mathematical and physical sciences budget meeting agenda ... · • mps advising team = $300k + mps...

Mathematical and Physical Sciences Budget Meeting Agenda

June 19, 2015

1. Presentation (see document) a. Achievements—Dean Navrotsky b. Budget Detail—Assistant Dean Ligtenberg c. Future and Conclusion—Dean Navrotsky

2. Further Discussion--All

Looking to 2015-16

MPS Budget Meeting June 2015

Alexandra Navrotsky Interim Dean

Major Achievements in 2014-15 • Chancellor announces Chemistry Discovery

Project; • Construction begins for Sarah Stewart lab; • Coherent hiring foci

– HIP Physics and Mathematics of the Universe (PMU)

– Condensed matter physics experiment (CME)

– Statistics with emphasis on big data and machine learning (BDML)

• Earth and Planetary Sciences faculty ranked #1 in CWTS Leiden 2015 ranking for research;

• COSMOS moves its system-wide administrative home to UC Davis.

Faculty Recruitments in 2014-15 (page 1 of 2)

• Chemistry: 5 hires • Chemical Biology, David Olson • Theoretical Chemistry, Davide Donadio; Lee-Ping Wang • Lecturer P-SOE, Julia Chamberlain; Ozcan Gulacar

• Mathematics: 2 hires • Complex Geometry, Adam Jacob • Physics and Mathematics of the Universe (PMU-HIP), Tudor Dimofte

• Physics: 3 hires • Physics and Mathematics of the Universe (PMU-HIP), Veronika Hubeny,

Mukund Rangamani, Jaroslav Trnka, 1 still under negotiation • Condensed Matter Experiment, 3 offers, 0 acceptances, deliberating

next steps

Faculty Recruitments in 2014-15 (page 2 of 2)

• Statistics: 5 hires • Big Data/Machine Learning, Cho-Jui Hsieh (50% CoE), Xiaodong Li,

Miles Lopes, Bala Rajaratnam, James Sharpnack

Total New Faculty for MPS = 15!

MPS Proposed Hiring by Dept

Faculty FTE 2014-15

Req* for 2014-15

Departs 2014-15

Adds** 2014-15

1-yr Growth

Chemistry 36 3.00 0.00 5.00 5.00Earth & Planet 21.5 0.00 0.00 1.00 1.00Math 43.5 1.50 -2.50 2.00 -0.50Physics 40.75 2.00 0.00 3.00 3.00Statistics 14.25 3.50 -1.00 4.50 3.50

Totals 156 10.00 -3.50 15.50 12.00*Excludes continuing recruitments that were previously authorized.**Information current as of 6/15/15 ; HIP and CME still in progressNote: Some 2014-15 acceptances have requested 7/1/16 start dates.Earth & Planet faculty hire was recruited in 2013-14, arriving 7/1/15.

Awards and Recognitions in 2014-15 a few highlights…

• Peter Beal of Chemistry—Training Grant (T32) awarded • David Britt of Chemistry—National Science Foundation MRI (Major Research

Instrumentation) award • Chuck Fadley of Physics—International Fellow of the Surface Science Society of

Japan • Tessa Hill of Earth and Planetary Sciences—Fellow of the California Academy of

Sciences • Jesus de Loera of Mathematics—American Mathematical Society Council • Emilija Pantic of Physics—National Science Foundation Career Award • Jane-Ling Wang of Statistics—Appointed to Statistical Board of Reviewing

Editors for Science

Investments in Tangibles: 2014-15 • Chemistry 135 Equipment ($425K) • Research Matching for Awarded Grants ($320K) • Chilled Water Loop connection and study for

Chemistry ($200K) • Graduate Student Support ($150K) • PI Bridge Funding for 5 Faculty ($100K) • High Performance Computing Support ($91K) • Conferences/Scholarly Activities ($26K)

Investments in Staff Positions: 2014-15 • MPS Advising Team = $300K + MPS Dean’s Ofc funding for FA

– Faculty Assistant to the Dean on Undergraduate Programs, Jesus de Loera – Director for MPS Advising, Kate Shasky – Two Student Affairs Officers, Jasmine Durias and Kevin Pelstring MPS Advising Team was launched with support from the Provost and matched by the Division. The team directly supports department staff and faculty advisors, provides primary advising to undeclared MPS majors (10% of major population), works with student progress data to identify “at risk” students and intervention efforts, conducts recruitment and outreach for new students, hosts events to highlight diversity, career, and special interest topics for MPS and STEM students.

• L&S Marketing and Communications = $660K + existing base – Director of Marketing and Communications, Donna Justice – Three Content Writers, one for each Division, Becky Oskin (MPS) – Marketing Coordinator, to be recruited – Graphic Designer, Morissa Rubin L&S Marketing and Communications is overseen by MPS. Investment was provided by the Provost and matched by the Divisions. New positions were recruited in Spring 2015 and are establishing a team approach to highlight the accolades of the faculty and students and showcase the academic programs in the College of Letters and Science.

Vision Plan for 2015-20 • Sustainability theme

– Chemistry, Mathematics, and Statistics have biology connections which focus on medicine, health, and disease; Chemistry and Physics seek to identify materials for producing and using energy; Earth and Planetary Science studies climate change and understanding long-term earth processes.

• Universe theme – Physics, Earth and Planetary Sciences, Chemistry, Mathematics and Statistics all

have connections to universe questions such as: big bang, star and planet formation and evolution, dark matter. Research in these areas is fast moving and exciting; connections to National Labs fit well.

• Synergy and growth Faculty net growth of 61.5 FTE by 2020

– Hiring needed to meet this growth goal is 83.5 FTE due to 22 anticipated retirements or resignations

– Student enrollment growth already close to 50% of 2020 goal…

New Leaders in MPS for 2015-16

• Professor Matthew (Matt) Augustine of Chemistry will fill the Faculty Assistant to the Dean for Undergraduate Programs for 2015-16;

• Professor Thomas Lee of Statistics will serve as Department Chair for 2015-18;

• Professor Neils Gronbech-Jensen, jointly appointed in Mathematics and CoE, has been appointed systemwide Director for COSMOS;

• Chief Administrative Officer, Corinne Esser, has joined the Earth and Planetary Sciences Department.

*We welcome these new leaders to our MPS team!*

MPS Budget Overview Background: • MPS had a deficit of $5M in 2011-12 and $3M in booked commitments;

– The deficit was from faculty startups, retentions, and renovation expenses that exceeded funding available during a period of significant campus budget reductions

• Provost provided support to reduce deficit w/ a 1:1 match and forgave a portion leaving MPS with a 4-yr debt obligation of $600K/yr;

• MPS has paid 2-yrs of debt and renegotiated remaining 2-yrs into 3-yrs; • MPS paid down ½ the historical BST to $357K. Current: • Startup and retention commitments as of 6/11/15 = $11M; • Faculty salary funding has been fully utilized as of 6/30/15; • The campus BM components do not provide sufficient funding to address faculty

growth for 2020. For example, MPS’ share of the UGTR primarily funds instructional needs with little remaining for hiring, startups, or renovations.

• Faculty retirements are looming with 22 departures by 2020; • 2014-15 gift funds $2.5M from 205 donors.

MPS Budget Details--Sources and Uses (excludes contracts and grants, ~30M)

• Uses ($62,030) are varied and reflect Division priorities and resource availability.

• Sources ($74,030) are based on BM components, MPS’ growth, and carry forward.

$22,219

$9,113

$12,374

$5,957

$5,970

$2,100$1,021$1,125$957

$149

$1,045

$12,000

2014-15 Uses(,000's)

Faculty--30%

Instruction--12%

Benefits--17%

Staff & Temp Help--8%

Startups/Retention/Research--8%

Operating/Facilities--3%

Dean's Office--1%

OP Tax--2%

BST/Debt--1%

Grad Matching (not Tas)--.2%

COSMOS--1%

Unspent Balances (incl hosted units)--16%

MPS Metrics that Drive Revenue • UGTR: 2015-16 = $754K (new funding only 44% of previous yr = growth slowing)

– SCH metric flat; Majors +11%; Degrees Conferred +8.7% – Goal of MPS advising efforts was to improve major and degrees conferred metrics

• ICR: 2015-16 = ~($320K) (expenditures down 10%) – Grant activity reduced; new faculty should bolster – Investment in MPS community cluster can be helpful for grant applications

• Summer: 2015-16 = $50K (increase expected 5-10%--same as 2014) – Demand is high for CHE & MAT summer courses; flat for PHY, EPS, & STA – Funds distributed to departments per earnings, less share of OP Tax on summer

earnings (no withholding of revenue by Dean) • Graduate Tuition: 2015-16 = $58K (9% growth in grad programs)

– Demand for TA support for graduate courses has increased; best use of funding to be considered on an annual basis.

• Master’s Pilot: 2015-16 = TBD (Statistics holding growth at 2014 level) – 80:20 split on revenue between departments and Dean

Instructional Resource Use in MPS (a review)

Instructional expenses (~$10M) include: • T.A.’s (1100/yr), Lecturers/Recall,

Visitors, Etc. (40/yr); • SCH taught 79K/yr—2nd highest; • Limited seating capacity is holding down

continued growth; • Funding on hand often falls short of

projected need at beginning of AY—supplemental funds are requested from UE to fill shortfall;

• UGTR earnings as of 7/1/15 = $4.7M • 67% of funding directed towards

graduate students—TA’s & AI’s; • 18% of funding towards Lecturers or

Visiting/Recall Appointees; • 10% funds benefits for instructors and

T.A.’s; • 1% is used for reader support; • MPS has 649 graduate students, 3rd most

on campus; Any funds remaining cover faculty benefits.

Research Productivity in MPS (a review) 2011-14: • Chemistry has the highest ICR

earnings per faculty--$86,000 avg • Physics is 2nd with $52,000 avg; • Earth and Planetary Sciences is

3rd with $50,000 avg • Mathematics and Statistics both

earn on avg $23,000 per faculty. • While NEAT does not have any

dedicated FTE, the research unit has earned just under a $1M each year over the past three years in Federal and State overhead combined. Faculty from Engineering, Physics, and Chemistry are active in NEAT.

How to raise our earnings? Investment in new faculty will encourage new and exciting research opportunities!!

Financial Decisions for 2015-16 • Invest in MPS Community Computer Cluster

– Why? New faculty have computer cluster needs, existing faculty have similar needs; new clusters are more efficient and effective—plan is to invest resources from Dean’s Office to create a community cluster that will serve all through the Division’s High Performance Computing team. [Efficiencies—better use of rack space and equipment collaborations; will help research proposals as an institutional resource.]

• Invest in Nuclear Magnetic Resonance (NMR) Equipment – Why? Obsolete equipment needs replacement; equipment is used for both research and teaching; current

NMR conditions are not conducive to modern learning or use. Funding partnership sought with UE, OR, and MPS. Support has been secured for one new NMR. [Provides efficiency, visible investment to faculty and student users of NMR facilities.]

• Allocate $5M Base TA & KAP Funding to Departments – Why? Funding at base will provide stability to units for graduate student support; allocated level of funding

was being distributed each year; reduces Dean’s Office review of requests to just growth needs. [Saves effort, puts funding where used.]

• Contract w/ DSS IT for MPS Dean’s Ofc IT Services – Why? Considered needs at department and Dean’s Office levels for any shared opportunities—reviewed

possibility for 2-yrs and no unanimous need was identified—therefore, contract for basic desktop support needs was negotiated. [Common L&S Dean’s Ofc platform, saves money, leaves options open for future.]

• MPS Dean’s Office to Provide Mandatory Review (MR) for PPS transactions for 4 of 6 MPS units – Why? New General Ledger Review system put pressure on units to separate Fiscal Officer and MR roles.

Departments asked MPS DO to fulfill this responsibility for their requisite cost. [First shared effort amongst MPS units, saves money since only one new hire occurred versus more.]

MPS Resource Challenges • Faculty salary and benefits for

new hires, equity, and retentions. MPS fields are in demand and highly competitive;

• Faculty startup costs in lab sciences are high;

• Infrastructure is obsolete and needs renovation to accommodate new lab technology/needs;

• Departments have little capacity to partner w/ Dean;

• Instructional needs utilize +90% of UGTR revenue;

• Space constraints, wait lists for courses

• Limited carry forward funding to cover shortfalls in base funding;

• Debt and BST limit investment options;

• Limited resources for size of L&S operation has made shared services sub-optimal for development, advising, and marketing needs (improving now).

MPS Strengths and Weaknesses Strengths: • Dedicated and innovative faculty • Interdisciplinary work and ties with

other Colleges and UC National Labs • Graduate programs and groups;

quality and productivity of research • Growth in UG enrollment, majors

and degrees conferred; STEM focus • Center for Computing Clusters—

HPC • NEAT—a research unit within MPS

Weaknesses: • Infrastructure severely antiquated

and problematic for existing and new faculty

• Limited resources for necessary investments including personnel (hires, retentions, equity, staff) and equipment and infrastructure

• Workload issues- heavy teaching responsibilities, strong reliance on lecturers

• Obsolete equipment in teaching labs; seat limitation in labs, unable to meet demand and provide state-of-the-art education

SO ARE WE COMPETITIVE?

MPS Opportunities and Threats Opportunities: • Vision Plan areas for faculty investment • Development (NEED STAFF) • Computer cluster investment for new

and existing faculty—serve as lead on this for other colleges

• Masters programs potentially in Mathematics, Chemistry, Earth and Planetary Sciences

• Saturday lab offerings? • Capitalizing on Chemistry Discovery

Project • Showcasing MPS through Marketing &

Communication efforts • MPS-L&S restructuring

Threats: • Loss of faculty in competitive market -

need retentions and equity adjustments and aggressive recruiting

• Growth too slow to meet urgent needs • Slowness of renovations even when

authorized, slowness of planning for new infrastructure

• Tarnish UCD reputation if actions don’t meet words or if actions occur too slowly

• Loss of faculty morale, enthusiasm, and belief in the system

• MPS-L&S restructuring

MPS Goals for 2015-16 • Continue faculty hiring with steady, aggressive pace • Plan Chemistry Discovery Project and work with Development to

identify donors • Ensure resources are in place, partnerships solidified for space

renovations • Continue investments for research and teaching needs

(computer cluster, nmr, etc.) • Address retentions and equity • Work with Marketing & Communications to highlight MPS • Continue improving teaching and advising • Explore all revenue generating opportunities (Masters) • Increase extramural funding

Think Big

lineSee Instructions for Definitions of Fund Types

State Funds & Tuition

ICR Student Fees All Other Funds Total

PRIOR YEAR CARRYFORWARD: Total 5,300$ 1,550$ 950$ 4,200$ 12,000$ Change from Prior Year (521)$ 213$ 49$ (398)$ (657)$

SOURCES OF ANNUAL OPERATING FUNDS(net of depreciation, improvements reserves, and distributions out of org)

State Funds and Tuition 51,925$ 51,925$ Indirect Cost Return and Opportunity Funds 4,360$ 4,360$ Professional Degree Supplemental Tuition -$ Self-Supporting Degree Program Fees -$ Student Service Fees and Campus Based Fees (SS and Course Materials) 2,431$ 2,431$ Other Student Fees [COSMOS] 467$ 130$ 597$ Other Income or Recharge [List if Desired, Not Required] -$ Other Fund Types [List if Desired, Not Required] 3,455$ 3,455$

ANNUAL OPERATING SOURCES 52,392$ 4,360$ 2,431$ 3,585$ 62,768$

USES OF ANNUAL OPERATING FUNDS

EMPLOYEE COMPENSATION:Faculty

Regular Faculty (ACAD, SB01, SUB0) 22,905$ 5$ 324$ 5$ 23,239$ Academic Administrators (SB05) 38$ 5$ 43$ Other Academics (SB06, SB03, ACAX, ACGA) 181$ 120$ 91$ 392$

Teaching & Research Assistants, House Staff (SB02, SB07, SB04) 7,000$ 505$ 29$ 7,534$

Staff & Other Salaries (STFO, SUBS, SUBG, SUBX, STFB) 5,900$ 1,700$ 150$ 1,700$ 9,450$

Employee Benefits (SUB6, SB28, SB67) 11,476$ 484$ 118$ 653$ 12,731$ Total Employee Compensation 47,500$ 2,309$ 1,188$ 2,392$ 53,389$

OPERATING EXPENSES AND EQUIPMENTSupplies & Expense (SUB3) 2,412$ 1,532$ 672$ 2,463$ 7,079$ Subcontracts (SB73) -$ Equipment & Facilities (SB34, SUB4) 700$ 1,100$ 51$ 400$ 2,251$

Total Operating Expenses and Equipment 3,112$ 2,632$ 723$ 2,863$ 9,330$

TRAVEL (SUB5) 200$ 300$ 75$ 400$ 975$

FINANCIAL AID (SCHL) 111$ 112$ -$ 148$ 371$

OTHER UNALLOCATED (SUB8, SUB7, SBMC) -$

DISTRIBUTIONS TO OTHER UNITS & DEBT SERVICE -$ 400$ 400$

TOTAL EXPENDITURES 50,923$ 5,753$ 1,986$ 5,803$ 64,465$

ANNUAL NET OPERATING POSITION [Surplus (+)/Deficit (-)] 1,469$ (1,393)$ 445$ (2,218)$ (1,698)$

Federal State Private Local/Other TotalEstimated Contract and Grant Direct Expenditures 22,000$ -$ 5,800$ 3,600$ 31,400$

2015-16 Estimate

Explanatory Notes: 2015-16 New Faculty Hires = 11 + several faculty retentions (no adjustment for merits or COLA's--a wash); less recruitment activity projected in 2015-16 but increased expenditures from startups; teaching expenses projected to be increased 2% over 2014-15; some equipment support expected though less than in 2014-15; additional renovations for new faculty hires; flat contract and grant expenditures based on pattern for 2014-15 and overall lower grant/private activity. The Division has a remaining Budgetary Savings Target of $357K.

Division of Mathematical and Physical SciencesEstimated 2015-16 Budget, All Funds, Net Operating Position

(Dollars in thousands)

line SOURCES OF FUNDSState Funds and Tuition

ICR Student FeesAll Other

FundsTotal

BASE ALLOCATIONS & INCOME:1 Undergraduate Tuition $23,510 $23,5102 Provost Allocation $25,915 $25,9153 Graduate Tuition $2,500 $2,5004 Indirect Cost Return Program $2,896 $2,8965 Opportunity Funds $1,464 $1,4646 Other Student Fees (COSMOS) $467 $130 $5977 Student Service Fees and Course Material Fees $668 $6688 Summer $1,763 $1,7639 Other Funds--Varied $3,455 $3,455

10ONE-TIME ALLOCATIONS OR INCOME, CARRYFORWARD: [List individual items if desired, example: prior year carryforward, one-time investments] $0

11 Carry Forward projection $5,300 $1,550 $950 $4,200 $12,00012 TOTAL SOURCES $57,692 $5,910 $3,381 $7,785 $74,7681314 USES OF FUNDS15 Budgeted and Allocated to Departments/Centers:16 Faculty salaries $22,865 $120 $324 $5 $23,31417 Staff & Other Salaries $5,024 $1,700 $150 $1,700 $8,57418 Temporary teaching & other instructional support $5,500 $0 $505 $29 $6,03419 Employee Benefits in Departments/Centers $11,226 $484 $118 $653 $12,48120 Gradaute education [matching w/ GS, GAANN, other] $150 $15021 Equipment and facility support $500 $900 $51 $400 $1,85122 Faculty Start-up package allocations $1,750 $1,000 $1,000 $3,75023 Faculty Retention Allocations $200 $200 $349 $74924 Research Support (bridging, matching, core facilities, etc.) $204 $20425 Student Aid / Other $111 $112 $0 $148 $37126 Operating-general $1,062 $732 $657 $800 $3,25127 Subtotal, Allocated to Departments $48,388 $5,452 $1,805 $5,084 $60,72928 Managed by Dean29 Dean's Office Administration [Admin salaries & benefits, operating] $1,021 $1,02130 Central Support Function-[Advising, Instructional support] $2,765 $15 $2,78031 Investment-[Lab renovations, Community Cluster] $400 $100 $50032 Scholarly Activities--workshops, meetings, etc. $35 $3533 Setaside for Future Need-[Faculty Start-up, Faculty Retentions] $2,000 $2,00034 Debt $400 $40035 Subtotal, Managed by Dean $6,186 $500 $15 $35 $6,73636 TOTAL USES $54,574 $5,952 $1,820 $5,154 $67,4653738 ANNUAL NET OPERATING POSITION [Surplus (+)/Deficit (-)] $3,118 -$42 $1,561 $2,631 $7,30339 Held by Departments/Centers 88.55%40 Held by Dean 11.45%

2015-16 Estimate (Dollars in thousands)

Mathematical & Physical SciencesEstimated 2015-16 Budget, Programmatic Activity View

lineOngoing (Base) One-time (Current)

Revenue Source:Undergraduate and Graduate Tuition $1,468Activity/Program Adjusted:Increase TA Allocations $500 Growing graduate programs and instruction needsTemporary Instructional Hires $250 All Dept's have needShare of New Faculty & Instructor Benefits $750 75% of new faculty and instructor benefits costNew L-PSOE Positions (2) $160 CHE HiresGraduate Matching Support $150 All Dept's receive a shareMaster's Pilot Split w/ Dept's $507 80% of Master's funds allocated to Statistics & PhysicsEquipment NMR $70 Matched w/ UE, OR, CHEOP Tax on Instruction + GAEL $200Total Adjustments $1,110 $1,477

Revenue Source:ICR -$300Activity/Program Adjusted:Reduce Pool distrbuted within Unit -$150 Planning this will be a one-year reductionReduce Dean Investment in Faculty SU's -$150 Planning this will be a one-year reductionTotal Adjustments -$300

Revenue Source:Summer Sessions $50Activity/Program Adjusted:To Departments for Operations & Committments $50 Funds are re-distributed each year based on their earningsTotal Adjustments $50

SUMMARY OF CHANGESRevenue Sources:Undergraduate Tuition $754Graduate Tuition $58Master's Pilot $634ICR -$300Other--Summer & GF GSR $ $72Total Revenue Change $1,218

Planned Adjustments:Allocate funds to departments, use for new hires -$1,160Total Planned Adjustments -$1,160

Net Change $58 $0

Estimated Change Notes/Comments

Mathematical and Physical SciencesPlanning for Use of Incremental Change in Key Revenue Sources

(Dollars in thousands)

Ongoing One-Time

MPS DeptsFaculty Hiring Request for 2015-16--need salary and benefits funding for requested 16-hires 2,776,800$ No--faculty funds are fully utilized and retirements have not occurred.

MPS DeptsFaculty Hiring Request for 2015-16--need startup funding greater than 50% due to resource limitations. 6,750,000$

No--Projected startup need for 2015-16 requested hires = $9M; one-time request represents 75%.

Amount Requested Does this request relate to a change in practice or policy (may or may not require actual funding allocation)? Please describe.

Description of RequestLine

Sub-Unit within Organization

Mathematical and Physical SciencesUnit Requests

MPS Responses 6/11/15

Financial Management Questionnaire

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.

The annual budget process involves the leadership of MPS academic departments and the MPS

Dean’s Office. The MPS Steering Committee is consulted as well. When faculty hiring is planned,

a call is issued for the hiring priorities for each department (usually in January). This year this

was part of a two stage vision and implementation exercise for the Provost. An annual call for

instructional resources is issued for temporary or TA resources above the budgeted amounts in

the departments (in March). Meetings are scheduled between the academic departments and

the MPS Dean’s Office to review the instructional funds requests and to discuss overall budget

issues (in May). These meetings include a budget report from the departments that is modeled

after the BIA report that is used for the Division. The annual meeting with the Provost and his

leadership occurs in spring and includes what is known from the departments at that time, and

the projections the Dean’s Office has done for the budgeted and projected funds for the coming

year. Throughout the year, budget and resource availability is monitored regularly as a status

check on our projections. By spring, the focus shifts to planning for the new fiscal year. This will

involve preliminary data on revenue and expenses based on information from BIA, and our own

expense analysis and projected investments for the coming year. Budget information is

circulated to Department leaders and the MPS Steering Committee throughout the year and as

it is known. [See attached handout with overview of MPS BM methodology.]

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?

The Dean’s Office monitors faculty salary accounts and instructional accounts at the department

level, Dean’s Divisional funding at the Divisional level, and Dean’s Office funding for operating

and staff. Monitoring is focused on 19900 and 07427 funds, carry forward funds, COBLS, and

overdraft accounts per notice by the Accounting Office. Department leadership is provided a

report for the annual budget meetings in Spring and a year-end report in the Fall. The MPS

Steering Committee is provided the year-end report as well. Within the Dean’s Office, the Dean

is provided monthly reports on the Dean’s Divisional funding and a quarterly commitment

report on startups, retentions, research matching, etc. Adjustments are difficult but when

necessary the Dean will consult with Department leadership, the MPS Steering Committee, and

decide on the best path forward once input has been provided.

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?

Administrative and academic support functions are handled at the department level. Approvals

are required by the Dean’s Office per campus policy for hiring, personnel actions, etc. There are

many functions supported in the departments—academic and staff personnel, instruction,

advising, safety, research, accounting, payroll, etc. The Dean’s Office serves as the approving

office for many of these functions, as reviewer to ensure processes are done according to policy,

as advocate for more resources, and as the representative body for the broad mission of the

collective MPS group within the Division, etc. Where possible, we try to streamline or share the

work being done at the department level and encourage teamwork in meeting workload

needs—for example, our advising group works with the departments to meet their student

needs, and the Dean’s Office will be assuming the PPS mandatory reviewer function for three

departments that have requested this service.

The funding for the administrative and academic support functions has predominantly remained

static on a year-to-year basis as each department is considered lean after many years of budget

reductions. The academic support is determined based on the growth in that subject area, the

specific course needs, and any changes that have occurred which require more (or less) support.

Allocations are done on an annual basis mostly by past practice regarding the needs for courses

in the lab sciences versus the math sciences. When imbalances occur, departments bring this to

our attention during the annual budget meeting and resource decisions are made to address the

issue. We emphasize we are still lean and have little flexibility.

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?

We have not made any broad administrative or organizational changes to date though the

Dean’s Office holds regular meetings with the department leadership and workload issues are

discussed. Several shared staffing efforts have arisen from these interactions which is promising

for the future. There do not seem to be any barriers for shared staffing to occur as needs are

determined.

5. How do you support graduate education? Has this changed as a result of the new graduate

budget model and associated funds?

Graduate education is supported in many ways in MPS. A brief list follows:

Support for 4 Vice Chairs in Graduate area in 4 MPS departments;

Support for 2 Graduate Group Admins (matched w/ GS);

Supplemental Block Grant funds for 7 graduate programs (matched w/ GS);

GAANN fellowships in 3 departments—MPS and GS cost share;

GSR, Fee Remission, and Fellowship support for faculty projects;

Funding for Grad Diversity/Recruitment staff in GS;

Multiple research matches on grant proposals involving GSR or trainee support;

Faculty workload policy rewards faculty w/ teaching relief for their mentoring work w/

graduate students

TA support

Grant support

The graduate budget model provided a small amount of funds for 2015-16. Based on the

growth areas, the majority of funds were derived from a department that is already receiving a

large allocation due to the Masters Pilot Program. Therefore, the graduate budget model funds

have not yielded much for us to distribute broadly to all our deserving programs. We are still

considering the best process for utilizing this funding to serve the students and the programs

well.

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?

Our research goals are to hire clusters of new faculty broadly emphasizing the universe and

sustainability-- as per our Vision Plan--that will yield opportunities to apply for big grants with a

common research focus. We hope to build common-use facilities with departmental

equipment, NMR facilities, computing clusters, and faculty with research to support these

investments. Having more faculty doing interdisciplinary work in areas that connect with the

biological sciences, medicine, and engineering will also build our research programs in the

coming years. For MPS, having more research focused faculty will yield more research output

and raise our earnings.

MPS BM Practices

January 2015

BM Components Methodology Resource Allocation Metric

Faculty Resources

Areas of discipline specialty considered important to a unit--

are prioritized for hiring; loss of faculty over past few years

means we need to pickup hiring efforts; some units

considering L-SOE hires to help with workload.

Faculty hiring request made to Provost; Authorized

positions allocated to units according to greatest need

(teaching, research--graduate), success (or lack of) from

previous hiring cycle.

UGTR

Resources derived from instruction, majors, and degrees

conferred. MPS units are informed of their efforts in these

metric areas and the UGTR funding received. MPS

instructional needs/costs exceed base funding and funds

received through UGTR.

Annually review request for instructional funds, analyze

plans for seat and lab growth, ensure funding sought is

balanced with planned courses, TA's, and instructors.

Funding is allocated based on this review, if funds are

insufficient, additional funding for LD service courses is

sought from VP.

SS

Resources derived from summer instruction. MPS units rely

on summer revenue to fund basic departmental operations

(supplies, travel, entertainment, staffing, etc.) given history

of budget cuts.

Summer revenue is allocated to departments as it is

earned. Each dept will be responsible for paying

summer instruction costs and their share of OP Tax--net

revenue is theirs to use to meet their operational

expenses.

ICR

Resources derived from research. MPS units are informed of

their ICR generated for the year, less campus set asides.

MPS allocates 1/3rd of the ICR return to the Depts + PI's;

1/3rd is retained to cover MPS debt payment and OP

Tax on Research; 1/3rd is held by the Dean for startup-

retention-research commitments.

Grad Tuition

Resources are currently derived from Masters Pilot

Programs.

MPS allocates 80% of the Masters Pilot Revenue to the

Departments that generate the funds and 20% is held by

the Dean to cover graduate support needs.

BM Costs How Costs Are Apportioned Unintended Consequences Identified by Senate

Benefits

Faculty, instructional and TA benefits are paid by the Dean--

100%.

Substituting large classes for small: Not practiced in

MPS.

OP Tax

OP Tax on 19900 funds are paid by the Dean; Research tax is

covered by the ICR return; SS tax is covered by SS revenue.

Reduction of graduate course offerings: Not currently

practiced in MPS. These offerings have been insufficient

for many years.

Start-ups

Balance of Startup costs not provided by the Provost are split

between Dept and Dean. If CF funds are ample, then Dept

share is higher than Dean share; conversely, if not, then

equal split.

Shifts in Quality of Instructional Programs in SS: Not

practiced in MPS.

Retentions

Retention salary costs are covered by Dean; research support

is shared with Department; renovation costs require help

from Provost.

Failure to address late changes in majors: Not clear if

impacting MPS.

Equity

Equity salary adjustments for faculty are covered by the

Dean.

Competition to create popular courses: Competition

not overtly practiced in MPS. Certainly creating popular

courses in our fields is important.

Research Match/Cost-

Shares

Dean matches 50% with Department. Equipment-only

proposals are split 67% Dean, 33% Dept. On multi-

college/department proposals, matches follow ACCD model

per ICR flow.

Premise: Financial health of Colleges/Divisions (and departments) varied greatly upon the onset of new campus BM in 2012-13.

This fact affects the decisions and priorities being discussed here today. For example, units with more resources will have different

budget priorities and make different decisions than units with less resources. Further, without year-by-year predictability of potential

resources/revenue, units are hindered in their budget or growth planning. This is compounded by less than clear campus budget

transparency above the level of the Colleges/Divisions. Without a clear flow of budget information/priorities/uses from the top,

6/7/2015 H:\MPS\BUDGET\2014-15\Retreat on BM

MPS BM Practices

January 2015

the practices/decisions in the middle, will still be misunderstood. This will be especially true if a unit is seeing budgetary decreases

with increased workload, same workload but marginal budgetary impact overall, or high spending or investment in areas on campus

with no obvious, direct benefit (or relief) to it.

MPS Practices: BM components are communicated to Chairs and the Steering Committee as information is known. The Steering

Committee provides feedback on the Dean's decision regarding proposed resource allocation. A year-end report is provided to the Chairs

and Steering Committee which shows by unit how BM resources were allocated and costs were incurred/apportioned. The report

format and categories reflected were decided based on feedback from the Chairs and Steering Committee.

MPS Preferred Outcomes: 1) Leverage resources to hire new faculty; 2) Ensure workloads are being addressed by unit;

3) Elevate unit and Divisional stature by making strategic hires; 4) Ensure graduate education/programs are supported; 5) Return

resources to units that generate them for local decision-making; 6) Partner with units on commitments to secure full buy-in,

prioritization, and responsibility for investments; 7) Consider unit's resource availability (CF $) when determining splits on

start-up and retention commitments; 8) Work collaboratively with units in maximizing strengths and addressing weaknesses.

MPS is still hampered by limited resources and paying off its debt.

Note: Department and Unit are referred to interchangeably in this document. They are one and the same.

6/7/2015 H:\MPS\BUDGET\2014-15\Retreat on BM

Budget Context: Division of Mathematical & Physical Sciences

Budget and Institutional Analysis, June 2015 | Page 1

2013-14 Sources of Current Operating Allocations & Revenue (dollars in thousands): $54,950

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 $46,447 - $51,056 - Indirect Cost Return1 $3,110 - $4,411 - Other Student Fees2 - $1,314 - $2,523 Other Funds - $4,079 - $3,383

TOTAL SOURCES $49,557 $5,393 $55,467 $5,907

1 Includes ICR and Opportunity Funds. 2 Includes summer and course materials fees.

State Funds and Tuition

$46,447 85%

Indirect Cost Return

$3,110 6%

Student Fees

$1,314 2%

Other Fund Types $4,079

7%

Comments:

• Including contracts and grants, GF, Tuition, and ICR is ~65% of Sources in 2013-14 and are expected to be about 65% of Sources in 2014-15.

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

• Excluding contracts and grants, over 90% of GF, Tuition, and ICR in 2013-14 and 2014-15 were or are anticipated to be expended on salaries and benefits in 2013-14 and 2014-15. About 40% of other sources was expended on salaries/benefits in 2013-14, rising to 45% in 2014-15.

• $1.1M of State General Funds and Tuition is made up of COSMOS.

• Each division of L&S provides a shared service to the other divisions. For 2013-14, HArCS’ budget included $2.5M for L&S development; MPS’ budget included $400,000 for L&S commencements, L&S computing services, student assistant and other miscellaneous support (beginning in 2014-15, MPS will provide collegewide marketing and communications); and DSS’ budget included $2.3M for collegewide advising.



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 $20,461 $115 $21,922 $330 Academic Administrators $41 - $38 $5 Other Academics $201 $115 $301 $121 Teaching & Research Assistants, House Staff $6,058 $84 $6,866 $402 Staff and Other Salaries $6,446 $1,560 $7,451 $2,085 Employee Benefits $9,839 $632 $11,604 $770

SUBTOTAL $43,045 $2,506 $48,181 $3,712

Operating Expenses & Equipment Supplies & Expense $3,064 $2,658 $3,099 $3,134 Subcontracts - - - - Equipment & Facilities $1,085 $99 $1,285 $553

SUBTOTAL $4,150 $2,757 $4,383 $3,687

Travel $407 $494 $416 $473 Financial Aid $301 $111 $223 $148 Other Unallocated - $105 - -

TOTAL EXPENDITURES $47,903 $5,972 $53,204 $8,021

ANNUAL NET OPERATING POSITION $1,654 $(580) $2,262 $(2,114) Prior Year Carryforward $4,946 $5,950 $6,854 $6,260



Ladder Faculty and SOE by Department (October 2014)

FILLED FTE1

DEPARTMENT 2010 2014

Chemistry 36.37 36.69 Earth and Planetary Sciences 21.2 19.7 Mathematics 40 42 Physics 42.18 40.75 Statistics 17.25 15.25

TOTAL 157 154.39 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=154 as of 10/31/14)

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

Recruitments Authorized (Search Year) 4.00 6.00 8.00 10.00 13.00 Hires (Appointment Year) 2.00 3.00 0.33 3.00 7.00 Separation (Following Exit Year) -2.00 -8.00 -2.33 -6.50 -2.00 Net Change Hires-Separations 0.00 -5.00 -2.00 -3.50 5.00 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 4 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.

-10.00

-5.00

0.00

5.00

10.00

15.00

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 16 32 22 23 39 55

Other Academic Staff 19 17 86 67 105 84

SMG and MSP 6 5 - 0 6 5

Professional & Support Staff (PSS) 76 72 20 25 96 97

Student Employees 158 207 85 62 243 269 TOTAL FTE 275 333 213 177 489 510

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.

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

ENDOWMENT PURPOSE Endowment Funds Functioning as

Endowments (FFE) Grand Total

Departmental Lectures $81 - $81 Departmental/School Purposes $633 $42 $676 Prizes and Awards $33 $763 $796 Professorships and Chairs $1,489 $495 $1,985 Student Aid $2,467 $2,416 $4,883 Various Purposes $31 - $31

GRAND TOTAL $4,735 $3,716 $8,451 Note: Total endowment market value increased 12.83% over the prior year. The category “Prizes and Awards” may include some scholarships and fellowships.



ICR Generated by Year

Contracts & Grants Expenditures by Year

$6,676 $6,883 $6,961 $6,745 $6,126

State, $3 State, $3 State, $10 State, $9

State, $17 $1,642 $1,706 $1,595 $1,634

$1,304

2010-11:$8,320

2011-12:$8,591

2012-13:$8,565

2013-14:$8,388

2014-15 Projected:$7,446

$0

$1,000

$2,000

$3,000

$4,000

$5,000

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Federal State Other

$20,486 $19,886 $19,621 $18,523 $18,910

State, $14 State, $11 State, $43 State, $34 State, $65

$4,771 $5,589 $5,091 $4,987 $3,874

2010-11:$25,272

2011-12:$25,486

2012-13:$24,755

2013-14:$23,545

2014-15 Projected:$22,850

$0

$5,000

$10,000

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$25,000

$30,000

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Federal State Other



Base Budget Model Funds Allocation

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 21.0% 20.8% -1% Majors 6.7% 7.2% 6% Degrees 5.3% 6.0% 12% Weighted Share (60-30-10) 15.1% 15.2% 0% $63,000 $385,000 $306,000 $754,000 OP Tax (dollars in thousands)

FUND SOURCE 2014-15 2015-16 $ Change

State/Tuition $620 $683 $63 Extramural and ICR $426 $381 $(45) All Other Fund Sources $79 $97 $18

TOTAL $1,125 $1,161 $36 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

$18,834 $21,040 $22,756 $23,510

$21,897 $23,241

$24,458 $25,915

$2,878

$3,090 $3,116

$2,863 $1,826 $2,540 $1,730 $1,767

2012-13: $43,608at June 30

2013-14: $47,371at June 30

2014-15: $53,886at February 2015

2015-16: $56,595April Estimate

$0

$10,000

$20,000

$30,000

$40,000

$50,000

$60,000

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Undergraduate Tuition Revenue Provost Allocation Indirect Cost RecoveryGraduate Tuition Summer Sessions

Budget and Institutional Analysis

Division of Mathematical and Physical SciencesCampus 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 (3,990)$ 3,524$ 5,541$ 4,038$ 218$ 3 Summer Session Fees 771$ 663$ 561$ 249$ -$ 4 Professional Degree Fees5 Student Services Fee6 Course Material Fees 170$ 143$ 281$ 7 Campus-Based and Other Student Fees 1

8 Sub-Total, State Funds/Tuition/Fees (3,049)$ 4,330$ 6,382$ 4,287$ 218$ 910 Indirect Cost Recovery 1,632$ 1,421$ 1,313$ 2,027$ 115$ 11 Sub-Total, Indirect Cost Recovery 1,632$ 1,421$ 1,313$ 2,027$ 115$ 12 Other Unrestricted Funds13 Private Unrestricted Gifts 87$ 114$ 47$ 14 Other Funds 2 251$ 1,177$ 357$ 69$ 20$ 15 Unrestricted Endowment/FFE Earnings 109$ 116$ 99$ 16 UNEX Reserves 578$ 597$ 534$ 21$ 42$ 17 Self-Supporting Degree Fees 13$ 17$ 15$ 18 Application Fees19 Sub-Total, Other Unrestricted Funds 1,039$ 2,021$ 1,052$ 90$ 61$ 20 Sub-Total, ICR/Other Unrestricted 2,671$ 3,442$ 2,366$ 2,117$ 177$ 2122 Restricted and Designated Funds (all remaining funds)3 3,334$ 3,124$ 4,366$ 23 All Funds Total 2,956$ 10,896$ 13,114$ 2425 Select Fund Types -- State Funds/Tuition/Fees26 Prior Year Expenditures 40,829$ 41,237$ 45,283$ 45,283$ 27 CF as a % of Expenditures -7% 11% 14% 5%2829 Select Fund Types -- ICR/Other Unrestricted30 Prior Year Expenditures 2,249$ 4,803$ 4,945$ 4,945$ 31 CF as a % of Expenditures 119% 72% 48% 5%3233 Restricted and Designated Funds (all remaining funds)3

34 Prior Year Expenditures 4,278$ 4,027$ 3,330$ 35 CF as a % of Expenditures 78% 78% 131%3637 All Fund Types38 Prior Year Expenditures 47,355$ 50,067$ 53,558$ 39 CF as a % of Expenditures 6% 22% 24%4041 Selected Funds -- Dean - Departmental/Other:42 Carryforward held by Dean's Office -160% 20% 30%43 Carryforward held by Departments/Other 260% 80% 70%4445 Gift Fee Funds -UC Fund (56996):46 Carryforward n/a n/a n/a47 Prior-year Expenditures n/a n/a n/a48 CF as a % of Expenditures n/a n/a n/a4950 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.

Comments: MPS’ 2014-15 carryforward includes financial aid, COSMOS, and reserve funds restricted for UC level program administered by MPS which was not shifted out in time for the

closing of ledgers. COBL does not reflect the full level of committed obligations as two departments had not coded new faculty commitments. MPS estimates COBL for these departments totals

about $1M. The proportion of carryforward held at the Dean’s office has increased, allowing for more flexibility. Gift fees for MPS are under HArCS.

Budget and Institutional Analysis

Division of Mathematical and Physical SciencesCampus Carryforward and Reserve Balances(dollars in 000s)

54 Carryforward - Details on committed and Known Obligations (Fall Review)55 OBLIGATION TYPE/DESCRIPTION Project Code Committed Known56 Equipment CFEQUIP 431$ 38$ 57 Faculty Start Ups CFSTUP"####" 2,514$ -$ 58 Other CFOTHER or CF"####" 671$ 242$ 59 Renovations CFRENOV 12$ -$ 60 Retention Funding CFRET"####" 1,437$ -$ 61 Bridge Funding: Support Between Research Grants CFBRIDGE 298$ 21$ 62 Endowed Chair CF% (used Desc) 600$ -$ 63 Not Reported CF% (used Desc) 441$ 94$ 64 Total 6,404$ 394$

mathematical and physical sciences budget meeting agenda ... · • mps advising team = $300k + mps...

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