UC Santa Cruz - Office of Internal Audit and Advisory Services

Office of Internal Audit & Advisory Services
106 Kerr Hall
University of California
Santa Cruz, CA 95064
Phone: 831.459.3205
FAX: 831.459.3876

Mail Stop: Internal Audit Generic office email: internal.audit@ucsc.edu

Meet the Staff /Org Chart

Internal Audit links

• UCSC Audit Services

• Policies & Procedures

• Audit Risk Ranking

• Audit Tests & Best    Practices

• Cash Handling, Equipment Requirements, & Ticket Sales

• Training & Refrence:
    - HIPAA
    - Conflict of Interest

Recommended Links & Information

Selected Policies and Procedures

Employee & Vendor Hiring Policy - http://purchasing.ucsc.edu/howto/employeevendorpolicy.html

Whistle Blower Policy - ucop.edu/ucophome/policies/bfb/g29.html
Links to Systemwide policies on protection of whistle blowers from retaliation and reporting and investigation allegations of suspected improper governmental activities. We also have a poster for units to post to provide information about whistle blowing to your employees. See also the UC Santa Cruz Whistleblower Policies and Procedures: http://whistleblower.ucsc.edu/docs/policies_oct_06.pdf.

UC Systemwide Policies - ucop.edu/ucophome/coordrev/ucpolicies/
The UCOP policy manuals link is a top level index. Links on this page include:

Conflict of Interest Policy - ucop.edu/ucophome/policies/bfb/g39.html
(See also UCSC Internal Audit Conflict of Interest Page)
The conflict of interest link above is to Business and Finance Bulletin G-39. This policy requires an annual public filing of a financial disclosure statement by Designated Officials at UCSC. General Counsel provides information and instructions on completing the disclosure statement. The Policy and Guidelines Regarding Acceptance of Gifts and Gratuities by Employees Under California's Political Reform Act is also relevant in determining conflict of interest particularly when travel is paid by an outside entity. If you have questions or need assistance completing the form(s) contact Geri Gail, UCSC Conflict of Interest Coordinator, at ggail@ucsc.edu or 459-2241. There is also a specific conflict of interest policy for support groups.

Support Group Policy and Administrative Guidelines
ucop.edu/ucophome/policies/support/supppol.html
ucop.edu/ucophome/policies/support/suppguide.html
A support group is any group, organization, foundation, or association other than a Campus Alumni Association or Campus Foundation (1) whose primary purpose is to provide assistance through fund-raising, public outreach, and other support for the University's mission; or (2) whose representatives or activities make the entity indistinguishable from the University itself; or (3) that acts as an agent of or intermediary for the University. Also see the conflict of interest policy for support groups.

UCSC Student Policies and Regulations Handbook - http://www2.ucsc.edu/judicial/handbook.shtml
This handbook integrates the University of California Policies Applying to Campus Activities, Organizations, and Students (UC Policies

UCSC Policies and Procedures - http://www.ucsc.edu/ppmanual/
UCSC also has local policies specific to our campus. Some local polices and procedures we commonly refer to include:

UC Records Disposition Schedule - ucop.edu/recordsretention/search.html
This link will help you determine how long you need to retain specific types of documentation. The UCSC Information Asset Management page (see also: Retention schedule in Excel format)

Official California legislative information - leginfo.ca.gov/index.html
This is a link to the Legislative Counsel's web site that provides official California legislative information. The Legislative Counsel's home page offers easy access to various categories of legislative information.

The Contracts and Grants Manual - ucop.edu/raohome/cgmanual/
sets forth UC Systemwide policies for the solicitation, acceptance and administration of awards from extramural sponsors. At this site you can browse the manual by chapter via the table of contents below, or search the manual.

Office of Management and Budget Circular A-21 - whitehouse.gov/omb/circulars/a021/a021.html
establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions .

Governmental Accounting Standards Board Policy Summaries - http://www.gasb.org/st/index.html