ADMINISTRATION AND FINANCE DIVISION
BRIEFING BOOK
Administration and Finance Briefing Book
Table of Contents
ADMINISTRATION & FINANCE .......................................................................................................... 3
OFFICE OF THE VICE PRESIDENT ................................................................................................... 7
Assistant Vice President, Administration & Finance .................................................................... 8
AFD Technology Services ................................................................................................................. 9
FACILITIES ........................................................................................................................................... 10
Facilities Planning & Capital Projects ........................................................................................... 11
Facility Services ................................................................................................................................ 12
Building Maintenance and Operations ......................................................................................... 14
Custodial Services ............................................................................................................................ 15
Landscape Services .......................................................................................................................... 16
Transportation Services ................................................................................................................... 17
Distribution Services........................................................................................................................ 18
Environmental Health and Safety ................................................................................................. 19
FINANCE .............................................................................................................................................. 21
Budget & Analytic Business Services ............................................................................................ 23
Contracts, Procurement and Risk Management (CPRM) ........................................................... 30
Fiscal Services ................................................................................................................................... 32
HUMAN RESOURCES ....................................................................................................................... 35
PERFORMING ARTS CENTER ......................................................................................................... 40
UNIVERSITY POLICE......................................................................................................................... 46
CAL POLY CORPORATION ............................................................................................................. 47
OTHER .................................................................................................................................................. 49
Media Protocol ................................................................................................................................. 49
Hospitality Policy ............................................................................................................................. 49
Reporting of Fiscal Improprieties .................................................................................................. 50
Signature Authority ......................................................................................................................... 50
New Employment Transition Assistance ..................................................................................... 50
Alcohol Policy ................................................................................................................................... 51
Use of Campus Legal Counsel ....................................................................................................... 51
Trademark Licensing ....................................................................................................................... 51
Campus Building Permit Program ................................................................................................ 51
ADMINISTRATION & FINANCE
Mission Statement
“As stewards of the University resources, we provide high quality, efficient support and
planning services as an integral part of the campus community in support of student learning.”
Vision Statement
“We strive to reflect the highest professional and ethical standards while demonstrating our
principles, promoting individual growth and innovative means of delivering quality service
while fostering a sense of community in support of the mission of the University.”
AFD Principles
Administration and Finance has identified principles that describe who we are collectively. Our
challenge is to be sure that we reflect those principles each day in all that we do.
Integrity is an individual’s demonstrated commitment to “do the right thing” despite obstacles.
It shows a soundness of character and an interest in representing the best principles of the
University. It is evidenced by an effort to include the thoughts and concerns of others in a
critical process even when met with significant difficulty. It is based upon the concept that
differing opinions may exist at all levels but that individual and collective integrity ultimately
creates a healthy community.
Commitment is dedication to the goal of excellence in service and accountability. It includes
the desire to understand the task and to follow through in its completion with results-oriented
focus. Committed employees are dependable, loyal and consistent, ensuring that the level of
service and degree of accountability remain reliable. Individuals who are committed to
excellence exhibit pride in their accomplishments, and the drive for self-improvement.
Empowerment is the capacity of an individual or a team to perform optimally. It is a process
that challenges our assumptions about the way things are and can be. An empowered staff
member is well-trained and free to identify and execute solutions to the problems or tasks
assigned to them without the fear of reprisal. They accept the right, risk, responsibility and
accountability to fail a little in order to gain.
Creativity is the ability to envision, create and /or implement productive ideas and innovative
solutions that enhance continuous improvement. Creative individuals experiment to find ways
to improve efficiency, customer satisfaction, or professional standards. A creative approach
goes beyond what is currently accepted or practiced by continuously striving toward a
benchmark of excellence that is in keeping with changing institutional and customer needs.
Collaboration is the coming together of parties with diverse skills and backgrounds,
contributing those skills and resources in an atmosphere of trust, respect and flexibility, in order
to achieve shared goals and objectives. Collaboration is a philosophy of interaction wherein
cooperation, consensus, flexibility, adaptability, and good communication styles are
demonstrated.
Equity means that everyone is treated fairly and with respect. Equity actions are deliberate
efforts to build partnership skills among people, enhance people’s ability to work together
productively, expand career opportunities, embrace strength inherent in diversity, and avoid
stereotyping and discrimination while building community.
Trust, respect, communication, and results-oriented are concepts that are included in some of
the principles listed above. These four concepts also stand alone as principles that represent the
people and practices in the Administration and Finance Division. Trust implies an ability and
willingness to rely on a person. Respect is having confidence in them. Communication
involves not only listening and sharing, but also anticipating who needs to know and when
messages should be sent. Finally, to be results-oriented is a practical demonstration of the
commitment to act according to the principles and to deliver what is promised.
Organizational Strengths
The strengths of AFD operations include:
 Belief in collaboration
 Willingness to work on hard issues with a can-do attitude
 Understanding of our role and purpose
 Placing the university interest above personal interest
 Demonstrating a service orientation
 Striving to continuously improve
 Willingness to take a risk
 Pride in our reputation
 Empowering people and holding them accountable
 Not being territorial
 Attracting and retaining quality people
AFD Targets
The following are things that we can do to help enhance our operations:
 Communicate more effectively
 Enhance interdepartmental relationships
 Develop and show measures of success
 Continue to attract and retain quality staff
 Develop and implement a management training program—addressing technical skills,
compliance issues, mentoring, and succession strategies
 Further emphasize the empowering of staff
 Simplify service whenever possible
 Be proactive
Role in CSU
AFD staff has a reputation for leadership at the system level with those activities that are of
benefit to the campus. This participation includes, among others, CSU policy development
(security awareness training, acceptable use, etc.) and CMS Finance.
AFD has the responsibility for the preparation, submittal and support for fiscal, contractual, and
capital project information and resolutions for consideration and review by the Chancellor’s
Office and/or The Board of Trustees.
Org chart
OFFICE OF THE VICE PRESIDENT
The Vice President for Administration and Finance has responsibility for the areas of Finance,
Human Resources, Facilities, AFD Technology Services, Information Security, Police, the
Performing Arts Center, and the Cal Poly Corporation. Administration and Finance staff
represent the division on numerous University wide committees such as the IRMPPC, AACC,
the Athletics Advisory Board, etc.
The relationship of AFD with the auxiliaries is unique. The Vice President for Administration
and Finance as Chief Financial Officer for the University has the responsibility for fiscal
oversight of the auxiliary organizations, including the Associated Students, Inc., Cal Poly
Corporation, Cal Poly Foundation and the Cal Poly Housing Corporation. In that role there are
actions that are taken to strengthen this oversight responsibility. The Vice President also serves
as the Chair of the Cal Poly Corporation Board of Directors, and as the Treasurer of the Cal Poly
Foundation.
Contact:
Lawrence Kelley, Vice President
805-756-2171
lkelley@calpoly.edu
Resources:
CAP 302.1 Division Policies – Fiscal Oversight by the University of the Auxiliary
Organizations
Assistant Vice President, Administration & Finance
The Assistant Vice President for Administration and Finance works closely with the Vice
President on University initiatives and manages AFD’s role in these initiatives to ensure
objectives are met. The Assistant Vice President is also responsible for overseeing the division’s
budget and works with the Vice President on funding for University and divisional priorities.
Capital Projects
The Assistant Vice President for Administration and Finance works closely with Facilities
Planning and Capital Projects in the initial planning stages of new capital projects to provide
guidance and establish expectations and responsibilities of all parties with regard to time
commitments, scheduling, scope, budget, fiscal resources and approvals. The AVP works with
the auxiliaries on privately funded projects to identify sources of funds and to prepare a
funding plan to meet the project cash flow requirements. As gatekeeper for all new projects, all
expectations are articulated through a Letter of Understanding (LOU) and agreed to by the
parties involved to ensure a common understanding.
Campus Administrative Policy (CAP)
The Assistant Vice President for Administration and Finance represents the Administration and
Finance division on the campus CAP Ad Hoc Editorial Coordination and Review Committee.
The CAP committee is charged with reviewing campus policy as submitted by campus
divisions prior to approval by the President. In addition the AVP is responsible for review and
submission of Administration and Finance policy.
Public Records Act Officer
The Assistant Vice President for Administration and Finance serves as the Public Records Act
(PRA) Officer for the university including the auxiliaries. Campus departments that receive a
request for public records should immediately provide a copy of the request to the PRA Officer.
The campus PRA Officer is responsible for assuring that appropriate campus entities are
notified of the request and for maintaining an inventory of all such requests.
A department which receives a written request for public records is responsible for responding
to and complying with the request, unless the requested documents are housed in a different
department. In that case, the written request should immediately be forwarded to that
department for handling and the PRA Officer notified of the transfer. Information regarding
requirements associated with PRA requests can be found on the Cal State website in the OGC
Manuals on Legal Issues.
Contact Information:
Karen Webb, Asst. Vice President for Administration and Finance
805- 756-2661
kwebb@calpoly.edu
AFD Technology Services
AFD Technology Services provides computer support, network support and other technology
support services to the Administration and Finance division. AFD Technology Services works
closely with Information Technology Services (ITS) and provides input to and participates in
campus technology projects.
Information Security
The director of AFD Technology Services has been appointed by the President to serve as the
University Information Security Officer. The Information Security Officer (ISO) is responsible
for coordinating and overseeing the campus information security program, advising the
President and his/her cabinet on information security matters, overseeing information security
risk assessment activities and the security incident response program. Cal Poly is subject to
regular information security compliance audits by various CSU and government agencies. The
ISO responds to information security related audit requests. The ISO works closely with Legal
Counsel, University Police, the Vice Provost/Chief Information Officer, and other campus
managers and staff involved in securing the university’s information assets to enforce
established policies, identify areas of concern, and implement appropriate changes as needed.
The Information Security website provides valuable information for all members of the
University community.
Business Operations Continuity
The director of AFD Technology Services coordinates the campus Business Operations
Continuity plan completion, testing, and annual updates. The Director responds to CSU
requests about business operations continuity compliance.
Record Retention
The director of AFD Technology Services coordinates the campus record retention and
disposition schedule review and responds to CSU requests about campus record retention &
disposition schedule compliance.
Contact Information:
AFD Technology Services
805-756-2687
Resources:
AFD Technology Services website
Information Security website
FACILITIES
The Cal Poly Facilities organization provides executive leadership, direction, oversight,
coordination, long range planning and financial management for three critical and
interdependent campus support departments: Facilities Planning and Capital Projects, Facilities
Services, and Environmental Health and Safety. Facilities is dedicated to the operation and
continual development of a safe, compliant, world class environment in support of the
university academic mission. Led by the Associate Vice President for Facilities, the entire
organization of over 225 staff is arranged in several distinct functional groups under the three
primary areas:
Facilities Planning and Capital Projects
 Campus Planning
 Capital Projects
 Space Management
Facilities Services Building Maintenance
 Energy and Sustainability
 Custodial, Landscape, and Transpiration Services
 Building and Infrastructure Operations and Maintenance
Environmental Health and Safety
 Hazardous Materials
 Regulatory Compliance
 Alarms
 Emergency Management
Contact Information:
Mark Hunter, Associate Vice President for Facilities
805-756-5222
mhunter@calpoly.edu
Resources:
Facilities Website
Facilities Planning & Capital Projects
The Facilities Planning & Capital Projects (FPCP) department is responsible for the university’s
major and minor capital outlay planning, design, construction, and project management—
including master plan review, update, and implementation; project planning; architectural
coordination and code compliance; campus space utilization; and capital development
environmental quality management, including sustainability planning and implementation.
Description of Cal Poly Property
Cal Poly is the second largest university landholder in California and one of the largest in the
nation. The campus encompasses over 6,000 acres in San Luis Obispo County and 3,200 acres
near Santa Cruz. The university has 100 major structures totaling approximately 5 million
square feet.
The main campus consists of the university’s instructional core—155 acres; the extended
campus includes the campus farm and residential, recreational, and parking facilities.
Master Plan
Looking toward the 21st century and the growing demand for higher education in the State of
California, Cal Poly has applied the results of strategic planning efforts at the divisional and
college level to inform its long-term enrollment planning. The campus completed a physical
master plan update based on these academic plans and enrollment scenarios. The Campus
Planning Committee, consisting of campus and community representatives, oversees
implementation of the plan. The California State University Board of Trustees approved the
Master Plan and Environmental Impact Report (EIR) on March 21, 2001, after intensive
comment from the campus and community.
Capital Projects Process
All Capital Projects—which include new construction, alterations, additions, and improvements
to existing structures or infrastructure—fall under the general direction of the Vice President for
Administration & Finance. Facilities Planning & Capital Projects is responsible for
administering all campus Major and Minor capital outlay projects on behalf of the CSU Trustees
and the State of California.
Contact Information:
Joel Neel, Director of Facilities Planning & Capital Projects
805-756-7102
jneel@calpoly.edu
Resources:
Facilities Website
Cal Poly Land
Cal Poly Master Plan
Campus Land Use and Design Guidelines
Facility Services
Facility Services oversees the campus maintenance and operations (building maintenance,
custodial, grounds, vehicle maintenance, utilities, mail distribution, and Environmental Health
and Safety) for areas funded by the CSU Operating Fund, Housing (except custodial), and
Parking. Funding for this maintenance comes from the following sources: CSU Operating
Fund, Housing, and Parking and Capital Renewal (in years when bond funds available and
dedicated to the program. Services are also provided to non-state funded areas on a “fee for
service” basis.
CSU Operating Fund
Facility Services receives annual compensation increases when approved by the legislature (no
increase for supplies & services, training, equipment, or travel).
The Special Repair program funding is carved out of the CSU Operating Fund budget to fund
major maintenance projects ranging from $10,000 to $600,000. Generally, Facilities allocates
about $2.1 million annually for these projects.
New or increased maintenance funding is normally generated only when new facilities are
constructed. The proportional breakdown of Facility Services’ CSU Operating Fund budget is
as follows:
Facility Services CSU Operating Fund Budget
1.14%
Salaries/Benefits, Overtime,
Differentials
17.84%
Student Assistants
2.18%
Supplies & Services, Contractual
Services
0.67%
Travel
0.51%
Equipment
11.59%
Contractual Services - 204600
65.10%
0.97%
Special Repair
Other
Minor Capital Outlay (projects under $600,000)
The Minor Capital Outlay program funds critical infrastructure deficiencies, ADA compliance,
educational programmatic renovations, code deficiency, safety, workload-driven, energy, and
economic impact projects. Funding for Minor Capital Outlay projects is generally through
general obligation bonds. In recent years, funding has ranged from zero to $800,000 annually.
Capital Renewal (projects over $600,000)
Capital Renewal funds correct structural, health safety, and code deficiency projects. Generally,
these funds are also based on general obligation bond funding and may or may not be funded
annually. In recent years, funding has ranged from zero to $2,500,000 annually.
Building Maintenance and Operations
The Maintenance Budget
 Facility Services is budgeted to operate, repair, and maintain state facilities on campus.
This does not include buildings leased to our Auxiliaries (ASI, Corporation).
 Maintenance funding goes to:
Custodial
Landscaping
Utilities (purchase, supply & distribution)
Fleet Management
Event Support (limited)
Surplus Property Removal
Recycling
Administration
Building Maintenance
Projects: With the exception of scheduled and preventive maintenance, upgrade and renovation
projects are typically not funded by Facilities state operation funds.
Building maintenance is comprised of three parts:
 Scheduled and preventive maintenance.
 Response to trouble calls -- call 6-5555, or e-mail facserv@calpoly.edu .
 Replacement of systems that have failed or reached the end of their life span.
Deferred Maintenance
 Currently estimated at approximately $100 million
 Figure arrived at through a statistical modeling system which takes into account
building information including; age, type of construction, history of renovations,
complexity, etc.
Contact Information:
Gail Pipal, Associate Director for Facilities Maintenance
805-756-5222
gpipal@calpoly.edu
To request maintenance, either call the Facilities Help Desk at 6-5555 to submit a service request
or send an e-mail to facserv@calpoly.edu.
Custodial Services
Custodial maintenance is provided to all CSU Operating Fund supported state facilities. NonCSU Operating Fund programs may be provided service on a chargeback basis (see below).
Typical services include cleaning, sanitizing, floor care, stocking sanitary supplies and
collecting and disposing of refuse. Most custodial operations are scheduled between 5:00 p.m. 3:00 a.m. Custodians are instructed not to perform personal or unauthorized services for
building occupants. Please contact Facility Services with unusual or non-routine custodial
maintenance requests at extension 6-5555.
Cleaning Frequencies
 Classrooms - daily
 Restrooms - daily, with additional attention as necessary
 Interior hallways - daily
 Reception, copy center, department front office, multi-person areas - empty trash daily,
inspect daily, thoroughly clean weekly
 Private/one-person offices and cubicles - empty trash & clean once weekly
 Labs - empty trash and inspect and spot clean daily, thoroughly clean weekly
 Exterior walkways and entries - weekly
Chargeback Services
Services to be charged to departments include moving, event support and cleanup, and any
additional cleaning requested which exceeds the cleaning frequencies listed above. Submit a
Service Request via Service Request Form (Word) or (PDF) to facserv@calpoly.edu or call 7565555, Facilities Work Center.
Contact Information:
Scott Loosley
Assistant Director for Operations
805-756-2321
facserv@calpoly.edu
Facilities Work Center
805-756-5555
Landscape Services
Landscape Services provides safe and attractive campus grounds in support of the University's
academic mission. These services meet or exceed customer expectations and are provided in a
timely manner.
The Landscape Services department is responsible for the exterior management and repairs of
the campus' 250 landscaped acres. Other functions include the following:
 Landscape design and construction
 Mowing, field striping, fertilization, integrated pest and water management
 Installation and maintenance of campus annual beds
 Sports turf management
 Maintenance and repair of sidewalks, parking lots, and roads
 Weed abatement for fire protection
 Irrigation design and implementation
 Special event setup and takedown
Contact Information:
Scott Loosley
Assistant Director for Operations
805-756-2321
facserv@calpoly.edu
Transportation Services
Transportation Services supplies the University with a full service motor pool, offering
maintenance and repair for all vehicles owned and operated by the University, including
passenger vehicles. Service provided on a cost recovery basis.
The services outlined below are available to the entire campus community:
 Maintain and repair all vehicles owned and operated by the University.
 Offer clean, comfortable and safe transportation for individuals, groups and events
through Enterprise rental car agency (805-546-6270). You can also view campus vehicle
rental information at http://www.afd.calpoly.edu/FiscalServices/travel/carlinks.htm
 Provide an affordable and convenient fueling site, offering both gasoline and propane
(diesel available at Farm Operations, Bldg. 09).
 Assist University community in rotating out older vehicles and purchasing newer ones
in order to have a modern, dependable, environmentally friendly fleet.
 Hours of Operation - Monday thru Friday, 8:00 am to 4:00 pm
Contact Information:
Scott Loosley
Assistant Director for Operations
805-756-2321
facserv@calpoly.edu
Services and operations:
Scheduling or repair status:
Estimates and billing questions:
Lead Mechanic
756-2321
Distribution Services
Distribution Services provides mail service (including parcels) to the campus community which
includes campus departments, auxiliaries, and campus housing. Mail is delivered to two
campus mail centers where it is sorted and delivered throughout campus. One campus mail
center serves the student residence facilities and the second center serve the general campus.
Distribution Services receives mail for the general campus from the United States Postal Service,
UPS, FedEx, and DHL, Monday through Friday only. The mail is then distributed to campus
departments the following day. Campus housing receives United State Postal Service on
Monday through Saturday with same day distribution and UPS, FedEx, and DHL delivery,
Monday through Friday with same day student notification of parcel delivery. Holidays and/or
long weekends result in a higher volume of mail being received and may require an additional
day for processing
Each department has been assigned a ZIP+4 Code. The use of the department ZIP+4 Code
increases the efficiency of mail sorting and delivery. A listing of department ZIP+4 Codes is
located on the Distribution Services website.
Contact Information:
Distribution Services Manager
805-756-6648
Environmental Health and Safety
Environmental Health and Safety (EH&S) assists the campus in providing a safe and healthful
workplace through the development and implementation of programs which minimize the risk
of occupationally related injury or illness. The EH&S program focuses on regulatory
compliance with environmental and occupational laws at the local, state and federal level. This
may include information and recommendations regarding training, procedures, equipment,
testing and analysis or specific services provided by the staff. EH&S personnel also interface
with regulatory agency personnel and serve as the point of contact for the University.
EH&S is responsible for administering and enforcing the campus Food Safety and Permit
program at Cal Poly. All food facilities should be constructed and operated so as to protect the
health and safety of all students, employees, and campus visitors in accordance with applicable
provisions of the California Health and Safety Code. This includes inspection of campus food
venues and restaurants and issuing permits for any food sales conducted on campus, including
student food sales. EH&S also investigates complaints of food-related illnesses.
Emergency Management
In the event of a major emergency, one in which the campus cannot operate normally, the
Campus Emergency Plan will be activated and emergency activities will be coordinated from
the Emergency Operations Center (EOC). Cal Poly’s response to an emergency on campus is
guided by the following fundamental priorities: 1) life safety, 2) secure and preserve
infrastructure and facilities, and 3) restoration of the academic program. When an emergency
occurs, employees are expected to remain at work unless they are directed to leave and be
prepared to follow emergency procedures and exercise reasonable judgment.
A copy of the Cal Poly Emergency Management Plan is distributed each fall to the Vice
Presidents, Deans and Department Heads. This document provides information regarding how
to prepare for an emergency as well as how notification will take place. This is the official plan
for responding to various emergencies impacting the campus. An experienced team of campus
emergency responders are ready to provide leadership in implementation of the plan. An
emergency website provides information on emergencies including expert advice on how to
prepare for specific campus emergencies.
Building Coordinators are assigned to buildings throughout campus and are a valuable
resource. Building Coordinators serve a dual purpose. In the event of a drill or an emergency
situation, Building Coordinators are responsible for assisting in the safe and orderly evacuation
of campus buildings, for reporting injuries and probable locations of trapped individuals to
campus authorities, and, if the EOC is activated, situation reporting. In non-emergencies,
Building Coordinators serve as a liaison between building occupants and Facility Services.
As part of the Emergency Management Program, Cal Poly utilizes an Operations Continuity
template. The template is used to document key information within a department in order to
ensure the campus’ ability to recover from a disruption. Each Vice President has the
responsibility for the development, testing and maintenance of the Operations Continuity Plans
within his/her division. Departments that have been identified as critical are required to have
an Operations Continuity Plan.
Contact Information:
Dave Ragsdale,
EH&S Manager
805-756-6662
Resources:
Environmental Health & Safety
General Safety
Regulatory Compliance Guidelines
Illness and Injury Prevention Program
Food Services Policy
FINANCE
The Associate Vice President for Finance supervises the Finance organization which is
comprised of three departments: Budget and Analytic Business Services, Contracts,
Procurement and Risk Management, and Fiscal Services. The AVP coordinates campus audits.
SOURCE, FLOW, AND SCOPE OF STATE GOVERNMENT AUTHORITY AND REGULATIONS
(Exclusive of case law, local governments, and Federal law)
September 2005
ARTICLE IV
THE CONSTITUTION OF CALIFORNIA
Selected constitutional
articles and sections that
affect CSU:
DONOHOE ACT OF 1960
CREATES
THE CSU BOARD OF TRUSTEES
AND CAL STATE SYSTEM OF CAMPUSES
(EDUCATION CODE)
Article III: State of California
Article IV: Legislative
Article V: Executive
Article VII: Public Officers and
Employees
Article XII: Public Utilities
Article XIII: Taxation
Article XIV: Labor Relations
Article XVI: Public Finance
Article XX, §3, §20, §23
Article XXI: Architectural and
Engineering Services
CALIFORNIA CODE OF
REGULATIONS
TITLE 5. Education
Division 5. Board of Trustees of the
California State University
Chapter 1. California State University
ACTIONS OF THE BOARD
RESOLUTIONS AND
ORDERS
Budget Act
Business and Professions Code
Code of Civil Procedure
Corporations Code
Elections Code
Fish and Game Code
Government Code
Health and Safety Code
Labor Code
Penal Code
Public Contract Code
Public Utilities Code
Streets and Highway Code
Vehicle Code
Welfare and Institutions Code
Civil Code
Commercial Code
Education Code
Evidence Code
Financial Code
Food and Agricultural Code
Harbors and Navigation Code
Insurance Code
Military and Veterans Code
Probate Code
Public Resources Code
Revenue and Taxation Code
Unemployment Insurance Code
Water Code
CHANCELLOR
OF THE CSU
EXECUTIVE ORDERS,
DELEGATIONS OF
AUTHORITY, AND
POLICIES
State laws that govern CSU
operations:
STATUTES AND
APPROPRIATIONS OF FUNDS
THE CALIFORNIA LEGISLATURE
STATE SENATE AND STATE ASSEMBLY
CAMPUS
PRESIDENT
RESOLUTIONS AND
RULES
Subchapter 1. Definitions
Subchapter 2. Educational Program
Subchapter 3. Admission Requirements
Subchapter 4. Student Affairs
Subchapter 5. Administration
Subchapter 6. Auxiliary Organizations
Subchapter 7. Employees
Subchapter 8. Environmental Quality
Subchapter 9. Contracts and Purchases
Contact Information:
Rick Ramirez, Associate Vice President for Finance
805-756-2091
rramirez@calpoly.edu
Resources:
GAAP Financial Statements
Budget & Analytic Business Services
As part of the Cal Poly Finance organization within the Administration & Finance Division,
Budget and Analytic Business Services (BABS) is responsible for the planning, development,
and administration of Cal Poly budgets. We also support the financial feasibility, business
planning, and implementation phases of public-private initiatives and construction projects
supported with University revenues and or private funds. Additionally, we also provide lead
staff support for student fee initiatives and for the Campus Fee Advisory Committee. We also
provide analytic, production, and administrative support for Finance PeopleSoft systems and
projects (CMS).
State and CSU Budget Overview
The operating budget refers to all revenues and expenses related to state supported instruction
including the costs of instruction and all the related service and support programs. The
operating budget, revenues, and expenses are recorded in the CSU Operating Fund (funds and
fund types are discussed below) which is a locally controlled fund. Because a part of the CSU
operating budget consists of Budget Act appropriations from the state legislature, the CSU
budget planning calendar is driven by the annual legislative budget process. The fiscal year for
the State of California is July through June.
CSU also receives state appropriations for capital outlay projects including design and
construction of facilities and the acquisition of land. These appropriations are recorded in funds
created and controlled by the Office of the State Controller. These funds are not controlled by
the CSU. Legislative approvals of capital outlay appropriations follow the same general
timeline as the operating budget.
Following are typical milestones in the annual state and CSU budget development process.
1. July – October: the Chancellor’s Office collects data from campuses and receives
instructions from the State Department of Finance.
2. November: CSU Board of Trustees adopt a budget proposal for the fiscal year that
begins on the following July. The Chancellor’s Office transmits the Trustees budget to
the State Department of Finance.
3. By no later than January 10, the State Constitution requires that the Governor present his
budget plan to the Legislature. The Governor’s Budget results in the introduction of
budget bills in the bicameral legislature.
4. This is followed by the analysis of the Governor’s Budget by the Legislative Analyst,
legislative hearings and deliberations, and amendments to the budget bills.
5. By May 15, the “May Revise” is reported by the State Department of Finance. This is an
updated forecast of state caseloads, costs, and tax revenues with revisions to the
Governor’s Budget.
6. By June 15, the State Constitution requires that the legislature approve a single budget
bill for transmittal to the Governor. This deadline is frequently missed.
7. The Governor may veto (delete or reduce) certain items of appropriation but he may not
add or increase any appropriations. This becomes the Final Budget and the bill is
chaptered by the Secretary of State and becomes the Budget Act for that fiscal year. The
budget is frequently enacted after the beginning of the fiscal year.
Throughout the process described above, CSU campuses and the Chancellor’s Office exchange
financial data and student enrollment data. Campuses use these data to develop and adjust the
campus budget plans and strategies. CSU operating budget allocations to campuses are largely
driven by student enrollments. These enrollment targets, expressed as full-time equivalent
students, are set by the Chancellor’s Office. Campus non-discretionary costs, such as employee
compensation and fringe benefits, utility rates, and so on, may or may not be covered by CSU
operating budget allocations.
Cal Poly Budget Overview
To understand the budget process at Cal Poly it is important to know that the University
receives funding from a number of different sources and that all of these funds are the property
of the State of California. Consequently, all funds administered by the University are covered
by state rules, laws and policies. While they are closely affiliated with the University, the
California Polytechnic State University Foundation, Cal Poly Corporation, Cal Poly Housing
Corporation, and the Associated Students, Inc., are separate, private, non-profit, corporations
organized consistent with the California Education and Corporation Codes, and their funds are
not the property of the State of California.
Until this current fiscal year, the single largest source of funding for the University was state tax
revenues appropriated by the state legislature for support of the CSU. For FY 2011/12, student
fees and tuition account for 59% of Cal Poly’s operating budget with the balance provided by
state support. This trend is expected to continue. State support is channeled by the Office of
the State Controller into the CSU Operating Fund where it is utilized by CSU campuses to cover
employee payrolls. The state support in the CSU Operating fund is supplemented with
revenues from student fees and tuition. Budget Act appropriations for construction projects
are recorded in various capital outlay funds authorized by the legislature and managed by the
Office of the State Controller.
The term “funds” is used in different ways. Sometimes “funds” refers to money or
revenues. Other times “funds” describes how these monies or revenues are recorded, reported,
and controlled, such as the CSU Operating Fund, Continuing Education Revenue Fund, Lottery
Fund, and so on.
BABS is also responsible for configuration and operation of online transaction processing
systems and the related security, and interfacing sub-systems. The largest components of these
systems are the PeopleSoft applications that comprise the CSU Common Management System
(CMS). Periodic systems updates and upgrades are also done by BABS. BABS oversees systems
that meet all financial reporting requirements from the data bases populated by these systems,
including the recent roll out of Oracle Dashboards. The Dashboards provide dynamic financial
data that are easily accessible on the Internet. BABS provides support and training for
university department users.
Summary of Funds Administered by Cal Poly
CSU Fund Categories and Types
The following CSU Fund categories (i.e., Proprietary and Fiduciary) and types within
category shall be utilized by the CSU Chancellor’s Office and campuses for financial
transactions and accounting entries recorded in the California State University Trust
Fund (State Controller’s Fund No. 0948). The State University Trust Fund exists both in
the records of the State Controller and in the official records of the CSU.
Financial resources not required for transactions within the State Controller Funds (see
section IV, State Controller Funds) shall be recorded in the CSU Fund categories and
types. Any Funds established within the CSU Fund categories and types shall be
regulated solely by this Executive Order and by CSU policies, standards, and
definitions issued by the CSU Executive Vice Chancellor and Chief Financial Officer, or
designees. Only the minimum number of CSU Funds consistent with this policy and
campus operating requirements are to be established and maintained.
Assets classified as cash, cash equivalents, or investments in accordance with
Generally Accepted Accounting Principles and which are recordable in CSU Funds
shall be deposited solely in commercial banks or other depositories approved by the
CSU Executive Vice Chancellor and Chief Financial Officer, or designees. The CSU
Executive Vice Chancellor and Chief Financial Officer, or designees, shall invest all
such deposits and investment earnings shall be periodically allocated to campuses
(Education Code §89722).
A. The Proprietary Funds category is used to account for activities supported, at least
in part, by fees or charges and includes two Fund types: Enterprise Funds and
Internal Service Funds.
1. Enterprise Funds are used to report any activity for which a fee is charged to
external users, such as students, faculty, and staff, for goods or services. CSU
policies, standards, and definitions may also require utilization of Enterprise
Funds to meet accounting or reporting requirements.
Each campus shall establish a CSU Operating Fund (CSU Fund 485). Campuses
shall record revenues, expenses, and net assets related to state supported
instruction and related programs and operations exclusively in the CSU
Operating Fund. All Proprietary Fund activities that are not recordable in other
Enterprise or Internal Service Funds shall be recorded in the CSU Operating
Fund.
The campus Chief Financial Officer, or designees, shall establish an Enterprise
Fund if any one of the following criteria is met. Campuses shall apply each of
these criteria in the context of the activity's principal revenue sources.
a) The activity is financed with debt that is secured solely by a pledge, by
the Trustees, of the net revenues from fees and charges of the activity.
b) Laws or regulations require that the activity’s costs of providing
services, including capital costs (such as depreciation or debt service), be
recovered with fees and charges, rather than with taxes or similar
revenues.
c) CSU policies, standards, and definitions require that the activity
establish fees and charges designed to recover its costs, including capital
costs (such as depreciation or debt service). These fees are directly
related to, although not necessarily equal to, the costs of the goods or
services.
d) CSU policies, standards, and definitions require separate accounting or
reporting of revenues, expenses, and/or net assets.
2. Internal Service Funds account for the financing of goods or services provided by
a designated campus department or unit to other campus departments or units,
on a cost-reimbursement basis. Internal Service Funds are established primarily
to improve financial management of scarce campus resources. The campus Chief
Financial Officer, or designees, may establish Internal Service Funds after
documenting the purpose, financial objectives, and scope of operations.
Auxiliary Organizations may purchase goods or services from Internal Service
Funds in accordance with campus policies. Use of an Internal Service Fund is
only appropriate if the campus is the predominant participant in the activity;
otherwise, an Enterprise Fund should be used.
B. Fiduciary Funds are used to account for assets held by a campus in a trustee
capacity or as an agent for individuals, private organizations, other governmental
units, and therefore cannot be used to support CSU programs and activities. The
campus Chief Financial Officer, or designees, may establish and close Fiduciary
Funds in accordance with the terms of wills, instruments of endowment, trust
indentures, and other fiduciary agreements. The Fiduciary Funds category includes
three Fund types: Investment Trust Funds, Private-Purpose Trust Funds, and
Agency Funds. Financial resources that are not recordable in Fiduciary Funds or in
other Proprietary Funds shall be recorded in the CSU Operating Fund.
1. Investment Trust Funds are used to report the external portion of investment
pools held for individuals, private organizations, or other governments.
2. Private-Purpose Trust Funds are used to report all other trust arrangements
under which principal and income benefit individuals, private organizations, or
other governments.
3. Agency Funds are used to report resources held by the campus in a purely
custodial capacity (assets equal liabilities). Agency Funds typically involve only
the receipt, temporary investment, and remittance of fiduciary resources to
individuals, private organizations, or other governments. Unless an Agency
Fund is expressly required by the agency relationship, transactions may be
accounted for within Proprietary Funds.
State Controller Funds
The Office of the State Controller establishes statewide Funds to account for resources
appropriated by acts of the state legislature. This section applies only to Funds
maintained by the Office of the State Controller. Campus administration of these Funds
shall conform to accounting rules issued by the State Controller, depository rules issued
by the State Treasurer, other relevant state regulations, and relevant provisions of state
law. The CSU Executive Vice Chancellor and Chief Financial Officer, or designees, may
issue additional regulations and guidelines pertaining to campus administration and
reporting for State Controller Funds.
All financial resources that are required to be recorded in these Funds are invested
and administered by the Office of the State Treasurer. Campuses may submit claims
to the State Controller to draw warrants payable from these Funds, unless the
following paragraphs provide otherwise. These Funds shall exist both in the records
of the State Controller and in the official records of the campus authorized to expend
the appropriation, unless the following paragraphs provide otherwise.
A. The “State General Fund” is an accounting entity with a chart of accounts and
account values maintained by the Office of the State Controller to record Budget
Act Support appropriations for the CSU. The State General Fund exists both in
the records of the State Controller and in the official accounting records of the
CSU. The CSU Chancellor’s Office shall establish corresponding Funds and
accounts solely to record Budget Act Support appropriations and to reconcile
transactions between the State General Fund and the CSU Operating Fund. The
State General Fund shall not be utilized by campuses to record operating
transactions.
B. “Special Revenue Funds” are used by the State of California to account for the
proceeds of specific revenue sources that are legally restricted by the state
legislature to expenditures for specified purposes (Budget Act and Government
Code §16346 et seq). Campuses shall not utilize the State Controller’s Special
Revenue Funds or accounts.
C. “State Capital Outlay Funds” are Funds maintained by the State Controller to
record legislative Budget Act appropriations for CSU Capital Outlay projects.
Corresponding Funds and accounts for these Budget Act appropriations shall also
be established in the official accounting records of campuses to record CSU
budget allocation orders, encumbrances, expenditures, and for reconcilement with
the State Controller.
D. The State Controller maintains the following Funds: State University Parking
Revenue Fund (EC §89701(b)), State University [Health] Facilities Revenue Fund
(Education Code §89702(c)), State University Continuing Education Revenue
Fund (Education Code §89704(a)), CSU Dormitory Revenue Fund (Education
Code §90036). Campuses shall not utilize these State Controller’s Funds or
accounts (see Section III. A. 1. regarding campus Enterprise Funds).
E. The “California State University Dormitory Construction Fund” is maintained by
the State Controller to record proceeds from the sale of revenue bonds and related
project expenditures pursuant to the State University Revenue Bond Act of 1947.
Corresponding Funds and accounts for construction projects funded from
revenue bonds shall also be established in the official accounting records of
campuses to record CSU budget allocation orders, encumbrances, expenditures,
and for reconcilement with the State Controller.
F. The “California State University Interest and Redemption Fund” is maintained by
the State Controller pursuant to the State University Revenue Bond Act of 1947.
This Fund records transfers-in of revenues from CSU Enterprise Funds and
records transactions initiated by the State Treasurer, acting as bond trustee, for
interest payments and redemptions of bonds and notes.
G. The State Controller maintains the California State University Trust Fund
(Education Code §89722), which shall be utilized by CSU to record payroll
transactions originating from the Uniform State Payroll System administered by
the State Controller and recharges of expenditures from state agencies to CSU.
H. The State Controller maintains the California State University Lottery Education
Fund (Education Code §89722.5) to record periodic cash distributions from the
California Lottery Education Fund to the CSU Chancellor’s Office, pursuant to the
California State Lottery Act of 1984 (Government Code §8880.1 and §8880.5).
Campuses shall not utilize the California State University Lottery Education
Fund.
The State Controller maintains the California State University Special Projects Fund (Education
Code §89725). Campuses shall not utilize the California State University Special Projects Fund.
Budget and Analytic Business Services web site has several years of history regarding Cal Poly
budget allocations:
Contact Information:
Victor Brancart, Director, Budget & Analytic Business Services
805-756-2091
vbrancar@calpoly.edu
Resources:
Campus Annual Budget Allocation Process Details
Budget Info Reports
Campus General Fund Sources and Uses of Funds
Contracts, Procurement and Risk Management (CPRM)
CPRM is organized into three overlapping and interdependent sections; Contracts, Procurement
(purchasing), and Risk Management. Each area’s authority to act on behalf of the campus is
derived from the Trustees delegation to the Chancellor then to the campus President and from
the President to CPRM to act as University Contracting and Procurement Officers. Only those
designated as University Contracting Officers may sign contracts (legally binding agreements)
on behalf of the University.
University Contracting Officers (full delegation):
1. Director of Contracts, Procurement and Risk Management (CPRM)
2. Associate Director of Contracts, Procurement and Risk Management (CPRM)
3. VP of Administration and Finance Division (AFD)
4. Asst. VP for Administration and Finance (AFD)
5. Assoc. VP for Finance (AFD)
6. University President
Contracts
Contracts is responsible for the review, generation, and execution of contractual agreements for
the University. In any given year this area will be involved in hundreds of contracts ranging
from simple one page agreements to very long and complex contracts in support of the
University mission. Contracts as a support organization assist departments with developing,
reviewing, and executing contracts in accordance with CSU policy and the law. Currently only
six (6) people have full delegation for contracting on behalf of the university. The Director of
CPRM is designated as the primary contracting officer for the university. Several others on
campus have limited delegated authority based on written delegation and for specific job
related transactions only. The Director’s ultimate accountability for the contracting function
cannot be delegated.
Procurement
Procurement is responsible for the purchasing functions for the university. This includes
purchasing transactions with purchase orders (PO) and by contractual agreement. Specific
authority levels are established within the department based on what is being bought and by
how in order to balance the need for efficient processes with the need to maintain controls and
stay within policy and legal boundaries.
Purchases fall into 3 broad categories; goods, services and “Public Works” (as defined by State
of California contract law). Rules vary depending on the statutory law for the type of
procurement activities involved. To improve transaction processing efficiency various
delegated procurement methodologies have be established on campus such as the Procurement
Credit Card (Pro-Card), direct payment processes, and petty cash.
Risk Management
The university risk management function involves the evaluation of proposed or existing
activities and programs in relation to university objectives and current operational, legal, and
statutory environments. Responses can involve any one or more of the following approaches:
risk avoidance, transfer of risk and liability, mitigation of risk, and acceptance of risks and
liability. The Risk Management department in addition to supporting the needs of the
university offers advice and guidance for campus auxiliary organizations.
The Risk Management program reviews operations and ownership of property for risks
including: injury to persons, damage or loss of property, impact to university
programs, legal liability, loss of financial resources, and university reputation.
University insurance coverage programs for general, professional, vehicle, and travel
liability as well as real property, equipment and special events are coordinated by Risk
Management. Insurance requirements for agreements, contracts and facilities use are
recommended for the University and submittals reviewed for major capital projects and
other agreements as requested.
Incidents and accidents (vehicle and non-vehicle) are to be reported to Risk Management, by
the responsible University employee, as soon as possible (within 24 hours) to ensure timely
investigation, claim management and correction of hazardous conditions to prevent
additional injury, damage or loss.
Persons wishing to file claims with the University should be directed to Risk
Management for information on filing government claims and assistance in filing claims
with university insurance programs for travel, equipment and special events.
Contact Information:
Matthew Roberts, Director of Contracts, Procurement and Risk Management
805-756-2234
mjrobert@calpoly.edu
Resources:
Contracts, Procurement and Risk Management Website
Contracts, Procurement and Risk Management Policies
Contracts, Procurement and Risk Management Policies 2
Finance Customer Connection
Risk Management Website
Fiscal Services
The Fiscal Services Department is part of the Finance organization, within the Administration
and Finance Division. Fiscal Services provides a variety of services to the University’s students,
staff and faculty including: cashiering, student accounts, accounts receivable, payroll, accounts
payable, trust accounting, general accounting, property, and financial reporting. The
department acts in support of the University mission and priorities while establishing policies
and procedures that ensure financial compliance and asset protection within a complex and
highly regulatory accounting environment.
Organization
The Fiscal Services Department is structured to meet the need for high volume, system driven
transaction processing, typically involving complex dependencies and system integration
requirements. The department is organized under a Director, and divided into primary
functional sections under Assistant Directors. Responsibility for specific accounting functions
are assigned to the assistant directors who have first line responsibility for staff supervision,
daily operations, and administrative system processes for their respective sections. These
primary sections are Payroll, Accounts Payable, Cashiering and Cash Management, Student
Accounts, Accounts Receivable, General Accounting and Financial Reporting, and Property.
Payroll and Accounts Payable are grouped under the Assistant Director for Payroll and
Payment Management; Cashiering, Cash Management, and Student Accounts are grouped
under the Assistant Director for Student Financial Services. General Accounting and Financial
Reporting, and Property, are grouped under the Assistant Director for General Accounting and
Financial Reporting.
As a public university that receives Federal funds and that is accountable to the state legislature,
the CSU and Cal Poly are subject to regular financial and compliance audits by various CSU,
State and Federal agencies. To assist with the need to comply with the requirements of its
regulatory bodies, and in support of the need for University departments to understand the
accounting structure and processes and make use of the most current financial tools and
information available, the Finance organization has developed a comprehensive web site for use
by our campus customers. The Finance Customer Connection website provides important
information about policies, procedures, forms, and other tools.
Additional Information
Charging and Collection of Fees
Fiscal Services charges, collects, records and reports transactions for all university fees. Fiscal
Services ensures the accuracy of fees rates and compliance with the Education Code, CSU Fee
Policy, and campus fee approvals. Establishment of new fees and revisions to existing fees are
made in accordance with the CSU Fee policy, which includes a requirement that the campus
have a Campus Fee Advisory Committee (CFAC) to act as an advisory to the President on fee
issues.
Student Financial Services, which includes University Cashier and the Student Accounts offices,
charges and collects all student fees, including housing, parking, registration (including the ASI
registration fees) and non-resident tuition. Current University fee information can be found on
the fees page of the Cal Poly website.
Disbursement of Funds and Financial Reporting
Fiscal Services disburses all payments from University funds, including staff and student
payroll (Payroll Services Office), student financial aid and student refunds (Student Accounts
Office), travel payments and vendor accounts payable (Accounts Payable Office). The
department is also responsible for the University annual financial reporting to comply with
three requirements: CSU systemwide reporting model, classifications stipulated by the Office
of the State Controller, and independently audited financial statements prepared according to
Generally Accepted Accounting Principles. The most recent audited GAAP financial statements
can be viewed on the Internet.
Property Tracking and Accounting
Responsibility for University property tracking and fixed asset accounting also resides
with the Fiscal Services Department. The Property Accounting Office is responsible for
maintaining accurate records of the acquisition, control and disposal of equipment and
other assets of the University. An ID tagging process is used to identify and track all
equipment and a system of regular physical inventories is maintained in order to ensure
physical accountability of all state owned equipment. The Property Office works
closely with the campus Survey Board to authorize and document the disposal of
surplus equipment. Equipment is considered to be any merchandise that: (1) has a life
greater than one year, (2) can be physically relocated, (3) is not expendable (e.g. office
supplies), and (4) is not furniture. Departments must maintain a tracking mechanism
for their equipment and must notify the Property Office of any physical relocations of
the equipment. Generally, all University property with a value of $500 or more is
tagged for identification and tracking purposes, as well as sensitive equipment with a
value of less than $500. Property with a value of $5000 or more is capitalized on our
books for fixed asset purposes.
Banking, Cash Management, and Investments
Fiscal Services is responsible for University banking and cash management, including recording
and distribution of investment income. The CSU contracts with one commercial bank for the
CSU system (currently Wells Fargo Bank) for all deposits and disbursements services, with
daily transfers of cash from the depository bank accounts to the CSU investment pool.
Disbursement cash is managed using controlled disbursement accounts for checks and regular
notifications from the campus to the CSU Cash Management Office (CMO) for large dollar
electronic disbursements. Investments are centrally managed by the CMO with excess funds
invested in short and long term investment pools through a contracted investment manager.
Contact Information:
Lorlie Leetham, Director, Fiscal Services
805-756-5421
lleetham@calpoly.edu
Resources:
Finance Customer Connection
University Fees
HUMAN RESOURCES
The Human Resources Department is responsible for administering a variety of personnel
related programs for Cal Poly State employees that include:
 Recruitment and employment of staff and management employees and volunteer
program administration for the campus;
 Classification, salary administration, and performance evaluation for staff and
management employees;
 Employee benefits for all employees;
 Employee records and employment verification for all employees;
 Human resources information systems;
 Employee and labor relations and CSU/campus policies and practices for staff and
management employees;
 Employee discipline;
 Professional development and training.
The Academic Personnel Office administers personnel matters for all faculty, academically related
management, and academic student employee positions.
The Office of Employment Equity reports to the President and administers EEO compliance,
discrimination complaints, sexual harassment prevention, Employee Assistance Program, and
whistleblower protection for all employees.
Contact Information:
Beth Gallagher
Executive Director for Human Resources
805-756-6564
begallag@calpoly.edu
Resources:
Human Resources Department Website
Recruitment, Employment
Recruitment
Cal Poly uses a web-based, on-line system called “Cal Poly Jobs” for faculty, staff and
management recruitments. Unlike the faculty recruitment process which is highly
decentralized, the technical review and posting of job announcements for staff and nonacademic management positions is the responsibility of Human Resources. However, after the
application filing period has concluded, the hiring department is responsible for reviewing
applications, conducting interviews, and submitting a selection recommendation to the
appropriate appointing authority for approval. It is campus policy to have a designated
Employment Equity Facilitator (EEF) participate in the recruitment and selection process for
every staff, management, and faculty search to ensure adherence to equal employment
opportunity practices. Before a formal offer of employment may be extended to a staff or
management candidate, Human Resources must complete a final analysis of all
selection/appointment documents.
Employment
Human Resources completes a technical review of all personnel actions (e.g. promotions,
reassignments, leaves of absence, time base changes, reclassifications, etc.) to confirm
compliance with applicable laws, regulations, contractual provisions, and CSU/campus policies
related to employment.
Classification, Salary Administration, and Performance Evaluation
Classification
The CSU uses a systematic job evaluation method for categorizing staff positions based on
duties and responsibilities as defined by the CSU Position Classification and Qualifications
Standards. Classification standards are developed and maintained by the system-wide Human
Resources department in the Chancellor's Office. Although the development and content of
classification standards is at the sole discretion of the CSU, the attendant pay ranges for each
classification or skill level are subject to the collective bargaining process.
Each staff and management employee should have a certified position description on file in
Human Resources. The position description documents job functions and the skills, knowledge
and abilities needed to successfully perform the job. It is used for determining appropriate
classification level and for recruitment, selection, training and employee evaluation purposes.
It is the program manager’s responsibility to ensure that a position description is completed and
that it accurately reflects the assigned duties and responsibilities of the position. It is Human
Resources’ responsibility to ensure that a position is appropriately classified, utilizing the CSU
classification standards.
Salary Administration
The compensation program in the CSU is administered in accordance with the state
government legislative approval processes and actions taken by the CSU Board of Trustees.
Normally, compensation adjustments are dependent on funds allocated in the annual state
general fund budget, negotiated at the system-wide level for represented employees, and
ultimately approved by the CSU Board of Trustees. In addition, campuses have the authority to
use campus funds to address compensation issues through various means (e.g., in-range
progressions, stipends, bonuses, etc.) as specified in the respective collective bargaining
agreements or by CSU policy.
Performance Evaluations
Staff employees serving a probationary period typically are evaluated every quarter, or at
periodic intervals as specified in the applicable collective bargaining agreement. Human
Resources notifies the supervisor prior to each probationary evaluation period deadline.
Permanent or temporary staff employees are evaluated annually in July. A general notification
of the annual evaluation cycle is distributed to program managers each spring.
Employee Benefits
Human Resources is responsible for administering benefit programs for all faculty, staff and
management employees. The CSU offers a comprehensive array of benefit programs including
health care (medical, dental, vision, FlexCash, COBRA), health and dependent care
reimbursement accounts, life/AD&D insurance, long-term disability insurance, workers’
compensation, disability leaves, retirement, and tax deferred savings plans. Benefits are subject
to the collective bargaining process and may vary based on the specific terms of each
Agreement or CSU policy.
Human Resources staff determines employee eligibility, advises employees regarding benefit
plans and retirement options, and maintain enrollments using the PeopleSoft Benefits
Administration system. A Benefits Open Enrollment period is held each fall during which time
eligible employees may enroll and make changes to their benefit plans. Human Resources
collaborates with benefit plan vendors to provide on-campus information sessions for
employees whenever possible throughout the year.
Employee Records and Employment Verification
The official personnel/payroll files of staff and management employees are maintained in
Human Resources in an electronic format. Faculty employees’ official personnel files are
located in the respective college dean’s office (some employment/payroll information also is
maintained in Payroll Services). Except for pre-employment materials, every employee has the
right to access, review, and have reproduced materials contained in their personnel files.
Lenders and other businesses that wish to verify the employment and salaries of Cal Poly
employees are directed to use a service called, The Work Number For Everyone (TALX). The
service provides immediate employment and salary information by touch-tone phone for credit
and reference requests.
Human Resources Information Systems
The PeopleSoft HR system is the primary system in which job, personal, payroll, benefits, labor
cost and other types of data are tracked for all Cal Poly employees. Most of this data is
available for departmental reporting through ITS’ PolyData system. Other campus-wide
systems such as the Directory Server, e-mail/calendar, and Blackboard utilize HR-tracked data
via PolyData.
Employee Self Service, a feature of the PeopleSoft information system, enables Cal Poly
employees to go on-line to make changes to benefit plans during open enrollment and to view
and change personal data such as home and mailing address, phone numbers or emergency
contacts and to view accrued leave balances.
The PeopleSoft HR and Student Administration modules are housed under one system.
Human Resources collaborates with the Student Administration team to ensure appropriate
integration of data and system modules.
Human Resources utilizes imaging software for storing most human resources documents
including employment, benefits, compensation/classification, and workers’ compensation
records. Human Resources plays a key role in the administration, upgrade and security of all
human resources information systems.
Employee and Labor Relations
Managers in Human Resources are responsible for ensuring consistent interpretation and
application of Cal Poly’s policies, practices, and procedures. HR Managers are available to
consult with program managers and employees on a number of employee relations related
topics, and provide direction, counsel and support.
Except for employees covered by the Management Personnel Plan (MPP) and certain employees
designated as confidential or excluded, university employees must join or pay fair share dues
and may participate in the activities of employee organizations (unions). Collective bargaining
is conducted at the CSU system-wide level and resulting Agreements are applicable to all
affected employees. The labor relations program in the CSU is managed by the Chancellor’s
Office. Their labor relations staff serve as the chief negotiators of the CSU bargaining team and
provide on-going consultation and support to the campuses on labor relations matters. The
current collective bargaining unions representing Cal Poly employees are:
Union of American Physicians and Dentists (Unit 1)
Represents Physicians and Veterinarians
California State University Employees Union (Units 2, 5, 7, 9)
Represents Health Care Support, Operations Support Services,
Clerical/Administrative Support Services, Technical Support Services
California Faculty Association (Unit 3)
Represents Faculty
Academic Professionals of California (Unit 4)
Represents Academic Support
States Employees Trades Council United (Unit 6)
Represents Skilled Crafts
Statewide University Police Association (Unit 8)
Represents Public Safety
United Auto Workers (Unit 11)
Represents Teaching Associates, Graduate Assistants, Instructional Student
Assistants
Management Employees:
Established in 1984, the Management Personnel Plan created an employment program for
employees designated as management or supervisory, as defined by the Higher Education
Employer-Employee Relations Act (HEERA). An MPP employee does not gain permanent
status and serves at the pleasure of the respective appointing authority or campus President.
Confidential Employees:
Confidential employees, as defined by in the Higher Education Employer-Employee Relations
Act (HEERA), are those who are required to develop or present management's position with
respect to meeting and conferring with the exclusive representatives of collective bargaining or
whose duties normally require access to confidential information which contributes
significantly to the development of management's position. Confidential employees are not
represented by an exclusive bargaining representative.
Employee Discipline
Provisions of the Education Code govern discipline in the CSU. Collective bargaining
agreements also have provisions related to pre-disciplinary “corrective actions” like
reprimands. In accordance with state law, permanent public employees are entitled to respond
to the proposed discipline prior to it being imposed; certain campus administrators have been
designated as “Skelly Review” hearing officers to conduct this process.
The Office of General Counsel (OGC), located at the Chancellor’s Office, is responsible for
providing all legal services for the CSU. An OGC attorney is assigned to each campus; at some
campuses, including Cal Poly, the OGC attorney resides on the campus.
Cal Poly’s legal counsel works closely with Human Resources on employment matters and may
provide representation for litigated cases and appeals of staff disciplines and dismissals
including those filed with the State Personnel Board. Litigated workers’ compensation claims
are assigned by Human Resources to attorneys who are on an approved panel of private
practice attorneys established and maintained by the CSU Office of Risk Management.
Professional Development & Training
Human Resources strives to provide opportunities for leadership, effective supervision,
performance management, and positive communication techniques through their professional
development and training programs, fee waiver opportunities, and quality improvement
initiatives. Administration and Finance supervisory and management staff can enhance their
skills with a variety of courses designed to improve individual performance and increase
overall productivity through participation in the Professional Series Program.
PERFORMING ARTS CENTER
History
The Early Years
The Foundation for the Performing Arts Center was established in 1986, and the drive to create
a performing arts center began in earnest. This effort would be built upon a base established
decades before.
The Civic Fine Arts Association, formed more than a quarter century earlier, was stalwart in
pointing out the need for a performing arts center and the need to build support for the project.
In 1958, Lucille and Jack Fabbri formed a group to elicit ideas and to develop plans for a
performing arts center for the greater San Luis Obispo community. The Civic Fine Arts
Association was formally established in 1961 as a California non-profit corporation. For more
than two decades, the Association worked to secure funding from local and statewide sources.
Joint-venture discussions were held with representatives of the City of San Luis Obispo, Cuesta
College and Cal Poly. But the fund-raising efforts and joint-venture proposals met with limited
success. In 1982, the Association dissolved and transferred all assets and records to Cuesta
College. Cuesta used the $60,000 it received to refurbish its 800-seat auditorium, which had
frequently been used by the Association and other cultural organizations.
In the waning years of the Civic Fine Arts Association, other efforts were made toward
establishing a performing arts center in San Luis Obispo. In April of 1979, a voluntary group
began to focus on ways to fund the building of a public auditorium for the county, Cuesta
College was to be the site of the auditorium, but budget restrictions forced the college to
abandon the project. Late that year, an ad-hoc committee, called the Community Center
Coordinating Committee met at City Hall to discuss the proposal for a community center. The
committee consisted of representatives from various visual- and performing-arts groups. The
committee proposed a 2,000-seat hall, a conference center and smaller, 350-500 seat auditorium.
In 1980, the San Luis Community Foundation was formed, and the City Council set aside more
than $82,000 to construct a cultural and convention center for the community. The total budget
for such a center was set at a minimum of $14 million. Sites considered included city-owned
property at Laguna Lake (the site chosen earlier by the Civic Fine Arts Association), the 1700
block of Monterey Street, and the tract land near Madonna Road. By 1984, all three of those
sites were eliminated from consideration, and the focus was instead centered on renovating the
Fremont Theater. All of these efforts, too, met with failure.
But concerned community members kept the issue alive at the City Hall. Their efforts were
rewarded in October of 1985; the Council committed itself to a course of action that would spur
inexorable progress toward the dream of several decades. The Council authorized the
expenditure of approximately $50,000 to engage the San Francisco architectural planning and
urban design firm of Hall, Goodhue, Haisley and Barker to study the community's need for a
performing arts facility. This study has become known as the HGHB Study.
1985 to 1992
HGHB held workshops to identify prime user groups and to assess their needs. After five
months, the team offered a number of recommendations: The community should focus its
efforts on a large facility of approximately 1,500 seats; there was also demonstrated, long-term
need for a permanent multi-use facility of about 300 seats. The team found the Fremont Theater
unsuitable and it could locate no other viable downtown sites. The study put the costs for a
new, larger facility between $16 million and $29 million, more than the city could afford.
The consultant team's final, and key, recommendation was for the City to enter into a joint
venture with the University and a not-for-profit fund-raising foundation to locate a new
performing arts center on the Cal Poly campus.
On May 22, 1986, community representatives, the City officials and the Cal Poly administrators
met to discuss forming a partnership to build a performing arts center.
The first formal meeting of the nucleus Board of the Foundation for the Performing Arts Center
was held one month later, and it was agreed that a not-for-profit foundation would be formed
to mount a campaign to raise funds for the center. Warren Sinsheimer was elected Board
President. Major donations from the community members began arriving. In November of
1986, San Luis Obispo Mayor Ron Dunin, Cal Poly President Warren Baker and Foundation for
the Performing Arts Center President Warren Sinsheimer signed a Memorandum of
Understanding, sealing a partnership that would, a decade later, find its resolution in the
sweeping majesty of the completed Performing Arts Center.
In 1987, FPAC hired James Jamieson as executive director, and a task committee began
preparing a Development Agreement for the Performing Arts Center. The committee met for
four months, completing a draft agreement that met with City Council and FPAC approval that
year. The CSU Chancellor's office suggested several changes, however. As those changes were
being addressed, FPAC continued its determined efforts. In May of that year, total gifts and
pledges to FPAC reached $1 million. The final version of the Development Agreement was
approved by all three partners and formally signed and adopted in December of 1988.
The beginning of 1990 saw an enormous boost in funding-raising efforts, with the $2.1 million
gift from Christopher Cohan, to bring total funds raised to more than $4.6 million. Meanwhile,
the applicant list of architectural firms was reduced to 12. In July of 1990, Arthur Erickson
Architects was selected to design the Performing Arts Center. On the team -- and responsible
for the Center's design -- was Cal Poly architecture graduate Alberto Bertolli. The firm
presented preliminary plans late in 1990, at a Cal Poly gala attended by hundreds.
The following two years would bring somber counter-balance to the forward momentum that
propelled the previous years. However, there would be significant highlights as well in March
of 1991; Youth Outreach for the Performing Arts Center was launched. Three months later
came a blow. In the face of financial difficulties, Arthur Erickson Architects closed its Los
Angeles office. But the PAC steering committee bounced back quickly, recommending in
January of 1992 that John Carl Warnecke & Associates, Daniel Mann, Johnson and Mendelhall
be hired as new architects. Fortunately for the Performing Arts Center project, Bertolli
continued his work and interests, until the project’s completion.
Unforeseen costs came to light in 1992; ever optimistic, FPAC declared the downturn a
challenge and vowed to raise the extra $2.2 million needed to ensure the Center would be a
quality facility. The city council quickly voted to appropriate an additional $500,000.00 to meet
this "$2.2 million challenge." By the end of 1991, more than $24.3 million in public and private
funds had been committed to the PAC project and were in hand. Gifts and pledges to the
FPAC Center campaign from the private sector totaled $8.1 million at year end.
1993- 1996
1993 was a landmark year in many ways for the Performing Arts Center project; the operating
agreement task committee finished its long work, producing a final version of the agreement,
which was formally approved by all three partners. In June, ground was broken on the center
site in a celebration attended by more than 300 community members and officials. Three
months later, on the fourth floor of Cal Poly's Administration, almost unbearable suspense filled
the conference room in which construction bids were opened. The tension was not broken by
celebration; the lowest bid came in about $3 million over budget. The project’s many leaders
huddled, formally and informally, and a month later decided not to compromise the Center's
design. They would raise the extra money in the 90 days left to them.
By January of 1994, the bold vow was realized. The city committed an additional $469,000; the
Foundation secured $1.3 million in gifts and accelerated pledge payments; and the University
achieved a $300,000 savings in project management and provided a $700,000 "designated fund"
that could be tapped, if necessary, at the end of construction. Construction began in early 1994.
By August, the superstructure was complete enough for the first major tour to be led. On the
tour were members of the Foundation's donor groups - the First Wave, the Second Wave and
the Center Circle. The following month, construction reached the 25% -completed mark.
By the end of 1994, FPAC's Construction Fund Campaign concluded, with its goal exceeded by
$100,000. Total gifts and pledges through December of 1994 had exceeded $11.2 million. With
the center well on its way to completion, a managing director had to be hired. After a thorough
search, Ron Regier, then head of the campus arts presenting program, Cal Poly Arts, was
selected to fill the inaugural post. 1995 was a year of departures as well. FPAC Executive
Director Jim Jamieson retired. Jamieson had seen the project through from a spark in the
community's heart to a soaring structure of concrete, steel and glass. After an extensive search,
the Board of Directors appointed Myra Heslop to fill the position. The next major figure to
depart the project was the indefatigable FPAC president, Warren Sinsheimer, who stepped
down after nine years at the helm. Greg Hind was elected to carry the torch.
1996 saw the continuation of work on the Center and of tours through its halls and rooms.
Fund-raising added an acoustical environment and system of the highest caliber. More than
1,500 people attended the Center’s gala Hard Hat Ball in June. The Ball was replete with a
sumptuous fund-raising dinner and with musical acts on every stage and in every courtyard.
At long, long last, the hundreds of people who had contributed their time, their sweat and their
finances to the Center were able to stroll the carpeted lobbies, mezzanines and halls; were able
to dance in celebration, and laugh with joy at the almost unbelievable realization of their
determination and their dreams.
On September 27, 1996, the Center opened with much fanfare. A concert featuring the
combined efforts of the San Luis Obispo Symphony, the San Luis Obispo Mozart Festival, The
Cuesta Master Chorale, the Vocal Arts Ensemble and the Pacific Repertory Opera graced the
stage, followed by a 10-day festival of performances. It was an auspicious debut for a grand
facility which set the stage for the many, many outstanding events to follow.
In the years that have followed its auspicious opening, the center has continued to exceed
original expectations in terms of usage and attendance, both by its campus and community
constituents. Through the stalwart efforts of the campus Facilities Department and the
resources dedicated by the partners to the center’s maintenance and upkeep, it’s often remarked
that the center looks as good today as it did in 1996; and functions better.
Organization Structure – the Partnership and the Commission
The Performing Arts Center San Luis Obispo incorporates the Spanos Theatre (formerly known
as the Cal Poly Theatre) and the Christopher Cohan Center, which opened in September 1996.
The PACSLO is a Cal Poly facility. The Spanos Theatre is administered within the College of
Liberal Arts and is utilized primarily to support the educational mission of the university. The
Cohan Center is administered within the university’s Administration and Finance Division and
was built to serve both campus and community performing arts interests. The Cohan Center is
governed under the tenets of an operating agreement among the facility’s partners – Cal Poly,
the City of San Luis Obispo, and the Foundation for the Performing Arts Center (FPAC). The
agreement calls on an advisory commission, comprised of representatives from the three
partners, to endorse an operating budget and make recommendations relating to policy,
maintenance and scheduling. All commission decisions are routinely forwarded to the
university president for consideration and approval.
The operating agreement provides that a professional staff shall be hired under the leadership
of a managing director. The Managing Director reports to the Vice President for
Administration and Finance. All PAC staff are retained as either State employees, or as
employees of an official university auxiliary. The Spanos Theatre retains its own staff, although
the Cohan Center provides ticket office and front-of-house services to the Spanos to ensure that
patron services are delivered uniformly to those attending events at the PACSLO.
Key Elements of Campus-Community Operating Agreement
“The Parties agree that neither the Commission nor the Manager of the Center will produce,
sponsor or otherwise take financial responsibility for any event or performance in the Center or
elsewhere without the unanimous agreement of the University, the City and FPAC.”
“The purpose of the corporation (the Commission) shall be to advise the University and the
manager on operating policies, scheduling and maintenance policies. The Commission, with
the concurrence of the University President shall adopt the operating budget and budget
amendments.”
The Commission shall be governed by a board of directors consisting of nine persons.” “The
President of the University shall appoint five directors and five alternates. The City shall
appoint two directors and two alternates. FPAC shall appoint two directors and two
alternates.”
“The Parties intend that the Manager not be a presenter of events or an impresario, whether
individually, on behalf of the Commission or otherwise. The Manager shall not otherwise be
employed as a presenter of events, whether by the University or any other entity. Rather, the
Manager shall see to the wise use of the Center for the ultimate benefit of both the University
community and the people of the City of San Luis Obispo and San Luis Obispo County.”
“The Manager shall be responsible to and serve at the pleasure of the University President, and
shall serve as a liaison to the Commission on broad policy matters. The Manager shall be
responsible for all administrative and operating matters.”
“The assessments to cover the budget requirements of the Center shall be shared by the Parties
as follows: two-thirds (2/3) assessed to the University, one-sixth (1/6) to the Foundation for the
Performing Arts Center and one-sixth (1/6) to the City of San Luis Obispo. The assessment
requirement is calculated as the sum of the Center budget for operations and reserves, less
revenue derived from operations.”
“The Center will be budgeted to operate on a balanced, fiscally viable basis. The Manager will
be responsible for preparing an annual balanced operating budget, and setting reserve needs in
consultation with the Commission.”
“The Manager’s scheduling decisions will recognize the city’s and community’s entitlement to
fair and equitable access to and use of the Center appropriately reflecting their combined
approximate one-third share of the capital costs of the Center.” “Two-thirds of the events at the
Center shall be activities that enhance the University’s educational mission.” “The Center will
not be the exclusive home for any user group. The Manager will make every effort to
accommodate the needs and schedules of local performing groups (campus and community
based) including organizations which present touring artists.”
“University shall develop a parking management program providing public access to campus
parking facilities for events scheduled at the Center. The University agrees that providing
adequate, though nonexclusive parking is a part of its responsibility.”
“The Commission shall obtain and keep in force a policy or policies of public liability and
property damage insurance . . . insuring against all liability of the Commission arising out of
and in connection with use of occupancy of the Center.”
Annual Budget Summary and Partner Responsibilities
The Cohan Center’s annual operating budget is prepared by the managing director in
consultation with the AFD Finance staff. The commission reviews the budget, adopts the
budget, typically in June of each year, and sends it on for consideration and approval by the
university president. The annual operating budget includes allocations and expenditures from
reserves for operating and the Major Equipment Maintenance, Repair & Replacement Program
(MEMRRP). Capital projects are funded by agreement of the three partners, outside the context
of the annual operating agreement. Annual partner assessments are detailed in the operating
agreement reference above.
Facility – Spaces Available for Use; Campus Priorities
Spaces available for use by campus entities include:
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All four lobbies
The Founders Room* (note restrictions below)
The Green Room
Harman Hall (seating 1,282)
The Pavilion (seating up to 220)
Dressing Rooms
Philips Electronics Hall lecture room (seating 180)** (note restrictions below)
*The Founders Room is dedicated to Founder-level donors both before a public event in
Harman Hall and at intermission. At all other times, events sponsored by campus groups must
include off-campus VIP guests or be authorized by the President’s or Provost’s office.
**Priority use of Philips Hall is for regularly-scheduled university classes.
Use of the stage in Harman Hall for other than typical events must be submitted to the
managing director and authorized by the university president.
From the operating agreement – “The University shall have priority scheduling for certain
official university functions (such as faculty convocations and graduations).”
Contact Information – Senior Staff:
Ron Regier, Managing Director
805-756-6557
rregier@calpoly.edu
Nancy Cochran, Theatre Operations Manager
805-756-7234
ncochran@calpoly.edu
Resources:
Performing Arts Center Website
David Lowden, Financial Services Manager
805-756-7238
dlowden@calpoly.edu
Jim Chernoff, Technical Services Manager
805-756-1410
jchernof@calpoly.edu
UNIVERSITY POLICE
The University Police Department is a full service police agency certified by the California
Department of Justice. It has the same responsibilities and authorities as municipal, county or
other state law enforcement agencies and has state-wide authority and includes a 9-1-1
emergency dispatch center. The department handles about 16,500 calls for service per year.
Theft is the most commonly reported crime. The department emphasizes the “Community
Oriented Policing” philosophy which means that the department works closely with the
community in a wide variety of ways and at all levels. Police provide numerous prevention
presentations throughout the year and actively work with the city police regarding student
incidents off campus.
Parking, special events management, alternative transportation and safety escort service are
also major functions of the University Police. This includes the management of approximately
8,800 parking spaces, three parking structures, parking planning and traffic flow. Our Special
Events management staff is responsible for the traffic and parking coordination at over 300
campus events a year which brings approximately 500,000 visitors to campus. These events
include concerts, sports, Open House, Week of Welcome, rodeos, Commencement and other
community activities. Alternative transportation efforts include providing resources in
partnership with local bus transit, RideShare, Safe Ride Home, Zipcar, bicycle organizations
and others. Our safety escort service provides free transportation for students, faculty and staff
on, and in the vicinity, of the university during evening hours.
“Town – Gown” Relationship
The “town – gown” relationship can be described as positive. Issues do arise regarding off
campus student behavior, alcohol, noise, traffic and similar issues. However, the university and
city staffs work proactively, at a variety of levels, to mitigate negative incidents and encourage
positive behaviors. Educational outreach, alternative transportation efforts, policing
partnerships, student code of conduct, student and community committees (as well as
numerous other efforts) are all utilized in an effort to continually enhance our relationship with
the city. The current town-gown relationship is positive and a priority for both the city and the
university.
Contact Information:
Bill Watton, University Police Chief
805-756-6650
wwatton@calpoly.edu
Police Dispatch Center
805 756-2281 or 911 for Emergencies
Resources:
University Police Website
CAL POLY CORPORATION
The Cal Poly Corporation (Corporation) is a non-profit §501(c) (3) tax exempt
corporation formed to support Cal Poly. For over 70 years the Corporation has worked
diligently to provide responsible, diverse and high quality services to Cal Poly. The
Corporation was incorporated in 1940 (as the then Cal Poly Foundation) to support the
educational mission of the university. It is self-supporting, does not receive funding
from state sources, and is solely responsible for all of its operations. Corporation
maintenance, upgrades and renovations are funded from Corporation reserves. The
Corporation employs on average, 1,500 students and staff employees annually, making
it one of the largest employers in the county.
Mission
The mission of the Cal Poly Corporation is to provide self-supporting, responsible,
diversified, creative, and high quality services, which complement the instructional
program of the University and assist the institution in achieving its educational mission.
To accomplish this mission, the Corporation actively pursues the following
fundamental objectives:
Emphasis on Self-Sufficient, Responsive, and Diversified Service
The University is committed to an environment that fosters complete growth of the
individual - student, faculty and staff. The Corporation, therefore, places strong
emphasis on auxiliary and support services to the University that closely
complement instructional programs or objectives and which meet diverse University
needs in a financially sustainable manner.
Excellence in Support Services
The University has affirmed its commitment to excellent instructional programs and
to a campus ambiance that fosters the will to excel. As a full-service auxiliary to Cal
Poly, the Corporation is committed to excellence in the support services delivered to
the University and its students, faculty, and staff. Such services shall be dependable,
cost-effective, and managed with integrity and technical competence. Corporation
employees are imbued with the philosophy that good service comes from listening
and being responsive to customer needs.
Emphasis on Projects and Programs which will Facilitate University Fundamental Objectives
The Cal Poly Corporation, by law and organizational documents, serves only the
University. To be effective in that support role, Corporation emphasizes only those
programs and projects that will facilitate the achievement of the University's
educational mission.
Institutional Creativity: Through innovative services the University strives to
stimulate creativity and develop dynamic professionalism among its faculty,
students, and staff. The Corporation will help support this objective with innovative
services and programs sought by the University, which will enhance the educational
and social environment of the institution.
Performance Based Upon Productive Employees
The Corporation's success as an effective auxiliary to Cal Poly rests in large measure
upon the character and skills of its employees. The Corporation seeks to provide a
work environment in which the full talents of employees are used toward the
Corporation's success. To foster competence and a sense of challenge among its
employees, the Corporation offers and encourages participation in programs that
stimulate professional and personal growth, fitness, and pride of association with
the University and Corporation.
Governance
The Corporation’s 13 member Board of Directors are selected and designated by the President
of the university and consist of Faculty and Administrative Staff of the University, Community
Directors who reside in the areas served by the University, Student Directors from the
University student body, and the University President or his/her designee.
Actions of the Board of Directors are subject to review and consideration by the Cal Poly
President and fiscal issues are subject to review and approval by the Vice President for
Administration and Finance/CFO.
Authorized Functions
Specific functions and activities provided by the Corporation are detailed in operating
agreements between the Corporation, Cal Poly and CSU, and policies of Cal Poly found in the
Campus Administrative Policies (“CAP”).
The Corporation provides commercial services
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Dining and vending services
Courseware and supplies
Retail sales and related services
Printing & copy services
Commercial sales using Cal Poly names & symbols, and licensing of such names
and symbols
Business services for Corporation operations
Alcohol license services
Educational Technology Services
The Corporation, in cooperation with Cal Poly, provides fiscal services for:
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Aid-to-instruction programs
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Conference and event planning
California Polytechnic State University Foundation
Associated Students, Inc. (ASI)
Performing Arts Center (PAC)
Cal Poly Arts
Alumni Association
Technology Park
The Corporation provides fiscal and support services for:
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Cal Poly Housing Corporation (faculty-staff housing)
Swanton Pacific Ranch
Post-award of sponsored projects including related centers and institutes
Administration of certain gifts
Holding, usage and liquidation of real property and other gifts-in-kind
Endowments, restricted gift, and special activity accounts
Funding advances or guarantees for projects and construction
Miscellaneous activities as requested by Cal Poly
At June 30, 2011, the Corporation had net assets of approximately $69 million and annual
revenue from core business operations of approximately $48 million.
Contact Information:
Bonnie Murphy, Associate Vice President for Commercial Services
Executive Director of Cal Poly Corporation
805-756-1131
bdmurphy@calpoly.edu
OTHER
Media Protocol
From time to time Administration and Finance staff may need to respond to media inquiries.
Managers within Administration and Finance have received media training and in all media
events work closely with Public Affairs staff.
Hospitality Policy
Expenditures of state funds for hospitality expenses shall be consistent with the mission and
fiduciary responsibilities of the University. Such expenditures must serve a clear University
business purpose and/or effectively promote the University to the public with no personal
benefit derived by the approving official or by other University employees. Hospitality
expenses shall be directly related to, or associated with, the active conduct of official University
business. The expenditure of University funds for hospitality shall be cost effective and in
accordance with the best use of public funds.
At Cal Poly, the approving authority for the expenditure of state funds shall conform to
University delegations of purchasing authority and university delegations of budgetary
authority. Depending on the source of funds, hospitality expenses may include food,
beverages, tobacco products, gifts, awards, promotional items, the travel expenses of guests of
the University, and related expenses. Alcoholic beverages and tobacco products shall not be
charged to Federal funds or to the State Operating Fund. Gifts and awards shall not be charged
to the State Operating Fund. There shall be no payment of or reimbursement for expenses
related to employee birthdays, weddings, and personal anniversaries. State legislative Budget
act appropriation items for capital outlay shall not be utilized for the payment or
reimbursement of hospitality expenses.
Resources:
Policy for Payment or Reimbursement of Hospitality Expenses from State Funds
CSU Executive Order No. 761
Reporting of Fiscal Improprieties
Employees are required to notify the Vice President for Administration & Finance
immediately of all cases of actual or suspected theft, defalcation, or fraud. This
notification applies equally to state and non-state (including auxiliary organization)
funds.
Resources:
Report of Fiscal Improprieties
Signature Authority
Finance business processes are paper-less, electronic and do not require a wet signature.
Authority flows from the University organization chart which defines CMS security and roles.
See Contracts, Procurement and Risk Management for designated University Contracting Officers.
New Employment Transition Assistance
AFD and the University recognize the importance of providing information as new employees
and their family transition to life at Cal Poly. In recognition of this need a website has been
developed that includes information on employment and volunteer opportunities, schools,
child care, service organizations, and housing.
Resources:
Prospective Employee Information
Alcohol Policy
Possession or consumption of alcoholic beverages on the campus is prohibited. Exception to
this policy may be granted by the President or his designee to allow the service (sale or non
sale) of alcoholic beverages under established guidelines. Factors to be considered in granting
exceptions include the nature of the event, the adequacy of supervision, and the benefit to the
University. Service of alcoholic beverages at campus events is the exclusive privilege of the Cal
Poly Corporation.
Use of Campus Legal Counsel
Administration and Finance has an established internal protocol for consulting with Cal Poly
legal counsel. Soliciting input from campus counsel should be limited to those departmental
matters referred by the Vice President.
Trademark Licensing
Cal Poly Trademark Licensing exists to protect and promote the trademarks (names, marks,
logos) of California Polytechnic State University. The University formalized its licensing
program in 2009 when the Cal Poly Corporation entered into an agreement with the Collegiate
Licensing Company. Collegiate Licensing Company (CLC) monitors commercial and internal
use of Cal Poly marks, and is responsible for managing more than 200 licensees producing
products bearing Cal Poly’s trademarks. CLC negotiates and administers licenses with
manufacturers that wish to trade upon the University name and ensures that all uses of the
University name are professional, tasteful, and of a quality that reflects positively on the
institution.
Individuals, groups and organizations (including recognized student organizations), both on
and off campus, seeking to produce any product(s) with Cal Poly trademarks must use a
licensed manufacturer.
Resources:
Policy on Use of University Names and Marks, CAP 145
Trademark Licensing Program
University Print Graphic Identity Standards
Any laws, regulations or codes of practice which should be referred to in conjunction
with the policy: State of California Education Code Section 89005.5
Campus Building Permit Program
Cal Poly Facility Services department oversees the campus Building Permit Program. As the
regulatory oversight agency responsible for project planning and code compliance, Cal Poly has
developed a process that requires departments to submit building permit requests to build,
renovate, modify, etc. campus property. The building permit process allows for formal review
and approval by various departments and committees to ensure appropriate consideration of
all aspects of the project.
Resources:
The Cal Poly Building Permit program: