitimate.").
7
Souter, Breyer, and Ginsburg are somewhat less known, their dissents in Adarand V. Pena clearly evidence
a rejection of strict race neutrality and potential support for educational diversity as a compelling interest.²⁷
The apparent swing votes, therefore, are likely Justices Kennedy and O'Connor, whose views are
somewhat difficult to discern. Justice Kennedy seems generally to be opposed to affirmative action because
he has often been a strong proponent of race neutrality.28 Justice O'Connor has not been as strong a
proponent of race neutrality, but she authored the main dissent in Metro Broadcasting, Inc. V. FCC, joined
by Justice Kennedy, among others, which rejected broadcast diversity as a compelling interest and
suggested that only the remedial interest in overcoming the present effects of past discrimination could ever
constitute a compelling interest.² Nonetheless, there are clear differences between the broadcast diversity
at issue in Metro and the interest in promoting teaching and learning in the higher education context.³⁰
Furthermore, Justice O'Connor's prior opinions indicate some level of support for educational diversity.31
Finally, in Adarand, Justice O'Connor avoided repudiating Bakke, indicated that strict scrutiny is not "fatal
in fact," and, joined only by Justice Kennedy, reaffirmed her belief in the importance of precedent. 32 This
last point concerning the importance of precedent may be especially important:
Adarand teaches us a valuable lesson about Justices O'Connor and Kennedy
Joined
only
by Justice Kennedy, [Justice O'Connor] carefully crafted one section of Adarand in light of her
1992 [Planned Parenthood Casey opinion (coauthored with Justices Kennedy and Souter),
which cautioned against overruling hugely important cases around which major social expectations
have
crystallized
Thus a big "plus" for Bakke [and its interest in promoting teaching and
learning] is its social importance. An entire generation of Americans has been schooled under
27 See Adarand, 115 S. Ct. at 2120 (Stevens, J., dissenting, joined by Ginsburg, J.); id. at 2131 (Souter, J.,
dissenting, joined by Ginsburg and Breyer, JJ.); id. at 2134 (Ginsburg, J., dissenting, joined by Breyer, J.). Justice
Ginsburg's explanation, joined by Justice Souter, concerning the Court's denial of certiorari in Hopwood is
perhaps also evidence of their support for affirmative action in the higher education context. See Texas V.
Hopwood, 116 S. Ct. 2581 (1996) (indicating that the issue of whether universities can use race as one factor in
admissions is "an issue of great national importance" that will be decided another day).
28 See Amar & Katyal, supra note 13, at 1757-58, 1769.
29 Metro, 497 U.S. at 3028 (O'Connor, J., dissenting).
30
These differences include the unique role of education in society, the special First Amendment protections of
academic freedom operating in the higher education context, the emphasis placed on individualistic diversity in
Bakke versus the largely pluralistic diversity at issue in Metro, the direct interactions among students in a
university environment versus the attenuated interactions between owners of broadcast stations and the public, and
the fact that Justice Powell upheld educational diversity under strict scrutiny in Bakke. See, e.g., Amar & Katyal,
supra note 13, at 1747 (1996) (offering several potentially salient distinctions between Bakke and Metro).
31
See, e.g., Wygant V. Jackson Bd. of Educ., 476 U.S. 267, 286 (1986) (O'Connor, J., concurring) ("[A]lthough its
precise contours are uncertain, a state interest in the promotion of racial diversity has been found sufficiently
'compelling'' at least in the context of higher education, to support the use of racial classifications in furthering
that interest."); id. at 288 ("The goal of providing 'role models' discussed by the courts below [and rejected by
the Supreme Court here] should not be confused with the very different goal of promoting racial diversity among
the faculty.").
32 Adarand, 115 S. Ct. at 2114-17.
8
Bakke-style affirmative action,
Only a handful of modern Supreme Court cases are now
household words in America. But Bakke -- like Brown and Roe -- is surely one of them. 33
Given this analysis, there is likely a case to be made for affirmative action in higher education
based on the interest in promoting teaching and learning. But it is likely to be a tough case.
2.
Enhancing Civic Values
A related interest that may be furthered by promoting racial diversity in the student body is
enhancing civic values. Education has long been viewed in our democratic society as "the very foundation
of good citizenship. 34 "[M]uch of the point of education is to teach students how others think and to help
them understand different points of view -- to teach students how to be sovereign, responsible, and
informed citizens in a heterogeneous democracy.' ,,35 By bringing together and promoting interaction among
an array of students from diverse racial and ethnic groups, universities help cultivate the values of
understanding, tolerance, and respect for others that make all students better citizens. This goal is central
to universities and is arguably the cornerstone of arguments for racial diversity.
Institutions of higher education are today a primary source of
cultural capital. They aspire to
cultivate the remarkable and difficult capacity to regard oneself from the perspective of the other,
which is the foundation of the critical interaction necessary for active and effective citizenship
In the United States,
racial and ethnic identities mark lines of intense political division. If the
racial and ethnic rifts that divide us are to be transcended by a democratic state that is legitimate to
all sides, there must be articulate participation in public culture that concomitantly spans the lines
of these controversies. 36
This civic interest is at the heart of Bakke's diversity rationale and is often analyzed as part of the
interest in promoting teaching and learning described above. Therefore, the prior analysis of the likely
views of each justice concerning whether the interest in teaching and learning is "compelling" likely applies
here. However, I have disaggregated the two interests to point out an important difference: Unlike the
teaching and learning interest, the civic interest does not necessarily depend on judgments about
33 Amar & Katyal, supra note 13, at 1769-70.
34 Brown V. Bd. of Educ., 347 U.S. 483, 493 (1954).
35 Amar & Katyal, supra note 13, at 1774.
36
Robert Post, Introduction: After Bakke, Representations, Summer 1996, at 1,1. See also Amar & Katyal, supra
note 13, at 1749 ("If a far-flung democratic republic as diverse -- and at times divided -- as late twentieth-century
America is to survive and flourish, it must cultivate some common spaces where citizens from every corner of
society can come together to learn how others live, how others think, how others feel. If not
in
universities,
where? If not in young adulthood, when?").
9
individuals' viewpoints. Even if the lesson that black and white students, for example, learn from
interacting with each other in a university setting is that there is no viewpoint correlated with race (i.e., that
black and white students do not in fact see any issues differently in any consistent way), that would likely
be an extremely valuable lesson toward instilling students of all races with the tolerance and understanding
necessary for them to function as good citizens in our multicultural, democratic society. As Justice Stevens
explained in Wygant V. Jackson Board. of Education, referring to the value of racial diversity in the
faculty:
In the context of public education, it is quite obvious that a school board may reasonably conclude
that an integrated faculty will be able to provide benefits to the student body that could not be
provided by an all-white, or nearly all-white, faculty. For one of the most important lessons that
the American public schools teach is that the diverse ethnic, cultural, and national backgrounds
that have been brought together in our famous "melting pot" do not identify essential differences
among the human beings that inhabit our land. It is one thing for a white child to be taught by a
white teacher that color, like beauty, is only "skin deep"; it is far more convincing to experience
that truth on a day-to-day basis during the routine, ongoing learning process.³⁷
This distinction could make a difference to Justice O'Connor, who in her Metro dissent indicated
her opposition to any affirmative action program that is based on the assumption that a person's race
determines how he/she thinks. 38 As explained above, I believe that this criticism concerning race and
viewpoint misunderstands the relevance of racial diversity in the higher education context. Nonetheless, to
the extent that the criticism can be avoided, the case for enhancing civic values as a compelling interest
may be slightly stronger than that for promoting teaching and learning.
3.
Remedying the Lack of Essential-Service Providers
On a different level than the two educational interests just described, promoting the inclusion of
racial minorities at predominantly white universities may serve the interest in producing well-educated
professionals to practice in under-served areas in society. This interest is different than the interests in
37 Wygant, 476 U.S. at 315 (Stevens, J., dissenting) (emphasis added). Some seek to distinguish this sameness
argument from the difference argument for promoting racial diversity. But I see the two as inherently linked.
Persons of different races likely have some differences that are real, based on their different cultures and
experiences, and others that are based on misperceptions from which our sameness can emerge. But the point is
that it does not matter to which theory one subscribes because racial diversity likely promotes civic values among
all students in either case. Therefore, this goal for affirmative action cannot be said to turn on the relationship
between race and viewpoint.
38 See Metro, 497 U.S. at 602 (O'Connor, J., dissenting).
10
teaching and learning and civic values because it is not based on the interaction among students of different
races. In fact, this interest is not really concerned with the race of the students at all. Rather, it seeks to
promote minority student attendance only because under-served communities tend to be largely minority
communities, and because it is believed that minority graduates are more likely to practice in those
communities.
This interest may be compelling in some circumstances where the need for certain service providers
is itself compelling. For example, in Bakke, Justice Powell suggested that the state's interest in "facilitating
the health care of its citizens" by expanding health services in under-served communities was arguably
compelling enough to justify the use of race-based affirmative action at Davis Medical School, but he
rejected the interest in large part because there was no evidence that minority graduates were more likely to
practice in such under-served communities.39 As will be shown below, such evidence now exists.
However, as will also be shown below, affirmative action programs designed to promote this interest are
unlikely to withstand strict scrutiny under any circumstances because they suffer from a different fatal flaw
-- there are clearly race-neutral means available to further this interest (i.e., the program would not be
necessary or narrowly tailored). 40 For example, a university could offer scholarships to students who
pledge to practice in under-served communities after graduation. At the extreme, universities could even
reserve admissions slots for students who agree to practice in under-served communities. Therefore, the
potentially compelling nature of this goal is likely moot.
4.
Remedying Racial Stratification in Society
Finally, promoting the inclusion of racial minorities through affirmative action in university
admissions may serve the interest in remedying racial stratification by producing well-educated minorities
to serve at advanced levels in society. This interest rests in part on the notion that universities are prime
forces of social mobility. However, this interest does not only have a social promotion component to it; it
may also have an instrumental component: It may be necessary in some circumstances to admit minority
students to study in certain fields because there is an instrumental value to having minorities in certain
positions in society. For example, in Wittmer v. Peters,⁴¹ the Seventh Circuit upheld an affirmative action
program for correctional officers at a prison "boot camp" because the court found it was necessary to
promote black officers to serve the state's compelling interest in "pacification and reformation" of youth
39 Bakke, 438 U.S. at 310-11 (opinion of Powell, J.).
40
Justice Powell mentioned this criticism in Bakke as well. See id. at 311.
41
87 F.3d 916 (7th Cir. 1996), cert. denied, 65 USLW 3416 (1997).
11
offenders. Imagine that instead of the boot camp seeking to promote a black officer directly, the local
university sought to enroll a black applicant in its correctional officer training program. In that case, there
would perhaps be an argument that, given the compelling interest in having some black correctional officers
in supervisory positions, the university program would pass strict scrutiny.
It is clear that universities may not use affirmative action simply to promote the social mobility of
minorities; that interest is largely akin to the interest in overcoming "societal discrimination," which the
Supreme Court has clearly indicated is not sufficiently compelling to justify affirmative action by any entity
except perhaps the federal government.⁴² Furthermore, even where there is an instrumental value to the
promotion of minorities in a given field, affirmative action is likely to raise substantial concerns for the
Court. Nonetheless, this interest may be worth pursuing in defense of a university's affirmative action
program where there is an extremely close connection between the education the university provides and the
availability of minorities in potentially compelling positions in society. One possible example that will be
explored below is the medical profession. 43
B.
Evidence Linking the Objective of Promoting Racial Diversity to the Goals of Higher
Education
In order to make the case for affirmative action in higher education, the objective of promoting
racial diversity must be linked to the above goals of higher education by more than mere analytical
presumptions. The Supreme Court will uphold affirmative action only where there is "a strong basis in
evidence" to support the belief that the given program serves a compelling interest and is narrowly tailored
to achieve that interest. 44 Given the paucity of evidence concerning the value of racial diversity in higher
education, this heightened evidentiary requirement would seem to pose the greatest challenge to efforts to
promote affirmative action based on the diversity rationale. "The hope for preserving pluralism in
American higher education now rests on our ability to marshal specific evidence that the institutions' core
42
See, e.g., Bakke, 438 U.S. at 307-10 (opinion of Powell, J.) (holding that the interest in overcoming societal
discrimination is insufficient to justify affirmative action by a university).
43 See infra text accompanying notes 73-78.
44
See, e.g., Richmond V. J.A. Croson Co., 488 U.S. 469, 500 (1989) (quoting Wygant, 476 U.S. at 277). This
subsection of the paper focuses on showing that racial diversity serves a compelling interest. The related issue of
whether affirmative action is necessary to promote that interest is an issue of strategy and is discussed below. See
infra text accompanying notes 92-99.
12
needs and values require special efforts for racial and ethnic minorities."⁴⁵ In other words, universities
must present clear evidence that promoting racial diversity serves one or more of the potentially compelling
interests identified above.
It is unclear how much and what kind of evidence is necessary to meet this evidentiary requirement.
A recent article argues that the Court should be satisfied with "the testimony of educators. "46 Many
academics have touted the value of diversity,⁴ but I am not confident that such evidence will independently
be sufficient to sustain affirmative action. (It certainly was not in Hopwood.) Nonetheless, several factors
arguably favor universities in their efforts to present sufficient evidence of the value of racial diversity: (1)
The First Amendment concept of academic freedom holds that it is chiefly the university's place "to
determine for itself on academic grounds who may teach, what may be taught, how it shall be taught, and
who may be admitted to study. ,,48 (2) The Supreme Court has arguably indicated that some deference to
higher education experts may be appropriate with regard to affirmative action.49 (3) While universities
must present substantial evidence of the value of diversity, the ultimate burden of proof remains with the
plaintiff(s) challenging a university's affirmative action program to prove that it violates his/her equal
protection rights. 50 (4) In Wittmer V. Peters, Chief Judge Posner held that how much and what kind of
evidence is required under the strict scrutiny standard depends, in part, on what evidence is available. 51
This section of the paper describes possible evidentiary chains linking the objective of promoting
racial diversity within the student body to each of the four potentially compelling interests identified above
(in other words, assessing the value of diversity). Direct evidence linking racial diversity to most of the
interests identified above is extremely limited; some have even suggested that such evidence cannot be
produced." Furthermore, what evidence does exist sometimes shows mixed results concerning the value of
45 Martin Michaelson, Building a Comprehensive Defense of Affirmative Action Programs, Chron. of Higher Ed.,
July 28, 1995, at A56.
46 Note, supra note 16, at 1361.
47 See. e.g., Gabriel J. Chin, Bakke to the Wall: The Crisis of Bakkean Diversity, 4 Wm. & Mary Bill Rts. J. 881,
888-89 (1996).
48 Bakke 438 U.S. at 312 (opinion of Powell, J.) (quoting Sweezy V. New Hampshire, 354 U.S. 234, 263 (1957)
(Frankfurter, J., concurring in the result)).
49
See Southern Education Foundation, Redeeming the American Promise, 14-18 (1995) (suggesting that the
Supreme Court's statement in United States V. Fordice, 505 U.S. 717 (1992), that policies traceable to the de jure
segregated era must be eliminated "to the extent practicable and consistent with sound educational practices,"
indicates a willingness to defer, to some extent, to education leaders).
50 See, e.g., Wygant, 476 U.S. at 277-78 (plurality opinion); id. at 292 O'Connor, J., concurring).
51 See Wittmer, 87 F.3d at 920-21.
52 See, e.g., Note, supra note 16, at 1361-62 ("Although the educational community has heralded diversity's
benefits, current social science methods do not provide definitive measurements. Therefore, if courts did require
universities to prove that diversity furthers learning, courts would be making a substantive choice that higher
13
racial diversity in higher education. However, this is likely because the resource of racial diversity has,
until recently, been largely underutilized by universities in any formal way and has in turn been
underevaluated as well. Still, some positive direct evidence exists concerning the value of diversity, and
other indirect evidence shows great promise. Therefore, I conclude that there is likely a case to be made for
the importance of racial diversity in achieving the goals of higher education, but universities must promote
efforts to use the resource of diversity more effectively and to evaluate it more rigorously.
1.
Evidence Linking Racial Diversity to the Goal of Promoting Teaching and
Learning
Direct evidence linking racial diversity in the university student body to the goal of promoting
teaching and learning would include studies that demonstrate more effective teaching and learning in
racially diverse environments, including enhanced learning on substantive issues, improved cognitive skills,
etc. Such studies are rare, but some recent and encouraging attempts have been made. For example,
several recent longitudinal studies based on nationwide student survey data report positive correlations
between increasing cross-racial student interactions and such educational outcomes as retention,
satisfaction with college, intellectual self-concept and social self-concept (at least where coupled with
efforts to promote constructive interactions among students of different racial groups). 53 Other studies
1
have tried to measure the effects of diversity at a more micro-level. One example is a recent study by
Maurianne Adams and Yu-hui Zhou-McGovern that attempted to measure the effects of an undergraduate
social diversity course (with a racially diverse student enrollment) on students' cognitive development.⁵⁴
Adams and Zhou-McGovern hypothesized that "[c]ollege curricula that deal with social justice and social
diversity call for many of the qualities described in the [cognitive] developmental literature with regard to
critical thinking, openness to conflicting perspectives from readings or classroom discussions, and, most
especially, the ability to reflect upon one's experience, prior beliefs and feelings from another's
educational institutions cannot pursue diversity.
The benefits of diversity are the result of interpersonal
interactions that cannot be quantified or verified by scientific proof.").
53 See Alexander Astin, How Are Students Affected? 25 Change 44 (1993); Octavio Villalpando, Comparing the
Effects of Multiculturalism and Diversity on Minority and White Students' Satisfaction with College, ASHE
Annual Meeting Paper 16 (Nov. 9, 1994); Mitchell Chang, Racial Diversity in Higher Education: Does a Racially
Mixed Student Population Affect Educational Outcomes? 11-12 (1996) (forthcoming article based on unpublished
Ph.D. dissertation, University of California, Los Angeles).
54 Maurianne Adams and Yu-hui Zhou-McGovern, The Sociomoral Development of Undergraduates in a "Social
Diversity" Course, Paper presented at the Annual Meeting of the American Educational Research Assoc. (Apr.
1994).
14
perspective.
Based on tests administered to students before and after participation in the social diversity
course, Adams and Zhou-McGovern found statistically significant, positive effects on stu dents' cognitive
56
development.
The above studies indicate that it is possible to develop evidence linking racial diversity in the
student body to the goal of promoting teaching and learning, but much more research is clearly needed.
Studies showing a direct link between racial diversity and improved teaching and learning; are likely hard to
produce. Assessing teaching and learning is inherently difficult, and assessing that part cf teaching and
learning attributable to diversity is likely even more so. However, qualitative data may be more readily
available than quantitative data and should not be undervalued. 57
Finally, in the short term, the premise that racial diversity in the student body improves teaching
and learning can perhaps be proven indirectly. First, there is evidence that having a variety of perspectives,
examine a problem, in general, promotes problem solving. "Studies have shown that work team
heterogeneity promotes critical strategic analysis, creativity, innovation, and high-quality decisions. ,,58
Second, those perspectives that should be actively included in a diverse problem-solving group are likely
those perspectives that are relevant to the given problem or subject at issue and are not otherwise
adequately represented. Third, there is substantial evidence indicating that race is often relevant in the
sense that black and white persons, for example, often have different experiences in the world as a result of
race and, in turn, often see the world differently. 59 Therefore, there is likely a strong argument to be made
55 Id. at 1-2.
56 Id. at 31.
57
See Villalpando, supra note 53, at 25; Telephone Interview with Mitchell Chang, Professor, Loyola Marymount
Univ. (Apr. 1, 1997).
58 Susan Sturm & Lani Guinier, The Future of Affirmative Action: Reclaiming the Innovative Ideal, 84 Cal. L.
Rev. 953, 1024 (1996) (citing L. Richard Hoffman & Norman R.F. Maier, Quality and Acceptance of Problem
Solutions by Members of Heterogeneous Groups, 62 J. Abnormal and Social Psychology 401 (1961)). Of course,
not all of the effects of diversity, especially cultural diversity, on problem solving are positive. "Although
culturally diverse groups have the potential to generate a greater variety of ideas and other resources than culturally
homogeneous groups, they need to overcome some of the group interaction problems that make group functioning
more difficult." Warren E. Watson & Kamalesh Kumar, Differences in Decision Making Regarding Risk Taking:
A Comparison of Culturally Diverse and Culturally Homogeneous Task Groups, 16 Int'l J. of Intercultural
Relations 53, 61 (1992).
59
This often unfortunate truth can be shown in many ways including audit studies and surveys that demonstrate
the continuing vestiges of discrimination that African Americans and other minorities face in their daily lives.
See, e.g., Michael Fix, George C. Galster & Raymond J. Struyk, An Overview of Auditing for Discrimination, in
Clear and Convincing Evidence: Measurement of Discrimination in America 1 (Michael Fix & Raymond J. Struyk
eds., 1993) (discussing evidence of discrimination facing minorities in employment and housing); Jennifer L.
Hochschild, Facing Up to the American Dream 114 (1995) (reporting that white persons rank black persons as
more violent and less likely to work hard). Such vestiges undoubtedly influence minority life experiences and
likely contribute to differences in black and white viewpoints on countless issues, from welfare reform to the O.J.
\\
Simpson verdicts. See, e.g., The Four Americas: Government and Social Policy Through the Eyes of America's
15
for the notion that including black students' perspectives in university discussions is likely to enhance
problem solving, and thereby teaching and learning, on many issues, at least in student-centered learning
environments.
2.
Evidence Linking Racial Diversity to the Goal of Enhancing Civic Values
Direct evidence linking racial diversity in the student body to the goal of enhancing civic values
would include research studies that demonstrate that students' values, beliefs, and/or actions are positively
affected by a more diverse campus environment. Once again, such direct evidence is extremely limited.
"National studies dealing with changes during the college years in attitudes and values related to civil
rights, civil liberties, racism, anti-Semitism, or general tolerance for nonconformity uniformly report shifts
toward social, racial, ethnic, and political tolerance and greater support for the rights of ndividuals in a
wide
variety of areas. ,,60 But there is little evidence that racially diverse educational environments
themselves have such effects. One exception is a recent longitudinal study by Alexander Astin, mentioned
above, in which he found that increased faculty and institutional commitment to diversity and increased
student diversity experiences (such as participation in a cultural awareness workshop) were positively
associated with increased cultural awareness among students and/or increased student commitment to
promoting racial understanding.6¹ Thus Astin lends some direct support to the notion that efforts to
promote racial diversity in turn promote civic values, and other studies have corroborated Astin's findings
that participation in cultural awareness workshops has positive effects on students' attitudes about racial
diversity.⁶² But much more research is clearly needed.
Once again, the link between racial diversity in the student body and the goal of inculcating civic
values can perhaps be established indirectly by studies demonstrating that interactions among different
types of people, in general, promote tolerance and understanding. This theory is widely known as the
"contact hypothesis," which states that "contact with members of a negatively stereotyped group might
ameliorate attitudes both toward the specific group member or members with whom contact occurred, and
Multi-Racial and Multi-Ethnic Society, Harvard Survey Project 25-37 (Dec. 1995) (illustrating differences in
viewpoints by race with regard to numerous issues).
60 Pascarella & Terenzini, supra note 11, at 279.
61 See Astin, supra note 53, at 46-49.
62
See. e.g., Leonard Springer et al., Attitudes Toward Campus Diversity: Participation in a Racial or Cultural
Awareness Workshop, 20 Rev. of Higher Ed. 53, 60-66 (1996) (showing that participation in a cultural awareness
workshop is positively associated with more favorable attitudes toward racial diversity among white students
including men, women, and students in both liberal and conservative majors).
16
toward the group as a whole. "63 Numerous studies have provided support for the contact hypothesis
provided that certain conditions are met. These conditions include (1) that the interaction occur between
persons of equal status, (2) that the interaction afford persons the chance to get to know each other, and (3)
that the interaction be cooperative and in pursuit of mutual goals. 64 Even where these cor ditions are met,
most studies concerning the contact hypothesis show a positive shift in attitudes only towa rd the specific
stereotyped group member and not necessarily toward the group as a whole. But recent studies have shown
support for the generalization component of the contact hypothesis as well.⁶⁵ Therefore, the contact
hypothesis could lend indirect support for the importance of racial diversity in promoting such civic values
as racial tolerance and understanding, provided that universities are willing to make the commitment to
foster cross-racial cooperative learning opportunities.
3.
Evidence Linking Racial Diversity to the Goal of Remedying the Lack of
Service Providers in Under-Served Communities
There is substantial evidence of a lack of certain types of professionals practicing in certain
segments of society. These under-served communities tend to be largely minority. Furthermore, there is
some evidence that minority professionals are more likely to practice in these areas. Therefore, increasing
minority enrollment in certain professional programs may remedy this lack of service pro viders. The most
apparent example is the medical profession: There is substantial evidence of a shortage cf physicians in
certain segments of society.⁶⁶ While there is some evidence of shortages in poor commurities, a recent
study in California indicates that "[t]he supply of physicians was much more strongly ass ociated with the
proportion of black and Hispanic residents in the community areas than with the areas' ir come level. "67
63 James L. Werth & Charles G. Lord, Previous Conceptions of the Typical Group Member and the Contact
Hypothesis, 13 Basic and Applied Social Psychology 351 (1992). See also Gordon Allport, The Nature of
Prejudice (1954) (proposing the contact hypothesis).
64
See Werth & Lord, supra note 63, at 352; Donna M. Desforges et al., Effects of Structured Cooperative Contact
on Changing Negative Attitudes Toward Stigmatized Social Groups, 60 J. of Personality and Social Psychology
531 (1991); Janet Ward Schofield, Improving Intergroup Relations Among Students, in Handbcok on Research on
Multicultural Education 635, 638-41 (James A. Banks ed., 1995).
65
See Desforges, supra note 64, at 535-40 (showing that cooperative learning interactions between college
students and other students who they believed were former mental patients had a positive effect on the college
students' attitudes toward the supposed mental patients with whom they interacted and toward mental patients
overall); Werth & Lord, supra note 63, at 358-63 (indicating, with some lack of experimental controls, that
classroom interactions between college students and a guest speaker with AIDS had a positive effect on the
students' attitudes toward the speaker and toward people with AIDS more generally, but finding that the change in
attitudes was only significant for students who had not previously had contact with a person with AIDS).
66
See, e.g., Miriam Komaromy et al., The Role of Black and Hispanic Physicians in Providing Health Care for
Underserved Populations, 334 N.E. J. of Medicine 1305 (May 16, 1996).
67 Id. at 1307.
17
Finally, studies show that black and Hispanic medical school graduates are significantly more likely to
practice in these under-served areas.⁶⁸ Therefore, affirmative action in medical school admissions may be
necessary to further the compelling interest in facilitating health care to all citizens. However, as
mentioned above and discussed below, it is unlikely that affirmative action programs designed to achieve
this interest will pass strict scrutiny, despite the above evidence, because there are likely race-neutral means
available to achieve this goal.
4.
Evidence Linking Racial Diversity to the Goal of Remedying Racial
Stratification in Society
There is ample and impressive evidence that higher education is a major force of social mobility for
minorities. Consider the effects of college on minorities' future earnings: First, for all students, the effect
of obtaining an undergraduate degree on future earnings has never been greater. 70 Second, a college degree
results in an even greater increase in earnings for black students than for white students. 71 Third, and most
important in the context of affirmative action, a recent study shows that minority students who attend
selective universities, often as a result of affirmative action, have higher future earnings than equally
qualified minority students who attend less prestigious universities.⁷² This shows that affirmative action in
higher education is itself an agent of social mobility.
Despite all of this, it is not likely that the Supreme Court would find that universities are the
appropriate actors to decide to use affirmative action to pursue this goal of remedying racial stratification,
which is akin to remedying societal discrimination. However, as stated above, there may be rare cases
where increasing the number of minorities serving in select positions in society has an instrumental value
that is itself compelling, and where universities are so closely connected to producing minorities to serve in
those positions that affirmative action would be justifiable.
68
Id.; S.N. Keith et al., Effects of Affirmative Action in Medical Schools: .4 Study of the Class of 1975, 313 N.E. J.
of Medicine 1519-25 (1985).
69 See Bakke, 438 U.S. at 310-11 (indicating that the state's interest in "facilitating the health care of its citizens"
was potentially compelling).
70 See William G. Bowen, No Limits, Transcript of speech delivered at Cornell Univ. 2-3 (May 21, 1995) (quoting
Sarah E. Turner, Changes in Returns to College Quality, U. of Mich, Dep't of Econ., mimeo (A.pril 1995)).
71 See One Statistical Measure of How a College Education Tends to Repair Damage From the Past, J. of Blacks
in Higher Ed. 5 (Autumn 1996) (reporting that the median annual income of black high school graduates is
approximately 57 percent of white high school graduates, but the income of black college graduates is 87 percent
of white college graduates). "Whatever the reasons for the continuing economic disparities bet veen the races, it is
certain that a college education, more than any other factor, serves to break down racial stereotypes, increase
opportunities for African Americans, and decrease the economic gap between blacks and whites." Id.
72 Thomas Kane, Racial and Ethnic Preference in College Admissions 13-14 (1997) (Paper presented at recent
conference on affirmative action and university admissions).
18
Consider, once again, the medical profession. It is clear that there is an underrep resentation of
black physicians in society. 73 Furthermore, there may be an instrumental value to having; a sufficient
number of black physicians in society (not to be confused with the interest discussed above in providing
under-served segments of society with physicians of any race). Simply put, while physic ans of all races
are capable of providing quality care, black physicians may, in some cases, provide better care for black
patients. 74 This could be true for several reasons: First, there is evidence that black patients are more
likely to visit black physicians. This is true even after controlling for the proportion of b ack residents
living in the given community. This may indicate that black patients feel more comfortable visiting black
physicians. Thus, increasing the number of black physicians could lead to an increase in preventive care
and early detection of illness as more black patients would more readily seek medical attention. Second,
black physicians may be more likely to understand "the cultural and social context of illness and disability
among blacks. ,,,76 For example, the unique social pressures facing African Americans, such as issues of
status and discrimination, can cause great stress, which can promote disease and illness. A black physician
is likely to better understand these pressures and to more easily factor them into his/her diagnosis." Third,
black physicians may be able to communicate with black patients more easily, which is crucial because
medical evaluation is itself a social interaction.⁷⁸ For all these reasons and more, it is possible, though
perhaps not probable, that the Supreme Court could find that affirmative action in medical school
admissions is necessary to further the compelling interest in providing health care to all citizens. 79
However, the question remains whether some actor besides a university, such as the fede government, is
the more appropriate actor to make that determination.
73 E.g., Sterling M. Lloyd & Russell L. Miller, Black Student Enrollment in U.S. Medical Schc ols. 261 J. of Am.
Medical Assoc. 272 (1989) ("Blacks continue to be underrepresented in the medical schools of this country and in
the profession of medicine. Blacks represent about 12% of the nation's population, but only 6% of total medical
school enrollment, 5% of medical school graduates, 5% of postgraduate trainees, 3% of physicians in practice, and
2% of medical school faculties.").
74 Id. at
75 Komaromy, et al., supra note 66, at 1301-08.
76 Lloyd & Miller, supra note 73, at
77
See Clovis E. Semmes, Racism, Health, and Post-Industrialism: A Theory of African-Amer can Health 131-34
(1996).
78 Lloyd and Miller, supra note 73, at
79
See Bakke, 438 U.S. at 310-11 (opinion of Powell, J.) (indicating that the state's interest in 'facilitating the
health care of its citizens" is potentially compelling).
19
C.
Objective of Promoting Racial Diversity
Objectives are concrete, operational aims that are linked to the non-operational goals/interests by
evidence and analytical presumptions, 80 as illustrated above. In the case of affirmative action in university
admissions, the objective is promoting racial diversity in the student body, by which I mean increasing
minority representation at predominantly white universities. However, vague objectives, such as
"promoting racial diversity," are sometimes dangerous because they lead to confused, imperfect policy
choices. 81 What makes an objective "operational" is that it is defined precisely enough SO that it is easy to
understand what is expected and to determine whether the objective has been achieved. In the case of
affirmative action in university admissions, this need to clearly articulate a policy's objective raises
additional questions: Exactly what level of racial diversity is appropriate? And for how 1 ong should it be
pursued?⁸²
The proper level of diversity a university should pursue and how long a university should pursue it
naturally depends on what goal(s) of higher education it is trying to promote. For example, if the goal or
interest is remedying racial stratification in society, then the appropriate level of diversity is likely tied to
the lack of minorities at certain levels in society. This conclusion illustrates why it is unl kely that the goal
of remedying racial stratification will be found to be compelling in most cases. Promoting this interest
would permit a discrete university to use affirmative action to admit any number of mino rity applicants it
believed appropriate until societal discrimination was remedied, a situation the Supreme Court has clearly
rejected.
83
However, if the interests a university is seeking to serve are promoting teaching and learning or
enhancing civic values among its students, then the appropriate levels of diversity are tied to the levels
80 See Zelikow, supra note 5, at 162.
81
Id. at 162-64.
82 When talking about numbers, it is obviously important to distinguish between targets and quotas. The use of
quotas in affirmative action is clearly unconstitutional, see, e.g., Bakke, 438 U.S. at 314-20. 'n part because using a
quota encourages the recruitment of enough minorities to fill the quota regardless of qualifications, see Amar &
Katyal, supra note 13, at 1751. Numerical targets are intended to be more flexible and aspirational. Numerical
targets in affirmative action establish the ideal while recognizing that meeting the targets depends on the
availability of qualified minority applicants.
83
See, e.g., Bakke, 438 U.S. at 307-10 (opinion of Powell, J.) ("[T]he purpose of helping certain groups whom the
faculty of the Davis Medical School perceived as victims of 'societal discrimination' does not ju stify a classification
that imposes disadvantages upon persons like respondent, who bear no responsibility for whatever harm the
beneficiaries of the special admissions program are thought to have suffered. To hold otherwise would be to
convert a remedy heretofore reserved for violations of legal rights into a privilege that all institutions throughout
the Nation could grant at their pleasure to whatever groups are perceived as victims of societal discrimination.
That is a step we have never approved.").
20
necessary to achieve those goals by promoting discussions and interactions among student; of different
races. In other words, some specific level of minority representation on campus is obviously required to
create sufficient opportunities for communication and interactions across racial lines.
Given the lack of direct evidence concerning the value of diversity to promoting teaching and
learning and instilling civic values, we obviously do not know what level of minority enrollment is optimal.
One point of agreement between proponents and opponents of diversity-based affirmative action seems to
be that proportionality in racial representation is not necessarily required to further those educational
goals. 84 Furthermore, many education leaders believe that minority participation and inter action across
racial lines are dependent upon the level of comfort minorities feel on campus. This raises the notion of
"critical mass. 185 Even on this point, however, the available pedagogical literature is limited and difficult
to interpret. There is substantial evidence that black students attending predominantly white universities
experience greater levels of alienation and isolation than their white counterparts at predominantly white
universities or their black counterparts at historically black universities. 86 Furthermore, there is evidence
that the social and academic adjustment of black students at predominantly white universi is enhanced
by communalism, meaning the tendency for a black student to see him/herself as part of a black
community.
87 "The communal student may be more likely to draw from the support of Blacks on campus
or in the surrounding community, thereby uniting with community members in the face of adversity rather
than withdrawing in isolation. ,,88 Thus a critical mass of black students may increase the level of comfort
of black students on campus by providing such a black community.
This, however, highlights the concern that a "critical mass" might make minority students feel
more comfortable only because they are able to self-segregate within their own racial or e:hnic
communities, thereby actually decreasing cross-racial interactions. There is some evidence of such
84 Compare Amar & Katyal, supra note 13, at 1777 (supporting non-remedial affirmative action) ("A critical mass
of students of a particular group may be needed so that other students become aware of the group (and of the
diversity within the group), but this by no means requires exact proportionality -- or anything like it.") and Chin,
supra. note 47, at 894 (opposing non-remedial affirmative action) ("The theory of Bakkean diversity is that it may
be beneficial for persons who are not members of a particular group to have contact with others who are.
Accordingly, the number of minority students admitted is driven not by the percentage of minorities in the
population, but by the number needed to achieve that goal of educational diversity.").
85
See, e.g., Chin, supra note 47, at 921 ("Diversity proponents often argue that a 'critical mass' of minority
students is necessary to ensure that the students are socially comfortable.").
86 See, e.g., Walter R. Allen, The Color of Success: African-American College Student Outcomes at
Predominantly White and Historically Black Public Colleges and Universities, 62 Harv. Ed. Rev. 26 (Spring
1992); Pascarella & Terenzini, supra note 11, at 380.
87 Chalmer E. Thompson & Bruce R. Fretz, Predicting the Adjustment of Black Students at Predominantly White
Institutions, 62 J. of Higher Ed. 437, 437-38 (July/Aug. 1991).
88 Id.
21
"Balkanization," but recent studies indicate that a "critical mass" of minority students will not necessarily
result in self-segregation.⁸⁹ Cross-racial interaction will occur as long as universities se ek to promote
such cross-racial interaction. In other words, in addition to numbers, "the results of efforts to increase
diversity on our campuses may depend very much on what kinds of learning environments are created. ,,90
Finally, the issue of whether affirmative action in higher education intended to promote teaching
and learning and enhance civic values has a clear stopping point in terms of how long it should be used is
more difficult. Given the nature of these goals, it seems logical that a university should I se affirmative
action, if necessary, to promote racial diversity until race no longer has substantial educational value,
which is likely tied to the role of race in society and, thereby, to the existence of societal discrimination. 91
But perhaps the distinction here is that universities are not trying to directly overcome past societal
discrimination by acting as the self-proclaimed leaders of social readjustment for discrete racial groups.
Rather, universities are simply recognizing the reality of societal discrimination and its relevance to the
fulfillment of their core goal: providing a complete education (intellectual, vocational, civic, moral, etc.)
for all of their students. Whether this is a distinction with a difference likely depends on how compelling
the Court finds the goals of promoting teaching and learning and instilling civic values tc be.
D.
Strategy of Affirmative Action
A strategy is a general plan of action designed to achieve the desired objective(s) and thereby
promote the larger goals. 92 The strategy at issue here is race-based affirmative action in student
admissions. It is the use of this race-based strategy that implicates strict scrutiny and requires universities
to show that the strategy is narrowly tailored to serve a compelling interest.
However, recent comments and actions by members of the higher education community and others
indicate a lack of understanding or appreciation for what it means for a strategy to be "race-based" and
thereby trigger strict scrutiny. Some education leaders and researchers are encouraging the development of
89 See, e.g., Troy Duster, The Diversity of California at Berkeley: An Emerging Reformulation of "Competence"
in an Increasingly Multicultural World, in Beyond a Dream Deferred 231, 237 (1993) ("Our re search revealed that
while the student body is segmented along racial and ethnic lines, there are some important, good social relations
and collective problem solving across racial and ethnic lines."); Sylvia Hurtado, Eric L. Dey & Jesus G. Trevino,
Exclusion or Self-Segregation? Interaction Across Racial/Ethnic Groups on College Campuse; Paper presented at
the Annual Meeting of the American Educational Research Association (1994) (finding that, in terms of informal
interactions, "African Americans are more likely to interact across groups than are whites.").
90 Bowen, supra note 70, at 21.
91 See Note, supra note 16, at 1363-63.
92
See Zelikow, supra note 5, at 164-65.
22
admissions schemes intended to promote racial diversity by using facially race-neutral C riteria, such as
social class. 93 But what implicates so-called strict scrutiny in constitutional analysis is not merely facially
race-based action but also intent to discriminate based on race.⁹⁴ In other words, if the intent of a
university in adopting a facially race-neutral admissions policy is to achieve racial diversity, it is subject to
the same legal standard as if its admissions program were facially race-based. The law scrutinizes covert
race-based actions as stringently as overt race-based actions. Therefore, there may be little value in
developing such facially race-neutral admissions programs. In any case, the data overwhelmingly
indicate that the use of facially race-neutral factors, such as social class, is not likely to yield a racially
diverse student body.96
Whether it is facially or just intentionally race-based, the Supreme Court will uphold affirmative
action in higher education only where it serves a compelling interest and is narrowly tail ored to achieve that
interest. The compelling interest prong was addressed above. The narrowly tailored prong requires
93 See. e.g., Linda F. Wightman, The Threat to Diversity in Legal Education: An Empirical t. nalysis of the
Consequences of Abandoning Race as a Factor in Law School Admission Decisions, 72 N. Y.U. L. Rev. 1, 48
(forthcoming, 1997).
94
See, e.g., Arlington Heights V. Metro. Hous. Dev., 429 U.S. 252, 264-71 (1977) (indicating that strict scrutiny is
implicated where a racially discriminatory purpose is shown to have been a "motivating factor" in the adoption of a
facially race-neutral policy or program). The existence of a discriminatory purpose is determined by examining a
number of factors including the events leading up to the program's adoption and statements made by members of
the given decisionmaking body. Id. at 267-68.
95 Two caveats to this point are perhaps warranted: (1) Once a facially race-neutral program is shown by the
plaintiff to have been motivated by a racially discriminatory purpose (i.e., to promote racial diversity), then the
burden technically shifts back to the defendant to show that the program would have been adopted even without
that factor. Id. at 271 n.21. Therefore, to the extent that universities can justify the adoption of race-neutral
admissions criteria that promote racial diversity on grounds independent of their intent to promote racial diversity
(i.e., for other legitimate educational reasons), such criteria likely have a better chance of being upheld. See
Michael Williams, Racial Diversity Without Racial Preferences, Chron. of Higher Ed., Nov. 15, 1996, at A64.
(2) An argument can be made that facially race-neutral efforts such as widening the scope of udent recruitment
may be immune from equal protection challenge even if the intent is to recruit minority studer ts, perhaps because
such programs cause no injury to non-minority students (i.e., recruitment has no discriminatory effects). See Lujan
V. Defenders of Wildlife, 504 U.S. 555, 560 (1992) (indicating that the "irreducible constitutional minimum of
standing" requires "injury in fact"). But cf. Miller V. Johnson, 115 S. Ct. 2475, 2485 (1995); Shaw V. Reno, 509
U.S. 630, 641-42 (1993) (holding that a voter residing in a racially gerrymandered district has standing to
challenge the redistricting plan because he/she has been injured by having been treated not as an individual but as
a member of a racial group.).
96
E.g., Robert Bruce Slater, Why Socioeconomic Affirmative Action in College Admissions W orks Against African
Americans, J. of Blacks in Higher Ed. 57-59 (Summer 1995) (showing that using socio-econoinic status in
admissions at selective universities would result in little more racial diversity than a race-blind system that did not
include socio-economic status); Wightman, supra note 93, at 48-59 (finding that neither socioeconomic status,
selectivity of undergraduate school, or undergraduate major if used as factors in law school ad missions would
result in racial diversity similar to that presently achieved under affirmative action); Kane, supra note 72, at 18-19
(finding that because the majority of low-income families are white, a college presently administering a race-based
affirmative action admissions plan would have to "grant preferences to six times as many low-income students to
'yield' the same number of black and Hispanic freshmen"). "No race-blind substitute is likely to cushion the effect
of an end to racial preferences. The problem is one of numbers." Id. at 17.
23
primarily that the race-based strategy of affirmative action be necessary in the sense that there are no truly
race-neutral (i.e., neither facially or intentionally race-based) means available to achieve the compelling
interest(s). If race-neutral means are available, race-based means cannot be utilized. For example, as
explained above, it is possible to implement race-neutral means to promote the goal of remedying the lack
of essential-service providers in society. A university could, for example, reserve admissions slots for
students who pledge to practice in under-served communities after graduation." Because such race-neutral
means are available, race-based affirmative action programs designed to achieve that goal are unlikely to
pass strict scrutiny even if the goal is found to be compelling.
However, it is more difficult to see how race-neutral means could effectively achieve the remaining
goals of higher education presented above (assuming they are found to be compelling). For example, with
regard to the goals of promoting teaching and learning and enhancing civic values among all students, the
very point is to expose students to different racial perspectives and to promote racial understanding. It is
unlikely that these goals could be fully achieved without promoting at least some level cf racial diversity.98
Furthermore, the evidence indicates that absent intentional efforts to promote the admission of certain
minorities to selective universities, racial diversity at those institutions would be decimated Therefore,
assuming that either of the goals of promoting teaching and learning or instilling civic values is found to be
compelling, affirmative action in student admissions, properly designed, would likely be a narrowly tailored
means of achieving that goal.
97 Even if the effect of such a program was to increase racial diversity, it would not be subject to strict scrutiny
because it was not facially or intentionally race-based. See, e.g., Personnel Administrator of Mass. V. Feeney, 442
U.S. 256 (1979) (upholding a Massachusetts veterans' preference policy even though the legislature was fully
aware that the policy would have a discriminatory effect on women).
98
Possible race-neutral means likely include incorporating multicultural ideas into the university curriculum
and/or formalizing efforts to promote racial ethics. Therefore, universities may have to preser evidence that such
race-neutral efforts are not likely to be effective in racially homogeneous (i.e., all white) environments.
Furthermore, to the extent that such race-neutral means are likely to be even partially successful, the Court may
look more favorably on the use of affirmative action if those race-neutral means are used in tandem with
affirmative action. See Metro Broadcasting, Inc. V. FCC, 497 U.S. 547, 589-90, 590 n.3 (citir g with approval the
FCC's prior and continued use of race-neutral means).
99
See, e.g., Slater, supra note at 57 ("[I]f admissions at [the nation's most prestigious universities] were made on
the basis of grade point average and SAT scores, and without regard to race, perhaps 1 percent or 2 percent of all
students accepted for admission to these schools would be black."); Wightman, supra note 93, at 19-27 (showing
that minority admissions to ABA accredited law schools would decrease significantly if only ace-neutral criteria
were used); Bowen, supra note 70, at 19 (finding that the use of exclusively race-blind criteria at selective
universities would reduce black enrollment from approximately 8 percent to 2 percent).
24
E.
Design of Race as "Plus" Factor
Simply put, policy design is a detailed statement of the strategy. 100 In the case of affirmative
action in university admissions, the legally required design is dictated by Justice Powell's decision in
Bakke. In order for a university's affirmative action program to pass constitutional muster, it must avoid
racial quotas and seek to promote a broad-based, individualistic notion of diversity in which race is "but a
single though important element. ,,101 In other words, race may only be deemed a single "plus" factor in a
particular candidate's file. Admissions programs that do not follow this design will not pass strict scrutiny.
It is perhaps appropriate to inquire whether this design of affirmative action, where race is just one
element of diversity among many, can truly result in a racially diverse student body, or whether this
individualistic notion of diversity is a sham because race is really the predominant factor in student
admissions. The evidence indicates that while race is only a factor in admissions at the most selective
universities, it is a substantial factor at those institutions. According to a recent study, at those selective
universities with average SAT scores in the top 20 percent of all four-year institutions, black and Hispanic
applicants were found to be 8-10 percent more likely to be admitted than white students with similar
qualifications. 102 "This differential was as large as that associated with having an A- average in high
school rather than a B or having an SAT score of 1400 rather than 1000.
However, for several reasons, this does not necessarily mean that Bakke "plus factor" design is a
sham: First, the primary factor in admissions is always prior academic achievement (i.e., all students
admitted, through affirmative action or otherwise, come from the pool of qualified candidates). 104 Second,
it is clear that universities seek to promote diversity in student admissions based on multiple factors in
addition to race (e.g., geographic diversity). 105 But many of these factors are likely well represented at all
levels of highly qualified students. Therefore, a university may not have to take as substantial affirmative
action to achieve diversity with regard to most of these characteristics. Third, universities do give
substantial weight to other particularistic factors beyond race in student admissions. The most obvious
example is alumni preferences, which the evidence indicates are more substantial then race-based
100 See Zelikow, supra note 5, at 166.
101
Bakke, 438 U.S. at 315 (opinion of Powell, J.).
102
Kane, supra note 72, at 8-9.
103
Id.
104 See, e.g., Bowen, supra note 70, at 10.
105
See, e.g., Citizens Commission on Civil Rights, The Resource: An Affirmative Action Gu de 9A (1996)
(indicating that the University of California at Los Angeles (UCLA) considers not fewer than 17 factors in its
admissions process).
25
preferences at selective universities. 106 Fourth, race is likely given substantial weight in admissions at
selective universities when choosing among qualified applicants because, as I hope I have explained
throughout this paper, racial diversity is an important resource for achieving the goals of higher education -
- certainly much more important than diversity in children of alumni.
III.
Conclusion
The above policy analysis indicates that there is likely a strong case to be made for affirmative
action in university admissions designed to promote the objective of increasing racial diversity in the
student body and to further the various goals of higher education that flow from it. Hov/ever, making the
case for affirmative action in higher education will require an immediate, substantial commitment from the
higher education community. For nearly 20 years, the higher education community has relied on Justice
Powell's decision in Regents of the University of California V. Bakke as its sole justification for affirmative
action in higher education. This reliance has bred complacency. The Fifth Circuit's decision in Hopwood
V. Texas can be either a clarion call or a death knell.
This paper has sought to serve as a first step in making the case for affirmative action in higher
education by reconceptualizing the legal debate into a policy-oriented framework that clearly identifies the
possible arguments in support of non-remedial affirmative action in higher education and highlights what
needs to be done to make those arguments most effectively. Based on that analysis, I conclude that
affirmative action programs designed to further the goals of enhancing civic values and promoting teaching
and learning are most likely to pass strict scrutiny and that the weakest link in the chains of argument
supporting those goals is likely the lack of substantial evidence indicating that promoting; racial diversity
furthers those goals. The limited evidence that exists indicates that achieving racial diversity can promote
teaching and learning and enhance civic values when coupled with efforts to promote constructive
interactions among students of different racial groups. Therefore, in order to make the case for affirmative
action in higher education, universities must increase their efforts to use the resource of acial diversity
more effectively and to evaluate it more rigorously.
106 See, e.g., John Larew, Who's the Real Affirmative Action Profiteer?, in Debating Affirmative Action 247, 250
Nicolaus Mills ed., 1994) ("At most elite universities during the eighties, the legacy was by far the biggest piece of
the preferential pie.").
26
An Overview of the Law Governing
Non-Remedial Affirmative Action in Higher Education
Scott R. Palmer
May 1997
Preliminary Draft
Please send comments to
5 Linnaean St., #45
Cambridge, MA 02138
or e-mail at [email protected]
This paper is an abridged version of a chapter from a larger paper entitled Making the Case for Non-Remedial
Affirmative Action in Higher Education: A Conceptual Framework for Assessing the Value of Diversity. I want to
thank the following people who have provided me with invaluable assistance in the preparation of this paper and
who I hope will continue to help me explore the ideas expressed within it: Derek Bok, Ron David, Christopher
Edley, Laura Heymann, Tom Kane, Adina Kole, Gary Orfield, Stephanie Naso, Anne Piehl, and Julie Wilson.
They deserve credit for all that is good in the paper and are blameless for all that is not. Finally, special thanks to
Tom Loveless, Robert Post, and Judith Winston (and the U.S. Department of Education Office of General Counsel)
without each of whom this paper would not have been possible.
An Overview of the Law Governing
Non-Remedial Affirmative Action in Higher Education
I.
Introduction
The law governing affirmative action in higher education is at a crucial point in its development.
Several recent decisions by the Supreme Court, most notably Adarand Constructors, Inc. V. Pena,
evidence a clear trend toward the universal, rigid application of so-called strict scrutiny in evaluating all
race-based policies and programs. Some legal commentators have argued that this trend may "sound the
death knell" for affirmative action in higher education and especially for the non-remedial interest in
promoting educational diversity.² Hopwood V. Texas, 3 in which the Fifth Circuit rejected educational
diversity as a compelling interest and held unconstitutional the affirmative action admissions program at the
University of Texas School of Law, is obviously a manifestation of that view. However, there is also a
competing conception of the present state of affirmative action based on the notion, recently endorsed by a
majority of the Court, that strict scrutiny is not "fatal in fact." That view is embodied in the recent,
countervailing case of Wittmer V. Peters,' in which the Seventh Circuit upheld an affirmative action
employment program for correctional officers at a "boot camp" in order to further the state's compelling
interest in the "pacification and reformation" of youth offenders. Wittmer, though occurring outside the
higher education context, provides a potentially powerful rebuttal to Hopwood and illustrates that the law
governing affirmative action can best be understood as being unsettled. This brief paper provides an
overview of the present legal standards relevant to affirmative action in higher education, focusing
specifically on the diversity rationale, and contrasts the cases of Hopwood and Wittmer.
II.
Legal Background: Developing the Present Legal Standards
In its broadest terms, the legal standard governing race-based affirmative action, both in the
context of higher education and more generally, is likely settled, though its meaning remains unclear.
1
115 S. Ct. 2097 (1995).
2
E.g., Leland Ware, Tales From the Crypt: Does Strict Scrutiny Sound the Death Knell for Affirmative Action in
Higher Education, 23 J.C. & U.L. 43, 44 (1996); Donald L. Beschle, "You've Got to Be Carefully Taught":
Justifying Affirmative Action After Croson and Adarand, 74 N.C. L. Rev. 1141, 1180 (1996).
3 78 F.3d 932 (5th Cir. 1996), cert. denied, 116 S. Ct. 2581 (1996).
4
E.g., Adarand, 115 S. Ct. at 2117 ("[W]e wish to dispel the notion that strict scrutiny is 'strict in theory, but fatal
in fact.' (quoting Fullilove V. Klutznick, 448 U.S. 448, 519 (1980) (Marshall, J., concurring in the judgment)));
id. at 2136 (Ginsburg, J., dissenting, joined by Breyer, J.).
5
87 F.3d 916 (7th Cir. 1996), cert. denied, 65 USLW 3416 (1997).
1
Under the constitutional requirement of equal protection, race-based classifications are "inherently
suspect. "Th[e] Court has 'consistently repudiated "[d]istinctions between citizens solely because of
their ancestry" as being "odious to a free people whose institutions are founded upon the doctrine of
equality.
Race-based policies or programs will be upheld only where they pass so-called strict
scrutiny. Strict scrutiny requires that a given affirmative action program (1) serve a compelling interest
and (2) be narrowly tailored to achieve that interest. 8
The strict scrutiny standard now applies regardless of whether the given affirmative action
program constitutes federal action challenged under the Fifth Amendment,⁹ state action challenged under
the Fourteenth Amendment, 10 or private action challenged under Title VI, which prohibits discrimination
by any actor receiving federal financial assistance, including most if not all private universities. 11 The
standard governing private action challenged under Title VII, which prohibits discrimination in
employment, is less clear, but analogous. 12 Furthermore, strict scrutiny applies regardless of whether the
affirmative action program at issue seeks to achieve so-called invidious or benign goals (i.e., whether the
program seeks to benefit the white majority or historically disadvantaged minorities). 13
6 Wygant V. Jackson Bd. of Educ., 476 U.S. 267, 273 (1986) (plurality opinion) (citing Regents of the University of
California V. Bakke, 438 U.S. 265, 291 (1978)).
7
Id. (quoting Loving V. Virginia, 388 U.S. 1, 11 (1967) (quoting Hirabayashi V. United States, 320 U.S. 81, 100
(1943))).
8 E.g., Adarand, 115 S. Ct. at 2113.
9
See id. ("[W]e hold today that all racial classifications, imposed by whatever federal, state, or local governmental
actor, must be analyzed by a reviewing court under strict scrutiny." (overruling Metro Broadcasting, Inc. V. FCC,
497 U.S. 547 (1990), on this point)). The Fifth Amendment states that "[n]o person shall be deprived of life,
liberty, or property, without due process of law." The Due Process Clause has been held to embrace notions of
equal protection. See, e.g., Bolling V. Sharpe, 347 U.S. 497 (1954).
10 E.g., Richmond V. J.A. Croson Co., 488 U.S., 469, 493-94 (1989) O'Connor, J., plurality opinion joined by
Rehnquist, C.J., White, and Kennedy, JJ.): id. at 520 (Scalia, J., concurring). The Fourteenth Amendment
mandates
that "[n]o State shall deny to any person within its jurisdiction the equal protection of the laws." U.S.
Const. amend. XIV, § 1.
11 Title VI of the Civil Rights Act of 1964 reads, "No person in the United States shall, on the grounds of race,
color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal financial assistance." 42 U.S.C. § 2000d. The
Supreme Court has held that Title VI is coextensive with the Fourteenth Amendment. United States V. Fordice,
505 U.S. 717, 732 n.7 (1992) (citing Bakke, 438 U.S. at 287, 328; Guardians Assn. V. Civil Service Comm'n of
New York, 463 U.S. 582, 610-11, 612-13, 639-43 (1983)).
12 Title VII of the Civil Rights Act of 1964 reads, "It shall be an unlawful employment practice for an employer.
to fail or refuse to hire or to discharge any individual, or otherwise to discriminate against any individual with
respect to his compensation, terms, conditions, or privileges of employment, because of such individual's race,
color, religion, sex, or national origin." 42 U.S.C. § 2000e-2. The Supreme Court has held that affirmative action
is justified under Title VII where the given program is designed to "eliminate a manifest racial imbalance" in the
work force (at least in "traditionally segregated job categories") and does not "unnecessarily trammel" the interests
of non-minorities. See, e.g., United Steelworkers of America V. Weber, 443 U.S. 193, 208 (1979).
13
See. e.g., Adarand, 115 S. Ct. at 2111-14 ("[A]ny person, of whatever race, has the right to demand that any
governmental actor subject to the Constitution justify any racial classification subjecting that person to unequal
2
"[T]he purpose of strict scrutiny is to 'smoke out' illegitimate uses of race by assuring that the
legislative body is pursuing a goal important enough to warrant use of a highly suspect tool. The test also
ensures that the means chosen 'fit' this compelling goal so closely that there is little or no possibility that
the motive for the classification was illegitimate racial prejudice or stereotype." Thus, the strict scrutiny
standard is meant to examine both the ends and the means: "In short, the compelling interest inquiry
centers on 'ends' and asks why the government is classifying individuals on the basis of race or ethnicity;
the narrow tailoring focuses on 'means' and asks how the government is seeking to meet the objective of the
racial or ethnic classification.
The Supreme Court's efforts to clearly define what interests are sufficiently compelling to justify
race-based actions have been hampered by several conflicting principles. First, where race-based actions
are necessary and appropriate (e.g., to remedy past discrimination), the Court likely wants to encourage
institutions to take such actions on a voluntary basis. 16 However, the Court is also clearly concerned about
endorsing race-based remedies that are insufficiently tied to specific acts or discrete goals, thereby
promoting race-based actions that are "ageless in their reach into the past and timeless in their ability to
treatment under the strictest judicial scrutiny."). The Court's decision to apply strict scrutiny to all racial
classifications is grounded in the notion that the Fourteenth Amendment protects individual rights, not group
rights. In other words, it protects each individual's right not to be judged according to his/her race except in
exceptional circumstances. Id. at 2111 (quoting Bakke, 438 U.S. at 299 (opinion of Powell, J.) (citing Shelley V.
Kraemer, 334 U.S. 1 (1948))). Furthermore, according to the Court, the very purpose of strict scrutiny is to
distinguish the benign from the invidious justifications for race-based actions. "Absent searching judicial inquiry
into the justification for such race-based measures, there is simply no way of determining what classifications are
'benign' or 'remedial' and what classifications are in fact motivated by illegitimate notions of racial inferiority or
simple racial politics." Id. at 2112.
Nonetheless, powerful counter-arguments can be made to the Court's decision to extend strict scrutiny to
so-called benign race-based programs. As Justice Stevens argued in dissent in Adarand:
The Court's concept of "consistency" assumes that there is no significant difference between a decision by
the majority to impose a special burden on the members of a minority race and a decision by the majority
to provide a benefit to certain members of that minority notwithstanding its incidental burden on some
members of the majority. In my opinion that assumption is untenable. There is no moral or constitutional
equivalence between a policy that is designed to perpetuate a caste system and one that is designed to
eradicate racial subordination. Invidious discrimination is an engine of oppression, subjugating a
disfavored group to enhance or maintain the power of the majority. Remedial race-based preferences
reflect the opposite impulse: a desire to foster equality in society
The consistency that the Court
espouses would disregard the difference between a "No Trespassing" sign and a welcome mat.
Id. at 2120-21 (Stevens, J., dissenting).
14 Id. at 2112 (quoting Croson, 488 U.S. at 493).
15 Memorandum to General Counsels from Walter Dellinger, Assistant Attorney General, U.S. Dep't of Justice 10
(June 28, 1995).
16 See, e.g., Wygant, 476 U.S. at 290 O'Connor, J., concurring) (noting the Court's and Congress's "consistent
emphasis on 'the value of voluntary efforts to further objectives of the law") (quoting Bakke, 438 U.S. at 364
(opinion of Brennan, J.)).
3
affect
the
future. Second, in order to decrease the role of race in society, the Court likely wants to
promote an individualistic notion of society rather than a pluralistic one. 18 However, the reality is that
individuals define themselves, and are in turn defined, in part by their group affiliations. Man is, after all, a
social animal. The Court has reacted to these competing pressures, in part, by requiring a "strong basis in
evidence" for the belief that a voluntary affirmative action program is warranted. 19
In the context of higher education, and more generally, the Supreme Court has to date found only
two interests sufficiently compelling to justify voluntary, race-based affirmative actions: (1) remedying the
present effects of past discrimination² and (2) realizing the educational benefits that flow from a racially
diverse student body. 21 Each of these interests are discussed in greater detail below. Furthermore, the
Court has expressly rejected several interests as not sufficiently compelling to justify race-based actions:
First, the Court has repeatedly held that the interest in remedying so-called societal discrimination is
insufficient to justify affirmative action by any entity except perhaps the federal government: "[A]s the
basis for imposing discriminatory legal remedies that work against innocent people, societal discrimination
is insufficient and overexpansive. ,,22 Second, the Court, or at least Justice Powell, has held that the interest
in increasing the number of minorities in a given profession is insufficient to justify affirmative action by a
university. 23 Justice Powell's analysis of this interest, however, was cursory. He seemed to view this goal
as equivalent to valuing race for race's sake. Third, the Court, or at least Justice Powell, has held that the
interest in increasing the number of professionals practicing in under-served communities is insufficient to
justify affirmative action by a university. 24 However, Justice Powell based his holding primarily on the
absence of any evidence indicating that the program at issue was either necessary or designed to promote
that goal. Fourth, the Court has held that the interest in providing "role models" for minority students is
insufficient to justify affirmative action in faculty hiring.25 The Court seemed to equate this goal with the
17 Croson, 488 U.S. at 498.
18
See. e.g., Adarand, 115 S. Ct. at 2111 (indicating that the Fourteenth Amendment protects each individual
regardless of, not because of, his/her membership in a particular group).
19
See, e.g., Wygant, 476 U.S. at 277-78; Croson, 488 U.S. at 500.
20 See, e.g., Wygant, 476 U.S. at 286 D'Connor, J., concurring).
21
See Bakke, 438 U.S. at 311-15 (opinion of Powell, J.) But see Hopwood V. Texas, 78 F.3d 932 (5th Cir. 1996),
cert. denied, 116 S. Ct. 2581 (1996) (rejecting the idea that Justice Powell's statement concerning educational
diversity constituted a holding of the Court).
22
Wygant, 476 U.S. at 276. The Court in Adarand remanded the question of whether the interest in remedying
general societal discrimination is a sufficiently compelling interest to justify affirmative action by the federal
government when acting under section 5 of the Fourteenth Amendment. Adarand, 115 S. Ct. at 2118.
23
Bakke, 438 U.S. at 306-07 (opinion of Powell, J.).
24
Id. at 310-11.
25
Wygant, 476 U.S. at 274-76 (plurality opinion).
4
goal of alleviating general societal discrimination, and the interest in promoting educational diversity was
expressly distinguished. 26
Finally, assuming that a given affirmative action program is found to serve a compelling interest,
the Court has identified several factors to be considered in determining whether the program is narrowly
tailored to achieve that interest:
As it has been applied by the courts, the factors that typically make up the "narrow tailoring" test
are as follows: [1] whether the government considered race-neutral alternatives before resorting to
race-conscious action; [2] the scope of the affirmative action program and whether there is a
waiver mechanism that facilitates the narrowing of the program's scope; [3] the manner in which
[it] is used, that is, whether race is a factor in determining eligibility for a program or whether race
is just one factor in the decisionmaking process; [4] the comparison of any numerical target to the
number of qualified minorities in the relevant sector or industry; [5] the duration of the program
and whether it is subject to periodic review; and [6] the degree and type of burden caused by the
program.
[T]hree general points about the narrow tailoring test deserve mention. First, it is probably not the
case that an affirmative action measure has to satisfy every factor. A strong showing with respect
to most of the factors may compensate for a weaker showing with respect to others. Second, all of
the factors are not relevant in every case.
The factors may play out differently where a program
is non-remedial. Third, the narrow tailoring test should not necessarily be viewed in isolation from
the compelling interest test. To be sure, the inquiries are distinct: as indicated above, the
compelling interest inquiry focuses on the ends of an affirmative action measure, whereas the
narrow tailoring inquiry focuses on the means. However, as a practical matter, there may be
interplay between the two.²⁷
A.
Remedial Interest in Overcoming the Present Effects of Past Discrimination
A solid majority of the Supreme Court agrees that the remedial interest in overcoming the present
effects of past discrimination is a sufficiently compelling interest to support race-based affirmative
action. 28 The real debate here is over the scope of this interest. What "past discrimination" is sufficient to
justify affirmative action? What "present effects" are sufficient? What evidentiary link must be
26 Id. at 289 n.* (O'Connor, J., concurring).
27
Memorandum to General Counsels from Walter Dellinger, supra note 15, at 19-20. See also United States V.
Paradise, 480 U.S. 149, 171 (1987) (plurality opinion); id. at 187 (Powell, J., concurring).
28 See, e.g., Wygant, 476 U.S. at 286 (O'Connor, J., concurring ("The Court is in agreement that, whatever the
formulation employed, remedying past or present racial discrimination by a state actor is a sufficiently weighty
interest to warrant the remedial use of a carefully constructed affirmative action program."). All of the justices
would undoubtedly agree that where present, intentional discrimination has been established, some form of
prospective remedy is appropriate. But they differ in the extent to which they approve of group-based remedies to
correct for past injustices against other members of the group. Nonetheless, only Justice Scalia and perhaps Justice
Thomas have "adopted anything that approaches a blanket prohibition on race-conscious remedies."
Memorandum to General Counsels from Walter Dellinger, supra note 15, at 6.
5
established between the "past discrimination" and the "present effects"? In examining these questions in
the context of higher education, it is useful to distinguish between when a university must take affirmative
action to overcome the present effects of past discrimination and when it may take such action.
1.
When Universities Must Take Affirmative Action to Remedy Prior
Discrimination
The Supreme Court in United States V. Fordice²⁹ defined what remedial actions states are required
to take to dismantle their prior de jure segregated systems of higher education. Fordice involved a
challenge to Mississippi's university system under the Fourteenth Amendment and Title VI alleging that the
state had failed to take the required steps to dismantle its prior de jure segregated system. Mississippi
adopted facially race-neutral university admissions policies in the 1960s, but by the mid-1980s,
Mississippi's university system remained racially segregated.³⁰ The Court in Fordice held:
[A] State does not discharge its constitutional obligations until it eradicates policies and practices
traceable to its prior de jure dual system that continue to foster segregation.
If policies
traceable to the de jure system are still in force and have discriminatory effects, those policies too
must be reformed to the extent practicable and consistent with sound educational practices. "31
Fordice thus requires states to do more to desegregate their universities than simply adopt facially race-
neutral admissions policies. Rather, states must at a minimum seek to establish effective neutrality. 32
29
505 U.S. 717 (1992).
30
Id. at 724-25.
31
Id. at 728-29 (holding several policies of Mississippi's university system "constitutionally suspect" under this
standard).
32
Prior to Fordice. the Court held, with regard to primary and secondary schools, that "separate educational
facilities are inherently unequal." Brown V. Bd. of Educ., 347 U.S. 483, 495 (1954) (emphasis added). States that
had been operating de jure segregated systems of primary and secondary education at the time of Brown had an
affirmative obligation to cure the effects of that prior segregation. See, e.g., Green V. New Kent County School
Bd., 391 U.S. 430, 437-38 (1968) ("School boards operating state-compelled dual systems [at the time of
Brown] were clearly charged with the affirmative duty to take whatever steps might be necessary to convert to a
unitary system in which racial discrimination would be eliminated root and branch"). However, in Bazemore V.
Friday, 478 U.S. 385 (1986), the Court held, with regard to state-funded and -operated clubs that had been de jure
segregated, that states had an obligation only to adopt facially race-neutral membership policies. Thus, the
question in Fordice was, in effect, whether college and universities were more like primary and secondary schools
or like voluntary clubs. One way to understand the decision in Fordice is that the Court adopted a middle-ground.
Fordice in effect creates a presumption that any university practice emanating from the de jure segregated era and
continuing to have discriminatory effects is viewed as intentional discrimination and thus subject to strict scrutiny.
This reading of Fordice is perhaps modest because it is not that different from other cases that have held that the
intent to discriminate is judged from the time at which the law or policy at issue, was originally adopted. See, e.g.,
Hunter V. Underwood, 471 U.S. 222 (1985) (holding unconstitutional a provision of the Alabama Constitution of
1901, which disenfranchised persons convicted of crimes of moral turpitude, based on general evidence that the
provision was originally enacted for a discriminatory purpose).
6
But the precise meaning of the Court's holding in Fordice is somewhat unclear, and key questions
remain unanswered: First, what remedies are appropriate under Fordice? Clearly a state must eliminate
offending policies and practices traceable to the de jure era, but may a state opt to counter the effects of
such policies and practices where their elimination is not feasible by adopting affirmative action programs?
Justice O'Connor suggested in her concurrence in Fordice that states can and may be required to take such
affirmative actions: "Only by eliminating a remnant that unnecessarily continues to foster segregation or
by negating as possible its segregative effects can the State satisfy its constitutional obligation to
dismantle the discriminatory system that should, by now, be only a distant memory. ,,33 Second, Fordice
defines what actions are required by states, but what actions, if any, are states and/or universities permitted
to take voluntarily? Can they go farther than Fordice mandates? What do they have to demonstrate to be
allowed to do so?
2.
When Universities May Take Affirmative Action to Remedy Prior
Discrimination
The legal standard governing what affirmative actions a university may take voluntarily to remedy
the present effects of past discrimination and when it may do so is somewhat unclear. However, three
general principles can perhaps be gleaned from the Supreme Court cases of Wygant v. Jackson Board of
Education, 34 which concerned the use of affirmative action in faculty employment, and Richmond V. J.A.
Croson Co., 35 which concerned the use of affirmative action in government contracting: First, a university
cannot (nor can any other actor except perhaps the federal government) take affirmative action to remedy
the effects of general societal discrimination. Second, a university can take affirmative action to remedy
the present effects of its own past discrimination if it has a "strong basis in evidence" for the belief that
such action is warranted. Third, there is some limited support in the Court's holdings for the proposition
that a university can take affirmative action to remedy prior discrimination by some other actor(s) to avoid
serving as a "passive participant" in a pattern of discrimination.
In Wygant, the Court held unconstitutional under the Fourteenth Amendment a collective
bargaining agreement between the Jackson Board of Education and the Jackson Education Association (a
teachers' union) that gave special protection to minority teachers against layoffs in order to "remedy
33
Fordice, 505 U.S. at 744-45 'Connor, J., concurring) (emphasis added). See also Southern Education
Foundation, Redeeming the American Promise, 15-16 (1995).
34
476 U.S. 267 (1986)
35
488 U.S. 469 (1989)
7
societal discrimination by providing 'role models' for minority schoolchildren."36 In a plurality opinion,
the Court soundly rejected the idea that the interest in overcoming societal discrimination was sufficiently
compelling to support affirmative action, and strongly suggested that only an actor's interest in overcoming
its own prior discrimination could constitutionally support such race-based action. 37 Furthermore, the
Court held that an actor implementing affirmative action to overcome the present effects of its own past
discrimination must have "a strong basis in evidence for its conclusion that remedial action was necessary.
That is, it must have sufficient evidence to justify the conclusion that there has been prior
discrimination ,,38 The Jackson Board did not have sufficient evidence of such prior discrimination 39
Finally, a plurality held that the affirmative action plan at issue was not narrowly tailored, in any case,
because layoffs were too great a price for non-minorities to bear. 40
In her concurring opinion, Justice O'Connor clarified the Court's holding by expressly stating that
an actor's remedial purpose "need not be accompanied by contemporaneous findings of actual
discrimination to be accepted as legitimate as long as the public actor has a firm basis for believing that
remedial action is required." For example, a firm evidentiary basis to support affirmative action in
employment could be established by a racial imbalance in the appropriate labor pools sufficient to support
a prima facie case under Title VII.⁴²
Three years later, in Croson, Justice O'Connor authored the part-majority, part-plurality opinion
holding unconstitutional under the Fourteenth Amendment the Richmond City Council's Minority Business
Utilization Plan, which required a 30 percent minority set-aside for all city-awarded construction contracts
in order to remedy past discrimination in the construction industry.43 Speaking for a majority of the Court,
Justice O'Connor again rejected the idea that responding to a general claim of societal discrimination
36 Wygant, 476 U.S. at 269-84 (plurality opinion).
37
Id. at 274 ("This Court never has held that societal discrimination alone is sufficient to justify a racial
classification. Rather, the Court has insisted upon some showing of prior discrimination by the governmental unit
involved before allowing limited use of racial classifications in order to remedy such discrimination.").
38 Id. at 277.
39 Id. at 272.
40
Id. at 283 ("While hiring goals impose a diffuse burden, often foreclosing only one of several opportunities,
layoffs impose the entire burden of achieving racial equality on particular individuals, often resulting in serious
disruption of their lives. That burden is too intrusive.").
41 Id. at 286 (O'Connor, J., concurring).
42
Id. at 292. This requires showing a statistical imbalance between the percentage of minorities employed at a
given institution or on a given project and the percentage of qualified minorities in the labor pool. It is yet unclear
how this form of evidence would operate in the case of affirmative action in university admissions. It is perhaps
possible that a university could define minimum requirements for qualified applicants and then argue that the use
of race-blind criteria to distinguish among students within that qualified pool would result in a statistical
imbalance in minority representation in the class admitted. Therefore, affirmative action would be justified. This
possibility should be explored, but it is beyond the scope of this brief paper.
43 Croson, 488 U.S. at 476-511.
8
(meaning in this case discrimination within the construction industry) was a sufficiently compelling interest
to justify affirmative action. Rather, the Court held that the city of Richmond must have had "a substantial
basis in evidence for its conclusion that remedial action was necessary," which again could include
evidence of a statistical disparity between the appropriate labor pools sufficient to establish a prima facie
case under Title VII.⁴⁴ The City Council did not have such evidence in this case.⁴⁵ Furthermore, the Court
held that the city's plan was not narrowly tailored because there had been no consideration of available
race-neutral means and because the 30 percent set-aside was not tied to any goal "except perhaps outright
racial balancing. "46 Finally, speaking for a plurality, Justice Connor clarified that that the Richmond
City Council was not restricted to remedying its own prior discrimination but could, given the proper basis
in evidence indicating that such action was necessary, also act to eliminate private discrimination within its
jurisdiction.
47
Wygant and Croson arguably left some important room for the adoption of voluntary affirmative
action programs designed to remedy the present effects of past discrimination, at least by institutions that
had previously been de jure segregated. However, two lower federal courts applying these holdings in the
context of higher education have applied them rigidly and expansively, and have thus greatly restricted
remedial affirmative action programs at universities in those circuits.
First, in Podberesky V. Kirwan, 48 the Fourth Circuit held unconstitutional the University of
Maryland at College Park's Banneker scholarship program, a merit scholarship program open only to
African-American students. The University of Maryland defended the Banneker program as necessary to
remedy the present effects of its own past discrimination. Because the University of Maryland had
previously been de jure segregated and was still under a U.S. Department of Education, Office of Civil
Rights mandate to desegregate, establishing prior discrimination was not an issue.49 Furthermore, the
University offered proof that "four present effects of past discrimination exist at the University: (1) The
University has a poor reputation within the African-American community; (2) African-Americans are
underrepresented in the student population; (3) African-American students who enroll at the University
44 Id. at 500-02.
45
Id. at 498-506.
46
Id. at 507-08.
47
Id. at 491-92 (plurality opinion) ("[A] state or local subdivision (if delegated the authority from the State) has
the authority to eradicate the effects of private discrimination within its own legislative jurisdiction
Thus, if
the city could show that it had essentially become a "passive participant" in a system of racial exclusion practiced
by elements of the local construction industry, we think it clear that the city could take affirmative steps to
dismantle such a system.").
48
38 F.3d 147 (4th Cir. 1994), cert. denied, 115 S. Ct. 2001 (1995).
49
See id. at 152.
9
have low retention and graduation rates; and (4) the atmosphere on campus is perceived as being hostile to
African-American students ,,50 However, the Fourth Circuit held that the evidence presented by the
University of Maryland was not sufficient under Wygant and Croson. According to the court, in order to
sustain a remedial affirmative action program, the university was required to show not only proof of prior
discrimination and present effects, but also proof that the present effects were caused by the prior
discrimination and that the present effects were sufficient to justify the affirmative action program at
issue. 51 The Fourth Circuit held that the University of Maryland was unable to establish these evidentiary
links and thus rejected the University of Maryland's race-based scholarship program.
Second, in Hopwood v. Texas, 52 the Fifth Circuit Court of Appeals held unconstitutional the
affirmative action admissions program at the University of Texas School of Law. The law school defended
its affirmative action admissions program based in part on the need to remedy the present effects of past
discrimination. Like the University of Maryland, the University of Texas School of Law had previously
been de jure segregated, and the Texas university system was arguably still under a U.S. Department of
Education, Office of Civil Rights mandate to desegregate.⁵³ However, the law school sought to justify its
affirmative action admissions program based not only on its own discrimination but also on the prior
discrimination perpetrated by Texas's primary and secondary school systems and by the University of
Texas System as a whole. 54 The law school's reasoning was likely that it is merely a part of the overall
system of education administered by the state of Texas, and by permitting affirmative action at the law
school, the state was merely acting to remedy discrimination in one part of its education system that had
discriminatory effects in another. 55 Alternatively, the law school's reasoning could perhaps be viewed as
analogous to Justice O'Connor's statement in Croson that a state actor (in this case, the law school) should
not be required to serve as a "passive participant" perpetuating a system of racial exclusion. 56 Regardless,
the Fifth Circuit rejected these arguments, reading Wygant and Croson as requiring the University of Texas
School of Law to justify its affirmative action admissions program based solely on its own prior
50 See id.
51
Id. at 153-54 ("To have a present effect of past discrimination sufficient to justify the program, the party seeking
to implement the program must, at a minimum, prove that the effect it proffers is caused by the past discrimination
and that the effect is of sufficient magnitude to justify the program.")
52
78 F.3d 932 (5th Cir. 1996), cert. denied, 116 S. Ct. 2581 (1996).
53
See Letter from Dan Morales, Attorney General, State of Texas, to William P. Hobby, Chancellor, University of
Houston System 25 (Feb. 5 1997) (describing the complex history of the Office of Civil Rights's relations with
Texas's university system).
54 Hopwood, 78 F.3d at 948.
55
Id. at 953-54.
56
See Croson, 488 U.S. at 491-492 (O'Connor, J., concurring).
10
discrimination. Applying the standard established by the Fourth Circuit in Podberesky, the Fifth Circuit
held that the law school had failed to do so: The court held that the present effects the law school
identified, which were nearly identical to those identified by the University of Maryland in Podberesky,
were not sufficiently linked to its own past discrimination and could not serve to justify the affirmative
action admissions program at issue.⁵⁸
The standard established in Podberesky and applied again in Hopwood expands on Wygant and
Croson and has not yet been endorsed by the Supreme Court. If Podberesky and Hopwood become the law
of the land, it is unclear how any university can provide sufficient evidence to support affirmative action to
overcome the present effects of past discrimination. Perhaps the only clearly established method to prove
a link between past discrimination and present effects in the context of higher education admissions is by
showing a policy or practice emanating from the de jure era that continues to have discriminatory effects, in
which case the university is required to take remedial action under United States V. Fordice.⁶⁰ In this
sense, Podberesky and Hopwood may mean that there are now only two classes of remedial affirmative
action programs at universities in the Fourth and Fifth Circuits -- those that are required under Fordice and
those that are not allowed under Podberesky or Hopwood.6¹ This possibility puts great pressure on the
diversity rationale for affirmative action in higher education.
57 Id. at 948-52. According to the court, "Even if, arguendo, the state is the proper government unit to scrutinize,
the law school's admissions program would not withstand our review. For the admissions scheme to pass
constitutional muster, the State of Texas, through its legislature, would have to find that past segregation has
present effects; it would have to determine the magnitude of those present effects; and it would need to limit
carefully the 'plus' given to applicants to remedy that harm." Id. at 951.
58 Id. at 952-55. The "present effects" identified by the University of Texas School of Law included "[1] the law
school's lingering reputation in the minority community, particularly with prospective students, as a 'white'
school; [2] an underrepresentation of minorities in the student body; and [3] some perception that the law school is
a hostile environment for minorities." Id. at 952 (quoting Hopwood V. Texas, 881 F. Supp. 551, 572 (W.D. Tex.
1994)).
59 See, e.g., Tanya Y. Murphy, An Argument for Diversity Based Affirmative Action in Higher Education, 95 Ann.
Surv. Am. L. 515, (1995) ("This strict standard of review and the seemingly impossible factual basis necessary
to satisfy this heightened scrutiny imply that remedial action in higher education is no longer a valid justification
for affirmative action.").
60 See supra text at notes 29-32. Ironically, the Fifth Circuit in Hopwood may have inadvertently identified one
such link when it suggested that the University of Texas School of Law could continue to grant a preference in
admissions to candidates who are relatives of alumni. See Hopwood, 78 F.3d at 946. The law school has likely
had an alumni preference policy since the time it was de jure segregated. Furthermore, because the law school was
de jure segregated in the past, it obviously has a greater percentage of white alumni than minority alumni.
Therefore, the alumni preference policy likely has a discriminatory effect. "Thus, if the law school adopted an
admissions policy that employed only those factors that the court approved [in Hopwood], past racial
discrimination by the law school itself would create a present disadvantage on the basis of alumni relations. By
focusing on the use of racial classifications, the court overlooked this effect." Recent Case, Hopwood V. Texas, 110
Harv. L. Rev. 775, 780 (1997).
61 This possibility does not necessarily sound the death knell for remedial affirmative action in higher education, at
least not at prior de jure segregated institutions, because it can be argued that the Fifth Circuit in Hopwood did not
11
B.
Non-remedial Interest in Realizing the Educational Benefits that Flow From Diversity
Unlike the remedial interest in overcoming the present effects of past discrimination, the non-
remedial interest in promoting educational diversity seeks to justify affirmative action not as a remedy to
make up for past discrimination against a certain group, but as a necessary tool to promote the educational
development of all students for the future benefit of society as a whole. Leaders in higher education have
long believed that diversity within a university's student body, including, more recently, racial diversity, is
a vital tool for providing students with a complete educational experience.⁶² The Supreme Court, too, has
long recognized the value of educational diversity. 63
In Regents of the University of California V. Bakke, 64 Justice Powell, in an opinion that came to be
known as the opinion of the Court, held that securing the educational benefits that flow from diversity in
higher education is a compelling interest that can constitutionally support race-based actions. 65 Bakke
involved a challenge under the Fourteenth Amendment and Title VI to the affirmative action admissions
program at the University of California at Davis Medical School. The Davis admissions program reserved
each year sixteen places in its 100-student entering class for minority students. These sixteen places in the
entering class were filled through a special admissions process operated in coordination with the regular
admissions process. The Davis admissions program was challenged by Allan Bakke, a white male who
apply the Fordice standard correctly or completely. For example, the court in Hopwood presumed that there was
no way that the present underrepresentation of minorities at the University of Texas School of Law could be
attributed to prior discrimination by the law school itself, as opposed to being attributed to prior discrimination by
the state of Texas in its primary and secondary schools or its university system, which the court held the law school
was not permitted to remedy through affirmative action. However, if the law school uses such variables as LSAT
scores in its admissions decisions, which undoubtedly have a discriminatory effect on minority students, and if that
practice dates back to the de jure segregated era, then that practice may be sufficient under Fordice to link the law
school's prior discrimination to the present underrepresentation of minority students. Therefore, the law school
would perhaps be required, or in this case, permitted, to eliminate that practice if consistent with "sound
educational practices" or to "negat[e] as possible its segregative effects" through affirmative action. An analogous
holding was made recently by the Fifth Circuit in Ayers V. Fordice, 95-60431 (5th Cir. Apr. 23, 1997), in which
the court found that Mississippi's predominantly white universities could not continue to award scholarships based
on minimum ACT cutoff scores because that practice dated back to the de jure segregated era and continued to
have discriminatory effects. The court recognized that the use of ACT scores to award scholarships may be
perfectly appropriate outside of Mississippi, but it cannot, given the Supreme Court's holding in Fordice, continue
in Mississippi nonetheless.
62
See, e.g., Neil Rudenstine, President, Harvard University, Report to the Harvard University Board of Overseers,
1993-1995, 1 (Jan. 1996) ("[S]tudent diversity has, for more than a century, been valued for its capacity to
contribute powerfully to the process of learning and to the creation of an effective educational environment. It has
also been seen as vital to the education of citizens -- and the development of leaders -- in heterogeneous democratic
societies such as our own.").
63
See Sweatt V. Painter, 339 U.S. 629 (1950) (recognizing, ironically, the value of student diversity at the
University of Texas Law School).
64 438 U.S. 265 (1978).
65 See id. at 312-15 (opinion of Powell, J.).
12
was rejected from Davis Medical School two consecutive years under the regular admissions process
despite having grades and test scores substantially above the average of those students admitted under the
special admissions program. 66
In a fractured opinion, four justices in Bakke held that Title VI was coextensive with the
Fourteenth Amendment and that the Davis admissions program was constitutional in all respects; four
different justices held that the case was governed exclusively by Title VI, that Title VI prohibited all
considerations of race in the administration of programs receiving federal funds, and that the Davis
admissions program was therefore unlawful. 68 Announcing the judgment of the Court, Justice Powell as
the swing vote, joined the former four justices in holding that the Fourteenth Amendment and Title VI were
coextensive and that the medical school was not fully prohibited from considering race in its admissions
process. However, Justice Powell joined the latter four justices in declaring the Davis admissions program
unconstitutional because it was not narrowly tailored to promote its sole compelling interest, as Justice
Powell saw it, of promoting educational diversity.⁶⁹
According to Justice Powell, the Davis Medical School's interest in promoting educational
diversity was sufficiently compelling to support affirmative action in student admissions. 70 "The
atmosphere of "speculation, experiment and creation' -- so essential to the quality of higher education -- is,"
he wrote, "widely believed to be promoted by a diverse student body.""¹ Justice Powell found the medical
school's interest in educational diversity to be supported not just by leaders in higher education, but by the
First Amendment interest in academic freedom, which protects the authority of universities to make their
own educational judgments concerning "who may teach, what may be taught, how it shall be taught, and
who may be admitted to study.
However, according to Justice Powell, the type of educational diversity that constituted a
compelling interest was not pluralistic diversity of certain racial groups, but more individualistic diversity
in which race is "but a single though important element. ,,,73 "Ethnic diversity is only one element in a
range of factors a university properly may consider in attaining the goal of a heterogeneous student
66 See id. at 272-78.
67
See id. at 324-79 (Brennan, J., concurring in part and dissenting in part, joined by White, Marshall, &
Blackmun, JJ.).
68 See id. at 408-21 (Stevens, J., concurring in part and dissenting in part, joined by Burger, C.J., and Rehnquist &
Stewart, JJ.).
69 See id. at 271-72 (opinion of Powell, J.).
70
Id. at 311-12.
71
Id at 312.
72
Id. at 312-13 (quoting Sweezy V. New Hampshire, 354 U.S. 234, 263 (1957) (Frankfurter, J., concurring in the
result)).
73
Id. at 315.
13
,,74
body.
Therefore, a narrowly tailored affirmative action program designed to promote educational
diversity would not rely on rigid racial quotas or separate admissions processes, but would treat race as
only a single "plus" factor in its regular admissions process. 75
As a result of Justice Powell's opinion in Bakke, public and private universities across the country
have for the last two decades adopted this diversity rationale as their primary justification for affirmative
action programs in student admissions. 76 However, given the fractured holding of the Court in Bakke and
the absence of additional guidance from the Court, the status of Bakkean diversity has remained in some
doubt.⁷⁷
Twelve years after Bakke, in Metro Broadcasting, Inc. V. FCC,⁷⁸ the Court dramatically expanded
the scope of the diversity rationale by applying it outside the formal education context. In Metro, the Court
upheld under a Fifth Amendment challenge two minority preference policies adopted by the Federal
Communications Commission (FCC), as authorized by Congress, which sought to increase minority
ownership of radio and television stations in order to increase broadcast diversity. Central to the Court's
holding was its conclusion that because these were federal affirmative action programs authorized by
Congress, which was owed special deference by the Court as a co-equal branch with special powers under
Section 5 of the Fourteenth Amendment, they were subject only to intermediate scrutiny. 79 The Court held
that "the interest in enhancing broadcast diversity is, at very least, an important governmental objective and
is therefore a sufficient basis for the Commission's minority ownership policies. ,,80 In reaching this
74
Id. at 314.
75 See id. at 316-18.
76 See. e.g., Murphy, supra note 59, at
77 Prior to Hopwood V. Texas, discussed infra at text accompanying notes 87-100, the only federal case to address
Bakke's diversity rationale in the higher education context was Davis V. Halpern, 768 F. Supp. 968 (E.D.N.Y.
1991). Davis involved a challenge by a white male plaintiff to the affirmative action admissions program at the
City University of New York Law School at Queens College. Id. at 970. Ruling on defendant's motion for
summary judgment, the federal district court held, based on Bakke, that educational diversity was a compelling
interest that could constitutionally support race-based affirmative action. Id. at 975. However, the court
nonetheless refused to grant summary judgment to the university because evidence indicated that its affirmative
action admissions program was intended not only to promote diversity, but to achieve other "impermissible" ends
that fell under the rubric of overcoming the effects of general societal discrimination. Id. at 980-83. Thus, Davis
stands for the important proposition that a university that seeks through student admissions to promote both
educational diversity and remedial interests will be forced to justify its program under both standards. See Gabriel
J. Chin, Bakke to the Wall: The Crisis of Bakkean Diversity, 4 Wm. & Mary Bill Rts. J. 881, 905-06 (1996).
78 497 U.S. 547 (1990), overruled, in part, by Adarand V. Pena, 115 S. Ct. 2097 (1995).
79
See Metro, 497 U.S. at 563-65 ("We hold that benign race-conscious measures mandated by Congress -- even if
those measures are not 'remedial' in the sense of being designed to compensate victims of past governmental or
societal discrimination -- are constitutionally permissible to the extent that they serve important governmental
objectives within the power of Congress and are substantially related to achievement of those objectives.").
80 Id. at 567-68.
14
holding, the Court gave great weight to the host of evidence, including empirical evidence, linking the
promotion of minority owners in the broadcast industry to an increase in broadcast diversity.⁸¹
However, in a vigorous dissent, Justice O'Connor, joined by Chief Justice Rehnquist and Justices
Scalia and Kennedy, strongly objected to the application of intermediate rather than strict scrutiny to the
FCC's affirmative action programs. 82 Furthermore, Justice O'Connor argued that the interest in promoting
broadcast diversity was not sufficiently compelling to justify race-based affirmative action, and, although
Bakke's educational diversity was never expressly mentioned in the dissent, Justice O'Connor suggested
repeatedly that only the remedial interest in overcoming the present effects of past discrimination could ever
be considered so compelling.*
Finally, just five years later in Adarand Constructors, Inc. v. Pena,⁸⁴ Justice O'Connor, this time
writing for the Court, held that all race-based affirmative action programs, whether adopted by a federal,
state, or local government actor, were subject to strict scrutiny, and overruled Metro on this point.
Adarand involved a challenge to "the Federal Government's practice of giving general contractors on
government projects a financial incentive to hire 'socially and economically disadvantaged individuals,' and
in particular the Government's use of race-based presumptions in identifying such individuals. The
Court did not reach the merits, but remanded for reconsideration under the strict scrutiny standard.
This constitutes the present state of the Supreme Court's jurisprudence concerning race-based
affirmative action programs. The implications of Adarand for the diversity rationale are troubling, but
uncertain at best. Adarand overruled Metro, but only on the standard to be applied in evaluating federal
affirmative action programs, and not on the merits. Furthermore, Adarand made no reference to Bakke as
far as educational diversity is concerned. Most importantly, perhaps, there are several key distinctions
between the broadcast diversity at issue in Metro and the educational diversity endorsed in Bakke, including
the unique role of education in society, the special First Amendment protections of academic freedom
operating in the higher education context, the emphasis placed on individualistic diversity in Bakke versus
the largely pluralistic diversity at issue in Metro, the direct interactions among students in a university
81
Id. at 580-83. But see id. at 602 (O'Connor, J., dissenting) ("Social scientists may debate how peoples' thoughts
and behaviors reflect their background, but the Constitution provides that the Government may not allocate
benefits and burdens among individuals based on the assumption that race or ethnicity determines how they act or
think.")
82
Id. at 603-10 (O'Connor, J., dissenting).
83
E.g., id. at 612 ("Modern equal protection doctrine has recognized only one [compelling] interest: remedying
the effects of racial discrimination.").
84
115 S. Ct. 2097 (1995).
85
Id. at 2101.
15
environment versus the attenuated interactions between owners of broadcast stations and the public, and
the fact that Justice Powell upheld educational diversity under strict scrutiny in Bakke. 86
Nonetheless, the Fifth Circuit in Hopwood V. Texas⁸⁷ implicitly recognized that the dissenters in
Metro had become the majority in Adarand. In a burst of judicial activism, "tenuously stringing together
pieces and shards of recent Supreme Court opinions,"88 a divided court in Hopwood rejected educational
diversity as a compelling interest that can constitutionally justify affirmative action in higher education.
III.
Hopwood V. Texas and Its Rejection of the Diversity Rationale
In Hopwood v. Texas, as discussed above, the Fifth Circuit held unconstitutional the affirmative
action admissions program at the University of Texas School of Law. The law school's admissions system
was largely a bifurcated system in which African- and Mexican-American applicants were evaluated
separately from other applicants based on reduced admissions standards. The law school defended its
affirmative action admissions program based in part on Bakke's diversity rationale. It was clear that the
law school's admissions program did not meet the narrowly tailored requirements laid out in Bakke; rather
than promoting individualistic diversity in which race was "a single though important element," the law
school was basically administering a separate admissions process for minority students. Nonetheless, a
majority of the court eschewed this more narrow ground for holding the law school's admissions program
unconstitutional and set out, in effect, to "overrule" Bakke by rejecting educational diversity as a
compelling interest.⁹⁰
The Fifth Circuit's rejection of the diversity rationale in Hopwood proceeded in three stages: First,
the court held that Justice Powell's decision in Bakke had never been the law and, therefore, was not
binding precedent. According to the Fifth Circuit, "Justice Powell's argument in Bakke garnered only his
vote and has never represented the view of the majority of the Court in Bakke or any other case. ,,91
Second, the court held that recent Supreme Court precedent indicated that the only potentially compelling
interest was overcoming the present effects of past discrimination and that educational diversity was,
86 See, e.g., Akhil Reed Amar & Neal Kuma Katyal, Bakke's Fate, 43 UCLA L. Rev. 1745, 1747 (1996) (offering
several potentially salient distinctions between Bakke and Metro).
87
78 F.3d 932 (5th Cir. 1996), cert. denied, 116 S. Ct. 2581 (1996).
88 Hopwood V. Texas ("Hopwood II"), 84 F.3d 720, 722 (5th Cir. 1996) (Politz, J., dissenting from denial of
rehearing en banc).
89 See Hopwood, 78 F.3d at 934-38 (explaining the University of Texas School of Law's admissions process).
90
Hopwood II, 84 F.3d at 722 (Politz, J., dissenting from denial of rehearing en banc) ("The majority of the panel
[in Hopwood] overruled Bakke, wrote far too broadly, and spoke a plethora of unfortunate dicta.").
91
Id. at 944.
16
therefore, not compelling." The Fifth Circuit even suggested that this conclusion constituted binding
precedent on the court, saying, "[W]e see the case law as sufficiently established that the use of ethnic
diversity simply to achieve racial heterogeneity, even as part of the consideration of a number of factors, is
unconstitutional. Were we to decide otherwise, we would contravene precedent that we are not authorized
to challenge. Third, the court held that race is as irrelevant to university admissions as blood type, that
the use of race in university admissions improperly stereotypes minority applicants, and that the use of race
fuels racial hostility.
The Fifth Circuit concluded, "In sum, the use of race to achieve a diverse student body, whether as
a proxy for permissible characteristics, simply cannot be a state interest compelling enough to meet the
steep standard of strict scrutiny." While Hopwood applies only in the Fifth Circuit, which includes
Texas, Mississippi, and Louisiana, Hopwood sets a dangerous precedent with potentially broad scope and
effects. According to Dan Morales, Texas's Attorney General, "Hopwood's restrictions would generally
apply to all internal institutional policies [at both public and private universities], including admissions,
financial aid, scholarships, fellowships, recruitment, and retention, among others."⁹⁶ Furthermore, since
Hopwood, several cases have been filed challenging affirmative action in higher education.
The Fifth Circuit's rejection in Hopwood of educational diversity as a compelling interest in the
higher education context can be criticized on numerous grounds that are beyond the scope of this paper.
92 Id. at 944-45 ("[R]ecent Supreme Court precedent shows that the diversity interest will not satisfy strict scrutiny.
Foremost, the Court appears to have decided that there is essentially only one compelling interest to justify racial
classifications: remedying past wrongs.").
93 Id. at 945-46.
94 Id.
95 Id. at 948.
96 Letter from Dan Morales, supra note 53, at 22. Morales has been "bitterly criticized" for his narrow reading of
what is permitted under Hopwood. Peter Applebome, Universities Report Less Minority Interest After Action to
Ban Preferences, N.Y. Times, Mar. 19, 1997, at A24.
97 A federal district court in Texas recently rejected the claim of an unsuccessful white applicant alleging race-
based discrimination in admissions at the University of Texas College of Education. The court found no evidence
that race was a motivating factor in the admissions process at the point at which the plaintiff was rejected. See
Lesage V. Texas, No. A-96-CA-286 JN (W.D. Tex. March 7, 1997) (refusing to reach the issue of whether the
University's use of race at a later stage in the admissions process would be constitutional). Furthermore, two
recent suits have been filed in Georgia and Washington challenging affirmative action programs in higher
education on grounds similar to those invoked in Hopwood. See Patrick Healy, A Lawsuit Against Georgia
University System Attacks a Range of Race-Based Policies, Chron. of Higher Ed., March 14, 1990, at A25;
Douglas Lederman, Suit Challenges Affirmative Action at U. of Wash., Chron. of Higher Ed., March 14, 1997, at
A27. The Washington case is being pursued by the same group that instigated the action against the University of
Texas School of Law in Hopwood. Finally, the Supreme Court is presently considering whether to grant certiorari
on a Title VII case challenging a school board's decision to lay off a white high school teacher rather than an
equally qualified black teacher in order to maintain educational diversity in the faculty. See Taxman V. Board of
Education of the Township of Piscataway, 91 F.3d 1547 (3d Cir. 1996) (holding that such non-remedial affirmative
action is prohibited under Title VII).
17
However, the most important point to note here is that Hopwood is not the end of the story. In Wittmer V.
Peters, 98 Chief Judge Posner offers a vastly different and ultimately persuasive view of the present state of
non-remedial affirmative action programs under the Supreme Court's jurisprudence.
IV.
The Countervailing Case of Wittmer v. Peters
In Wittmer V. Peters, the Seventh Circuit upheld an affirmative action employment program for
correctional officers at a "boot camp" for youth offenders. The affirmative action program was intended to
promote qualified black correctional officers to vacant lieutenant positions in order to facilitate the
penological goals of the boot camp.99 The boot camp's security staff was less than 6 percent black with no
black supervisors; the inmate population was approximately 70 percent black. The defendant state official,
warden of the youth detention center, presented expert evidence that the boot camp program was not likely
to be as successful without some black officers in supervisory positions. The plaintiffs, three white
correctional officers who had applied unsuccessfully for a lieutenant position, challenged the affirmative
action program under the Fourteenth Amendment.
Chief Judge Posner, writing for a unanimous court, upheld the affirmative action employment
program, finding it narrowly tailored to serve a compelling interest. 100 First, the court rejected the
plaintiffs' contention, embraced by the Fifth Circuit in Hopwood, that recent Supreme Court precedent
indicated that only the remedial interest in overcoming the present effects of past discrimination could ever
justify race-based affirmative action:
The plaintiffs argue that the only form of racial discrimination that can survive strict scrutiny is
discrimination designed to cure the ill effects of past discrimination by the public institution that is
asking to be allowed to try this dangerous cure. There is dicta to this effect. And certainly it is the
most frequently mentioned example of a case in which discrimination is permissible. But there is a
reason that dicta are dicta and not holdings, that is, are not authoritative. A judge would be
unreasonable to conclude that no other consideration except a history of discrimination could ever
warrant a discriminatory measure unless every other consideration had been presented to and
rejected by him. The dicta on which the plaintiffs rely were uttered in cases that did not involve, by
judges who had never had cases that involved, the racial composition of a prison staff. Such cases
were not, at least insofar as one can glean from the opinions, present to the minds of the judges
when they considered and rejected other grounds for discrimination and expressed that rejection in
98
87 F.3d 916 (7th Cir. 1996), cert. denied, 65 USLW 3416 (1997).
99 See id. at 917. "The idea [of the boot camp] is to give inmates an experience similar to that of old-fashioned
military basic training, in which harsh regimentation, including drill-sergeant abuse by correctional officers, is
used to break down and remold the character of the trainee." Id.
100 See id. at 918-19.
18
sweeping dicta that we have mentioned. The weight of judicial language depends on context, by
these plaintiffs ignored.
[T]he rectification of past discrimination is not the only setting in
which government officials can lawfully take race into account. 101
Second, the court implicitly held that the state's interest in "pacification and reformation" of youth
offenders was sufficiently compelling to justify affirmative action. 102 The court's reasoning here was
somewhat unclear. However, two factors were clearly central to the court's holding on this point: (1) The
court noted that a majority of the Supreme Court had recently endorsed the idea that strict scrutiny is not
inevitably "fatal in fact. ,,103 (2) The court placed great weight on the fact that the defense presented
sufficient expert evidence of the penological necessity of the affirmative action program. On this second
point, the court said:
It is not enough to say that of course there should be some correspondence between the racial
composition of a prison's population and the racial composition of the staff; common sense is not
enough; common sense undergirded the pernicious discrimination against blacks now universally
regretted.
In any event that is not the justification advanced. The black lieutenant is needed
because the black inmates are believed unlikely to play the correctional game of brutal drill
sergeant and brutalized recruit unless there are some blacks in authority in the camp. This is not
just speculation, but is backed up by expert evidence that the plaintiffs did not rebut. The
defendants' experts -- recognized experts in the field of prison administration -- did not rely on
generalities about racial balance or diversity; did not for that matter, defend a global racial
balance. They opined that the boot camp in Greene County would not succeed in its mission of
pacification and reformation with as white at staff as it would have had if a black male had not
been appointed to one of the lieutenant slots. 104
What does Wittmer tell us about Hopwood? Wittmer and Hopwood obviously evaluate different
non-remedial interests and different programs designed to achieve those interests. Nonetheless, Wittmer
establishes, at least in the Seventh Circuit, that non-remedial interests in general can be sufficiently
compelling to justify affirmative action. Furthermore, while Wittmer says nothing about whether
101 Id. at 919 (criticizing Hopwood V. Texas, 78 F.3d 932, 944 (5th Cir. 1996)) (other citations omitted).
102
See id. at 920.
103
Id. at 918. See also Adarand, 115 S. Ct. at 2117; id. at 2136 (Ginsburg, J., dissenting, joined by Breyer, J.).
104
Id. at 919-20. Of potentially great relevance to making the case for educational diversity as a compelling
interest, the court, in deciding how much and what type of evidence was necessary to justify the affirmative action
program at issue, expressly recognized that the amount and type of evidence required was dependent upon the
amount and type of evidence available. Id. at 920. The court did suggest that "after correctional boot camps have
been around long enough to enable thorough academic (or academic-quality) study of the racial problems involved
in their administration, prison officials can[not] continue to coast on expert evidence that extrapolates to boot
camps from the experts' research on conventional prisons." Id. at 920-21. However, the court also recognized that
boot camps have been in existence since 1983, and it still upheld the affirmative action program at issue based on
limited direct evidence. Id. at 921
19
educational diversity constitutes such a compelling interest, it would be somewhat ironic if the interest in
rehabilitating youth offenders was sufficiently compelling to justify affirmative action, but the interest in
promoting the educational and socio-moral development of university students was not so compelling.
Correctional facilities may be unique institutions, but so are universities.
V.
Conclusion
This brief legal overview indicates that the Supreme Court will uphold affirmative action only
where there is a strong basis in evidence to support the belief that the given program serves a compelling
interest and is necessary to achieve that interest. 105 In Hopwood v. Texas, 106 the Fifth Circuit held that a
university's interest in promoting educational diversity (as well as any non-remedial interest) is not
sufficiently compelling to justify affirmative action. Wittmer v. Peters¹⁰⁷ lays the foundation for a
potentially powerful rebuttal to that conclusion. Ultimately, the Supreme Court will decide which
conception is correct. The higher education community must, therefore, use this time to develop its case for
diversity.
105
See, e.g., Adarand V. Pena, 115 S. Ct. 2097, 2113 (1995).
106
78 F.3d 932 (5th Cir. 1996), cert. denied, 116 S. Ct. 2581 (1996).
107
87 F.3d 916 (7th Cir. 1996), cert. denied, 65 USLW 3416 (1997).
20
December 24, 1997
Theda,
Attached are drafts of the two papers prepared by Mathtech on diversity in higher education.
Unfortunately, both Dan Morrissey and I will be on leave until January 5, 1998. I think Alan
will be around--he doesn't believe in vacation--and Dan and I will be happy to discuss next steps
when we return next year.
Hope you have a great holidays and new year.
Dan Goldenberg
Attachment
cc:
Alan Ginsburg
Dan Morrissey
Bill -
Generally, the 1st paper
is much too general, and
auecdotal statements by
relies much too beauting
university Presidents. It
is just skimm ing the surface
The 2nd is more clear,but
less important pulice procentional
Diversity in Higher Education-DRAFT
DIVERSITY IN HIGHER EDUCATION:
WHY ARE WE INTERESTED AND WHAT DOES IT MEAN?
and
INSTITUTIONS' PURSUIT OF DIVERSITY IN HIGHER EDUCATION-
SUCCESS STORIES
U.S. Department of Education
Planning and Evaluation Service
December 23, 1997
Diversity in Higher Education-DRAFT
DIVERSITY IN HIGHER EDUCATION
WHY ARE WE INTERESTED AND WHAT DOES IT MEAN?
December 23, 1997
Diversity in Higher Education-DRAFT
DIVERSITY IN HIGHER EDUCATION
WHY ARE WE INTERESTED AND WHAT DOES IT MEAN?
The Value of Diversity
The value of diversity is anchored in principled convictions about equality, opportunity
and fairness and the growing realities of domestic demographic change and a global economy.
These values are reflected at three different levels of importance to higher education.
At the broadest level, diversity is increasingly important in our national domestic society
and to our economic well-being. This is particularly clear in our demographic change, the
changing needs of our economy and the vision of our business leaders.
Between 1995 and the middle of the next century, the middle series Census projections
show approximately five fold increases in the total number of Hispanic origin and Asian/Pacific
Islander residents in our population, a doubling of the black and American Indian/Eskimo &
Aleut residents, and a much more modest increase in the total number of non-Hispanic white
residents. In a brief generation and one half, these changes in total numbers will bring about a
sharp redistribution of the racial and ethnic make-up of the society. Residents of Hispanic origin
will rise from about 10 to almost 25 percent of the total, Asian/Pacific Islanders will more than
double their share, while the non-Hispanic white population share will drop by more than 20
percent, as shown in Table 1.
Table 1: Resident Population, by Race: 1995 and Projections for 2010, 2030, 2050
[Percent Distribution]
American
Indian, Eskimo
Asian, Pacific
White, Non-
Black, Non-
Aleut, Non-
Islander, Non-
Year
Hispanic
Hispanic
Hispanic
Hispanic
Hispanic
1995
73.6
12.0
10.2
.7
3.5
2010
68.0
12.6
13.8
.8
4.8
2030
60.5
13.1
18.9
.8
6.6
2050
52.8
13.6
24.5
.9
8.2
December 23, 1997
1
Diversity in Higher Education-DRAFT
Source: Statistical Abstract of the United State 1996. Table No. 19.
While these demographic changes will not be evenly distributed across the country, the
impact of different cultural heritage and interests will be significant on some areas and generally
felt everywhere. And that impact will be extended to our domestic economic life in both
consumer demand and the make-up of the workforce. These changes are overlaid by two other
important trends which reinforce both the challenge the nation faces and the value of diversity.
The first of these trends is the need for a better educated and trained workforce as the impact of
new technology and the competitiveness of the global market escalate the level of quality
required of Americansworkers.
The recognition by the young population and their parents of the increasing demands of
the labor market can'be seen in the trends in college enrollment in recent years. Table 2 shows
the trends in college.enrollment rates of high school graduates, by race/ethnicity over time.
These data represent college enrollment rates for individuals age 18 to 24 who graduated from
high school during the preceding 12 months. It includes both two-year and four-year institutions,
and both part-time and full-time students. As shown, while whites and blacks have both
increased their college participation rates significantly from 1980 through 1995, participation
rates for Hispanic students have stayed about the same over time. The gaps in participation rates
between whites and blacks, and especially between whites and Hispanics, increased over this
Blacks that
time period.
Table 2: College Enrollment Rates of High School Graduates
[Percent Distribution]
White, Non-
Black, Non-
Year
Total
Hispanic
Hispanic
Hispanic
1980
49.3
49.9
41.8
52.7
1985
57.7
59.4
42.3
51.1
1990
59.9
61.5
46.3
47.3
1995
61.9
62.6
51.4
53.8
Source: National Center for Education Statistics, 1996 Digest of Education Statistics
December 23, 1997
2
Diversity in Higher Education-DRAFT
The second overlapping trend is the rapidly increasing globalization of the economy
motivating employers to have a strong interest in a corporate culture and a workforce that
understands and reflects diversity. National data are not organized to separate easily the
corporate organizations and their workforces which are engaged in international commerce and
increasingly diverse domestic markets from others. But the leadership of such companies is
increasingly aware and vocal about their diversity needs.
Some state their sense of the value of diversity quite directly. John A. Krol, DuPont's
president and CEO:says: "We have proof diversity improves our business performance." And
Valerie M. Crane, Bank of America's executive vice president states: "Bank of America treats
diversity as a business initiative. It is a business imperative for us." Krol adds: "We are all
comfortable listening to people who think like us. And we are uncomfortable at first with people
who are not like us and challenge us, but that is what adds value." (The Conference Board, 1997)
Pitney Bowes CEO Michael J. Critelli stated: "It is a business necessity. The ultimate question
is, how do we value it and optimize the attributes for competitive advantage? Any company that
wants to be successful will have to do it." (Business Week, December 9,1996)
Other business leaders perceive and express their thinking in different contexts. In
General Electric's 1994 annual report, CEO Jack Welch urged a company with " boundaryless"
behavior. "Boundaryless behavior is the soul of today's GE. Simply put, people seem compelled
to build layers and walls between themselves and others, and that human tendency tends to be
magnified in large, old institutions like ours. These walls cramp people, inhibit creativity, waste
time, restrict vision, smother dreams, and above all, slow things down." (Business Week,
December 9, 1996).
Some, like Pamela North of Lucent Technologies, see it in training terms: "Leaders,
particularly executive leadership, have the least training today on the issues confronting diverse
teams and workforces abroad If our organization has to put its time and money in any one
direction, it is around executive development leadership to face the challenges of globalization."
(The Conference Board, 1997) Others, like United Technologies Corporation, understand the
effort and persistence required: "It is important to develop a strategy that is well balanced.
December 23, 1997
3
Diversity in Higher Education-DRAFT
Everything that is required for culture change cannot be accomplished in one or two years. It
requires both a short-term, and more importantly, a long-term commitment.... And some, like
Price Waterhouse, express it in their marketing and recruiting: " Our clients depend on us to
look at their complex business problems from every possible angle. So it's no wonder we
consider diversity crucial to our success, especially in the global marketplace of the 21 st
century." (Business Week, December 9, 1997)
These statements are but a small sample of business conviction on the subject of
diversity, and help to demonstrate the important trend toward a global economy and the
associated need for diversity. An American Management Association survey in 1995 estimated
that half of all U.S. employers had some kind of formal initiative to manage diversity. Thus, the
two trends of globalization and the domestic demographic change provide strong undergirding
leaptro
for the increasing value of diversity in the society as a whole. It is well to keep in mind that
these growing trends are built upon an older tradition in the United States of central importance
since World War II and imbedded in yet older national precepts of seeking to provide equality of
opportunity for all residents in America.
Turning from the value as seen in the society at large, diversity is increasingly important
to higher education institutions. The growing importance at the higher education institution level
can also be seen from institutional traditions, demographic data projections and the statements of
higher education leaders and other reactions from outside the higher education institutions.
Higher education has a long tradition of putting a premium on open inquiry, which carries
cleannxn sthis
with it clear implications for valuing diversity. The demographic projections underscore that
traditional conviction. If one takes the population projections for the age ranges of most interest
uto colleges and universities (youth and young adults, notwithstanding the growing demand for
do me This needs
life-long learning), the changes in both the numbers and distribution of the prime college age
population are even more stark than for the population as a whole.
state Tent
Using again the middle series Census projections, Table 3 compares the prime college
age population of 18-24 year olds between now (1995) and the year 2025 and the age grouping
December 23, 1997
4
Diversity in Higher Education-DRAFT
which will subsequently feed higher education institutions ( 0-17 year olds). As is evident, the
percent of non-Hispanic whites declines sharply, and even the absolute number declines; while
the Hispanic and the Asian and Pacific Islander groups grow in the range of 100 percent or more,
and other minorities increase by 30 percent. Interest in diversity will become an increasing
financial necessity as well as a matter of conviction.
Table 3: Resident Population, by Race: 1995 and Projection for 2025
[in thousands] (percent of total in parentheses)
0-17 Year Olds
18-24 Year Olds
1995
2025
1995
2025
Total
68,740
80,783
24,932
30,372
White, Non-Hispanic
45,679
42,528
16,993
16,785
(66.5)
(52.6)
(68.2)
(55.3)
Black, Non-Hispanic
10,173
12,741
3,549
4,609
(14.8)
(15.8)
(14.2)
(15.2)
Hispanic
9,674
19,085
3,239
6,560
(14.1)
(23.6)
(13.0)
(21.6)
American Indian, Eskimo,
674
856
221
304
Aleut, Non-Hispanic
(1.0)
(1.1)
(1.0)
(1.0)
Asian/Pacific Islander,
2,543
5,573
931
2,114
Non-Hispanic
(3.7)
(6.9)
(3.7)
(7.1)
Source: Statistical Abstract of the United States 1996. Table No. 22&24.
about
Higher educational leadership is no less clear than corporate leadership about the value of
diversity. In a November 18, 1997 faculty convocation address, President Leo J. O'Donovan of
Georgetown University stated: "No education is a success if it invites you to interact only with
those who think as you do. The great virtue of education is not that it teaches us mere knowledge
but that it teaches us to learn and understand." "One of the best arguments for diversity is that
the most powerful learning takes place when students' viewpoints are challenged, and that's
?
what's happening to us," echoes Richard H, Hersh, president of Hobart and William Smith
Colleges. (Leaderman, May 23, 1997)
This leadership identifies many aspects of the benefits of diversity from a higher
education perspective. "Surely any university that wishes to claim a capacity to train leaders for
December 23, 1997
5
Diversity in Higher Education-DRAFT
this evolving world will want to educate students who come from many groups and
Produ This a
backgrounds," said William G. Bowen, president of the Andrew W. Mellon foundation and
former president of Princeton University (Bowen, 1995). "It is increasingly clear that recruiting
and retaining greater numbers of ethnic minority students, faculty, and staff are not only legal
requirements and political advantages; they are also critical measures of the quality of our
educational environments," say Mary K. Rouse and Roger Howard, Dean and Associate Dean of
Students at the University of Wisconsin-Madison. (Rouse, No date) In an institutional website,
President William E. Kirwan of the University of Maryland states: "At College Park, our efforts
to build excellence are inextricably linked to our efforts to increase diversity College Park
must be a place where diversity is not only tolerated, but celebrated." (available:
http://www.inform.umd.edu/
Diversityweb/Profiles/divdbase/umd.html)
Buttressing the clear importance of diversity in their minds, both educational and
corporate leaders recognize that the achievement of diversity falls short of its desired goals and
faces challenges. A recent RAND study interviewing 350 academic and corporate leaders in four
major metropolitan areas reflected such shortfalls in the views of the corporate community
interviewed. (RAND) These executives believed that educators were missing opportunities to
connect to diversity within the community and internships or work-study experiences in
international organizations. They felt that they could not rely on U.S. colleges and universities to
provide them with workers who had the necessary skills for the global marketplace. And with
respect to challenges, Bowen in the same talk cited above said: "From the standpoint of public
policy, my main concern is that the political currents of the day will endanger hard-won gains in
broadening both choice and access for students from all but the wealthiest families. Only at our
peril will we allow higher education to be resegregated along economic lines-or along racial
lines, which is at least as great a danger."
The third level at which the value of diversity is realized is, of course, at the level of the
individual student. The source of its growing importance flows from the trends and development
described above in the changing demands for the workforce and the development of readiness for
life in a more diverse society. Individual development involves far more than knowledge and
December 23, 1997
6
Diversity in Higher Education-DRAFT
skills to include one's attitude, expectations and world view. For the student, a successful
experience with diversity in higher education includes a sharing of common societal aspirations
and a well-developed appreciation of cultural differences. It is also likely to include
enhancement of civic participation.
Students now and likely into the foreseeable future begin their higher education with a
wide range of experiences related to diversity-some quite sophisticated and many much more
limited. Higher education is an ideal time to reform or refine one's knowledge and perspective
about the increasingly diverse world in which we will all live.
The Meaning of Diversity
The preceding discussion of the values seen in diversity make clear that diversity in
higher education can be appropriately understood only by taking account of its meaning and
impact for both students and institutions. As a recent literature review pointed out: "Institutions
what
that das
of higher education cannot deal with diversity issues merely by providing services to remedy
student deficit. Instead, the institution must change to more adequately address educational
issues and organize for a more diverse future." (Appel, et al, 1996)
Diversity in higher education also must be seen comprehensively. The concept of
diversity extends to far more than access and admissions, important as those matters are as
starting points in higher education diversity. It includes campus life and a wide range of
relationships among students, faculty, staff and others such as guest speakers, alumni, and
external mentors. As the synopsis of a literature notes: "The research literature in all its
complexity tends to suggest that comprehensive institutional change addressing both campus
climate and the curriculum is the right strategy for both minority and majority students." (Appel,
et al, 1996) As researcher Alexander Astin has pointed out, assessment of diversity in higher
education should include: student characteristics at entry (inputs), institutional characteristics and
student experiences while in higher education (environment), and student characteristics at exit
(outcomes) (dubbed I--E--O by Astin, 1991).
December 23, 1997
7
Diversity in Higher Education-DRAFT
As we develop in a companion paper-Successful Institutional Diversity Strategies, the
major components of diversity in higher education fall into four major categories. The first of
these is access, or the processes by which diversity in the student body is achieved. Diversity in
its broadest sense encompasses potentially a wide range of differences-parental backgrounds,
religion, home communities, income, gender, life experiences as well as race and ethnicity.
While all are real, this paper concentrates on ethnicity and race, particularly since it, along with
gender, have previously been the basis of officially sanctioned discriminatory behavior that
limited equal opportunity. With respect to access, it is well to remember that access goes beyond
a formal admissions process to include a wide variety of outreach activities through which
individuals are motivated and assisted in seeking higher education opportunities.
A second major component of diversity in higher education is persistence, or helping
students stay in college. About one half of all students entering 2- and 4-year higher education
institution express an intention to gain a bachelor's degree. (U.S. Department of Education,
1997) Calculation of success is complex and difficult because of transfers and temporary drop-
outs; however, the losses are substantial, and differentially larger for minorities. Thus, the
pursuit of diversity appropriately includes a dimension of persistence. Helping students stay in
college moves simultaneously in two different directions. One element, often referred to as
campus life, includes activities directed at making students welcome and a part of campus life,
But day some endoy
participation in civic activities, a variety of personal support services, and direct efforts to deal
with inter-group tensions. A second parallel element, often under the heading of academic
support, is directed at a variety of special assistance and tutoring to help individual or groups of
have
students cope with what may be a new set of educational demands and requirements.
and that minimum h.s.cores L. which
A third component of diversity in higher education is its impact on teaching and learning
has implications for institutions, their faculty and students alike. Harvard's President Neil
Rudenstine states: "Students benefit in countless ways from the opportunity to live and learn
and
among peers whose perspectives and experiences differ from their own. A diverse educational
have
environment challenges them to explore ideas and arguments at a deeper level -- to see issues
drop
from various sides, to rethink their own premises, to achieve the kind of understanding that
comes only from testing their own hypotheses against those of people with other views."
December 23, 1997
8
Diversity in Higher Education-DRAFT
(Rudenstine, 1996) And William G. Bowen notes: " my point is that enrolling a diverse class
has potentially large educational benefits which spill over to many if not all students -- and that
these benefits are widely appreciated." (Bowen, 1995) The implications for teaching and learning
go not only to the interactions among students and faculty, but also to the content and structure
of the curriculum and pedagogy. ( elaberate( what exactly dogan ?
The final component of higher education diversity is the linkages to what come next for
graduating students, namely employment. This dimension of diversity is among the newest, and
often goes beyond the constructs of most research about and definitions of diversity. It is
nonetheless increasingly a matter of concern and focus, and therefore included in this definition
but do our we
of the meaning of diversity in higher education. As noted in the opening section, employers are
interested in new employees prepared for diversity, and at least some of those employers are
critical of higher education in preparing such a workforce.
would w
Before departing from the discussion of the meaning of diversity in higher education, it is
important to point out two companion concepts which arise continuously in the literature and
other discussions of diversity. The first important companion concept is motivation, which arises
constantly in connection with effective performance and achievement by students in higher
education. Motivation is a regular component of efforts to improve access and persistence in the
pursuit of diversity. The second important companion concept is quality. To some minds,
diversity and quality are conflicting concepts. In the research and in the advocacy concerning
diversity, diversity and quality are complementary and twin goals to be pursued together.
The Extent and Benefits of Diversity
whandid
Having explored the principled convictions and emerging realities that underlie the values
seen in diversity and the/comprehensive meaning of the term as it relates to higher education, we
we that
now turn to the information and knowledge which is available to describe its extent and its
benefits. Diversity is a relatively new field of research and information gathering where national
and systematic data are just beginning to catch up with our values and practice. Thus, as a recent
literature review noted: " while there is considerable literature that might be called principles of
December 23, 1997
9
Diversity in Higher Education-DRAFT
good practice, there is much less available that directly assesses the impact of these initiatives on
the institution and even less that assesses the impact on students. It is a young literature in a
formative stage." (Appel et al, 1996)
Most of the information on the extent of diversity and its benefits comes from case
studies and individual stories. However, there are some national databases that provide key
information on minority student participation in higher education, and how this has changed over
time. There are alsosome data available on the positive influence of diversity on student
attitudes and behavior.
Informationson Access
Access to highereducati generally
We know that an increasing number and percentage of minority students are planning to
attend college directly after high school, enrolling in institutions of higher education, and
Connect
receiving undergraduate degrees. As a result of these trends, the extent of diversity has increased
Theser dots
significantly on American colleges campuses over the last few decades. What follows are some
summary statistics that describe these trends over time.
isn't twefer it also
As shown in Table 4, the proportion of all high school seniors in minority groups who
whites?
planned to continue their education at four-year colleges and universities directly after high
35-5520
school increased between 1972 and 1992, although between-group differences have remained
fairly constant.
Table 4: Percentage of High School Seniors Who Planned to
Continue Their Education the Next Year
4-Year Program
2-Year Program
Race/ethnicity
1972
1992
1972
1992
Total
34
54
11
13
White, Non-Hispanic
35
55
12
12
Black, Non-Hispanic
32
52
5
11
Hispanic
11
20
11
26
December 23, 1997
10
Diversity in Higher Education-DRAFT
Asian/ Pacific
47
65
18
12
Islander, Non-
Hispanic
Source: Minorities in Higher Education, NCES 97-372. Data sources: National Longitudinal Study of 1972, and National
Education Longitudinal Study of 1988.
The distribution of college students across race/ethnicity groups has changed significantly
from 1976 to 1994. As Table 5 shows, while only 16% of the enrollment in higher education in
1976 was from minority groups, in 1994 about one-quarter of the students came from minority
groups. Hispanic college students are more likely to be enrolled in a two-year college than their
white or black peers.
Table 5: Total Fall Enrollment in Institutions of Higher Education
Type and Control of Institution
Percentage Distribution
Percentage Distribution
and race/ethnicity of student
in 1976
in 1994
All Students
White, Non-Hispanic
84.3
75.4
Black, Non-Hispanic
9.6
10.5
Hispanic
3.6
7.6
Asian or Pacific Islander, Non-Hispanic
1.8
5.6
American Indian/Alaskan Native, Non-Hispanic
0.7
0.9
Four-Year Institutions
White, Non-Hispanic
86.6
78.3
Black, Non-Hispanic
8.7
9.9
Hispanic
2.5
5.5
Asian or Pacific Islander, Non-Hispanic
1.7
5.5
American Indian/Alaskan Native, Non-Hispanic
0.5
0.7
Two-Year Institutions
White, Non-Hispanic
80.2
71.0
Black, Non-Hispanic
11.2
11.3
Hispanic
5.5
10.7
Asian or Pacific Islander, Non-Hispanic
2.1
5.7
American Indian/Alaskan Native, Non-Hispanic
1.1
1.2
Source: 1996 Digest of Education Statistics. Data Source: IPEDS.
The distribution of bachelor's degrees conferred across race/ethnicity groups has also
changed significantly from 1976 to 1994. As shown in Table 6, while only 12% of the
December 23, 1997
11
Diversity in Higher Education-DRAFT
bachelor's degrees were conferred to students from minority groups in 1976-77, in 1993-94
about one-fifth of bachelor's degrees were awarded to students from minority groups.
December 23, 1997
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Diversity in Higher Education-DRAFT
Table 6: Bachelor's Degrees Conferred by Institutions of Higher Education
Percentage Distribution
Percentage Distribution
Race/Ethnicity of Student
in 1976
in 1994
All Students
White, non-Hispanic
88.0
80.3
Black, non-Hispanic
6.4
7.2
Hispanic
2.0
2.0
Asian or Pacific Islander
1.5
1.5
American Indian/Alaskan Native
0.4
0.4
Nonresident Alien
1.7
1.7
Source: 1996 Digest of Education Statistics. Data Source: IPEDS.
As shown, in Table 7, the percentage changes in bachelor's degrees conferred were
greatest for all groups of minority students, relative to whites.
Table 7: Bachelor's Degrees Conferred: Percent changes from 1981 to 1993
Males: Percent change
Females: Percent
Race/Ethnicity of Student
from 1981-1993
change from 1981-1993
White, Non-Hispanic
7.1%
27.7%
Black, Non-Hispanic
17.8%
35.5%
Hispanic
83.8%
131.5%
Asian or Pacific Islander, Non-Hispanic
150.3%
201.3%
American Indian/Alaskan Native, Non-Hispanic
44.1%
70.2%
Source: Minorities in Higher Education, NCES 97-372. Data Source: IPEDS.
in
Dues the an A in
on Student Attitudes and Campus Environment
Given that the extent of diversity has increased significantly on American college
is
campuses over the last few decades, as shown in the previous section, what has been the effect on
student attitudes and the campus environment? Most data on this topic come from case studies
and individual anecdotes, but there have been a few systematic analyses of these issues. The
main source of data has been from the Cooperative Institutional Research Program (CIRP) of the
on
Higher Education Research Institute at the University of California, Los Angeles.
December 23, 1997
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Diversity in Higher Education-DRAFT
CIRP administers a survey to college freshmen at hundreds of two-year colleges, four-
year colleges and universities annually. The purpose of the CIRP survey is to provide a
comprehensive portrait of both the changing character of entering freshmen and American
society at large. The survey covers a wide range of student characteristics: parental income and
education, ethnicity, and other demographic items; financial aid; secondary school achievement
and activities; educational and career plans; and values, attitudes, beliefs and self-concept. The
students are also asked their opinions on a number of diversity-related issues such as: (1) whether
racial discrimination is no longer a major problem in America; (2) whether colleges should
prohibit racist/sexist speech on campus; and (3) whether affirmative action in college admissions
should be abolished. The students are also asked to rank a number of objectives including:
influencing social values; helping others who are in difficulty; participating in a community-
action program; helping to promote racial understanding; and, becoming a community leader.
For the freshmen class of 1985, CIRP also conducted a longitudinal follow-up of about
25,000 of these students four years later in 1989, and a somewhat smaller sample nine years later
in 1994. Faculty from the 217 four-year colleges and universities attended were also surveyed,
which allowed the gathering of information on institutional characteristics and objectives,
including those related to diversity. The 1985 and 1989 data were analyzed by Alexander W.
Astin to examine how students are affected by diversity and multiculturalism on campus (Astin,
1993).
With respect to the faculty survey, the faculty were asked their opinions on diversity
issues related to the institution as a whole, as well as to their own individual research and
teaching methods. The institutional variables include the extent to which the faculty believes
that their institution is committed to the following goals: increasing the number of minority
faculty; increasing the number of minority students; creating a diverse multicultural
environment; and, developing an appreciation for multiculturalism. The faculty-level variables
include information on whether the faculty uses instructional techniques that incorporate
readings on racial and ethnic issues, and whether the faculty conducts research on racial or ethnic
minorities. Astin has analyzed and provided descriptive information on these data. He also
December 23, 1997
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Diversity in Higher Education-DRAFT
shows positive and significant correlations between these variables and student outcomes, such
as increased cultural awareness, and commitment to promoting racial understanding.
Astin found that the strongest positive effects of an institutional diversity emphasis were
on the outcomes of cultural awareness and commitment to promoting racial understanding. The
strongest positive effects of a faculty diversity emphasis were on the outcomes of cultural
awareness and overall satisfaction with the college experience. Faculty diversity emphasis also
had a positive effect on the student's chances of voting in the 1988 presidential election. In
general, the variables on student diversity experiences were most often related to the outcomes of
cultural awareness and commitment to promoting racial understanding. The largest number of
positive effects was associated with the frequency with which students discussed racial/ethnic
issues during their undergraduate years.
As Astin concludes, "The findings present a clear-cut pattern: emphasizing diversity
either as a matter of institutional policy or in faculty research and teaching, as well as providing
students with curricular and extracurricular opportunities to confront racial and multicultural
issues, are all associated with widespread beneficial effects on a student's cognitive and affective
development. In particular, such policies and experiences are associated with greater self-
reported gains in cognitive and affective development (especially increased cultural awareness),
with increased satisfaction in most areas of the college experience, and with increased
commitment to promoting racial understanding. Emphasizing diversity and multiculturalism is
also associated with increased commitment to environmental issues and with several other
positive outcomes; leadership, participation in cultural activities, citizenship, commitment to
developing a meaningful philosophy in life, and reduced materialistic values."
Astin's more comprehensive studies about student attitudes and campus environment are
complemented by other less comprehensive studies and other research. As a recent literature
review concludes: " recent research continues to powerfully support a focus on the following
institutional changes: climate, curriculum, involvement of students, and faculty-student and peer-
student interactions, along with continuing efforts to diversify faculty and staff members. Not
only iststudent participation in diversity(related to changes in attitudes, openness to differences,
December 23, 1997
15
Diversity in Higher Education-DRAFT
and commitments to social justice but it is also increasingly related to satisfaction, academic
success, and cognitive development." (Appel et al, 1996)
Additional Information and Research in Progress and Needed
Much more case study work than identified in our paper to this point has been
accomplished. In a companion paper, we identify some of the promising practices across the
spectrum of components of a comprehensive perspective of diversity (Successful Institutional
?
Diversity Strategies). In addition, there is additional work already underway at both the case
study and more systematic level, as well as a growing volume of effort to buttress what exists.
This section reviews that work in progress and the important areas for continuing work.
With respect to the collection of systematic data, some of the most interesting questions
can only answered with longitudinal data which, by definition, requires time to collect. The
Cooperative Institutional Research Program (CIRP) has collected but not yet analyzed a second
follow-up to the class of 1985 data providing a nine-year follow-up picture of their
circumstances and attitudes. The National Study of Postsecondary Faculty (NSOPF) includes
collected, but not yet analyzed information from the 1992-93 wave on faculty opinion about
various diversity related issues. Among the questions are attitudes about fair treatment of ethnic
and racial minority faculty members and opportunities for advancement. The 1996 annual report
of the Andrew W. Mellon Foundation released in the spring of 1997 calls attention to the
Foundation's efforts to make use of its large College and Beyond database which provides
detailed histories of students at 34 academically selective colleges and universities, some of
which date back to 1951, consistent with its pledges of confidentiality and protection of privacy.
(The Andrew W. Mellon Foundation, 1997)
Some polling of opinion which goes beyond reactions to admissions and affirmative
action has also been conducted which indirectly or, more recently, directly solicits views related
to diversity in higher education. For example, The Public Agenda Foundation prepared three
reports for the California Higher Educations Policy Center over the period 1993-1996 on
attitudes about the California public higher education system. The reports were two surveys each
December 23, 1997
16
Diversity in Higher Education-DRAFT
of approximately 800 Californians, interspersed by 29 in-depth interviews with business,
academic, political and other state leaders. While most of the questions and issues centered on
the public system in general, the attitudes about dealing with an additional 488,000 new students
in the 1994-2205 period (known as Tidal Wave II) carries with it substantial diversity overtones
because of the large component of that growth attributable to Hispanic residents (a more than
50% increase in total Hispanic population between 1995 and 2010). In the 1996 survey,
Californians least preferred (61 percent to 32 percent) to meet the growth by limiting access.
(Immerwahr, 1997)
And more direct data about community opinion on diversity are also beginning to be
collected, sponsored by the Ford Foundation. Such information collected in the state of
Washington from a sample of 600 registered voters reflect a positive view about diversity in the
society and for many, though not all, of the diversity initiatives being tried in postsecondary
education.
education. Respondents, for example, uniformly support society's needs as described in the first
section of this paper, the view that diversity education helps to bring society together, and a long
list of specific diversity programs, but are more split on the motivation for and practical results of
such activities, often depending upon the form of the question. (Elway Research Inc., 1997)
And this type of polling is being extended to other location
Campus.
Other work based on substantial data sets is beginning to appear. For example, one study
of the class of 1982 from the national High School and Beyond data set provides evidence
disputing claims that affirmative action harms intended beneficiaries by enticing minorities to
colleges for which they are unprepared to meet the competition. (Kane, forthcoming) In some
initial work on the College and Beyond data set, a study of minority under-performance relative
to whites in selected elite institutions as measured by SAT and high school grade point averages
cunfusing
cannot satisfactorily be explained by a host of observed background characteristics, and are, in
the authors' opinions, most likely to be explained by what occurred during their higher education
experiences, (Vars and Bowen, forthcoming)
In addition to the use of large longitudinal data sets, there are also some careful
longitudinal studies at single institutions. For example, a 20 year matched-cohort study of
December 23, 1997
17
Diversity in Higher Education-DRAFT
affirmative action and other special consideration admissions at the University of California,
Davis, School of Medicine reflected stronger performance on grade scores and National Board
exams by regular admittees, but no significant differences on failure rates on core courses,
graduation rates, residency evaluations or completions, or practice characteristics Special
consideration admissions represented 20% on average of the classes over 20 years (ranging from
10-45% per year), of which about 43% were under-represented minorities. Four percent of the
defined
regular admittees were underrepresented minorities. For example, 94% of the special admissions
graduated as compared with 97% of the regular admissions.
what??
A considerable volume of case studies have been directed to increased access, and the
companion Successful Institutional Diversity Strategies highlights several successful
illustrations. The case work on effective strategies to keep students in college is growing rapidly
in recognition that completion of courses of study are a crucial element of effective access to
higher education opportunities. Based on studies to date and other anecdotal data, one needs to
recognize the special contribution of Historic Black Colleges and Universities (HBCUs) and
Hispanic Serving Institutions (HSIs) to retention and completion high expectations coupled with
sentle
support, the presence of role models, high involvement and civic responsibility, and a caring
environment. (Wolf, 1995; Townsend, 1994) These models may not transfer automatically to
majoritarian institutions, but their components appear promising in many settings (Richardson,
1991; Richardson, Simmons, and de los Santos, 1987)
This
splained
The work on the benefits of teaching and learning and the linkage to the employer
community are among the sparsest literatures so far, though we believe much more is in progress
than has been yet documented. We provide selected illustrations in the companion volume. In
particular, the linkage between the higher education and the employer community is a growing
one.
NOTE: AT THIS POINT, OUR INTENTION IS TO INCLUDE TWO TO FOUR
EXAMPLES OF INITIATIVES COMING FROM EMPLOYER INITIATED
ACTIVITIES. WE LACK A ROUNDED PICTURE OF EMPLOYER INITIATIVES
PARTICULARLY WITH RESPECT TO RECRUITING AND PARTNERSHIPS WITH
December 23, 1997
18
Diversity in Higher Education-DRAFT
HIGHER ED INSTITUTIONS. WE ARE PURSING IBM, XEROX AND CORNING.
HECTOR WE KNOW YOU HAVE IDENTIFIED COCA-COLA AND AETNA. WE
WILL BE UNABLE TO GET TO OUR CONTACTS UNTIL AFTER CHRISTMAS.
HECTOR IF YOU CAN HELP, PLEASE CALL.
In general, the literature reviews that we have examined suggest that the direction in
which diversity initiatives are proceeding are promising, and should be further explored and
evaluated.
December 23, 1997
19
Diversity in Higher Education-DRAFT
SOURCES CONSULTED
The Andrew W. Mellon Foundation (1996). The Report of the Andrew W. Mellon Foundation
1996. New York: The Andrew W. Mellon Foundation.
Appel, Morgan, et. al. (1996). The Impact of Diversity on Students: A Preliminary Review of the
Research Literature. Washington, DC: American Association of Colleges and Universities.
Astin, Alexander W. (1991). Assessment for Excellence: The Philosophy and Practice of
Assessment and Evaluation in Higher Education. New York: American Council on
Education/Macmillan Publishing.
Astin, Alexander W. (March/April 1993). Diversity and Multiculturalism on the Campus: How
are Students Affected? Change, 44-49.
Bowen, William (1995). No Limits. Talk given at Cornell University Symposium entitled "The
New American University: National Treasure or Endangered Species?"
Business Week, "Diversity: Making the Business Case," (Special Advertising Section in the
December 9, 1996 Issue).
The Conference Board (1992). Work Force Diversity: Corporate Challenges, Corporate
Responses, 1013. New York: The Conference Board.
The Conference Board (1994). Diversity Training: A Research Report, 1083-94-RR. New York:
The Conference Board.
The Conference Board (1995). Diversity: Business Rationale and Strategies: A Research Report,
1130-95-RR. New York: The Conference Board.
The Conference Board (1996). Corporate Practices in Diversity Measurement: A Research
Report, 1164-96-RR. New York: The Conference Board.
The Conference Board (1997). Managing Diversity for Sustained Competitiveness: A
Conference Report, 1195-97-CH. New York: The Conference Board.
Davidson, Robert C. And Ernest L. Lewis (1997). Affirmative Action and Other Special
Consideration Admissions at the University of California, Davis, School of Medicine. Journal of
The American Medical Association, 278 (14) 1153-1158.
Elway Research, Inc. (March 1997). Campus Diversity: Topline Data Report.
Immerwahr, John with Steve Farkas (September 1993). The Closing Gateway: Californians
Consider Their Higher Education System. New York: Public Agenda.
December 23, 1997
20
Diversity in Higher Education-DRAFT
Immerwahr, John with Jill Boese (March 1995). Preserving the Higher Education Legacy: A
Conversation with California Leaders. New York: Public Agenda.
Immerwahr, John (March 1997). Enduring Values, Changing Concerns: What Californians
Expect from Their Higher Education System. New York: Public Agenda.
Kane, Thomas K (Forthcoming). Racial and Ethnic Preference in College Admissions.
Leaderman, Douglas (May 23, 1997). Bakers of Affirmative Action Seek Research to Bolster
Cause. The Chronicle of Higher Education, A28.
RAND Corporation. U.S. Workers in the Global Workplace. Available http://www.inform.umd.
edu/DiversityWeb/NewsRoom/workplace.html.
Richardson, Richard C (1991). Promoting Fair College Outcomes: Learning from the
Experiences of the Past Decade. Denver: Education Commission of the States.
Rouse, Mary K. And Roger Howard (No Date). The Need to Listen Eloquently: Race and
Campus Climate(s) Today. Available http://www.inform.umd.edu/diversityweb/Digest/Sm97/
eloquently.html.
Rudenstine, Neil L. (April 19, 1996). Why a Diverse Student Body is so Important. The
Chronicle of Higher Education, B1.
Townsend, L (1994). How Universities Successfully Retain and Graduate Black Students.
Journal of Black in Higher Education, 1 (4).
U.S. Bureau of the Census, Statistical Abstract of the United States: 1996 (116th edition.).
Washington, DC: Government Printing Office.
U.S. Department of Education, National Center For Education Statistics, Minorities in Higher
Education, NCES 97-372. Washington, DC:Government Printing Office.
U.S. Department of Education, National Center For Education Statistics, Digest of Education
Statistics 1996, NCES 96-133. Washington, DC:Government Printing Office.
Vars, Fredrick E. And William G. Bowen (Forthcoming). SAT Scores, Race, and Academic
Performance: New Evidence from Academically Selective Colleges and Universities.
Wolf, L.E. (1995). Models of Excellence: The Baccalaureate Origins of Successful European
American Women, African American Women, and Latinas. Doctoral dissertation, the Claremont
Graduate School, Calremont, CA.
December 23, 1997
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Successful Institutional Strategies-DRAFT
INSTITUTIONS' PURSUIT OF DIVERSITY IN HIGHER EDUCATION-
SUCCESS STORIES
In the following paper, the process for selecting successful institutional strategies was as
follows. First, we relied on references made during recent conferences on diversity; next, we
used an American Council on Education reference book on higher education diversity
resources. Third, we utilized several other recent sources of material on outstanding programs
for increasing access (Westat, 1992) and for improving retention and enhancing teaching and
learning (Skinner and Richardson, 1991; Appel et. al.). Each institution so selected was then
contacted to obtain permission for citing its initiatives and to verify the material cited. We
also asked each institution to provide additional detailed information and evidence of success,
if available.
Successful Institutional Strategies-DRAFT
December 23, 1997
December 23, 1997
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Successful Institutional Strategies-DRAFT
INSTITUTIONS' PURSUIT OF DIVERSITY IN
HIGHER EDUCATION-SUCCESS STORIES
Why Are Higher Education Institutions Striving for Diversity?
Most higher education leaders attach substantial value to seeking diversity in the
educational experience they offer for their students, their institutions, and the larger society. The
foundation for this judgment is based on some widely shared beliefs:
The postsecondary experience influences not only a person's career interests and
potential, but also the pursuit of leisure and the manner in which the individual interacts
with, and participates in, society. Further, motivation and self-esteem, critically linked to
educational attainment, contribute significantly to participation in the neighborhood,
community, schools and the larger political society.
Because of its importance and impact, higher education should be available to all those
willing and able to seriously participate. For the postsecondary experience to maintain its
importance for individuals and society, the twin goals of access and quality must be
pursued simultaneously.
Schools, the work force and society are increasingly diverse. It follows that higher
education must and will become more diverse.
The widespread agreement that surrounds these beliefs does not, however, extend to the
strategies for pursuing quality and diversity in higher education. Using traditional admission
criteria and standards, higher education institutions have enrolled fewer students of racial/ethnic
minority groups than their proportion in the U.S. population. This is especially true for African
Americans, Hispanics and American Indians. In 1995, the college participation rates for those
who graduated from high school in the last twelve months were 51.4% for African Americans,
53.8% for Hispanics and 62.6% for whites. (NCES Digest Education Statistics, 1996, Table 179)
And of African Americans and Hispanics who are enrolled, a smaller proportion complete their
postsecondary education programs than for other racial/ethnic groups. In 1995, the percent of
those aged 25 - 29 in 1995 who have achieved baccalaureate degrees are 15.3% for African
Americans, 9.3% for Hispanics and 26% for whites. (Carter & Wilson, 1996-97)
December 23, 1997
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Successful Institutional Strategies-DRAFT
Diversity programs have been pursued by many institutions in an attempt to correct this
imbalance. Affirmative action programs for college admission, however, are being hotly
contested in the courts based on the presumptions of reduced quality in the higher education
institutions and reverse discrimination. It is not the purpose of this paper to present the evidence
for or against affirmative action or to refute the charges of its critics. Rather, the starting point
for this paper is the assumption that diversity in higher education is both a valuable and
necessary condition for the continuation of a pluralistic, democratic society.
Given that higher education substantially contributes to lifelong learning and work force
participation, what does racial/ethnic diversity contribute to the higher education experience?
We begin by positing the following statements about the value of diversity in higher education:
Diversity offers the opportunity for students to understand and appreciate life experiences
of persons different from themselves.
Diversity offers the opportunity for students to gain a richer understanding of multiple
cultures and therefore multiple perspectives on family life, work ethics, political beliefs,
literature and the arts.
Diversity, through classroom discussion, provides an opportunity for students to more
fully appreciate the influence of their own culture on learning experiences. It also
heightens awareness of cultural differences.
Diversity provides opportunities to develop important "team player" skills so critical in
subsequent work force participation.
Diversity in higher education allows students to develop important skills in self-
expression that ultimately prepare them for active participation and leadership roles in
their neighborhoods, communities and schools.
These potential "outcomes" of diversity in higher education are complex, and have been
infrequently measured. Empirically powerful evidence that diversity brings about these
outcomes is the subject of a three-year study just initiated by the Department of Education.
Perhaps the largest study to date (Astin, 1991, based on 20,000 students and 25,000 faculty
members), concludes that student growth and change over time and environmental factors, such
as institutional characteristics and student experiences in college, are essential to an
understanding of the contribution of diversity to the education of all students. Various
December 23, 1997
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Successful Institutional Strategies-DRAFT
Department of Education databases also provide a substantial amount of information on specific
aspects of student enrollment, such as financial aid and composition by race, ethnicity, gender
and age.
In the meantime, numerous institutions, higher education organizations and foundations
have been studying aspects of diversity in higher education. While most of these studies have
been regionally or institutionally-based, or have included a relatively small number of
institutional case studies, there are, nevertheless, many important lessons about how diversity is
effectively pursued by institutions of higher education. The contributions to the knowledge base
about the successful pursuit of diversity are of two types: one, broad concepts about what works
and what doesn't work that can be termed "theoretical contributions"; and two, research about
specific institutional strategies in pursuit of diversity.
What is the Theory That Guides Institutions in Pursuit of Diversity?
Much has been written about the value and importance of diversity in higher education.
These conclusions are chiefly based on both democratic ideals and demographic information
about the current and projected growth of minority groups in the U.S. population, made
particularly striking in contrast to the decline in the Anglo share of the population. Our schools,
our workforce, and our society will be predominantly "minority" by the year 2060, according to
demographer Leon Bouvier
others?
American higher education is undergoing a transformation from the type of system that
served industrial society to one that can serve the needs of a post-industrial age. A large part of
that transformation is based on the composition of the post-industrial society. State, institutional
and national leaders in higher education have foreseen the necessity of adapting the higher
education system in this country to serve the changing population. A review of the literature
about diversity in higher education reveals several important guidelines that serve as an emerging
"theory" about how institutions pursue diversity:
December 23, 1997
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Successful Institutional Strategies-DRAFT
Quality and diversity must be simultaneously pursued. Higher education quality,
expressed as:student achievement outcomes, can be maintained and enhanced in a diverse
campus environment if institutions are firmly committed to both goals. This requires
both institutional leadership and changes in the learning environments. All students, the
higher education enterprise, and ultimately society will benefit from such institutional
transformation. (Appel, et.al.), (Richardson & Skinner, 1991)
Ensuring "fair outcomes" in higher education for previously underrepresented minorities
includes both access (enrollment) and completion (graduation). Institutions that admit
larger numbers of minority students to aid their enrollment objectives must also provide a
quality educational experience for these students and assist in overcoming any incoming
educational deficiencies. (ECS, 1990), (Richardson & Skinner, 1991)
Institutions seeking to provide quality, diversity and fair outcomes for historically
underrepresented minorities typically move through three stages in pursuit of these goals
- first, reducing barriers to participation by minorities; second, providing assistance for
these students to stay in school and complete their educational programs; and third,
adapting the curriculum, pedagogy and assessment practices to more accurately reflect
and improve upon the strengths and weaknesses of all students. (ECS, 1990), (Richardson
& Skinner, 1991)
In this third stage of institutional development in pursuit of diversity (adapting the
curriculum, pedagogy and assessment), institutions capitalize on the strengths of diverse
student bodies by utilizing the concept of "collaborative intelligences". This concept
embodies a variety of perspectives on society and the individual and recognizes the
interdependence of individual and collaborative intelligence. (AAC&U, 1997)
What are Some Effective Institutional Strategies in Pursuit of Diversity?
These three stages in the life cycle of an institution seeking diversity and quality aid in
organizing information about the successful practices of institutions. It is important to
understand that while the three stages are conceived as evolutionary, institutions that have
reached the "third stage" must continue to explore the effectiveness of strategies used in
achieving the first two stages - access and retention - with ongoing modification of those
strategies in mind.
We have added a fourth stage to this model - effective strategies for establishing linkages
with employers. Although work in this area is just beginning, institutions with a commitment to
diversity understand the importance of ensuring that the "value-added" on a diverse campus be
appreciated and rewarded by potential employers.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Effective Institutional Strategies for Increasing Access
Affirmative action is only one strategy for increasing access of historically
underrepresented minorities to higher education. Many institutions have engaged in other
successful strategies for increasing minority representation in the pool of applicants. Some of
these successful strategies include: outreach to local high schools and middle schools through
establishing school-university partnerships that include teacher education and professional
development initiatives; participation of high school students in university-sponsored learning
institutes, summer programs, and/or extracurricular activities; early identification of promising
college students and mentoring programs; institutional participation in college fairs and other
recruitment efforts; and targeted recruitment and outreach to inner city high schools with high
concentrations of minority students. The potential goals of such programs can include:
To increase overall enrollment through closer collaboration with area high schools;
To target high schools with large minority enrollments in order to increase the pool of
minority applicants;
To assist in preparing high school youth for postsecondary educational experiences;
To provide guidance to high school youth on academic and financial requirements for
attending college; and
To help raise the educational aspirations of local youth.
There are numerous examples of creative approaches taken by institutions to increase the
diversity in the pool of applicants. We highlight a couple of these below.¹ Strengthening access
to higher education was a conference theme in "Educating One-Third of a Nation", the sixth
I The process for selecting successful institutional strategies was as follows. First, we relied on references made
during recent conferences on diversity; next, we used an American Council on Education reference book on higher
education diversity resources. Third, we utilized several other recent sources of material on outstanding programs
for increasing access (Westat, 1992) and for improving retention and enhancing teaching and learning (Skinner and
Richardson, 1991; Appel et. al.). Each institution so selected was then contacted to obtain permission for citing its
initiatives and to verify the material cited. We also asked each institution to provide additional detailed information
and evidence of success, if available.
December 23, 1997
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Successful Institutional Strategies-DRAFT
conference on this topic, held in Miami in October of this year. The conference sponsors 2 were
intensely interested in creative approaches to diversifying the applicant pool in the wake of
recent setbacks to affirmative action. Highlighted by Reginald Wilson, a Senior Fellow at the
American Council on Education was an admissions strategy being implemented by the
University of California.
2 The conferences which served as sources of material on effective institutional diversity practices were:
"Hopwood, Bakke and Beyond," October 6-7, 1997, sponsored by the American Association of Collegiate
Registrars and Admissions Officers; "Educating One-third of a Nation" Sixth Conference on Diversity in Higher
Education, October 16-18, 1997, sponsored by the American Council on Education, the American Association of
Colleges and Universities and the Ford Foundations's Campus Diversity Initiative; and the Conference on Civil
Rights of Latinos, December 5, 1997, sponsored by the Harvard Civil Rights Project, and the Tomas Rivera
Institute.
December 23, 1997
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Successful Institutional Strategies-DRAFT
University of California System
In July 1995, the University of California Board of Regents adopted a resolution called SP1,
which called for the elimination of race and gender as a consideration in the admissions
process. In July of 1996, the President of the UC system issued a new set of undergraduate
admissions guidelines to go into effect in the spring quarter of 1998 or in the fall quarter
1998 at UC Berkeley, which uses the semester system.
The entrance requirements established by the University require that the top one-eighth of
the state's high school graduates, as well as those transfer students who have successfully
completed specified college work, be eligible for admission to the University of California.
When there are more UC eligible applicants than spaces available, the campus selects
between 50 and 75 percent (compared to 40 to 60 percent under the old policy) of their
students based on academic performance, as assessed by a review of the following: high
school GPA, the depth and breadth of academic preparation, and scores on required
standardized tests.
In the second step, the remaining 25 to 50 percent-not including those admitted by
exception-are selected on the basis of academic achievement and personal achievement, as
assessed through a comprehensive review of all information provided on the application,
including academic performance as described above plus the following: extracurricular
accomplishment, personal qualities such as leadership or motivation, and likely contribution
to the intellectual and cultural vitality of the campus.
As part of the same resolution, the Regents voted to establish an Outreach Task Force to
develop new strategies and sources of funding for programs to attract and academically
prepare minority and disadvantaged students to attend UC. The 32-member task force
includes representatives of the business community, the university, and other segments of
education and organizations engaged in academic outreach (Sources: Wilson, 1997;
http:\\www.ucop.edu).
Other examples of institutional strategies for increasing the pool of applicants feature
early outreach programs, generally into middle and high schools. Several illustrative programs
are described below.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Xavier University - Louisiana
Xavier sends more African Americans to medical school than any other institution in the
country. Their pre-medical students are accepted into medical and dental schools at better
than twice the national average. Ninety-two percent of the Xavier graduates who enter
medical and dental schools go on to become practicing physicians or dentists. Xavier also
sends more African Americans to pharmacy school and has educated nearly 25 percent of the
6,000+ black pharmacists practicing in the United States. Over the last six years, Xavier
graduates have gone on to professional and graduate schools at a rate of almost 40 percent.
Xavier's recruitment success is based on extensive programs of early outreach to local high
schools and middle schools. For example, the Xavier Summer Science Academy involves
nearly 2,000 high school students each year.
Another program, the Model Institutions for Excellence (MIE) program is designed to
enhance infrastructure at selected institutions to educate students who have been historically
underrepresented in the fields of science, engineering, and mathematics (SEM). Currently,
Xavier has a retention-to-graduation rate of approximately 55 percent of its SEM majors.
One goal of the MIE program is to increase the retention rate to 75 percent through a series
of activities, including establishing student resources and mentoring centers, implementing
curriculum revisions and development, developing a financial assistance structure that will
effectively address student and university needs, and other activities. With over 55 percent
of the undergraduate enrollment consisting of SEM majors, significant retention increases
could be realized by improving the rate of success of this specific population. (Source:
Wilson, 1997; U.S. Department of Education, 1997; http://www.xula.edu)
University of Alaska at Fairbanks
In 1983 the University initiated the Rural Alaska Honors Institute (RAHI), a program
designed to better prepare Alaskan Native students for postsecondary education. The
program targets academically promising Alaskan Native college-bound juniors and seniors.
Approximately 50 students a year are selected through a competitive process to participate in
a six-week summer institute funded by the University. During the summer institute, students
can take up to 9 college credits and participate in numerous activities designed to introduce
them to Western society and reduce their anxiety about the higher education system. The
vast majority of students who participate in RAHI do go on to higher education and the
majority of those students attend the University of Alaska system. Beyond increasing
enrollment at the University, the program strives to increase retention by providing these
students with support while they are attending school. RAHI is in the process of collecting
data and conducting an analysis of the program. (Westat, 1992)
December 23, 1997
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Successful Institutional Strategies-DRAFT
University of Texas at El Paso
One initiative, targeting low-income, potential first generation Hispanic females and their
mothers, was begun in 1986 as a collaborative effort of UTEP, area school districts, and the
El Paso YWCA. The program has grown from serving 33 girls from three school districts in
the first year, to serving 300 girls from all nine local school districts. To date, the program
has served over 2,000 female Hispanic students and their mothers. Students are selected to
participate in the intensive program after they have completed their 5th grade year. During
the 6th grade, students participate in: 1) an open house and campus tour to get acquainted
with faculty and students from all departments; 2) a career day where 40 professional women
from a wide range of professions introduce the girls to career opportunities; 3) a leadership
conference involving both lectures and ongoing community service and opportunities to
assume leadership roles; and 4) a summer camp where the girls spend two days and one night
on campus participating in academic and social activities. The program then provides
ongoing activities, such as financial aid workshops, field trips to learn about careers, and
programs to provide hands on computer training. (Westat, 1992)
An evaluation utilizing focus groups conducted in 1994 found that the program has been
successful in achieving its goal of increasing college aspirations and access by Hispanic females.
Preliminary findings from current research show that compared to a control group, the students
who were participating in this program had higher high school GPAs, were enrolled in more
college preparatory classes, and had a lower rate of pregnancy.
The institution has also aggressively pursued overall recruitment from local high schools. Its
provisional admissions program and extensive articulation with neighboring El Paso Community
December 23, 1997
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Successful Institutional Strategies-DRAFT
Santa Ana College-California
This Hispanic Serving Institution (HSI) is located in Orange County, California. It is
projected that the district's population will be 71 percent ethnic minority by the year 2000.
To increase this community's access to postsecondary education, Santa Ana College
(formerly Rancho Santiago College) utilizes a multiethnic, multilingual staff and
multilingual materials in their extensive outreach activities. Through programs such as
Kinder Caminata, children as young as kindergarten age visit campus to be introduced to the
postsecondary experience.
The institution also has collaborative projects with minority community groups and 12
school districts. During the academic year, 700-800 minority and low-income students from
surrounding school districts visit Santa Ana College each week as part of their "College is
My Future" program. Students tour the campus, visit classes and talk to faculty members.
Another initiative called "Puente Project", which has a completion rate of 60 percent, offers
writing instruction and counseling for Latino students. (Source: ACE, 1993;
http://www.rancho.cc.ca.us)
There are also a growing number of mentoring and early intervention programs, initiated by
school districts or state education departments, whose purpose is primarily to increase
educational attainment and decrease dropout rates. Such programs tend to involve partnerships
with community organizations and/or institutions of higher education. Highlighted below are
some illustrative examples of those early intervention programs involving partnerships with
higher education.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Advancement Via Individual Determination (AVID)
Early Identification Program, George Mason
San Diego, CA
University, Fairfax, VA
AVID is a college preparatory program that focuses on
This program seeks to increase the number of minority
acceleration rather than remediation. The program aims to
students entering college. It involves a partnership
increase college enrollments among all students, but
between George Mason University and three local school
especially African American, Latino, Native American and
districts, as well as several area corporations. Minority
low-income students, and to restructure teaching
students with academic potential participate in a summer
methodologies of schools to provide college preparatory
academic session at the university, and attend tutorial
courses in high school. *Middle school students are also
sessions at their high schools during the school year.
encouraged to take courses.that will guide them toward a
Approximately 300 eighth and ninth graders are served
college preparatory currienlum. High school and college
annually. The program maintains information on courses
teachers jointly developed the curriculum. More than
taken, grades, SAT scores and college application status of
30,000 students in almost 600 schools in 11 states are
participants. The program reports a 71% retention rate and
served by AVID. More than 92% of its graduates enroll in
a 95% college-going rate. (Source: U.S. Department of
college, with 89% remaining in college for more than two
Education, 1997)
years. (Source: U.S. Department of Education, 1997)
Early Outreach HispanicsMath/Science Education
Liberty Partnerships Program, New York State
Initiative, University of Chicago College of Education
This program's goal is totincrease the number of Latino
Funded by the New York State Department of Education,
students prepared to enter.college and professional careers,
this program provides partnership grants to postsecondary
through partnerships with the University of Illinois at
institutions, community organizations, industry, and
Chicago, Malcolm X College, two local high schools and
schools/school districts to decrease the state's high school
their feeder middle schools. Annually, about 175 students
dropout rate. The partnership grants provide
in grades 8 through 11 are served. To date, 81% of
comprehensive services to at-risk students in grades 5-12,
program participants have taken science and math courses
including academic support; academic, personal and
in high school, 100% have completed high school, and
family counseling; and college advisement. The school
75% have gone on to college. (Source: U.S. Department of
retention rate is about 98 percent. In 1996, the high school
Education, 1997)
graduation rate was about 92%, with 70% of the graduates
aspiring to attend college.
(Source: U.S. Department of Education, 1997)
It is not enough to increase access to college for racial and ethnic minorities. Recent trends
in minority students' educational attainment (as cited in ACE's Fifteenth Annual Status Report on
Minorities in Higher Education) indicate that institutions must offer assistance to these students so
that they stay in school and complete their academic programs.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Effective Institutional Strategies for Helping Students Stay in College
Institutions recognize that their incoming students differ in their level of educational
preparedness for the&college experience. Other potential barriers to success in the academy
include differences in cultural orientations, financial impediments and family responsibilities,
particularly for older students. In order to maintain institutional quality and provide assistance to
under-performing students, institutions have devised numerous "helping strategies". Some of
these strategies include: increasing faculty advisement, faculty mentoring, peer tutoring, faculty
tutoring, establishing effective tracking systems to monitor student academic performance and
attendance, special counseling to aid with personal and financial impediments to school
achievement, and enhancement of campus climate. The objectives of many of these efforts can
include:
Maintaining institutional academic standards through the provision of extra assistance to
students experiencing academic difficulties;
Helping students persist in school to completion of their programs;
Transmitting the expectation that all students can succeed if adequately supported in their
educational endeavors.
Following are some examples of programs in institutions that have successfully promoted
minority student retention.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Boston College, Chestnut Hill, MA
The AHANA (African-American, Hispanic, Asian and Native American) concept was first
defined by Boston College in 1979 when students objected to the name "Office of Minority
Student Programs" then used by the University, citing the definition of the minority as "less
than." The AHANA concept has now been adopted in various forms at over 30 institutions.
At Boston College, the Office of AHANA Student Programs (OASP) develops, implements
and coordinates a variety of programs that support and enhance the academic performance of
undergraduate AHANA students. These programs include activities such as tutorials,
academic advising, personal and group counseling, performance monitoring, and career
planning. The aim of these services is to help AHANA student to excel academically and to
overcome feelings of alienation, isolation and loneliness.
According the Director of OASP, the most important achievement has been the "complete
reversal of a 17 percent retention rate in the late 1970s to a current retention rate of over 93
percent for the target group of students." This target group is served by the Options Through
Education Transitional Summer Program (OTE). OTE is a pre-college enrichment program
annually serving 50-60 educationally and financially disadvantaged AHANA students who
are highly motivated, potential achievers. Students are chosen to participate in OTE by
OASP staff reviewing applications of students who might otherwise not be able to attend
Boston College. The average OTE student has an SAT score 400 points below the Boston
College average. The intensive summer program familiarizes participants with Boston
College's academic and administrative resources, strengthens their scholastic skills and
acquaints them with the campus and surrounding community. During their four years at
Boston College OTE students are provided support, and their progress is closely monitored
with early feedback from faculty (Source: ACE, 1993; http://www.bc.edu).
December 23, 1997
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Successful Institutional Strategies-DRAFT
Mount St. Mary's College, Los Angeles.
Once a predominantly white, upper middle class institution, this college is now remarkably
diverse as a result of changing area demographics. For undergraduates, the college offers
both two-year associate in arts degrees on the downtown Doheny campus and four-year
baccalaureate degrees on the Chalon campus in west Los Angeles. The alternative access
program on the Doheny campus admits students who have low GPAs and poor test scores,
but show potential for success in college as demonstrated through interviews. These
students are often minority students who are the first in their families to attend colleges and
must struggle with poverty, inadequate academic backgrounds and pressing family
obligations. Approximately 68 percent of those who come as freshmen earn their associate
degree in two years or transfer to a baccalaureate program. MSMC achieves such success by
focusing on student success. Students are tested, academic weaknesses are analyzed, and
learning prescriptions are devised by the Learning Resource Center. Faculty and
administration believe it is their role to intervene when a student is in difficulty. In addition,
its Institute for Student Academic Enrichment provides career, personal and financial
counseling; provides tutoring for courses and graduate exams; sponsors cultural events and
facilitates discussions about the events; and offers workshops on study skills and reading and
writing improvement. (Sources: Sawchuk, 1991; Wilson, 1997; ACE, 1993)
December 23, 1997
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Successful Institutional Strategies-DRAFT
Oklahoma City University
Oklahoma City University (OCU) is a private, independent university with an FTE of 1,800.
The Office of Hispanic, Asian and Native American Services (HANA) was established in
1981-1982 to serve this population, with special emphasis on the Native American
population in the surrounding area. The school actively recruits Native American students
through outreach programs and a variety of scholarships funded by Honda, Coca-Cola and
individual endowments. Since the development of the HANA Office, Native American
enrollment has increased from an average of 8 students per year to approximately 135
students per year. In addition to increasing enrollment, the school, through a variety of
support programs such as counseling, tutoring, financial aid, off campus community service
for credit, summer bridge programs, and the type of personal attention available at a small
institution, has increased the graduation rate of HANA students to 45 percent (approximately
the average for the entire student body).
OCU's Native American Legal Resources Center enriches the opportunities of Native
American students and students interested in pursing careers in American Indian Law. The
Center fosters paralegal training and internships linked with the state's tribal governments.
(http://www.okcu.edu)
December 23, 1997
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Successful Institutional Strategies-DRAFT
The University of North Carolina System
According to a study conducted by the Quality Education for Minorities Network
(AACRAO, 1997) and funded by the National Science Foundation, North Carolina has
outperformed other states in achieving proportional representation of minorities among four-
year college graduates. Among the many successful retention strategies listed were the
maintenance of Minority Affairs Offices, accessibility of faculty for academic advisement,
peer study groups, peer tutoring and formal collaboration with business, state and
professional organizations.
As an example, the UNC at Charlotte provides a special student advising program in which
peer tutoring and advising is offered to freshmen minority students. In addition, since 1986
the institution has been offering a special summer bridge program, University Transitional
Opportunities Program (UTOP), to improve the retention rate of minority students.
Participants are randomly selected from minority enrollees and participate in seven hours of
coursework and co-curricular activities designed to introduce students to campus and
community resources. In 1996, UTOP students achieved an average GPA near that of the
majority population. (ACE, 1993)
An indication that the state system has been actively pursuing minority student participation
and retention is the selection of UNC-Greensboro (using peer nomination and College
Board retention data) as one of four institutions for the study of successful retention
practices. (Appel, et.al.)
Effective Strategies for Teaching and Learning in a Diverse Institution
In the previous stage in a diverse institution's life cycle, the focus is on adapting the
students to the standards and culture of the institution. In the third stage, institutions adapt to
their changing student bodies to capture the full educational potential. This involves changes in
the academic essence of the institution - the curriculum, the pedagogy, and the assessment
practices. Most institutions are at an "experimental stage" with regard to this level of diversity.
There have been no known comprehensive evaluations of the educational benefits of diversity.
Nevertheless, some strategies being pursued include: curriculum revision, particularly in the
social sciences and humanities, where cultural perspectives significantly influence learning;
increasing the diversity of faculty; altering pedagogical techniques to include more discourse, the
representation of multiple perspectives, and the increasing recognition of multiple learning
styles, such as a greater appreciation for the value of hands-on learning; and experimentation
December 23, 1997
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Successful Institutional Strategies-DRAFT
with assessment techniques and instruments that more adequately capture multiple teaching and
learning styles.
The potential objectives addressed by such strategies include:
To broaden and deepen learning experiences for all students;
To provide a diverse faculty throughout all academic disciplines; and
To transform the institution into a multicultural learning organization that provides
superior academic experiences.
Arizona State University
ASU has been known for its early initiatives to improve access and retention by minorities.
Project Prime, begun in 1987 in collaboration with the Educational Testing Service and the
Hispanic Higher Education Coalition, seeks to reach underrepresented minorities while in high
school, particularly those with an interest in math and science. (Westat, 1992) It also has a
program to increase minority student retention known as the Coalition to Increase Minority
Degrees.
This initiative sponsors a math-science honors program for minority students which targets
the production of 182 minority Ph.Ds per year in engineering, science and math by the year
2001 - a 400% increase over current levels. (Source: ACE, 1993) Richard Richardson cited
by Wilson in October has developed a list of "Seven Principles of Good Practice",
addressing the University's teaching and learning practices:
Student-faculty contact
Cooperation among students
Active learning (hands-on)
Prompt feedback, especially early warning of problems
More time on task
High expectations, and
Diverse ways of learning.
December 23, 1997
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Successful Institutional Strategies-DRAFT
Iowa State University-Ames, IA
Beginning in the 1997-99 catalog, all undergraduate students are required to fulfill
graduation requirements in two areas: U.S. Diversity and International Perspectives. The
goal of these requirements is to help prepare students to meet the challenges of responsible
citizenship and effective professional roles in a culturally diverse global community. The
focus of the U.S. Diversity requirement is the multicultural society of the United States, and
it aims to provide students with insights that enhance their understanding of diversity among
people in the U.S. Courses designated to meet the ISU "U.S." requirement must address
significant manifestations of human diversity with in U.S. society.
Examples of courses that might meet this requirement include courses on the works of U.S.
authors of a particular racial or ethnic group previously neglected in the curriculum or
courses on the history of the civil rights movement in the United States. Students are
required to take three credits of coursework in both U.S. Diversity and International
Perspectives. (McTighe Musil, 1997; http://www.public.jastate.edu)
Oregon State University-Corvallis, OR
The Indian Student Affairs Office, once part of the Office of Multicultural Affairs, operates
numerous programs that strive to enhance University awareness of American Indian students,
faculty and staff, increase the number of American Indian students on campus, assist American
Indian/Alaska Native students from the admission process on through their graduation, improve
the quality of the education they receive while on campus, and provide resources for the
development of a racially and ethnically relevant curriculum.
Students are required to take a specified number of courses that have issues of diversity infused
in them. To help faculty who were interested in infusing diversity into their current curriculum,
the university provided voluntary seminars.
Oregon State-Wide is a distance learning program run by the Office of Continuing Higher
Education. Through this program, which is in its first year of operation, the University works
with nine federally recognized tribes to develop curricula that incorporate each individual tribe's
history and culture. (Source: ACE, 1993; http://www.osu.orst.edu)
December 23, 1997
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Successful Institutional Strategies-DRAFT
Harvard University-Cambridge. MA
In addition to its extensive efforts to recruit and retain minority students, Harvard undertakes
a number of initiatives to encourage minority faculty development, and to diversify its
curricula.
The Graduate School of Education's Native American Program is designed to prepare Native
Americans to fulfill positions of leadership in education and includes Native American
leadership development in all disciples. In 1995, the program received a show of support
from the president of Harvard and was named an inter-faculty initiative. The program works
with all nine schools within Harvard to develop Native American related courses. In
addition, the program administers a university-wide Native American recruitment initiative
in collaboration with Harvard's admissions office. In 1995-96, Harvard's Native American
enrollment increased 12 percent from the previous year and projections show that the 1996-
97 enrollment has increased another 8 percent.
The Minority Postdoctoral Fellowship Program in the School of Public Health attempts to
increase the representation of minorities available to fill faculty positions at other
institutions, and the Kennedy School of Government sponsors several national leadership
forums for African American and Hispanic public administrators.
Harvard Medical School's Faculty Development and Diversity (FDD) initiative was created
in January 1995 to connect the myriad of diversity initiatives underway at the medical
school. FDD is committed to working toward increased faculty and trainee diversity by
expanding recruitment efforts, supporting retention of underrepresented minority faculty and
trainees, and helping overcome any barriers to promotion that exist for minorities and
women. (Sources: ACE, 1993; http://harvard.edu).
In the 1993 Sources there were few projects listed for curriculum, and no categories for
teaching and learning. The few curriculum projects were generally targeted to serving minority
students explicitly, i.e. not typically directed to enriching the curricular exposure of all students.
As mentioned previously, this is a relatively new area of endeavor.
Effective Strategies for Establishing Linkages with Employers
Corporations are increasingly pursuing diversity initiatives due to the changing
demographics of the work force, the growth of multinational enterprise and the changing nature
of available jobs. There is also a growing recognition that "diversity skills" are an important
December 23, 1997
19
Successful Institutional Strategies-DRAFT
contributor to work quality and productivity. However, the academy has not tended to view "job
placement" as one of its functions. Institutional-corporate linkages for the preparation and
recruitment of workers with diversity skills have only recently been initiated.
The Ford Foundation has developed an initiative to promote greater links between
institutions and corporations. Called the "Campus Diversity Career Roundtable", this initiative
has been sponsoring such roundtables to encourage greater dialogue and raise awareness. Both
institutions and corporations have a lot to gain by this process:
Institutions learn about the skills valued by corporations and what they see as the
weaknesses in new recruits.
Corporations:learn how institutions are preparing their students for participation in a
diverse workforce.
The Foundation has assembled a package of materials and protocols for schools to use in
organizing these roundtables.
A few other examples of institutionally initiated efforts to place their graduates with
employers seeking diversity skills follow.
University of Washington, Seattle
The Minority Job Placement Program has two objectives. First, the program provides career
guidance and job placement services such as counseling, resume and interview assistance,
internships, and job referral programs to students. Second, the program works with
employers to provide assistance to companies trying to diversify their workforce. The
program develops methods, such as workshops and career days, for companies to
communicate with minority students. Career day started in 1970 with 10 companies
interested in engineering graduates and has grown to include 100 companies interested in
graduates from all programs. In addition, the Program works with employers to develop
internship programs, which often lead to full time employment after graduation for minority
students.
The Minority Education Division of the Graduate School participates in the Western and
National Name Exchange, a consortium of 27 institutions that collects and exchanges the
names of minority juniors and seniors annually. The primary purpose of this effort is to
assist in graduate education recruitment. (Source: ACE, 1993)
December 23, 1997
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Successful Institutional Strategies-DRAFT
University of Vermont, Burlington
Notable for its early recognition of the value of a multicultural education to employers, the
University's Graduate College promotes the professional development of "multicultural
undergraduates". at the University and other institutions by securing funding for their
graduate education and professional development as well as their post-graduate placement in
significant positions in higher education. (Source: ACE, 1993)
The foregoing examples of successful institutional practices in attaining and maintaining
diversity provide-many useful guidelines for other institutions that may not be as advanced in
their pursuit of diversity. However, much work remains in demonstrating the educational
benefits of diversity. The research to date has not produced such empirically powerful evidence.
What is required to answer these questions is cross-institutional, longitudinal research that can be
generalized beyond'the individual institution and research on all students and their learning and
subsequent outcomes. The study recently commissioned by the Department of Education begins
to undertake this task. This work must be continued beyond the three-year span of the study and
into the workplace, where certain important outcomes of diversity in higher education will be
tested.
December 23, 1997
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Successful Institutional Strategies-DRAFT
SOURCES CONSULTED
Association of American Colleges and Universities, "Raising Our Standards: Diversity as a
Catalyst for Excellence in Higher Education," A Draft Report from the American Commitments
National Panel, October 1997.
American Association of Collegiate Registrars and Admissions Officers, "Hopwood, Bakke and
Beyond" Policy Summit, October 6-7, 1997, Washington, DC
American Council on Education, Sources: Diversity Initiatives in Higher Education. , Office of
Minorities in Higher Education, American Council on Education, Washington, DC, 1993.
American Demographics, "American Diversity: What the 1990 Census Reveals", New York
American Demographics, Inc., 1991
Appel, Morgan, et.al. The Impact of Diversity on Students: A Preliminary Review of the
Research Literature. Association of American Colleges and Universities. (No Date).
Astin, Alexander, "Diversity and Multiculturalism on the Campus: How are Students Affected?"
in Change, March/April, 1993.
Carter, Deborah J. and Wilson, Reginald, Minorities in Higher Education. 1996-97 Fifteenth
Annual Status Report. American Council on Education, Washington, DC, April, 1997.
Education Commission of the States, Achieving Campus Diversity: Policies for Change.
National Task Force for Minority Achievement in Higher Education, December, 1990.
Ford Foundation, "Campus Diversity Career Roundtable: How to Organize a Dialogue Between
Corporate America and Higher Education on Their Shared Interest in Diversity
Education, "Campus Diversity Public Information Project, 1997.
Harvard University - The Civil Rights Project and the Tomas Rivera Policy Institute, "The
Latino Civil Rights Crisis: A Research Conference" Washington, DC, December 5, 1997.
Richardson, Richard C., Jr. and Skinner, Elizabeth Fisk, Achieving Quality and Diversity:
Universities in a Multicultural Society. Sponsored by the National Center for Postsecondary
Governance and Finance, and American Council on Education. New York: Macmillan
Publishing Co., 1991.
Sawchuck, Mariette T. Access and Persistence: An Educational Program Model. Prism
Publishing of Mount St. Mary's College: Los Angeles, CA., 1991.
Stringer, Donna, President Executive Diversity Services, Inc., Presentation on Status of Diversity
Initiatives in Corporations, at ACE, AAC&U and Ford Foundation conference, Sixth Conference
on Educating One-Third of a Nation, October 16-17, 1997, Miami, Florida
December 23, 1997
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Successful Institutional Strategies-DRAFT
Westat, Inc. Reaching for College: Volume 1: Directory of College-School Partnerships.,
sponsored by the U.S. Department of Education, Office of Policy and Planning, December, 1992.
Wilson, Reginald, "Creating Pluralistic Campuses: Assessing, Planning, and Facilitating
Change" at American Council on Education, Association of American Colleges and Universities
and the Ford Foundation's Campus Diversity Initiative, "Educating One-third of a Nation VI:
Diversity, Opportunity and American Achievement" October 16-18, 1997.
U.S. Department of Education, "Summary of Mentoring and Early Intervention Programs,' ""1997
December 23, 1997
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