Report 2016-130 Recommendation 38 Responses

Report 2016-130: The University of California Office of the President: It Failed to Disclose Tens of Millions in Surplus Funds, and Its Budget Practices Are Misleading (Release Date: April 2017)

Recommendation #38 To: University of California

To ensure that its staffing costs align with the needs of campuses and other stakeholders, by April 2020 the Office of the President should implement phases four and five of CalHR's best practice workforce planning model by implementing its workforce plan strategies and annually evaluating the completed workforce plan strategies against defined performance indicators and revising the plan where necessary.

Annual Follow-Up Agency Response From April 2020

The Workforce Plan Phases 1 and 2 were completed and approved in 2018 and Phase 3 was approved in 2019, leaving Phase 4 (implementation plan) and Phase 5 (monitor, evaluate and revise plan) as the last two outstanding components. Due to the short timeframe specified by the CSA for executing Phases 4 and 5, the workforce plan team developed a 90-day Action plan to provide a proof-of-concept for the Phase 3 workforce plan strategies. The 90-day Action plan was completed in the fall of 2019 and metrics were captured and the progress made has been documented in the report. The team will continue to implement the one-year activities (through June 2020) and the long-term plan (through June 2022,) and will gather and evaluate metrics so the UCOP Workforce Plan can continue to meet the organizations needs as they naturally evolve.

UCOP's workforce plan team has completed the Workforce Plan Report which details the organization's workforce plan based on Cal HR's five phase model. In addition to the five phases that Cal HR recommended, UCOP believed it was critical to include a change management strategy to support the plan's implementation. A section was added in the report defining how UCOP will communicate the change impacts to the organization as the plan is implemented. The report has been shared with key stakeholders and published on the UCOP website.

The plan will help inform, and will be informed by, the UCOP strategic framework, divisional plans and multi-year budgeting efforts. It will be reviewed annually and new data will be gathered and analyzed to confirm current strategies are still relevant to the organization's changing needs. Improvements will be implemented as needed so the workforce plan can continue to mature with the organization.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

We are rating this recommendation as fully implemented because the Office of the President has started implementing its workforce plan and has developed a timeline for its ongoing workforce planning efforts. Between August 2019 and November 2019, the Office of the President tested its implementation strategies which includes improving areas such as hiring and retention. It used this information and data to inform its long-term work force implementation plan that extends through December 2022. The workforce plan includes actions steps, metrics, and milestones that the Office of the President can measure its progress against.

Annual Follow-Up Agency Response From November 2019

In Phase 4: Long Term Implementation Plan and Phase 5: Evaluation Strategy, the workforce planning team is leveraging the lessons learned from the 90-day action plan and building a long term implementation plan with metrics for evaluation against proposed strategies. The strategy, implementation and evaluation phases are a long-term iterative process where strategies and actionable tasks will evolve as the organization gains awareness of what proves to be successful and where course correction may be needed. These last two phases will be completed by April 2020.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

The status of this recommendation is pending the Office of the President's implementation of our workforce planning recommendations due April 2020.

Annual Follow-Up Agency Response From April 2019

The Office of the President has initiated efforts to implement this recommendation and will provide a status update on its progress at the next reporting milestone.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

The status of this recommendation is pending the Office of the President's implementation of our workforce planning recommendations due April 2020.

1-Year Agency Response

Implementation of this recommendation will be dependent on actions taken in response to the April 2019 recommendations.

California State Auditor's Assessment of 1-Year Status: Pending

The status of this recommendation is pending the Office of the President's implementation of our workforce planning recommendations due April 2019.

6-Month Agency Response

Implementation of this recommendation will be dependent on actions taken in response to the April 2018 and April 2019 recommendations.

California State Auditor's Assessment of 6-Month Status: Pending

The status of this recommendation is pending the Office of the President's implementation of our workforce planning recommendations due April 2018 and April 2019.

60-Day Agency Response

Implementation of this recommendation is dependent on actions taken in response to the April 2018 recommendations.

UCOP will annually evaluate its completed workforce plan strategies against defined performance indicators and revise the plan where necessary.

California State Auditor's Assessment of 60-Day Status: Pending

The status of this recommendation is pending the Office of the President's implementation of our workforce planning recommendations due April 2018 and April 2019.

All Recommendations in 2016-130

Agency responses received are posted verbatim.