Accountability Report 2016




Glossary

AAU — Association of American Universities. The AAU is a highly selective membership organization of preeminent public and private research universities. AAU currently has 60 American and two Canadian member institutions. In this report, the Canadian institutions are excluded from calculations. Of the ten UC campuses, six are AAU members: Berkeley, Davis, Irvine, Los Angeles, San Diego and Santa Barbara.

AB 540 — AB 540 is an Assembly bill passed in 2001. It allows undocumented high school students who meet certain requirements to pay in-state, instead of nonresident, tuition at California’s public higher education institutions.

Academic Senate — The Academic Senate represents the faculty in the shared governance of the University of California.  

API — Academic Performance Index. API is the measure of a high school’s academic performance and may affect a student’s success in college.

ARRA — American Recovery and Reinvestment Act, passed by Congress in 2009, was an economic stimulus package intended to ameliorate the effects of the 2007–09 recession.

Auxiliary enterprises — Auxiliary enterprises are campus services that charge fees for goods and services and therefore are self-supporting. Examples include student housing, meals and bookstores.

Climate — Climate is a term employed to measure diversity at UC campuses and the degree to which the campuses are welcoming and inclusive of different groups and affiliations.

Clinical faculty — Clinical faculty are instructors in medical and health sciences fields. They include professors in residence, professors of clinical __ (__ being the name of the discipline or specialty), and health science clinical professors. Clinical faculty are not members of the Academic Senate.

Comparison institutions; comparators — UC historically has used eight universities against which to benchmark faculty salaries. The comparison institutions — four public and four private — are: University of Illinois, University of Michigan, University at Buffalo and University of Virginia (all public); and Harvard, Massachusetts Institute of Technology, Stanford and Yale (all private).

FTE — Full time equivalent – a unit of measurement of employee or student workload or attendance. Two individuals each engaged in half-time employment constitute a single FTE. (See headcount.)

General campus — Used to distinguish the non-health science areas of a campus from the health science areas. Berkeley, Davis, Irvine, Los Angeles, Riverside and San Diego include both general campus and health science areas. Merced, Santa Barbara, and Santa Cruz are general campus only, and San Francisco is an exclusively health science campus.

General funds — General funds include State general funds, which are funds from the State of California, and UC general funds, which are primarily indirect cost recovery and nonresident tuition.

Graduation rate — The proportion of students in a cohort who finish their degrees within a specified period. Undergraduate graduation rates are generally measured in four-, five- and six-year increments for entering freshmen, and two-, three- and four-year increments for transfer students.

Headcount — Headcount is the actual number of individuals without accounting for full- or part-time status. Two students each attending school half-time constitute a headcount of two. (See FTE.)

Health sciences instruction — Seven UC campuses offer health sciences instruction. Davis, Irvine, Los Angeles, San Francisco and San Diego have schools of medicine and other health sciences such as pharmacy, nursing and dentistry; Riverside has a school of medicine; Berkeley offers health sciences instruction in optometry and public health.

K-12 — Kindergarten through 12-grade instruction.

Ladder-rank — Ladder-rank faculty are faculty who are tenured or have potential to receive tenure, and generally are members of the Academic Senate.

Master Plan — The Master Plan for Higher Education establishes a system of public higher education in California that defines the roles of public institutions with the goal of making higher education available to all Californians. The Master Plan originally was drafted in 1960 and has been updated several times to accommodate changing circumstances.

Non-ladder-rank faculty — Non-ladder rank faculty are faculty who are neither tenured nor on track to receive tenure, and generally are not members of the Academic Senate. Non-ladder rank faculty includes lecturers, visitors, adjuncts, instructional assistants and clinical faculty.

Nonresident — Nonresident students come from outside California to attend a UC campus. They must meet higher admissions criteria and pay the full cost of attendance.

Pell Grant — The Pell Grant is a federal program that provides need-based grants to low-income individuals for the purposes of obtaining a college degree. The number and percentage of Pell Grant recipients is frequently used as a measure of an institution’s accessibility for low-income students. A Pell Grant recipient is defined as a student who received a Pell Grant at any point while attending an institution.

Postbaccalaureate teaching credential — The postbaccalaureate teaching credential trains individuals to meet state standards for teacher certification.

Postdoctoral scholar — A postdoctoral scholar is engaged in further research or training in the field in which they obtained their doctoral degree for the purpose of gaining additional expertise and skills. Postdoctoral scholars may hold concurrent titles in other academic or staff categories.

Retention — Retention is the proportion of students in a cohort who remain enrolled or earn a degree at a specified time, such as after one year.

SCH, student credit hours – Student credit hours are a measure of faculty teaching workload. SCH is defined as the number of student enrollments in a course multiplied by the number of credits available from that course. For example, a 4-credit course with 50 students generates 200 SCH; a 2-credit course of 15 students generates 30 SCH.

Shared governance — At the University of California, faculty, operating through the Academic Senate, have a voice in the operation of the University and a measure of responsibility for the manner in which the University operates. This system is known as shared governance.

STEM — Science, technology, engineering and mathematics. In this report, includes physical sciences and mathematics, life sciences, engineering, computer science and health sciences.

TICAS — The Institute for College Access and Success. TICAS is an independent, nonprofit organization that conducts and supports nonpartisan research, analysis and advocacy with regard to access and affordability of higher education.

Tenure — Tenure is the right to continuous employment until ended by the tenure holder by retirement or resignation. A tenured appointment may not be terminated by the employer except for good cause.

Terminal master’s degree — A master’s degree that is not intended nor has the capability of leading to a doctoral program of study.

Transfer students — Transfer students enter UC after completing their freshman- and sophomore-level studies at a California Community College. The Master Plan calls for UC to admit as juniors all qualified California Community College students and specifies that the University maintain a 60:40 ratio of upper-division (junior- and senior-level) to lower-division (freshman- and sophomore-level).

UC Extension — UC Extension is a program of courses offered by UC campuses to working professionals to meet their continuing-education needs through both credit and non-credit programs. UC Extension does not award degrees; it offers only certificates and continuing education credit.

UCUES — University of California Undergraduate Experience Survey. UCUES is a biennial survey that solicits undergraduate opinions on all aspects of the UC experience. See Data Glossary entry below for more information.

VAI — Visitors, adjuncts and instructional assistants are types of faculty who do not have tenure or security of employment.

VERIP — Voluntary Early Retirement Incentive Program

WASC — Western Association of Schools and Colleges — WASC is UC’s regional accrediting agency. It is recognized by the U.S. Department of Education as the accrediting agency for colleges and universities in the western United States and the Pacific Basin.




Data Sources

Association of American Universities (AAU)

The Association of American Universities (AAU) is an association of 62 leading public and private research universities in the United States and Canada. A list of the institutions can be found in Table 6 of this glossary. Membership in AAU is by invitation and is based on the high quality of programs of academic research and scholarship and undergraduate, graduate and professional education in a number of fields. Throughout this report, the two AAU institutions in Canada are excluded from the “Non-UC AAU Public” group because they do not submit data to the U.S. Department of Education, the source of the AAU data used here. For more information, visit www.aau.edu.

American Association of University Professors (AAUP)

The American Association of University Professors is an organization of professors and other academics in the United States. It conducts an annual survey of faculty compensation, used in this report to compare UC’s faculty salaries. More information on the AAUP data set can be found at www.aaup.org/our-work/research/annual-report-economic-status-profession.

Comparison 8 (Comp 8)

The “Comparison 8” institutions are the eight universities — four public and four private — with which UC regularly compares faculty pay scales and student fees. This group is recognized as appropriate for purposes of comparison by such external agencies as the California Department of Finance. The public universities are University of Illinois, University of Michigan, University of Virginia and University at Buffalo. The private universities are Harvard University, Massachusetts Institute of Technology, Stanford University and Yale University.

Consumer Price Index (CPI)

The CPI is a measure of inflation experienced by consumers, and an important indicator of the condition of the economy. It can be used to adjust other economic data for changes in price level and to convert them into inflation-free dollars. For example, retail sales and income data are "deflated" to assess their "real" movements over time. This report uses the calendar year average of the CPI-W (CA), which is the Consumer Price Index for Urban Wage Earners and Clerical Workers. For more information on the CPI-W (CA), visit www.dof.ca.gov/HTML/FS_DATA/LatestEconData/FS_Price.htm.

Council for Aid to Education (CAE)

The Council for Aid to Education (CAE) is a national nonprofit organization based in New York City. Initially established in 1952 to advance corporate support of education and to conduct policy research on higher education, today CAE also is focused on improving quality and access in higher education. CAE's Voluntary Support of Education (VSE) survey is the authoritative national source of information on private giving to higher education and private K-12 classrooms, consistently capturing about 85 percent of the total voluntary support to colleges and universities in the United States. CAE has managed the survey as a public service for over 50 years. For more information, visit www.cae.org.

Integrated Postsecondary Education Data System (IPEDS)

IPEDS is a system of interrelated surveys conducted annually by the U.S. Department’s National Center for Education Statistics (NCES). IPEDS gathers information from every college, university, and technical and vocational institution that participates in the federal student financial aid programs. IPEDS provides basic data needed to describe — and analyze trends in — postsecondary education in the United States, in terms of the numbers of students enrolled, staff employed, dollars expended and degrees earned. For more information, visit http://nces.ed.gov/ipeds.

National Postsecondary Student Aid Study (NPSAS)

The National Postsecondary Student Aid Study is the most comprehensive, nationally representative survey of student financing of postsecondary education in the United States. Since 1987, NPSAS has been conducted every three to four years by the National Center for Education Statistics (NCES) of the Institute of Education Sciences, U.S. Department of Education. Undergraduate and graduate students enrolled at all types of postsecondary institutions are represented. For more information, visit http://nces.ed.gov/surveys/npsas.

National Student Clearinghouse (NSC)

The National Student Clearinghouse reports on all institutions that a student has attended or received a degree/credential at. Estimates are conservative due to imperfect matching of students. For more information, visit http://www.studentclearinghouse.org/.

Survey of Earned Doctorates (SED)

The Survey of Earned Doctorates (SED) is a federal survey conducted by the National Opinion Research Center (NORC) for the National Science Foundation and five other federal agencies (National Institutes of Health, U.S. Department of Education, National Endowment for the Humanities, U.S. Department of Agriculture and the National Aeronautics and Space Administration). The SED gathers information annually from new U.S. research doctorate graduates about their educational histories, funding sources and postdoctoral plans.

UC Audited Financial Statements

UC, like all public entities, is audited by an external auditing firm. UC’s external audit is performed by Price Waterhouse Coopers, an external independent certified public accounting firm reporting to the Regents. UC’s audited financial statements can be accessed at www.universityofcalifornia.edu/reportingtransparency.

UC Budget for Current Operations

UC budget documents can be found at www.ucop.edu/operating-budget/budgets-and-reports/index.html.

UC Corporate Contracts and Grants System

The Corporate Contracts and Grants System is a set of databases and processes that provides information about sponsored projects at the University of California. More information can be found at data.ucop.edu.

UC Corporate Financial System (CFS)

The Corporate Financial System (CFS) contains financial data for all UC campuses. The primary source of data in the CFS is a monthly transmittal file from each of the ten UC campuses. Each campus file contains data reflecting current financial, budgetary and encumbrance balances and current month financial activity in the campus's general ledger. More information can be found at data.ucop.edu.

UC Corporate Personnel System (CPS)

The Corporate Personnel System (CPS) is a reporting system with demographic, personnel and pay activity data on employees. More information can be found at data.ucop.edu.

UC Corporate Student System (CSS)

The Corporate Student System (CSS) is a set of databases and processes that provides information to meet the management, analytical and operational needs of the UC Office of the President. The seven CSS databases contain information about enrollment, undergraduate and graduate admissions, financial support, degrees conferred, and health science resident and postdoctoral fellow appointees. The databases are created and/or updated with data received from the campuses and other sources.More information can be found at data.ucop.edu.

UC Faculty Instructional Activities dataset (“TIE” data collection)

UC conducts annual data collections from campuses on faculty instructional activities. This data collection was originally undertaken in response to a state reporting requirement which was not renewed. The 2007 annual report to the Legislature was the last mandated report; it can be found at www.ucop.edu/academic-planning-programs-coordination/_files/documents/fia/fia_annlrpt2007.pdf. Since that time, UC has continued to collect these data for management and accountability purposes.

UC Graduate Student Support Survey

The UCOP Student Affairs department conducts periodic surveys of the competitiveness of UC graduate student support. Reports on this survey can be found at www.ucop.edu/student-affairs/data-and-reporting/graduate-student-support/index.html.

UC Information Center Data Warehouse

The Information Center Data Warehouse project, currently ongoing, is developing integrated system wide reporting to support the mission of Institutional Research throughout UC.

UC Medical Centers Audited Financial Statements

The UC medical centers, like all public entities, are audited by an external auditing firm. The medical center audited financial statements are published separately from UC’s external audit. UC’s audited financial statements can be accessed at www.universityofcalifornia.edu/reportingtransparency.

UC Medical Schools

Six UC campuses include medical schools: Davis, Irvine, Los Angeles, Riverside, San Diego and San Francisco. More information on these schools can be found at http://health.universityofcalifornia.edu/medical-centers/.

UC Student Financial Support Annual Reports

These reports, produced by the UCOP Student Affairs department, can be found along with other financial aid information at www.ucop.edu/student-affairs/data-and-reporting/index.html.

University of California Undergraduate Experience Survey (UCUES)

The University of California Undergraduate Experience Survey (UCUES) biennially solicits student opinions on all aspects of the UC experience. UCUES content is broad and covers most aspects of students' academic and co-curricular experiences. Students evaluate such things as instruction, advising and student services. The systemwide response rate for UCUES was 38 percent in 2006, 39 percent in 2008, 42 percent in 2010, 36 percent in 2012 and 37 percent in 2014. More information can be found at http://studentsurvey.universityofcalifornia.edu/.




Table 1. UC Student Enrollment Classification Using UC Corporate Student System

Level UC Degree Level UC Student Level Code Disciplines (CIP Categories)
Graduate Academic     Excludes Post-baccs in discipline breakdowns
Academic Doctoral PhD 6, 7, 8 Visual/Performing Arts
English Literature
Engineering
Computer Science
Math
Physical Science
Foreign Languages
Philosophy
Area Studies
Psychology
Social Sciences Agricultural Science
History
Liberal Arts
Bio/Life Sciences
Conservation Science
Interdisciplinary
Other/Unknown
Academic Masters MA, MS 5 or Post-bacc.
Professional Doctoral EdD, DEnv, DPh, DPT, DNS, etc. 6, 7, 8 Business
Architecture
Education
Public Admin.
Law (non-J.D.)
Communications
Criminology
Health Sciences
Library Science
Graduate Professional   Includes self-supporting  
Professional Masters MBA, MPP, MPH, MSW, MLS, M. City Planning, MA/MS in Education, MEng, MFT, etc. 5 Business
Architecture
Education Arts (MFT only)
Public Admin.
Law (non-J.D.)
Communications
Criminology
Health Sciences
Library Science
Professional Practice JD, MD, OD, DDS, PharmD, DVM, AudD, etc. 5 or 6 Law (JD only)
Medicine (MD only)
Other Health Sciences
Health Science Resident -- R Health Sciences
Undergraduate BA, BS 1-4 All Disciplines, grouped into broad disciplines



Table 2. UC and Comparative Student Data Classification Using IPEDS Data

Enrollment Level Degree Classification IPEDS Degree Disciplines (CIP Categories)
Graduate & Professional Graduate Academic
Academic Doctoral Doctor’s Degree (old)   Doctor’s Degree – research/scholarship (new) Visual/Perf. Arts
English Literature
Engineering
Computer Science
Math
Physical Science
Foreign Languages
Philosophy
Area Studies
Psychology
Social Sciences
Agricultural Science
History
Liberal Arts
Bio/Life Sciences
Conservation Science
Interdisciplinary
Other/Unknown
Academic Masters Master
Professional Doctoral Doctor’s Degree (old)   Doctor’s Degree – research/scholarship (new) Business Architecture Education Military Science Homeland Security Public Admin.
Law (non-J.D.)
Communications
Parks & Recreation
Agricultural Science
Criminology
Health Sciences
Library Science
Theology
     
Graduate Professional
Professional Masters Master Business
Architecture
Education
Military Science
Homeland Security
Public Admin.
Law (non-J.D.)
Communications
Parks & Recreation
Criminology
Health Sciences
Library Science
Theology
Professional Practice First Professional (old)   Doctor’s Degree – professional practice (new) Law (J.D. only)
Medicine (M.D. only)
Other Health Sciences
Theology
Undergraduate Undergraduate Bachelor All Disciplines, grouped into broad disciplines



Table 3. Broad Discipline Classification
Broad Discipline CIP Categories Included
When Using UC Corporate Data When Using IPEDS Degree Data
Arts & Humanities Visual/Performing Arts
English Literature
Foreign Languages
Philosophy
History
Liberal Arts
Visual/Performing
Arts
English Literature
Foreign Languages
Philosophy
History
Liberal Arts
Life Sciences Bio/Life Sciences
Conservation Science
Agricultural Science (select 01 CIPs)
Bio/Life Sciences
Conservation Science
Agricultural Science (select 01 CIPs)
Physical Sciences, Technology, Engineering and Mathematics (PSTEM) Math
Physical Science
Engineering
Computer Science
Math
Physical Science 
Engineering 
Computer Science
Social Sciences Area Studies
Psychology
Social Sciences (except UCSD Pacific Affairs, UCI Criminology)
Agricultural Business/Production (select 01 CIPs)
Area Studies
Psychology
Social Sciences
Agricultural Business/Production (select 01 CIPs)
Other Disciplines Interdisciplinary
Other/Unknown
Business
Architecture
Education
Public Admin.
Law (non-J.D.)
Communications
Criminology
Health Sciences
Library Science
Social Sciences (UCSD Pacific Affairs and UCI Criminology)
Interdisciplinary
Other/Unknown
Business
Architecture
Education
Public Admin.
Law (non-J.D.)
Communications
Criminology
Health Sciences
Library Science
Theology
Parks & Recreation
Military Science
Homeland Security



Table 4. Inflation Adjustments

Unless otherwise noted, all inflation adjustments are to 2015 calendar year dollars using the consumer price index for urban wage earners and clerical workers, California (CPI-W) published by the California Department of Finance.

Calendar Year Fiscal/ Academic Year CCPI-W, CA (1982–84=100)
1993 1993–94 144.7
1994 1994–95 146.6
1995 1995–96 149.1
1996 1996–97 152.0
1997 1997–98 155.0
1998 1998–99 157.6
1999 1999–00 162.2
2000 2000–01 168.1
2001 2001–02 174.7
2002 2002–03 179.0
2003 2003–04 183.8
2004 2004–05 188.9
2005 2005–06 195.9
2006 2006–07 203.3
2007 2007–08 209.9
2008 2008–09 217.6
2009 2009–10 216.3
2010 2010–11 219.7
2011 2011–12 226.4
2012 2012–13 231.6
2013 2013–14 234.9
2014 2014–15 239.0
2015 2015–16 241.6



Table 5. Faculty Discipline Groupings

Discipline Grouping - Accountability UAS Discipline
Arts & Humanities Fine & Applied Arts
Arts & Humanities Foreign Languages
Arts & Humanities Letters
Arts & Humanities Theology
Business/Management Business & Management
Education Education
Engineering & Computer Science Computer & Information Sciences
Engineering & Computer Science Engineering
Interdisciplinary/Other Interdisciplinary Studies
Interdisciplinary/Other Physical Education
Interdisciplinary/Other Military Sciences
Interdisciplinary/Other Home Economics
Law Law
Life Sciences Biological Sciences
Life Sciences Agriculture & Natural Resources
Math Mathematics
Medicine Medicine
Other General Campus Professional Architecture & Environmental Design
Other General Campus Professional Criminology
Other General Campus Professional Social Welfare
Other General Campus Professional Communications
Other General Campus Professional Library Science
Other Health Science Veterinary Medicine
Other Health Science Dentistry
Other Health Science Nursing
Other Health Science Pharmacy
Other Health Science Public Health
Other Health Science Optometry
Other Health Science Other Health Professions
Physical Science Physical Sciences
Social Science & Psychology Psychology
Social Science & Psychology Social Sciences
Social Science & Psychology Area Studies



Table 6. Faculty Categories, Faculty Series and Class Title Outline Codes

Category

Faculty Series Included

Class Title Outline (CTO) Codes1

Ladder Rank Faculty and Equivalent (LRE)

Professorial – Tenure, Non-Tenure and Recall2

Clinical Prof. of Dentistry – 50% or More

Supervisor of Physical Education – Tenure, Non-Tenure and Recall

Acting Professor – Senate and Non-Senate

Lecturer with Security of Employment and with Potential Security of Employment – 100%, and Recall3

Astronomer – Tenure, Non-Tenure and Recall

 010, 011, 012

030, 031

040, 041, 042

114, 124

210, 211, 212

520, 521, 522

Additional Instruction/Research/Service Faculty

Professor in Residence

Professor of Clinical ___ (e.g., Medicine)

Health Sciences Clinical Professor

Adjunct Professor

Visiting Professor

311

317

341

335

323

Lecturers and Instructional Assistants (Unit 18)4

Lecturer

Lecturer with Potential Security of Employment – Part Time

Instructional Assistant (non-student)

225

221

357

1 The CTO code identifies a group of titles with similar duties and/or conditions of appointment.

2 “Recall” denotes retired faculty who have been recalled to active service to perform teaching, research and/or public service duties. They are included in reporting on headcounts and FTE of incumbent faculty, but they are excluded from reporting on faculty new hires and separations.

Note: Faculty members with tenure are conferred the Emeritus title upon retirement.  If they return to University service in a paid position, they are appointed in Recall titles. Emeritus faculty without Recall appointments are not included in faculty counts in the Accountability Report.

3 Lecturers in these titles are also called “Senate Lecturers”. They have or are eligible for the equivalent of tenure, and they are represented in the Academic Senate.

4 These Lecturers and Instructional Assistants are often part-time or are hired in temporary assignments.  They eligible for union representation; their bargaining unit in the UC system Is referred to as “Unit 18”.




Table 7. AAU Member Universities, as of June 2015 (United States only)

UC Non-UC Public Private
Berkeley Georgia Institute of Technology — Main Campus Boston University
Davis Indiana University — Bloomington Brandeis University
Irvine Iowa State University Brown University
Los Angeles Michigan State University California Institute of Technology
San Diego Ohio State University — Main Campus Carnegie Mellon University
Santa Barbara Pennsylvania State University — Main Campus Case Western Reserve University
  Purdue University — Main Campus Columbia University in the City of New York
  Rutgers University — New Brunswick Cornell University
  Stony Brook University Duke University
  Texas A & M University Emory University
  The University of Texas at Austin Harvard University
  University at Buffalo Johns Hopkins University
  University of Arizona Massachusetts Institute of Technology
  University of Colorado at Boulder New York University
  University of Florida Northwestern University
  University of Illinois at Urbana — Champaign Princeton University
  University of Iowa Rice University
  University of Kansas Stanford University
  University of Maryland — College Park Tulane University of Louisiana
  University of Michigan — Ann Arbor University of Chicago
  University of Minnesota — Twin Cities University of Pennsylvania
  University of Missouri — Columbia University of Rochester
  University of North Carolina at Chapel Hill University of Southern California
  University of Oregon Vanderbilt University
  University of Pittsburgh — Pittsburgh Campus Washington University in St Louis
  University of Virginia — Main Campus Yale University
  University of Washington — Seattle Campus  
  University of Wisconsin — Madison