POSTSECO0NDARYEDCTO

A.61 Manualfor Budgeting

and Accounting

for Manpower Resources inPostsecondary Education

IEDUCATION

11io alr I

IIcs

NCES 77-343

A Manual for Budgeting and Accountingfor Manpower Resources

Postsecondary Education

Dennis P. JonesNational Center for Higher Education Management Systems

Boulder, Colorado

Theodore H. DrewsNational Center for Education Statistics

Washington, D.C.

in

NATIONAL CENTER FOR EDUCATION STATISTICS

"The purpose of the Center shall be to collect and disseminate statistics

and other data related to education in the United States and in other nations.The Center shall. . . collect, collate, and, from time to time, report full

and complete statistics on the conditions of education in the United States;

conduct and publish reports on specialized analyses of the meaning and signi-ficance of such statistics;. . . and review and report on education activitiesin foreign countries."--Section 406(b) of the General Education Provisions Act,as amended (20 U.S.C. 122le-1).

U.S. GOVERNMENT PRINTING OFFICEWASHINGTON: 1977

For sale by the Superintendent of Documrents, U.S. Government Printing OfficeWashington, D.C. 20402 - Price $1.35

Stock N~o. 017-080-01688-5

iii

ForewordThis document is the product of a 6-year joint effort by the National Center for EducationStatistics (NCES) and the National Center for Higher Education Management Systems(NCHEMS) at WICHE. An NCES-funded contractual arrangement guided the first 2 years;thereafter, both organizations collaborated on an informal basis. This is the sixth version of amanual originally published by both NCHEMS and NCES as A Manual for Manpower Account-ing in Higher Education with NCHEMS designating it as Technical Study No. 39, and NCESappending a sub-title of "Preliminary Edition". The "Acknowledgements" in that PreliminaryEdition, by its author and NCHEMS project direct, Dr. W. John Minter, is included in thispublication as appendix 0. It describes the procedures under which the Preliminary Edition iswritten and gives credit to contributors. Their contributions are a significant influence in thisrestru ctu red Manual.

The first use of the original Manual (in the Higher Education General Information Survey in1972-73) identified a number of problems and prompted further review of the document. Acommittee assembled by the American Council on Education, with representation from theNational Association of College and University Business Offices, after reviewing the Manual andits intended use, prepared a report, which, together with comments received from other repre-sentatives of the higher education community and experience gained through implementationactivities of NCHEMS, formed the basis for many of the major changes in this Manual.

Assembling all the comments, Dennis Jones of NCH EMS and Theodore Drews of NCES colla-borated in rewriting of the Manual, which version received still another field review. While mostappreciative of the comments and efforts by persons and agencies outside NCES and NCHEMS,we must stress that this Manual is the product and responsibility of the 2 organizations, with theauthors assuming responsibility for accuracy and presentation.

In the interest of economy, and awareness that even the slightest changes in wording might raisequestions of intended meaning, NCES has utilized the NCH EMS-edited and photo-offset copyfor the main body of the Manual, NCES assumes no responsibility for stylistic, syntactical, orgrammatical aspects of this work.

This version of the Manual is also currently in distribution as NCHEMS Technical ReportNo. 84. As with other such publications, NCES and NCHEMS will continue to welcome com-ment on the Manual's content and utilization. In view of current rapid development and changein postsecondary education data systems, it is expected that the process of revision and im-provement will continue uninterrupted. ~ ~

Marie D. EldridgeAdministrator

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ContentsIntroduction 1

A. Manpower as a ResourceB. The Importance of Managing the Manpower ResourceC. Information About Manpower ResourcesD. Organization of the Manual

An Overview of Manpower Resource Information 5A. Describing the Pool of Available Manpower ResourcesB. Describing the Allocation and Utilization of Manpower ResourcesC. Describing Activities Performed by Manpower ResourcesD. General Considerations

Describing Available Manpower Resources 11A. Categories of Manpower ResourcesB. Additional Important Descriptors of Manpower ResourcesC. Measuring the Amount of Manpower ResourcesD. Summarizing Manpower Resource Information

Describing the Allocation and Utilization of Manpower 23A. Describing the Allocation of Manpower ResourcesB. Describing the Utilization of Manpower ResourcesC. Summary Information About Resource Utilization

Managing the Manpower Resource-Describing Assignments and Activities 35

Appendices 43A. Institutional Manpower Resource Subclassifications and Detailed DefinitionsB. Compensation Survey TitlesC. NCHEMS Program Classification StructureD. ,Acknowledgments

Glossary 63

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FormatsFormat 1. Summary of Available Manpower Resources by Category of Resource 20

Format 2. Distribution of Instruction/Research Professional Resources 20by Academic Discipline

Format 3. Distribution of Instruction/Research Professionals by Rank,Highest Degree Earned, and Tenure Status 21

Format 4. Distribution of Manpower Resources by Race/Ethnic Identificationand Sex Category 21

Format 5. Planned Allocation of Manpower Resources to Programs 24

Format 6. Summary of Manpower Resource Utilization by Institutional Program 33

Format 7. Utilization of instruction/Research Professional Resources byDiscipline and Function (Program) 34

Format 8. Individual Assignment Record 38

Format 9. Individual Assignment Record 38

Format 10. Summary of Instruction/Research Professional Assignments 39

Format 1 1. Summary of __________Assignments 39

Format 12. In dividual Assignment Record 40

Format 13. individual Assignment Record 40

Format 14. Manpower Resource Allocations FY__ 41

TablesTable 1. Service-Months of Each Type of Manpower Resource Available 25

Table 2. Allocation of Manpower Resources to Programs 29

Table 3. Summary: Allocations of Manpower Resources to Programs 29

Table 4. Utilization of Manpower Resources by Programs 32

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1IntroductionA. Manpower as a ResourceManpower-the combined skills, capabilities, andsensibilities of individual human beings-repre-sents a resource that is fundamental to the opera-tions of all organizations. To be sure, manpowerresources are in many ways different from financialresources and from physical resources such asbuildings and pieces of equipment. Human beingspossess many unique and special qualities that haveno counterparts in other types of resources. Manyof these special qualities are difficult, if not impos-sible, to measure or even to describe in any satis-factory way. Because of these unique qualities ofmanpower resources, their value to an organizationmay be difficult to express in conventional eco-nomic terms or to quantify otherwise. Thesestriking differences do not, however, negate thelegitimacy of considering manpower a form ofresource. Neither should they obscure some basicsimilarities between manpower and other types ofresources, nor should they serve as an excuse toavoid all attempts at developing some quantitativemeasures of the manpower resource. (The basicsimilarities are being recognized most explicitly byeconomists in considering labor-manpower-asone of the basic factors of production.)

To institutions of postsecondary education,manpower represents an especially important typeof resource-especially important in several ways.Manpower resources are important because insti-tutions of postsecondary education typicallydepend more heavily on them than on other typesof resources for accomplishing their purposes. Thefulfillment of the responsibilities assigned to theseinstitutions by our society (the creation anddissemination of knowledge) is dependent oninstructional and research processes that, by theirvery nature, utilize large amounts of humanresources. The extent of the dependence of post-secondary education's productive processes onmanpower resources is dramatized by data indi-cating that, at the average institution, almost 75percent of the expenditures are for wages, salaries,

and associated fringe benefits. In short, the pre-ponderance of expenditures at the typical insti-tution are directed toward the acquisition of thenecessary manpower resources. Admittedly thissituation is not universally true. It is possible tosubstitute one resource for another (such as theclassic example of the substitution of capital-equipment-for labor or manpower) and therebydevote relatively less or more to the acquisition ofpersonnel resources. While such substitutions canbe made, they generally are not made in education.With few exceptions postsecondary educationremains a labor-intensive (or manpower-intensive)industry.

The importance of manpower resources toinstitutions of postsecondary education, however,is recognized as extending well beyond a signifi-cance expressed in financial terms. The academicprocesses of these institutions cannot be carriedon with just any manpower resources. The man-power resources required are, for the large part,individuals with very special kinds of skills,interests, and attitudes. Without individuals whoare both intellectually qualified and tempera-mentally disposed toward teaching, the instruc-tional process ceases to function effectively. With-out individuals who are both intellectually quali-fied and personally interested in scholarly pursuits,there is no research. While there are differingopinions concerning the quantity of manpowerresources required for the satisfactory (or optimal)conduct of these processes, there is much lessdisagreement on the point that manpowerresources with certain special characteristics arerequired. Substitution of other types of manpowerresources, regardless of the financial cost orsavings, will not result in an acceptable result. Itis this fact, not the preponderance of financialresources devoted to the acquisition of manpowerresources, that makes these resources of criticalimportance to institutions of postsecondaryeducation.

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B. The' Importance of Managing theManpower Resource

In any organization or industry in which a singletype df resource or "factor of production"accounts for 75 percent of the annual expendi-tures,.. prudent management requires that particu-lar. a'ttention be devo-ced to the acquisition andutilization of that resource. It is almost axiomaticin postsecondary education that the key to finan-cial ~control is the control of expenditures on man-power resources. To be sure, the cost incurred inacquiring man~power resources by itself couldjustify an emphasis on managing the manpowerresources in an institution of postsecondary e'duca-tion. In the final analysis, however, the require-menit. for management of manpower resources ineducational enterprise's is determined by manyadditional factors also.

* Primary among these factors is the dependenceon. manpower resources for achieving the program-matic objectives of the institution. As noted above,people are the main avenues through which theacademic objectives of an institution are accom-plished. As a result, there is a. direct and strongrelationship between the managerial decisionregarding the allocation of manpower resourcesand the achievement of academic objectives. Thus,the allocation of manpower resources to specificprogramns or activities is a crucial managerialdecision; it is also a difficult managerial decision.Most employees of an institution are qualified, ingreater or lesser degrees, to undertake a variety ofactivities. Most faculty members can teach inter-mediate or advanced courses in addition to themore elementary courses. Similarly, most facultymembers who are heavily engaged in researchactivities are also capable of, and interested in,doing some teaching. In many colleges, individualswhose primary responsibilities are administrativealso teach as a result of either institutional policyor preference.

Just because individuals can undertake avariety of activities, however, does not mean thatthey either want to or are equally adept at the fullrange of activities. Some ind ividuals are betterteachers than researchers; others are better admin-istrators than teachers. In order to maximize theeffectiveness of an institution, or a program within

an institution, the manager must attempt to allo-cate manpower resources so that individuals willbe assigned to those activities they are best .able toperform. Program or institutional managers, how-.ever, are not unconstrained in their decision con-cerning allocation of manpower resources. Asindividuals, as human beings, the people whocollectively constitute an institution's manpowerresources have preferences as to the activities theywant to perform. Some prefer to teach; others toinvolve themselves in research activities. Unfor-tunately, capabilities and preferences do notinvariably coincide. In overriding preferences inthe pursuit of institutional efficiency or effec-tiveness, the manager also incurs some costs. Insummary, the managerial decision concerningallocation of manpower resources not only affectsthe extent to which programmatic objectives arereached and the resulting quantity and quality ofprogrammatic outcomes but it also affects peoplein a very personal way. It is crucial that the man-power resources be managed well-and withsensitivity.

C. Information About Manpower ResourcesThe fundamental importance of manpowerresources to the conduct of the activities of apostsecondary education institution creates anunavoidable need for information about thoseresources. Within the institution, data are neededto employ an individual, generate a paycheck,publish. a telephone directory, assign teachers toclasses, and for innumerable other purposes. Usersexternal to the institution also have needs for man-power ~esou rce data-to support accreditationreviews, to calculate the amount of resources to beappropriated, to operate peniion programs, and toserve many other purposes. In short, a multitude ofusers, both internal and external to institutions,have understandable needs for a wide variety ofdata about employees and the manpower resourcesof postsecondary education institutions.. Becausethe specific requirements for such information arepotentially so numerous, varied, and discrete, it isoften difficult to see the forest instead of the.trees-to maintain perspective about personnel dataand to approach the problems associated therewithin a consistent fashion.

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In this regard, a recognition of the basicdistinction between what might be termed per-sonnel data and manpower resource data is crucial.On one hand, institutions necessarily maintain anarray of information about specific individuals,their characteristics, their performance, and, theircontributions to their profession and the insti-tution. For example, institutions typically main-tain such data as name, address, social securitynumber, title and rank, employment and educa-tional histaries, records of periodic evaluation andpromotions, salary and benefit data, listings ofpublications, sex, age, race, marital status, citizen-ship, and other items that pertain personally andindividually to employees of the institution. Suchdata are typically maintained in a personnel officewith a part of them generally mechanized, par-ticularly. those that are used in the payroll func-tion. In addition, however, there is also need ofdata about the manpower resource these indivi-duals represent. Rather than focusing on thosedata items most important in distinguishingbetween individuals and that describe their unique,personal characteristics.. manpower resource data isconcerned with the nature, amount, and use of theasset or resource that these individuals represent.In this regard, maintenance of the individual'sidentity is not the objective; description of theinterrelationships between manpower resourcesand the employment setting take precedence.

Effective management of an institutiondemands that both types of data-that is, personneland manpower resource-be regularly maintained.The scope of this Manual, however, is limited to aconsideration of only manpower resource data. Itis recognized that in establishing a system ofrecords within an institution, it would be custo-mary and appropriate to establish first that portionof the system relating to the personal character-istics of the individual employees (personnel andpayroll systems). The fact that this Manual dealsonly with manpower resource data should not betaken as an indication of relative importance of thetwo major kinds of data about employees; itreflects only an assessment of the currentlygreatest need. In order to conduct their day-to-dayaffairs, institutions have had to develop at least amarginally acceptable personnel system. Observa-

tion and experience indicate that the institutionalcapacity to acquire and use manpower resourcedata is considerably less well developed, in spite ofthe fact that manpower resource data are thosemost relevant in the context of planning andaccountability-and thus the subject of much ofthe data exchange and reporting both within theinstitution and between the institution and avariety of external agencies.

The absence of uniform, consistent, andgenerally accepted terms and definitions con-cerning manpower resources, and the communi-cations problems thus created, led to the decisionto select manpower resource data as the subject ofthis Manual. It is hoped that, with the satisfactorycompletion of this Manual, work can begin on thecompanion document that will have personnel(individual) data as a focus. Taken together, thesetwo documents will describe a total system ofrecords about an institution's employees.

As a final note, it must be stated that thedichotomy between personnel and manpowerresource data is not always as clear-cut and invio-late as the previous discussion might make itappear. For example, information about tenurestatus is a descriptor not only of an individual butalso of the permanence of the resource the indi-vidual represents. To the extent that items ofpersonnel data are also relevant to a description ofthe availability and use of manpower resources,those items are identified and defined in thisManual.

0. Organization of the Manual

The subsequent chapters of the Manual describe, indetail, the basic elements of an information systemdesigned to support the management of manpowerresources in institutions of postsecondary educa-tion. Chapter 2 provides a general overview of asystem of manpower resource information. Chap-ter 3 contains a description of a recommendedclassification scheme for manpower resources anddefinitions of the categories within that scheme. Italso suggests the additional information mostuseful in specifying and describing the manpowerresources in each of these categories. Chapter 4describes a framework for organizing and dis-

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playing information about the allocation of man-power resources to, and the actual utilization ofresources by, institutional programs. Chapter 5describes, in a general way, procedures for organiz-ing information that indicates relationships

between resource categories and activities. AGlossary of Terms, some additional classificationsand subdivisions of personnel, the NCHEMSProgram Classification Structure, and other relatedmaterial are contained in the Appendices.

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2An Overview of Manpower'Resource Information

For whatever reason, information systems designed A. Desc&specifically *to support planning and management Manpiactivities related to manpower resources have There arereceived relatively little attention in institutions of seiiipostsecondary education. As a result, the under- tionfiittinof atlying concepts have not been particularly well reoucedeveloped, and, to the extent they have been tisourcos.developed, they are not well and generally under- nmestood. By building on the conceptual and practi- verymuerfcal bases developed in~ the context of the manage- tiates betment of other types of resources (particularly itdefinancial resources), however, it is possible to clericalvidentify t~he major kinds of, information needed cualfor the planning and management of manpowerreocsresources. Using financial resources as an. ana logybeasafor identifying the components of a ~set of infor-beasmation about manpower resources, t he folio wing tion ofultgeneral types of information can be considered asistbeobeing of greatest importance and utility: i ob 1 . Information that describes the kinds and 1. Some

amounts of manpower resources available to thatthe institution (information that is analogous differto a description of the various fund groups and 2. a wajthe dollars available for allocation in each). of me

2. Information about the allocation of manpoweIr withirresources to programs and the utilization of In dethose resources (the equivalent of budget and resources,expenditure information), that the

3. Information about the activities conducted by distinctly~manpower resources (the manpower resource that theanalog of objects of expenditure). and man

A broad overview and brief discussion of each of cular kirthese general kinds of information are contained in the mostfollowing sections of this chapter. Detailed discus- classifiessions of each of these areas, including identifi- the kindscation and definition of data items and description the instilof necessary procedures, are contained in Chapters kinds of3, 4,and 5. normally

ribing the Pool, of Available)ower Resources

emany dimensions and v arious degrees of.Y that can be incorporated into a descrip-.in institution's pool of available manpower

At. the most elementary level, a descrip-id be obtained by simply coun'ting theof employees. Such a description is seldomful, howe~ver, in that it in no way differen-tween groups of employees (for example,not distinguish between executives and/Vorkers). Neither does it provide a pArti-accu rate measure of the amount ofsrepresented by the count of employeesapart-time employee is counted the same-time employee. Thus, if a useful descrip-:he pool of available manpower resou rce~)btained there is need of:way of classifying manpower resouIrces

will allow differentiation of distinctlyrent resources, andy of measuring the amounts of each typeanpower resource available for assignmentin the institution.

eveloping a way of classifying manpower3,the primary requirements are not onlyresulting categories distinguish between Idifferent kinds of manpower but also,categories be supportive of the planningiagement functions related to this parti-nd of resource. From this perspective,tuseful categorization scheme is one thatmanpower resources in accordance withsof services the employee can provide to

itution (that is, in accordance with theactivities to which the individual wouldbe assigned). In short, institutional plan-

i ,

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fling and management requires an assessment of theamount of those resources available for assignmentto instruction and research activities, the amountavailable for assignment to administrative activities,and so forth. As with other resources, the man-power resource is seldom so specialized that it canbe assigned to one and only one kind of activity.Just as classrooms can be used for office space ifthe need arises, so can instructional staff beassigned administrative duties (as, in fact, theyoften are). In such cases, the classification of anindividual must be based on the institutionalview of the kinds of activities the individual wouldbe expected to conduct. For example, individualsmay view themselves as researchers, but if they areemployed by the institution primarily to performadministrative functions, then that is what they arefor purposes of manpower resource accounting andbudgeting. This Manual approaches classification ofmanpower resources from the institution's perspec-tive; it ignores the employee's self-image withregard to such classification except to the extentit is concurred in by the institution.

In addition to the major distinction based onexpectation of kinds of services to be provided,there are several other useful and necessary descrip-tors (and more specific delineators) of the man-power resources. Within that category dealing withthe manpower resources available to conductinstruction and research activities, there is need tofurther distinguish between the academic disci-plines (to separate the physical scientists from thesocial scientists, and so on). There is some need todescribe the level of "quality" of the resource-information about academic preparation (highestdegrees earned) and about rank. Further, there isneed for information about permanence of theresource-data about age and tenure status. Finally,for reasons arising largely outside the institution,there is need to describe the manpower pool interms of its sex and ethnic composition.

As, a final step in describing the pool of avail-able manpower resources, there is a requirement toestablish some quantitative measure of how muchof each kind of resource is available. In the absenceof such a measure, institutional managers would bein the same position as if the existence of anendowment fund was known, but the value of thefund was not known.

In establishing a measure of manpowerresource, it is necessary to go beyond countingemployees and to consider their differing condi-tions of employment (full-time versus part-time,and so forth). The measure of full-time equivalent(FTE) employees is the most commonly used suchmeasure (although in this Manual a somewhat dif-ferent measure is suggested).

In summary, a description of the pool of avail-able manpower resources requires:1 . a capability to distinguish among and classify

the major different kinds of resource,2. data that seem to further characterize the

resources within each of the major categories(the amount of information deemed necessaryto adequately describe the manpower resourcesin each category may vary widely depending onthe conditions at any particular institution),and

3. a means of measuring the amount of each typeof available resource.

A more detailed and extensive discussion of thisto pic is contained in Chapter 3.

B. Describing the Allocation andUtilization of Manpower Resources

As noted previously, manpower resources typicallyare the largest and most important single "good"purchased by an institution of postsecondaryeducation. It follows that management decisionsdealing with the allocation or distribution of theseresources are among the most important manage-ment decisions to be made within an institution.The net result or summary of these decisions isan assignment of particular amounts of each cate-gory of manpower resource to specific institutionalprograms-in essence, a budget of manpowerresources. The importance of the manpowerresource budget is magnified by the nature of thedecisions that are subsumed within the process ofits development. For example, to a large extentthe quantity of certain institutional outcomes isdetermined in the process of deciding on man-power resource allocations (by allocating resourcesto instruction rather than research programs, theamount of both instructional and research out-comes are affected). At a very detailed level of the

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manpower budgeting process, decisions concerningthe quality of instructional outcomes may beaffected also (assignment of Professor X ratherthan Professor Y to a particular course may affectthe quality of education provided to students inthat course). Finally, because of the weight ofmanpower resources vis-a-vis other types ofresource in an institution's "production" process,the manpower budget, to a large extent, deter-mines the allocation of financial resources.

The similarities between the manpowerresource budget and the financial resource budgetextend to the kinds of information required formanagement purposes. Specifically, the requiredinformation describes the amount (usuallyexpressed in FTEs or some similar measure) ofeach type of manpower resource allocated to eachinstitutional program. The level of detail at whichthis information is developed and maintained is afunction of the size and complexity of the insti-tution and of the managerial level at which theinformation is to be used (a department chairmanwill require information on an individual-by-individual basis, while a vice-president typicallywill require only aggregate information). Thegeneral form that a manpower resource budgetmay take is shown diagrammatically here.

The management of resources-manpower andotherwise-does not end with the completion ofthe budgeting or resource allocation process.' Inaddition, management must be concerned withmonitoring and measuring the actual utilization ofthe various resources. For financial resources thisprocess is highly formalized: monthly statementsof expenditures generally are produced and annual

audits of expenditures (including expenditures formanpower) are developed. The monitoring of theutilization of the manpower resources that havebeen purchased is much less formalized and, inmany institutions, is nonexistent except as utiliza-tion of manpower resources is reflected in thereports on financial expenditures (as the personnelline items in the monthly expenditure reports).There are good, and sufficient reasons why the"system" for reviewing the use of manpower hasnot been developed to the level of sophistication ofthat developed for assessing (and controlling) theexpenditure of financial resources. For one thing,financial expenditure data provide an indirect,but exceedingly useful, mechanism for moni-toring the utilization of human resources. If thebudget for wages and salaries is being exceeded,there is an indication of the situation with regardto the manpower budget. Further, the fiduciaryrequirements imposed on institutions generallyare much more extensive with regard to financialresources than with manpower. And finally, thereis the inherent human resistance at all levels to theconstraints of performance accountability.

The relative importance of continuous scrutinyof the expenditure of financial resources and thepaucity of measures and procedures should not.obscure the need for some level of formal mana-gerial attention to the utilization of manpowerresources. Part of this need originates as a fiduciaryrequirement imposed from without the institution(such as the requirement that certain manpowerresources be allocated to specific research programsin order to satisfy contractual agreements withvarious funding agencies). Potentially much more

Summary of Allocations of Manpower Resources to Programs-

PROGRAMSPublic Academic Student Institutional Independent Student

Manpower Resource Categories Instruction Research Service Support Service Support Operations Access

"Faculty"

"Administrators"

"Clerical"

etc.

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important, though, are the uses of such informa-tion in the internal management of the institution.As was noted, the allocation of manpowerresources to institutional programs represents oneof the most important managerial functions withinan institution of postsecondary education. Theimportance of these decisions almost demands theincorporation of any information gleaned frompast experiences-the improvement of resourceallocation decisions is largely dependent on recog-nizing and understanding deviations from pastmanpower resource budgets. As a result, there is asubstantial need for information that provides ameans of comparing the planned utilization ofmanpower resources with the actual utilization ofthose resources. To facilitate such comparisons, theinformation concerning actual utilization ofresources must be displayed in the same format asthe manpower resource budget. Again, the amountpf detail required is determined by the user of theinformation.

On the other hand, a mandate to improve thematch between manpower budgets and manpowerutilization must not acquire status as an intrinsicvalue, nor must it spawn an effort to reduceflexibility in the utilization of manpower. While itis rebuttable, the presumption must be that eitherthe budget process was defective, or the assump-tions and conditions changed between th e time ofbudget and utilization. In either cas e, the informa-tion is equally valuable to the manager who candevelop future manpower resource budgets from abetter base of knowledge.

C. Describing Activities Performed byManpower Resources

The fundamental items of information concerningmanpower resources required for both institutionalmanagement and for communicating with externalconstituencies are those identified above-that is,informat ion that describes the pool of availablemanpower resources, the allocation of thoseresources to institutional programs, and the actualutilization of those resources by the programs. Thisis not to say, however, that these kinds of informa-tion will be sufficient for all purposes within aninstitution. In fact, the information concerningallocation and utilization of manpower resources

actually may obscure certain relationships impor-tant to institutional managers. As an extremeexample, consider the case of a faculty 'memberwho, in the resource allocation process, wasassigned to teach graduate physics courses, butwho in actuality served as the technician in chargeof setting up freshman physics laboratory experi-,ments. Both the allocation and the utilizationinformation would show a faculty resourceassociated with the physics instruction program;in the process, some exceedingly valuable informa-tion would be hidden.

In order to illuminate such situation's withinthe institution, and, at the same time, to describebetter how the various categories of manpowerresources were intended to be (or were) utilized, anadditional item of information is required-it isnecessary to indicate the general types of activitiesperformed by individuals in the various resourcecategories. For the most part, it is anticipated thatthere will be a good deal of congruence betweenthe resource categories and the activities performed(that is, clerical employees generally will performclerical activities, and so forth). Many exceptionsto this situation will be found, however-adminis-trators will teach, faculty will administer, and soforth. To compile this information, it is necessaryto define general categories of activities and toprovide a framework for associating activitiesinformation with manpower resource information,as shown diagrammatically here. A more thoroughtreatment of this aspect of manpower resourcemanagement is included in Chapter 5.

D. General ConsiderationsThe data item definitions and organizing schemespresented in this Manual adhere to two generalconcepts common to manuals produced by NCESand NCHEMVS. The first is the use of the NCHEMSProgram Classification Structure (PCS) as the basicorganizing scheme for information about theallocation and utilization of manpower resources.In managing any institution of postsecondaryeducation, information about a variety ofresources, activities, outcomes, and so forth mustbe considered concurrently. Further, it must bepossible to interrelate these items of informationwithout difficulty. This means that manpower

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Summary of Allocation of Manpower Resources by Activity

ACTIVITY CATEGORIESResearch/

Scheduled Unscheduled ScholarshipManpower Resource Categories Teaching Teaching . .. Activities Administrative ... Etc.

Faculty

Administrators

Clerical

etc.

resource information should be categorized in thesame way as facilities data, finance data, and soforth. The Program Classification Structure is thecurrently available organizing scheme most capableof promoting the necessary interrelating of thesevarious types of information.

The second is the definition of data categoriesin ways intended to make them commonly appli-cable across the various programs within an insti-tution, as well as among institutions. Many of theimportant uses of information, including infor-mation about manpower resources, require com-parison of data-among programs within an insti-tution, among similar programs in different insti-tutions, or for the same program over time. Theability to make such comparisons is dependent on

the use of standard definitions of the data elementsbeing compared. As a result of this need forstandardized definitions, every effort has beenmade to define the manpower resource categoriesin ways that are both least, likely to result in mis-interpretation and most in keeping with commoninstitutional practice.

Finally, a note concerning level of detail of themanpower data. The illustrations in this Manualshow the data being displayed at relatively highlevels of aggregation. Through use of the PCS, con-siderably more disaggregation is possible. The levelof detail required. in any given instance must. bedetermined by the user; no single level of detail canbe recommended that will be applicable in allcircumstances.

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3 _ _ _

Describing Available ManpowerIn the previous chapter, it was noted that in orderto describe the manpower resources available to aninstitution of postsecondary education, it isnecessary to:1 . distinguish among and classify the major dif-

ferent kinds of manpower resources,2. further characterize and describe the man-

power resources in each of these categories, and3. measure the amount of each type. of available

manpower resource.

This chapter addresses each of these areas inmore detail. Section A contains a recommendedclassification scheme for manpower resources aswell as definitions for each of the manpowerresource categories. Section B identifies anddefines those items of information typically usedto further characterize these manpower resources.Finally, Section C describes a set of procedures foruse in arriving at a measure of the amount ofavailable resources in each manpower category.

A. Categories of Manpower ResourcesThe operation of an institution of postseco ndaryeducation requires the performance of widelydiffering kinds of activities. Students must betaught and research interests pursued; at the sametime, the business affairs of the organization mustbe managed, reports typed, and the floors swept.These activities are so diverse in nature that theycannot all be effectively and efficiently performedby individuals having a common set of skills andcapabilities. A certain degree of specialization isrequired among the personnel who carry out theinstitution's functions.

It is true also that some quite different kinds ofactivities display considerable overlap in the kindsof skill required for their effective performance.Thus, individuals who possess the requisite abilitiesand interests may be able to serve in two functionsthat might otherwise be considered discrete. In thecontext addressed by this Manual, such a situationarises frequently when an individual performsboth instruction and research activities; such

Resourcesindividuals commonly are labeled as "facultymembers." The result is a* situation in whichpostsecondary institutions hire certain generalcategories of employees to perform certain generalkinds of activities, and in which each category ofemployee represents a different kind of manpowerresource available to the institution.

The balance of this section presents a classifi-cation scheme composed of seven distinct cate-gories of manpower resources. The particular man-power resource categories and their definitionshave been developed to accommodate certain legaldistinctions and common institutional practice.The intent has been to develop the minimum num-ber of categories consistent with a requirementthat each category be generally definitive of adistinct kind of manpower resource.

The federal government's legal distinctionbetween "exempt" and "nonexempt" employees isretained in the manpower resource classificationscheme. To comply with the Fair Labor StandardsAct, institutions must assign their employees (onthe basis of criteria included in the legislation*) toone of these two categories. This distinctiontypically is incorporated into institutions' recordsystems and into manpower resource classificationschemes devised by individual institutions. Thus, asa minimum, a manpower resource classificationscheme must reflect the distinction betweenexempt and nonexempt employees.

All Employees

Exempt Nonexmp

*Section 13 of the Fair Labor Standards Act of 1938, asamended, indicates that an exempt employee is "any employeeemployed in a bona fide executive, administrative, or professionalcapacity . . ."

While the categories of exempt and nonexemptprovide necessary and useful information, moredetail is required within each of these categoriesfor management purposes. As noted in the previouschapter, individuals are not uniformly qualified toperform all the major kinds of tasks required tooperate an institution of postsecondary education.Carrying this further, it can be noted also that thedistinction between exempt and nonexemptemployees does not suffice to identify groups ofindividuals having more or less similar capabilities.Within the exempt category, for example, wouldbe those employees available to perform instruc-tional and research activities (in conventionalterms, the faculty) and those professionalemployees responsible for the executive directionand administrative support of the organization. Todistinguish between, and to effectively allocate,these distinctly different kinds of manpowerresources, it is necessary to identify separately atleast two subcategories within the exemptcategory-subcategories that might be labeled as(1) Instruction/Research Professionals and (2)Executive/Administrative/Support Professionals.This distinction is consistent with a delineationmade at almost all institutions of postsecondaryeducation; while there are institutional differencesregarding the categorization of certain groups ofindividuals (such as department chairmen), thebasic distinction between instruction/researchemployees and all other exempt employees is madealmost universally. For many purposes a furtherdivision of the "nonfaculty" category also is highlydesirable. Within this single category are suchdiverse kinds of individuals as vice-presidents,administrative department heads, accountants,purchasing agents, and librarians. Because of thisdiversity, it is clear that considerably more thantwo or three subcategories would be required if theobjective were to create completely homogeneousgroupings. Since such proliferation of categorieswould defeat the purpose for which such sub-categories were created, some distinctions thatare useful managerially, but that do not yield com-pletely homogeneous groups, would appear appro-priate. As a result, this document suggests a dis-tinction within this larger category based onsupervisory responsibilities of the individuals-asubcategory entitled Executive/Admin istrative/

Managerial Professionals for exempt employeeswith supervisory responsibility of a department orother organizational unit and another labeledSpecialist/Support Professionals for those not hav-ing supervisory responsibilities.* The categori-zation scheme for exempt employees (manpowerresources) presented in this Manual can, therefore,be illustrated as:

Exempt Employees

There is a similar need for more detail withinthe nonexempt category of manpower resource.)The extreme dii\ ;ity of activities performed bynonexempt empl,. aes and the greater variation ininstitutional practice with regard to categorizationof these employees adds difficulty to the identifi-cation of appropriate subcategories for nonexemptemployees; on the other hand, in this nonexemptcategory it is possible to borrow a great deal fromprivate business practice and nomenclature. Usingthe criterion that manpower resources should beidentified for management purposes according tothe type of activities to be performed, it is pos-sible to suggest a limited number of categories thatidentify groups of individuals employed to performdistinctively different kinds of activities. Speci-fically, it is suggested that the subcategories of(1) Technical, (2) Office/Clerical, (3) Crafts andTrades, and (4) Service Employees span the rangeof nonexempt employees while at the same timedescribing the distinctly different groups of non-exempt manpower resources. The categorizationscheme for nonexempt employees presented inthis Manual therefore can be described as follows:

*It should be noted that, through addition of identification ofprograms to which individuals are assigned, much finer distinctionsare possible (see Chapter 4). For example, a Specialist/SupportProfessional assigned to the library program can be readily identifiedas being different from a Specialist/Support Professional assigned tothe student counseling program.

12

13

By way of summary, the complete scheme forcategorizing manpower resources presented in thisdocument is shown below.

Each of the terms included in this categori-zation is defined below. An attempt is made toindicate a "conventional" categorization for cer-tain groups of employees for which more than onecategory might, on the surface, appear appro-priate. Additional items of information consideredmost useful in describing each of the various cate-gories of manpower resources (such as sex, race,age, and so forth) are considered in the followingsection of this chapter.Employee: Any individual being compensated bythe institution for services rendered. Included areindividuals who donate their services, if theservices performed are a normal part of theinstitution's programs or supporting servicesand would otherwise be performed by compen-sated personnel. Specifically excluded areemployees of firms providing services to theinstitution on a contract basis.

Exempt Employee: An employee whose condi-tions of employment and compensation are notsubject to the provision of the Fair Labor Stan-dards Act as amended. Exempt employees are noteligible for overtime payment. According toSection 13 of the act, an exempt employee is"many employee employed in a bona fide execu-tive, administrative, or professional capacity. ..

Nonexempt Employee: An employee whoseconditions of employment and compensation aresubject to the provisions of the Fair Labor Stan-dards Act of 1938, as amended.

Instruction/Research Professionals: Individualsemployed for the primary purposes of performinginstruction and research activities. Typicallyincludes only exempt employees (although insome, primarily proprietary, institutions theymay be nonexempt). In most institutions ofpostsecondary education, these employees are the"faculty." This term "faculty" is advisedly notemployed in this Manual; in similar manner,the term "academic" is also not used. These termsdescribe very different groups of employees atdifferent institutions. At some institutions theterms "faculty" or "academic staff" may includeonly those who engage in classroom teaching. Inothers they will commonly include those whoteach and/or do research. In still others, thoseterms will also include the exempt administrativestaff, and there are some institutions in whichthose terms, for reasons such as the desire toextend fringe benefits to particular groups, may

14

include librarians, computer center staff, and Office/Clerical Employees: Individuals employedothers. Having neither sufficient desire nor for the. primary purpose of performing clericalpowers of persuasion to change the definitions of activities. This category includes only nonexemptthese terms at the institutions, they are simply employees.not used in manpower accounting. In this Manual,Instruction/Research Professionals include the Crafts/Trades Employees: Individuals employedexempt research staff. At most institutions it is for the primary purpose of performing (manually)appropriate to include department chairmen in skilled activities in a craft or trade. Includes suchthis group, since their classification and assign- employees as carpenters, plumbers, electricians,ments are still primarily instruction and research. and soforth. Includes only nonexempt employees.However, there are a significant number of majorinstitutions where the department head is actuallySevcEmlys:Idiuasmpodfrthan administrator who has been delegated specific pervicEmaypuroyese ofnprforingal serviyed (ofthenadministrative responsibilities and authority, unsilled) activites.f Inluesfrmn such iemployteesaWhere such a situation exists, the department cunstoldiansigrounskeepluers, securt guardyes, foochairman is more appropriately classified as an cutdasgrnskersscriyursfoExecutive/Administrative/Managerial Professional. service workers, and so forth. Includes only

nonexempt employees.

Executive/Administrative/Managerial Professionals:Exempt employees employed for the primary It should be noted that all the categories in thepurposes of managing the institution or a custom- manpower resource classification scheme arearily recognized department or subdivision expressed in terms of the kinds of activities indivi-thereof. By convention this category includes duals are employed primarily to perform. The factdeans but most commonly, although not always, that the president of an institution may bewill exclude chairmen of academic departments expected to teach a class does not detract from the(who usually are classified as Instruction/ fact that he or she is (in all probability) employedResearch Professionals). Inclusion in this cate- primarily to perform executive and administrativegory requires the individual to have supervisory activities, and is so classified.responsibilities. Similarly, the fact that a faculty member may

perform a variety of administrative or studentservice activities should not obscure the fact that

Specialist/Support Professionals: Exempt em- the individual is employed primarily to performployees employed for the primary purposes of instructional and research activities. In short, thisperforming (typically) academic support, student manpower resource classification scheme isservice, and institutional support activities, intended to "sort out" individuals in terms of theExcludes individuals who have executive or kinds of assignments the institution gives themanagerial (supervisory) responsibilities in these employees, not the general kind of capability thatareas. Includes such employees as librarians, they bring to the institution. The consideration ofaccountants, systems analysts, student personnel what these individuals actually do and how theirworkers, counselors, salesmen, recruiters, and so capabilities actually are utilized requires theforth. additional dimensions described in subsequent

chapters of this Manual.For many purposes, a classification scheme

Technical Employees: Individuals employed for composed of these seven categories of manpowerthe primary purpose of performing technical resource is sufficient. For other purposes, addi-activities (that is, activities pertaining to the* tional detail will be required. While no attempt ismechanical or industrial arts or the applied made in this document to suggest a classificationsciences). This category includes only nonexempt scheme containing all the detail that might ever beemployees. needed by an institution, major subcategories

15

within each of the seven categories identifiedabove have been developed. The classificationscheme with this additional level of detail is out-lined below.1.0 Executive/Administrative/Managerial

1.1 Executive Officers1.21.31.4

2.0 I nstruction/Research2.1 Senior Instruction/Research2.2 Junior Instruction/Research2.3 Teaching or Research Associate/Assistant/Fellow2.4 Undesignated

3.0 Specialist/Support3.1 Advanced Level3.2 Intermediate Level3.3 Entry Level

4.0 Technical4.1 Advanced Level4.2 Intermediate Level4.3 Entry Level

5.0 Office/Clerical5.1 Advanced Level5.2 Intermediate Level5.3 Entry Level

6.0 Crafts and Trades6.1 Advanced Level6.2 Intermediate Level6.3 Entry Level

7.0 Service7.1 Advanced Level7.2 Intermediate Level7.3 Entry Level

A description of these subcategories and anextended discussion of the considerations andcriteria for the actual classification of employeesinto the major categories are contained inAppendix A.

B. Additional Important Descriptors ofManpower Resources

The classification of manpower resources accordingto the categorization scheme presented above isbut the first, very general step in describing thepool of manpower resources available to an insti-tution. Additional information about the man-power resource pool is also important for the sup-port of planning and management decision making.To a large extent, these additional descriptors arerelated only to the Instruction/Research Profes-

sionals category. Among those descriptors are dataabout the discipline affiliation of the individualsincluded in this category. Also included are dataabout the "level" of the resource (data abouthighest earned degrees and about the faculty rankdistribution of Instruction/Research Professionals).Finally, information about permanence-tenurestatus-of this category of manpower resources istypically acquired and used in a planning andmanagement context.

In addition to those descriptors that aregenerally limited in application to the Instruction/Research Professionals category, there are thosethat have relevance across all categories. Amongthe most common of these are data about the sexand ethnic composition of the resource pool.

For several of these information items, a par-ticular set of categories and their associated defi-nitions have received acceptance, at least in thecontexts of interinstitutional exchange and ofreporting to external agencies. These categories andtheir associated definitions follow.

1. Academic discipine distinctions. For almostall intra-institutional planning and managementuses, information about Instruction/Research Pro-fessionals further delineated by academic disciplineor department i s needed. It is just not sufficient toknow the amount of instruction/research resourceavailable; it also is necessary to know how many ofthese resources can be assigned to teach mathe-matics, how many to English, and so forth. Incategorizing these resources according to academicdisciplines, the categories contained in the Tax-onomy of Instructional Programs in Higher Educa-tion * are most typically used (at least for d ataexchange and reporting purposes).

2. Highest degree earned. For purposes ofinterinstitutional comparison the following cate-gories were suggested:

Certificates and Diplomas (less than one year)-Anaward for the successful completion of a course ofstudy or program offered by a postsecondary insti-tution. Certificates and diplomas in this category are

*Rober~t A. Huff, and Marjorie 0. Chandler, A Taxonomy ofInstructional Programs in Higher Education (Washington, D.C.:U.S. Department of Health, Education, and Welfare, Office ofEducation, National Center for Education Statistics, 1970).NOTE: A new taxonomy is currently in preparation and can beexpected to replace the currently used taxonomy in the future.

16

awarded for completion of any program covering anytime span less than one academic year.Certificates and Diplomas (more than or equal to oneyear)-An award for the successful completion of acourse of study or program offered by a postsecondaryinstitution. Certificates and diplomas in this categoryare awarded for completion of any program coveringany time span between one academic year and twoacademic years.Associate Degree (two years or more)J-The degreegranted upon completion of an educational programless than baccalaureate level and requiring at least twobut less than four academic years of college-work.Bachelor's Degree-Any earned academic degree carry-ing the title of "bachelor."

First Professional Degree-The first earned degree in aprofessional field. Only the following degrees should beincluded: (1) M.D., (2) 0.0., (3) L.L.B. or J.D., [ifJ.D. is the first professional degree] , (4) D.D.S., (5)D.V.M., (6) 0.0., (7) B.D., M.Div., Rabbi, (8) Pod.D.,P.M.Master's Degree-Any earned academic degree carryingthe title of "master." In liberal arts and sciences, thedegree customarily granted upon successful comple-tion of one or two academic years of work beyond thebachelor's. In professional fields, an advanced profes-sional degree beyond the first professional, whichcarries master's designation, such as L.L.M., M.S.(Master in Surgery), M.S.W. (Master of Social Work).Doctoral Degree-An earned academic degree carryingthe title of "doctor." Not to be included are firstprofessional degrees such as M.D., D.D.S.Other (Specify)-Includes all other categories ofdegrees/diplomas/certificates that cannot :be cate-gorized in any of the preceding categories such asspecialist degrees for work completed toward a certi-ficate.Honorary degrees should not be considered.

3 . Rank or title. For many reaso ns, insti-tutions of postsecondary education bestow rankand/or other title desighations on certainemployees within the institution, particularly thosein the Executive/Administrative/M~anagerial Profes-sionals and Instrcio esearch. Professionalscategories.

A wide variety of titles are used by institutionsto designate individuals in the Executive/Adminis-trative/Managerial Professionals- category. A sonme-what standardized list of these. titles.. has beendeveloped for use in the U.S. Office of Education

HEGIS Surveys and in the survey of administrativesalaries conducted by the College and UniversityPersonnel Association. For the convenience of thereader these titles and the associated codes arecontained in Appendix B of this document.

In contrast, institutions tend to use a ratherstandard set of rank/title designations forInstruction/Research Professionals. While thesedesignations are conventional or standard, theretend to be extreme variations in institutional prac-tice with respect to the qualifications and assign-ments of individuals having the same title. Further-more, at many institutions, many of the persons inthe Executive/Administrative/Managerial Profes-sionals and Specialist/Support Professionals cate-gories also are designated with ranks or titles moregenerally reserved for Instruction/Research Pro-fessionals. As a result of these variations in prac-tice, these titles do not provide a useful means fordistinguishing categories of individuals for insti-tutional comparisons. It is recommended that thestandard categories used in this manual be used forinterinstitutional comparison. .The so-called"faculty" rank categories most typically used are:

a. Professorb. Associate Professorc. Assistant Professord. I nstructore. Lecturerf. Teaching Associateg. Teaching Assistanth. Undlesignated

4. Tenure status. Primarily with respect toInstruction/Research Professionals, it is useful tocollect information concerning the tenure status ofemployees since such data provide insight into theextent to which the manpower resources are essen-tially "fixed."

The term, "tenure" has acquired a meaning inthe common parlance of education employmentthat is a unique modification of its meaning in allother contexts. In education, to "have tenure" isto have an. indefinite appointment extending to thetime of retirement, which appointment is termi-nable only by very special procedures. Consistentlyattaching the implied adjective, "indefinite"actually imposes a limit on the meaning of theterm. and limits its ut ility. Tenure is a "holding"

17

and in employment refers to the term or timeduring which one will hold an appointment. Thus,one's tenure can be for a fixed or determinableterm, or it can be indefinite. It is suggested that thefollowing tenure designations be used:

a. Tenured-individuals who have beengranted tenure

b. Nontenured-individuals who are eligiblefor, but have not been granted, tenure

c. Not eligible-individuals who are noteligible for tenure.

In this Manual, the term "tenure" is not usedwithout modifiers. The categories of tenure are:

a. Indefinite tenure, terminable only byspecial procedures

b. Appointment for a fixed term of more thanone year

c. Appointment for one yeard. Appointment for term of a budgete. Indefinite tenure, summarily terminable

without recourse

5. Race/Ethnic identification. (Categoriesused by the U.S. Office for Civil Rights, the EqualEmployment Opportunity Commission, and otherFederal agencies, revised by the Federal Inter-agency Committee on Education in 1975.)

The concept of race as used by the EqualEmployment Opportunity Commission does notdenote clearcut scientific definitions of anthropo-logical origins. An employee may be included inthe group to which he or she appears to belong,identifies with, or is regarded in the community asbelonging to. However, no persons should becounted in. more than one race/ethnic category.

American Indian or Alaska Native-A person hav-ing origins in any of the original peoples of NorthAmerica.Asian or Pacific Islander-A person having originsin any of the original peoples of the Far East,Southeast Asia, or the Pacific Islands. This areaincludes, for example, China, Japan, Korea, thePhilippine Islands, and Samoa.Black (not of Hispanic origin)-A person havingorigins in any of the Black r acial groups.White (not of Hispanic or igin)-A person havingorigins in an y of the original peoples of Europe,North Africa, the Middle East, or the Indiansubcontinent.

Hispanic-A person of Mexican, Puerto Rican,Cuban, central or south American, or otherSpanish culture or origin-regardless of race.

There should be no need in the records systemfor an "all other" category, since it is intended thatthe above categories be all-inclusive. It may benecessary to include some kind of "Refuse toI ndicate" category, but if so, it must be under-stood that inquiries from the U.S. Office for CivilRights and the Equal Employment OpportunitiesCommission will require the institution to acquirethe information in some other manner, and tocategorize such individuals into one of the aboveracial/ethnic groups.

In connection with the race/ethnic categories,the U.S. Office for Civil Rights also recommendsretention of the citizenship/residency status of theemployee in just two mutually exclusive categories:1. U.S. Citizens and all other persons having a

status that permits them to reside perma-nently in the United States, and

2. Nonresident Aliens; viz., a p erson who is inthis country on a temporary basis and whodoes not have the right to remain indefinitely.

A precise definition for nonresident alien iscontained in 5 1 101(a)(15)(A)-(L) of the UnitedStates Code, Title 8. Examples of persons withnonresident alien status are individuals in theUnited States to pursue a course of study (includ-ing students in the Department of State exchangeprogram) and individuals in this country to per-form temporary services or skilled or unskilledlabor [8 USC(a)(15)(F),(LL),and (J)]

It'should be noted that these items represent aminimum 'set required to describe manpowerresources in ways important for planning-they donot represent the total list of information itemsnecessary for all institutional purposes.

C. Measuring the Amount ofManpower Resources

Planning and management uses of manpowerresources information require not only the abilityto describe and categorize such resources, but alsothe ability to measure how much of each of thevarious kinds of resources are available fo r assign-ment to various of the institution's program s. Arough estimate of the amount of each kind of man-

18

power resource available to an institution can beobtained by simply counting the individuals ineach of the various manpower resource categories.In the final analysis, however, it is not the numberof individuals but the amount of time they areavailable over a given period (such as a fiscal oracademic year) that determines the amount ofmanpower resource that is, in fact, available. Thisis a particularly important consideration withregard to the manpower resource categories withinwhich part-time appointments are most common-for example, the Instruction/Research Profes-sionals category. The prevalence of both part-timeappointments (instructional staff on half-timeappointments, adjunct appointments, and so forth)and full-time appointments for less than a fullyear (one semester, the academic year, ninemonths, and so forth) creates a situation in which"counting heads" while disregarding the appoint-ment fraction and period yields a potentiallyexaggerated picture of the availability and use ofmanpower resources. These varying terms and con-ditions of appointment must be dealt with if theinstitution is to have an accurate measure of itsavailable manpower resources.

There are a variety of ways to accomplish thisparticular objective, distinguished primarily by thelevel of detail at which the necessary calculationsare made. The least detailed (and probably themost common) method for ascertaining theamount of manpower resources available underconditions where there are varying appointmentarrangements depends on identifying individuals asbeing either full- or part-time employees andcalculating the full-time equivalence of the part-time employees. The following table summarizesthis calculation.

To complete this table, it is first necessary toenter data in columns (1) and (2-that is, to enterdata on headcount number of full-time and part-time employees in each manpower resource cate-gory. Distinctions between full-time and part-timeemployees are reasonably easy to make for mostmanpower resource categories; most employees areconsidered to be full-time if they work approxi-mately 40 hours per week for the full year. Identi-fying which of the Instruction/Research Profes-sionals is full-time is more difficult since insti-tutional practice is often such that facultymembers~with eight- or nine-month contracts areconsidered to be full-time employees if they areemployed full-time by the institution for thateight- or nine-month period. To be consistent,"full-time" for Instruction/Research Professionalsshould be defined on a 12-month basis also. Thedifficulties associated with gaining acceptance ofthis particular convention represent a severe limi-tation on this particular method for calculating theamount of manpower resource available, and makeit necessary for many purposes to use the academicyear or other academic period as the planning andaccounting base.

Procedures for calculating full-time equivalenceof the part-time employees are heavily influencedby the employment practices of the institutionwith regard to part-time employees. If, forexample, all part-time employees in a particularcategory are considered to be half-time employees,the conversion to full-time equivalence is relativelystraightforward. If on the other hand, part-timeemployees are employed under widely varyingarrangements, this conversion must be made eitheron an almost individual-by-individual basis or onthe basis of an average resulting from an analysis of

Number of Part-Time Employees Number ofFull-Time Number of Full-TimeEmployees Employees Full-Time Equivalent

Manpower Resource Category Headcount Headcount Equivalence Employees(1) 1~~ ~~2) (3) 11)+(3)(4

1. Instruction/Research Professionals2. Executive/Administrative/Managerial

Professionals3. Specialist/Support Professionals4. Technical Employees5. Office/Clerical Employees6. Crafts/Trades Employees7. Service Employees

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historical data (for example, 1 part-time are part-time.* Full-time employees are thoseemployee = .33 FTE). Where budgets and payrolls individuals available for full-time assignment, atare computerized, the latter procedure may befeasible; where they are not, if the institution issizeable, it may be necessary to resort to theformer.

Several limitations with regard to the use offull-time equivalent employees as measures of theamounts of manpower resources available are evi-dent from the above description. First, for certaincategories of personnel (particularly Instruction!Research Professional) the definition of "full-time"varies and generally is not consistent with the termas applied to other categories of manpowerresource. Second, there may be wide variations inthe manpower resources represented by part-timeemployees-variations that can misrepresent thesituation badly if averages are used to convert tofull-time equivalent. To overcome these limi-Itations, it is suggested that the concept of "service-months" be utilized as the preferable unit ofmeasure of manpower resources.* The followingformat summarizes manpower resource informa-tion using this concept.

To enter data in this format, it is necessary toidentify those individuals in each manpowerresource category who are full-time and those who

*A "service-month" is defined as being equivalent to oneindividual working full-time for the period of one month. Service-months are calculated by multiplying the percent workload (relativefull-timeness) by the number of months of the individual's appoint-ment. As examples, an individual employed half-time for 6 monthswould be the equivalent of (.5 x 6) = 3 service-months of manpowerresources. An individual employed full-time for nine months wouldbe the equivalent of (1.0 x 9) = 9 service-months of resource, andso forth.

least for the period being reviewed or analyzed.Part-time employees ore those individualsemployed full-time for shorter periods of time (lessthan the period under review) as well as those notavailable to the institution for 100 percent assign-ment even though they may be employed for thefull period.

For most manpower resource categories, thecalculation of service-months is very straight-forward, consisting simply of counting the numberof individuals in a particular category (fo r example,service) or subcategory within that category (forexample, custodians)-and multiplying by thenumber of months per year (or such other periodbeing studied or analyzed) full-time employees inthat category typically work (most commonlyeither nine or twelve in an institution of post-secondary education). However, there are cate-gories of manpower resources, particularly theInstruction/Research Professional category, inwhich employment arrangements vary widely fromindividual to individual. In these cases the service-month calculation necessarily becomes almost anindividual-by-individual calculation. While thistask is time consuming, failure to achieve anaccurate measurement of the manpower resourcesrepresented by these individuals will almost cer-

*Strictly speaking, such a distinction is not necessary to makethis particular calculation. However, for many management pur-poses it is extremely useful to identify separately those employeeswho are full-time from those who are part-time. The primary benefitof this method is the latitude it provides institutions in defining full-time for their own purposes while still achieving a measure of man-power resources (service-months) that can be comparable from insti-tution to institution.

Full-Time Employees Part-Time EmployeesEquivalent Equivalent TotalService- Service- Service-

Headcount Months Headcount Months MonthsManpower Resource Category (1) (2) (3) 14) (2)+14) (5)

Instruction/Research ProfessionalsExecutive/Administrative/ManagerialProfessionalsSpecialist/Support ProfessionalsTechnical EmployeesOffice/Clerical EmployeesCrafts/Trades EmployeesService Employees

20

tainly reduce the effectiveness of the institution's is a summary of an institution's available man-planning and management, power resources classified according to major

categories of manpower resources such as thoseD. Summarizing Manpower Resource described in Section A-that is, data in the follow-

Information ing general form of Format 1.

By using the descriptive data items suggested inSection B of this chapter in conjunction with More detailed information about the Instruc-general categories of manpower resources, num- tion/Research Professional category than thaterous data displays can be developedtaar included in Format 1 is almost always necessary.useful in support of the planning and manage- Of particular importance is the delineation of thement functions at various decision-making levels of total number of Instruction/Research Profes-postsecondary education. The most general, and sionals service-months by academic discipline orprobably most generally used, set of information department as in Format 2.

FORMAT 1Summar y of Available Manpower Resources by Category of Resource

FULL-TIME EMPLOYEES PART-TIME EMPLOYEESTotal

Equivalent Equivalent Service-Headcount Service-Months Headcount Service-Months Months

Manpower Resource Category (1) (2) (3) (4) (2)+(4) =(5)

Instruction/Research Professionals

Executive/Administrative/Managerial ProfessionalsSpecialist/Support Professionals

Technical Employees

Office/Clerical Employees______ ____________

Crafts/Trades Employees

Service Employees

FORMAT 2

Distribution of Instruction/Research Professional Resources by Academic Discipline

Academic Discipline/Department Number of Service-Months

0001 Agriculture000200030004

Total Instruction/Research*

*Should equal the entry in row 7, column 5, of Format 1.

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FORMAT 3Distribution of Instruction/Research Professionals by Rank, Highest Degree Earned, and Tenure Status

RANKAssociate Assistant instructor/ Teaching or Research

Profesor Pofessr Proessor Lecturer Assistant/Associate Undesignated Total

Highest Degree EarnedCertificates andDiplomas (less thanone year)

Certificates andDiplomas (more thanor aqual to one year)Associate Degree(two years or moral

Bachelor's Degree

First ProfessionalDegreeMaster's Degree

Doctoral Degree

Other (specify)

Total

Tenure StatusTenured

Non-tenu red

Not Eligible

*En tries typically differentiated by full-time and part-time employees. Thus, this en try should conform to row 1, column 1 or 3, Format 1,depending on whether the data are related to full-time or part-time employees.

FORMAT 4Distribution of Manpower Resources by Race/Ethnic Identification and Sex Category

RACE/ETHNIC IDENTIFICATION SEX

American IndianRESOURCE *or Asian or Pacific Nonresident AllCATEGORY White. Black"* Hispanic. Alaskan Native Islander Aliens Other Total"*" Male Female

ExemptInstruction/Research

Executive!Administrative/Managerial

.Specialist/Support

NonexemiptTechnical

Office/Clerical

Crafts/Trades

Service

"Non -Hispanic in origin.` Non-Hispanic in origin.

***Totals should equal entries in column 1 (for full-time) or column 3 (for part-time) from Format 1.

22

In entering data into Format 2, the generalprocess suggested by Format 1 is useful. That is,the number of Instruction/Research Professionalsassigned full-time to each of the disciplines ordepartments is entered and the equivalent numberof service-months is calculated or estimated. As asecond step, the number of Instruction/ResearchProfessionals assigned to the discipline or depart-ment on a part-time basis (either part-timeemployees or full-time employees with appoint-ments in more than one department) is enteredand the equivalent service-months entered. Format2 can be constructed at varying levels of detaildepending on the use; department by departmentdata, data for each of the schools or colleges withinthe institution, or according to discipline cate-gories identified in accordance with the Taxonomyof Instructional Programs. Generally speaking, thehigher the level of data aggregation, the fewer thenumber of cases in which data about individualswill have to be prorated on some basis to two ormore categories.

Information about rank, highest earneddegrees, and tenure status of Instruction/Research

Professionals, such as that suggested in Format 3,is also widely used. In most cases, such data arecompiled for full-time and for part-timeemployees, but data are not entered in terms ofFTEs or service-months. In that sense the data aremore correctly descriptors of employees ratherthan of the resource they represent.

Finally, data about the sex and race/ethniccomposition of an institution's employees arecommonly required. Format 4 suggests one way ofdisplaying such data. Again, the data are typicallyreported separately for full-time and part-timeemployees with no attempt made to report datausing the more precise measures of manpowerresources (FTEs or service-months).

There are many other ways in which theseinformation items can be combined to provideinsight into the nature of the pool of manpowerresources available to an institution of' post-secondary education. The particular formats mostuseful for arraying this information in a specificinstance will be determined by the nature of theplanning and management context and thedecisions being addressed.

23

4 Describing the Allocation andUtilization of Manpower

As noted in Chapter 1, allocating manpowerresources to institutional programs (developing themanpower budget) is one of the most importantfunctions performed by managers in institutions ofpostsecondary education. In the course of the man-power budgeting process, directions are set anddecisions are made that significantly affect thenature, quantity, and quality of the outcomes pro-duced by the institution. And, although the allo-cation of manpower resources is an action ofcentral importance to an institution, it is notcommon practice to make explicit the manpowerbudget, to monitor the utilization of manpowerresources vis-a-vis this budget, and to note vari-ations and otherwise analyze the budget as a basisfor improving the allocation of manpowerresources. When manpower budgets are madeexplicit, there is seldom any follow-through thatcould lead to better decisions in. future timeperiods. For example, it is not uncommon fordepartment chairmen to record at least the teach-ing assignments of faculty, if not the full range of*their assignments, but it is much less common fordepartment chairmen, after the fact, to go backand assess how much manpower resource wasactually utilized in carrying out the assignedactivities, and to use this information in improvingthe next cycle of assignments.

In short, while manpower budget and utiliza-tion data are potentially powerful managementdevices, they have not been incorporated to anysignificant extent into the planning and manage-ment processes in postsecondary education.

-This Manual represents one attempt to suggestthe data (and surrounding procedures) necessary toformalize the development of manpower budgetingand utilization data as a supportive basis for plan-ning and management decision making. Section Aof this chapter is devoted to describing the neces-sary steps in the development of a manpower

resource budget and a format for displaying dataabout the allocation of these resources. Section Bof the chapter deals with the procedures for acquir-ing data about actual use of manpower resourcesand entering these data into a format that allowscomparison of planned versus actual resource use.Through this mechanism it is felt that post-secondary education planners and managers willobtain some of the same kinds of benefits thatderive from the availability of finance budget andexpenditure data-specifically, a way of periodi-cally assessing the extent and reasons for devia-tion from their planned set of activities, of obtain-ing information that will suggest opportunities andneed for "midcourse corrections," and of obtaininginsights that will improve the manpower allocationdecisions in subsequent time periods.

On the conviction that the focal point for thedevelopment and use of manpower budgets is atthe departmental level and that effective use atother institutional levels must derive from a capa-bility at that level, Sections A and B are writtenwith the department being the unit of analysis. Atthe same time, it is recognized that data for theinstitution as a whole (particularly manpowerutilization data) are required for institutionalplanning and for reporting to agencies external tothe institution.

Because institution-wide information is notlikely to be readily derivable from departmentaldata in the. near future, however, a set of proce-dures and data formats designed specifically for useat the institutional level are also required. Theseform the content of Section C of this chapter.

A. Describing the Allocation ofManpower Resources

The process of budgeting or allocating manpowerresources consists of three essential steps. First, thetotal amount of manpower resources of each type

24

to be available for allocation is determined (esti-mated). Second, the programs to which manpowerresources are to be allocated are identified. Finally,the available resources are allocated to these pro-grams in accordance with the decision maker'sbest judgment about the amount of each type ofresource required to carry out the estimated orexpected level of activity in each program. Thesethree general steps apply regardless of the organi-zational levels within the institution at which themanpower budget is being developed and only theamount of detail needed will differ.

This section treats each of these steps in order.First, a means of describing the total amount ofmanpower resources available for allocation ispresented. Second, a means of identifying andcategorizing institutional programs to which theresources are to be allocated is suggested. Finally,procedures for recording the amounts of each typeof manpower resource allocated to each type ofinstitutional program are described. The net resultis a manpower resource budget summarized accord-ing to the following general Format 5.

1. Determining Resources A vailable for Alloca-tion. As noted previously, the first step in themanpower resource allocation process is that ofdetermining the amounts of each type of man-power resource to be available during the period oftime under consideration (that is, the developmentof an~ inventory of manpower resources). Asdescribed in Section C of Chapter 3, this stepinvolves estimating the number of service-monthsof each of the categories of manpower resource tobe available for allocation during the budgetperiod.

The determination (or estimation) of the totalamounts of each type of manpower resource avail-able for allocation can be either very simple or verycomplex, depending on the personnel and empl oy-ment. practices of the institution. The more vari-ation in appointment periods, the greater the pro-portion of part-time employees, and the greater thevariation in "kinds" of employees (as defined bythe resource categories to which they are appro-priately assigned), the more difficult or complex iscalculating resource availability.

Table 1 illustrates the information itemsnecessary to calculate the number of service-months of each type of resource available forallocation during the fiscal year. The illustrativeentries indicate the different levels of detail thatmight be dictated by differing employmentpractices.

One of the most useful tabulations of service-months likely will be on the basis of the twelve-month fiscal year, since that is the most commontime measure used for the input and expenditureof other resources. For this reason, the illustrationsall use the fiscal year. However, other time periodsmay, for some purposes, be of equal or greater use.An institution will, for example, want to know thestaff input to the production of student credithours or program completions during an instruc-tion-related period such as a quarter, semester, oracademic year. In such instances, because of thewide fluctuations of both input and output duringthe different academic periods (such as the fallterm and the summer session), the tabulation offiscal year will not be sufficiently detailed.

FORMAT 5Planned Allocation of Manpower Resources to Programs

Manpower Resources Available Pormfor Allocation, by Category Porm

25

Table 1. Service-Months of Each Type of Manpower Resource Available.

Organizational Unit: Physics Department Period Covered:________________

Resource Name of Individual or Number of Appointment Workload Service-MonthsCategory * Descriptor of Group of Employees Individuals Period Percent

(in months)(1) ~~~~~~~~(2) (3) (4) (5) (3)x(4)x(5) =(6)

*instructionl J. Brown (Academic Year) 1 9 1.00 9.0Research " (Summer) 1 3 .50 1.5Professionals F. Owens 1 6 .50 3.0

B. Franklin 1 12 1.00 12.0D. Gray 1 12 1.00 12.0J. Selby 1 9 .50 4.5R. Murphy 1 12 1.00 12.0L. Keller 1 9 1.00 9.0H. Pettit 1 10 1.00 10.0F. Morris 1 12 1.00 12.0K. Doer 1 12 1.00 12.0S. Cole 1 9 1.00 9.0

11 1. ~ ~ ~~~ ~~~~~3 .50 1.5Graduate Assistants 7 9 .50 31.5

SUBTOTAL FOR CATEGORY 139.0

Technical Research Technicians 2 12 1.00 24.0Summer Assistants 4 3 1.00 12.0

SUBTOTAL FOR CATEGORY 36.0

Off ice/ Departmental Secretaries 3 12 1.00 36.0

Clerical SUBTOTAL FOR CATEGORY 36.0

'Additional distinctions can be made here if deemed appropriate. For example, it may be appropriate to distinguish between "'GraduateAssistants" and "All Other Faculty" within the Instruction/Research Professionals category.

As indicated by the illustrative entries in Table1, where appointment periods and workload per-centages vary widely, the calculation of resourceavailability becomes almost an individual-by-individual calculation (as illustrated by the entriesin the Instruction/Research Professionals cate-gory). On the other hand, where all individualswithin a resource category have similar appoint-ment periods and workload percentages, theservice-months for that group of individuals can bedetermined through a single calculation (as illus-trated by the entries in the Office/Clerical resourcecategory). Between these two extremes lies thesituation in which there are a limited number ofemployment arrangements that apply to all indi-viduals in a resource category. In such circum-stances, a calculation of each group of individualshaving similar appointment periods is required (as

illustrated by the entries. in the Technical resourcecategory in Table 1). When calculating resourcesfor, the institution as a whole or for a majorsubunit thereof (such as a college), it usually isnecessary to deal with groups of employees andavoid individual-by-i'ndividual calculations.

The subtotals illustrated in Table 1 representthe total amount of each type of manpowerresource available to the specified organizationalunit 'for allocation in the fiscal year (or otherperiod) under consideration. As such, they repre-sent also the information to be entered in the firstrow of Format 5 on page 26.

2. Describing and Categorizing Programs. Hav-ing determined the amount of each type of man-power resource available for allocation, the nextstep is to describe the array of purposes to which

26

FORMAT 5Planned Allocation of Manpower Resources to Programs

Service-Months ProgramsManpower Resource Available

Instruction/Research Professional 139.0* _________

Executive/Administrative/Managerial Professional -0----Specialist/Support Professional -0----Technical 36.0* ____

Office/Clerical 36.0* ____ ________

Crafts/Trades -0---Service -0----

*From subtotals, Table I-entries in service-months.

these resources could be put. There undoubtedlyare numerous ways of describing and categorizingthese purposes. For a variety of reasons, they aredefined in this document in terms of the currentversion of the NCHEMVS Program ClassificationStructure (PCS). The PCS is basically a hierarchicalstructure, thus allowing description of those pur-poses to which resources might be allocated atwhatever level of detail is most appropriate.Further, it is intended to be an exhaustive list ofprograms-thus, there should be a way of describ-ing almost all programs of interest to an insti-tution. Finally, it should also be used as a meansof categorizing information on the allocation anduse of those kinds of resources (specifically finan-cial and facilities resources), thus providing ameans for linking the manpower budget to, forexample, the finance budget.

The Program Classification Structure identifieseight major programs as follows:

* Instruction* Research• Public Service* Academic Support* Student Service* Institutional Support• Independent Operations* Student Access

Within each of these main programs, the PCS pro-vides several additional levels of detail. The generalstructure of the PCS as described by programs andtheir respective subprograms is shown on page 27.

The definitions of the main programs areincluded in Appendix C. The NCHEMS ProgramClassification Structure has been revised to extend

its applicability to users throughout postsecondaryeducation. For a complete discussion of the revisedNCHEMS Program Classification Structure, refer tothe document titled Program Classification Struc-ture (Second Edition), Technical Report Number71, 1976.

The format for describing the allocation ofmanpower resources that results when the ProgramClassification Structure is used as the means forcategorizing programs is shown on page 28.

3. Recording, Allocations, of ManpowerResources to Institutional Programs. In any bud-geting process, :it is necessary to. determine theresources available for allocation and to identifythose programs or purposes to which theseresources must be distributed. The most significantaspects of the resource allocation process, however,are reflected in the decisions that determine thespecific amounts of each of the various types ofavailable resources to be allocated to each program.The balance of this section is devoted to describingthe procedures for recording the results of thosedecisions.

Again; the procedures to be described arepatterned largely after the process itself. In somecases the allocations to programs may be almostautomatic and the procedures for recording theseallocations are direct and simple. In other cases,both the allocations and the associated descriptiveprocedures become much more complex, with thefocus being placed on considerations of the assign-ment of specific individuals to specific programs.

,In the simplest cases, all the manpowerresources (or all the resources of a particular kind)

REVISEDPROGRAM CLASSIFICATION

STRUCTURE

INSTRUCTION PUBLIC ACADEMC STUDENT INSTITUTIONAL INDEPENDENTSTDNSERVICE SUPPORT SRICE SUPPORT OPERATIONS ACS

1.1 General Academic 2.1 Institutes and 3.1 Direct Patient Care 4.1 Library Sernices 5.1 Student Service 6.1 Snecative Manag.- 7.1 Independent 8.1 Student Recruit-Instruction Research Centers 3.2 Health Care Sup~ 4.2 Museums and Adreinistration ment Operations/ mient and Admit-(Degree-related) 2.2 Individual or portive Sensices Galleries 5.2 Social and Cultural 6.2 Fieancial Manage. Institutional. eions

1.2 Professiornal Career Project Research 3.3 Community 4.3 Educational Media Developmsent ment and Opera- 7.2 Independent 8.2 Financial AidInstruction Sruices ervices 5.3 Counseling and tionn Operations/ Administration(Degree-related) 3.4 Cooperatine Exten- 4.4 Academic Com- Career Guidance 6.3 General Adminis- Enternal Agencies 8.3 Schsolarships

1.3 Vocational/ simn Service puting Support 5.4 Student Health/ tration and 8.4 FellowshipsTechnical Instruc- 3.5 Public Broad. 4.5 Ancillary Support Medical Services Logistical Servicetion (Degre- casting Services 4.6 Academic Adminis- 5.5 Student Auviliary. 6.4 Administrationrelated)!tainS~ cmuigSp

1.4 Requisite Pcepara- 5.ationtervculegt CosnptigS-tory/Rnmedial 4.7 Course and 5.65IntrcollegatelpntIsrcion Curricalum Athletics 6.5physticaolnt'truct ~~~~~~~~~~~~~~~Development Oration1.5 General Studies 48eadic6.6 Faut and Stuff(Nonclegreel . caei Aunilitayy Services

1.6 Occupation rlated. Personnel Develop. 6.7 Public Relations/Instruction (Neon. ment Developmentdegree) 6.6 Student Records

1.7 Social Roles/Inter-action Instruction(Nonclegreel

1.8 Home and FamilyLife Instruction(Noncdegree)

1.9 Personal Interestand LeisureInstructionmrgclegree)

r.J

28

FORMAT 5

________ ~INSTITUTIONAL PROGRAMS*

1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0Manpower Resources Available Public Academic Student Institutional Independent Studentfor Allocation, by Category Total Instruction Research service Support Service Support Operations Access

Instruction/Research 139.0Professionals

Ex~ecutive/Administrative/ -0- -- -- ----

Managerial Professionals

Specialist/Support -0- -- -- ---

Professionals

Technical 36.0"

Office/Clerical 36.0*Crafts/Trades -0- -- -- ---

Service -0- -- -- ----

*Additional detail within the PCS should be used as necessary.

available to the individual organizational unit with-in the institution are assigned to a single program.Referring to the illustration summarized in Format5, if all the technical manpower resources (36.0'service-months) were to be allocated to a singleprogram (for example, Research), both the allo-cation decisions and the recording thereof wouldbe quite simple. Slightly more complex, but stillrelatively simple, are those situations in whichmanpower resources of a particular type are allo-cated to more than one program but in which theallocations are made by allocating all of certainindividuals' time to selected programs. Againreferring to the previous illustration, if clericalresources are to be allocated to instruction andresearch programs such that two of the indivi-duals concerned are allocated to the instructionprogram and one individual to the research pro-.gram, the allocations are reasonably easy todescribe.

Probably most difficult are those situations inwhich both the resources within a particular' cate-gory and the time of a single individual within thatcategory are divided among multiple programs.This situation is most prevalent in (but is notlimited to) the exempt categories, and particularlyin the Instruction/Research Professionals category.In such cases, the decision maker concerned withthe allocation of resources has two choices-eitherallocate the resources on the basis of some gene-

rally held criterion (% for instruction, 1/4 forresearch) or resort to what amounts to anindividual-by-individual allocation process. Theselection of allocation procedures will be influ-enced, of course, by the degree to whi ch budget/personnel/finance data and records are mechanizedand linked. Thus, if the records can be called uponeasily to display the division of staff time betweenthe instruction and research budgets, for instance,an individual-by-individual allocation is feasible.Institutional operations demand that each indivi-dual be assigned to specific duties and programs;the only question is whether these specific assign-ments become a consideration in the planning andbudgeting process or are not considered in detailuntil classes meet in the fall.

The following kind of worksheet can be used*to record individual resource allocation decisionsprior to summarization in a format such as thatindicated by Format 5.

Such data can be summarized as shown inTable 3 below by aggregating the data in columns4 and 5 from Table 2 for each category of man-power resource.

The data in Table 3 (or the data in Table 2 ingreater detail) represent a budget of-a plan for theuse of-t4he manpower resources in a single depart-ment. In the following section, procedures foracquiring data 'about the actual use of theseresources will be described.

29

Table 2. Allocation of Manpower Resources to Programs.

Organizational Unit:. Physics Department Period Covered:

Resource to be Allocated Allocation

Resource Description Amount* Program Name PCS Code** Amount *

Category (1) (2) (3) (4) (5)

Technical All resources inEmployees Technical Employee

Category 36.0 Nuclear Research 2.2.1904 36.0

Office/Clerical Departmental 36.0 Physics Insit. 1.1.1902 24.0Secretaries Nuclear Research 2.2.1904 12.0

Instruction/ J1. Brown 10.6 Physics Inst. 1.1.1902 9.0Research Nuclear Research 2.2.1904 1.5

F. Owens 3.0 Physics Inst. 1.1.1902 3.0B. Franklin, 12.0 Physics Inst. 1.1 .1902 6.0

Student Counseling 5.3.0000 6.00. Gray 12.0 Physics Inst. 1.1 .1902 10.5

Nuclear Research 2.2.1904 1.5J1. Selby 4.5 Physics Inst. 1.1 .1902 4.5R. Murphy 12.0 Physics Inst 1.1.1902 12.0L. Keller 9.0 Physics Inst. 1.1 .1902 9.0H. Pettit 10.0 Physics Inst. 1.1.1902 1.F. Morris 12.0 Physics Inst. 1.1.1902 3.0

Molecular Research 2.2.1903 3.0Research Office 6.1.0000 6.0

K. Doer 12.0 Physics Inst. 1.1 .1902 9.0Molecular Research 2.2.1903 3.0

S. Cole 10.5 Physics Inst. 1.1 .1902 6.0Audiovisual Services 4.3.0000 4.5

Graduate Assistants 31.5 Physics Inst. 1.1.1902 22.5Nuclear Research 2.2.1 904 9.0

.Expressed in service-months.**Level of detail can be modified according to intended use of data.

Table 3. Summary: Allocations of Manpower Resources to Programs.

Organizational Unit: Physics Department Period Covered _______________

Manpower Resources Available Institutional Programs*for Allocation, 1.0 2.0 3.0 4.0 5.0 6.0 7.0 B.0by Category Total Instruction Research Public Academic Student Institutional Independent Student

Service Support Service Support Operations Access

Instruction/Research 139.0 104.5 18.0 -4.5 6.0 6.0-Prof essionals

Executive/Administrative/ .0- --- - - -Managerial Professionals

Specialist/Support .0- - -------

Professionals

Technical 36.0 - 36.0 ------

Office/Clerical 36.0 24.0 12.0 ------

Crafts/Trades -0- - - -----

Service -0- --------

*Additional detail within the PCS should be used as necessar~y.

30

B. Describing the Utilization ofManpower Resources

The discussion in Section A of this chapter dealtwith the allocation or budgeting of manpowerresources. Because of the focus on a future timeperiod:

• the calculation of resource availabilityreflects expectation, and

• the allocation of resources to programsrepresents an a priori plan for resourceutilization.

For a variety of reasons an organizational unitmay not actually have available the amount ofresources it expects to have. Similarly, the orga-nizational unit may not actually utilize itsresou rces in the way envisioned at the time theallocation plan is prepared-individuals may be illfor extended periods of time, expected funding forresearch may not be forthcoming, individuals maybe promoted, and so forth. Some of the variationbetween the planned and actual allocations ofresources will be the result of intervening decisionsmade in response to unforeseen problems oropportunities. Some deviation from the plan mayresult from "~poor"~ planning -certain activitiesmay just have required mere resources thananticipated. Whatever the reason, it can beexpected that the actual utilization of manpowerresources will not be exactly the same as thatenvisioned prior to the beginning of the fiscal year.

For planning and management purposes withinan institution of postsecondary education, it isextremely valuable to obtain information con-cerning the actual utilization of manpowerresource "~budget'' developed prior to the fiscalyear. Much can be learned from investigating thedifferences found between planned and actual. Forexample, such comparisons provide some basis formonitoring organizational adherence to the pursuitof agreed-upon objectives. To be sure, minimumdeviation between manpower budgets and actualutilization of manpower resources does not ensurethat an institution's objectives are being met. Widediscrepancies, however, do suggest the possibilityof deviation from the objectives stated at the timethe budget was prepared. 'if wide discrepancies,when more thoroughly investigated, reveal nodeparture from pursuit of stated objectives, a dif-

ferent kind of important information is obtained-information that can aid in improving the plan-ning and budgeting process in the following cycle.

To obtain the maximum advantage from man-power data, therefore, it is necessary that data onthe actual utilization of manpower resources aswell as information on the allocation (the plannedutilization) of these resources be made available.This requires (1) that data be available concerningthe actual amount of each type of manpowerresource utilized by the organization and (2) thatdata be acquired to describe the actual utilizationof these resources within the various programs.

1. Determining Resources Actually Utilized.The process for determining actual amounts ofmanpower resources utilized by an institution ordepartment during a specified (past) period of timeis directly analogous to the process described inSection A of this chapter for calculating resourcesexpected to be available for allocation (in a futuretime period). While a calculation of expectedresource availability is based on estimates of thefuture, the determination of actual amounts ofresources utilized can be based on data availablein institutional records. Thus, the determination ofresources utilized becomes a matter of compilingand analyzing available data rather than of esti-mation or projection.

To determine the actual amount of each typeof manpower resource utilized over a period oftime, it is necessary to ascertain:a. The individuals employed during that period

of time.b. The institutional manpower resource category

for each of these individuals.c. The number of service-months for each indivi-

dual.Again, the actual procedures to be followed in

compiling this information may vary from insti-tution to institution, depending largely on therecords available. In some institutions, the payrolland employment records may be sufficiently com-plete to yield these data directly with very little, ifany, additional analysis being required. At otherinstitutions, obtaining the data may require con-siderable additional effort. In almost all cases, how-ever, it is anticipated that sufficient information to

31

identify the individuals employed during theperiod of time under consideration and to indicatethe amount of time they were employed can beobtained from payroll records, personnel records,or from employee contracts (the latter forInstruction/Research Professionals). The assign-ment of employees to manpower resource cate-gories should be available from similar sources. Inthe absence of all other sources of information,department chairmen and heads of other organiza-tional units can be asked to provide the missinginformation. At the most detailed level, therequirement is for completion of a format such asthat illustrated in Table 1, with entries in the formbeing actual, rather than estimated or expected,data.

Regardless of the procedures followed, theobjective should be to determine the actualamount of each type of manpower resourceutilized by the department for the time periodunder consideration. Because these data have usesthat require their comparison with data aboutmanpower resource "budgets" for the same periodof time, it is appropriate to display actual data inthe same format.

2. Describing the Resources Utilized by EachProgram. A complete picture of manpowerresource utilization requires a determination of

both the amounts of manpower resources actuallyutilized and their distribution to the various pro-grams within the organizational unit. That is, thereis the need to acquire information of the kindshown in Table 3, with entries reflecting actual,rather than planned, utilization of the resources.

While the data required to calculate theresources actually available and utilized typicallyare obtainable from institutional records (or areotherwise q uite readily derivable), informationabout the actual distribution of these resourcesto programs almost always must be specially pre-pared. In some institutions, accounting records aredetailed enough to provide these data, but suchcases are clearly in the minority. To obtain thisinformation, some form of special data acquisitioneffort almost always is required. This effort istypically one of two varieties-the departmenthead may be asked to describe how the resourcesavailable to him or her were employed, or theindividual employees may be asked to report howthey used their time. In the first case, the depart-ment head might provide information in ageneral form like that suggested by Table 4.

The entries of this kind clearly are estimatesbased on the department heads' knowledge of howindividuals used their time.

FORMAT 5(Showing Service-Mon ths of Each Type of Manpower Resource Utilized)

Organizational Unit: Period Covered:

PROGRAM8V

1.0 2.0 3.0, 4.0 5.0 6.0 7.0 8.0-. ~~~~~~Total Utilized Public Academic Student Institutional Independent Student

Manpower Resource Categories by Category* Instruction Research Service Support Service Support Operations Access

Instruction/ResearchProf essionals

Executive/Administrative/Managerial ProfessionalsSpecialist/Support

-Professionals

Technical

Office/Clerical

Crafts/Trades

Service

*En tries in service-mnonths.

32

Table 4. Utilization of Manpower Resources by Programs.

Organizational Unit: Physics Department Period Covered:

Resources Utilized Distribution

Resource Description Amount* Program Name PCS Code** Amount*Category I(1), (2) (3) (4) (51Technical Employees All resources in

Technical EmployeeCategory 36.0 Nuclear Research 2.2.1904 36.0

Office/Clerical Departmental Physics Inst. 1.1.1902 21.0Secretaries 36.0 Nuclear Research 2.2.1904 15.0

Instruction/Research J1. Brown 9.0 Physics Inst. 1.1.1902 9.0Professionals

Etc. Etc.

*Expressed in service-months.**Level of detail can be modified according to intended use of data.

If individuals are asked to report how theyused their time, some more formal mechanismgenerally is required. One possibility is self-reporting through use of a so-called faculty activityreport. Such reports require that individual facultymnembers report the number of hours per week (orpercent of tim e) they devote to different kinds ofactivities and to different institutional programs.These individual reports yield data that can beSummarized in a format such as that suggested byFormat 6 which follows. Procedures and forms forconducting faculty activity analyses have beendeveloped by many institutions and agencies. Onesuch set of forms and procedures that is parti-cularly appropriate for, acquiring informationabout the utilization of. manpower resources byinstitutional programs has been developed byNCHEMVS and is described in a publicationentitled Faculty Activity Analysis: ProceduresManual. * It should be noted that these moreelaborate procedures for acquiring manpowerresource utilization data pertain primarily toInstruction/Research Professionals. While it isnecessary to acquire similar information for othercategories of manpower resources, the proceduresnormally used will be much less complex.

Regardless of the procedures followed foracquiring these data, they should be displayed in a

*Leonard Romney, 1973.

format similar to table 3 to facilitate comparisonof information about planned and actual resourceutilization.

C. Summa ry Information AboutResource Utilization

The previous section dealt with utilization of man-power resources from the perspective of thedepartment chairman or other institutional admin-istrator who. requires detailed information. Formhany purposes, particularly for reporting to exter-nal agencies, summary i nformation is required. Inalmost all such cases, the emphasis is on actualUtilization of manpower resources rather than onthe assignment of those resources; any comparisonsof data are relative to utilization in previous timeperiods. The data collected are very similar tothose described in the previous section, the pri-mary difference being that they are collected fromthe institution asa6 whole rather than for a unitwithin the institution. Because most institutionsare not yet in a position to generate institution-wide data by aggregating data from individual

uits, this section has been added to suggest waysof generating summary information for the insti-tution directly.

There are two general kinds of summary dataabout manpower resource utilization that tend tobe collected on a more or less regular basis. First,there are very general questions about the utiliza-

33

tion of all manpower resources available to aninstitution. More specifically, data are collectedabout amounts of each major category of man-power resource available to an institution and thedistribution of those resources to institutionalprograms. Second, more detailed data are collectedabout Instruction/Research Professionals. In thiscase, questions of distribution of Instruction/Research Professional resources to disciplines orfields of study and to institutional programs aremost prevalent. The balance of this section isdevoted to a presentation of the types of formatsmost frequently used in conjunction with develop-ing summary information about manpowerresources for reporting to external agencies and toa brief description of some of the procedures forentering data into these formats.

1. Summary Information About All ManpowerResources. Format 6 below represents one way ofpresenting highly summarized information aboutthe utilization of an institution's manpowerresources. Even more highly summarized informa-tion can be achieved by combining informationabout Technical, Office/Clerical, Crafts and Trades,and Service manpower resources into a single figurerepresenting all nonexempt employees.

The procedures for developing the data to beentered into this format consist essentially of twosteps; first, the calculation of the amount of man-power resources of each category utilized (fillingin the first column of the format), and, second,distributing these totals for each category acrossinstitutional programs. The process for estimatingthe amount of resources of each category utilizedduring a year is very much as described in .Chapter3; that is:

a. All employees of.the institution are categorizedinto one (and only one) of the manpowerresource categories.

b. Within each category, employees are differen-tiated as being either full-time or part-timeemployees.

c. The amount of manpower resource in eachcategory is calculated (measured either in termsof FTEs or, as suggested in the Manual, inservice-months). Most institutions are not yetin a position to perform this calculation on anindividual-by-individual basis. A generallyacceptable procedure calls for assuming allfull-time employees in a given category repre-sent a'similar amount of manpower resources(11 FTE, 9 or 12 service-months, for example)and, likewise for all part-time employees (.33or .50 FTE, 3, 4, or 6 service-months). Theparticular value selected depends on insti-tutional practice.

The process for estimating and reporting thedistribution of each category of manpowerresources across institutional programs typically Isrelatively more difficult. Available records are tooseldom directly supportive of this process. As~aresult, institutions generally must estimate a ndpiece together data of various kinds to arrive at anestimated distribution of manpower resources toprograms. Since most nonacademic departmentscan be linked to a single institutional program(physical plant and purchasing to Program 6.0,Institutional Support; library to 4.0, AcademicSupport; and so forth), it is possible to identifyquite readily all departments contributing toeach program, calculate the manpower resourcesavailable to those departments, and enter that

FORMIAT 6Summary of Manpower Resource Utilization by Institutional Program

INSTITUTIONAL PROGRAMS

1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0Total Available Public Academic Student Institutional Independent Student

Manpower Resource Categories Category Instruction Research Service Support Service Support Operations Access

Executive/AdministrativeManagerial

Instruction/Research

Specialist/Support

Technical

34

data in the appropriate rows and columns. Inother departments (typically the academic depart-ments), the one-to-one relationship betweendepartments and programs is much less likely tohold. In such cases a means for estimating distri-bution of manpower resources is required. Inthose institutions where faculty activity analysesare regularly conducted, the data collected in thatprocess provide an excellent basis. In the absenceof such data, a distribution of manpower resourceson the basis of financial expenditure data is com-mon (if academic department expenditures are 80percent for instruction and 20 percent for research,the manpower resource utilization is assumed tobe the same).

2. Summary In formation about Utilization ofInstruction/Research Professional Resources. Inaddition to summary information about the utili-zation of all manpower resources, there are recur-ring requests for additional information aboututilization of Instruction/Research Professionalresources. These requests most commonly take thegeneral form of Format 7.

In this case, the process for entering data intothis format is a three-step process. First, the totalamount of Instruction/Research Professional man-power resources utilized is calculated. Second, adistribution of those resources to disciplines ismade. Finally, a distribution of the total resourcesavailable in disciplines to functions or programs ismade. Finally, a distribution of the total Instruc-tion/Research Professional resources utilizedduring the period are the same as those describedin conjunction with the previous format (in fact,the sum of column 1 in Format 7 should be thesame as the sum of row 2 in Format 6). The dis-

tribution of these resources to disciplines is seldomstraightforward. The preferable procedure wouldcall for the manpower resources available to eachdepartment to be calculated with the resourcesrepresented by individuals holding multipleappointments being distributed to more than onedepartment. In many institutions, this procedureis not feasible, the optional procedure then beingone based on data derived from payroll systems;that is, individual-by-individual assignments todisciplines are made (and promotions calculated)on the basis of data for a particular payroll period.

Again, the distribution of resources to func-tions or programs tends to be the most difficultstep. If faculty activity analysis data are available,they are a preferable basis for making this dis-tribution. If not, the distribution can be made onthe basis of either expenditure data as describedabove or on the basis of estimates of the distri-bution provided by department chairmen. Both ofthese estimating techniques are commonly in use.

3. Summary. A brief description of proce-cures that can be used in developing data forreporting manpower resource information to exter-nal agencies has been presented in Section C of thischapter. In preparing this section, an attempt hasbeen made to recognize the current data limita-tions of most institutions and to suggest certainestimating procedures that can be used to over-come these data deficiencies. It is anticipated that,as the concepts included in this Manual becomemore widely accepted and used, more data forreporting purposes will be available directly frominformation systems and less estimation will bereq u ired.

FORMVAT 7

Utilization of Instruction/Research Professional Resources by Discipline and Function (Program)

Functions (Programs)Discipline Total Resources Available IsrcinResearch All Other

0100 Agriculture020003000400etc.

TOTAL

35

.Managing. the Manpower Resource(Describing Assignments and Activities)

Two previous chapters of this document dealt withdescribing manpower resources available to aninstitution and with describing the allocation ofthese resources to institutional programs. For pur-poses of describing the general resource picture atthe institution and conveying this picture to exter-,nal audiences, the definitions and display formatspresented in these previous chapters probably aresufficient. For purposes of institutional or depart-mental management, the information items sug-gested in these chapters are fundamental, and nec-essary, points of departure. While nece ssary, thesedata items are not sufficient to support the plan-ning and management functions within the insti-tution. To actually allocate manpower resourceand monitor their utilization at least enough toensure efficiency and effectiveness of operation atthe intra-institutional level, it is necessary to goone step beyond the point previously, described-the next step being to identify the specific activ-ities to which individuals in the various manpowerresource categories have been assigned.

IBy following the procedures described in theprevious chapters, information is obtained concern-ing the amounts of each category of manpowerresource allocated to, or utilized by, each of the

various institutional programs. For example, it ispossible to describe the amount of Instruction!Research Professional manpower used by theInstruction programs (the entry in the shaded areain the following table).

At the intra-institutional level, however, it isnot sufficient to deal at this level of generality. Inmaking faculty assignments, the department chair-man does not assign Professor X to the Instructionprogram; rather Professor X is assigned to teach aparticular course, to carry out academic programadvising activities, or to develop a new curriculum.It is at this more specific level that manpowerresources are allocated within the institution; it isat this more detailed level that information aboutthe actual utilization of manpower resources mustbe made available if it is to be of use in improvingthe resource allocation process within an institu-tion or a department. Only by understanding, insome detail, the ways in which manpowerresources actually are being used can the depart-ment chairman or other institutional administratormake adjustments that will result in improvementsin manpower resource efficiency or effectiveness.For example, if it were discovered that all of thefaculty time devoted to the Instruction program

INSTITUTIONAL PROGRAMS*1.0 2.0 3.0 4.0 50 *6.0 7.0 8.0

Manpower Resources Available for Public Acad. Stud. Inst. Indep. StudentAllocation, by Category Total Instruction Research Service Support Service Support Oper. Access

Instruction/Research Professionals:' ____

Executive/Administrative/ManagerialProfessionalsSpecialist/Support Professionals

TechnicalOffice/Clerical ____ ______

Crafts/TradesService

*Additional detail within the PCS should be utilized as necessary.

36

was devoted to scheduled teaching activities withnone being devoted to academic advising or curri-culum development, the department chairmanshould question whether some diversity of instruc-tional activities ought not to be fostered. Similarly,if it were discovered that technicians were spendingsignificant portions of their time teaching coursesor advising students, the institutional administratorshould be concerned with the way in which theseactivities are being conducted.

Again, when recording information about theallocation and utilization of manpower resources atthis level of detail, the two guidelines mentionedearlier in this document should be followed. First,those data on allocations of manpower (plannedutilization) and those on actual utilization shouldbe recorded in similar formats. Only if the "before"and "after" data can be compared and the differ-ences; identified can these data be of real use inimproving the resource allocation process at theintra-institutional level. Second, the methods andformats for recording this information should bedesigned in such a way that they parallel thedecision-making process as much as possible. Thislatter point has several important implications. Atthis level of detail it is necessary to be concernedwith all three dimensions of the problem-theamount of each type of manpower resource avail-able for allocation, the specific activities to whicheach individual is to be assigned, and the institu-tional programs to which this activity is intended,to contribute. In practice, decision making at thedepartmental level proceeds in the general ordersuggested above, that is, from resource determina-tion, to activity assignment, to concern with insti-tutional programs. At this point, it should be noted

thtthis ordering does not imply that concern withprograms is of third-order consequence. In manycases there is a one-to-one correspondence betweenactivities to be performed and the programs toWhich these activities are intended to contribute.For example, it usually is quite clear that when afaculty member is assigned to teach a course or toperform curriculum development activities thatthese activities are intended to contribute to theInstruction program. There are cases, however,where this relationship is not so direct, such aswith clerical employees. In such cases the em-ployees generally are assigned to activities that are

almost synonymous with the resource category (inthe case of clerical employees, clerical activities)and the major concern then becomes one of identi-fying the institutional programs to which suchactivities contribute.

One significant difference-in addition to levelof detail-becomes apparent when attention isfocused on "activities" rather than on resourceamounts and program-level distinctions: it is nec-essary to treat each manpower resource categoryseparately since-the types of activities performedby these different groups of people are so dif-ferent. It is not productive to consider the fullrange of possible activities when considering theallocation or utilization of individual categories ofmanpower resources-for example, the list ofactivities to which faculty members might beassigned need not include such distinctions as"typing, ". .sweeping floors," and so forth.

On the basis of the previous discussion, it ispossible to suggest appropriate procedures and for-mats for recording detailed information concerningthe allocation and utilization of manpowerresources.

Step 1. Ascertain the amount of each cate-gory of manpower resource available. The proce-dures and formats appropriate for this step are thesame as those described in Chapter 3. Becauseassignments to activities typically are made on anindividual-by-individual basis, descriptions of avail-able manpower resources should be on this samebasis for departmental use. The result of the first'step in this process is an estimate of the manpowerresource, by category, available for allocation bythe department or other organizational unit underconsideration. These results can be summarized ina format such as Table 1, which is repeated onthe next page.

Step 2. Assign manpower resources to activ-ities. When making assignments of manpowerresources to activities at the departmental level,there is no way to avoid the necessity of goingthrough each manpower resource category, indivi-dual by individual, and assigning each person to aset of specific activities (Professor X assigned toteach courses Physics 101, Physics 408, and soforth) or to a role that implies a specific set ofactivities (Professor Y assigned to serve as Asso-

37

Table 1. Service-months of Each Type of Manpower Resource Available.

Organizational Unit: Physics Department Period Covered:________________

Resource Name of Individual or Number of Appointment Workload Service-MonthsCategory* Descriptor of Group of Employees Individuals Period Percent

(in months)(1) (2) (3) (4) (5) (3)x(4)x(5) =(6)

Instruction/ J. Brown (Academic Year) 1 9 1.00 9.0Research (Summer) 1 3 .50 1.5Professionals F. Owens 1 6 .50 3.0

B. Franklin 1 12 1.00 12.0D. Gray 1 12 1.00 12.0J. Selby 1 9 .50 4.5R. Murphy 1 12 1.00 12.0L. Keller 1 9 1.00 9.0H. Pettit 1 10 1.00 10.0F. Morris 1 12 1.00 12.0K. Doer 1 12 1.00 12.0S. Cole 1 9 1.00 9.0

11 11 ~ ~ ~~~ ~~~~~3 .50 1.5Graduate Assistants 7 9 .50 31.5

SUBTOTAL FOR CATEGORY 139.0

Technical Research Technicians 2 12 1.00 24.0Summer Assistants 4 3 1.00 12.0

SUBTOTAL FOR CATEGORY 36.0

Off ice/ Departmental Secretaries 3 12 1.00 36.0Clerical SUBTOTAL FOR CATEGORY 36.0

'Additional distinctions can be made here if deemed appropriate. For example, it may be appropriate to distinguish between "GradtiattAssistant"and "All Other Faculty" within the Instruction/Research Professionals category.

ciate Dean of the Graduate School). In short, thestarting point in the manpower resource allocationprocess at this level of detail is almost inevitably anindividual-by-indlividual summary of assignments tospecific activities. While seldom recorded soformally, the result is similar to that shown in thefollowing formats.

While it is necessary to start this process withan individual-by-individual assignment to activities,there are many reasons for having a department-summary of the assignments of all individuals ineach manpower resource category. And to makethis summary, it is necessary to have a more-or-lessstandard set of activity categories to which indivi-dual assignments can be related. For most man-power resource categories no such list of activitycategories has been developed (for example, there,exists no generic list of activities typically per-

formed by Executive/Administrative/ManagerialProfessionals that can serve this purpose). P~otsome manpower resource categories (for examlile,clerical employees), it is possible that no such sub-division is appropriate. For Instruction/ResearchProfessionals, however, such a list has been deveil-oped and can be used to summarize this inforrha-tion according to Format 10.

Until more detailed categories of activities forthe other manpower resource categories are devised(or when it is decided that no such subdivision iswarranted), the summaries for the other categorieswould be single line entries, as in Format 11.

The utility of developing activity categories forother manpower resource categories is an bpenquestion, one deserving further discussion ahdconsideration.

38

FORMAT 8

Individual Assignment Record

Name:

Resource Category: Instruction/Research Professionals

Total Service-Months Available: 12

Fall Term: Service-Months for Period 4 -9;

Phy 101Phy 408Research

Percent252550

Service-Months1.11.12.3

Spring Term: Service-Months for Period _

Phy 102Phy 309Phy 409Research

Summer Term: Service-Months for Period

4.5Percent

25252525

Service-Months1.11.11.11.2

3Percent

100ResearchService-Months

3.0

FORMAT 9

Individual Assignment Record

Name:______________________________

Resource Category: Office/Cleric~al

Fiscal Year: Service-Months Available 12

Activities Percent Service-Months Clerical 100 12

Step 3. Allocations to institutional programs.As indicated previously, the relationship betweenspecific activities and the institutional programs towhich they are intended to contribute often is verydirect. In such cases, the determination of alloca-tion of resources to programs at the departmentallevel is a trivial problem. In other cases, this one-to-one relationship does not exist and the allocationof manpower resources to institutional programsbecomes an integral part of the resource allocationprocess (for example, the allocation of Office/Clerical manpower resources goes beyond assign-ment to specific activities such as typing, and mustconsider also institutional programs, such as typing

to support the Instruction or Research programs,and so forth). Whether a natural consequence ofassignment to activities or whether an integral partof the allocation decision, the programmatic conse-quences of manpower resource allocation decisionsare extremely important and should be a specificconsideration during the allocation process. Thus,Formats 8 and 9 should be augmented to reflectsuch considerations.

In reality, assignments to both activities andprograms would be accomplished simultaneouslyso that in practice Formats 12 and 13 would beused rather than Formats 8 and 9.

39

FORMAT 10Summary of Instruction/Research Professional Assignments

Organizational Unit:_

Period Covered:-

Activity *

Scheduled TeachingUnscheduled Teaching

Academic Program AdvisingCourse and Curriculum Research and Development

Research, Scholarship, and Creative Work Activities

Student-Oriented ServiceAdministrative Duties

Committee ParticipationProfessional Service/Advice Directed Outside the

InseeiFaultyi ciioAayssnrcdrsMaulfrdtisneiiin

Total*

Service-Months for Period

'*Should agree with the total for the manpower resource category shown on Table 1.

FORMAT 11Summary of Assignments

Organizational Unit:

Period Covered:

All activity categories

*Should agree with the total for the manpower resource category shown on Table 1.

The departmental summary of all the man-power resource allocation decisions might take theform shown in Format 14.

It should be noted that Format 14 containsbasically the same information as Table 3, the onlydifference being the added detail concerning theallocation of the Instruction/Research Professionalmanpower resources. The end point has beenarrived at in this case through a very detailed pro-cess, the results of which have been aggregated intoa department summary. In the previous case, theresult was obtained by calculating the availableresources and estimating distribution to programs.

The above discussion has dealt solely with iheallocation, or budgeting, of manpower resources.As has been noted several times throughout thisdocument, such information has its greatest use-fulness if it can be coupled with information aboutthe actual utilization of these resources. Suchinformation can be acquired in two ways. First, thedepartment chairman can, after the fact, estimatethe actual utilization of the individual in each of.the manpower resource categories. In such cases, itagain almost necessitates an individual-by-individualassessment of activities actually performed,although for some categories a group of employees

40

FORMAT 12

Individual Assignment Record

Name:Resource Category: Instruction/Research Professionals

Total Service-Months Available: 12

Fall Term: Service-Months for Period: 4Assignments Percent Assignment

Phys 101Phys 408Research

252550

Equivalent Service-Months

112

Contributions to Programs1.0 2.0 3.0 . . 8.0Inst. Res.100%100%25% 75%

Spring Term: Service-Months for Period 4Assignments Percent Assignment

Phys 102Phys 309Phys 409Research

25252525

Summer Term: Service-Months for Period: 4Assignments Percent Assignment

Research 100%

Equivalent Service-Months

Equivalent Service-Months

4

Contributions~to Programs1.0 2.0 3.0 . . 8.0Inst. Res.100%100%100%50% 50%

Contributions to Programs 1.0 2.0 3.0 . . 8.0-Inst. Res.

25% 75%

FORMAT 13Individual Assignment Record

Name:____________________Resource Category: Office/ClericalFiscal Year: Service-Months Available 12

Service - 1.0 2.0

Activities Months Inst. Res.

Clerical 12. 50% 50%

can be treated together. Second, the employeesthemselves can be asked to provide informationabout the way they utilized their time. This kindof procedure is widely used for faculty members;histo~rically, it seldom has been used for other cate-gories of manpower resources. Using eitherapproach, the final result should be information of

the type indicated in Format -14, with the entriesrepresenting actual utilization rather than plannedutilization. Formats 12 and 13 represent thegeneral form of the information to be acquired foreach individual, which then is summarized intoFormat 14.

I

41

FORMAT 14Manpower Resource Al locations FY____

Organizational Unit:

PROGRAMSTotal 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0

Resource Categories Service- Public Academic Student Inst. Indep. StudentAnd Activities Mon ths Inst. Res, Service Support Service Support Operation Access

Instruction/Research ProfessionalsScheduled TeachingUnscheduled TeachingAcademic Program AdvisingCourse and Curriculum Research

.and DevelopmentResearch, Scholarship, and

Creative Work ActivitiesStudent-Oriented ServiceAdministrative DutiesCommittee ParticipationProfessional Service/Advice

Directed Outside Institution

Executive/Administrative/ManagerialProfessionals

All Activities

Specialist/Support ProfessionalsAll Activities

Technical EmployeesAll Activities

Office/Clerical EmployeesAll Activities

Crafts/Tradles EmployeesAll Activities

Service EmployeesAll Activities

43

Appendices

44

Appendix A

Institutional Manpower Resource Subclassificationsand

Detailed Definitions

A more detailed discussion of the seven institutional classifications of employees, with subcategoriesappropriate to each, are as follows:

1.0 Executive/Administrative/Managerial Professionals

This classification includes employees who exercise primaryresponsibility for the management of the institution, or of acustomarily recognized department or subdivision thereof,and who devote no more than 20 percent of their work-week to Fair Labor Standards Act (FLSA) nonexemptwork. Assignments may require the performance of workdirectly related to management policies or general businessoperations of the institution or the performance of func-tions in the administration of a department or subdivisionthereof directly related to academic instruction. This cate-gory conventionally will include employees with such jobtitles as president, controller, dean, director, assistant to.the president, assistant dean, assistant director, coordinator.It may not include the head, chairman, or other adminis-trative assignee within a department or similar unit unlesssuch person is primarily an administrator exercising specificadministrative authority while other activities are second-ary. It is assumed that assignments in -this category custom-arily and regularly' require the incumbent to exercise dis-cretion and independent judgment, and to direct the workof others.

Subcategories of the Executive/Administrative/ManagerialProfessionals category:1.1 Assignment at this top level requires reporting either to

the top executive officer or to the governing board forthe operation of a system, or institution, or for a prin-cipal phase or portion of the institutional operation.

1 .2 Assignment requires the administration of a group ofprograms or a major operational unit, normally report-ing to an officer holding a top executive appointment.

1.3 Assignment requires the administration of an opera-tional unit or program, or shares responsibility for amajor unit with an administrator at a higher level.

1.4 Assignment requires administrative support, above theclerical level, to a manager at a higher level, engagesdirectly in specific administrative activities within aunit or subdivision, or has firstline supervisoryresponsibilities.

2.0 Instruction/Research Professionals

Employees in this classification customarily receive assign-ments for the purpose of instruction and/or research, with acombination of those activities being the most commonsituation, It must be borne in mind that these classificationsderive from the institution's perception of the employee,but such perceptions are reflected most accurately in theassignments that the institution gives. Thus, a President orVice-President of the institution, or the Dean of a College,even though they may carry also the title of Professor, arenot members of the Instruction/Research Professionalsclassification unless they normally spend 50 percent ormore of their time in instruction and research activities.The term "faculty" is advisedly not used in a determiningor definitive sense to describe this activity because thatterm has no universal or agreed-upon meaning for staffgroup coverage among institutions of postsecondary educa-tion. While the traditional faculty titles are used in the sub-categories because they do make some contribution tounderstanding, they are used reluctantly. This reluctancederives from the knowledge that these terms, too, have lostuniversality of meaning if, indeed, they ever had it. Thesetitles appear also in the main body of this Manual, to con-tribute to the definitions. The following discussion permitsclassification of undesignated rank staff, researchers, visit-ing scholars, and so forth on a single scale.

2.1 Senior Instruction/Research-Assignment and classifi-cation at this top level implies a full level and scope ofacademic and scholarly responsibility and experience inthe professional field. The institution expects leader-ship in some aspect(s) of academic and scholarly per-formance, such as curriculum development, excellencein teaching, development of knowledge and other con-tributions to the academic field. Most commonly,assignment and classification at this level may beassociated with such titles as professor and associateprofessor.

2.2 Junior Instruction/Research-Assignment and classifi-cation at this next level implies professional responsibi-

45

lity and experience at any entry or intermediate level,with a considerable latitude of independence *in theperformance of assignments, but with limitations onthe freedom to select and structure those assignments.Most commonly, assignment and classification at thislevel may be associated with such titles as assistantprofessor and instructor.

2.3 Graduate St~udent-Assignment and classification atthis level implies that personnel in'this category per-form with guidance from others exercising primaryresponsibility. The category typically is staffed bypeople with student status at the employing institu-tion and may be associated with such titles as teachingassociate, teaching assistant, teaching fellow, and soforth.

3.0 Specialist/Support Professionals

This category has a number of features in common with theprevious two classifications of Executive/Administrative/Managerial' Professionals and Instruction/Research Profes-sionals. Persons in these three categories conventionallyare drawn from the same or similar education, training,experience and vocational backgrounds. Typically there issome intercategory mobility among these three categories,and all three (and only these three) are in the Fair LaborStandards Act exempt category. It is common for personsclassified and assigned in this occupational category to havesecondary or permanent occupational titles derived fromthe Instruction/Research Professionals category, or to belumped with the previous two classifications' in a groupcalled "academic." This category includes persons givenassignments requiring knowledge of an advanced type in afield of science or learning, or original and creative work inan artistic field, and no more than 20 percent of the work-week is devoted to ELSA nonexempt work. This categoryincludes such employees as pathologists, pharmacists,attorneys, librarians, accountants, architects, systemsanalysts, psychologists, counselors, and so forth, employedfor the primary purposes of performing or operating in theareas of academic support, student services, and institu-tional support, but excluding individuals who have execu-tive or managerial (supervisory) responsibilities in theseareas.

A useful set of subcategories in the classification may bederived from the educational qualifications conventionallyrequired at different levels.3.1 The advanced level assignment and classification woulId

require that the incumbent normally would haveattained a doctoral degree or equivalent.

3.2 The intermediate level assignment and classificationwould require that the incumbent normally would haveattained a master's degree or equivalent.

3.3 The entry level assignment and classification wouldrequire that the incumbent normally would haveattained a bachelor's 'degree or equivalent.

4.0 Technical Employees

This classification and assignment includes employees whoexercise specialized 'knowledge and skills of the type thatnormally are acquired in postsecondary educational pro-grams that do not lead to a bachelor's degree but do lead toa recognition of completion of a planned and sequentialprogram. Such technical staff may be computer operators,dental assistants, photographers, draftsmen, position clas-sification specialists, airplane pilots, practical nurses,occupational therapists, ornamental horticulturists, engi-neering technologists, and so forth. While these skills nor-mally are acquired in formal postsecondary educationalprograms, incumbents may have acquired them throughexperience also.

Subcategories in this classification are indicated for insti-tutional convenience only. Interinstitutional comparisonand reporting by subdivisions in this classification does notseem warranted, given the present-day state of the art ofclassification, because manpower markets and character-istics are predominantly localized. Standard definitionsmay be developed in the future as demand indicates theneed and as more is learned about this manpower categoryin postsecondary education institutions. For its own pur-poses the institution may distinguish:4.1 Advanced classification and assignments4.2 Intermediate classification and assignments4.3 Entry classification and assignments.

5.0 Office/Clerical Employees

This classification includes employees who perform clericaland secretarial duties in offices or other locations in whichone customarily finds clerical staff. This includes secre-taries, typists, bookkeepers, file clerks, inventory clerks,and so forth, and they may be found in offices, warehouses,motor pools, laboratories, and so forth, Subcategories inthis classification are indicated for institutional convenienceonly. Interinstitutional comparison and reporting, by sub-divisions in this classification does not seem warranted,given the present-day state of the art of classification,because manpower markets and characteristics are pre-dominantly localized. Standard definitions may be devel-oped in 'the future as demand indicates the need and asmore is learned about this manpower category in post-secondary education institutions. For its own purposes theinstitution may distinguish:.5.1 Advanced classification and assignments5.2 Intermediate classification and assignments5.3 Entry classification and assignments.

46

6.0 Crafts and Trades Employees

This classification includes employees who performmanually skilled activities in a craft or trade, including airconditioning installers, appliance repair men, automechanics, carpenters, electricians, roofers, painters,plumbers, and so forth. Persons so employed may havederived their skills from trade or vocational schools, or mayhave served (or be serving) apprenticeships. Interinsti-tutional comparison and reporting by subdivisions in thisclassification does not seem warranted, given the present-day state of the art of classification, because manpowermarkets and characteristics are predominantly localized.This localization of conditions is particularly reflected inthe regional variations in trade union activities and arrange-ments. For its own purposes the institution may distinguish:6.1 Advanced classification and assignments. For some

trades, this may correspond to the trade's own classi-fication as "master."

6.2 Intermediate classification and assignments. This maycorrespond to the trade's own classification as "jour-neyman."

6.3 Entry classification and assignments. This may cor-respond to the trade's own classification as "appren-ti ce."

7.0 Service Employees

This classification includes employees assigned to activitiesrequiring only a limited amount of previously acquiredskills and knowledge. It includes such employees as custo-dians, groundskeepers, security guards, food serviceworkers, drivers, messengers, and so forth. It is true parti-cularly with respect to this classification that interinsti-tutional comparisons or other reporting of anything butaggregate data from this category does not seem warrantedin this Manual, given the state of the art of classificationand the extreme localization of the manpower markets andcharacteristics. For the institution's own convenience, andfor its own purposes, such as salary schedules, the insti-tution may distinguish:7.1 Advanced classification and assignments7.2 Intermediate classification and assignments7.3 Entry classification and assignments.

47

Appendix B

Compensation Survey Titles

Compensation Survey Titles are job titles surveyed periodi-c~ally by the College and University Personnel Association,the American Association of University Professors, theNational Education Association, the National Center forEducation Statistics, and a number of other agencies. Titlestypically surveyed by these agencies have been included inthe coding structure as a convenience to the institution. Itshould be emphasized, however, that titles are not to beconsidered in classifying employees for manpoweraccounting.

These codes will be utilized in the Higher EducationGeneral Information Survey (HEGIS) conducted by theNational Center for Education Statistics in p1977-78.

Faculty Rank Titles and Codes

The following titles identify the faculty rank title given anemployee by an institution. Typically, faculty rank titlesare associated with instructional assignments; however,ot her professional assignments frequently carry facultyrank titles. The code, therefore, allows faculty rank titles tobe identified independently of any manpower resourcecategory.

Faculty Rank Title

1 Professor234.5

6

Associate ProfessorAssistant Professor

InstructorLecturer

Teaching Associate

78

Teaching AssistantUndesignated Rank

Administrative Titles and Codes

The list of administrative titles has evolved over a numberof years of data gathering by the College' and UniversityPersonnel Association, the National Education Association,and the Higher Education General Information Surveys ofthe National Center for Education Statistics.

In its first field review edition of this manual in 1972,NCES fixed a list of ad ministrative officers drawn from theabove sources. No modifications were introduced between1972 and 1976. The HEGIS administrative salary tabu-lations and the administrative officers lists in the highereducation directories used this list and its numeric codesfrom 1972-73 through 1976-77.

In 1976, CUPA revised the list of titles used in their Admin-istrative Compensation Survey, including the writing of newposition descriptions. This 1976 CUPA list forms the basefor the list of 75 administrative titles included in thismanual, 59 from the CUPA list, and 16 additional titlesfor NCES survey purposes,

CUPA regrouped its 59 positions in process of revision andassigned them new position numbers, These CUPA positionnumbers are shown in the following pages, but the insertionof the 16 added positions at appropriate points requires useof a different sequence in this manual. Thus, the revisedlist of position titles displays the future NCES positionnumbers, the 1976-77 and 1975-76 CUPA position num-bers, and the 1972.1976 H EG IS numbers.

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

01 01 Chief Executive Officer (President/Chancellor). The princi-pal administrative official responsible for the direction ofall affairs and operations of an institution of higher educa-tion. Usually reports to a governing board.

02 02 Chief Executive Officer Within a System (President/Chan-cellor). The principal administrative official responsible forthe direction of all affairs and operations of a campus or aninstitution of higher education which is part of a university-wide system. Reports to the. President/Chancellor of thesystem.

01 01

02

Npw HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

03 -03 03 Executive Vice President. The principal administrativeofficial responsible for all or most major functions andoperations of an institution of higher education under thedirection of the Chief Executive Officer. Acts for the ChiefExecutive Officer in the latter's absence.

0.4 58 - - Assistant to the President. The senior professional staffassistant to the Chief Executive Officer.

05 02 04 04 Chief Academic Officer. The senior administrative officialresponsible for the direction of the academic program ofthe institution. Functions typically include academic plan-ning, teaching, research, extensions, admissions, registrar,library activities, and coordination of interdepartmentalaffairs. Reports to the Chief Executive Officer.

06 64 06 05 Registrar. The administrative official with principal respon-sibility for student enrollment and records. Functionstypically include undergraduate registration, scheduling ofclasses, examinations and classroom facilities, maintenanceof student records and related matters. Usually reports tothe Chief Academic Officer.

07 39 07 06 Director of Admissions. The administrative official withprincipal responsibility for the recruitment, selection andadmission of undergraduates. Participates in developmentof admissions criteria, and coordinates review of anddecisions on applications. May also be responsible for theadmission of graduate and professional students, or forscholarship administration or similar functions. Usuallyreports to the Chief Academic Officer.

08 05 08 07 H-ead Librarian. Directs the activities of all institutionallibraries. Functions typically include selection and directionof professional staff, acquisitions, technical services, audio-visual services, special collections, and may include thedirection of a school of library science. Usually reports tothe Chief Academic Officer.

09 47 14 08 Director, Institutional Research. The administrative staff*official responsible for the conduct of research and studieson the institution itself. Functions performed or super-vised typically include design of studies, data collection,analysis, reporting, and related staff work in support ofdecision making.

10 03 1 2 09 Chief Business Officer. The senior administrative officialresponsible for the direction of business and financialaffairs. Functions supervised typically include accounting,

*purchasing, physical plant and property management,personnel services, food services and auxiliary enterprises,and may include computer services, investments, budgetsand security. Reports to the Chief Executive Officer.

49'

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

1 1 60 20 10 Controller. Directs accounting, payroll, cashiering auditand related functions. May also have responsibility forinsurance programs, and office services such as mail andtelephone. Usually reports to the Chief Business Officer.

12 -- 1 1 Bursar. Supervises cashiering, billing, collection and relatedaccounting functions, including those connected withstudent fees and loans, and auxiliary enterprises. May haveresponsibility for investment transactions and records, andbank deposits and withdrawals. Reports to Controller.

13 -10 12 Director, Information Systems. The senior administrativeofficial who directs the development, implementation andmaintenance of administrative management informationsystems. Functions typically include responsibility fordeveloping systems requirements, systems analysis andapplications, planning of services and facilities, and coordi-nation with and advice to users~ May also include responsi-bility for direction of the administrative computer center.

14 22 09 13 DirectorComputer Center. Directs the institution's majordata processing facilities and services. Functions typicallyinclude computer programming, scheduling, determinationof hardware and software requirements, computer opera-tions, and staff selection and supervision.

1 5 49 15 14 Director, Personnel Services. Administers the institution'spersonnel policies and programs for staff, or faculty andstaff. Functions typically include staff recruitment andemployment, wage and salary administration, benefits,personnel records and reports, implementation of and com-pliance with personnel-related government requirements,and, where applicable, labor relations. Usually reports tothe Chief Business Officer.

16 -- 1 5 Director, Labor Relations. Administers the instituti on'scollective bargaining agreements, including negotiation,interpretation and grievance handling. Acts as the admin-istration's representative in contacts with union officials,and advises supervisors on labor relations matters.

17 -1 6 16 Affirmative Action/Equal Employment Officer. Theadministrative official responsible for developing, admin is-tering and monitoring institution-wide programs designedto insure equality of opportunity without regard to race,color, sex or national origin, and to correct underutilizationof minority members in any employment category.

18 50 1 7 1 7 Director, Physical Plant. The senior administrative officialresponsible for the construction, rehabilitation and main-tenance of physical facilities. Functions typically includesupervision of new construction and remodeling, grounds

50

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

and building maintenance, power plant operation; mayinclude campus security, safety and fire prevention. Usuallyreports to the Chief Business Officer.

19 -- 18 Director of Security. Supervises programs for maintainingsecurity of personnel and property. Functions includedevelopment of security plans and procedures, supervisionand training of campus police, investigation of criminalactivities on campus, and liaison with local policeauthorities.

20 -- 19 Director of Safety. Supervises programs for accident andoccupational disease prevention covering students, facultyand staff. Develops safety regulations and procedures,investigates accidents, recommends corrective measures,conducts safety training programs, and ensures adherenceto government regulations.

21 63 18 20 Purchasing Agent. Conducts central purchasing operationsfor procurement of equipment, materials and servicesrequired by the institution. Functions typically include pre-paration of specifications, selection of vendors, contracting,quotations and bidding, receiving and stores, approval ofinvoices and related matters. Usually reports to the ChiefBusiness Officer.

22 45 19 21 Director, Food Services. Administers all institutional foodservices, whether directly managed and operated or catered.Functions typically include food purchasing, productionand service facilities, equipment and practices, quality con-trol, and related records. Usually reports to the ChiefBusiness Officer.

23 59 22 22 Manager, Bookstore. Directs the operation of the campusbookstore. Functions typically include purchase and sale ofnew and used books, supplies and equipment, advertising,employment and supervision of sales staff, maintenance ofsales and inventory records, and related matters. Usuallyreports to the Chief Business Officer.

24 42 13 23 Chief Budgeting Officer. The senior administrative officerresponsible for the preparation and consolidation of theinstitution's budget. Develops budgeting policies and pro-cedures, prepares related studies and forecasts, andmonitors adherence to budget. May also include responsi-bility for long-range planning, unless there is a separateplanning function.

25 51 - 24 Contract Administrator. Conducts administrative activitiesin connection with contracts and grants. Collects and dis-seminates information on possible sources, prepares oradvises on preparation and submission of contract proposal,ensures adherence to institution's agencies' policies and

51

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

requirements, participates in contract negotiations andmaintains related records and controls.

26 07 25 25 Chief Public Relations Officer. The senior administrativeofficial responsible for public relations programs. Functionstypically include public, legislative and community rela-tions and information office functions; may include alumnirelations and publications. Usually reports to the ChiefExecutive Officer.

27 46 26 26 Director, In formation Office. Directs the provision ofinformation about the institution to students, faculty andthe public. Functions typically include news media rela-tions, preparation and review of news releases and photo-graphs, and preparation and distribution of news letters,information bulletins, magazines and other publications.Reports to the Chief Public Relations Officer.

28-- 27 Director, Publications. Directs editing, production anddistribution of the institution's catalogs, bulletins, bro-chures, reports and other publications. Functions typicallyinclude editing and rewriting, design, illustrations, layout,and selection of printers.

29 40- 28 Director, Alumni Relations. Coordinates alumni activitiesand relationships with the institution. Functions typicallyinclude liaison with and assistance to alumni organizations,arrangement of reunions and special alumni events and pro-grams, and supervision of alumni records.

30 04 24 29 Chief Development Officer. The senior administrativeofficial responsible for programs to obtain financial supportfor the institution. Functions typically include design,implementation and coordination of programs for obtain-ing annual, capital and deferred gifts from alumni founda-tions and other organizations; coordination of volunteerfund-raising activities; and related records and reports. Inthe absence of an organizational co-equal specificallyassigned to the function, may have responsibility for publicrelations, alumni relations and information office activities.Reports to the Chief Executive Officer.

31 43 1 1 30 Director, Community Services. Directs or coordinates theconduct of special (usually non-credit) educational, cul-tural and recreational services to the community. Mayinclude scheduling, program development, and related pro-motional activities.

32 08 28 31 Chief Student Life Officer. The senior administrativeofficial responsible for the direction of student life pro-grams. Functions typically include student counseling andtesting, student housing, student placement, student union,

52

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

relationships with student organizations and related func-tions; may include student health services and financial aid.Reports to the Chief Executive Officer.

33 09 - - Dean of Men. Directs the student life activities solely con-cerned with male students. Functions typically includefraternity relations, male discipline, and related matters.

34 1 0- - Dean of Women. Directs the student life activities solelyconcerned with female students. Functions typicallyinclude sorority relations, female discipline, and relatedmatters.

35 57 29 32 Director, Student Union. Directs the operation of a stu-dent union building and related student activities. Func-tions typically include supervision of food service facilities,activities programming, guest rooms, information desk,recreational facilities and arrangements for special func-tions or activities, Reports to the Chief Student LifeOff icer.

36 56 30 33 Director, Student Placement. Directs the operation of astudent placement office to provide job placement andcareer counseling services to undergraduates, graduates andalumni. Supervises on-campus recruiting activities by pro-spective employers, and maintenance of related files andrecords. May also be responsible for placement of studentson part-time jobs within or outside the institution. Usuallyreports to the Chief Student Life Officer.

37 53 31 34 Director, Student Financial/Aid. Directs the administrationof all forms of student aid. Functions typically includeassistance in the application for loans or scholarships,administration of private, state or federal loan programs,awarding of scholarships and fellowships, student coun-seling on financial aid matters, and maintenance of appro-priate records. Usually reports to the Chief Student LifeOfficer.

38 52 32 35 Director, Student Counseling. Directs non-academic coun-seling and testing services for students, including referral tooutside counseling facilities, Usually reports to the ChiefStudent Life Officer.

39-- - Religious Counsellor. Directs the student life activitiessolely concerned with religious practices, observances andorganizations.

40 55 21 36 Director, Student Housing. Directs all residence hall opera-dions for students, including room assignments, residentiallife programs and activities, and enforcement of residencerules and regulations. May also administer off-campus

5.3

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

housing programs. Usually reports to the Chief Student LifeOfficer.

41 41 33 37 Director Athletics. Directs intramural and intercollegiateathletic programs. Functions typically include schedulingand contracting for athletic events, employment and direc-tion of athletic coaches, recruitment of student athletes,publicity, ticket sales, and equipment and facilities main-tenance.

42 61 - Head Basketball Coach. Coache s the intercollegiate basket-ball program. Generally responsible for recruiting, coaching,and training athletes, supervision of assistant coaches,supervision of athletic residence and conditioning facilities,and similar functions.

43 62 - - Head Football Coach. Coaches the intercollegiate footballprogram. Generally responsible for recruiting, coaching, andtraining athletes, supervision of assistant coaches, super-vision of athletic residence and conditioning facilities, andsimilar functions.

44 54 27 38 Director, Medical Services. The senior administrativeofficial with responsibility for administration of the insti-tution's health programs for students, faculty and, staff;infirmaries and clinics; and affiliated health-care activities.

45 06 05 39 Chief Planning Officer. The senior administrative officialresponsible for the direction of long-range planning and theallocation of the institutioni's resources. Functions typicallyinclude translation of the institution's goals into specificplans, facilities planning, budget planning, related researchand feasibility studies, and may also include responsibilityfor current planning and budgeting, as well as state andfederal relations. Reports to Chief Executive Officer,

46 65 23 40 Staff Legal Counsel. The principal salaried staff personresponsible for advising the institution on its legal rights,obligations or privileges and on legal or legislative develop-ments. May participate in litigation, and in legal aspects ofunion relations, contract negotiations and acquisition andother government agencies, or serve as principal contactwith, other legal counsel. (Do not report unless on insti-tution's payrollI.)

Dean or Director. Serves as the principal administrator forthe institutional program indicated:

47 11 35 41. Agriculture

48 12 34 42 Architecture

49 13 36 43 Arts & Sciences

50 14 37 44 Business

54

New HEGIS HEGIS CUPA1977 1972-76 Position Number

Position Number Position Number 1975-76 1976-77 Position Title and Description

51 15 - - Continuing Education

52 16 38 45 Dentistry

53 17 39 46 Education

54 18 40 47 Engineering

55 19 - - Evening Division

56 20 41 48 Ex tension

57 2 1 4 2 49 Fine Arts

58 22 43 50 Graduate Programs

59 23 44 51 Home Economics

60 24 - - Journalism

61 25 45 52 Law

62 26 - - Library Science

63 27 46 53 Medicine

64 28 47 54 music

65 29 - - Natural Resources

66 30 48 55 Nursing

67 31 49 56 Pharmacy

68 32 - - Physical Education

69 33 - - Public Health

70 34 50 57 Social Work

71 35 - - Special Session

72 36 51 58 Technology

73 - - - Theology

74 37 - - Veterinary Medicine

75 38 52 59 Vocational Education

55

Appendix C

NCH EMS Program Classification Structure

1.0-Instruction Program

The Instruction program includes those activities carriedout for the express purpose of eliciting some measure of"educational change" in a learner or group of learners."Educational change" is defined to include (1) the acqui-sition or improved understanding of some portion of abody of knowledge; (2) the adoption of new or differentattitudes, and (3) the acquisition or increased mastery of askill or set of skills. The activities that may be carried outto elicit these educational changes include both "teaching"activities and "facilitating" activities (which are morecommonly associated with the design and guidance of alearning experience rather than with teaching somethingto a learner). The facilitating role can be distinguishedfrom that of academic advising in that while facilitating isan integral part of the design and conduct of the instruc-tional program, academic advising is generally carried out insupport of the instructional program (for example, clarify-ing requirements, describing alternatives). The Instructionprogram includes both credit and noncredit instructionalofferings.

The subprograms within the Instruction program are:1.1 General Academic Instruction (Degree-Related)1.2 Professional Career Instruction (Degree-Related)1.3 Vocational/Technical Instruction (Degree-Related)

* 1.4 Requisite Preparatory/Remedial Instruction1.5 General Studies (Nondegree)1.6 Occupation-Related Instruction (Nondegree)1.7 Social Roles/Interaction Instruction (Nondegree)1.8 Home and Family Life Instruction (Nondegree)1.9 Personal Interest and Leisure Instruction (Nondegree)

2.0-Research Program

The Research program includes those activities intended toproduce one or more research outcomes including newknowledge, the reorganization of knowledge, and the appli-cation of knowledge. It includes both those activitiescarried out with institutional funds and those carried outunder the terms -of agreement with agencies external to theinstitution. Research activities may be conducted by anynumber of organizational entities including research divi-sions, bureaus, institutes, and experimental stations.Instructional activities such as workshops, short courses,and training grants should not be classified within theResearch program but should be classified as part ofInstruction unless they satisfy the specific criteria outlinedfor inclusion within the Public Service program.

The subprograms within the Research program are:2.1 Institutes and Research Centers2.2 Individual or Project Research

3.0-Public Service Program

The Public Service program includes those programelements that are established to make available to thepublic the various unique resources and capabilities of theinstitution for the specific purpose of responding to acommunity need or solving a community problem.Included in this program are the provision of institutionalfacilities as well as those services of the faculty and staffthat are made available outside the context of the insti-tution's regular instruction and research programs.

The subprograms within the Public Service program are:3.1 Direct Patient Care3.2 Health Care Supportive Services3.3 Community Services3.4 Cooperative Extension Services3.5 Public Broadcasting Services

4.0-Academic Support Program

The Academic Support program includes those activitiesthat are carried out in direct support of one or more of thethree primary programs (instruction, Research, PublicService). The activities that should be classified in this pro-gram incl~ide (1) activities related to the preservation,maintenance, and display of both the stock of knowledgeand educational materials (for example, library servicesand museums), (2) activities that directly contribute to theway in which instruction is delivered or research is con-ducted (for example, educational media services, academiccomputing support, ancillary support), (3) those activitiesdirectly related to the administration of academic pro.grams, and (4) those activities related to the professionaldevelopment of academic personnel.

The subprograms within the Academic Support program are:4.1 Library Services4.2 Museums and Galleries4.3 Educational Media Services4.4 Academic Computing Support4.5 Ancillary Support4.6 Academic Administration4.7 Course and Curriculum Development4.8 Academic Personnel Development

56

5.0-Student Service Program

The Student Service program includes those activitiescarried out with the objective of contributing to theemotional and physical well-being of the students as well asto their intellectual, cultural, and social development out-side the context of the institution's formal instruction pro-gram. The Student Service program attempts to achieve thisobjective by (1) expanding the dimensions of the student'seducational and social development by providing cultural,social, and athletic experiences, (2) providing those servicesand conveniences needed by students as members of anon-campus, resident student body, and (3) assisting stu-dents in dealing with personal problems and relationshipsas well as in their transition from student to member-of thelabor force.

The subprograms within the Student Service program are:5.1 Student Service Administration5.2 Social and Cultural Development5.3 Counseling and Career Guidance5.4 Student Health/Medical Services5.5 Student Auxiliary Services5.6 Intercollegiate Athletics

6.0-Institutional Support Program

The Institutional Support program consists of those activ-ities carried out to provide for both the day-to-day func-tioning and the long-range viability of the institution as anoperating organization. The overall objective of the Insti-tutional Support program is to provide for the institution'sorganizational effectiveness and continuity. It does this by(1) providing for planning and executive direction, (2) pro-viding for administrative and logistical services, (3) main-taining the quality of.the physical environment, (4) enhanc-ing relationships with the institution's constituencies, and(5) providing services and conveniences for the employeesof the institution.

The subprograms within the Institutional Support programare:6.1 Executive Management6.2 Financial Management and Ope rations6.3 General Administration and Logistics Services6.4 Administrative Computing Support6.5 Physical Plant Operatioms

6.6 Faculty and Staff Auxiliary Services6.7 Public Relations/Development6.8 Student Records

7.0-Independent Operations Program

The Independent Operations program allows classificationof those program elements that are independent of, orunrelated to, the primary missions of the institution. TheIndependent Operations program includes those operationsthat are owned or controlled by the institution as invest-ments,, but only if thepy are financed as part of the insti-tution's current operations. Operations that representinvestments of the institution's endlowmenit funds shouldbe accounted for in the Endowment Fund Group andtherefore should not be classified in the PCS (which is usedto classify only current operations and accounts).

The subprograms within the Independent Operations pro-gram are:7.1 Independent Operations/institutional7.2 Independent Operations/External Agencies

8.0-Student Access Program

The Student Access program includes those activitiescarried out with the objective of obtaining a student bodyhaving those characteristics the institution desires (such asacademic qualifications and capabilities, socio-economicstatus, racial/ethnic background, athletic abilities). Includedin this program are those activities carried out (1) toidentify prospective students, (2) to promote attendance atthe institution, (3) to provide incentives related to thedecision of prospective students to attend the institution(including financial assistance), and (4) to process theadmissions applications of potential students. It does notinclude promotional activities designed to create a favorableimage of the institution with the general public (thoseactivities should be classified in subprogram 6.7, PublicRelations/Development), but it does include those activ-ities specifically intended to influence the attendancedecisions of prospective students (for example, partici-pation in high school "college fairs").

The subprograms within the Student Access program are:8.1 Student Recruitment and Admissions8.2 Financial Aid Administration8.3 Scholarships8.4 Fellowships

57

Appendix 0

Acknowledgments(Preliminary Edition)

Many people have contributed to the preparation of AManual for Manpower Accounting in Higher Education,and they are all deserving of our gratitude.

Typical of the technical documents produced by theNational Center for Higher Education Management Systemsat WICHE, the manual has been shaped under the directionof a task force representing the major users of the manualat institutional, regional, and national levels. NCHEMS isindebted to these men and women and the organizationsfrom which they come for generous contributions of timeand professional expertise. The task force, members are:

Charles AllmandAssistant to the Vice-President for Academic AffairsUniversity of Michigan

Robert CainDirector, Sponsored Surveys and Studies SectionOffice of Economic and Manpower StudiesNational Science Foundation

Theodore H. DrewsChief, Higher Education Surveys BranchNational Center for Education StatisticsU.S. Office of Education

Lois R. FeldheymFaculty and Staff Affairs SpecialistCalifornia State College System

Dr. Fred FordDirector of PersonnelUniversity of Pennsylvania

Dr. Peggy Heim(Academic Year 1971-1972)Office of the Provost, Bucknell University(Academic year 1970-1971)Professor of Economics, Wofford CollegeDr. James Hobson(Representing the American Association of Junior Colleges)Vice-Chancellor for AdministrationUniversity of California at Los Angeles

Dr. Edith M. HuddlestonEducation SpecialistHigher Education Surveys BranchNational Center for Education StatisticsU.S. Office of Education

Duane KringenBusiness ManagerSt. Olaf College

Margaret E. MartinStatistical Policies and Management Information

Systems DivisionOffice of Manpower and BudgetExecutive Office of the President

Dr. Onie MyersVice-President for Business AffairsEmory UniversityEx OfficioJerry AndersonExecutive SecretaryCollege and University Personnel Association

Ron SappDirector, Office of Administrative SystemsJohns Hopkins UniversityTechnical Council Representative

Cooperation with the College and University PersonnelAssociation was coordinated most effectively by the Execu-tive Director, Jerry Anderson.

Encouragement and freedom to innovate were provided byTed Drews, Chief, Higher Education Surveys Branch,National Center for Education Statistics, U.S. Office ofEducation. The fact that the manual could be prepared isdue to Mr. Drews' careful development of the HigherEducation General Information Survey (HEGIS) and thesupport of Mrs. Dorothy M. Gilford, Assistant Commis-sioner for Education Statistics, U.S. Office of Education.

Portions of the Manual have been contributed by DouglasMacLean, Vice-President for Staff Services, University ofHouston (Administrative Survey Titles, Chapter 4); and Dr.Warren Gulko, Director, Development and ApplicationsProgram, NCH EMS (Program Classification Structure,Chapter 3).

As general technical consultant, Frank Ives, Director ofPersonnel, University of Colorado, provided frequent andhelpful professional advice in resolving technical issuesduring the day-to-day preparation of preliminary drafts.

At Boulder, under the Center's Visiting ProfessionalsProgram, presenting of the classification structure was con-dlucted by Charles Allmand, Assistant to the Vice-President

58

Finally, thoughtful and constructive review of preliminarydrafts by Dennis Jones, Dr. C.C. Lovell, Leonard Romney,Dr. James Topping, and Gordon Ziemer of the NationalCenter for Higher Education Management Systems atWICHE has added significantly to the content and organiza-tion of the Manual.

for Academic Affairs, University of Michigan; Will Holla-day, Director of Personnel, Miami-Dade Junior College; andLarry Voss, Director. of Personnel Relations, CaliforniaState Polytechnic College. John Haugo, Director of Infor-mation Systems, Minnesota State College System, con-ducted a similar test with selected Minnesota state colleges.

59

Appendix E.Commentary

A. The Concept of Service'Months

Throughout ihe imiahual, there is a focus On manpo wer as'aresource needed and utilized by~institutions to achieve theirprogrammatic objectives, and on the importance of the wisemanagement of that resource. A consequence of this per-spective, is, the requirement that some' adequate way. tomeasure manpower resources be .available., Historically,"full-time equivalents," (FTE) has been t~hg most commnonmeasure of manpower resources. (Whore an FTE is definedas the resource equivalent of one individual working full-time for ai.particular period of time.) For many categoriesof employee, this measure i~s quite, appropriate since comn-mon practice holds that the "particular period of time".istwelve months. There are other, categories of staff, parti-cularly the instruction/research staff, for which the periodof time varies, widely from institution to institution. Atsome institutions, the time period involved is 11 or 12months; at Others the period may be as sh ort as 8 months.It has not been possible, 6ver a period of many years, toobtain agreement on the length of this basic time period.No single value suits all users. The use of the service-monthconcept is an attempt to avoid that issue by focusing onlyon the numerator of the following calculation and leavingthe selection of the appropriate value of the denominatorto the user.

FTE _~Service-months/Service-months per FTE

The concept of service-months is consistent with thewidely accepted concept of FTE while avoiding the prob-lems associated with the common. agreement about thev~alue of the denominator in the FTE calculation. It shouldbe noted that this problem is directly analogous to theproblemr associated with calcu lating numbers of FTEgraduate students. For the most, part there is agreermnt onthe form of the calculation, that is:

FTE radStudnts Grad. Student Credit Hours (SCH)SCH per FTE graduate student

While the form of the calculation is quite readily ag reed to,the numerical value assigned to the denominator is hot. Inpractice , the values assigned by different users vary from18 to 30. In the absence of agreement on this value, usershave two choices; they can establish a conrventional valueand ask that all providing the data use that Value or they*can collect data pertaining only to the numerator and per-form the calculation of FTE ex post facto using the valuemost appropriate to the user's needs. It is submitted that,the latter approach is both more acceptable to data pro-

viders and results in data that are greater utility to a varietyof users.

As an alternative to the concept of FTEs (and the surrogateconcept of gervice-mcnths) some have proposed that themeasure of manpower. resources be expressed in terms offull-time employmenit for an "acadeimic Year- ird short,that the basic time period be for the undefined period of anacademic year.

Some experts in academic 6drilnistration make the pointthat the instruction/research staff member is commonly, inmr~any' ihstitutions, employed for a -period known as the"acadenjic year." While the academic year differs in preciselength from institution to institution, there is an acceptedahd conventional conceptualization of the academic year asbeing a calendar period. goinig,from the fall of the year tothe late spring of the .following year,~ during which time anenrolled student, comipletes one year of a four-year pro-gram. It is often-stated as a 9- 10 month period.~ However,there are academia years as short as 8 months and there areacademic years as logas 101A months. In rebuttal, it isargued that *an instructicon/research staff meImber Who isemployed for 'the academi~c year is employed to apply acertain amount of work effort, primarily cerebral, capableof being performed at times~and places having no necessaryrelationship to the locus of work of any standard workperiod. It is thereby contended that Whatever may be thecalendar length of the academic year. the amount of inputand effort that the instruction/research staff memberapplies to His, full-time assignment during this academic yearis equal. Therefore, goes. the argument, this. is a moreprecise. measure of the staff resource input into instruction!research than would be a service-month, since the amountof time and effort that a staff memiber would apply duringany given . service-month would Vary. In addition, theargument runs, to measure in terms of months would resultin false differences. It is contended that the instructioh/research staff member who works for an 8-mhonth academ icyear is contributing as much of himself and is a~plying asmuch effort, and is a resource input to the institutionalprogram,' equal to that of the instruction/research staffmember who puts in a 1 0-month academic year.

Since this thesis is put forward by; persons of prestige,standing, and experienced knowledge in higher educatioh,it must be influential, and it must be considered.

The authors of this manual'did not accept this position, as

60

is obvious from a reading of the volume. There were a num- research staff member who had a contract for the academnicber of reasons for this, which reasons, at a minimum, year. One can readily grant that in many cases, this selec-persuaded them that the academic year was not a fixedand consistent quantity.

The most persuasive piece of evidence to the effect thatthis concept of the academic year is not consistent asamong institutions, is the practices of the institutions them-selves. At many institutions, an instruction/research staffmember can work for the academic year, and then is per-mitted to engage in an additional 3 months of work forpay from the institution, and in addition, may still have aone-month vacation period. In other words, the institutionis stating, in the clearest possible way, that the academicyear is two-thirds of the calendar year. Still other insti-tutions permit as little as one-month of paid employmentin addition to a contract and assignment for the academicyear. In such case, it is obvious that the academic year issomething considerably more than two-thirds of thecalendar year, although the varying vacation practices makeit difficult to say precisely what fraction of the calendaryear this is.

An additional piece of evidence, also provided by the insti-tutions, is that at some institutions a full-time student whoattends for the full period of timne during which an instruc-tion/research staff member is employed for the academicyear, can complete varying amounts of his degree pro-gram. For instance, at some institutions, the student whoattends for the full period of the employment academicyear, can actually complete two and one-half semesters.Those institutions are saying that their academic year repre-sents twenty-five percent more than the academic year ofthe two-semester institutions. Again, while it is not pos-sible to equate exactly the differing contributions ofinstruction/research staff member time and effort intothese academic years, it does seem reasonable to concludethat they are different.

These two variations in institutional practices convinced theauthors that the academic year was not the fixed and con-,sistent measure that it is believed to be in some quarters.

As the work on this manual progressed, the authors wereable to articulate for themselves an understanding that alldesigners of new systems of records must, at least uncon-sciously, have. This is the realization that no system ofrecord-keeping that is intended to improve on a presentsystem can be adopted by any user without any possibilityof modification of some current practices on the part of theuser. In this case of the service-month, to take a veryobvious example, it would be necessary for an institution todecide on the beginning date of service for an instruction/

tion would have some elements of arbitrariness. On theother hand, experience in the operation of any institutionshould permit a judgement and selection of that date onwhich the instruction/research staff member is required tobe available for duty. It does not matter that he may havestarted in advance of this date to prepare himself for thecoming academic year. All responsible professionalsundertake preparation for their job in advance for the firstday of duty. Similarly, the institution can set a date, suchas the June commencement date, perhaps, on which, con-ventionally, the instruction/research staff member on anacademic year appointment is free of assignment.

It is recognized that many institutions may wish to estab-lish a convention within their institution as to the instruc-tion/research staff member status during the various va~ca-tion periods. At most institutions, the instruction/researchstaff member is on duty and paid during these periods.The assumption in such cases is that he is working onresearch, or studying, or grading examinations, or readingtheses, or whatever.

It is additionally recognized that institutions do not, nec-essarily, make the duty period coincident with the payperiod. This 'is not a major problem. There are some insti-tutions that employ an instruction/research staff memberfor the academic year, but give him his salary in twelveequal monthly installments stretching over the fiscal year.Others pay the salary in 9, or 10, or 11 payments. Thismatters not at all, and should not influence the establish-ment of the conventional beginning and end of theacademic year. By the same token, the institutions mayestablish conventions as to whether or not the instruc-tion/research staff member is on duty during the vacationperiods and this convention may also be unrelated as towhether or not there is a full month's pay for the periodduring which the vacation occurs.

Thus, after a great deal of interaction with the educationalcommunity, the authors feel that no superior alternativeto the measure of service-months has yet been offered, andit has been retained.

B. Instruction/Research Staff Nomenclature

This manual, for reasons that were persuasive to theauthors, deliberately avoids the use of much familiar termi-nology in categorizing and defining the instruction/researchstaff. The most noticeable omission, of course, is of theterm "f aculty." In addition, while the standard profes-sorial ranks are retained for purposes of salary reports, andare referred to in discussion and definitions, they are not

I

61

retained for purposes of tabulating staff by function. Otherfamiliar terms, such as "academic" and "teaching staff,"are also not used in this manual. The reason for decidingnot to use these terms is simply that they have acquired avariety of definitions and inclusions at different institu-tions. It is no longer possible to write a single definition forany of these terms that would be accepted. Therefore, theauthors deemed it wise to use terms that do not yetacquired any such hard, fixed, and inconsistent, definitions.This, as may be imagined, is met, minimally with unease,and maximally with great concern and criticism.

The critics of the early drafts of the manual made the pointthat the institutions of higher education are comfortablewith, and accustomed to, certain kinds of terminology thathave been in use over the long history of higher education.This is very true. They point out that a system of recordsand statistics is more likely to meet with acceptance if itmakes use of familiar terminology that permits the insti-tutions continuity of policies and management practicesover time and is less disruptive of their time series and theirinternal relationships. This is also true, but these legitimateand appropriate concerns do not out-weigh the counter-vailing considerations.

One of the important concerns of the authors as theydeveloped this manual, was that there is no consistent rulefor inclusion in the group called "faculty" at institutions ofhigher education.' There are some institutions in which theresearch staff is routinely included in the faculty; there areother institutions in which the research staff has a differentgrouping and they are not faculty. There are institutions inwhich the total professional staff in the library is includedin the faculty; in still other institutions the administratorsare part of the faculty. These practices are appropriate tothe institutions in which they obtain. However, aggrega-tions of data from these "faculty" groups are not com-parable. They are not exchangeable. They are not infor-mative to those who would use the data for policy deci-sions and planning outside the institution.

Current trends in the management of higher education dataare toward the development of uniform and consistentcategories of data, consistently defined in a manner that isuniversally acceptable, so that aggregates of data from insti-tutioris may be exchanged without extended descriptions ofgroups and subgroups contained within the terminology.

It would be neither appropriate nor feasible to attempt aredefinition of the term "faculty" and to have any pos-sibility of acceptance at any institution except the insti-tution that was already employing precisely that dlefini-

tion. Therefore, the authors assume that every institutionwill retain it's own definition of faculty and will continueto use that term in a manner that is appropriate to the pur-poses of that institution. However, fo~r purposes of develop-ing normative data and for the exchange of date, thismanual contains an alternative set of terms and measures.

The same kind of problems faced the authors when theyconsidered the matter of the faculty ranks. It is argued thatthe classification of full, associate, and assistant professorand instructor still have relevancy on campus, are used bythe American Association of University Professors forsalary analysis, are used by institutions both for internalanalysis as to the status of their faculties, and are used inthe projection of future manpower management problems.The authors were forced to concede that salary surveys, atleast in the foreseeable future, will use the professorialtitles. However, they also recognize that these titles havebecome decreasingly precise. The principal change that hastaken place is that there was a time when the total"faculty," those people who taught courses and usuallyalready had a doctoral degree, were divided into the fourgroups ranging from full professor to instructor. Thesituation still prevails in many institutions, and particu-larly in the professional schools. On the other hand, thereare a large number of institutions that now divide that verysame group into only the three professorial ranks, reservingthe instructor ranks for persons who are still working toattain their full status as scholars. This means that in someinstitutions the range of "faculty" salary is from thebottom of the assistant professor to the top of the fullprofessor; at another institution, that very same range isspread over the four ranks from the bottom of the instruc-tor to the top of the full professor. It is quite possible thatthe two institutions would have the same number offaculty, and indeed, would be paying the same salaries. Inthe one case, by the inclusion of the predoctoral groups inthe instructor class, the overall mean salary would seemlower, Institutions feel so strongly about the preservationof these ranks that the authors have attempted nothingwith respect to making these salary comparisons moremeaningful. However, when staff input data are used forthe development of resource input measures, then it is nolonger desirable, indeed it is erroneous, to use those rankdesignations. Therefore, given that a system of records formanpower budgeting and accounting is for the purpose ofbetter management through improved categorizations ofstaff, it was decided to use some new and more precisedesignations that could be utilized in addition to thetraditional ones.

An additional problem in this area is that there are anincreasing number of institutions that use only a single rank

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for the instructional staff. For these, institutions, thecustomary professor-through-instructor range' is usel~ess.However, if we classify the instructional staff in terms ofdegrees of responsibility and seniorit y that the staffmembers are assigned, these institutions can -classify their

staff in a manner that is comparable with institutions thatdo use ranks.

For all. of the above reasons, the authors have not modifiedthe draft document in response to the comments.

63

Glossary

Academic Discipline. See Discipline.Academic Year. The institutionally defined consecutive

period of time used as a reference for record keepingrelated to student programs, faculty participation andemployment, student attendance, and other mattersrelated to academic affairs.An academic year may be equivalent to a fiscal yearor may include only a subset of the sessions duringwhich course work is offered. Typically an academicyear is equated to two semesters, three quarters, twotrimesters, or the period of time covered by the 4-1-4plan, as described below:

(1) Quarter: The quarter calendar consists of threequa rters with about twelve weeks for each quarter ofinstruction. There may be an additional quarter in thesummer.(2) Semester: The semester calendar consists of twosemesters during the typical academic year with aboutsixteen weeks for each semester of instruction. Theremay be an additional summer session.(3) Trimester: The trimester calendar is composed ofthree terms with about fifteen weeks for each term ofinstruction.(4) 4-1-4: The 4-1-4 calendar is composed of fourcourses taken for four months, one course taken forone month, and four courses taken for four months.There may be an additional summer session.(5) Other (Specify): Describe predominant calendarsystems that are not defined by any of the aboveterms.

Adjunct Appointments. Appointments to faculty orstaff who serve in a temporary or auxiliary capacity.

Administrative Professionals. See Executive!Administrative/Managerial Professionals.

American Indian or Alaskan Native. See Race!Ethnic Identification.

Asian or Pacific Islander. See Race/Ethnic Identi-fication.

Associate Degree. See Highest Degree Earned.Bachelor's Degree. See Highest Degree Earned.Black (not of Hispanic origin). See Race/Ethnic

Identification.4.1.4 Calendar System. See explanation under

Academic Year.Certificates. See Highest Degree Earned.Clerical Employees. See Office/Clerical Employees.Crafts/Trades Employees. Individuals employed for

the primary purpose of performing (manually) skilled

activities in a craft or trade. Includes employees such ascarpenters, plumbers, and electricians, Includes only.nonexempt employees. See Appendix A of this docu-ment.

Degrees. See. Highest Degree Earned.Department. The basic organizational unit of a college

or university. Includes both academic and administra-tive organizational units.

Diplomas. See Highest Degree Earned.Discipline. Generally, a branch of knowledge or teaching.

Discipline partially denotes activity centers that pro-duce instruction, organized research, or public ser-vice outcomes. In some cases, "discipline" may besynonymous with "department."Disciplines are categorized according to the standardtaxonomy of fields of study used in the Higher Educa-tion General Information Survey (HEGIS) publishedby the National Center for Education Statistics underthe title, A Taxonomy of Instructional Programs inHigher Education (Huff and Chandler, 1970). NOTE:A new taxonomy is currently in preparation and can beexpected to replace the currently used taxonomy inthe future.

Doctoral Degree. See Highest Degree Earned.Employee. Any individual being compensated by the

institution for services rendered. Included are indivi-duals who donate their services, if the services per-formed are a normal part of the institution's programsor supporting services and would otherwise be per-formed by compensated personnel. Specificallyexcluded are employees of firms providing services tothe institution on a contract basis.

Executive/Administrative/Managerial Professionals.Exempt employees employed for the primary purposesof managing the institution or a customarily recognizeddepartment or subdivision thereof. By convention thiscategory. includes deans but most commonly, althoughnot always, will exclude chairmen of academic depart-ments (who usually are classified as Instruction/Research Professionals). Inclusion in this categoryrequires the individual to have supervisory responsi-bilities. See Appendix A of this document.

Exempt Employee. An employee whose conditions ofemployment and compensation are not subject to theprovision of the Fair Labor Standards Act as amended.Exempt employees are not eligible for overtime pay-ment. According to Section 13 of the act, an exemptemployee is "any employee employed in a bona fideexecutive, administrative, or professional capacity. ..

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Faculty. Those individuals employed at an institution toperform both instruction and research activities,Because this designation is frequently applied also toinstitutional staff who do not have instruction orresearch functions, the term is not useful in manpoweraccounting.

Faculty Activity Report. Report submitted by indivi-dual faculty members indicating the number of hoursper week (or percent of time) they devote to differentkinds of activities and to different institutional pro-grams.

First Professional Degree. See Highest DegreeEarned.

Fiscal Year. The institutionally defined consecutivetwelve-month period for which financial transactionsor a summary are available.

Full-Time Equivalent (FTE). The equivalent of oneperson who is deemed to be carrying a full load or hav-ing a full-time appointment in accordance with aninstitutionally agreed upon convention for convertingnumbers of specific individuals (students or employees)to an equivalent number of full-time persons.

Full-Time Personnel. Those individuals available forfull-time assignment, at least for the period beingreviewed or analyzed or those who are designated as"full-time" in an official contract, appointment, oragreement. Normally, those employees who workapproximately 40 hours per week for the full year areconsidered full-time employees. Individuals who are onsabbatical leave should be included as full-time if thatwas the status of their employment prior to sabbatical.(Refer to Chapter 3, Section C, for a discussion of pro-cedures for calculating full-time or part-time status ofemployees.)

Headcount. A count of the number of individualsemployed, without regard to period of employment oramount of time available.

HEGIS. Higher Education General Information Survey.The annual survey of all institutions of higher educa-tion conducted by the National Center for EducationStatistics, Department of Health, Education, andWelfare.

Highest Degree Earned. Awards or titles conferredupon students for the completion of a course of studyor program. Honorary degrees should not- be con-sidered. The following categorizations will be used:(1) Certificates and Diplomas (less than one year):An award for the successful completion of a course ofstudy or program offered by a postsecondary insti-tution. Certificates and diplomas in this category areawarded for completion of any program covering anytime span less than one academic year.(2) Certificates and Diplomas (equal to or more thanone year).- An award for the successful completion ofa program offered by a postsecondary institution.

Certificates and diplomas in this category are awardedfor completion of any program covering any time spanbetween one academic year and two academic years.(3) Associate Degree (two years or more): The degreegranted upon completion of an educational programless than baccalaureate level and requiring at least twobut less than four academic years of college work.(4) Bachelor's Degree: Any earned academic degreecarrying the title of "bachelor."(5) First Professional Degree: The first earned degreein a professional field. Only M.D., D.O., D.D.S.,DV.M., L.L.B. or J.D. (if J.D. is the first professionaldegree), O.D., B.D., M.Div., Rabbi, Pod.D., and P.M.should be included.(6) Master's Degree: Any earned academic degreecarrying the title of "master." In liberal arts andsciences, the degree customarily granted upon suc-cessful completion of one or two academic years ofwork beyond the bachelor's. In professional fields, anadvanced professional degree beyond the first profes-sional degree which carries master's designation, forexample, L.L.M., M.S. (Master of Surgery), M.S.W.(Master of Social Work).(7) Doctoral Degree: An earned academic degreecarrying the title of "doctor." Not to be included arefirst professional degrees such as M.D., D.D.S.(8) Not Elsewhere Designated: Includes all othercategories of degrees/diplomas/certificates that cannotbe categorized in any of the preceding categories, suchas specialist degrees for work completed toward acertificate, for example, Educational Specialist.

Hispanic. See Race/Ethnic Identification.Instruction/Research Professionals. Individuals

employed for the primary purposes of performinginstruction and research activities. Typically includesonly exempt employees (although in some, primarilyproprietary institutions, they may be nonexempt).See Appendix A of this document,

Managerial Professionals. See Executive/Ad minis-trative/Managerial Professionals.

Manpower Budgeting. The assignment of particularamounts of each category of manpower resource tospecific institutional programs.

Manpower Resource Classification. A managerialactivity to identify employees in terms of the kinds ofassignments the employing institution gives thoseemployees, with no necessary relationship to the voca-tional self-identification by the employee.

Manpower Resource Categories. Certain general cate-gories of employees who primarily perform certaingeneral kinds of activities. Each category of employeerepresents a different kind of manpower resource avail-able to the institution. (See Appendix A for a detaileddiscussion of the seven institutional categories and sub-categories appropriate to each.)

65

Master's Degree. See Highest Degree Earned.Nonexempt Employee. An employee whose conditions

of emplo yment and compensation are subject to theprovisions of the Fair Labor Standards Act of 1938,as amended.

Nonresident Alien. See Race/Ethnic Identification.Office/Clerical Employees. Individuals employed for

the primary purpose of performing clerical activities.This category includes only nonexempt employees, SeeAppendix A of this document.

Organizational Un it. An academic department or otherorganizational .division that has fiscal, programmatic,and administrative responsibility for a specific set ofactivities.

Part-Time Personnel. Those individuals employed full-time for short periods of timne (less than the periodunder review) as well as those not available to theinstitution for 100 percent assignment even thoughthey may be emp loyed for the full period. (Refer toChapter 3, Section C, for a discussion of procedures forcalculating full-time or part-time status of employees.)

Personnel Data. Information about specific individuals,their characteristics, their performance, and their con-tributions to their profession and the institution.

Program Classification Structure (PCS). The Pro-gram Classification Structure is a means of identifyingand organizing the activities of higher education insti-tutions in a program-oriented manner. See Chapter 4and Appendix C of this document.

Quarter. System. See explanation under AcademicYear.

Race/Ethnic Identification. The concept of race asused by the U.S. Office for Civil Rights, the EqualEmployment Opportunity Commission, and otherFederal agencies, does not denote clearcut scientificdefinitions of anthropological origins. An employeemay be assigned to a group on the basis of self-identifi-cation, appearance, or community regard. No personmay be included in more than one race/ethnic category.White (not of Hispanic origin):- All persons havingorigins in any of 'the original peoples of Europe,North Africa, the Middle East, or the Indian sub-continent.Black (not of Hispanic origin): All persons havingorigins in any of the black racial groups.Hispanic: All persons of Mexican, Puerto Rican,Cuban, Central or, South American,.or other Spanishculture or origin, regardless of race.Asian or Pacific Islanders: All persons having origins inany of the original peoples of the Far East, SoutheastAsia, or the Pacific Islands. This area includes, forexample, China, Japan, Korea, the Phili ppine Islands,and Samoa.American Indian or Alaskan Native: All persons havingorigins in any of the original peoples of North 'America.

In addition to the FICE categories above, we suggestthe following distinction should be made:Nonresident Aliens: Those members of the aforemen-tioned groups who have not been admitted to theUnited States for permanent residence. Resident aliens,non-citizens who have been lawfully admitted for per-manent residence (and who hold a "green card" Form1-1511), are to be counted in the appropriate race/ethnic categories along with United States citizens.

Rank/Title. The institutionally designated official title orgrade of faculty. See Appendix B of this document.

Semester System. See explanation under Aca-demnic Year.

Service Employees. Individuals employed for the pri-mary purpose of performing service (often unskilled)activities. Includes such employees as custodians,groundskeepers, security guards, food service-workers,and so forth. Includes only nonexempt employees. SeeAppendix A of this document.

Service-Month. A service-month is defined as being equi-valent to one individual working full-time for theperiod of one month. Service-months are calculated 'bymultiplying the perce nt workload (relative full-timeness) by the number of months of the individual'sappointment.

Sex. The sex of a person; male or female.

Specialist/Support Professionals. Exempt employeesemployed for the primary purpose of performing(typically) .academic support, student service, and insti-tutional support activities. Excludes individuals whohave executive or managerial (supervisory) responsi-bilities in these areas. Includes such employees aslibrarians, accountants, systems analysts, student per-sonnel, workers, counselors, salesmen, recruiters, and soforth. See Appendix A of this document.

Technical Employees. Individuals employed for theprimary purpose of performing technical activities(that is, activities pertaining to the mechanical orindustrial arts or the applied sciences). This categoryincludes only nonexempt employees. See Appendix Aof this document.

Tenure. The institutional designation. that serves toidentify the status of' the employee with respect topermanence of appointed position. The followingtenure designations indicate status of individuals:Tenured-individuals who have been quoted tenureNontenured-indlividuals who are eligible for but havenot been quoted tenureNot eligible-individuals who are not eligible for tenure.Tenure is a "holding" and in employment refers to theterm or time that one will hold an appointment. Thus,one's tenure can be for a fixed or determinable term,or it can be indefinite.In this manual, the term "tenure" is not used withoutmodifiers. The categories of tenure are:

a. Indefinite tenure, terminable only by special pro-dures

b. Appointment for a fixed term of more than oneyear

c. Appointment for one yeard. Appointment for term of a budgete. Indefinite tenure, summarily terminable without

recourse.

Title. See Rank/Title.Trimester System. See explanatdon under Aca-

demic Year.Vocation. An occupation or profession for which an

individual deems himself specifically suited or qualified.White (not of Hispanic origin). See Race/Ethnic

Identification.

* U. S. GOVERNMENTr PRINTING OFFICE :1977 241-055/2009

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