UCOP Audit Implementation Plan
UCOP is committed to implementing all of the California State Auditor's recommendations in a thorough and transparent manner.
Thank you for visiting this website, which is designed to provide a transparent view into our implementation of the California State Auditor’s recommendations made to UCOP as part of the audit of UCOP expenditures released in April of 2017. We accept, and already have begun implementing, all 33 recommendations that the auditor made to my office.
The recommendations, largely about transparency and best practices, are constructive. They will be implemented thoroughly and on time, and we will report back at regular intervals to the Legislature and the UC Board of Regents. Beyond that reporting, I hope this website, which we will update regularly, provides you a view into our progress and our broader commitment to continuous improvement.
The hallmark of institutional excellence is the eagerness, and resolve, to continually improve. That is what the University of California has been doing for nearly 150 years.
Janet Napolitano
President
TASK FORCE ON IMPLEMENTATION OF THE 2017 AUDIT RECOMMENDATIONS
Members:
Zoanne Nelson, Associate Vice President and Chief Strategy Officer (Chair)
Thera Kalmijn, Executive Director, UCOP Operations
Nancy Pluzdrak, Executive Director, UCOP Human Resources
Dave Baltaxe, Executive Director, UCOP Budget and Finance
Matthew Hicks, Systemwide Deputy Audit Officer
Terry Weinstein, Director, Compensation
Cathy O'Sullivan, Chief of Staff to the Chief Operating Officer
Gale Sheean-Remotto, Program Manager
Sponsors:
Rachael Nava, Executive Vice President and Chief Operating Officer
Alex Bustamante, Senior Vice President and Chief Compliance and Audit Officer
Latest Updates
April 2020 - Update from Task Force Chair Zoanne Nelson
- The Executive Budget Committee met five times to discuss the FY20-21 UCOP budget and to receive detailed presentations from five UCOP divisions to guide committee members in their review of the UCOP budget. The committee finalized its recommendations to President Napolitano.
- The Office of the President finalized and submitted its annual updates to the California State Auditor (CSA), including documentation supporting reported status.
- UCOP reported all 33 recommendations as “fully implemented.”
- UCOP met with CSA staff and provided documentation in advance of the deadline.
- UCOP briefed the Chair of the Regents Compliance and Audit Committee in advance of the deadline.
- Task force members held meetings with and provided documentation to Sjoberg Evashenk Consulting, Inc. as part of the firm’s independent assessment of implementation progress.
- President Napolitano received regular updates on audit implementation progress.
March 2020 - Update from Task Force Chair Zoanne Nelson
- The Executive Budget Committee met three times to discuss the FY20-21 UCOP budget and to receive detailed presentations from two UCOP divisions to guide committee members in their review of the UCOP budget.
- Task force members prepared for final submission to the California State Auditor due April 25.
- Task force members held meetings with and provided documentation to Sjoberg Evashenk Consulting, Inc. as part of the firm’s independent assessment of implementation progress.
- President Napolitano received regular updates on audit implementation progress.
Recommendation Implementation Progress
April 2018 Recommendations
| Recommendations | Initiated | Analysis Underway | Partially Implemented | Fully Implemented | Fully Implemented CSA Confirmed |
|---|---|---|---|---|---|
| 3. Document and review the restrictions and commitments on its funds | |||||
| 4. Develop a reserve policy | |||||
| 5. Implement our recommended budget presentation and present to the Legislature by April 25th | |||||
| 6. Reconvene campus budget committee and establish an agreed-upon charter | |||||
| 10. Develop a method for weighing comparable public and private sector pay data | |||||
| 11. Determine how to restructure salary ranges | |||||
| 12. Change employee benefit policies | |||||
| 13. Develop a strategic direction for its workforce plan | |||||
| 18. Develop clear definitions of systemwide initiatives and administration | |||||
| 19. Develop a comprehensive list of systemwide and presidential initiatives |
April 2019 Recommendations
| Recommendations | Initiated | Analysis Underway | Partially Implemented | Fully Implemented | Fully Implemented CSA Confirmed |
|---|---|---|---|---|---|
| 20. Publish the results of its review of fund restrictions and commitments and identify any funds eligible for reallocation | |||||
| 21. Implement best practices for budgeting | |||||
| 22. Continue to present a comprehensive budget to the regents, Legislature, and public by April 25th | |||||
| 23. Set targets and adjust salaries according to public and private sector comparison results | |||||
| 24. Narrow salary ranges | |||||
| 25. Set targets for appropriate employee benefits and adhere to the revised policies | |||||
| 26. Create a plan for reallocating funds that it saves to campuses as it reduces its staffing costs | |||||
| 27. Determine current and future staffing and competency gaps for its workforce plan | |||||
| 28. Establish spending targets for systemwide initiatives and administrative costs | |||||
| 29. Publish the results of the systemwide initiative review including any funds it plans to reallocate to campuses | |||||
| 30. Restructure budget and accounting systems so costs can be tracked and reported |
April 2020 Recommendations
| Recommendations | Initiated | Analysis Underway | Partially Implemented | Fully Implemented | Fully Implemented CSA Confirmed |
|---|---|---|---|---|---|
| 31. Reallocate funds which were identified in its review of fund restrictions and commitments | |||||
| 32. Evaluate budget process to ensure efficiency and adequate safeguards and begin multi-year budgets | |||||
| 33. Report funds reallocated to campuses by implementing our budget recommendations | |||||
| 34. Adjust salary levels and ranges to meet established targets | |||||
| 35. Adjust employee benefits to meet established targets | |||||
| 36. Reallocate funds to campuses when salary and benefit adjustments result in savings | |||||
| 37. Carry out workforce planning strategies and make final plan publicly available | |||||
| 38. Implement and evaluate workforce plan | |||||
| 39. Report to the regents the funds reallocated by implementing our staffing recommendations | |||||
| 40. Publicly publish progress in meeting systemwide initiatives and admin cost targets | |||||
| 41. Reallocate funds from systemwide initiatives review and administrative cost savings to campuses | |||||
| 42. Report funds reallocated to campuses by implementing our systemwide initiative recommendations |