Research Policy Analysis and Coordination
Chapter 14: Nondiscrimination/Affirmative Action
Revised October 31, 2014
14-100 Introduction
14-200 University Policies and Guidelines on Nondiscrimination and Affirmative Action
- 14-210 The University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- 14-211 Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities and Special Disabled and Vietnam-Era Veterans
- 14-212 Applicability
- 14-213 Responsibilities of the President, Chancellors, Laboratory Directors, and the Vice President - Agriculture and Natural Resources
- 14-220 University of California Nondiscrimination Policies Regarding Students
- 14-221 Applicability
- 14-222 Responsibilities of the Office of the President, Chancellors, Laboratory Directors, and the Vice President of Agriculture and Natural Resources
14-300 Federal Requirements
- 14-310 Federal Nondiscrimination and Affirmative Action Laws
- 14-320 FAR Affirmative Action/EEO Clauses
14-400 State Regulations
14-500 Implementation Responsibilities of University Offices
- 14-510 Office of the President
- 14-520 Campuses, Laboratories, and Agriculture and Natural Resources
- 14-530 Materiel Management, Business Services, and Contract and Grant Offices
14-600 Restricted Extramural Funds
- 14-610 Guidelines on Applying for Federal Student Support Funds Post-Proposition 209
- 14-620 Requirements in Federal Research Proposals
- 14-630 Restrictions in Privately Funded Programs
14-700 Funds Restricted to U.S. Citizens
14-800 Inclusion of Women and Minorities in Health Research
- 14-810 National Institutes of Health Policy
- 14-820 State Health Research Fairness Act
- 14-830 Implementation
14-900 Collection of Data on Ethnic Origin, Race, and Sex of Personnel Supported by Extramural Sponsors
14-1000 Affirmative Action Audits and Disclosure of Records
14-999 Related University References
Chapter 14-100: Introduction
As a recipient of federal and State funds, the University is required to comply with federal and State laws and regulations which govern affirmative action, nondiscrimination, and equal employment opportunity in hiring and employment, as well as nondiscrimination laws which apply to students and to other participants in University federally-funded programs. Since many of these laws are specifically referenced in federal and State agencies' proposal and award instruments, Contract and Grant Officers must be knowledgeable about which of these requirements are applicable to the University and to subagreements. The purpose of this Chapter is to outline those laws which are applicable to the University and its subawardees through sponsored projects and how the University complies with their requirements.
14-110 SCOPE
The laws which are described in this Chapter are specifically those affirmative action, equal employment opportunity, and nondiscrimination laws and their implementing regulations which are referenced in federal or State proposal or award documents for sponsored projects. In addition, flowdown requirements for affirmative action and nondiscrimination provisions are also discussed. The socioeconomic requirements for purchasing or subcontracting such as those relating to conducting business with women, minority, and disabled veterans' owned businesses are described in Chapter 16, Purchasing, of this Manual and Business and Finance Bulletin BUS-43, Materiel Management. In addition, effective July 25, 1996, the University issued University of California Interim Administrative Guidelines to Ensure Equal Opportunity in University Business Contracting.
Information on access to the University's personnel records is in Manual Chapter 17, Records/Paperwork Access and Management, and Business and Finance Bulletin RMP Series of Records Management.
Chapter 14-200: University Policies and Guidelines on Nondiscrimination and Affirmative Action
Effective July 3, 2013, the University issued a revised the Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment.
Effective May 12, 2000, the University issued revised Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans.
The employment nondiscrimination and affirmative action policies and guidelines are maintained by the Office of the President Human Resources.
University of California Policies Applying to Campus Activities, Organizations, and Students apply to all activities on University properties and student-related matters. These Policies are maintained by the Office of the President, Academic Affairs Division.
14-210 The University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
The University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment states that it is
the policy of the University not to engage in discrimination against or harassment of any person employed or seeking employment with the University of California on the basis of race, color, national origin, religion, sex, gender identity, pregnancy, physical or mental disability, medical condition (cancer-related or genetic characteristics), genetic information (including family medical history), ancestry, marital status, age, sexual orientation, citizenship, or service in the uniformed services (as defined by the Uniformed Services Employment and Reemployment Rights Act of 1994). This policy applies to all employment practices, including recruitment, selection, promotion, transfer, merit increase, salary, training and development, demotion, and separation. This policy is intended to be consistent with the provisions of applicable State and federal laws and University policies.
In addition, it is the policy of the University to undertake affirmative action, consistent with its obligations as a federal contractor, for minorities and women, for persons with disabilities, and for special disabled veterans, Vietnam-era veterans, and any other veterans who served on active duty during a war or in a campaign or expedition for which a campaign badge has been authorized. The University commits itself to apply every good faith effort to achieve prompt and full utilization of minorities and women in all segments of its workforce where underutilization exists. These efforts conform to all current legal and regulatory requirements, and are consistent with University standards of quality and excellence.
The Nondiscrimination and Affirmative Action Policy is found in all University Personnel Policy Manuals, collective bargaining agreements, and in Policies Applying to Campus Activities, Organizations, and Students, Part B. (See 14-999 for a list of these documents.)
14-211 Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities and Special Disabled and Vietnam-Era Veterans
The University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities and Covered Veterans delineate the University's responsibilities as a federal contractor to develop and maintain written affirmative action plans and the application of personnel policies to employment actions for minorities and women, individuals with disabilities, and covered veterans (special disabled veteran, Vietnam-era veteran, and any other veteran who served on active duty during a war or in a campaign or expedition for which a campaign badge has been authorized).
14-212 Applicability
The Policy and Guidelines apply to all University campuses, the Lawrence Berkeley National Laboratory, the Office of the President, and the Division of Agriculture and Natural Resources. They cover all employment practices including recruitment, selection, promotion, transfer, merit increases, salary, training and development, demotion, and separation.
14-213 Responsibilities of the President, Chancellors, Laboratory Directors, and the Vice President - Agriculture and Natural Resources
The President shall approve all campus, Laboratory, Office of the President, and Division of Agriculture and Natural Resources written affirmative action plans prior to their implementation. The Executive Vice President for Business Operations and the Provost and Executive Vice President - Academic Affairs are responsible for the coordination and performance review of the University's equal employment opportunity policy and affirmative action compliance programs. The Guidelines then provide further details on what these responsibilities encompass. They include reviewing all University policies affecting personnel to provide equitable treatment for all employees, consistency with legal requirements for nondiscrimination and equal employment opportunity, and compliance with affirmative action requirements.
Chancellors, the Laboratory Director, the Vice President - Agriculture and Natural Resources (DANR), and the Executive Vice President - Business Operations are responsible for the development and administration for their respective locations of a detailed written affirmative action plan in accordance with the principles set forth in the policy and guidelines.
14-220 University of California Nondiscrimination Policies Regarding Students
University of California Policies Applying to Campus Activities, Organizations, and Students set forth the University's nondiscrimination policies for
all groups operating under the authority of The Regents, including administration, faculty, student governments, University-owned residence halls, and programs sponsored by the University of any campus.
14-221 Applicability
These Policies and their campus implementing regulations apply to all campuses and properties of the University or functions located on University property or administered by the University.
14-222 Responsibilities of the Office of the President, Chancellors, Laboratory Directors, and the Vice President - Agriculture and Natural Resources
The President, in consultation with appropriate Vice Presidents, the Office of General Counsel, the Chancellors, the Laboratory Director, and University-wide advisory committees, amends these Policies when appropriate. Chancellors shall consult with faculty, students, and staff prior to submitting to the President their recommendations related to any proposed amendments. Amendments which are specifically mandated by law may not require consultation.
Chancellors, the Laboratory Director, and the Vice President - DANR adopt implementing campus, Laboratory or Division regulations consistent with these Policies in consultation with faculty, staff, and students, including student governments. Prior to their adoption, the Office of General Counsel reviews all proposed implementing regulations for consistency with these Policies and the law.
Chapter 14-300: Federal Requirements
The majority of laws governing affirmative action and nondiscrimination requirements are federal. Those that relate specifically to sponsored activities are referenced in proposal and award documents. In general, nondiscrimination requirements are found in grants. They bar recipients from excluding members of specified protected groups from participation in federally-supported activities.
Affirmative action requirements are generally found in contracts and apply to the contractor and its employees. They require that the contractor�s affirmative action compliance program assure the right to equal employment opportunities.
14-310 Federal Nondiscrimination and Affirmative Action Laws
The major federal statutes which bar employment and participant discrimination and/or require affirmative action in federal assistance programs are described in the "External Requirements--Federal" section at the end of this ChTitle VI, which applies primarily to student services in federally assisted educational programs and activities, and Title VII, which applies to employment, of the Civil Rights Act of 1964 (P.L. 88-352), prohibit discrimination on the basis of race, color, or national origin; (See 14-F03.)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Sec. 1681-1683, and 1685-1686) which bars sex discrimination in federally assisted education programs or activities; (See 14-F04.)
Section 503 of the Rehabilitation Act of 1973, as amended (29 U.S.C. sec. 793), which requires affirmative action in employment for qualified individuals with disabilities; (See 14-F01.)
Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. sec. 794), which prohibits discrimination in programs and services to qualified individuals with disabilities; (See 14-F01.)
Section 402 of the Vietnam Era Veterans Readjustment Assistance Act of 1974, as amended (38 U.S.C. sec. 2012), which requires affirmative action for qualified special disabled veterans, Vietnam era veterans, and veterans who served on active duty during a war or in a campaign or expedition for which a campaign badge has been authorized; (See 14-F02.) apter. They include:
- The Age Discrimination Act of 1975, as amended (42 U.S.C. sec. 6101-6107), which prohibits discrimination of the basis of age; (See 14-F05.)
- The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (See 14-F06.)
- The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (See 14-F07.)
- Executive Order 11246, as amended, which bars discriminatory employment practices and requires recipients of federal funds to undertake affirmative action in order to assure equal employment opportunities; (See 14-F08.) and,
- The Americans with Disabilities Act of 1990, which provides federal civil rights protection in several areas to individuals with disabilities. (See 14-F09.)
Many of the above statutes are specifically referenced in Standard Form 424B, Assurances -- Non-Construction Programs, or in Department of Health and Human Services and National Science Foundation Grant Manuals.
14-320 FAR Affirmative Action/EEO Clauses
Federal Acquisition Regulation (FAR) Part 22, Application of Labor Laws to Government Acquisitions, prescribes the affirmative action and equal opportunity (EEO) clauses which are included in federal contracts. The clauses are found in FAR Part 52.2, Solicitation Provisions and Contract Clauses. They implement the statutes and Executive Order outlined above in 14-310, which cover equal employment opportunity and affirmative action in employment as well as other laws requiring affirmative action in employment outlined in the "External Requirements--Federal" section at the end of this chapter.
Chapter 14-400: State Regulations
When a State award includes federal funds, the State agency may flow down some of the federal nondiscrimination statutes listed above in 14-310. When the funding is entirely State money, the agreement may include references to federal nondiscrimination requirements as well as a State Nondiscrimination Clause (OCP - 1), which references the Fair Employment and Housing Act. (14-S01.)
Chapter 14-500: Implementation Responsibilities of University Offices
14-510 Office of the President
As described above in section 14-213 and 14-222, under the University Policies and Guidelines on Non-Discrimination and Affirmative Action, the Office of the President is responsible for reviewing and approving the annual affirmative action plans prepared by the campuses, Laboratories, and DANR, as well as the Office of the President annual affirmative action plan which it must also prepare. The Office of the President is also responsible for informing campuses and Laboratories of actions they need to take to be in compliance with federal and State equal employment opportunity laws and regulations.
The Office of the President also amends the University's nondiscrimination Policies when appropriate or mandated by law, and reviews campus and Laboratory implementing regulations for consistency with these Policies and the law.
14-520 Campuses, Laboratories, and Agriculture and Natural Resources
The campus, Laboratory, and DANR Affirmative Action Offices are responsible for preparing staff and academic affirmative action plans. Staff affirmative action plans are approved by the Office of the President, Human Resources and Benefits, and by the Office of the General Counsel. Academic affirmative action plans are approved by the Office of the President, Academic Advancement, and the Office of the General Counsel. For the purpose of signing certifications, campus Contract and Grant Officers may rely on the Office of the President's approval of campus plans. However, each individual campus and Laboratory is responsible for handling any compliance review by the Office of Federal Contract Compliance Programs. While the Office of the President is responsible for informing campuses and Laboratories of actions they need to take to be in compliance with federal and State equal employment opportunity regulations and requirements, campuses and Laboratories are individually responsible for implementing appropriate actions.
Chancellors, Laboratory Directors, and the Vice-President - Division of Agriculture and Natural Resources are responsible for adopting implementing regulations consistent with the University of California Policies Applying to Campus Activities, Organizations, and Students. They are responsible for publishing and making these implementing regulations widely available, free of charge.
14-530 Materiel Management, Business Services, and Contract and Grant Offices
Campus, Laboratory, Division of Agriculture and Natural Resources, and Office of the President offices responsible for purchasing, subcontracting, or other types of subawards or awards of University funds are responsible for including the mandatory provisions required by applicable federal and State statutes and regulations in such awards, subawards, or purchases. These offices include Contract and Grant, Purchasing, Materiel Management and Business Services Offices.
Federal or State statutes and regulations which state that they apply to subcontractors are included in the flowdown requirements in subcontracts. (See chapter 16-312 of this Manual.)
When an award is made by a University-sponsored program to an external organization, a University-approved nondiscrimination clause in accordance with the University's own nondiscrimination policy as well as the subrecipient's equal employment opportunity responsibilities should be included in the award document.
Chapter 14-600: Restricted Extramural Funds
14-610 Guidelines on Applying for Federal Student Support Funds Post-Proposition 209
The University is subject to Proposition 209, the California Civil Rights Initiative, an amendment to the California Constitution which provides that the State shall not discriminate against, or grant preferential treatment to any individual or group on the basis of race, sex, color, ethnicity, or national origin in the operation of public education. However, this constitutional amendment does not prohibit any action which must be taken to establish or maintain eligibility for any federal program, where ineligibility would result in a loss of federal funds to the State. University of California Guidelines on Applying for Federal Student Support Funds Post-Proposition 209, April 19, 1999, discuss the application of this California Constitutional provision to University entities applying for federal extramural funding which is restricted for use based on race, sex, color, ethnicity, or national origin.
14-620 Requirements in Federal Research Proposals
The Provost and Senior Vice President - Academic Affairs provided guidance to Chancellors regarding the implementation of Proposition 209 with the regard to the faculty's ability to compete for federal research funds in a letter dated September 29, 1997. This letter reiterates that Proposition 209 does not supersede federal requirements. Thus, when federal agencies have merit evaluation requirements aimed at promoting ethnic and/or gender diversity among the recipients of federal research awards, the University can apply to that program with the targeting specified. This letter continues with an explanation and examples of when University Principal Investigators "may make affirmative efforts to recruit members of underrepresented groups to the research team for the proposed project" in order to meet criteria for diversity:
- as defined by the federal agency in the agency's published merit review criteria; and
- in the Principal Investigator's informed judgment, such recruitment efforts and their description in the research proposal are necessary to compete effectively for the funding.
14-630 Restrictions in Privately Funded Programs
The University is subject to the Proposition 209 amendment to the California Constitution with regard to funding from private sponsors. When a private sponsor's solicitation states that the funding is restricted on the basis of race, sex, color, ethnicity or national origin, the campus should review the above-cited guidelines and consult with the Office of General Counsel regarding acceptable program eligibility criteria.
Chapter 14-700: Funds Restricted to U.S. Citizens
The Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment states that the University does not discriminate on the basis of citizenship.
Except in cases where discrimination on the basis of citizenship is specifically mandated by law (e.g. select agents) and/or allowed by University policy, the acceptance of provisions in sponsored projects which require discrimination in employment, including discrimination based on citizenship is prohibited.
The Council of Chancellors adopted the following position at their June 29, 1988 meeting:
"It will continue to be University policy that discrimination in employment based on citizenship is unacceptable. Only in selected cases where there are compelling circumstances in support of legitimate public interests bearing on individual job requirements is an exception acceptable. The Chancellor may recommend such an exception to the President for his approval."
Notwithstanding the above statement in support of nondiscrimination, the University also recognizes that there is a compelling public interest in the development of a U.S. workforce. Thus, consistent with the Council's statement and current University practice, restriction of fellowship and training support for graduate and undergraduate students and early career researchers to U.S. citizens is acceptable.
Chapter 14-800: Inclusion of Women and Minorities in Health Research
Both federal agencies and the State have adopted policies or passed laws which require the inclusion of women and minorities in health research projects. The National Institutes of Health has a published policy on this subject. The State has passed legislation directed at the University in this area.
14-810 National Institutes of Health Policy
The National Institutes of Health (NIH) has implemented a policy entitled "NIH/ADAMHA Policy Concerning Inclusion of Minorities and Women as Subjects in Research." The policy states that research involving human subjects must include minorities and both genders in study populations so that:
research findings can be of benefit to all persons at risk of the disease, disorder or condition under study; special emphasis should be placed on the need for inclusion of minorities and women in studies of diseases, disorders and conditions which disproportionately affect them...
NIH will not fund grants that do not comply with this policy.
14-820 State Health Research Fairness Act
The California State Health Research Fairness Act requested The Regents to adopt a policy on the appropriate inclusion of women and members of minority groups as subjects in health research projects carried out by or funded by the University and to report to the State Legislature the policies and procedures adopted by the University to meet this request. (See 14-S02.)
14-830 Implementation
The University of California Policy on Gender and Ethnicity Representation in Health Research was issued on June 3, 1993. The policy essentially extends the NIH/ADAMHA policy to all applicable research conducted at the University as well as to research sponsored or administered by the University and conducted at other institutions. (See chapter 18 in this Manual for further discussion on human subjects in research.)
Chapter 14-900: Collection of Data on Ethnic Origin, Race, and Sex of Personnel Supported by Extramural Sponsors
When sponsors request voluntary submission from Principal Investigators or Project Directors of data on the race/ethnic origins and sex of personnel listed in a proposal, the information requested should be clearly separate from the proposal review process so that the information requested should not affect the award decision-making process. The information requested should be for statistical reporting purposes only.
Chapter 14-1000: Affirmative Action Audits and Disclosure of Records
The Office of Federal Contract Compliance periodically audits campus compliance with applicable federal affirmative action and nondiscrimination laws and regulations. Such audits should be coordinated through the campus external audit coordinator responsible for federal audits and the campus affirmative action/equal employment opportunity office. Access to University records in general is covered in chapter 17 of this Manual.
Chapter 14-999: Related University References
- University of California Academic Personnel Manual
- "Acceptance of Funds Restricted to U.S. Citizens", Council of Chancellors, June 29, 1988.
- Guidelines for Facilities Compliance with the Americans with Disabilities Act (ADA)
- Letter dated September 29, 1997 from C. Judson King, Provost and Senior Vice President - Academic Affairs, regarding the application of Proposition 209 to federal research proposals.
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- Nondiscrimination and Affirmative Action Policy Statement for University of California Publications Regarding Employment Practices
- Policy on Nondiscrimination on Basis of Sexual Orientation
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities and Covered Veterans
- University of California Policies Applying to Campus Activities, Organizations, and Students
- University of California Policy on Gender and Ethnicity Representation in Health Research
- University of California Financial Aid Guidelines for Compliance with Proposition 209
External Requirements - Federal
14-F01 Rehabilitation Act of 1973, 29 USC 791 et seq.
Purpose
Two sections of this Act address affirmative action and nondiscrimination on the basis of disability. Section 503 requires government contractors and subcontractors to take affirmative action to employ and advance in employment qualified individuals with disabilities. Section 504 is designed to eliminate discrimination on the basis of disability in any program or activity receiving federal financial assistance.
Applicability
The regulations implementing Section 503 apply to all government contractors and subcontractors for the furnishing of supplies or services or for the use of real or personal property (including construction) valued at $10,000 or more. Section 504 applies to each recipient of federal financial assistance and to each program or activity that receives or benefits from such assistance.
Summary of Provisions
Under Section 503, contractors are prohibited from discriminating against any employee or applicant for employment because of physical or mental disability in regard to any position for which the employee or applicant for employment is qualified. Contractors are also required to take affirmative action to employ and advance qualified individual(s) with a disability. Contractors must have an affirmative action policy, program, practices, and procedures.
Under Section 504, no qualified individual(s) with a disability shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity which received or benefits from federal financial assistance. Recipients of federal funds are also required to make reasonable accommodation to the known physical or mental limitations of a qualified applicant or employee. Recipients cannot deny benefits or participation in any program or activity to qualified disabled individual(s) with a disability because their facilities are inaccessible.
Lead Agency
Office of Federal Contract Compliance Programs for Section 503 and individual federal agency's Office for Civil Rights or Equal Employment Opportunity Office for Section 504.
Implementing Regulations
- 34 CFR Part 104
- 41 CFR Part 60-741 and 45 CFR Parts 84, 85, and 605
- Federal Acquisition Regulation (FAR) clause 52.222-36
Primary University Responsibility
Designated Americans with Disabilities Act (ADA) and 504 Coordinators in the Office of the President, DANR, campuses, and Laboratories.
University Implementation
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans, May 12, 2000
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Policies Applying to Campus Activities, Organizations, and Students, August 15, 1994
- Guidelines for Facilities Compliance with the Americans with Disabilities Act (ADA)
- Implementation of Employment Provisions of the Americans With Disabilities Act of 1990, July 7, 1992. Office of the President, Employee and Labor Relations.
14-F02 Vietnam Era Veterans Readjustment Assistance Act of 1974, as amended, 38 USC, Ch. 42, 2011 et seq.
Purpose
Section 2012 of this Act requires government contractors and subcontractors to take affirmative action to employ and advance in employment qualified special disabled veterans and veterans of the Vietnam era, and any other veteran who served on active duty during a war or in a campaign or expedition for which a campaign badge has been authorized.
Applicability
This part applies to all government contracts and subcontracts for the furnishing of supplies or services or for the use of real or personal property (including construction) for $10,000 or more.
Summary of Provisions
Contractors are prohibited from discriminating against any employee or applicant for employment because he or she is a special disabled veteran or veteran of the Vietnam era or other covered veteran as defined above for any position for which the applicant or employee is qualified. Contractors agree to take affirmative action to employ, advance in employment, and otherwise treat qualified special disabled veterans, veterans of the Vietnam era, and other covered veterans as defined above without discrimination based upon their disability or veterans status in all employment practices.
The Act further requires contractors holding a government contract of $50,000 or more and having 50 or more employees to have an affirmative action program which implements policies, practices, and procedures outlined in the Act. Contractors must make reasonable accommodation to the physical and mental limitations of a special disabled veteran.
Lead Agency
Office of Federal Contract Compliance Programs
Implementing Regulations
- 41 CFR 60-250
- FAR clauses 52.222-36 and 52.222-37
Primary University Responsibility
Affirmative Action, Equal Employment Opportunity, and Human Resources Offices of the Office of the President, Division of Agriculture and Natural Resources, campuses, and Laboratories.
University Implementation
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans, May 12, 2000
14-F03 Civil Rights Act of 1964, as amended by the Civil Rights Act of 1991; 42 USC 2000d et seq.
Purpose
Title VI of this Act states that no person in the United States shall be denied the benefits of, excluded from participation in, or be otherwise subjected to discrimination, on the basis of race, color, or national origin under any program or activity receiving federal financial assistance. Title VII prohibits discrimination in employment on the basis of race, color, religion, sex, pregnancy, or national origin.
Applicability
Title VI applies to any program for which federal financial assistance is authorized to be extended to a recipient. Title VII applies to all employers, labor organizations, and employment agencies.
Summary of Provisions
The Act prohibits discrimination in employment and in participation in federally-funded assistance programs. The Act provides for implementation of its requirements, compliance, monitoring, and reporting activities, complaint and investigation procedures, and remedy.
Lead Agency
- U.S. Department of Education Office of Civil Rights - Title VI.
- Equal Employment Opportunity Commission and designated officials in individual federal agencies which have assistance programs - Title VII.
Implementing Regulations
- 29 CFR 1604 and 45 CFR Parts 80 and 611
- 34 CFR Part 100 - Title VI
Primary University Responsibility
Affirmative Action, Equal Employment Opportunity, Human Resources, and Student Affairs and Services Offices of the Office of the President, Division of Agriculture and Natural Resources, campuses, and Laboratories.
University Implementation
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans, May 12, 2000
- University of California Policies Applying to Campus Activities, Organizations, and Students, August 15, 1994
14-F04 Title IX of the Education Amendments of 1972, 20 USC Ch. 38, 1681 et seq.
Purpose
Title IX provides that no person in the United States shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination on the basis of sex under any educational program or activity receiving federal financial assistance.
Applicability
Any education program or activity receiving federal financial assistance, whether or not such program or activity is offered or sponsored by an educational institution.
Summary of Provisions
Title IX prohibits discrimination on the basis of sex in: admissions and recruitment; education programs and activities including housing, financial aid, health insurance and benefits, athletics, curricular material, and employment assistance; and employment in education programs and activities. Title IX provides for remedial and affirmative actions, and defines what types of programs, activities, and institutions are covered and which are exempt.
Lead Agency
Department of Education Office for Civil Rights
Implementing Regulation
- 34 CFR Part 106
- 45 CFR Part 86
Primary University Responsibility
Office of the President Student Academic Services and Academic Advancement Offices and designated campus Title IX Compliance Coordinators and Student Affairs and Services Offices.
University Implementation
- University of California Policies Applying to Campus Activities, Organizations, and Students, August 15, 1994
14-F05 Age Discrimination Act of 1975, 42 USC 6101 et seq.
Purpose
This Act prohibits discrimination on the basis of age in any program or activity receiving federal financial assistance.
Applicability
It applies to every federal agency which provides federal financial assistance to any program or activity including programs or activities receiving funds under the State and Local Fiscal Assistance Act of 1972. Requirements are also applicable to subgrantees and contractors under grants.
Summary of Provisions
The Age Discrimination Act of 1975 prohibits the exclusion from participation, the denial of benefits, or discrimination on the basis of age in any program or activity receiving federal financial assistance. It sets forth standards for determining discriminatory practices, exceptions to the rules against age discrimination, and the responsibilities of federal agencies.
Lead Agency
Department of Education
Department of Health and Human Services
Implementing Regulation
- 34 CFR Part 110
- 45 CFR Parts 90, 91, and 617 and other individual federal agency implementations.
Primary University Responsibility
Office of the President Student Academic Services and Academic Advancement Offices and designated campus Age Discrimination Act Compliance Coordinators and Student Affairs and Services Offices.
University Implementation
- University of California Policies Applying to Campus Activities, Organizations, and Students, August 15, 1994
14-F06 Drug Abuse Office and Treatment Act of 1972, 21 USC 1174
Purpose
The Act prohibits discrimination on the basis of drug abuse.
Applicability
General hospitals or outpatient facilities which receive support in any form from any federally funded program. Applies to both subgrantees and contractors under grants.
Summary of Provisions
The Act provides that drug abusers who are suffering from medical conditions shall not be discriminated against in admission or treatment because of their drug abuse or drug dependence, by a private or public general hospital or outpatient facility that receives or benefits from federal financial assistance.
Lead Agency
Department of Health and Human Services
Implementing Regulations
- 45 CFR Part 84
Primary University Responsibility
Medical Center Directors
University Implementation
Medical Center Policy
14-F07 Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and Rehabilitation Act of 1970, 42 USC 4581
Purpose
Patients may not be discriminated against based on alcohol abuse.
Applicability
General hospitals or outpatient facilities which receive or benefit from federal financial assistance including subgrantees or contractors under grants.
Summary of Provisions
Alcohol abusers and alcoholics who are suffering from medical conditions shall not be discriminated against in admission or treatment, because of the person's alcohol abuse or alcoholism, by any private or public general hospital that receives support in any form from any federally funded program. This prohibition applies to all outpatient facilities receiving or benefiting from federal financial assistance.
Lead Agency
Department of Health and Human Services
Implementing Regulations
- 45 CFR Part 84
Primary University Responsibility
Medical Center Directors
University Implementation
Medical Center Policy
14-F08 Executive Order No. 11246 -- Equal Employment Opportunity, as amended by Executive Order 11375
Purpose
This Executive Order prohibits discrimination in employment on the basis of race, color, religion, sex, and national origin.
Applicability
Federal government contractors and subcontractors or contractors and subcontractors performing under federally-assisted construction contracts.
Summary of Provisions
E.O. 11246 prohibits federal contractors and subcontractors from discriminating against employees or applicants for employment on the basis of race, sex, color, religion, or national origin in hiring, upgrading, salaries, employee benefits, training, and other conditions of employment, and requires contractors to implement affirmative action plans to increase minority and female participation in the workplace. It sets forth the equal opportunity clause to be included in such contracts. Reporting requirements and other required information, compliance review and complaint procedures, and the development and maintenance of affirmative action plans are described. E.O. 11246 superseded E.O. 10925 and E.O. 11114 which are referenced in FAR clause 52.222-22.
Lead Agency
Office of Federal Contract Compliance Programs (OFCCP), Department of Labor
Implementing Regulations
- 41 CFR Part 60 and FAR clauses 52.222-25 and 52.222-26
Primary University Responsibility
Affirmative Action, Equal Employment Opportunity, and Human Resources Offices of the Office of the President, Division of Agriculture and Natural Resources, campuses, and Laboratories.
University Implementation
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities and Covered Veterans, May 12, 2000
14-F09 Americans with Disabilities Act of 1990, as amended by the Civil Rights Act of 1991; 42 USC 12101
Purpose
The Americans with Disabilities Act of 1990 (ADA) provides federal civil rights protection in several areas to individuals with disabilities. It prohibits discrimination against qualified individuals with disabilities in the areas of employment, public programs and services, public accommodations, transportation, and telecommunications.
Applicability
The ADA applies to private employers with fifteen or more employees, the Congress, state and local governments, and public transportation. It applies to the University as an entity of the State.
Summary of Provisions
Title I of the ADA, Employment, prohibits employers with 15 or more employees from discriminating against qualified job applicants and employees who are disabled. Title II, Public Services and Transportation, prohibits state and local governments and public transportation agencies from discriminating against disabled persons in their programs and activities, whether or not they receive federal funds.
Lead Agency
- Equal Employment Opportunity Commission for Title I
- Department of Education, Office of Civil Rights, for Title II for education programs and activities
- Department of Justice for Title II, Public Services
- Department of Transportation for Title II, Transportation.
Implementing Regulations
- 36 CFR Part 1191 - Accessibility Guidelines for Buildings and Facilities
- 28 CFR Part 35 - Nondiscrimination on the Basis of Disability in State and Local Government Services
- 29 CFR Part 1630 - Equal Employment Opportunity for Individuals With Disabilities
- 29 CFR Part 1602 - Recordkeeping and Reporting Under Title VII of the ADA.
Primary University Responsibility
Office of the President, campus, and Laboratory Facilities Management and Human Resources Offices and designated ADA Compliance Coordinators.
University Implementation
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans, May 12, 2000
- University of California Policies Applying to Campus Activities, Organizations, and Students, August 15, 1994
- Guidelines for Facilities Compliance with the Americans with Disabilities Act (ADA),May 8, 1992
- Implementation of Employment Provisions of the Americans With Disabilities Act of 1990, July 7, 1992. Office of the President, Employee and Labor Relations.
External Requirements - State
14-S01 California Fair Employment and Housing Act
Purpose
This part of the Government Code implements the California Fair Employment and Housing Act, which established the State Department of Fair Employment and Housing and the Fair Employment and Housing Commission. It prohibits discrimination in employment on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition (cancer-related or genetic characteristics), marital status, sex, sexual orientation, or age.
Applicability
Unlawful employment practice rules apply to any employer who regularly employs five or more persons, or any person acting as an agent of an employer, directly or indirectly; the State or any political or civil subdivision thereof and cities. Nondiscrimination and compliance program rules apply to contractors and subcontractors with the State.
Summary of Provisions
Part 2.8 sets forth the management structure, commission membership, powers, and responsibilities and duties of the Department of Fair Employment and Housing. It defines unlawful practices, including definitions of terms used. It prohibits discrimination in employment based on race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition (cancer-related or genetic characteristics), marital status, sex, sexual orientation, or age. The term "medical condition" as used in the University Nondiscrimination Statement is defined in Section 12926 to include: "(1) genetic characteristics, or (2) any health impairment related to or associated with a diagnosis of cancer, for which a person has been rehabilitated or cured, based on competent medical evidence." Section 12990 outlines nondiscrimination and compliance program requirements for State contractors and subcontractors. Enforcement and hearing procedures are also provided.
Lead Agency
California Department of Fair Employment and Housing
Implementing Regulation
California Government Code Section 12900 et seq.
Primary University Responsibility
Affirmative Action, Equal Employment Opportunity, and Human Resources Offices of the Office of the President, Division of Agriculture and Natural Resources, campuses, and Laboratories.
University Implementation
- University of California Nondiscrimination and Affirmative Action Policy Regarding Academic and Staff Employment
- University of California Guidelines for Academic and Staff Affirmative Action Compliance Programs for Minorities and Women, Individuals with Disabilities, and Covered Veterans, May 12, 2000
14-S02 Health Research Fairness Act
Purpose
The legislation mandates that State agencies adopt policies that require women and members of minority groups be appropriately included as subjects of health research projects. The University is requested to also adopt such policies.
Applicability
Health research projects funded or carried out by State agencies and the University of California.
Summary of Provisions
The Act instructs State agencies and requests that the University adopt policies based on the NIH/ADAMHA Policy Concerning Inclusion of Minorities and Women as Subjects in Research. It requests reports on the extent to which research funds administered by these organizations are used to support research on diseases, disorders, or other health conditions that are more prevalent in women and minorities.
Lead Agency
State Legislature
Implementing Regulation
California Health and Safety Code Division 1, Part 1.6
Primary University Responsibility
Office of the President, Division of Health Affairs
University Implementation
Chapter 14-600: Restricted Extramural Funds
14-610 Guidelines on Applying for Federal Student Support Funds Post-Proposition 209
The University is subject to Proposition 209, the California Civil Rights Initiative, an amendment to the California Constitution which provides that the State shall not discriminate against, or grant preferential treatment to any individual or group on the basis of race, sex, color, ethnicity, or national origin in the operation of public education. However, this constitutional amendment does not prohibit any action which must be taken to establish or maintain eligibility for any federal program, where ineligibility would result in a loss of federal funds to the State. University of California Guidelines on Applying for Federal Student Support Funds Post-Proposition 209, April 19, 1999, discuss the application of this California Constitutional provision to University entities applying for federal extramural funding which is restricted for use based on race, sex, color, ethnicity, or national origin.
14-620 Requirements in Federal Research Proposals
The Provost and Senior Vice President - Academic Affairs provided guidance to Chancellors regarding the implementation of Proposition 209 with the regard to the faculty's ability to compete for federal research funds in a letter dated September 29, 1997. This letter reiterates that Proposition 209 does not supersede federal requirements. Thus, when federal agencies have merit evaluation requirements aimed at promoting ethnic and/or gender diversity among the recipients of federal research awards, the University can apply to that program with the targeting specified. This letter continues with an explanation and examples of when University Principal Investigators "may make affirmative efforts to recruit members of underrepresented groups to the research team for the proposed project" in order to meet criteria for diversity:
- as defined by the federal agency in the agency's published merit review criteria; and
- in the Principal Investigator's informed judgment, such recruitment efforts and their description in the research proposal are necessary to compete effectively for the funding.
14-630 Restrictions in Privately Funded Programs
The University is subject to the Proposition 209 amendment to the California Constitution with regard to funding from private sponsors. When a private sponsor's solicitation states that the funding is restricted on the basis of race, sex, color, ethnicity or national origin, the campus should review the above-cited guidelines and consult with the Office of General Counsel regarding acceptable program eligibility criteria.
Navigating the Manual
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Chapters
2: Proposal Submission and Award Acceptance/Administration
3: Environmental Health and Safety
10: Internal University Administration
11: Intellectual Property and Related Matters
13: Legal Authorities and Principles
14: Nondiscrimination/Affirmative Action
17: Records/Paperwork Access and Management
18: Protection of Research Subjects
20: Performance of Classified Research