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: 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 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: Aid-to-instruction programs 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: 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: