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Standard 3:  Developing and Applying Resources and Organizational Structures to Ensure Sustainability

3.5:  Fiscal and physical resources are effectively aligned with institutional purposes and educational objectives, and are sufficiently developed to support and maintain the level and kind of educational programs offered both now and for the foreseeable future.

UC Santa Cruz Summary of Evidence

Financial and physical resources are allocated in response to priorities and processes established by the 2001 Ten Year Plans. The individual plans map academic development for the campus including priorities for each school and division, and the financial requirements to realize the stated goals. Although the plans are quite specific – including, for example, the identification of individual faculty recruitments – the timing and sequence for the implementation of the plans is not pre-determined.  Final allocations are dependent on a number of factors including availability of funding, other fiscal exigencies, and each division’s ability to meet the goals and measures articulated through the planning process.  Policies for the allocation of resources in support of these priorities are included in the Campus Provost/Executive Vice Chancellor's March 1, 2002 framework for moving forward. The Plan also addresses staffing and infrastructure, and investments required to support advancements in the use of technology in instruction and operations.

Academic facilities are for the most part provided through State funding, and as a result, are subject to both State and UC systemwide guidelines, procedure and policies. The campus sustains a rolling eight to ten year planning process for facilities (both funded from the State and other sources – e.g. research, housing and other auxiliaries). Academic space (instruction, office space, and research) is projected based on the growth of faculty, enrollment and research per the Ten Year Plans. The Advisory Committee for Facilities is the forum for discussion and recommendation of the capital improvement program. This group, broadly representative of academia and the administration, also formulates the campus space plan, advises on facilities proposals, and provides oversight of the management of campus space resources. The campus is also now fully engaged in updating its Long Range Development Plan to accommodate increased enrollments and research projected out to the year 2020. This critical land use planning process will be guided explicitly by the recommendations of the Strategic Futures Committee, a primarily faculty-based committee charged with envisioning the academic and research opportunities and priorities for the future of UCSC.

To ensure adequate budgetary control, the campus has developed a series of reports (and standards) to assess the overall budgetary health of each campus unit. These include annual reports on expenditures and balances, and accountability measures (The UC Santa Cruz Budget - A Bird’s Eye View). Areas of concern are monitored more frequently. In 2002-03, an Executive Budget Committee (EBC) was appointed to serve as an overall advisory body to the Chancellor and the Campus Provost/Executive Vice Chancellor, on budget issues and priorities, and to provide oversight and coordination for the development and implementation of campus budget strategies.

With the development of a Campus Controller function in 1998, we now have in place the Campus Financial Management Program. This program is aimed at helping the campus maintain a strong, cost-effective financial control and accountability environment. The management program offers key workshops covering such topics as business risk management, ethics, accounting at the University of California, and campus business processes. The university system and the campus employ independent auditors to review financial controls. In addition the campus administers an Internal Audit office which works with management to assure the protection and effective utilization of University assets. Services include accurate identification of risk in achievement of business objectives, cost effective design and administration of controls to mitigate risk, establishment of reliable accounting and information systems, and establishment of systems to ensure compliance with applicable laws and regulations.

Links to Evidence and Related Documents

• UC Santa Cruz Long Range (Ten Year) Planning Documents
  • Planning for the UC Santa Cruz of 2010, an update from the Campus Provost dated July 31, 2001
  • A framework for moving forward and issues that require more thought and discussion, an update from the Campus Provost dated March 1, 2002
  • Looking toward the UC Santa Cruz of 2010 ... the path to implementation, an update from the Campus Provost dated October 7, 2002
• UC Santa Cruz 1988 Long Range (Physical) Development Plan
• UC Santa Cruz Provost's Advisory Committees
  • Academic Planning Committee (APC)
  • Academic Support Planning Committee (ASPC)
  • Information Technology Committee (ITC)
  • Advisory Committee for Facilities (ACF)
  • Campus Welfare Committee (CWC)
• UC Santa Cruz Executive Budget Committee
• The UC Santa Cruz Budget - A Bird's Eye View (an overview of the campus's 2002-03 budget, published December 2002)
• UC Santa Cruz Financial Management Workshops

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