Introduction/Background
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The Affirmative Action Office's functional area received an overall excellent rating in the performance measure area currently agreed upon between SLAC and DOE/OAK in the FY 2002 Annual Appraisal. We had no 'marginal' areas in our last Assessment.
It should be noted that there was a mid-year assessment of current performance measures between SueVon Gee and Margo Triassi on April 10, 2002 and reconfirmed on August 26, 2003. As a result of these meetings, it was agreed that some fundamental changes would take place with regard to the way in which performance measures were defined and applied during the annual self-assessment review.
It was suggested by Ms. Triassi (and agreed to by Ms. Gee) to do a mid-year modification to the FY 2002 Strategic Plan including changes to the performance measures. SLAC formally submitted these agreed upon changes in writing to DOE on May 16, 2002 (Email from S. Gee to M. Triassi dtd. 5/16/02 w/attachment).
As these revisions were not formally made by DOE until recently (mid-September 2003), it was agreed in a meeting between SueVon Gee and Margo Triassi on August 26, 2003 that SLAC would still use the “intended” performance measures already agreed upon back in May 16, 2002 and applied by SLAC during the FY 2003.
The FY 2003 Self Assessment Review of EEO, therefore, should be based upon the FY 2003 Strategic Plan and the performance rating gradient outlined in this report.
The Stanford Linear Accelerator Center is the lead Department of Energy (DOE) laboratory for electron-based high energy physics. It is dedicated to research in elementary particle physics, accelerator physics and in allied fields that can make use of its synchrotron radiation facilities—including biology, chemistry, geology, materials science and environmental engineering. Operated on behalf of the DOE by Stanford University, SLAC is a national user facility serving universities, industry and other research institutions throughout the world. Its mission can be summarized as follows:
The activities of the Affirmative Action Office include, but are not limited to the administration of the Equal Employment Opportunity (EEO) and Affirmative Action (AA) programs within the Laboratory. Specifically, the Affirmative Action Office is responsible for monitoring the consistency between the Laboratory and the University's EEO and AA programs, investigating all allegations of discrimination based on race, gender, disability, religion, national origin, veteran status, and age, monitoring all employment actions affecting protected class members, designing audit and reporting system in areas for which the Office is responsible, and meeting the extensive technical standards outlined by the Department of Labor/OFCCP for an audit.
This report represents the results of the Affirmative Action Office's functional area self-assessment, which was conducted from October 1, 2002 through September 30, 2003, with a three-month period just prior to end of the self assessment period for analyzing data, implementing projects, and report writing.
The Affirmative Action Office's functional area self-assessment is based on and measured against performance measures agreed upon between SLAC and DOE/OAK on October 1, 2002 and contained in the FY 2003 Affirmative Action Plan in order to address progress and contract compliance. The specific performance objective to be measured is the effective maintenance of internal controls used to insure that SLAC's Equal Opportunity and Affirmative Action Program is in accordance with all federal civil rights statutes and regulations and the successful implementation of the FY 2003 Strategic Plan, as outlined in the annual Affirmative Action Plan.
SueVon Gee, Affirmative Action Officer, SLAC; Lily Wong, Assistant EEO Manager; Connie Courtney, Administrative Associate
Performance Objective: Equal Opportunity and Affirmative Action.
Maintain effective internal program controls to ensure SLAC meets its obligations under the Equal Opportunity clause which includes maintaining nondiscriminatory hiring and employment practices and taking affirmative action to ensure that applicants are employed and employees are treated fairly and in accordance with applicable regulations dealing with race, color, religion, sex, national origin, age, veteran status and disability.
Performance Measure:
The Stanford Linear Accelerator Center develops and maintains an Equal Employment Opportunity/ Affirmative Action Program which is outlined in the annual Affirmative Action Plan that meets all requirements outlined in the Equal Opportunity clause.
Process used to meet objective/measure:
An Affirmative Action Plan is developed annually describing the EEO and AAO program, its internal controls and systems, and the long term goals for achieving full utilization of minorities and women in the work force. An assessment of SLAC’s progress in meeting these long-term goals is provided in the annual Affirmative Action Plan.
Additionally, a Strategic Plan is developed annually with DOE’s approval and outlines anticipated and specific affirmative action opportunities for minorities and women, which could reasonably be attained over the course of a twelve-month period. The Strategic Plan is consistent with SLAC’s general diversity efforts and would contribute to SLAC’s efforts to meet its long range goals in occupational areas where minorities and women are not traditionally found. The Strategic Plan contributes to SLAC’s ability to demonstrate its good faith in taking affirmative action and in achieving diversity in the work force given the opportunities and resources available.
The current status of the internal controls to evaluate the EEO and AA Programs.
The selection, termination and promotion of minorities and women generally and in underutilized occupational areas specifically.
The evaluation of the work force data and the progress made against the long term goals set in occupational areas of underutilization.
Results of the previous Strategic Plan in increasing representation of minorities and women in occupational areas where they are not traditionally found.
Documentation: Annual Affirmative Action Plan (AAP) and Strategic Plan (within AAP).
Maintain effective internal program controls
Internal program controls for the EEO and AA are excellent with hiring, promotion, separation, and compensation actions being monitored on an ongoing basis (i.e., daily, monthly, and quarterly). For example, the Affirmative Action Office signs off on all job requisitions and reviews and concurs on all job hires prior to an official offer being made. Additionally, the Affirmative Action Officer is a member of the Salary Review Committee where annual salaries are set for exempt and non-exempt staff and where policy and procedures about SLAC's salary program are initiated, reviewed, and implemented. The Affirmative Action Officer reports directly to the Director of the Laboratory and is responsible for the day-to-day activities associated with affirmative action and equal opportunity and has the authority to initiate whatever activities/actions are necessary to resolve issues under the Officer's charge. The level of authority provided to the Affirmative Action Office creates a strong and active control system, which enhances and furthers EEO and AA objectives (See SLAC's AA Plan FY 2003 Plan).
Program Development and Maintenance
SLAC has developed and is maintaining an Equal Employment and Affirmative Action Program, which is in compliance with the Department of Labor's criteria and meets the Department of Energy's EEO contractual requirements. The annual Affirmative Action Plan (AAP) reflects a continual review of the EEO and AA program for relevancy, current applicability, and assessment of goal attainment.
A Strategic Plan was developed, approved by DOE and incorporated within the annual AAP at the beginning of FY 2003.
Compliance Standing and Operational Awareness
SLAC has developed a series of control systems which enable SLAC to assess quickly and efficiently its EEO/AA standing at all times and especially during a full scale Department of Labor compliance review. The Department of Labor last reviewed SLAC's EEO/AA program in its entirety during the period April-August 1996. It was determined on December 12, 1996 that SLAC was in full compliance with federal statutes and regulations. The internal program controls which were in place and which successfully passed this audit continue to be in place and are a vital part of the on-going EEO/AA program. No new federal regulations have been introduced since 1996 which would necessitate a change in the control system currently established.
Program and Plan
The EEO/AA Program is current and formalized through its annual Affirmative Action Plan, which identifies areas of underutilization and assesses its progress in reaching full utilization of minorities and women in accordance with regulatory guidelines. Contained within this annual plan, with the concurrence of DOE/OAK, is an annual Strategic Plan which identifies opportunities beneficial to increasing the representation of minorities and women in occupational areas where they are not traditionally found in the work force (e.g., high priority areas). The Strategic Plan for FY 2003 and the results obtained subsequent to the implementation of this plan are outlined below.
The 2003 Strategic Plan was designed to achieve results over a 12-month period in the area of diversity within existing resources and opportunities. Specific and detailed goals were identified during the fiscal year which will enhance diversity or help us to make progress towards full utilization. While the Strategic Plan targets areas where we estimate we may have specific opportunities, SLAC’s efforts should be reviewed in conjunction with the long-term and general efforts and goals made by SLAC to achieve full utilization (see annual Affirmative Action Plan and all of the goals set by Job Categories and Job Groups). As defined below, our overall effort was outstanding and our strategic plan achievements were excellent; especially given the financial difficulties experienced during the last fiscal year. Our overall and strategic efforts combined justifies an “outstanding rating” based on the performance rating gradient.
- Overall Efforts
During the Fiscal Year 2003, SLAC’s Strategic Plan results were outstanding especially considering that we had severe budgetary constraints. Our outstanding overall hiring rate for minorities (43% of total hires) and women (28% of total hires) enabled us to increase our overall minority percentages (e.g., from 30% to 32% of the total work force) and to maintain our overall women percentages (i.e., 23% of the total work force).
- Specific Efforts as Outlined in Strategic Plan
The following highlights some of the results for each of the strategic goals set.
(1) Computer Science Intern Position
We had set a goal for hiring a Computer Science Intern during FY 2003. However, given the financial constraints for this fiscal year (including an employer-wide furlough and “zero” salary increase year) and the ensuing uncertainty regarding the retention of existing staff, we opted not to go forward on the computer science intern position. This seemed prudent given the state of financial affairs at Stanford University and SLAC and the low probability that we would be able to offer a permanent appointment subsequent to the intern placement. It was determined that it was more advantageous to bring in an intern with a high probability for future placement than to bring the person in when a layoff scenario was possible.
(2) GEM Program as Pipeline for Mechanical or Electronic Engineers
We continue to support and utilize the National Consortium in the Graduate Engineering for Minorities (GEM) program (see Section VII.C. for description) as a primary pipeline for minorities in the mechanical and electronic engineering fields. Mechanical and electronic engineering graduates that interned at SLAC will be automatically considered for positions in mechanical and electronic engineering at SLAC.
We were successful in placing an American Indian student (GEM fellowship student) into an electronic engineer internship position at SLAC in the Stanford Synchrotron Radiation Laboratory for a one-year appointment with a possibility for renewal if he successfully completes his GEM graduate program. This was accomplished through a “shared” funding arrangement between the technical department and SLAC’s Director, who is very committed to diversity within SLAC.
(3) Female Manager
We set and met our goal of hiring a woman at the managerial level during this fiscal year. She is both a minority and a woman and is hired as an Administrative Services Manager in the Environmental, Safety and Health Division.
(4) Faculty Exchange Program
As planned, we brought two physics professors from two of the Historically Black Colleges and Universities (HBCU’s) under our faculty exchange program during the summer of 2003. They included one professor from Savannah State University working on the GLAST project and another professor from Fisk University working in the Research Division. These professors worked directly on SLAC’s research projects to familiarize themselves with some of the collaborative research projects done in the international and national scientific community in physics.
The faculty exchange program, which was initiated last year, has already exceeded our expectations. Like the previous visiting professors in FY 2002, these two physics professors were well received and will continue to maintain their linkages with SLAC when they return to their respective institutions.
(5) Qualitative Studies
A salary study and turnover study was completed in conjunction with our commute study in order to provide a baseline database. This information is important to help establish a body of data which would assist the Laboratory in defining the average SLAC salary and termination rate among employees and to review these means against protected class members.
(a) Salary Study
As planned, we have finalized our salary study for the entire Laboratory and have examined salary patterns among employees and specifically by selected groups (e.g., protected class members).
The salary study examines the average salary by specific populations like minorities and non-minorities, men and women, employees 40+ and under 40 years of age, employees by seniority, and employees by occupational areas.
This information will provide an understanding of our salary system and its effect on groups of people to determine whether employees’ salary experiences are essentially similar and what salary options we may engage to improve retention and diversity.
(b) Turnover Study
We have also completed an extensive turnover study for the entire Laboratory to examine termination patterns among employees in general and specifically, by selected groups (e.g., protected class members). The turnover study examined the turnover rate by the following groups of employees: minorities and non-minorities, men and women, employees 40+ and under 40 years of age, employees by seniority, and employees by occupational areas. This information determined which groups are leaving, at what rate and whether these rates were proportionate to their work force presence and their counterparts.
Performance Rating: We consider our overall performance rating this year to be “outstanding”, based primarily on the outstanding and comprehensive maintenance of:
the internal controls for assessing and influencing outcome in the EEO and AA Programs;
the demonstrated, outstanding achievements with regard to increasing the representation of minorities and women in the hiring pool and ultimately within the work force;
our successes in increasing the participation and involvement of minorities and women in our scientific programs; and
the comprehensive studies conducted regarding minorities and women, giving us a better tool and understanding for recruiting and retaining minorities and women,
This outstanding rating is consistent with the mutually agreed upon definitions and standards established between SLAC and DOE (see below).
Performance Gradient as of May 16, 2002
Ratings would be based upon the degree to which goals and plans are achieved during the previous 12 month period. A more detailed description of each of these goals or efforts is outlined below.
Outstanding – Defined as establishment of programs outlined in the Strategic Plan:
which would contribute to more diversity within the work force; and/or
result in significant advancement in the area of diversity in the general labor market; and/or
which result in the placement of minorities or women in occupational areas where underutilization existed; and/or
which would meet all or most of the annual goals previously set.
Excellent – Defined as establishment of programs outlined in the Strategic Plan:
which would encourage general diversity within the work force; and/or
which would result in the placement of minorities or women in occupational areas where underutilization existed; and/or
which would meet many of the annual goals previously set.
Good – Defined as establishment of programs outlined in the Strategic Plan:
which would encourage general diversity within the work force; and/or
which would result in the placement of minorities or women in occupational areas where underutilization exist; and/or
which would meet some of the Strategic Plan goals or plans previously set.
Marginal – Defined as the establishment of programs outlined in the Strategic Plan:
which would encourage general diversity within the work force and
which would meet at least one of the Strategic Plan goals or plans previously set.
Included in the above rating ranking system would be other considerations such as:
resource availability (or limitations thereof);
effect of turnover on ability to achieve goals;
and other achievements significant to diversity.
Finding: The Affirmative Action Office's internal controls were found to be exceedingly effective in monitoring the activities which made possible the achievement of the goals of the SLAC Equal Employment and Affirmative Action Program. These controls meet all of the federal requirements outlined by the Department of Energy and the Department of Labor relevant to EEO and AA.
Discussions: Activities in the Affirmative Action Office's functional area are controlled on a formal basis rather than on an informal basis. There continues to be a tremendous amount of documentation that comes through the Affirmative Action Office's operation including the management of central data for the Laboratory on AA and EEO reporting requirements (e.g., historical workers file, archive information on EEO-related complaints, etc.). Over the last two decades there have been a number of reviews, including one by an independent consultant, to evaluate the process and to make it more streamlined and efficient. The current process is about as compact as we can make it without jeopardizing essential elements necessary to our review.
Under leadership of the Affirmative Action Officer, a great deal of reliance is placed on the Administrative Service Manager and Administrative Associate to maintain and manage the data within the Affirmative Action Office and to do all the statistical analysis associated with its efforts. The statistical analysis is at the core of determining whether we are making progress towards our availability percentages and if not, what systems in the laboratory are contributing to our failure to achieve success. There is no substitute for the development and management of data, nor for the basic social science research, which is necessary to support conclusions and subsequent recommendations.
As has been the historical case, the degree to which we can make significant progress with regard to the diversity picture depends in large part on the turnover within the laboratory (currently low at 7% of the total work force), the opportunities available (which are driven by budgetary considerations), and the educational and labor market trends. The combined efforts of all three of the Affirmative Action staff members are necessary in order to achieve all of the multiple tasks and responsibilities and to meet the demands of the Laboratory population for service and guidance on EEO and AA matters. We have opted for a model that addresses the long term goals via our Affirmative Action Plan and our short term goals via our Strategic Plan.
As already mentioned, the responsibility for diversity recruitment remains in the Human Resources Department with consultation from the Affirmative Action Office.
Proposed action: The Affirmative Action Office's functional area should continue to monitor the performances of the internal controls and systems and establish strategies for continued improvement with respect to diversity and achieving full utilization.
In order to make significant progress in the area of affirmative action, there must be a sufficient pool of minorities and women in the labor market from which to hire. It is also essential to note the correlation between the demographics among science major graduates coming out of the educational institutions at all degree levels (e.g., undergraduate, graduate, doctorate and post-doctorate), the relevant labor market figures and unemployment rates to determine the actual availability of minorities and women.
Also, SLAC must have the operational resources (e.g., funding) to implement diversity recruitment and programs and to support internship positions in difficult-to-recruit scientific fields (e.g., physics, engineering, etc.) and to have annual performance reviews reflect the challenges confronting diversity issues and be conducted within the “context” of those competing and limited resources.
Our salaries and fringe benefits are not as competitive as private industry when it comes to keeping or attracting minority and female scientists and engineers. Both minority and female scientists are premium assets to any employer and we are at a distinct disadvantage in the competitive market, especially here in the Silicon Valley where technical personnel are at a premium. Surveys conducted by educational institutions have reported that science-oriented graduates and workers are overwhelmingly choosing private industry over educational institutions and public entities; making recruitment that much more difficult.
In recent years, the economy in the United States has made workers less mobile and likely to make job changes and this has an effect on our ability to make significant changes within our own demographics in the work force.
There is a continuing decline in minority and female college enrollment generally, and in the sciences specifically, over the last decade; especially in the physical sciences. There has been a distinct “decline” in the number of students pursuing physics generally and at the doctorate level specifically. In a scientific laboratory specializing in high energy physics, this is not good news and will affect our recruitment efforts in the years ahead.
There is no indication, given the cutbacks in minority and female support services and funds, that this trend will be reversed any time soon. As student loans and scholarships decrease, so will the number of minorities and women enrolling in colleges. This will further erode the minority and female college pool and in particular the scientific labor pool. In the field of physics generally, and high energy physics specifically, the picture is even more bleak. A reversal of this trend may be possible if more governmental programs could be initiated at the college enrollment level to encourage minorities and women to pursue advance degrees (e.g., student loans, tax credits, etc.).
While the labor market conditions are bleak, SLAC continues to actively pursue alternative ways in which to make the working environment more attractive to our staff and prospective employees by exploring things like: remote commuting, flexible work schedules, increased educational benefits (e.g., pay for Master's degree), bonus programs, etc.; all of which could make a difference to those we are trying to recruit.
The Affirmative Action Office's activities have been carried out very formally with tangible performance measurement tools developed by the Department of Energy, Department of Labor, and SLAC's Affirmative Action Office. At a time of diminishing resources, implementing a strategic plan that focuses on specific achievements in specific positions has produced some impressive results (this year included).
This strategic plan has proven to be more effective than a “broad brush” approach using general recruitment strategies aimed at occupational areas based solely on underutilization percentages. While the long term goal of full utilization in areas of highest utilization is the context in which the strategic plan operates, the targeting of limited resources for specific recruitment and placement seems to generate more accountability and better results.
Our objectives and goals in the coming fiscal year will be to:
a. Computer Science Internship
We will set a goal for another intern position within SLAC’s Computer Services (SCS) Department as we have had some success in using this model. This internship could accommodate a minority undergraduate in the field of computer science. This intern position would be jointly supported by the Affirmative Action Office and the SLAC Computer Services (SCS) department. It is expected that a minority undergraduate will be recruited through our minority recruitment program (e.g., GEM or specialized recruitment) and be matched up with a hosting department at SCS. Optimally, a minority undergraduate or graduate level candidate would start as an intern and ultimately secure a permanent placement within SCS.
b. Mechanical or Electronic Engineering
We will continue to utilize the National Consortium in the Graduate Engineering for Minorities (GEM) program (see Section VII.C. for description) as a primary pipeline for minorities in the mechanical and electronic engineering fields. Mechanical and electronic engineering graduates that interned at SLAC will be automatically considered for positions in mechanical and electronic engineering at SLAC.
In addition to trying to match vacant positions with successfully graduated GEM students, we will establish a SLAC-sponsored electronic engineering intern position within one of our technical areas (e.g., SSRL). This fixed-term intern position is to be jointly funded by the Affirmative Action Office and a Technical Department and will run for one year with a possible one-year extension.
c. Management
SLAC will continue to attempt to diversify its middle and senior management staff level by recruiting, hiring or promoting at least one woman or minority at the managerial level during this next fiscal year.
In FY2003, we were successful in placing one woman in an executive management position in the Environmental, Safety and Health Division as an Administrative Services Manager and we have set another goal for placing another woman or minority into a leadership position.
d. Faculty Exchange Program
We have set a goal of bringing another two physics professors from two of the Historically Black Colleges and Universities (HBCU’s) under our faculty exchange program during the summer of 2004. These professors will be working directly with some of SLAC’s faculty to familiarize themselves with some of the collaborative research projects done in the international and national scientific community in physics.
It is the goal of this exchange program to provide our visiting professors with some insight into contemporary research projects at one of the nation’s laboratories so they might impart this knowledge to their students upon their return and to help mentor students, particularly in the physics field.
It is also the goal of this exchange program to provide these visiting professors an opportunity to establish linkages with Stanford professors, who might be willing to take promising doctorate students from some of the HBCU’s in the future and mentor them as well.
Performance Rating for FY 2003
The Performance Rating for FY 2004 has been agreed upon between SLAC and DOE (SueVon Gee and Margo Triassi, respectively) on August 26, 2003 and remains the same as FY 2003. The following is a reiteration of the performance gradient and are the basis upon which SLAC is evaluated in the FY 2003 Self Assessment Review.