CHAPTER THREE

ADMINISTRATION AND FINANCE

 

300

ORGANIZATION AND DIVISION POLICIES

301

Organizational Structure

 

Administration and Finance is a planning and service division aiding all of the colleges, divisions, and units of the university in furthering the goals of the academic mission of the university for the students, faculty, staff, and the people of the State of California. Under the direction of the Vice President for Administration and Finance, the division includes the following areas: (1) budget/analytical business services; (2) facilities planning; (3) facility services, including engineering services, landscape services, custodial services, building maintenance and repair, and transportation services; (4) fiscal services, including accounting, cashiering, property management, payroll services, and the fiscal aspects of scholarships and loan administration; (5) human resources and employment equity; (6) public safety services, including law enforcement, and parking and commuter services; (7) risk management, including emergency planning, environmental health and safety, and insurance and claims coordination; (8) contract and procurement services, including purchasing and (9) distribution services.

Reference

·         Date approved by the President:  March 4, 2004

·         Office responsible for implementation:  Vice President for Administration and Finance

·         Any laws, regulations or codes of practice which should be referred to in conjunctions with the policy:  Title 5; Manual of Policies and Procedures for Auxiliary Organizations of the California State University; Executive Order 682; Administrative Bulletin 88-3 (dated 6/23/88)

302

Division Policies

302.1

Fiscal Oversight by the University of the Auxiliary Organizations

 

The Vice President for Administration and Finance as Chief Financial Officer for the University has the responsibility for fiscal oversight of the auxiliary organizations.  This section identifies the actions that shall be taken to strengthen this oversight responsibility.

302.1.1

Independent Audit and Internal Reviews

 

The Vice President for Administration and Finance, or designee, shall be an ex-officio member of each auxiliary organization governing body Audit Committee and participate in the Independent Audit and CSU Internal Compliance/Internal Control Review Entrance and Exit conferences.

302.1.2

Audit Report Resolutions

 

The auxiliary organizations shall provide to the Vice President for Administration and Finance, or designee, quarterly reports on follow-up of previous audit findings, quarterly and year-end financial statements, and the results of any internal audits performed.

302.1.3

Investigations

 

University Police shall provide information to the Vice President for Administration and Finance regarding investigations which may have an impact on the University including unauthorized acts, concerns of theft, etc.

302.2

Institutional Business Activity

 

The University, either directly or through an auxiliary or affiliated unit, may engage in the direct sale of goods and services to individuals, groups, or external entities only when such goods or services are related to the educational mission of the University. It is the policy of the California State University and the University to not engage in activities that would be considered unfair competition with profit-making organizations.  The pricing of goods and services shall consider: full cost recovery (including any tax obligations and overhead); the competitive price in the community; and any planned revenues.

No trades or services shall be established or conducted solely for the purpose of profiting from the public sale of products or services.  In those instances in which sales of goods or services are made to the general public, that practice shall be secondary and incidental to the primary functions of the University.  Any off-campus marketing shall be on an exception basis upon a clear demonstration that such marketing is consistent with this policy.

Each business activity shall meet the following criteria:

The activity is deemed to be an integral part in fulfillment of the University’s educational mission;

The activity is needed to provide an important good or service at a reasonable price, on reasonable terms, and at a convenient location and time;

The activity is carried out for the benefit of the campus community, but with sensitivity to the total community, within which the University exists; and

The activity is operated in conformance with applicable fiscal viability standards.

Some business activities, although related to the educational mission of the University, may be subject to special income tax requirements.  These requirements and any potential tax liability shall be considered when the activity is proposed or otherwise evaluated under this policy. 

 

The President has designated the Vice President for Administration and Finance as the individual responsible for providing oversight responsibility in the implementation of this policy.

302.3

Record Retention

 

Best judgment or regulatory requirements shall be used in retaining campus records.  Records generated by Administration and Finance Division units shall be maintained by those units based upon California State University, State of California, and federal requirements.  These records shall include, but not be limited to, the following documents:  procurement, contracts, audits, budgeting, accounting, personnel, payroll, property, and travel.

302.4

Distribution Services

 

Distribution Services provides delivery and pick up of official university mail, packages and interdepartmental correspondence on a daily basis; Monday through Friday.  Use of the campus mail delivery service for personal mail is prohibited.  Distribution Services shall provide delivery of mail to campus dormitories on a daily basis; Monday through Saturday. 

302.4.1

Official University Mail

 

Official university mail is defined as that required to further the purpose of the university and is limited to mail necessary for the conduct of the sender’s official university responsibilities, in contrast to mail sent primarily for the sender’s personal interest or benefit.  Official university mail also includes mail for official university-related organizations, such as El Corral Bookstore, Associated Students, Inc., Cal Poly Foundation, and university-sponsored workshops.

302.4.2

Outgoing University Mail

 

It shall be the responsibility of Distribution Services to sort and meter all official university mail.  Postage and handling for outgoing U.S. mail shall be provided to respective departments on a chargeback basis; therefore, each piece of mail must include a department name for chargeback purposes or have the correct postage affixed.

All outgoing mail that does not include a department name for recharge, have the correct postage affixed, and has no identifiable department return address shall be mailed and charged to Distribution Services -- Unidentified Department account.  When Distribution Services -- Unidentified Department account exceeds its fiscal year budget, unidentified department mail shall be opened by Distribution Services personnel for the purpose of identifying the department and the mail shall be returned to the department.

302.4.3

Use of University Postage Meter

 

University postage and postage meter shall be used for official university mail only.  As a courtesy to other university-related organizations on campus such as Cal Poly Women’s Club, university-recognized student organizations, etc., who have large mailings, the university postage meter may be used and the respective organization charged accordingly.

302.4.4

Campus U.S. Postal Services

 

Outgoing mail service for personal mail shall be provided on a regular schedule from convenient U.S. mailboxes situated at various locations on campus.  A U.S. Postal Service substation (unmanned kiosk) is located at the intersection of Campus Way and the south inner Perimeter Road for handling outgoing personal mail.  Postal supplies and mail deposit slots for both letters and packages shall be available at the kiosk.  Maintenance of the mailboxes and kiosk shall be the responsibility of the U.S. Postal Service Office.

302.4.5

Mail Returned by the United States Postal Service

 

All mail that is returned by the U.S. Postal Service that does not include the department shall be opened by Distribution Services personnel for the purpose of identifying the department for which to return the mail.

302.4.6

Interdepartmental Campus Mailings to All Employees

 

For campus departments wishing to have flyers, handouts, brochures, etc., distributed to all campus staff and faculty, the issuing department is responsible for the bundling of all items into a single departmental mailing.  The Distribution Services web site provides the number of employees within each department for this purpose.  Each department package should be bundled and appropriately identified.

302.4.7

Freight Shipments and Storage

 

Distribution Services shall be the central receiving location for all tangible state property procured by the University.  Receiving and delivery methods that do not utilize central receiving require prior approval by the Office of Contract and Procurement Services.  Distribution Services shall be the University shipping station for UPS and overnight shipments, and shall perform delivery services to state departments for shipments to the University.  Distribution Services shall act as a temporary staging location for off-campus state shipments.

References for Section 302-302.4.7

·         Date approved by the President:  March 4, 2004

·         Office responsible for implementation:  Vice President for Administration and Finance

·         Any laws, regulations or codes of practice which should be referred to in conjunctions with the policy:  Title 5; Manual of Policies and Procedures for Auxiliary Organizations of the California State University; Executive Order 682; Administrative Bulletin 88-3 (dated 6/23/88)

302.5

Employee Charitable Fundraising Policy

 

The California State Employees Charitable Campaign (CSECC) is the only statutorily authorized workplace payroll deduction campaign for employees of the State of California and was established in 1957 to provide a single charitable fundraising drive in the State community. The campaign is overseen by the Victim Compensation and Government Claims Board (Board).

 

The California State Victim Compensation and Government Claims Board identifies charities that are to receive designated deductions based on certifications that the charities comply with statutory requirements.  The Board does not independently investigate the charities other than to verify their Federal Tax exempt status and review their self-certifications of compliance with applicable California Department of Fair Employment and Housing Regulations. The Board’s determination is not an endorsement of any particular charity.

 

Other University-wide charitable fundraising activities involving employees to be conducted in University buildings or on University ground are prohibited except by request and justification to the President or designee (Vice President for Administration and Finance).  These fundraising activities must contribute to the educational objectives of the campus, must not interfere with University operations, must not conflict with University policies, and not be prohibited by law.  Permission for such activities is given to University-recognized organizations only (departments, colleges, etc.).  Individuals, not part of an approved fundraising activity, may not solicit students, faculty, staff, or guests of the University.

 

Charitable fundraising activities proposed by student organizations to be conducted in University buildings or on University grounds must be scheduled and submitted through the E-Plan process.

 

State funds may not be used for donations to charitable organizations.  Use of Foundation funds is permitted if the donation is within the stated purpose of the fund and authorized by the official designated to approve such expenditures.

Reference for Section 302.5

·         Date approved by the President:  May 24, 2006

·         Office responsible for implementation:  Vice President for Administration and Finance

·         Any laws, regulations or codes of practice which should be referred to in conjunctions with the policy:  Government Code Section 13923, Title 2 of the California Code of Regulations § 633.9

302.6

Request for Public Records

 

The California Public Records Act (Calif. Government Code Sec. 6250 et seq.)  requires governmental agencies to provide the public with access to public records, subject to limited exceptions.  Public records are defined by statutes as “any writing containing information relating to the conduct of the public’s business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics.”  Requests to inspect public records may not interfere with Cal Poly’s business operations. 

Public records are open to inspection by the public at all times during office hours.  Requests may be requested verbally or in writing.  If a verbal request cannot be responded to immediately, the requestor shall be asked to submit his or her request in writing so that it is clear what is being requested.  Alternatively, a member of the public may submit a written request for public records.  The following policy applies to written requests for public records.  Verbal requests which can be responded to immediately are not required to follow this policy. 

The campus must provide a response as to whether records will or will not be disclosed within ten days after receipt of the request.  There is no charge for inspecting records; however, a charge shall be imposed for the “direct” cost of copying the records. 

Policy

A campus department that receives a written request for public records shall immediately provide a copy of the request to the campus Public Records Act (PRA) Officer.  The department which receives a request for public records shall be 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.

The campus PRA Officer is responsible for assuring that appropriate campus entities, including campus Legal Counsel, are notified of the request and for maintaining an inventory of all such requests.  Campus Legal Counsel shall notify the Chancellor’s Office General Counsel of each request and is available to respond to questions and provide advice to campus administrators regarding requests.

The Associate Vice President for Administration serves as the campus PRA officer.

 

Reference for Section 302.6

·         Date approved by the President:  March 7, 2007

·         Office responsible for implementation:  Vice President for Administration and Finance

·         Related University Policies/Documents/Manuals/Handbooks:  Records Access Manual prepared by the Office of General Counsel, The California State University [http://www.calstate.edu/gc/Docs/Records_Access_Manual.doc]

·         Any laws, regulations or codes of practice which should be referred to in conjunctions with the policy:  Government Code § 6250; Art. I, Section 3, California Constitution.