college of engineering budget briefing · –teaching assistants: 9.0 additional fte (~54 courses)...

College of Engineering Budget Briefing

Presented to:

Faculty Executive Committee – May 14, 2015 Annual Faculty Meeting – May 20, 2015

Provost and Executive Vice Chancellor – July 16, 2015

College Overview

• Undergraduate majors: 4,377 – 48% growth since 2008

– Due to freshman increases and better retention

– Strategic targeting of transfer students • Transfers now 27% of new students; grown from 14% in 2008

• Graduate students: 1,218 – Includes 786 PhD students

– 39% international

• Senate faculty headcount (July 2015): 194 – Increase of 9 since 2013

– 7 new hires in 2014-15

– Currently 5 open recruitments

Data updated July 2015

COE Operational Budget 2013-14 Unrestricted Funds

Staff salaries 14%

Faculty & staff benefits 18%

TAs 4%

GSRs 6%

OP Tax 3%

Supplies 6%

Faculty salaries 42%

Total expenditures = $51.0M

Budget Changes, 2014-15 Unrestricted funds (GF, ICR)

• New base revenues, GF = $1,504K – COE generated 8.3% of campus SCH, previous year 7.3%

– COE had 15.1 % of UG majors, previous year 14.5%

• New investments: – Teaching Assistants: 9.0 additional FTE (~54 courses) = $300K

– Department operations (BST phase-out) = $450K

– Faculty retentions = $300K

– Faculty growth positions, 3 FTE = $350K

– Summer sessions and OP tax increase = $100K

• New ICR revenues: -$87K – 1% decrease less than campus average

• 2012-13 budget cut = $380K – Absorbed via carry-forwards in 2014-15

Planned Budget Changes, 2015-16 Unrestricted funds (GF, ICR), preliminary estimates

• New base revenues, GF = $1,391K – COE generating 9.0% of campus SCH, last year 8.3%

– COE has 15.5 % of UG majors, last year 15.1%

• New GF investments: – Faculty growth positions, 6 FTE = $725K

– Absorb historical BST = $454K

– Teaching Assistants: 4.5 additional FTE (~30 courses) = $150K

– Faculty retentions = $100K

– OP tax increase = $50K

• New ICR revenues: slightly up

• Graduate tuition allocation = $100K – TAs for grad courses, expand TOPS support, GS travel awards,

dissertation writing


Carryforward Balances Core funds (GF+ICR)

• COE Total: July 1, 2014 = $23.4M – Dean’s office CF = $9.2M

• Obligations: previous start-ups = $5.3M

• Obligations: retentions = $1.8M

• Obligations: research (awarded) cost sharing = $0.9M

• Commitment: research (proposed) cost sharing = $2.0M

• Over-commitment of $0.7M to grow by $2.0M next year

– Departmental accounts CF = $7.0M

• Obligations: $4.0M - $6.0M (estimate range)

• Previous start-ups, recruitments, grad students, equipment, renovations

– Faculty accounts CF = $7.3M

• Salary cost recovery on grants

• Summer teaching compensation directed to research

• Start-up funds; retentions

• Administrative provisions; awards

Undergraduate Student Credit Hours Delivered Within COE Courses

Average SCH within COE per declared major = 21.8 2014-15 includes projection for spring quarter

2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15

SCH 60,524 62,335 66,230 72,027 80,616 91,534 95,503

Majors 2,960 3,078 3,252 3,463 3,852 4,016 4,377

0

10,000

20,000

30,000

40,000

50,000

60,000

70,000

80,000

90,000

100,000

Average undergraduate student majors per 9-month, 50% TA 2014-15 projected as of May 2015

Undergraduate Majors per TA

0

5

10

15

20

25

30

35

40

2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15

COE Undergraduate SCH per Faculty Headcount

2014-15 includes projection for spring quarter

2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15

SCH per Faculty 288 287 314 358 399 462 475

Faculty Headcount 210 217 211 201 202 198 201

0

50

100

150

200

250

300

350

400

450

500

Graduate Students per Filled Faculty FTE Fall 2014

0.0

1.0

2.0

3.0

4.0

5.0

6.0

CAES CBS COE HArCS MPS SS

Graduate Student Support Monthly fall stipends for GSRs, TAs, Fellowships

$0

$200,000

$400,000

$600,000

$800,000

$1,000,000

$1,200,000

$1,400,000

2007 2008 2009 2010 2011 2012 2013

In 2013, 89% of active PhD students receive financial support. Total active PhD students = 683.

COE Extramural Research Expenditures per Faculty FTE

$0

$50,000

$100,000

$150,000

$200,000

$250,000

$300,000

$350,000

$400,000

$450,000

$500,000

2006-07 2007-08 2008-09 2009-10 2010-11 2011-12 2012-13

College of Engineering 4-Year Freshmen Retention

COE average time to degree = 13.1 quarters Campus average = 12.8 quarters

College of Engineering Time to Degree within 6 Years

College of Engineering Undergraduate Diversity

0%

5%

10%

15%

20%

25%

30%

2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Female African American Latino Native American Two or More Races

Beginning Fall Quarter 2010, the ethnicity standards defined by the Department of Education changed. Incoming students were categorized using the new standards, however the campus chose not to re-survey existing students. Hispanic/Latino American includes individuals of any race(s) who identify as Hispanic or Latino. Two or more races include any combination of two or more races that are not Hispanic/Latino ethnicity.


COE Strategic Initiatives, 2015-16

• Faculty Growth – 6 new positions

• Curriculum Changes – Introduction to Engineering Design

– Starting and Prototyping a Technology Venture – Design of Coffee

• Build the Engineering Student Design Center – Phase 1: Summer/Fall 2015 – Phase 2: 2015-2018

• Center for Nano and Micro Manufacturing (CNM2) – Support more PI research programs across campus – Develop biomedical capabilities

• High Performance Computing Cluster – Replaces old equipment and consolidates dispersed clusters

Faculty Recruitment, 2015-16

• Proposed 25 recruitments

– Includes 6 growth FTE funded by COE UGTR

– Part of multi-year hiring plan

• Pending new dean and provost decision

Curriculum Changes and STEM Degrees

• Recommendations of Engineering 2025 Committee: – Need for design experience during freshman year

– Need for engineering communications experience during early years

– Enhanced opportunities for freshmen to connect with COE faculty

• Implementation: – “Design of Coffee”

• Started Winter 2014

• Enrollments: Winter = 164 + 276 non-majors; Spring = 344 non-majors!

– “Starting and Prototyping a Technology Venture” • New course on technology translation

• Pilot courses in Spring 2014, Fall 2014, Winter 2015. Added sections.

• Senate review underway, proposed as ENG-2

– “Introduction to Engineering Design” • First phase pilot in Fall 2014

• Second phase pilot in Fall 2015

• Will ramp up to serve all Engineering majors

Engineering Student Design Center

• Instructional lab that supports multiple departments – Undergraduate courses, including senior capstone projects

– Student club team competitions

– Engineering Student Startup Center

– Planning and design underway, faculty workgroup

• Phase 1 = Expand teaching capacity of current EFL – Bottleneck for many students; impacting time-to-degree

– Surge out capstone and team space

– Summer/Fall 2015

– 24 students per section

– COE to use CF funds, approx $1M

• Phase 2: Space expansion and renovation – Gift campaign for $10M+

– COE to advance $1M for planning and design

– Project 2015-2018

Center for Nano and Micro Manufacturing

• Class 100 Electronics Cleanroom, 10,000 square feet – Unique infrastructure among university cleanrooms

– But equipment inventory has become outdated

• Transformative Vision, Articulated by our Chancellor – Support broader array of campus research programs in electronics,

optoelectronics and MEMs fabrication, microfluidics, biomedical devices, and materials research

– Become a comprehensive center for research services, student learning, professional education and industry outreach

• Investments in equipment, staffing, infrastructure – New equipment purchases to date = $2.3M

– Future equipment purchases = $1.0M (vendor orders imminent)


High Performance Computing Cluster

• COE provided $300K to replace old equipment – Reduces campus power and cooling costs, approx $120K/yr

– Voluntary participation by PIs

– Enhanced computing capabilities: increase peak capacity available to research programs; starting with 112 CPUs

– More PIs can join; low barrier to entry

– Competitive advantage for grants and faculty recruitments

• Shared cluster installed spring 2015 – Queuing protocols, other operational issues being developed under

purview of Faculty IT Advisory Committee

5/11/2015

lineSee Instructions for Definitions of Fund Types State Funds &

Tuition ICR

Student Fees All Other Funds Total

PRIOR YEAR CARRYFORWARD:1 Total 11,039$ 7,318$ 358$ 19,831$ 38,546$ 2 Change from Prior Year 3,044$ (1,767)$ (142)$ 2,558$ 3,693$

(net of depreciation, improvements reserves, and distributions out of org)

3 State Funds and Tuition 53,954$ 53,954$ 4 Indirect Cost Return 4,397$ 4,397$ 5 Professional Degree Supplemental Tuition -$ 6 Self-Supporting Degree Program Fees -$ 7 Student Service Fees and Campus Based Fees -$ 8 Other Student Fees [List if desired, not required] 604$ 604$ 9 Other Income or Recharge [List if Desired, Not Required] -$

10 Other Fund Types [List if Desired, Not Required] 10,680$ 10,680$ 1112 ANNUAL OPERATING SOURCES 53,954$ 4,397$ 604$ 10,680$ 69,635$ 1314 USES OF ANNUAL OPERATING FUNDS1516 EMPLOYEE COMPENSATION:17 Faculty 18 Regular Faculty (ACAD, SB01, SUB0) 23,849$ 42$ 355$ 24,246$ 19 Academic Administrators (SB05) 440$ 6$ 446$ 20 Other Academics (SB06, SB03, ACAX, ACGA) 28$ 21$ 38$ 87$ 2122 Teaching & Research Assistants, House Staff (SB02, SB07, SB04) 2,708$ 126$ 2,834$ 2324 Staff Salaries (STFO, SUBS, SUBG, SUBX, STFB) 9,665$ 2,063$ 35$ 3,560$ 15,323$ 2526 Employee Benefits (SUB6, SB28, SB67) 12,799$ 625$ 42$ 780$ 14,246$ 27 Total Employee Compensation 49,489$ 2,757$ 558$ 4,378$ 57,182$ 2829 OPERATING EXPENSES AND EQUIPMENT30 Supplies & Expense (SUB3) 1,100$ 2,004$ 215$ 1,601$ 4,920$ 31 Subcontracts (SB73) -$ 32 Equipment & Facilities (SB34, SUB4) 2,196$ 550$ 248$ 2,994$ 33 Total Operating Expenses and Equipment 3,296$ 2,554$ 215$ 1,849$ 7,914$ 3435 TRAVEL (SUB5) 60$ 371$ 13$ 754$ 1,198$ 3637 FINANCIAL AID (SCHL) 45$ 19$ 195$ 259$ 3839 OTHER UNALLOCATED (SUB8, SUB7, SBMC) OP tax40 Op Tax 775$ 776$ 41 Faculty start ups 768$ 1,100$ 42 Total Other 1,543$ 1,876$ 3,419$ 43 DISTRIBUTIONS TO OTHER UNITS & DEBT SERVICE 295$ 295$ 4445 TOTAL EXPENDITURES 54,728$ 7,577$ 786$ 7,176$ 70,267$ 4647 ANNUAL NET OPERATING POSITION [Surplus (+)/Deficit (-)] (774)$ (3,180)$ (182)$ 3,504$ (632)$ 4849 Federal State Private Local/Other Total50 Estimated Contract and Grant Direct Expenditures 34,401 10,870 8,695 1,385 55,351$

2015-16 Estimate

Explanatory Notes: Row 3 State funds includes 1.4 mill projected UGTR increment from BIA and proj 3% range in Faculty/Staff costs/ Proj merits. Row 4 includes proj 120k in ICR increment from BIA. Row 17-Student Fee includes 499k Base summer sessions revenue less 142k projected 14-15 carryforward deficit + 15-16 summer revenue. Row 10 includes proj recharge, gifts, misc revenue Row 41 Faculty start ups.....assuming 1.1 mill will be used by prior faculty / 14-15 hires. Row 32 includes 2 mill investment in Engineering Design Center

COLLEGE OF ENGINEERINGEstimated 2015-16 Budget, All Funds, Net Operating Position

(Dollars in thousands)

5/11/2015

line SOURCES OF FUNDSState Funds and Tuition

ICR Student Fees All Other Funds Total

BASE ALLOCATIONS & INCOME:1 Undergraduate Tuition ####### ### 53,954$ 2 Provost Allocation -$ 3 Agricultural Experiment Station -$ 4 Professional Tuition -$ 5 Graduate Tuition -$ 6 Indirect Cost Return Program 4,397$ 4,397$ 7 ICR Garamendi -$ 8 PDST -$ 9 SSDP -$

10 Summer 508$ 508$

11ONE-TIME ALLOCATIONS OR INCOME, CARRYFORWARD: [List individual items if desired, example: prior year carryforward, one-time investments] -$ Other allocations : Self supporting , Gift funds, income (projections) 96$ 10,680$ 10,776$

12 Prior year carryforward (cumulative) ####### ### 7,318$ 358$ 19,831$ 38,546$ 13 -$ 14 -$ 15 TOTAL SOURCES ####### ### ####### ### 962$ 30,511$ 108,181$ 1617 USES OF FUNDS18 Allocated to Departments/Centers:19 Faculty salaries ####### ### 375$ 24,224$ 20 Staff salaries 4,310$ 42$ 35$ 995$ 5,382$ 21 Temporary teaching & other instructional support 3,176$ 27$ 148$ 4$ 3,355$ 22 Graduate education (Fellowship, Recruitment, Administrative, DGSA, Awards) 940$ 38$ 20$ 998$ 23 Equipment and facility support 150$ 145$ 295$ 24 Faculty Start-up funds/ Discretionary funds (personnel, supplies, Travel) 1,230$ 3,420$ 2,901$ 7,551$ 25 Bridging: Research Support 50$ 50$ 26 Other:Operating, Supplies , T&E 650$ 850$ 226$ 1,928$ 3,654$ 27 Subtotal, Allocated to Departments ####### ## 4,522$ 784$ 5,848$ 45,509$ 28 Managed by Dean29 Dean's Office Administration -$ 30 Administrative Salaries 4,010$ 460$ 420$ 4,890$ 31 COE benefits ####### ### 155$ 142$ 13,096$ 32 Operating, Supplies, Travel & Entertainment 280$ 250$ 2$ 734$ 1,266$ 33 -$ 34 Information Technology 180$ 220$ 400$ 35 Investments 2,000$ 851$ 32$ 2,883$ 36 -$ 37 Other: -$ 38 Op Tax 775$ 776$ 1,551$ 39 Program support to other campus Colleges/Schools 295$ 135$ 430$ 40 CITRIS, ADVANCE etc 34$ 208$ 242$ 4142 Subtotal, Managed by Dean ####### ## 3,055$ 2$ 1,328$ 24,758$ 43 TOTAL USES ####### ### 7,577$ 786$ 7,176$ 70,267$ 4445 ANNUAL NET OPERATING POSITION [Surplus (+)/Deficit (-)] ####### ### 4,138$ 176$ 23,335$ 37,914$ 46 Held by Departments/Centers47 Held by Dean

2015-16 Estimate

COLLEGE OF ENGINEERINGEstimated 2015-16 Budget, Programmatic Activity View


lineOngoing (Base) One-time (Current)

1 Revenue Source:2 Undergraduate Tuition $1,3913 Activity/Program Adjusted:4 Increase TA Allocations $1505 Faculty Retentions $1006 New Faculty Positions (6.5) $7257 Absorb BST $4548 Op Tax increase $509 Total Adjustments $1,479 $0

1011 Revenue Source:12 Graduate Tuition Allocation $10413 Activity/Program Adjusted:14 Graduate student support $104151617 Total Adjustments $1,583 $0181920 SUMMARY OF CHANGES21 Revenue Sources:22 Undergraduate Tuition $1,39123 ICR24 Graduate tuition $10425 Total Revenue Change $1,4952627 Planned Adjustments:2829 Total Planned Adjustments $1,5833031 Net Change -$88 $0

Estimated ChangeNotes/Comments

COLLEGE OF ENGINEERINGPlanning for Use of Incremental Change in Key Revenue Sources


Financial Management Questionnaire College of Engineering

July 2015

1. Please describe the annual budget process for your unit. Include information such as: who is involved in the process; what type of information is provided to leadership, faculty, and other stakeholders; what type of review is done of sub-unit budget status (i.e. department, center, dean’s office, etc.) and how often? Please include links for any information published on the web. In late winter/early spring, BIA sends preliminary projection of changes in BB allocations for following fiscal year, per campus budget model. Executive Assistant Dean and Chief Budget Analyst develop alternative uses for Dean to consider. Draft plan then presented to Dept Chairs and Faculty Executive Committee for consultation. After revisions, final is presented at college-wide annual faculty meeting in May and to the Provost at annual briefing. Concurrently, Assistant Dean and Chief Budget Analyst (CBA) develop Sources-and-Uses table and Carryforwards summary for entire college, using departmental data provided by each MSO. Data are reviewed for financial sustainability and alignment with program goals. Presented to Dean, Dept Chairs, FEC, and annual faculty meeting. Budgetary information is published on the COE website at http://intranet.engineering.ucdavis.edu Within the Dean’s office our internal and departmental financial status is regularly reviewed. Variances are apparent while preparing Quarterly Sources and Uses report and internal monthly review and action is taken accordingly to correct them. Department managers are involved in projecting expenditures for their units. EFA provides overdraft reports that are reviewed by the Dean’s office and departments.

2. How do you monitor your financial status throughout the fiscal year? What funds do you currently monitor? How do you envision using new reporting tools? How frequently are reports provided to unit leadership? What is the process for making adjustments mid-year?

Dean’s office monitors ICR, General Funds and Endowments on a regular basis. Activity in these funds is tracked on quarterly basis and along with monthly summary review.

Adjustments are made by balancing staffing lists, reviewing ledgers and Expense/Budget transfers.

New reporting tools will be very helpful for tracking revenue and multi-year commitments. New tools would hopefully help improve our multi-year projections.

http://intranet.engineering.ucdavis.edu/

3. How are administrative and academic support functions distributed in your unit? What functions are supported in the Dean’s Office, Department, or other (i.e. clusters)? How is the level of funding for administrative and academic support functions determined or evaluated? Level of funding for academic department operations is determined yearly using an allocation methodology developed over the years in collaboration with department Chairs. The allocation is based on COE budget workload metrics: extramural research expenditures, student credit hours, undergraduate and graduate student enrollments, and faculty FTE. Four years ago, we consolidated business operations into Shared Service Units for the college. One unit conducts purchasing and accounts payable; another conducts payroll transactions and houses HR functions. Three years ago, we transformed IT services from a dispersed model to a hybrid structure, where services are delivered throughout the college through an organizational structure that includes departmental-based desktop support staff as well as IT infrastructure and planning staff based in the dean’s office.

4. Have you identified any areas where there are opportunities for administrative or organizational efficiencies within your unit? Over the past 2-3 years, have you implemented any such efficiency measures? Please describe these changes and any results known thus far. What barriers are there to implementing other efficiencies identified? See response to #3. In all three cases, re-organization has produced higher quality support to our academic mission. We are providing enhanced value for every administrative dollar spent. The greatest barrier comes from uncertainty regarding UC Path. Our Payroll and HR units are still relying on poor legacy business software: PPS and OPTRS. Revisions are on hold until UC Path reaches its objectives. Planning for staff capabilities is difficult without knowing which transactions will be centralized at the Riverside facility and which will continue on campus.

5. How do you support graduate education? Has this changed as a result of the new graduate budget model and associated funds?

Every year the dean provides funds that go directly to support graduate students, in the form of stipends and fee remissions. In 2014-15, annual amounts are:

• TOPS Awards (graduate fellowships to enhance diversity) $132,336 • Dean’s Graduate Support Allocation $125,000 • Associated Fee remission funds $292,336 • Graduate Scholars Fellowship (matched by OGS) $15,000. • GSR support as cost share on research C&G $185,000. • Teaching Assistants $2,339,491

The college also provides considerable support to GSRs within faculty start-up packages. These are funded from departmental and dean sources. Amounts vary year-to-year, depending on hiring activity. Over the three-year period ending 2013-14, the average annual commitments to GSR stipends and fee remission was $744,111. These are funds are expended over one to three years by the new faculty member. Separately, the dean provides various types of administrative support for graduate student programs. In 2014-15, annual amounts were:

Type Expenditures Notes

Graduate Group administrative support $85,409 COE is lead dean for three graduate groups; this

support is matched by OGS Graduate student recruitment efforts $25,000 Departments use additional funds

Graduate Diversity Recruitment and Retention Initiative

$18,560. This expenditure is COE contribution to OGS Diversity Officer position

In addition, the academic departments provide considerable administrative resources from operating budgets to support graduate programs. For example, salary and benefit costs for the seven Student Advising Officers that serve graduate students were $613,559 in 2014-15.

The new budget model is providing additional resources for the dean to invest in graduate education. In 2014-15, BIA allocated $104,000 to the COE dean, stemming from tuition revenue coming from graduate student enrollment growth. The dean charged the Associate Dean for Graduate Studies to work with the college graduate committee (faculty advisors and grad student advising) on how best to deploy these new funds. The dean accepted their recommendation to use the funds to support: TAs for graduate courses, enhancing the TOPS program, travel awards for graduate students, dissertation writing for pre-doc students.

6. What are your research goals? How do you support research infrastructure? What is the greatest challenge your unit would need to overcome to grow research activity? How would you achieve a 6-8% increase? COE research goals are: expand the total amount of extramural research activity; establish an NSF center, specifically an Engineering Research Center or Scientific Technology Center, in the college; enhance translational technology research. The college provides matching funds on proposals to granting agencies and foundations, often in collaboration with the Office of Research and ACCD. We are also investing in high performance computing capabilities and specialized equipment in electronics cleanroom manufacturing and materials microscopy.

Our greatest challenge is the quantity and quality of research laboratories. The best way to grow the research enterprise in COE is to grow the number of faculty, but our tightest resource constraint on faculty growth is lab space. Moreover, numerous existing labs need renovation, particularly as senior faculty retire and labs are transferred to newly hired junior faculty. These renovations are costly and slow.

Budget Context: College of Engineering

Budget and Institutional Analysis, July 2015 | Page 1

2013-14 Sources of Current Operating Allocations & Revenue (dollars in thousands): $65,702

Current Operating Sources and Uses: All Funds (dollars in thousands) (Excluding Contracts & Grants and Agency Accounts)

2013-14 Actual 2014-15 Budget Estimate

SOURCES OF FUNDS State Funds, Tuition & ICR

All Other Funds

State Funds, Tuition & ICR

All Other Funds

State Funds and Tuition $47,463 - $51,209 - Indirect Cost Return $8,658 - $6,439 - Other Student Fees - $297 - $613 Other Funds - $9,283 - $10,682

TOTAL SOURCES $56,122 $9,581 $57,648 $11,295

State Funds and

Tuition $47,463

72%

Indirect Cost

Return$8,658

13%

Student Fees $2971% Other Fund

Types $9,283

14%

Comments:

• Including contracts and grants, GF, Tuition, and ICR is ~50% of Sources in 2013-14 and are expected to be about 60% of Sources in 2014-15.

• Excluding contracts and grants, GF, Tuition, and ICR is ~ 85% of both Sources and Uses in 2013-14 and estimated to be ~60% of Sources and about 85% of Uses in 2014-15.

• Excluding contracts and grants, over 90% of GF, Tuition, and ICR and about 60% of Other Funds are anticipated to be expended on salaries and benefits in 2014-15. In 2013-14, the comparable figures were about 90% and about 50%.



Current Operating Sources and Uses: All Funds (dollars in thousands) (Excluding Contracts & Grants and Agency Accounts)

2013-14 Actual 2014-15 Budget Estimate

USES OF FUNDS State Funds, Tuition & ICR

All Other Funds

State Funds, Tuition & ICR

All Other Funds

Employee Compensation Regular Faculty $20,965 $56 $21,939 $259 Academic Administrators $449 - $425 - Other Academics $1 $14 $34 $34 Teaching & Research Assistants, House Staff $2,205 $33 $2,619 $107 Staff Salaries $10,310 $2,967 $11,556 $3,590 Employee Benefits $12,097 $1,131 $13,012 $1,333

SUBTOTAL $46,026 $4,200 $49,586 $5,322

Operating Expenses & Equipment Supplies & Expense $5,018 $3,003 $3,120 $2,274 Subcontracts $20 - - - Equipment & Facilities $896 $231 $871 $241

SUBTOTAL $5,018 $3,003 $3,990 $2,515

Travel $646 $533 $504 $739 Financial Aid $102 $374 $53 $194 Other Unallocated - - - -

TOTAL EXPENDITURES $52,709 $8,342 $54,133 $8,770

ANNUAL NET OPERATING POSITION $3,413 $1,239 $3,515 $2,525 Prior Year Carryforward $16,658 $16,434 $19,809 $17,443



Ladder Faculty and SOE by Department (October 2014)

FILLED FTE1

DEPARTMENT 2010 2014

Biological & Agricultural Engineering 3.5 3.55 Biomedical Engineering 19.83 24.3 Chemical Engineering and Material Sciences 23.62 24.45 Civil & Environmental Engineering 31.42 30.92 Electrical & Computer Engineering 27 31 Engineering Computer Science 30.75 29.5 Mechanical & Aerospace Engineering 30 28.75 Engineering Applied Science 14.5 0.5

TOTAL 180.62 172.97 Data Source: October Snapshot of PPS Staffing List and Open Provisions 1 Filled FTE includes FTE as detailed in PPS and open provisions held for faculty unable to officially occupy the FTE.

Ladder Faculty Recruitment and Hiring Trends (Filled Faculty N=173 as of 10/31/14)

2010-11 2011-12 2012-13 2013-14 2014-15

Recruitments Authorized (Search Year) 4.00 14.00 9.00 11.00 16.00 Hires (Appointment Year) 1.00 5.20 6.00 2.00 6.19 Separation (Following Exit Year) -4.10 -11.30 -5.50 -7.00 -1.38 Net Change Hires-Separations -3.10 -6.10 0.50 -5.00 4.81 Note: 1) Total recruitments includes continuing and new. Recruitments authorized as continuing in July that resulted in a hire as of 9/30/14 are not counted as a recruitment in FY2014-15. Also includes 2 authorized HIP searches. 2) Hires in 2014-15 include offers accepted with start dates that fall in 2014-15. 3) Separations have been shifted to the year following the separation to better reflect faculty available for instruction within a given academic year. The majority of separations occurs during the final quarter of the fiscal year - or after teaching for that academic year is complete.

-15.00

-10.00

-5.00

0.00

5.00

10.00

15.00

20.00

2010-11 2011-12 2012-13 2013-14 2014-15

Facu

lty

Recruitments Authorized (Search Year) Hires (Appointment Year)Separations (Following Exit Year) Net Change Hires-Separations



Employee FTE Excluding Ladder Faculty and SOE (October 2014)

FUND SOURCE

State Funds & Tuition External & Other Funds Total

UNIT/POSITION TYPE 2010 2014 2010 2014 2010 2014

Academic Federation2 3 6 46 45 49 50

Other Academic Staff 7 6 130 101 137 107

SMG and MSP 11 13 3 3 14 16

Professional & Support Staff (PSS) 87 91 62 58 148 149

Student Employees 78 103 180 155 257 259 TOTAL FTE 185 219 420 363 606 581

Data Source: October Snapshot of Corporate Personnel System Note: The sum may not match the total due to rounding. 2 Academic Federation FTE may include some ladder FTE in researcher titles for part of the year. 3 Includes teaching assistants and graduate student researchers.

Endowment (dollars in thousands) (Market Value of Principal as of June 30, 2014)

ENDOWMENT PURPOSE Endowment Funds Functioning as

Endowments (FFE) Grand Total

Departmental/School Purposes $676 $65 $742 Prizes and Awards $286 - $286 Professorships and Chairs $8,250 - $8,250 Research - $522 $522 Student Aid $3,328 $176 $3,504

GRAND TOTAL $12,540 $763 $13,302 Note: Total endowment market value increased 17.49% over the prior year. The category “Prizes and Awards” may include some scholarships and fellowships.



ICR Generated by Year

Note: Includes campus return program ICR and net ICR under the Genome and Biological Sciences Facility with the College of Engineering.

Contracts & Grants Expenditures by Year

Note: Total research expenditures in 2014-15 are projected to exceed $87 million. Projection of $40k here is for grants administered in COE only.

$9,389 $8,956 $8,979 $8,501 $8,873

$1,017$1,046 $1,050

$980 $951

$3,210$2,930 $3,128

$3,020 $2,857

2010-11:$13,616

2011-12:$12,933

2012-13:$13,157

2013-14:$12,502

2014-15 Projected:$12,681

$0

$2,000

$4,000

$6,000

$8,000

$10,000

$12,000

$14,000

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Tho

usan

ds

Federal State Other

$28,369 $26,499 $29,604 $25,768 $25,278

$9,836$8,451

$6,678

$5,873 $6,226

$10,901$8,972 $9,676

$9,914 $8,928

2010-11:$49,106

2011-12:$43,922

2012-13:$45,958

2013-14:$41,555

2014-15 Projected:$40,432

$0

$10,000

$20,000

$30,000

$40,000

$50,000

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Federal State Other



Base Budget Model Funds Allocation

Note: Does not include $69,000 in Garamendi funding in 2014-15.

Undergraduate Tuition Revenue Metrics

Percent Share

of Campus Total Incremental Revenue Change

(2015-16 Estimate)

METRIC 2014-15 2015-16 Estimate

% Change

Redistribution Add’l Base

Tuition Add’l NRST

Total

SCH 8.3% 9.0% 9% Majors 15.1% 15.5% 3% Degrees 8.6% 9.1% 6% Weighted Share (60-30-10) 10.4% 11.0% 6% $909,000 $277,000 $221,000 $1,407,000 OP Tax (dollars in thousands)

FUND SOURCE 2014-15 2015-16 $ Change

State/Tuition $655 $707 $52 Extramural and ICR $799 $685 $(114) All Other Fund Sources $97 $155 $58

TOTAL $1,551 $1,547 $(4) Note: The fund source categories are different than the ones used in prior years; this change accounts for some shift in tax liability between categories

$12,449 $14,050 $15,554 $16,961

$29,696$31,501

$31,932$33,422

$4,146

$4,295$4,208

$4,433$3,065

$4,210$499

$509

2012-13: $46,291at June 30

2013-14: $49,846at June 30

2014-15: $55,258at February 2015

2015-16: $59,535April Estimate

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Undergraduate Tuition Revenue Provost Allocation Indirect Cost Recovery Graduate Tuition Summer Sessions

Budget and Institutional Analysis

College of EngineeringCampus Carryforward and Reserve Balances(dollars in 000s)

2012-13 2013-14 2014-15 2014-15 2014-15Carryforward Carryforward Carryforward Committed Known

As of July 1, 2012 As of July 1, 2013 As of July 1, 2014 Obligations ObligationsCOBL KOBL

1 State Funds/Tuition/Fees2 General Funds and Tuition 7,098$ 7,947$ 9,539$ 384$ 1,428$ 3 Summer Session Fees 319$ 446$ 291$ 63$ 207$ 4 Professional Degree Fees5 Student Services Fee 17$ 21$ 21$ 6 Course Material Fees (3)$ 10$ 23$ 7 Campus-Based and Other Student Fees 1

8 Sub-Total, State Funds/Tuition/Fees 7,432$ 8,424$ 9,874$ 447$ 1,635$ 910 Indirect Cost Recovery 7,751$ 8,712$ 10,270$ 7,717$ 1,694$ 11 Sub-Total, Indirect Cost Recovery 7,751$ 8,712$ 10,270$ 7,717$ 1,694$ 12 Other Unrestricted Funds13 Private Unrestricted Gifts 225$ 300$ 496$ -$ 17$ 14 Other Funds 2 251$ 2,195$ 1,908$ -$ 36$ 15 Unrestricted Endowment/FFE Earnings 7$ 8$ 6$ 16 UNEX Reserves 383$ 590$ 538$ 46$ 165$ 17 Self-Supporting Degree Fees18 Application Fees19 Sub-Total, Other Unrestricted Funds 866$ 3,093$ 2,948$ 46$ 217$ 20 Sub-Total, ICR/Other Unrestricted 8,617$ 11,805$ 13,218$ 7,763$ 1,911$ 2122 Restricted and Designated Funds (all remaining funds)3 11,389$ 12,864$ 14,160$ 23 All Funds Total 27,438$ 33,092$ 37,252$

2425 Select Fund Types -- State Funds/Tuition/Fees26 Prior Year Expenditures 39,907$ 42,398$ 46,044$ 46,044$ 27 CF as a % of Expenditures 19% 20% 21% 22%2829 Select Fund Types -- ICR/Other Unrestricted30 Prior Year Expenditures 6,337$ 9,179$ 9,108$ 9,108$ 31 CF as a % of Expenditures 136% 129% 145% 230%3233 Restricted and Designated Funds (all remaining funds)3

34 Prior Year Expenditures 5,518$ 5,730$ 5,739$ 35 CF as a % of Expenditures 206% 224% 247%3637 All Fund Types38 Prior Year Expenditures 51,762$ 57,307$ 60,890$ 39 CF as a % of Expenditures 53% 58% 61% Adjusted ratio 14.5% (see comments)4041 Selected Funds -- Dean - Departmental/Other:42 Carryforward held by Dean's Office 0% 1% 0%43 Carryforward held by Departments/Other 100% 99% 100%4445 Gift Fee Funds -UC Fund (56996):46 Carryforward (92)$ 24$ 2$ 47 Prior-year Expenditures 195$ 63$ 204$ 48 CF as a % of Expenditures -47% 39% 1%4950 1 Campus-Based and Other Student Fees category is almost 90% student referendum funds on a campus-wide basis.

51 2 Other Funds category is 90% STIP and patent revenue on a campus-wide basis.

52 3 Restricted and Designated Funds excludes contracts and grants for each unit, as does expenditures.

53 HEFC=FINA is excluded from all funds.

Budget and Institutional Analysis

College of EngineeringCampus Carryforward and Reserve Balances(dollars in 000s)

54 2013-14 2014-15 COBL KOBL Total Obligations55 Dean's Office56 State Funds, Tuition, Fee 2,341$ 1,800$ 1,453$ 57 Indirect cost recovery 5,897$ 5,760$ 918$ 58 Other Unrestricted funds (Lab fee, Patent, Stip) 943$ 59 Restricted & Designated funds 1,437$ 60 Total Deans Office 7,685$ 10,618$ 7,560$ 2,371$ 9,931$ 61 Departments62 Operating funds 5,515$ 6,965$ 2,371$ 2,740$ 63 Restricted & Designated funds 1,893$ 64 Total Departments 5,515$ 8,858$ 2,371$ 2,740$ 5,111$ 65 Faculty66 Discretionary/Research 7,028$ 7,286$ 67 Restricted & Designated funds 10,490$ 68 Total Faculty 7,028$ 17,776$ 6970717273747576 Carryforward - Details on committed and Known Obligations (Fall Review)

77 OBLIGATION TYPE/DESCRIPTION Project CodeCommitted Obligations

KnownObligations

78 Equipment CFEQUIP -$ 522$ 79 Recruitment CFRECRUIT 45$ 80 New faculty hires CFFACULTY 369$ 81 Faculty Start Ups CFSTUP"####" 5,981$ 2,278$ 82 Other CFOTHER or CF"####" 755$ 697$ 83 Renovations CFRENOV 54$ 62$ 84 Instructional Funds CFINST 60$ 235$ 85 Retention Funding CFRET"####" 1,920$ -$ 86 Summer Session/Seminar Comp (KOBL/COBL) CFSCC -$ 132$ 87 Fellowships CFFSHP"####" -$ 88 Bridge Funding: Support Between Research Grants CFBRIDGE -$ 89 Grad Student Support CFGRAD 482$ 585$ 90 Research Funding CF% (used Desc) 470$ 91 Benefits CF% (used Desc) 265$ -$ 92 Faculty Recruitments CF% (used Desc) 130$ 93 Matching commitments CFMATCH94 Not Reported CF% (used Desc) -$ 95 Total 9,931$ 5,111$

Comments: Carryforwards net of Projected Obligations: 37,252 (Total CFWD) -14,160 (restricted funds)- 15,042(COBL/KOBL)= 8,050All Fund Prior Year expenditures less restricted & designated funds= 60,890-5,739= 55,150Adjusted ratio CF as % of Expenditures= 8,050/ 55,150= 14.5%

college of engineering budget briefing · –teaching assistants: 9.0 additional fte (~54 courses)...

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