Fill - Free fillable HR2010-04%5B1%5D 2010 Annual Filing Entire Packet

Distribution:

With Attachments:

Conflict of Interest Filing Officers

Without Attachments:

Chancellor Reed Human Resources Directors

All Campus Vice Presidents Business Managers

AVPs/Deans, Faculty Affairs General Counsel

Directors, Research and Sponsored Programs

Date: February 25, 2010 Code: HR 2010-04

To: CSU Presidents

From: Gail E. Brooks

Vice Chancellor

Human Resources Management

Subject: 2010 Conflict of Interest Annual Filing

The Political Reform Act, Government Sections 81000, et seq., requires California State University (CSU), as an

agency, to adopt and promulgate conflict of interest (COI) codes. The CSU’s COI code requires employees in

designated positions to file a Statement of Economic Interests (Form 700) on an annual basis. This memorandum

serves as a reminder that employees in designated positions on each campus must file Statements by April 1, 2010.

Office of the Chancellor

401 Golden Shore, 4

Floor

Long Beach, CA 90802-4210

562-951-4411

email: hradmin

calstate.edu

Overview

Audience: Conflict of Interest Filing Officer or campus designee responsible for the Conflict of

Interest (COI) Annual filing

Action Item: Each campus COI Officer must distribute Form 700 (Statement of Economic Interests) to

employees in designated positions as soon as possible in order for employees to meet

the April 1, 2010 deadline and ensure timely completion of requisite training.

Affected Employee All employees in designated positions in the COI code as amended

Group(s)/Unit(s): March 10, 2007, and as listed on Attachment B.

Summary

This HR letter provides campuses with the 2010 COI annual filing requirements for employees in designated

positions. Annual forms must be filed by April 1, 2010.

Information regarding mandatory Ethics Training is also provided for use by the COI Officer.

This HR letter should be reviewed in its entirety by the campus Conflict of Interest Filing Officer and any

campus designee responsible for the COI Annual filing.

HR 2010-04

Page 2 of 4

I. Code Update

The Fair Political Practices Commission (FPPC) has not approved the CSU’s COI Code amendment adopted by the

Trustees at the July 2007 Board meeting. Our office is continuing to work with the FPPC to resolve outstanding

issues and as a result, this year’s filing will be based on campus designated position lists released on February 26,

2007, via HR 2007-03, Attachment B. Changes made through the update process in 2007 will not

be incorporated in

the 2009 annual filing due April 1, 2010. Campuses will be notified by separate correspondence when CSU’s code

amendment is approved and provided with filing instructions for employees in newly designated positions, as

appropriate.

Attachment A provides the CSU disclosure categories list.

II. Annual Filing Reminder

Conflict of Interest filing is a campus responsibility. Your campus Conflict of Interest Filing Officer should distribute

Form 700 (Statement of Economic Interests) to employees in designated positions as soon as possible. These

employees must submit completed forms to the campus Filing Officer by April 1, 2010. As a reminder, the

Chancellor’s Office does not need to be notified when the fling process is completed.

III. Principal Investigators

There is no “annual” filing requirement for Principal Investigators (PIs); however, Title 2 regulations require PIs to file

a form 700-U (Statement of Economic Interests for Principal Investigators) before the final acceptance of a contract,

grant or gift, and when funding for such a contract or grant is renewed. Pursuant to CSU policy, Principal

Investigators also are required to file a project completion statement within 90 days after the expiration of the

grant/contract, or after the funds have been completely expended in the case of a gift. The Form 700-U has been

modified to reflect this additional requirement and a copy is attached for campus use.

Principal Investigators must complete the ethics training within 6 months of receiving the grant. Subsequent training

is required at least once within each two calendar year period that the grant is in place.

IV. Campus Designated Position List Update Process

The campus designated position list update process will be delayed until further notice.

V. Annual Filing Documents

The following information is included in your campus’ Conflict of Interest Filing Officer’s copy of this memo to assist

in the annual filing process:

1. CSU Disclosure Category Listing (Attachment A)

- Identifies seventeen (17) disclosure categories.

2. Campus Designated Position List (Attachment B)

- Updated with changes submitted during the 2007

filing process and represents the current CSU COI code.

3. Handbook for State Agency Filing Officers and Filing Officials – Statement of Economic Interests

(revised November 1997) - Provides information to assist Conflict of Interest Officers administer the Form

700 filing process.

4. 2009-2010 Form 700 Statement of Economic Interests

- Form 700 (schedules and instructions). Filing

Officers are required to review completed statements of economic interests ensuring that a completed

individual disclosure statement is received, and that the date is indicated in the official date stamp box

located in the upper right hand corner of Form 700. (Please refer to the Handbook for further reviewing

HR 2010-04

Page 3 of 4

guidelines.) Copies of Form 700 can be reproduced locally for appropriate employees at your campus.

Form 700 also can be accessed electronically via the internet at: http://www.fppc.ca.gov

5. 2009-2010 Form 700 Statement of Economic Interests Reference Pamphlet

- Provides information to

assist employees in designated positions to complete their Form 700.

6. Principal Investigator’s Statement of Economic Interests Form 700-U and Instructions for Statement

of Economic Interests for Principal Investigators - Form 700-U should be made available to employees

“with principal responsibility for a research project funded or supported, in whole or in part, by the contract

or grant (or other funds earmarked by the donor for a specific research project, or for a specific researcher)

from a non-governmental entity.” Pursuant to CSU policy, Principal Investigators are required to file a

project completion statement within 90 days after project completion. The Form 700-U has been modified

to reflect this additional requirement.

7. Limitations and other Restrictions on Gifts, Honoraria, Travel and Loans Fact Sheet

- This Fact

Sheet summarizes the major provisions concerning gifts, honoraria, travel and loans. The aggregate

limitation on gifts, which is indexed for inflation every two years, is $420 from a single source in a

calendar year.

VI. Ethics Training

All employees in designated positions are required to complete the ethics training. The training is delivered online

and is accessible wherever web access is available. It is delivered in interactive format. Completion time is

approximately 50 minutes with testing embedded throughout content. A unique course link will be sent to each

participant by Workplace Answers, the vendor for this training.

Employees in designated positions will be able to access the training by invitation only. The invitations will be

prompted from the list of filers submitted by each campus and will be communicated electronically to individual email

accounts. Filing Officers are able to monitor completions through a learning management system. Reminders will be

sent by Workplace Answers to filers until training is complete.

It is the responsibility of campus Conflict of Interest Filing Officers to notify Systemwide Professional

Development of the names and contact information of the individuals in designated positions so that online

training accounts may be established. Campuses are also responsible for providing updates to the master

list of trainees so that training notices are delivered in a timely fashion and so that names of separated

employees are removed from notification lists. Questions regarding ethics training should be directed to Robin

Innes, Senior Manager, Systemwide Professional Development at (562) 951-4403 or rinnes@calstate.edu

VII. Interim Disclosure Requirement

Employees and consultants in newly designated positions that filed interim disclosures as of February 1, 2010,

pursuant to Technical Letter HR 2010-01 (http://www.calstate.edu/HRAdm/pdf2010/HR2010-01.pdf

), are not required

to file during the 2010 annual filing period. The next time they will be required to file will be during the 2011 annual

filing period.

VIII. Training

Human Resources Management will host a teleconference for COI Filing Officers on Wednesday, March 10, 2010,

from 9:30 a.m. to 11:00 a.m. to discuss the annual filing process, the ethics training requirement and answer campus

questions. To register campus participants, please email Linda San at lsan@calstate.edu

. Upon receipt of email

registration requests, participants will receive the teleconference dial-in telephone number and participant code.

HR 2010-04

Page 4 of 4

Systemwide Human Resources will continue to operate in an advisory capacity and serve as a liaison between the

Fair Political Practices Commission and the campuses. Questions should be directed to Pamela Chapin at (562) 951-

4414. This document is also available on the Human Resources Management’s Web page at:

http://www.calstate.edu/HRAdm/memos.shtml

GB/dg

Attachments – COI Filing Officers only

HR 2010-04

ATTACHMENT A

Page 1

CSU CONFLICT OF INTEREST

DISCLOSURE CATEGORIES

CATEGORY "1"

Interests in real property located in whole or in part within the master plan of the campus or

which in the future foreseeably may be included in the master plan of the campus. For

designated employees of a campus of the California State University, "the campus" shall mean

the campus of the employee's service. For designated employees in the headquarters office,

"the campus" shall mean each campus of the California State University.

CATEGORY "2"

Interests in real property which is of the type to be leased, licensed, or otherwise made the

subject of a contract with the campus. For designated employees of a campus of the California

State University, "the campus" shall mean the campus of the employees' service. For

designated employees in the headquarters office, "the campus" shall mean each campus of the

California State University and the headquarters office.

CATEGORY "3"

Interests in real property and investments and business positions in business entities, and

income, including gifts, loans, and travel payments, from sources located in whole or in part

within two miles of the campus or within two miles of any land owned or used by the campus.

For designated employees of a campus of the California State University, "the campus" shall

mean the campus of the employees' service. For designated employees in the headquarters

office, "the campus" shall mean each campus of the California State University.

CATEGORY "4"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the campus to provide

supplies, materials, including books and periodicals, machinery, equipment, services or work

of the type utilized by the campus. For designated employees of a campus of the California

State University, "the campus" shall mean the campus of the employees' service. For

designated employees in the headquarters office, "the campus" shall mean each campus of the

California State University and the headquarters office or any or all of these.

HR 2010-04

ATTACHMENT A

Page 2

CATEGORY "5"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the campus to provide

supplies, materials, including books and periodicals, equipment, services or work of the type

utilized by the school, department, or area for which the designated employee has decision-

making authority or for which the designated employee participates in the making of the

decision. For designated employees of a campus of the California State University, "the

campus" shall mean the campus of the employees' service. For designated employees in the

headquarters office, "the campus" shall mean each campus of the California State University

and the Headquarters office or any of all of these.

CATEGORY "6"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the campus to purchase

agricultural commodities or other products which are sold by the campus. For designated

employees of a campus of the California State University, "the campus" shall mean the campus

of the employees' service.

CATEGORY "7"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the campus to perform

construction work within the estimated cost limitation provided in the first paragraph of Public

Contract Code Section 10705 or is of the type to contract with a service contractor to perform

services in connection with such construction work pursuant to a separate contract with the

service contractor. For designated employees of a campus of the California State University,

"the campus" shall mean the campus of the employees' service. For designated employees in

the headquarters office, "the campus" shall mean each campus of the California State

University and the headquarters office or any or all of these.

CATEGORY "8"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the California State

University to perform construction work under the California State University Contract Law

(Public Contract Code Section 10700 et seq.) or is of the type to contract as a subcontractor or

supplier for such construction work or is of the type to contract with a service contractor to

perform services in connection with such construction work pursuant to a separate contract

with the service contractor.

HR 2010-04

ATTACHMENT A

Page 3

CATEGORY "9"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is the type of entity in which the campus foreseeably

may invest funds. For designated employees of a campus of the California State University,

"the campus" shall mean the campus of the employees' service. For designated employees in

the headquarters office, "the campus" shall mean the headquarters office.

CATEGORY "10"

Interests in real property which is of the type to be leased licensed, or otherwise made the

subject of a contract with the headquarters.

CATEGORY "11"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the headquarters office

to provide supplies, materials, including books and periodicals, machinery, equipment, services

or work of the type utilized by the headquarters office.

CATEGORY "12"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the headquarters office

to provide supplies, materials, including books and periodicals, machinery, equipment, services

or work of the type utilized by the office, division, or area for which the designated employee

has decision-making authority or for which the designated employee participates in the making

of the decision.

CATEGORY "13"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the headquarters office

to perform construction work within the estimated cost limitation provided in the first

paragraph of Public Contract Code Section 10705 or which is of the type to contract as a

subcontractor or supplier for such construction work or which is of the type to contract with a

service contractor to perform services in connection with such construction work pursuant to a

separate contract with the service contractor.

HR 2010-04

ATTACHMENT A

Page 4

CATEGORY "14"

Investments and business positions in any business entity or income, including gifts, loans, and

travel payments, from any source which is of the type to contract with the campus to provide

supplies, materials, machinery, equipment, services or work where the contract has been

reviewed or in the future foreseeably may be reviewed by the office, area, or division in the

headquarters office to which the designated employee is assigned. "The campus" as used

herein shall mean each campus of the California State University and the headquarters office or

any or all of these.

CATEGORY "15"

Interests in real property which is of the type to be the subject of a lease or license with the

headquarters office for valuable consideration or is of the type to be made the subject of a

contract with the headquarters office. "Headquarters office" as used in this category shall mean

the office, section, or area of the headquarters office concerning which the designated

employee has decision-making or decision-participating authority.

CATEGORY "16"

All investments in income, including gifts, loans, and travel payments, and business positions

in, any private, nongovernmental entity which will be providing funds, or, in the case of a

project completion statement, has provided funds, to support, in whole or in part, the research

project for which the filer is the principal investigator. (The required disclosure shall be made

on Form 700-U).

CATEGORY "17"

Consultants shall disclose pursuant to the broadest disclosure category in the code subject to

the following limitation: The Chancellor or President as appropriate may determine in writing

that a particular consultant, although a "designated position," is hired to perform a range of

duties that is limited in scope and thus is not required to fully comply with the disclosure

requirements in this category "17". Such written determination shall include a description of

the consultant's duties and, based upon that description, a statement of the extent of disclosure

requirements. The Chancellor or President's determination is a public record and shall be

retained for public inspection in the same manner and location as this conflict of interest code.

Designated Positions Disclosure Categories

California State University, Bakersfield

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

4, 5, 7Accounting Officer

•

5Assistant Vice President for Facilities Management

•

4, 5, 7, 9Assistant Vice President, Fiscal Services

•

5Assistant Vice President, Student Life

•

5Associate Director of Athletics

•

5Associate Vice President and Dean, Undergraduate Studies

•

5Associate Vice President for Enrollment Management

•

5, 10, 16Asst. Vice President for Grants, Research & Sponsored Programs

•

17Consultants

•

5Custodial Supervisor

•

5Dean of School of BPA

•

5Dean of School of Education

•

5Dean, Extended University Division

•

5Dean, Humanities & Social Sciences

•

5Dean, Natural Sciences and Math

•

5Director of Athletics

•

5Director of Computer Services

•

5Director of Custodial, Grounds and Support Services

•

5Director of Facilities Management

•

5Director of Facilities Operations

•

5Director of Housing

•

5Director of Public Safety

•

3, 4, 5Director of Student Health

•

4, 5, 7Director, Contract Services & Procurement

•

5Director, Human Resources

•

5Division Director, Financial Aid and Scholarships

•

5Division Director, Outreach Services

•

5Division Director, University Services

•

5Head Coach, 12 Month

•

5Head Coach, Academic Year

•

16Principal Investigators

•

2, 5Provost and Academic Vice President

•

4, 5, 7Purchasing Agent

•

5Supervisor, Roads and Grounds

•

1, 2, 3, 5, 7Vice President for Business and Administrative Services

•

2, 5Vice President for Student Affairs

•

5Vice President, University Advancement

•

Designated Positions Disclosure Categories

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 8, 9Trustee *

•

1, 2, 3, 4, 6, 8, 9Chancellor

•

5, 12Administrative Director, Community Service Learning

•

5, 12Administrative Manager, Academic Affairs

•

5, 12Application Support Manager

•

5, 12Assistant Art Director

•

5, 12Assistant Director, Academic Services

•

4, 5, 10, 11, 12, 13Assistant Director, Administration

•

5, 12Assistant Director, California Academic Partnership Programs

•

6, 12Assistant Director, Corporate Information Systems

•

5, 12Assistant Director, Finance/International Programs

•

2, 5, 7, 11, 12, 14Assistant Director, Purchasing

•

5, 12Assistant Director, Sponsored Program Management

•

5, 12Assistant Director, Student Affairs

•

2, 7, 14Assistant Director, Systemwide Contracts

•

5, 12Assistant Director, Teacher Education and Public Schools

•

5, 12Assistant Director, Technical Operations

•

5, 12Assistant University Planner

•

5, 12Assistant Vice Chancellor for Federal Relations

•

5, 12Assistant Vice Chancellor, Academic Affairs, Student Academic Support

•

5, 12Assistant Vice Chancellor, Academic Programs

•

5, 12Assistant Vice Chancellor, Academic Research and Resources

•

5, 9, 12Assistant Vice Chancellor, Advancement Services

•

5, 12Assistant Vice Chancellor, Budget Development

•

5, 12Assistant Vice Chancellor, Business Planning and Information Management

•

1, 2, 3, 4, 6, 8, 9Assistant Vice Chancellor, Capital Planning, Design and Construction

•

5, 12Assistant Vice Chancellor, Financial Services

•

5, 12Assistant Vice Chancellor, Governmental Affairs

•

5, 12Assistant Vice Chancellor, Human Resources

•

5, 12Assistant Vice Chancellor, Human Resources Administration

•

5, 12Assistant Vice Chancellor, Information Technology Services

•

5, 12Assistant Vice Chancellor, Teacher Education and Public Schools

•

5, 12Associate Chief of Staff

•

5, 12Associate Dean, Academic Program Planning

•

5, 12Associate Director of Teacher Education and Public School Program

•

5, 12Associate Director, Advocacy and Institutional Relations

•

5, 12Associate Director, Analytic Studies

•

5, 12Associate Director, Business Planning

•

* Ex officio members of the Board of Trustees who serve as such due to their elected state offices are excluded by the Act.

(See last sentence of Government Code Section 87302[b].)

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

5, 12Associate Director, Corporate Information Systems

•

5, 12Associate Director, Enrollment Management Services

•

5, 12Associate Director, Financial Aid

•

5, 12Associate Director, Human Resource Services

•

5, 12Associate Director, Information Dissemination Access

•

5, 12Associate Director, Outreach and Early Assessment

•

5, 12Associate Director, Policy

•

5, 12Associate Director, Risk Management

•

5, 12Associate Director, Student Academic Support

•

5, 12Associate Director, Systemwide Electronic Information Resources

•

5, 12Associate Director, Systemwide Financial Reporting

•

5, 12Associate Director, Technology Integration

•

5, 12Associate Director, Transfer Programs

•

5, 12Associate Facility Planner

•

5, 12Associate Vice Chancellor, Academic Affairs

•

1, 2, 3, 4, 6, 8, 9, 14Audit Manager

•

1, 2, 3, 4, 6, 8, 9, 14Audit Supervisor

•

5, 12BMS Project Director

•

5, 12Budget Analyst

•

5, 12Budget Director

•

5, 12Buyer Technician

•

2, 7, 14C.O. Contracts Coordinator

•

5, 12Campus Relations Administrator

•

5, 12Chancellor's Office Budge Director

•

5, 12Chief Land Use Planning & Environmental Review

•

5, 12Chief of Staff

•

5, 12Chief of Staff, Information Technology Services

•

1, 2, 3, 5, 8, 12Chief, Architecture and Engineering

•

2, 5, 8, 12Chief, Construction Management

•

5, 12Chief, Facilities Planning

•

1, 2, 3, 5, 8, 12Chief, Plant, Energy and Utilities

•

5, 12CMS Campus Liaison

•

5, 12CMS Exectuive Project Manager

•

5, 12CMS Finance Project Director

•

5, 12CMS Help Desk Manager

•

5, 12CMS Security Project Director

•

5, 12CMS Training & Documentation Project Director

•

2, 5, 8, 12Construction Engineer

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

17Consultant

•

7, 11, 14Contract Manager, Software and Electronic Information Resources

•

2, 7, 11, 13, 14Contract Specialist

•

2, 7, 11, 13, 14Contract Specialist, Special Programs

•

2, 7, 11, 13, 14Contract Specialist, Systemwide Contracts

•

5, 12Contracts and Infrastructure Coordinator

•

5, 12Creative Director

•

5, 12CSU Events/State University House Manager

•

5, 12Dean, Academic Program Planning

•

1, 2, 3, 4, 6, 8, 9, 14Deputy General Counsel

•

5, 9, 12Director of Accounting

•

4, 5, 10, 11, 12, 13Director of Administration

•

5, 9, 12Director of Development

•

5, 12Director of Financial Management Services

•

5, 12Director of MERLOT Member Services

•

5, 12Director of MERLOT Technology

•

5, 12Director Teacher Education, Evaluation and Assurance

•

5, 12Director, Academic Technology Development

•

5, 12Director, Academic Technology Initiatives

•

5, 12Director, Business Management Systems

•

5, 12Director, Center for Distributed Learning

•

5, 12Director, Center for the Improvement of Reading Instruction

•

5, 12Director, CMS Hardware Operations Support and Services

•

5, 12Director, CMS Software Operations Support and Services

•

4, 5, 12, 14Director, Communication and Business Development

•

5, 12Director, Communications

•

5, 12Director, Compensation Information and HR Management

•

2, 5, 7, 8, 9, 12, 14Director, Contracts and Procurement

•

5, 12Director, Corporate Information Systems

•

5, 12Director, CSU Summer Arts

•

5, 12Director, Desktop Services

•

5, 12Director, Financial Management Services

•

5, 9, 12Director, Foundation Programs and Advancement

•

5, 12Director, Human Resources Information Support and Analysis

•

5, 12Director, Identity Management

•

5, 12Director, Information Dissemination and Access (IDA)

•

5, 12Director, Infrastructure Terminal Resources Project

•

5, 12Director, International Programs

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

5, 12Director, Media Arts Festival/Assistant Director Summer Arts

•

5, 12Director, Merlot Strategic Development

•

5, 12Director, Network Engineering and Design

•

5, 12Director, Public Affairs

•

5, 12Director, Systemwide Library Initiatives

•

5, 12Director, TIS Finance and Administration

•

5, 12Director, University Affairs

•

5, 12Energy Program Manager

•

5, 12Executive Assistant to the Executive Vice Chancellor, Business and Finance

and Chief Financial Officer

•

5, 12Executive Director, CSSA

•

2, 5, 8, 12Executive Program/Fiscal Manager

•

5, 12Executive Project Manager

•

5, 12Executive Staff Assistant

•

1, 2, 3, 4, 6, 8, 9, 14Executive Vice Chancellor, Academic Affairs, Chief Academic Officer

•

1, 2, 3, 4, 6, 7, 8, 9, 14Executive Vice Chancellor, Business/Finance and Chief Financial Officer

•

4, 5, 10, 11, 12, 13Facilities Manager

•

5, 12Facilities Planning Manager

•

2, 7, 8, 9, 14Financial Analyst

•

5, 12Financial Information Systems Administrator

•

5, 12Financial Information Systems Analyst

•

2, 7, 8, 9, 14Financial Manager

•

1, 2, 3, 4, 6, 8, 9, 14General Counsel

•

5, 12Human Resources Administration Specialist

•

5, 12Human Resources Specialist

•

1, 2, 3, 4, 6, 8, 9, 14Internal Auditor

•

2, 5, 8, 12Labor Compliance/Construction Manager

•

2, 5, 8, 12Land Use Planning Program Manager

•

5, 12Lead Budget Analyst

•

2, 7, 11, 14Lead Contract Specialist

•

5, 12Legislative Advocate Analyst

•

5, 12Legislative Director

•

5, 12Manager of Client Services

•

1, 2, 3, 4, 6, 8, 9, 14Manager of Investigations

•

5, 12Manager, Accounts Payable

•

5, 12Manager, Communications and Administration

•

5, 12Manager, Conference Services

•

5, 12Manager, Copy Center

•

Page 5

Designated Positions

Disclosure Categories

List of Designated Positions

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

5, 12Manager, Customer Services, Network Operations

•

5, 12Manager, Employee Relations

•

5, 12Manager, Employee Relations, EEO

•

5, 12Manager, External Data Systems

•

5, 12Manager, General Accounting

•

5, 12Manager, Governmental Affairs Administration & Operations

•

5, 12Manager, Information Competence Initiative

•

5, 12Manager, Labor Relations

•

5, 12Manager, Media Relations

•

5, 12Network Specialist

•

5, 12Network Systems Administrator

•

5, 12PeopleSoft HR Project Director

•

5, 12PeopleSoft Project Director

•

5, 12PeopleSoft Student Administration Project Director

•

5, 12PeopleSoft Technical Project Director

•

1, 2, 3, 5, 8, 12Physical Plant Program Manager

•

1, 3Principal Facility Planner

•

16Principal Investigators

•

5, 12Printing Coordinator

•

5, 12Production Manager

•

5, 12Program Analyst, Institutional Relations

•

5, 12Program Director, Institutional Relations

•

5, 12Project Administrator

•

5, 12Project Manager, CSU Unified Information Access System

•

5, 12Project Manager, Systemwide Quality Improvement

•

5, 12Recruitment Manager

•

2, 4, 6, 8, 9Senior Auditor

•

5, 12Senior Director, Academic Human Resources

•

5, 12Senior Director, Academic Technology Services

•

5, 12Senior Director, Analytic Studies

•

5, 12Senior Director, Chancellor's Office ITS

•

5, 12Senior Director, CMS

•

5, 12Senior Director, Emerging Technology Solutions

•

5, 12Senior Director, Employee Relations

•

5, 12Senior Director, External Relations

•

5, 12Senior Director, Financial Services Accounting

•

2, 5, 7, 8, 9, 12, 14Senior Director, Financing and Treasury

•

5, 12Senior Director, Human Resource Services

•

Page 6

Designated Positions

Disclosure Categories

List of Designated Positions

CSU Office of the Chancellor

HR 2010-04

ATTACH

MENT B

5, 12Senior Director, Strategic Project Support

•

5, 12Senior Director, Systemwide Professional Development

•

5, 12Senior Director, Systemwide Risk Management

•

5, 12Senior Director, Technology Advice and Policy

•

5, 12Senior Director, Technology Infrastructure Initiatives

•

1, 2, 3, 4, 6, 8, 9, 14Senior Director, University Audits

•

2, 7, 8, 9, 14Senior Financial Manager

•

5, 12Senior Financial Reporting Manager

•

5, 12Senior Manager, Benefits and Personnel Program Administration

•

5, 12Senior Manager, Communications

•

5, 12Senior Manager, HR Systems and Programs

•

5, 12Senior Manager, Human Resources Relations, Benefits Development and

Compliance

•

5, 12Senior Manager, Human Resources Services

•

5, 12Senior Manager, Labor Relations

•

5, 12Senior Research Associate

•

5, 12Senior Technology Infrastructure Architect

•

17Special Consultant

•

5, 12State University Dean, Extended Education

•

5, 12Statewide Director, California Academic Partnership Programs

•

5, 11, 12Systemwide Technical Contracts Specialist

•

1, 2, 3, 4, 6, 8, 9, 14Team Leader

•

5, 12Technical Project Director

•

5, 12Technical Recruiter

•

5, 12Technical Support Manager

•

1, 2, 3, 5, 8, 12University Architect

•

6, 8, 9University Auditor

•

1, 2, 3, 4, 6, 8, 9, 14University Counsel

•

1, 2, 3, 5, 8, 12University Engineer

•

1, 3University Planner

•

1, 2, 3, 4, 6, 8, 9Vice Chancellor, Human Resources

•

Designated Positions Disclosure Categories

California State University, Channel Islands

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5Assistant Dean, Associate MBA Director

•

5Assistant Vice President, Student Affairs

•

2, 5, 7Associate Architect

•

5Associate Dean for Student Life

•

5Associate Director of Advancement Events

•

5Associate Director of Alumni Relations

•

5Associate Director, Engineering

•

5Associate Director, Grounds and Custodial Services

•

2, 7, 9Associate Vice President, Operations, Planning and Construction

•

1, 2, 3, 4, 6, 8, 9AVP Human Resources Programs

•

5, 9AVP Office of Research & Sponsored Programs

•

2, 4, 5, 7, 8Buyer II

•

2, 4, 5, 7, 8Buyer III

•

1, 2, 5, 7Campus Planner

•

4, 5, 9Chief Information Officer

•

2, 5, 7Construction Administrator

•

17Consultants

•

5Dean of Enrollment Services

•

1, 2, 3, 4, 5Dean of Faculty

•

5Dean of Student Life

•

5Director of Communications and Marketing

•

5Director of Donor Relations

•

5, 9Director of Research & Sponsored Programs

•

5Director of Student Leadership & Development

•

5Director of Transportation and Parking Services

•

5Director of University Development

•

1, 2, 3, 4, 5, 9Director, Environmental Health, Safety and Risk Management

•

5Director, Extended Education & Distance Learning

•

4, 5Director, Information Management

•

1, 2, 3, 5, 6, 7, 8Director, University Glen Corporation

•

2, 7, 9Facilities Director

•

5Human Resources Manager

•

5Manager, Information Technology User Services

•

5Manager, Internal and External Reporting

•

5Manager, Police Communications and Support Services

•

1, 2, 3, 4, 5, 6, 7, 8Manager, Procurement and Support Services

•

5Office Manager, Operations, Planning and Construction

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Channel Islands

HR 2010-04

ATTACH

MENT B

5Police Chief

•

16Principal Investigators

•

2, 4, 5, 7, 8Procurement Analyst

•

5Procurement Card Holders

•

2, 5, 6, 8Project Manager

•

1, 2, 3, 4, 5, 9Special Assistant to the President

•

5Sponsored Programs and Financial Reporting Supervisor

•

5University Librarian

•

5Vice President for Advancement

•

1, 2, 3, 4, 5, 6Vice President for Academic Affairs - Provost

•

1, 2, 3, 4, 6, 8, 9Vice President for Finance and Administration

•

1, 2, 3, 5, 6, 7, 8Vice President for Sales for University Glen Corporation

•

4, 5, 9Vice President for Student Affairs

•

Designated Positions Disclosure Categories

California State University, Chico

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5Articulation Officer

•

5Assistant Vice President, Student Life

•

5Associate Director, Educational Support Services

•

5, 7Associate Provost, Academic Affairs

•

1, 2, 3, 4, 5, 7, 8, 9Associate Vice President, Financial Services

•

5Associate Vice President, Student Affairs

•

2, 4, 7Buyer I (2)

•

2, 4, 7Buyer II (4)

•

2, 4, 7Buyer III (Lead)

•

4, 5Dean of Graduate School, International, and Interdisciplinary Studies

•

2, 5, 6Dean, College of Agriculture

•

5Dean, College of Behavioral and Social Sciences

•

5Dean, College of Business

•

5Dean, College of Communication and Education

•

5Dean, College of Engineering, Computer Science & Construction Management

•

5Dean, College of Humanities & Fine Arts

•

5Dean, College of Natural Sciences

•

5Dean, Regional and Continuing Education

•

5Development Director, College of Agriculture

•

5Development Director, College of Natural Sciences

•

5Development Officer, College of Comm. & Education

•

5Development Officer, College of HFA

•

5Director of Admissions

•

5Director of Development Research

•

5Director of Major Gifts and Planned Giving

•

4, 5Director of University Support Services

•

5Director, Advising and Orientation

•

5Director, Agriculture Business Institute

•

5Director, Alumni and Parent Relations

•

5Director, Annual Giving and Advancement Services

•

5Director, Athletics

•

5Director, Career Planning and Placement

•

5Director, CMS Project

•

5Director, Communication Services

•

5Director, Computing Services

•

5Director, Educational Support Program

•

5Director, Employment Practices and Employee Disability Programs

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Chico

HR 2010-04

ATTACH

MENT B

3, 4, 5Director, Environment Health and Safety

•

5, 7Director, Facilities Management and Services

•

1, 2, 3, 5, 7Director, Facilities Planning

•

5Director, Financial Aid

•

3, 4, 5Director, Geographic Institute

•

3, 4, 5Director, Institutional Research

•

3, 4, 5Director, Instructional Media Center and Academic Technologies

•

5Director, Library Services

•

1, 2, 3, 4, 5, 7, 8, 9Director, Operations

•

5Director, Payroll/Benefits Services and System Support

•

2, 4, 7Director, Procurement Services

•

5Director, Psych-Counseling, Wellness and Testing

•

5Director, Public Affairs

•

5Director, Risk Management and Business Services

•

4, 5Director, Sponsored Programs

•

5Director, Staff Human Resources

•

5Director, Student Health Service

•

3, 4, 5Director, University Housing and Food Service

•

5Director, University Police

•

5Director, University Public Events

•

4, 5Director, User Support Services

•

3, 5Executive Assistant to the President

•

5Head, Library Access Services

•

5Librarian, Collection Management and Tech Services

•

5Manager, KCHO

•

6Manager, University Farm

•

4, 7Manager, University Printing Services

•

4, 7Manager, Warehouse Operations

•

16Principal Investigators

•

5Procurement Card Holder

•

3, 5, 7Provost and Vice President Academic Affairs

•

3, 5Vice President for Student Affairs

•

5Vice President for University Advancement

•

3, 4, 7, 8, 9, 14Vice President, Business and Finance

•

5Vice Provost for Enrollment Management

•

5Vice Provost for Human Resources

•

5Vice Provost for Information Resources and Chief Information Officer

•

3, 4, 5Vice Provost for Planning and Resource Allocation

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Chico

HR 2010-04

ATTACH

MENT B

4, 5Vice Provost for Research

•

Designated Positions Disclosure Categories

California State University, Dominguez Hills

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5, 7Assistant Director, Physical Plant

•

1, 2, 3, 5, 7Assistant Vice President, Faculty Affairs

•

5, 6Associate Dean of Natural and Behavioral Sciences

•

5Associate Dean, College of Business Administration and Public Policy

•

5Associate Dean, College of Education

•

3, 5Associate Dean, College of Extended and International Education

•

5Associate Dean, College of Health and Human Services

•

5Associate Dean, College of Liberal Arts

•

5, 7Associate Director, Physical Plant

•

1, 2, 3, 5, 7Associate Vice President, Administration

•

1, 2, 3, 5, 7Associate Vice President, Development and Marketing

•

1, 2, 3, 5, 7Associate Vice President, Information Technology

•

1, 2, 3, 5, 7Associate Vice President, Student Affairs

•

5Athletic Director

•

4, 7Buyer

•

5CMS Project Director

•

1, 3, 4, 7, 8Construction Manager, Facilities Planning and Construction

•

17Consultants

•

4, 7Credit Card Procurement Cardholders

•

5Dean, College of Business Administration and Public Policy

•

1, 2, 3, 5, 7Dean, College of Education

•

3, 5Dean, College of Extended and International Education

•

5Dean, College of Health and Human Services

•

5Dean, College of Liberal Arts

•

5Dean, Graduate Studies and Research

•

5Dean, Natural and Behavioral Sciences

•

5Dean, Undergraduate Studies

•

5Dean, University Library

•

5Director of Accounting Services

•

5Director of Financial Aid

•

5Director, Admissions

•

3, 5Director, Alumni Affairs

•

5Director, Disabled Student Services and Veterans' Affairs

•

1, 2, 3, 7, 8Director, Facilities and Construction Management

•

5Director, Health Programs and Psychological Counseling

•

5Director, Human Resources Management

•

5Director, Institutional Research

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Dominguez Hills

HR 2010-04

ATTACH

MENT B

5Director, Instructional Media

•

5, 7Director, Plant Operations

•

4, 7Director, Procurement and Support Services

•

5Director, Research and Funded Projects

•

5Director, Risk Management, Environmental Health and Safety

•

1, 2, 3, 4, 7, 9Executive Assistant to the President

•

16Principal Investigators

•

5Registrar

•

5, 7Supervisor, Grounds and Landscape

•

1, 2, 3, 5, 7Vice President, Academic Affairs/Provost

•

1, 2, 3, 4, 7, 9Vice President, Administration

•

1, 2, 3, 5, 7Vice President, Student Affairs

•

1, 2, 3, 5, 7Vice President, University Advancement

•

1, 2, 3, 5, 7Vice Provost, Academic Affairs

•

5, 7Work Control Coordinator

•

Designated Positions Disclosure Categories

California State University, East Bay

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5, 9Assistant Controller

•

4, 5, 7Assistant Vice President, Enterprise Services

•

5Associate Vice President, Academic Programs & Graduate Studies

•

5Associate Vice President, Academic Resources

•

1, 2, 3, 4, 7Associate Vice President, Business and Financial Services and Risk Manager

•

5Associate Vice President, Continuing and International Education

•

4, 5, 8Associate Vice President, Facilities Planning and Operations

•

5Associate Vice President, Information and Computing Services

•

4, 9Budget Officer

•

4, 7Buyer

•

17Consultants

•

4, 7Contracts Manager

•

5Controller

•

5Dean, College of Arts, Letters and Social Science

•

5Dean, College of Business and Economics

•

5Dean, College of Education and Allied Studies

•

5Dean, College of Science

•

5Dean, Contra Costa Center

•

5Design and Construction Coordinator

•

5Director, Advancement Services

•

5, 7Director, Facilities Management

•

5Director, Media and Technology Services

•

5Director, Student Health Services

•

5Director, University Police Department

•

5Director, University Technology Projects

•

5Pharmacist

•

5Pharmacist-In-Charge

•

16Principal Investigators

•

4, 7Procurement and Support Services Officer

•

4, 9Procurement Card Holders

•

4, 7Purchasing Manager

•

5Senior Director, Division of Continuing and International Education

•

5University Librarian

•

1, 2, 3, 5, 7Vice President, Academic Affairs/Provost

•

1, 2, 3, 4, 7, 9Vice President, Administration and Business Affairs

•

5Vice President, Student Affairs

•

5Vice President, University Advancement

•

Designated Positions Disclosure Categories

California State University, Fresno

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

1, 2, 3, 4, 6, 7, 8, 9Assistant University Controller for Athletics

•

2, 3, 4, 5, 6, 9Associate Dean, College of Agricultural Sciences and Technology

•

2, 3, 4, 5Associate Dean, College of Arts and Humanities

•

2, 3, 4, 5Associate Dean, College of Engineering

•

2, 3, 4, 5Associate Dean, College of Health and Human Services

•

2, 3, 4, 5Associate Dean, College of Science and Mathematics

•

2, 3, 4, 5Associate Dean, College of Social Sciences

•

2, 3, 4, 5Associate Dean, Craig School of Business

•

2, 3, 4, 5Associate Dean, Graduate Studies

•

2, 3, 4, 5Associate Dean, Kremen School of Education and Human Development

•

2, 3, 4, 5Associate Dean, Library Services

•

1, 2, 3, 4, 6, 7, 9Associate Director of Athletics

•

1, 2, 3, 4, 5, 7Associate Director, Grants and Research

•

3, 4, 5Associate Director, Information Technology Services

•

2, 4, 5, 6Associate Provost for Academic Affairs

•

4, 5Associate Provost, Academic Resources

•

3, 4, 5Associate Vice President for Academic Affairs, Academic Personnel

•

2, 3, 4, 5Associate Vice President for Communications

•

2, 4, 5Associate Vice President for Global and Continuing Education

•

2, 3, 4, 5, 7, 9, 17Associate Vice President for Grants and Research

•

3, 4, 5Associate Vice President for Student Affairs, Enrollment Services

•

3, 4, 5Associate Vice President/Associate Dean and Director, University Health and

Counseling Services

•

1, 2, 3, 4, 6, 7, 9Budget Officer

•

1, 2, 3, 4, 6, 7, 9Budget Officer, Academic Affairs

•

2, 4, 5, 6, 7, 8Buyers

•

1, 2, 3, 4, 5, 7, 8, 9Campaign Director

•

4, 5, 7Chief of Police

•

17Consultants

•

2, 4, 5Dean of College of Engineering

•

2, 4, 5Dean of Graduate Studies

•

2, 4, 5Dean of the College of Arts and Humanities

•

2, 4, 5Dean of the College of Health and Human Services

•

2, 4, 5Dean of the College of Science and Mathematics

•

2, 4, 5Dean of the College of Social Sciences

•

2, 4, 5Dean of the School of Education and Human Development

•

2, 4, 5, 6Dean of Undergraduate Studies

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Fresno

HR 2010-04

ATTACH

MENT B

2, 3, 4, 5, 6Dean, College of Agricultural Sciences and Technology

•

2, 4, 5, 6Dean, Craig School of Business

•

3, 4, 5Dean, University Library Services

•

1, 2, 3, 4, 5, 6, 7, 9Director of Advancement Operations

•

1, 2, 3, 4, 6, 7, 9Director of Athletics

•

1, 2, 3, 4, 5, 7Director of Facilities

•

3, 4, 5Director of Financial Aid

•

2, 3, 4Director of Human Resources

•

3, 4, 5Director of Institutional Research, Planning and Assessment

•

1, 2, 3, 4, 5, 7, 8, 9Director of Planned Giving

•

2, 4, 5, 7, 8Director of Procurement and Support Services

•

1, 3, 4, 5, 6, 7, 9Director of Prospect Research

•

3, 4, 5Director of Public Safety

•

4Director, Academic Services Center

•

2, 4, 6Director, Accounting Services

•

2, 3, 4, 5, 6Director, Agricultural Operations

•

4Director, Campus Information Systems

•

4Director, Environmental Health and Safety

•

1, 2, 3, 5, 7Director, Facilities Planning

•

3, 4, 5Director, Information Technology Services

•

2, 3, 5Director, University Student Union

•

2, 4, 5, 7Director, Utilities Management

•

1, 2, 3, 4, 5, 7, 9Executive Director, Auxiliary Services

•

2, 3, 4, 5Executive Director, Student Affairs

•

2, 3, 4, 5Executive Director, Student Life

•

1, 2, 3, 5, 9Head Sport Coach

•

1, 2, 3, 4, 6, 7, 8, 9Internal Auditor

•

16Principal Investigators

•

2, 4, 5, 6, 7, 8Procurement Card Holders

•

2, 4, 5, 6Provost/Vice President for Academic Affairs

•

2, 4, 5, 7, 9School Development Officers

•

2, 4, 5, 7, 8, 9Stewardship Director

•

1, 2, 3, 4, 5, 6, 7, 9University Controller

•

1, 2, 3, 4, 6, 7, 8, 9Vice President for Administration

•

2, 3, 4, 5Vice President for Student Affairs/Dean of Students

•

1, 2, 3, 4, 5, 7, 8, 9Vice President, University Advancement

•

Designated Positions Disclosure Categories

California State University, Fullerton

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5Assistant to the Vice President, Student Affairs

•

1, 3, 5, 9Assistant Vice President for Enrollment Services

•

2, 3, 5Assistant Vice President, Budget Operations

•

2, 5Associate Dean, Judicial Affairs

•

1, 3, 5Associate Director, Accounts Payable

•

5Associate Director, Student Financial Services

•

5Associate University Librarian

•

1, 2, 3, 4, 5, 6, 7, 9Associate Vice President for Finance

•

1, 2, 3, 5Associate Vice President, Academic Affairs

•

1, 2, 3, 4, 6, 7, 9Associate Vice President, Administration

•

1, 2, 3, 5, 6, 7Associate Vice President, Administration & Campus

•

2, 3, 5Associate Vice President, Communications & Marketing

•

2, 3, 5Associate Vice President, Public Affairs & Government Relations

•

2, 5Associate Vice President, Student Affairs

•

1, 2, 3, 5Associate Vice President, Undergraduate Programs

•

5Associate Vice President, University Advancement/Public Affairs

•

1, 2, 3, 4, 6, 7Buyer II

•

1, 2, 3, 4, 6, 7, 9Buyer III

•

2, 5Chief Information Technology Officer

•

1, 2, 3, 4, 6, 7, 9Chief of Budget Planning & Strategy

•

17Consultants

•

4, 5Contract Analyst

•

1, 2, 3, 4, 5, 6, 7, 8Contracts Operations Manager

•

4, 5, 9Controller

•

2, 3, 5Dean of Students

•

2, 5Dean, College of Business Administration and Economics

•

2, 5Dean, College of Communications

•

2, 5Dean, College of Education

•

2, 5Dean, College of Engineering & Computer Science

•

2, 5Dean, College of Health & Human Development

•

2, 5Dean, College of Humanities and Social Sciences

•

2, 5Dean, College of Natural Sciences and Mathematics

•

2, 5Dean, College of the Arts

•

2, 5Dean, University Extended Education Services

•

1, 3, 5, 9Director of Admissions

•

2, 3, 5Director of Athletics

•

2, 5Director of Center for Internships & Service Learning

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Fullerton

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 9Director of Contracts and Procurement

•

2, 4, 5, 6Director of Grants & Contracts

•

2, 3, 5Director of Housing and Residential Life

•

1, 2, 3, 4, 6, 7, 9Director of Internal Audit

•

2, 5, 6Director of International Education & Exchange

•

5Director of Physical Plant

•

5Director of Public Safety/Chief of Police

•

5Director of State & Federal Relations

•

1, 2, 3, 5Director of Student Academic Services

•

5Director of the Faculty Development Center

•

5Director of Women's Center

•

5Director, Academic Affairs Budget

•

2, 3, 5Director, Accounting & Financial Reporting

•

5Director, Budget & Administration

•

1, 2, 3, 4, 6, 7, 9Director, Business Planning & Improvement

•

2, 5Director, Cal State Fullerton Irvine Campus

•

5Director, Career Planning and Placement

•

2, 5, 7Director, Design and Construction

•

5Director, Disabled Students

•

3, 4, 5, 7Director, Environmental Health & Instructional Safety

•

5Director, Faculty Affairs and Records

•

5Director, Financial Aid

•

4Director, Financial Operations-Payables

•

5Director, Institute of Gerontology

•

5Director, Institutional Research and Analytical Studies

•

1, 2, 3, 5Director, Risk Management

•

4Director, Student Financial Services

•

2, 3, 5Division Head, Kinesiology and Health Promotions

•

1, 2, 3, 4, 6, 7, 9Executive Assistant, Financial Management

•

5Executive Director of Student Health & Counseling Center

•

3, 4, 5, 6Executive Director, Alumni Relations

•

5Executive Director, Associated Students

•

1, 2, 3, 5Executive Director, Foundation

•

5Executive Director, Human Resources

•

1, 2, 3, 4, 6, 7, 9Executive Vice President

•

4Manager, Logistical Services

•

16Principal Investigators

•

4Procurement Operations Manager

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Fullerton

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 9Senior Director, Business Systems

•

1, 2, 3, 5Titan Shops Director

•

5University Articulation Officer, Admissions & Records

•

5University Librarian

•

4, 5Vendor Data Program Manager

•

1, 2, 3, 5Vice President, Academic Affairs

•

1, 2, 3, 4, 6, 7, 9Vice President, Administration & Finance/Chief Financial Officer

•

5Vice President, Student Affairs

•

2, 5Vice President, University Advancement

•

Designated Positions Disclosure Categories

Humboldt State University

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5Accounting Manager

•

5Acquisition Librarian

•

5Associate Deans

•

4, 5, 7, 8Associate Director, Housing Facility Services

•

5Associate Vice President for Academic Personnel

•

1, 2, 3, 4, 7Associate Vice President, Business Services

•

5Associate Vice President, Enrollment Management

•

1, 2, 3, 4, 5, 7, 9Associate Vice President, Facilities Management

•

5, 7Buyer

•

5Chief Information Officer

•

5Chief of Police

•

5Circulation Librarian

•

17Consultants

•

5Dean, College of Arts, Humanities and Social Sciences

•

5Dean, College of Natural Resources and Sciences

•

5Dean, College of Professional Studies

•

5Dean, Graduate Studies and Research

•

5Director of Admissions

•

5Director of Alumni Relations

•

4, 5, 7, 8Director of Construction Management

•

4, 5, 7, 8Director of Facilities Planning

•

1, 3, 5, 7Director of Housing and Residential Life

•

5Director of Human Resources and Risk Management

•

2, 3, 5Director of Intercollegiate Athletics

•

1, 2, 5, 7Director, Budget and Institutional Data for Academic Affairs

•

2, 3, 4, 7Director, Contracts & Procurement

•

5Director, Extended Education

•

1, 2, 3, 4, 7Director, Financial Services

•

5Director, Health and Counseling Services

•

5Director, Office of Financial Aid

•

5, 7Director, Plant Operations

•

5Director, Public Affairs

•

5Director, University Advancement

•

1, 2, 3, 5, 7, 9General Manager, HSU Foundation

•

5General Manager, KHSU

•

5Medical Chief of Staff

•

5Pharmacist

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

Humboldt State University

HR 2010-04

ATTACH

MENT B

16Principal Investigators

•

4, 5Procurement Card Holders

•

5Procurement Card Holders Approving Official

•

5Project Director - CMS

•

4, 5, 7, 8Project Manager/Inspector

•

1, 2, 3, 4, 5, 7, 9Provost and Vice President for Academic Affairs

•

5Risk Manager

•

5Senior Development Officer

•

5University Librarian

•

5University Registrar

•

1, 2, 3, 4, 5, 7, 9Vice President for Administrative Affairs

•

1, 2, 3, 4, 5, 7, 9Vice President of University Advancement

•

1, 2, 3, 4, 5, 7, 9Vice President, Student Affairs

•

5Vice Provost for Academic Programs and Undergraduate Education

•

Designated Positions Disclosure Categories

California State University, Long Beach

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

2, 5Administrative Services Manager (14 positions)

•

1, 2, 5, 7Assistant Construction Manager/Inspector

•

3, 5Assistant Dean of Students

•

2, 5Assistant Dean, University College and Extension Services

•

5Assistant Director, Administrative Operations, Facilities

•

5Assistant Director, Maintenance, Housing and Residential Life

•

2, 5Assistant Vice President, Academic Resources

•

2, 5Assistant Vice President, Administration and Finance

•

2, 5Assistant Vice President, Alumni Relations and Annual Giving

•

2, 5Assistant Vice President, Estate Planning and Endowment

•

2, 5Assistant Vice President, Government & Community Relations

•

5Associate Athletic Director/Chief Financial Officer

•

5Associate Athletic Director/General Manager, Pyramid

•

5Associate Athletic Director/Senior Women's Administrator

•

2, 3, 5Associate Dean, College of Business Administration

•

2, 3, 5Associate Dean, College of Health and Human Services

•

2, 3, 5Associate Dean, College of the Arts

•

2, 3, 5Associate Dean, Facilities, College of Natural Sciences and Mathematics

•

2, 3, 5Associate Dean, Fiscal Planning and Research, College of Liberal Arts

•

4, 5Associate Dean, Instruction, College of Engineering

•

2, 3, 5Associate Dean, Research and Development, College of Engineering

•

2, 3, 5Associate Dean, University College and Extension Services

•

2, 3, 5Associate Dean, University Library

•

2, 5Associate Director, Administrative Services, Housing and Residential Life

•

5Associate Director, Facilities Management

•

1, 2, 5, 7Associate Director, Planning and Design Services

•

2, 5Associate Director, Residential Life

•

2, 3, 5Associate Vice President for Academic Affairs, Research and External Support

•

1, 2, 3, 4, 7, 9Associate Vice President for Financial Management

•

1, 2, 3, 4, 5, 7Associate Vice President for Physical Planning and Facilities Management

•

5Associate Vice President, Academic Personnel

•

1, 2, 3, 4, 7, 9Associate Vice President, Budget and Human Resources Management

•

2, 5Associate Vice President, Enrollment Services

•

5Associate Vice President, Graduate and Undergraduate Programs

•

2, 4, 7Associate Vice President, Information Technology Services

•

1, 2, 3, 4, 7Associate Vice President, Student Services

•

3, 5Associate Vice President, Student Services, Dean of Students

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Long Beach

HR 2010-04

ATTACH

MENT B

2, 5Associate Vice President, University Relations

•

3, 5Associate Vice President, University Relations and Development

•

1, 2, 3, 4, 7Associate Vice President, University Services and Chief of Staff

•

4Bursar

•

5Buyer, Procurement Card

•

4, 7Buyers, Central (8 positions)

•

1, 2, 5, 7Capital Project Manager, Planner/Architect

•

5Captain of Field Services, University Police

•

5Chief of Police

•

5Chief Staff Physician

•

5Clinical Coordinator, Student Health Services

•

4Common Management Systems (CMS) Project Director

•

1, 2, 5, 7Construction Manager

•

17Consultants

•

2, 3, 4, 7, 9Controller

•

5Coordinator, Electronic Classroom Support

•

5Coordinator, Operations and Technical, Student Health Services

•

5Corporate Administrative Support

•

2, 3, 5Dean, College of Business Administration

•

2, 3, 5Dean, College of Education

•

2, 3, 5Dean, College of Engineering

•

2, 3, 5Dean, College of Health and Human Services

•

2, 3, 5Dean, College of Liberal Arts

•

2, 3, 5Dean, College of Natural Sciences and Mathematics

•

2, 3, 5Dean, College of the Arts

•

2, 3, 5Dean, University College and Extension Services

•

5Dean, University Library and Academic Technology Services

•

2, 5Director of Facilities Management

•

4Director of Financial Management, Information Systems

•

2, 5Director of Housing and Residential Life

•

1, 2, 3, 4, 7Director of Physical Planning

•

2, 5Director of Student Health Services

•

2, 5Director, Administrative Computing Services, Information Technology

•

5Director, Alumni Records/Systems Management

•

2, 3, 5Director, American Language Institute

•

5Director, Benefits and Staff Human Services

•

2, 5Director, Budget and Human Resources, Student Services

•

2, 5Director, Budget Management

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Long Beach

HR 2010-04

ATTACH

MENT B

2, 5Director, Bureau of Governmental Research and Services

•

2, 5Director, California Institute for Preservation of Jazz

•

5Director, Career Development Center

•

2, 5Director, Center for Advanced Technology Support for Aerospace Industry

•

2, 5Director, Center for Advancement of Philosophy in Schools

•

2, 5Director, Center for Asian Pacific American Studies

•

2, 5Director, Center for Behavioral Research and Services

•

2, 5Director, Center for Career Studies

•

2, 5Director, Center for Criminal Justice

•

2, 5Director, Center for Disability Studies and Scholarship

•

2, 5Director, Center for Educational Technology and Learning

•

2, 5Director, Center for Electronic Design Automation

•

2, 5Director, Center for Entrepreneurship

•

2, 5Director, Center for European Studies

•

2, 5Director, Center for Excellence in Construction

•

2, 5Director, Center for First Amendment Studies

•

2, 5Director, Center for Health Care Innovation

•

2, 5Director, Center for Humanities

•

2, 5Director, Center for Information Strategies and Technologies

•

2, 5Director, Center for Innovative Food Service Technologies

•

2, 5Director, Center for South & Southeast Asian Studies

•

2, 5Director, Center for Successful Aging

•

2, 5Director, Center for Usability in Design and Assessment

•

2, 5Director, Child Welfare Training Center

•

2, 5Director, Disabled Student Services

•

5Director, Earl Burns Miller Japanese Garden

•

2, 5Director, Educational Opportunity Program

•

2, 5Director, Employee Relations

•

2, 5Director, Enrollment and Facilities

•

2, 5Director, Equity and Diversity

•

2, 5Director, Facilities and Technology Planning, College of Liberal Arts

•

2, 5Director, George L. Graziadio Center for Italian Studies

•

2, 5Director, Graduate Programs and Executive Education, College of Business

Administration

•

4Director, Human Resources Technical Support

•

2, 5Director, Institute for Judeo Christian Origins

•

2, 3, 4Director, Internal Auditing Services

•

2, 5Director, International Programs

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Long Beach

HR 2010-04

ATTACH

MENT B

2, 3, 4Director, Judicial Affairs

•

5Director, Movement Science Laboratories

•

2, 5Director, Multicultural Center

•

2, 5Director, Network Services

•

5Director, New Media Communications/University Webmaster

•

5Director, Payroll Services

•

2, 5Director, Physical Therapy Assessment Center

•

1, 2, 5, 7Director, Planning and Design Services

•

2, 3, 4, 7Director, Procurement and Support Services

•

2, 5Director, Safety and Risk Management

•

2, 5Director, Southern California Marine Institute

•

5Director, STARS/SOAR (Student Transition and Retention Services/Student

Orientation, Advising and Registration)

•

1, 2, 5Director, Strategic Planning and Vice Provost for Enrollment

•

4Director, Student Administration Systems

•

2, 5Director, Student Life and Development

•

2, 5Director, Telecommunications/Resource Management

•

5Director, Testing and Evaluation Services

•

2, 5Director, University Art Museum

•

2, 5Director, University Counseling and Psychological Services

•

2, 5Director, University Outreach and School Relations

•

2, 3, 5Director, University Research and Compliance

•

2, 5Director, Women's Resource Center

•

2, 5Division Fiscal Manager, PPFM

•

1, 2, 3, 4, 7, 9Executive Assistant to the President

•

2, 3, 5Executive Director for Assessment, College of Engineering

•

2, 3, 4, 7Executive Director of Athletics

•

5Executive Director of CSULB Alumni Association/Executive Director of

Alumni Relations

•

5Executive Director, Carpenter Performing Arts Center

•

2, 5Executive Director, Center for Language Minority Education and Research

•

2, 5Executive Director, International Trade and Transportation, UCES

•

5Faculty Services Manager, Academic Computing Services, Development Lab

•

5General Manager, Carpenter Performing Arts Center

•

5Head Coaches

•

5Lead Procurement and Accounts Payable Coordinator

•

5Lieutenant, University Police

•

5Manager, Custodial Services, Facilities Management

•

Page 5

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Long Beach

HR 2010-04

ATTACH

MENT B

5Manager, Engineering Services

•

5, 6Manager, Grounds and Landscape Services

•

5Manager, Physical Planning and Facilities Management Information Systems

•

2, 3, 4, 7Manager, Purchasing

•

5Manager, Technical Support Services, College of Liberal Arts

•

5Manager, Technology Help Desk, Academic Computing Services

•

5Manager, University Print Shop

•

5Pharmacist

•

16Principal Investigators

•

1, 2, 5, 7Project Manager/Architect

•

1, 2, 5, 7Projects Manager, Planner/Architect

•

1, 2, 3, 4, 7, 9Provost and Senior Vice President for Academic Affairs

•

5Reprographics Program Supervisor

•

1, 2, 5, 7Senior Construction Manager

•

2, 3, 5, 7Senior Director, Parking, Transportation and Event Services

•

2, 5Senior Director, Technology and Distance Learning, University College and

Extension Services

•

1, 2, 5, 7Senior Project Manager

•

5Special Assistant to the President

•

4, 7Supervisor, Materials Management

•

2, 5Technical Director, Hauth Center for Communication Skills

•

1, 2, 3, 4, 7, 9Vice President for Administration and Finance

•

1, 2, 3, 4, 7, 9Vice President for Student Services

•

1, 2, 3, 4, 7, 9Vice President for University Relations and Development

•

Designated Positions Disclosure Categories

California State University, Los Angeles

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5Academic Technology Support, Manager of Desktop Services

•

5Academic Technology Support, Manager of User Services

•

5Administrative Assistant, Student Health Center

•

5Administrative Manager, Facilities Services

•

5Admissions Director and University Registrar

•

5Admissions Officer/Admissions and University Outreach

•

5Assistant Director for Applicant Services

•

4, 5Assistant Director of Utilities

•

5Assistant Director, Administrative Technology

•

5Assistant Director, Analytical Studies and Data Administration

•

5Assistant Director, Athletics/Administrative Services

•

4, 5Assistant Director, Building and Grounds

•

4, 5, 7, 8Assistant Director, Building Maintenance

•

5, 7Assistant Director, Facilities Services

•

5Assistant Director, HRM

•

5Assistant Director, HRM/Equity & Diversity Officer/Faculty Affairs

•

3, 5Assistant Director, Residence Life and Housing Services

•

5Assistant Executive Director, Publications/Public Affairs for Marketing

Communication

•

5Assistant Registrar for Records

•

5Assistant University Controller

•

5Assistant Vice President for Student Affairs/Enrollment Management

•

5Assistant Vice President for Student Affairs/Student Services

•

5Assistant Vice President for University Development

•

5Associate Dean for Academic Affairs, Business Economics

•

5Associate Dean for Instruction and Academic Programs/Charter College of

Education

•

5Associate Dean, Business and Economics

•

5Associate Dean, Charter College of Education

•

5Associate Dean, College of Arts and Letters

•

5Associate Dean, College of Engineering

•

5Associate Dean, Graduate Studies & Research

•

5Associate Dean, Health & Human Services

•

5Associate Dean, Instruction and Graduate Studies

•

5Associate Dean, Natural and Social Sciences

•

5Associate Dean, Student Services Education

•

5Associate Dean, Undergraduate Studies

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Los Angeles

HR 2010-04

ATTACH

MENT B

5Associate Director, Athletics

•

5Associate Director, Educational Opportunity Program (EOP)

•

5Associate Director, Student Financial Aid

•

5Associate Executive Director, Luckman Fine Arts Complex

•

5Associate Registrar

•

5Associate University Librarian

•

5Associate Vice President for Academic Affairs

•

1, 2, 3, 4, 7, 8, 9Associate Vice President for Administration & Finance/Financial Services

•

5Associate Vice President, Academic Affairs, Planning and Resources

•

4, 5Asst. V.P. Acad. Afrs, Plng. & Resources/Dean Educational Support Services

•

5Budget Manager

•

4Buyer

•

5Chief of Custodial Services

•

17Consultants

•

5Coordinator, Academic Affairs Resource Management

•

4, 5Custodial Services Manager

•

5Dean, Charter College of Education

•

5Dean, College of Arts and Letters

•

5Dean, College of Business and Economics

•

5Dean, College of Engineering, Computer Science and Technology

•

5Dean, College of Health and Services

•

2, 5Dean, Division of Extended Education

•

5Dean, Graduate Studies and Research

•

5Dean, Health and Human Services

•

5Dean, Natural and Social Sciences

•

5Dean, Undergraduate Studies

•

5Development Directors

•

5Director of Annual Giving

•

2, 5Director of Extension and Summer Session

•

5Director of Public Safety

•

5Director of Student Financial Services

•

5Director, Administrative Information Services

•

4, 5Director, Administrative Technology & Support Services

•

5Director, Advancement Services/University Development

•

5Director, Alumni Marketing and Advocacy, Alumni Relations

•

5Director, Alumni Relations

•

5Director, Analytical Studies and Data Administration

•

5Director, Career Development Center

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Los Angeles

HR 2010-04

ATTACH

MENT B

5Director, CMS and Enterprise Systems

•

5Director, Educational Opportunity Program

•

4, 5, 7, 8Director, Facilities Planning and Construction

•

4, 5, 7, 8Director, Facilities Services

•

5Director, Health Center

•

3, 5Director, Housing Services

•

5Director, HRM

•

5Director, Institutional Research

•

5Director, Intercollegiate Athletics

•

5Director, International Student Programs and Services

•

5Director, IT Security and Compliance

•

4, 5Director, ITS Financial and Support Services

•

5Director, Luckman Gallery

•

5Director, Medial Relations/Public Information

•

5Director, Network and Communication Services

•

5Director, Office for Students with Disabilities

•

5Director, Outreach and Recruitment

•

5Director, Parking & Transportation Services

•

4, 5, 7Director, Procurement and Support Services

•

5Director, Public Information/Editorial Services

•

5Director, Research Administration

•

5Director, Roybal Institute for Applied Gerontology

•

5Director, Student Life

•

2, 3, 5Director, University Budgets & Real Property Development

•

5Employment Services Manager

•

5Environmental Health and Safety Officer/Risk Manager

•

5Equity & Diversity Specialist

•

5Executive Assistant to the President

•

5Executive Director, Development

•

5Executive Director, Luckman Fine Arts Complex

•

5Executive Director, Publications/Public Affairs

•

5Facilities Manager, Luckman Fine Arts Complex

•

5Facilities Operations, Project Coordinator

•

4, 5, 7, 8Facilities Planner/Project Manager

•

4, 5, 7, 8Facilities Services Operations Manager

•

5Facility and Event Manager, Athletics

•

5Fiscal Officer, Arts and Letters

•

5Fiscal Officer, Education

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Los Angeles

HR 2010-04

ATTACH

MENT B

5Fiscal Officer, Natural and Social Sciences

•

2, 5Grants Administrator

•

4, 5Grounds Manager

•

5Grounds Supervisor, Facilities Operations

•

5Health and Human Services, Program Management Specialist

•

5Internal Auditor

•

5Judicial Affairs Officer/Student Affairs

•

5Library Administrative Services Officer

•

5Lieutenant/Assistant Director of Public Safety

•

5Manager, Cashiers and Disbursement

•

5Manager, Classification/Compensation, Benefits

•

5Manager, Human Resources

•

5Manager, IT Operations

•

5Manager, Payroll Services

•

5Manager, Reprographics & Mail Services

•

5Manager, Social Science Data Base Archive

•

5Manager, Support Services

•

5Medical Chief of Staff

•

5MESA Director

•

16Principal Investigators

•

5Procurement Card Holders

•

4, 5Project and Recycle Manager

•

3, 5, 6Provost and Vice President for Academic Affairs

•

5Resource Coordinator, Business and Economics

•

5Special Asst. to the Vice President for Administration & Chief Financial

Officer

•

5Sports Information Director, Athletics

•

5Staff Auditor

•

5Student Affairs Fiscal Resource Manager

•

5Supervising Nurse, Student Health Center

•

5Supervisor, Building Trades

•

4, 5Tax Specialist

•

5Technical Equipment Supervisor

•

4, 5Telecommunications Operations Supervisor

•

4, 5University Controller

•

1, 2, 4, 5, 7, 8, 14University Counsel

•

5University Librarian

•

5University Testing Center Coordinator

•

Page 5

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Los Angeles

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 5, 7, 8, 9Vice President for Administration and Chief Financial Officer

•

4, 5Vice President, Information Technology Services & Chief Technology Officer

•

3, 5, 9Vice President, Institutional Advancement

•

3, 5Vice President, Student Affairs

•

Designated Positions Disclosure Categories

California Maritime Academy

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5Academic Dean

•

4Buyer III

•

5Chief Engineer, Training Ship

•

4, 5Chief Information Officer

•

17Consultants

•

1, 2, 3, 4, 5, 7, 8, 9Controller

•

5Dean, Sponsored Projects & Extended Learning

•

5Director of Alumni Affairs & Annual Giving

•

5, 7Director of Facilities Operations

•

5Director of Financial Aid

•

5Director of Leadership Development

•

5Director of Public Relations

•

5Director, Athletics

•

5Director, Campus Life

•

5Director, Career Development and Placement

•

2, 5Director, Center for Excellence and Learning

•

2, 5Director, Continuing Education

•

2, 5Director, Enrollment Services

•

5Director, Human Resources

•

5Director, Maritime Security Projects

•

5Director, Student Health Center

•

4, 5Executive Director, CMA Services

•

1, 2, 3, 5, 7, 8Executive Director, Facilities Planning & Operations

•

5Library Director

•

5Maritime Operations Manager, Chief Mate

•

16Principal Investigators

•

5Procurement Cardholders

•

1, 2, 3, 5Vice President, Academic Affairs

•

1, 2, 3, 4, 5, 7, 8, 9Vice President, Administration & Finance

•

1, 2, 3, 5Vice President, Marine Programs & Captain of the Training Ship

•

5Vice President, University Advancement and Executive Director of the

Foundation

•

Designated Positions Disclosure Categories

California State University, Monterey Bay

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8President

•

5Account Officer, Payment Section

•

1, 2, 3, 4, 5, 7, 8, 9Administrative Director, CSUMB Auxiliary Corporations

•

5Assistant Director, Grants and Contracts

•

1, 2, 3, 5, 7, 8Assistant Vice President, Campus Planning and Development

•

1, 2, 3, 4, 5Associate Director of Financial Aid

•

5Associate Director, Academic Technology and Media Services

•

5Associate Director, Information Systems and Network Services

•

2, 3, 4, 5Associate Vice President for Student Affairs

•

5Associate Vice President for University Relations

•

2, 3, 4, 5, 9Associate Vice President of Finance

•

4, 5Associate Vice President, Academic Planning, Research, & Graduate Studies

•

1, 2, 3, 5, 7, 8Associate Vice President, Facilities Development and Operations

•

2, 3, 4, 5Associate Vice President, Institutional Effectiveness

•

2, 3, 4, 5Associate Vice President, Student Affairs, Residential Learning

•

5Associate Vice President, University Human Resources

•

4, 5, 7, 8Buyer, Purchasing

•

5, 7, 8Campus Construction Inspector

•

5Chief Information Officer

•

1, 2, 3, 4, 5, 7, 8, 9Chief of Staff

•

17Consultants

•

4, 5, 7, 8Contracts Coordinator

•

5Custodial and Grounds Coordinator

•

1, 2, 3, 4, 5Dean of Extended Education & Director of International Programs

•

1, 2, 3, 4, 5Dean of Student Life

•

5Dean, College of Arts, Humanities and Social Sciences

•

5Dean, College of Professional Studies

•

5Dean, College of Science, Media Arts and Technology

•

5Dean, College of University Studies and Programs

•

5Director of Athletics, Sports and Recreation and Health

•

5Director of Community & K12 Partnerships

•

5Director of Planned Giving

•

5Director of the Presenting Program and World Theater

•

4, 5, 9Director of University Development

•

5Director, Academic Personnel Services

•

5Director, Accounting

•

5Director, Admissions and Records

•

5, 9Director, Alumni Association

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Monterey Bay

HR 2010-04

ATTACH

MENT B

2, 3, 4, 5, 9Director, Budget and Planning

•

4, 5, 7, 8Director, Business and Support Services

•

5Director, Campus Service Center

•

1, 2, 3, 5, 7, 8Director, Design and Construction

•

5Director, Distributed Learning and Extended Education

•

5Director, Diversity, Equity, and Employment Practices

•

5, 7, 8Director, Employee Housing Project

•

3, 4, 5Director, Environmental Protection, Health and Safety

•

5Director, Facilities Services and Operations

•

5Director, Financial Aid

•

3, 4, 5Director, First Year Experience Programs

•

4, 5, 7, 8, 9Director, Grants and Contracts

•

5Director, Institutional Assessment and Research

•

5Director, Library Learning Complex

•

2, 3, 4, 5Director, Outreach and Recruitment Services

•

5Director, Personal Growth and Counseling Center

•

5Director, Public Safety/Chief of Police

•

5Director, Staff and Management Personnel

•

5Director, Student Information System

•

5Director, Teaching, Learning and Assessment

•

4, 5Director, Technology Support Services

•

5Director, University Human Resources Operations

•

5Executive Director of Information Technology

•

4, 5Information Security Officer

•

5, 7, 8Lead Construction Manager

•

5, 9Major Gifts Officer

•

5, 7, 8Manager of Energy and Utilities Projects

•

1, 2, 3, 4, 5Manager of Extended Education & International Programs

•

5Manager, Campus Service Center and Quality Improvement

•

5Manager, University Advancement Services

•

5, 7, 8Minor Capital Project Manager

•

16Principal Investigators

•

5Procurement Card Holders

•

1, 2, 3, 4, 5, 7, 8, 9Provost/Vice President, Academic Affairs

•

5Regional Center Academic Director

•

5Special Assistant to the Provost

•

5Systems Project Manager

•

4, 5, 7, 8, 9Vice President, Administration & Finance

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Monterey Bay

HR 2010-04

ATTACH

MENT B

1, 2, 3, 5, 7Vice President, Student Affairs

•

1, 2, 3, 5, 7Vice President, University Advancement

•

Designated Positions Disclosure Categories

California State University, Northridge

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

4Assistant Director, Logistical Services

•

5Associate Athletic Director

•

1, 2, 3, 5, 7Associate Vice President for Academic Resources

•

5Associate Vice President, Graduate Studies, Research and International

Programs

•

5Associate Vice President, Undergraduate Studies

•

2, 3, 5Asst VP for Resource Management

•

4, 7Buyers, Purchasing (6)

•

1, 2, 3, 5, 7Chief Information Officer

•

1, 2, 3, 5, 7Chief of Staff, Office of the President

•

17Consultants

•

5Dean, College of Arts, Media and Communication

•

5Dean, College of Business Administration and Economics

•

5Dean, College of Education

•

5Dean, College of Engineering and Computer Science

•

2, 3, 5Dean, College of Extended Learning

•

5Dean, College of Health and Human Services

•

5Dean, College of Humanities

•

5Dean, College of Science and Mathematics

•

5Dean, College of Social and Behavioral Sciences

•

5Dean, Library

•

5Director of Systems and Technology

•

5Director, Articulation, Admissions and Records

•

1, 2, 3, 4, 7, 9Director, Budget Planning and Management

•

1, 2, 3, 5, 7Director, Facilities Planning

•

1, 2, 3, 5, 7Director, Governmental and Community Relations

•

5Director, Intercollegiate Athletics

•

5Director, ITR/Application Development

•

5Director, ITR/Computer & Technology Systems

•

5Director, ITR/Network Engineering & Operations

•

5Director, ITR/User Support Services

•

5Director, Learning Resource Center

•

1, 2, 3, 4, 7, 9Director, National Center on Deafness

•

5, 7Director, Physical Plant Management

•

5Director, Public Safety

•

5Director, Research and Sponsored Projects

•

3, 5, 7Director, Residential Life and University Conference Services

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Northridge

HR 2010-04

ATTACH

MENT B

5Director, Student Health Center

•

5Director, The Career Center

•

1, 2, 3, 4, 7, 9Executive Assistant to Vice President, Administration and Finance

•

1, 2, 3, 4, 7, 9Internal Auditor

•

1, 2, 3, 4, 7, 9Manager of Advancement Resources

•

4, 7Manager, Purchasing and Contract Administration

•

4, 7Materials Manager, PPM

•

16Principal Investigators

•

5Procurement Card Holders

•

1, 2, 3, 4, 7, 9Provost and Vice President for Academic Affairs

•

1, 2, 3, 4, 7, 9University Controller

•

1, 2, 3, 4, 7, 9Vice President for University Advancement

•

1, 2, 3, 4, 7, 9Vice President, Administration and Finance

•

1, 2, 3, 5, 7Vice President, Student Affairs

•

Designated Positions Disclosure Categories

California State Polytechnic University, Pomona

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5Acquisitions Librarian

•

5Acquisitions Order/Receiving Unit Supervisor

•

5Associate Director, Enrollment Services

•

5, 6Associate Director, Equine Sciences

•

5Associate Vice President and Dean of Students

•

5Associate Vice President for Faculty Affairs

•

5, 16Associate Vice President for Research and Graduate Programs

•

5Associate Vice President, Enrollment Services

•

4, 5, 7, 8, 14Associate Vice President, Facilities Planning and Management

•

1, 2, 3, 4, 5, 6, 7, 8, 9, 14Associate Vice President, Finance and Administrative Services

•

5Associate Vice President, I & IT

•

5Associate Vice President, Student Affairs Administration

•

5Associate Vice President, Student Services

•

5Associate Vice President, University Development

•

5Associate Vice President, University Relations

•

4Buyer

•

4, 5, 7, 8Buyer, Lead

•

17Consultants

•

5, 6Dean, College of Agriculture

•

5Dean, College of Arts, Letters and Social Sciences

•

5Dean, College of Business Administration

•

5Dean, College of Education and Integrative Studies

•

5Dean, College of Engineering

•

5Dean, College of Environmental Design

•

5Dean, College of Extended University

•

5Dean, College of Science

•

5Dean, Collins School of Hospitality Management

•

5Dean, University Library

•

1, 2, 3, 5, 6, 7Director for Academic Resources

•

5Director, Accounting Services

•

5Director, Admissions and Outreach

•

5Director, Alumni Affairs

•

5, 6Director, Arabian Horse Center

•

5Director, Athletics

•

1, 2, 3, 4, 6, 7, 9Director, Budget Services

•

5Director, Center of Regenerative Studies

•

5Director, Counseling and Psychological Services

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State Polytechnic University, Pomona

HR 2010-04

ATTACH

MENT B

5Director, Disability Resource Center

•

5Director, Diversity and Compliance

•

1, 2, 3, 5, 6, 7, 8, 14Director, Facilities Design and Construction

•

5Director, Facilities Management

•

1, 2, 3, 5, 6, 7, 8, 14Director, Facilities Planning

•

5Director, Financial Aid

•

5Director, Housing

•

5Director, I & IT Learning

•

5Director, I & IT Operations

•

5Director, I & IT Projects and Applications

•

5Director, I & IT Support

•

5Director, I & IT Systems

•

4, 6, 9Director, International Center

•

5Director, Learning Resource Center

•

4, 5, 7, 8, 14Director, Procurement and Support Services

•

5Director, Public Safety

•

5Director, Research and Sponsored Programs

•

5Director, Student Accounting and Cashiering Services

•

5Director, Student Health Services

•

5Director, Student Orientation and Development Programs

•

5Director, The Career Center

•

2, 3, 5Executive Director of Business Services

•

5Executive Director, Divisional IT Services

•

5Executive Director, Institutional Research, Assessment and Planning

•

5Executive Director, Student Support and Equity Programs

•

5Head Coach

•

5Manager, Building and Construction Services

•

1, 2, 3, 5, 6, 7Manager, Energy Services

•

4, 5Manager, Graphic Communication Services

•

5, 6Manager, Meat Lab

•

4, 5, 12, 13Physical Access Coordinator

•

16Principal Investigators

•

5Procurement Card Holder

•

1, 2, 3, 4, 5, 6, 7, 9Provost and Vice President, Academic Affairs

•

5Registrar

•

5, 6Supervisor, Ag Valley

•

5, 6Supervisor, Crops

•

5, 6Supervisor, Orchard Operations

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State Polytechnic University, Pomona

HR 2010-04

ATTACH

MENT B

5, 6Supervisor, Sheep Unit

•

5, 6Supervisor, Swine Unit

•

5Systems Librarian

•

5, 6University Veterinarian

•

1, 2, 3, 4, 5, 6, 7, 8, 9, 14Vice President for Administrative Affairs

•

1, 2, 3, 4, 5, 6, 7, 8, 14Vice President for Instructional and Information Technology

•

1, 2, 3, 4, 5, 6, 7, 8, 9, 14Vice President for Student Affairs

•

1, 2, 3, 4, 5, 6, 7, 8, 9, 14Vice President for University Advancement

•

Designated Positions Disclosure Categories

California State University, Sacramento

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5Acquisitions Department Head

•

5Assistant Vice President for Academic Affairs

•

5Assistant Vice President for Sponsored Research, Grant and Contract

Administration

•

5Associate Dean for Public Services

•

5Associate Dean, College of Arts and Letters

•

5Associate Dean, College of Health and Human Services

•

5Associate Dean, College of Natural Sciences and Mathematics

•

5Associate Dean, College of Business Administration

•

5Associate Dean, College of Education

•

5Associate Dean, College of Engineering and Computer Science

•

5Associate Dean, College of Social Sciences and Interdisciplinary Studies

•

5Associate Vice President and Dean for Academic Programs

•

1, 2, 3, 4, 6, 7, 9Associate Vice President for Academic Affairs

•

5Associate Vice President for Academic Affairs, Telecommunications

•

5Associate Vice President for Administration, Facilities Management

•

1, 2, 3, 4, 6, 7, 8, 9Associate Vice President for Development

•

1, 2, 3, 4, 6, 7, 9Associate Vice President for Finance

•

5Associate Vice President for Human Resources (Faculty)

•

5Associate Vice President for Human Resources (Staff)

•

5Associate Vice President for Research and Graduate Studies

•

5Associate Vice President for Student Affairs, Enrollment Management

•

5Associate Vice President for Student Affairs, Student Life

•

4Buyer

•

5CMS Associate Director

•

17Consultants

•

5Coordinator, Recreational Sports

•

5Dean, College of Arts and Letters

•

5Dean, College of Business Administration

•

2, 5Dean, College of Continuing Education

•

5Dean, College of Education

•

5Dean, College of Engineering and Computer Science

•

5Dean, College of Health and Human Services

•

5Dean, College of Natural Sciences and Mathematics

•

5Dean, College of Social Sciences and Interdisciplinary Studies

•

5Deputy Director, University Computing and Communications Services

•

5Director and Dean of the Library

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Sacramento

HR 2010-04

ATTACH

MENT B

5Director, Academic Technology and Creative Policy

•

5Director, Admissions and Outreach

•

5Director, Alumni Affairs

•

5Director, Career Center

•

5Director, Custodial and Grounds Services

•

5Director, Environmental Health and Safety

•

5Director, Equal Opportunity/Affirmative Action

•

5Director, Financial Aid

•

5Director, Health Center

•

5Director, Housing and Residence Life

•

5Director, Intercollegiate Athletics

•

5Director, Public Safety

•

5Director, Services to Students with Disabilities

•

5Director, Student Financial Services Center

•

4Director, Support Services

•

5Director, University Union

•

5Executive Assistant to the President

•

1, 2, 3, 4, 6, 7, 9Executive Vice President

•

5Pharmacist

•

16Principal Investigators

•

4Procurement and Contracts Manager

•

5Procurement Card Holder

•

5Senior Associate Dean for Technical Services and Collection Development

•

1, 2, 3, 4, 6, 7, 9Special Assistant to the President for Governmental Relations

•

5University Counsel

•

1, 2, 3, 4, 6, 7, 9Vice President for Academic Affairs

•

1, 2, 3, 4, 6, 7, 9Vice President for Administration

•

1, 2, 3, 4, 6, 7, 9Vice President for Capital Planning and Resource Development and Executive

Director of the CSUS Foundation

•

5Vice President for Human Resources

•

1, 2, 3, 5Vice President for Student Affairs

•

1, 2, 3, 4, 6, 7, 8, 9Vice President for University Advancement

•

Designated Positions Disclosure Categories

California State University, San Bernardino

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5Assistant Vice President, Student Affairs

•

5Associate Dean, Undergraduate Studies

•

5, 7Associate Director, Facilities Services

•

5Associate Provost, Academic Affairs

•

5Associate Provost, Academic Programs

•

5Associate Vice President and Dean, Graduate Studies

•

5Associate Vice President, Development

•

5Associate Vice President, Enrollment

•

5Associate Vice President, Financial Operations

•

5Budget Officer

•

17Consultants

•

5Dean, College of Arts and Letters

•

5Dean, College of Business and Public Administration

•

5Dean, College of Education

•

5Dean, College of Extended Learning

•

5Dean, College of Natural Sciences

•

5Dean, College of Social and Behavioral Sciences

•

5Dean, Palm Desert Campus

•

5Dean, Undergraduate Studies

•

5Director of Accounting

•

4, 7Director of Procurement and Support Services

•

5Director, Academic Computing and Media

•

5Director, Administrative Computing Services/CMS

•

5Director, Admissions and Student Recruitment

•

5Director, Alumni Affairs

•

2, 5, 7Director, Athletics

•

5Director, Capital Planning, Design and Construction

•

5Director, Career Development Center

•

5Director, Data Center Services/IRT Support Center

•

5Director, Department of Public Safety

•

5Director, Development (9)

•

5Director, Educational Opportunity Program Supportive Services

•

5, 7Director, Facilities Services

•

5Director, Financial Aid

•

5Director, Health and Psychological Counseling

•

2, 5, 7Director, Housing and Residential Life

•

5Director, Human Resources

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, San Bernardino

HR 2010-04

ATTACH

MENT B

5Director, Institutional Research

•

5Director, Parking Services

•

3, 5Director, Public Affairs

•

5Director, Records, Registration and Evaluations

•

5Director, Recreational Sports

•

5Director, Research and Sponsored Programs

•

5Director, Services to Students with Disabilities

•

5Director, Telecommunications and Network Services

•

5Director, Water Resource Institute

•

5Pharmacist

•

16Principal Investigators

•

5Procurement Card Holder

•

1, 2, 3, 5, 7Provost and Vice President, Academic Affairs

•

5University Librarian

•

1, 2, 3, 4, 7, 9Vice President, Administration and Finance

•

1, 2, 3, 4, 7, 9Vice President, Information Resources Technology

•

1, 2, 3, 5, 7Vice President, Student Affairs

•

1, 2, 3, 4, 7, 9Vice President, University Advancement

•

Designated Positions Disclosure Categories

San Diego State University

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8President

•

5Assistant Athletic Director, Director of AAF

•

5Associate Athletic Director of Development

•

5Associate Athletic Director of Marketing

•

5Associate Athletic Director of Operations

•

5Associate Athletic Director, Administration

•

5Associate Athletic Director, Compliance

•

5Associate Dean, Library Services

•

1, 2, 3, 5, 7Associate Vice President for Academic Affairs

•

1, 2, 3, 5, 7Associate Vice President for Administration

•

1, 2, 3, 5, 7Associate Vice President for Enterprise Operations

•

3, 5, 7Associate Vice President for Faculty Affairs

•

1, 2, 3, 5, 7Associate Vice President for Financial Operations

•

1, 2, 3, 5, 7Associate Vice President for Student Affairs

•

1, 2, 3, 5, 7Associate Vice President, Dean of Students

•

4, 6, 7, 8Buyers

•

1, 2, 3, 5, 7Chief Financial and Information Officer, Campanile Foundation

•

17Consultants

•

4, 6, 7Contracts Manager

•

4, 6, 7Controller

•

5Dean of Library

•

5Dean, College of Arts and Letters

•

5Dean, College of Business Administration

•

5Dean, College of Education

•

5, 7Dean, College of Engineering

•

2, 5Dean, College of Extended Studies

•

5, 7Dean, College of Health and Human Services

•

5, 7Dean, College of Professional Studies and Fine Arts

•

5, 7Dean, College of Sciences

•

5, 6, 7Dean, Graduate Division

•

1, 2, 3, 5, 7Dean, Imperial Valley Campus

•

5Dean, Undergraduate Studies

•

5Director of Athletic Equipment

•

5Director of Business Operations, Athletics

•

5Director of Marketing, Athletics

•

5Director of Media Relations, Athletics

•

4, 6, 7Director, Business Services

•

5Director, Intercollegiate Athletics

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

San Diego State University

HR 2010-04

ATTACH

MENT B

5, 7Director, KPBS

•

5, 7Director, Physical Plant

•

5Director, Student Health Services

•

5Head Coach, Baseball

•

5Head Coach, Football

•

5Head Coach, Men's Basketball

•

5Head Coach, Men's Golf

•

5Head Coach, Men's Soccer

•

5Head Coach, Men's Tennis

•

5Head Coach, Softball and Senior Women's Administrator

•

5Head Coach, Women's Basketball

•

5Head Coach, Women's Crew

•

5Head Coach, Women's Golf

•

5Head Coach, Women's Soccer

•

5Head Coach, Women's Swim

•

5Head Coach, Women's Tennis

•

5Head Coach, Women's Track and Field/Cross Country

•

5Head Coach, Women's Volleyball

•

5Head Coach, Women's Water Polo

•

5, 7Manager, Communications and Computing Services

•

4, 6, 7, 8Manager, Contract and Procurement Management

•

5, 7Manager, Network Services

•

5, 7Manager, University Computer Operations

•

1, 2, 3, 4, 6, 7Members, Cabinet Budget Committee

•

16Principal Investigators

•

5Procurement Card Holders

•

1, 2, 3, 5, 6, 7Provost

•

5Senior Associate Athletic Director of Marketing

•

5Sr. Associate Athletic Director

•

1, 2, 3, 4, 6, 7Sr. Vice President for Business and Financial Affairs

•

1, 2, 3, 5, 7, 8University Architect, Facilities Planning, Design and Construction

•

1, 2, 3, 5, 7Vice President for Campaign

•

5, 6, 7Vice President for Research

•

1, 2, 3, 5, 7Vice President for Student Affairs

•

1, 2, 3, 5, 7Vice President, University Advancement

•

Designated Positions Disclosure Categories

San Francisco State University

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

5Acquisitions Operations Coordinator, Library

•

5Assistant Director, Community Relations

•

4, 7Assistant Procurement Officer

•

5Assistant to Director, Fiscal Affairs

•

5, 9Associate Controller, Fiscal Affairs

•

5, 9Associate Controller, Governmental Accounting

•

5Associate Dean , Science and Engineering

•

5Associate Dean, College of Behavioral and Social Sciences

•

5Associate Dean, College of Business

•

5Associate Dean, College of Creative Arts

•

5Associate Dean, College of Education

•

5Associate Dean, College of Ethnic Studies

•

5Associate Dean, College of Extended Learning

•

5Associate Dean, College of Humanities

•

5Associate Dean, Faculty Development

•

5Associate Dean, Graduate Studies

•

5Associate Dean, Undergraduate Studies

•

5Associate Dean, Undergraduate Studies, Learning and Advising Services

•

5Associate Director of Development, Foundation Relations

•

5Associate Director of Development, President's Circle

•

5Associate Director of Utilities & Facilities Services & Mgmt.

•

5Associate Director, Corporate Relations

•

5Associate Director, Budget Administration and Operations

•

5Associate Director, Budget Planning

•

5Associate Director, Conference and Residential Services

•

5Associate Director, Constituent Relations

•

5, 9Associate Director, Development

•

5Associate Director, Facilities

•

5Associate Director, Government Relations

•

5Associate Director, Public Affairs & Publications

•

1, 2, 3, 4, 5, 7, 9Associate Director, SF Urban Institute

•

5Associate Director, Student Financial Aid

•

5Associate Director, Undergraduate Admissions

•

5Associate Registrar, Enrollment Planning, Management

•

5Associate Vice President for Student Affairs/Counseling and Psychological

Services

•

1, 2, 3, 4, 5, 7, 9Associate Vice President, Academic Planning & Educational Effectiveness

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

San Francisco State University

HR 2010-04

ATTACH

MENT B

5Associate Vice President, Academic Planning and Assessment

•

5Associate Vice President, Advancement and Development

•

1, 3, 5, 7, 8Associate Vice President, Capital Planning, Design and Construction

•

5Associate Vice President, Division of Information Technology

•

5Associate Vice President, Enrollment, Planning and Management

•

5Associate Vice President, Facilities and Services Enterprises

•

5Associate Vice President, Human Resources, Safety and Risk Management

•

5Associate Vice President, Research and Sponsored Programs

•

5, 9Associate Vice President/Controller, Fiscal Affairs

•

5Budget Officer, Budget Administration & Operations

•

5Business Officer Library Administration

•

4, 7Buyers

•

5, 7Campus Planner

•

5Captain, University Police

•

5Captain/Associate Director, Department of Public Safety

•

5Chief Engineer

•

5Chief, University Police

•

5Collection Access & Management Services Head

•

5Collection Acquisition Management-Library Assistant

•

17Consultants

•

2, 7, 14Contract Specialist

•

4, 5Contracts Coordinator

•

5Dean of Faculty Affairs, Professional Development

•

5Dean, College of Behavioral and Social Sciences

•

5Dean, College of Business

•

5Dean, College of Creative Arts

•

5Dean, College of Education

•

5Dean, College of Ethnic Studies

•

5Dean, College of Extended Learning

•

5Dean, College of Health and Human Services

•

5Dean, College of Humanities

•

5Dean, College of Science and Engineering

•

5Dean, Graduate Division

•

5Dean, Undergraduate Studies

•

5, 9Director of Annual Fund-Development

•

4, 5, 9Director of Auxiliary Business Services

•

5Director of Career Counseling and Development Center

•

5, 9Director of Development/Major and Planned Gifts

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

San Francisco State University

HR 2010-04

ATTACH

MENT B

5Director of Disability Programs and Resource Services

•

5Director of Institute for Next Generation Internet

•

4, 7Director of Procurement

•

5Director of Public Affairs

•

5Director of Publications

•

5Director of Research and Sponsored Programs

•

5Director of Residential Life

•

5Director of Special Projects

•

5Director of Testing

•

5Director of University Development

•

5Director, Academic Technology

•

5Director, Academic Institutional Research

•

5Director, Admissions

•

5Director, Athletics

•

5Director, Audio-Visual, ITV Center

•

5Director, Benefits & Risk Management

•

5Director, Business Graduate Program

•

5, 7Director, CA Technical Services, Creative Arts

•

1, 3, 5, 7, 8Director, Campus Assets & Space Management

•

4, 5Director, Conference and Residential Services

•

1, 3, 5, 7, 8Director, Design & Construction

•

5Director, Educational Opportunity Program

•

5Director, Employee Relations

•

5Director, Environmental Health and Occupational Safety

•

5Director, Financial Aids

•

5, 9Director, Fiscal Affairs Business Systems

•

5Director, Government Relations

•

5Director, Grounds and Fleet Operations

•

5Director, Health Equity Initiatives

•

5Director, HSS College Operations

•

5Director, International Studies and Programs

•

5Director, Network and Communications

•

5Director, Network and Operations Services

•

5Director, PF Romberg Tiburon Center

•

5Director, Projects and Information Systems

•

5Director, Strategic Technology Architecture

•

5Director, Student Administration Collaborative

•

5Director, Student Health Services

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

San Francisco State University

HR 2010-04

ATTACH

MENT B

5Director, Student Outreach Services

•

5Director, Student Program/Leadership Development

•

5Director, Student Systems and Development

•

5Director, Undergraduate Admissions

•

5Director, University Budget and Planning

•

5Executive Assistant to Vice President Student Affairs/Dean of Students

•

5Executive Assistant to VP, Administration & Finance

•

5Executive Assistant, Administration & Fiscal Affairs

•

5Executive Director, California Campus Compact

•

5Executive Director, Division of Information Technology

•

5Executive Director, Housing and Residential Services

•

5Executive Director, International Center for the Arts

•

5, 7Executive Director, Operations, Science

•

5Executive Director, Urban Institute

•

5Executive/Program Director of Head Start

•

5, 7Facilities Coordinator, Facilities & Service Enterprises

•

5Fiscal Services Manager

•

5Information Security Officer

•

2, 4, 9Internal Auditor

•

5Library Acquisitions Operations Coordinator

•

5Library Assistant - Collection Acquisition Management

•

5Lieutenant, Department of Public Safety (DPS)

•

5Maintenance Superintendent

•

5Manager, Accounts Payable and Collections

•

5Manager, Development Support Services

•

5Manager, Employee Relations

•

5Manager, Faculty Personnel/HRIS

•

5Manager, Professional Development

•

5Managing Director, CEL Downtown Center

•

5Payroll Manager

•

5Personnel Manager, ORSP

•

16Principal Investigators

•

5Procurement Card Coordinator

•

5Procurement Card Holder/Approving Officer

•

5Procurement Systems Analyst

•

5Program Manager, SF Bay National Estuarine Research Reserve

•

5Registrar

•

5Staff Assistant to the President

•

Page 5

Designated Positions

Disclosure Categories

List of Designated Positions

San Francisco State University

HR 2010-04

ATTACH

MENT B

5Unit Head - Periodicals/Microforms

•

5Universaity Controller

•

1, 2, 3, 4, 6, 8, 9, 14University Legal Counsel

•

5University Librarian

•

1, 2, 3, 4, 5, 7, 9Vice President for Academic Affairs/Provost

•

1, 2, 3, 4, 5, 7, 9Vice President, Administration and Finance

•

1, 2, 3, 4, 5, 7, 9Vice President, Student Affairs/Dean of Students

•

5Vice President, University Advancement

•

Designated Positions Disclosure Categories

San Jose State University

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 8, 9President

•

3, 5Assistant Athletic Director, Chief Financial Officer

•

5Associate Dean, Library

•

5, 7, 8Associate Director, Facilities Management

•

5Associate Vice President Enrollment Services

•

5Associate Vice President, Academic Technology

•

5Associate Vice President, Computing & Telecommunication

•

1, 2, 3, 4, 5, 7, 8Associate Vice President, Facilities Development and Operations

•

2, 3, 4, 5, 9Associate Vice President, Financial & Administrative Program Planning

•

5Associate Vice President, Graduate Studies and Research

•

2, 3, 4, 5, 9Business Service Manager

•

2, 3, 4, 5Buyer

•

5Chief of Police

•

17Consultants

•

2, 3, 4, 5Contracts Analyst

•

5Dean College of Humanities and the Arts

•

4, 5Dean, College of Applied Sciences and Arts

•

5Dean, College of Business

•

5Dean, College of Education

•

5Dean, College of Engineering

•

5Dean, College of Science

•

5Dean, College of Social Science

•

5Dean, College of Social Work

•

5Dean, International & Extended Studies

•

5Dean, Library

•

3, 4, 5Director of Accounting Systems and Technology

•

5Director of Housing

•

5Director of Student Health Services

•

3, 5Director, Division of Intercollegiate Athletics

•

5, 7, 8Director, Facilities Development and Operations

•

2, 3, 4, 5, 6, 7, 8Director, Procurement Services

•

9Manager of Accounting/Costing

•

16Principal Investigators

•

2, 3, 4, 5, 6Procurement Analyst

•

2, 3, 4, 5, 7, 8Purchasing Manager

•

3, 5Senior Associate Director, External Operations

•

3, 5Senior Associate Director, Internal Operations

•

1, 2, 3, 4, 7, 9Vice President, Academic Affairs

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

San Jose State University

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 7, 9Vice President, Administration and Finance

•

3, 5Vice President, Student Affairs

•

3, 5Vice President, University Advancement

•

Designated Positions Disclosure Categories

California Polytechnic State University, San Luis Obispo

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8, 9President

•

5, 6Animal Science Department Head

•

1, 2, 3, 4, 6, 7, 9Assistant Dean of Advancement and External Relations

•

5Assistant Director of Facility Services - Custodial

•

5Assistant Director of Facility Services - Engineering and Plumbing

•

5Assistant Director of Facility Services - Landscape and Transportation

•

5Assistant Director of Housing and Business Services

•

1, 2, 3, 4, 5, 7, 9Assistant Vice President for Administration & Finance

•

5Assistant Vice President for Admissions, Recruitment & Financial Aid

•

5Assistant Vice Provost for Systems & Resource Management

•

1, 2, 3, 4, 6, 7, 9Associate Athletics Director, Advancement

•

5, 6Associate Dean and Graduate Coordinator for the College of Agriculture

•

5, 6Associate Dean of the College of Agriculture

•

5Associate Dean of the College of Architecture and Environmental Design

•

5Associate Dean of the College of Education

•

5Associate Dean of the College of Engineering - Administration and Planning

•

5Associate Dean of the College of Engineering - Curriculum and Student Affairs

•

5Associate Dean of the College of Liberal Arts

•

5Associate Dean of the College of Science and Mathematics

•

5Associate Dean of the Orfalea College of Business

•

1, 2, 3, 4, 7Associate Director of Facilities Planning and Capital Projects

•

4Associate Director of Facility Services

•

1, 2, 3, 4, 7Associate Planner

•

5Associate Vice President for Academic Personnel

•

5Associate Vice President for Administration

•

4, 5, 7Associate Vice President for Finance

•

5Associate Vice President for Student Affairs

•

1, 2, 3, 4, 6, 7, 9Associate Vice President for University Advancement

•

4Buyer I

•

4Buyer II

•

4Buyer III

•

4Buyer III - Lead

•

4, 7, 8Construction Inspector

•

17Consultants

•

1, 2, 3, 4, 7Contract Administration Manager

•

4, 5, 7Contracts Manager

•

5Dean of Cal Poly Continuing Education

•

5Dean of Library Services

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California Polytechnic State University, San Luis Obispo

HR 2010-04

ATTACH

MENT B

5Dean of Research and Graduate Programs

•

1, 3Dean of Students

•

5, 6Dean of the College of Agriculture

•

5Dean of the College of Architecture and Environmental Design

•

5Dean of the College of Education

•

5Dean of the College of Engineering

•

5Dean of the College of Liberal Arts

•

5Dean of the College of Science and Mathematics

•

5Dean of the Orfalea College of Business

•

1, 2, 3, 4, 6, 7, 9Director of Advancement and College Relations for the College of Liberal Arts

•

1, 2, 3, 4, 6, 7, 9Director of Advancement for Library Services/College of Education

•

1, 2, 3, 4, 6, 7, 9Director of Advancement for the College of Science and Mathematics

•

1, 2, 3, 4, 6, 7, 9Director of Advancement for the Orfalea College of Business

•

1, 2, 3, 4, 6, 7, 9Director of Advancement Programs

•

1, 2, 3, 4, 6, 7, 9Director of Advancement Services

•

1, 2, 3, 4, 6, 7, 9Director of Advancement, Alumni & External Relations for the CAED

•

1, 2, 3, 4, 6, 7, 9Director of Alumni Relations

•

5Director of Application and Information Management

•

5Director of Cal Poly Arts

•

5Director of Cal Poly Continuing Education

•

1, 2, 3, 4, 6, 7, 9Director of Cal Poly Fund

•

5Director of Campus Student Relations and Judicial Affairs

•

1, 2, 3, 5Director of Career Services and Testing Services

•

5Director of Communications and Computing Services

•

4, 7Director of Contract and Procurement Services

•

1, 2, 3, 4, 6, 7, 9Director of Corporate and Foundation Relations

•

1, 2, 3, 4, 6, 7, 9Director of Corporate Relations

•

4Director of Disability Resource Center

•

1, 2, 3, 4, 6, 7, 9Director of Donor Relations for the College of Engineering

•

5Director of Employment Equity & Faculty Recruitment

•

1, 2, 3, 4, 7Director of Facilities Planning and Capital Project

•

4Director of Facility Services

•

5Director of Financial Aid

•

5Director of Fiscal Services

•

5Director of Grants Development for Research and Graduate Programs

•

5Director of Health and Counseling Services

•

3Director of Housing and Residential Life

•

5Director of Human Resources

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California Polytechnic State University, San Luis Obispo

HR 2010-04

ATTACH

MENT B

5Director of Intercollegiate Athletics

•

1, 2, 3, 4, 6, 7, 9Director of Planned Giving and Endowments

•

5Director of Public Affairs

•

5Director of Student Academic Services

•

5Director of Student Life and Leadership

•

5Director of Swanton Pacific for the College of Agriculture

•

5Director of Technology Services for Administration and Finance

•

5Director of User Support Services

•

4, 5Director, Budget & Analytic Business Services

•

5Executive Assistant to the President

•

1, 2, 3, 5, 6, 7, 8, 9Executive Director of the Cal Poly Foundation

•

1, 2, 3, 4, 5, 7Executive Vice Provost and Chief Planning Officer

•

5Head Coach - Football

•

5Head Coach - Men's Basketball

•

5Head Coach - Women's Basketball

•

5Head of Counseling Services

•

5Horticulture and Crop Science Department Head

•

5Livestock Production Manager - Beef Unit

•

5Livestock Production Manager - Sheep Unit

•

5Livestock Production Manager - Swine Unit

•

4Manager of Energy and Utilities

•

5Manager of Marine Science Education and Research Center

•

5Managing Director of the Performing Arts Center

•

5Pharmacist In-Charge

•

5Poultry Operations Advisor

•

5Poultry Technician

•

16Principal Investigators

•

4, 7Procurement Manager

•

4, 7, 8Project Manager

•

1, 3Provost and Vice President for Academic Affairs

•

4Risk Manager

•

5Senior Associate Director of Intercollegiate Athletics

•

5Supervisor of Farm Operations

•

5Supervisor of the Equine Center

•

5University Legal Counsel

•

5University Police Chief

•

1, 2, 3, 4, 9Vice President for Administration and Finance

•

1, 3Vice President for Student Affairs

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

California Polytechnic State University, San Luis Obispo

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 9Vice President of University Advancement

•

5Vice Provost for Academic Programs and Undergraduate Education

•

5Vice Provost for Information Technology/Chief Information Officer

•

Designated Positions Disclosure Categories

California State University, San Marcos

HR 2010-04

ATTACH

MENT B

1, 2, 3, 4, 6, 7, 8President

•

3, 5, 7, 8Assistant Director of Architecture

•

5, 7Assistant Director of Construction

•

5, 7Assistant Director of Facility Services

•

5Assistant Director of Parking Services

•

5Assistant Director, Engineering & Energy Services

•

5Assistant Director, Field House/University Student Union

•

5Assistant to the Dean, Library and Information Services

•

5Assistant Vice President, Human Resources & Equal Opportunity

•

5Associate Dean of Business Administration

•

5Associate Dean of Education

•

5Associate Dean of Instruction and Academic Programs, COAS

•

5Associate Dean, Budget and Operations, COAS

•

5Associate Director of Human Resources and Equal Opportunity

•

5Associate Vice President for Enrollment Management Services

•

5Associate Vice President for Research and International Programs and Dean of

Graduate Studies

•

5Associate Vice President for Strategic Planning and Assessment

•

5Associate Vice President of Student Affairs and Dean of Students

•

1, 2, 3, 4, 7, 9Associate Vice President, Finance and Business Services

•

5Associate Vice President, Human Relations and Campus Enterprises

•

5Associate Vice President, Resource Management - Finance and Administrative

Services

•

5Associate Vice President, Student Academic Support Services

•

5Associate Vice President, University Advancement

•

5Associate VPAA, Academic Programs

•

5Associate VPAA, Academic Resources

•

5Benefits Manager, Human Resources and Equal Opportunity

•

5Buyer, Procurement Services

•

5Chief of Police

•

5, 12CMS Program Director, Finance

•

5Coaches

•

17Consultants

•

5Coordinator, Commodities/AP/Material Management

•

5, 7Coordinator, Contracts and Construction

•

5Dean, Arts and Sciences

•

5Dean, Business Administration

•

5Dean, Education

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, San Marcos

HR 2010-04

ATTACH

MENT B

5Dean, Extended Studies

•

5Dean, Instructional and Information Technology

•

5Dean, Library and Information Services

•

5Director of Institutional Planning

•

5Director of Legislative Affairs/Special Assistant to the President

•

5Director of Outreach and Development, College of Business Administration

•

5Director of Outreach and Development, College of Education

•

5Director of Outreach and Development, College of Health and Human Services

•

5Director of Social and Behaviorial Research Institute

•

5Director of Strategic Planning, Finance and Administrative Services

•

5Director of Systems Development and Operations

•

5Director of University Outreach and Recruitment

•

5Director, Academic Technology Services

•

5Director, Admissions

•

5Director, Advising College of Arts and Sciences

•

5Director, Barahona Center for the Study of Books in Spanish

•

5Director, Budget Office

•

5Director, Campus Enterprises

•

5Director, Career and Assessment Center

•

5Director, Center ARTES

•

5Director, Clarke Field House/University Student Union

•

5Director, Communications

•

5Director, Community Service Learning

•

5Director, Development Operations and Annual Giving

•

5Director, Disabled Student Services

•

5, 7Director, Facility Services

•

5Director, Financial Aid and Scholarship Office

•

5Director, Global Affairs

•

5Director, Health and Human Services

•

5Director, Learning Assistance Services/Educational Opportunity Programs

•

5Director, Payroll Services

•

2, 3, 5, 7Director, Planning Design and Construction

•

2, 3, 5, 7Director, Procurement Services

•

5Director, Registration and Records

•

5Director, Risk Management and Safety

•

5Director, Southwest Riverside County Project

•

5Director, Student Financial Services

•

5Director, Student Health Services

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, San Marcos

HR 2010-04

ATTACH

MENT B

5Director, Student Life and Leadership

•

5Director, Systems Development and Software Engineering; Campus CMS

Project Director

•

5Director, Telecommunications and Network Operations

•

5Emergency Management Coordinator

•

5Executive Assistant to the President

•

3, 4, 7, 9Executive Director, CSUSM Foundation

•

5Executive Director, Enrollment Services

•

5Executive Director, Institute for Executive Development

•

5Human Resources Manager

•

5Lieutenant, University Police

•

5Manager of Operations, MBA Program

•

16Principal Investigators

•

5ProCard Holders

•

5Project Manager, Planning Design and Construction

•

1, 2, 3, 4, 7, 9Provost

•

5Risk Manager

•

5Senior Director of Development, Office of University Advancement

•

5Senior Director, Health Counseling and Disability Services

•

5Supervisor of Building Trades

•

1, 2, 3, 4, 5, 6, 7University Controller

•

1, 2, 3, 4, 7, 9Vice President, Finance and Administrative Services

•

1, 2, 3, 4, 5, 6, 7Vice President, Student Affairs

•

1, 2, 3, 5, 7Vice President, University Advancement

•

Designated Positions Disclosure Categories

Sonoma State University

HR 2010-04

ATTACH

MENT B

5Accounting Administrator

•

5Administrative Manager for Enrollment and Student Academic Services

•

5Administrative Manager for the Northwest Information Center

•

5Administrative Manager, School of Arts and Humanities

•

5Administrative Manager, School of Business and Economics

•

5Administrative Manager, School of Education

•

5Administrative Manager, School of Science and Technology

•

5Administrative Manager, School of Social Sciences

•

5ASC Associate Director

•

1, 2, 3, 4, 5, 7, 9Assistant Controller - Auxiliaries

•

1, 2, 3, 4, 5, 7, 9Assistant Controller - Grants and Contracts

•

5Assistant Director - Environmental Technology Center

•

5Assistant Project Director - CIHS

•

5Assistant to Athletic Director

•

5Assistant Vice President for Student Affairs

•

5Assistant Vice President for Student Affairs and Enrollment Management

•

5Associate Athletic Director/Compliance Coordinator

•

5Associate Director of Housing Services

•

5Associate Director of Student Development

•

5Associate Director, University Dining Services

•

1, 2, 3, 4, 5, 7, 9Associate Vice President for Administration and Finance/Controller

•

1, 2, 3, 4, 7Associate Vice President for Communications and Marketing

•

5Associate Vice President for Development

•

5Associate Vice President of Academic Resources

•

5Associate Vice President, Research and Sponsored Programs

•

5, 9Business Manager, Extended Education

•

5Business Services Manager - ASC

•

4, 5Buyer II

•

4Buyer III

•

5Chief Information Officer

•

5Coach

•

4, 5Construction and Operations Manager

•

17Consultants

•

5Credit Card Procurement Cardholders

•

5Dean, School of Arts and Humanities

•

5Dean, School of Business and Economics

•

5Dean, School of Education

•

5, 9Dean, School of Extended Education

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

Sonoma State University

HR 2010-04

ATTACH

MENT B

5Dean, School of Science and Technology

•

5Dean, School of Social Sciences

•

5Dean, University Library

•

5Deputy Chief for Police Services

•

1, 2, 3, 4, 5, 7, 9Deputy Controller - Accounts Receivable, Cashiering and Student Finance

•

1, 2, 3, 4, 5, 7, 9Deputy Controller - General Ledger Accounting

•

1, 2, 3, 4, 5, 7, 9Deputy Controller - Purchasing, Contracts and Accounts Payable

•

5Dining Services Manager II - Ameci's

•

5Dining Services Manager II - Schultz Café

•

5Dining Services Manager II - Zinfandel

•

5Director of Academic Services - Pre-College

•

5Director of Academic Talent Search Program

•

5Director of Administrative Information Systems

•

5Director of Admissions and Recruitment

•

5Director of Athletics

•

5Director of Business Services - CIHS

•

5Director of Campus Life and Leadership

•

5Director of Computer Operations/Technology Architect

•

5Director of Conferences, Events and Catering

•

1, 7Director of Energy Sustainability/Project Engineer

•

5Director of Environmental Health and Safety

•

5Director of Financial Aid

•

5Director of General Services

•

5Director of Housekeeping

•

5Director of Housing

•

1, 2, 3, 7, 9Director of Internal Operations, Analysis and Review

•

5Director of Landscaping

•

5Director of Learning Skills Services and Tutorial Center

•

5Director of Library Operations

•

5Director of Library Technology

•

5Director of Marketing and Quality Assurance

•

4Director of Operations/Engineering

•

5Director of Publications

•

5Director of Retail Services

•

5Director of the Office of Research and Sponsored Programs

•

5Director of Workstation Security and Services

•

5Director, Children's School

•

5Director, Counseling and Psychological Services

•

Page 3

Designated Positions

Disclosure Categories

List of Designated Positions

Sonoma State University

HR 2010-04

ATTACH

MENT B

5Director, Instructional Technology Services

•

5Director, Network Security and Communications Services

•

5Director, University Dining Services

•

5Director, Upward Bound Programs

•

5Executive Chef

•

5Executive Director of Lifelong Learning Institute

•

5Executive Director of the Center for Performing Arts and Green Music Center

•

5Executive Director of University Support and Preparation Services

•

5Fairfield Osborn Preserve Manager

•

5Gear Up Project Director

•

1, 2, 3, 4, 5, 7, 9Grants Manager

•

5Infrastructure Support Director - CIHS

•

4Lead Buyer

•

5Librarian

•

5Manager of New Media Development

•

1, 3, 5Managing Director of Advising, Career and EOP Services

•

5Managing Director of Employee Relations and Compliance Services

•

5Managing Director of Employee Services

•

4, 5Marketing Director

•

5Medical Director of the Student Health Center

•

5Operations Manager - CIHS

•

5Police Captain for Emergency Preparedness and Special Projects

•

1, 2, 3, 4, 7, 8, 9President

•

16Principal Investigators

•

5Program Director - CIHS

•

5Program Manager, Extended Education

•

5Program Manager, Physics and Astronomy, Special Projects

•

5Project Director - CIHS

•

5Project Director - PreCollege Programs

•

5Project Director - School of Education, Special Projects

•

1, 7Project Manager

•

5Project Manager - CIHS

•

1, 3, 4, 5, 7, 9Provost, Vice President for Academic Affairs, and Chief Academic Officer

•

5Publications Manager - CIHS

•

4, 5, 7Purchasing Coordinator

•

1, 2, 3, 4, 5, 7, 9Purchasing Manager

•

5Senior Accountant

•

5Senior Director for Entrepreneurial Services

•

Page 4

Designated Positions

Disclosure Categories

List of Designated Positions

Sonoma State University

HR 2010-04

ATTACH

MENT B

4Senior Director for Facilities Services

•

5Senior Director for Human Services

•

5Senior Director for Police and Parking Services/Chief of Police

•

5Senior Director for University Business Services

•

5Senior Director of Risk Management

•

5Senior Director of the California Institute on Human Services

•

1, 2, 3, 4, 5, 7, 9Senior Director, Capital Planning, Design and Construction

•

4, 5Senior Director, CMS

•

1, 2, 3, 4, 5, 7, 9Senior Director, University Budget

•

5SSALI Director

•

5Technology Manager - CIHS

•

5University Registrar

•

1, 2, 3, 4, 5, 7, 9University Treasurer

•

1, 2, 3, 4, 7, 9Vice President for Administration and Finance, and Chief Financial Officer

•

1, 2, 3, 4, 5, 7, 9Vice President for Development

•

1, 2, 3, 4, 5, 7, 9Vice President for Student Affairs and Enrollment Management

•

1, 2, 3, 4, 7Vice President for University Affairs

•

5Vice Provost, Academic Affairs

•

Designated Positions Disclosure Categories

California State University, Stanislaus

HR 2010-04

ATTACH

MENT B

5Accounting & Finance Manager

•

2, 5Assistant Director of Housing and Residential Life

•

1, 2, 3, 4, 5, 7Assistant Vice President for Facilities Services

•

5Assistant Vice President for University Advancement

•

4, 5, 7, 9Assistant Vice President, Financial Services

•

5Associate Dean, College of Arts, Letters and Sciences

•

3, 4, 5Associate Vice President for Information Technology

•

5Associate Vice President, Enrollment Management

•

5Associate Vice President, Faculty Affairs

•

5Associate Vice President, Student Affairs/Dean of Students

•

4, 7Buyer

•

5Chief of Staff to the President

•

4, 5CMS Project Director

•

5, 7Construction & Building Inspection Manager

•

17Consultants

•

5Coordinator, Disabled Student Services

•

5Custodial and Special Events Manager

•

5Dean of Admissions and Records

•

5Dean of Library Services

•

5Dean, College of Arts, Letters and Sciences

•

5Dean, College of Business Administration

•

5Dean, College of Education

•

5Dean, CSU Stanislaus - Stockton

•

1, 2, 3, 5, 7Director of Design and Construction

•

5, 7Director of Facilities Maintenance and Operations

•

5, 7Director of Facilities Planning and Finance

•

4, 5, 7Director of Network and Communication Services

•

5Director of Student Leadership and Development

•

5Director of the CSU Stanislaus - Stockton Center

•

5Director, Administrative Technology Support

•

5Director, Advancement

•

5Director, Advancement Services

•

5Director, Alumni Relations

•

5Director, Athletics

•

5Director, Career Services

•

5Director, Community Relations

•

5Director, Corporate and Foundation Relations

•

5Director, Counseling

•

Page 2

Designated Positions

Disclosure Categories

List of Designated Positions

California State University, Stanislaus

HR 2010-04

ATTACH

MENT B

5Director, Financial Aid & Scholarships

•

5Director, First Year Programs & Advising

•

5Director, Graduate School

•

5Director, Housing & Residential Life

•

5Director, Human Resources

•

5Director, Major Gifts, Planned Giving and Donor Relations

•

5Director, Mediated & Distance Learning

•

5Director, Office of Global Affairs

•

4, 7Director, Procurement Services

•

5Director, Public Safety

•

5Director, Research and Sponsored Programs

•

5Director, Student Health Center

•

5Director, University Communications

•

5Director, University Extended Education

•

1, 2, 3, 5, 7Energy Management Engineer

•

2, 3, 5Executive Assistant to the Vice President for Business & Finance

•

5Executive Assistant to the Vice President Student Affairs

•

5Landscape & Transportation Manager

•

5Lieutenant

•

1, 2, 3, 4, 7, 8, 9President

•

16Principal Investigators

•

5ProCard Approving Official

•

1, 2, 3, 5, 7Project Architect

•

1, 2, 3, 4, 5Provost/Vice President, Academic Affairs

•

5Senior Director, Retention Services and EOP

•

5Support Services Supervisor

•

1, 2, 3, 4, 5, 7, 9Vice President for Business and Finance

•

1, 2, 3, 4, 5Vice President for Student Affairs

•

1, 2, 3, 4, 5Vice President for University Advancement

•

5Vice Provost and Associate Vice President for Assessment and Quality

Assurance

•

Form 700

Statement of Economic Interests

Also available on the FPPC website:

Form 700 Reference Pamphlet

a public document

Fair Political Practices Commission

428 J Street, Suite 620 • Sacramento, CA 95814

Toll-Free Advice Line: 866-ASK-FPPC • (866) 275-3772

Telephone: (916) 322-5660

www.fppc.ca.gov

2009/2010

What’s New

• Effective January 1, 2010, an individual hired for a

position not yet covered under an agency’s conict-

of-interest code must le Form 700 if the individual

serves in a position that makes or participates in

making governmental decisions. These individuals

must le under the broadest disclosure category until

the code is amended to include the new position

unless the agency has provided in writing a limited

disclosure requirement. Such individuals are referred

to as “code lers.” See Regulation 18734.

• New restrictions on receiving tickets to nonprot and

political fundraisers and other events.

More information is contained in the Reference Pamphlet.

Who must le:

• Elected and appointed ofcials and candidates listed in

Government Code Section 87200.

• Employees and appointed ofcials ling pursuant to a

conict-of-interest code (“code lers”). Obtain your

disclosure categories, which describe the interests

you must report, from your agency; they are not part

of the Form 700.

• Candidates running for local elective ofces that are

designated in a conict-of-interest code (for example,

county sheriffs, city clerks, school board trustees, and

water board members).

• Members of newly created boards and commissions

not yet covered under a conict-of-interest code.

(See Form 700 Reference Pamphlet, page 2, at

www.fppc.ca.gov or obtain from your ling ofcer.)

Where to le:

87200 Filers

State ofces  Your agency

Judicial ofces  The clerk of your court

Retired Judges  Directly with FPPC

Legislative Staff  Directly with FPPC

County ofces  Your county ling ofcial

City ofces  Your city clerk

Multi-County ofces  Your agency

Code Filers — State and Local Ofcials and

Employees Designated in a Conict-of-Interest Code:

File with your agency, board, or commission unless

otherwise specied in your agency’s conict-of-interest

code. In most cases, the agency, board, or commission

will retain the statements.

Members of Boards and Commissions of Newly

Created Agencies:

File with your newly created agency or with your agency’s

code reviewing body.

Candidates: File with your local elections ofce.

How to le:

The Form 700 is available at www.fppc.ca.gov. Effective

January 1, 2010, Form 700 schedules are also available

in Excel format. All statements must have an original

“wet” signature. Instructions, examples, and a reference

pamphlet are available.

When to le:

Annual Statements

March 1, 2010

- Elected State Ofcers

- Judges and Court Commissioners

- State Board and Commission Members listed in

Government Code Section 87200

April 1, 2010

- Most other lers

Individuals ling under conict-of-interest codes in city and

county jurisdictions should verify the annual ling date

with their local ling ofcer.

Statements postmarked by the ling deadline are

considered led on time.

Assuming, Leaving, and Initial Statements

Most lers le within 30 days of assuming or leaving ofce

or within 30 days of the effective date of a newly adopted

or amended conict-of-interest code.

Candidate Statements

File no later than the nal ling date for the declaration of

candidacy or nomination documents.

Amendments

Statements may be amended at any time. You are only

required to amend the schedule that needs to be revised.

It is not necessary to amend the entire led form. Obtain

amendment schedules at www.fppc.ca.gov.

Statements that are mailed are considered led on

the postmark date. There is no provision for ling

deadline extensions. Statements of 30 pages or less

may be faxed by the deadline as long as the originally

signed paper version is sent by rst class mail to the ling

ofcial within 24 hours.

The Political Reform Act (Gov. Code Sections 81000-

91014) requires most state and local government ofcials

and employees to publicly disclose their personal assets

and income. They also must disqualify themselves

from participating in decisions which may affect their

personal economic interests. The Fair Political Practices

Commission (FPPC) is the state agency responsible for

issuing the attached Statement of Economic Interests,

Form 700, and for interpreting the law’s provisions.

Gift Prohibition

Gifts received by most state and local ofcials, employees,

and candidates are subject to a limit. For 2009-2010, the

gift limit is $420 from a single source during a calendar

year.

In addition, state ofcials, state candidates, and certain

state employees are subject to a $10 limit per calendar

month on gifts from lobbyists and lobbying rms registered

with the Secretary of State. (See Reference Pamphlet,

page 9.)

State and local ofcials and employees should also check

with their agency to determine if any other restrictions

apply.

Honorarium Ban

Most state and local ofcials, employees, and candidates

are prohibited from accepting an honorarium for any speech

given, article published, or attendance at a conference,

convention, meeting, or like gathering. (See Reference

Pamphlet, page 9.)

Loan Restrictions

Certain state and local ofcials are subject to restrictions on

loans. (See Reference Pamphlet, page 13.)

Disqualication

Public ofcials are, under certain circumstances, required

to disqualify themselves from making, participating in, or

attempting to inuence governmental decisions that will

affect their economic interests. This may include interests

they are not required to disclose (for example, a personal

residence is often not reportable, but may be disqualifying).

Specic disqualication requirements apply to 87200 lers

(for example, city councilmembers, members of boards of

supervisors and planning commissioners). These ofcials

must orally identify the economic interest that creates a

conict of interest and leave the room before a discussion or

vote takes place at a public meeting. For more information,

consult Government Code Section 87105 and Regulation

18702.5 at, www.fppc.ca.gov.

Post-Governmental Employment

There are restrictions on representing clients or

employers before former agencies. The provisions apply

to elected state ofcials, most state employees, local

elected ofcials, county chief administrative ofcers, city

managers, including the chief administrator of a city, and

general managers or chief administrators of local special

districts. The FPPC website has fact sheets explaining the

provisions.

Late Filing

The ling ofcer who retains originally signed statements of

economic interests may impose on an individual a ne for

any statement that is led late. The ne is $10 per day up to

a maximum of $100. Late ling penalties can be reduced or

waived under certain circumstances.

Persons who fail to timely le their Form 700 may be

referred to the FPPC’s Enforcement Division (and, in some

cases, to the Attorney General or district attorney) for

investigation and possible prosecution. In addition to the

late ling penalties, a ne of up to $5,000 per violation may

be imposed.

For assistance concerning reporting, prohibitions, and

restrictions under the Act:

• Call the FPPC toll-free at (866) ASK-FPPC

• See the booklet entitled “Your Duty to File: A Basic

Overview of State Economic Disclosure Law and

Reporting Requirements for Public Ofcials”

Form 700 Public Access

Statements of Economic Interests are public

documents. The ling ofcer must permit any

member of the public to inspect and copy any

statement.

• Statements must be available as soon as

possible during the agency's regular business

hours, but in any event not later than the second

business day after the statement is received.

• No conditions may be placed on persons

seeking access to the forms.

• No information or identication may be required

from persons seeking access.

Reproduction fees of no more than 10 cents per

page may be charged.

INTRODUCTION

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 1

Enter your name, mailing address, and daytime telephone

number in the spaces provided. Since the Form 700 is

a public document, you may list your business/ofce

address instead of your home address.

Part 1. Ofce, Agency, or Court

• Enter the name of the ofce sought or held, or the

agency or court. Consultants must enter the public

agency name rather than their private rm name.

(Examples: State Assembly; Board of Supervisors;

Ofce of the Mayor; Department of Finance; Hope

County Superior Court.)

• Indicate the name of your division, board, or

district, if applicable. (Examples: Division of Waste

Management; Board of Accountancy; District 45.)

• Enter your position title. (Examples: Director; Chief

Counsel; City Council Member; Staff Services Analyst.)

• If you hold multiple positions (for example, a city council

member who also is a member of a county board or

commission), you may be required to le statements

with each agency. To simplify your ling obligations,

you may complete an expanded statement.

To do this, enter the name of the other agency(ies) with

which you are required to le and your position title(s)

in the space provided. Attach an additional sheet if

necessary. Complete one statement covering the

disclosure requirements for all positions. Each copy

must contain an original signature. Therefore, before

signing a statement, make a copy for each agency.

Sign each copy with an original signature and le with

each agency.

Remember that if you assume or leave a position

after a ling deadline, you must complete a separate

statement. For example, a city council member who

assumes a position with a county special district after

the April 1 annual ling deadline must le a separate

assuming ofce statement. In subsequent years, the

city council member may expand his or her annual ling

to include both positions.

Part 2. Jurisdiction of Ofce

• Check the box indicating the jurisdiction of your agency

and, if applicable, identify the jurisdiction. Judges, judicial

candidates, and court commissioners have statewide

jurisdiction. All other lers should review the Reference

Pamphlet, page 12, to determine their jurisdiction.

• If your agency is a multi-county ofce, list each county

in which your agency has jurisdiction.

• If your agency is not a state ofce, court, county

ofce, city ofce, or

multi-county ofce (for

example, school districts

and special districts),

check the “other” box and

enter the county or city

in which the agency has

jurisdiction.

Example:

This ler is a member of

a water district board with

jurisdiction in portions of

Yuba and Sutter Counties.

Part 3. Type of Statement

Check at least one box. The period covered by a

statement is determined by the type of statement you are

ling. If you are completing a 2009 Annual Statement, do

not change the pre-printed dates to reect 2010. Your

annual statement is used for reporting the previous year’s

economic interests. Economic interests for your annual

ling covering January 1, 2009, through December 31,

2009, will be disclosed on your statement led in 2010.

(See Reference Pamphlet, page 3.)

Combining Statements: Certain types of statements

may be combined. For example, if you leave ofce after

January 1 but before the deadline for ling your annual

statement, you may combine your annual and leaving

ofce statements. File by the earliest deadline. Consult

your ling ofcer or the FPPC.

Part 4. Schedule Summary

• Enter the total number of completed pages including

the cover page and either:

Check the “Yes” box for each schedule you use to

disclose interests.

- or -

If you have nothing to disclose on any schedule, check

the “No reportable interests” box. Please do not attach

any blank schedules.

Part 5. Verication

Complete the verication by signing the statement and

entering the date signed. When you sign your statement,

you are stating, under penalty of perjury, that it is true and

correct. Only the ler has authority to sign the statement.

An unsigned statement is not considered led and you

may be subject to late ling penalties.

INSTRUCTIONS — COVER PAGE

Election Year:

► Check applicable schedules or “No reportable

interests.”

I have disclosed interests on one or more of the

attached schedules:

Schedule A-1

Yes – schedule attached

Investments (Less than 10% Ownership)

Schedule A-2

Yes – schedule attached

Investments (10% or Greater Ownership)

Schedule B

Yes – schedule attached

Real Property

Schedule C

Yes – schedule attached

Income, Loans, & Business Positions (Income Other than Gifts

and Travel Payments)

Schedule D

Yes – schedule attached

Income – Gifts

Schedule E

Yes – schedule attached

Income – Gifts – Travel Payments

Leaving Ofce Date Left: / /

(Check one)

The period covered is January 1, 2009, through the

date of leaving ofce.

The period covered is / / , through

the date of leaving ofce.

Annual: The period covered is January 1, 2009,

through December 31, 2009.

The period covered is / / , through

December 31, 2009.

-or-

STATEMENT OF ECONOMIC INTERESTS

COVER PAGE

NAME (LAST) (FIRST) (MIDDLE)

MAILING ADDRESS STREET CITY STATE ZIP CODE

( )

DAYTIME TELEPHONE NUMBER

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

4. Schedule Summary

5.Verication

I have used all reasonable diligence in preparing this

statement. I have reviewed this statement and to the best

of my knowledge the information contained herein and in any

attached schedules is true and complete.

I certify under penalty of perjury under the laws of the State

of California that the foregoing is true and correct.

Date Signed

(month, day, year)

Signature

3. Type of Statement (Check at least one box)

State

County of

City of

Multi-County

Other

2. Jurisdiction ofOfce(Check at least one box)

Candidate

No reportable interests on any schedule

A Public Document

Assuming Ofce/Initial Date: / /

OPTIONAL: E-MAIL ADDRESS

(Business Address Acceptable)

Date Received

Ofcial Use Only

(File the originally signed statement with your ling ofcial.)

Please type or print in ink.

-or-

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

Name of Ofce, Agency, or Court:

Division, Board, District, if applicable:

Your Position:

► If ling for multiple positions, list additional agency(ies)/

position(s): (Attach a separate sheet if necessary.)

Agency:

Position:

1.Ofce,Agency, orCourt

► Total number of pages

including this cover page:

Clear Cover Page

Print Form

specify pages to print

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 2

Schedule A-1: Stocks

Schedule A-2: Business entities, partnerships, LLCs, corporations, trusts

Schedule B: Rental property in the jurisdiction

Schedule C: Non-government salaries of public ofcial and spouse/registered domestic partner

Schedule D: Gifts from non-family members (such as tickets to sporting or entertainment events)

Schedule E: Travel payments from third parties (not your employer)

Schedule A-1/A-2: Diversied mutual funds registered with the SEC under the Investment Company Act of

1940 and certain retirement accounts invested in insurance policies or governmental bonds

Schedule A-1/A/2: Savings and checking accounts

Schedule B: A residence used exclusively as a personal residence (such as a home or vacation cabin)

Schedule C: Government salary (such as a school district)

Schedule D: Gifts from family members

Schedule E: Travel paid by your government agency

Remember:

•

Mark the “No reportable interests” box on Part 4 of the Schedule Summary on the Cover

Page if you determine you have nothing to disclose and le the cover page only. Make

sure you carefully read all instructions to ensure proper reporting.

•

The Form 700 is a public document.

•

Most individuals must consult their agency’s conict-of-interest code for reportable interests.

•

Most individuals le the Form 700 with their agency.

COMMON REPORTABLE INTERESTS

WHICH SCHEDULE DO I USE?

COMMON NON-REPORTABLE INTERESTS

Instructions - 2

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 3

Q. What is the reporting period for disclosing interests

on an assuming ofce statement or a candidate

statement?

A. On an assuming ofce statement, disclose all

reportable investments, interests in real property, and

business positions held on the date you assumed

ofce. In addition, you must disclose income (including

loans, gifts and travel payments) received during the

12 months prior to the date you assumed ofce.

On a candidate statement, disclose all reportable

investments, interests in real property, and business

positions held on the date you le your declaration

of candidacy. In addition, you must disclose income

(including loans, gifts and travel payments) received

during the 12 months prior to the date you le your

declaration of candidacy.

Q. I hold two other board positions in addition to my

position with the county. Must I le three statements of

economic interests?

A. Yes, three are required. However, you may complete

one statement listing the county and the two boards

on the cover page as the agencies for which you will

be ling. Report your economic interests using the

broadest jurisdiction and disclosure requirements

assigned to you by the three agencies. Make two

copies of the entire statement before signing it, sign

each copy with an original signature, and distribute

one original to the county and to each of the two

boards. Remember to complete separate statements

for positions that you leave or assume during the

year.

Q. I am classied as a department head but recently

began acting as city manager. Should I le as the city

manager?

A. Yes. File an assuming ofce statement as city

manager. Persons serving as “acting”, “interim”, or

“alternate” must le as if they hold the position.

Q. I left one state agency to work for another state

agency. Must I le a leaving ofce statement?

A. Yes. You may also need to le an assuming ofce

statement for the new agency.

Investment Disclosure

Q. I have an investment interest in shares of stock

in a company that does not have an ofce in my

jurisdiction. Must I still disclose my investment interest

in this company?

A. Probably. The denition of “doing business in the

jurisdiction” is not limited to whether the business

has an ofce in your jurisdiction. (See Reference

Pamphlet, page 12.)

Q. My spouse and I have a living trust. The trust

holds rental property in my jurisdiction, our primary

residence, and investments in diversied mutual funds.

I have full disclosure. How is this trust disclosed?

A. Disclose the name of the trust, the rental property and

its income on Schedule A-2. Your primary residence

and investments in diversied mutual funds registered

with the SEC are not reportable.

Q. I am required to report all investments. I hold many

stocks through an account managed by a brokerage

rm. Must I disclose these stocks even though I did

not decide which stocks to purchase?

A. Yes, you must disclose on Schedule A-1 or A-2 any

stock worth $2,000 or more in a business entity located

in or doing business in your jurisdiction.

Q. I own stock in IBM and must report this investment on

Schedule A-1. I initially purchased this stock in the

early 90’s; however, I am constantly buying and selling

shares. Must I note these dates in the “Acquired” and

“Disposed” elds?

A. No. You must only report dates in the “Acquired”

or “Disposed” elds when, if during the reporting

period, you initially purchase a reportable investment

worth $2,000 or more or when you dispose of the

entire investment. You are not required to track the

partial trading of an investment. Note: If a previously

reported investment falls below the $2,000 reporting

threshold, you may note this in the comment section of

the schedule.

QUESTIONS AND ANSWERS

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 4

Income Disclosure

Q. I reported a business entity on Schedule A-2. Clients

of my business are located in several states. Must

I report all clients from whom my pro rata share of

income is $10,000 or more on Schedule A-2, Part 3?

A. No, only the clients doing business on a regular basis

in your jurisdiction must be disclosed.

Q. I believe I am not required to disclose the names of

clients from whom my pro rata share of income is

$10,000 or more on Schedule A-2 because of their

right to privacy. Is there an exception for reporting

clients’ names?

A. Regulation 18740 provides a procedure in which a

client’s name may not be disclosed if disclosure of

the name would violate a legally recognized privilege

under California law. This regulation may be obtained

from our website at www.fppc.ca.gov.

Q. I am the sole owner of my business. Where do I

disclose my income - on Schedule A-2 or Schedule C?

A. Sources of income to a business in which you have an

ownership interest of 10% or greater are disclosed on

Schedule A-2. (See Reference Pamphlet, page 7, for

the denition of “business entity.”)

Q. How do I disclose my spouse’s or registered domestic

partner’s salary?

A. Report the name of the employer as a source of

income on Schedule C.

Q. I am a doctor. For purposes of reporting $10,000

sources of income on Schedule A-2, Part 3, are the

patients or their insurance carriers considered sources

of income?

A. If your patients exercise sufcient control by selecting

you instead of other doctors, then your patients, rather

than their insurance carriers, are sources of income to

you.

Gift Disclosure

Q. If I received a gift of two tickets to a concert valued at

$100 each, but gave the tickets to a friend because I

could not attend the concert, do I have any reporting

obligations?

A. Yes. Since you accepted the gift and exercised

discretion and control of the use of the tickets, you

must disclose the gift on Schedule D.

Q. Co-workers are hosting a retirement party for a public

ofcial before the ofcial leaves ofce. Attendees

will pay $45; $35 covers the event’s costs (food,

decorations, etc.) and $10 goes toward a gift. One

co-worker is collecting the funds and making the

expenditures. What does the ofcial report on his

Form 700?

A. The ofcial discloses the amount that includes the total

value of the gift, plus $35 (his pro rata share of the

event’s cost). The source can be identied as “ofce

staff” or “co-workers.” The names of individual donors

are not required to be reported as long as no individual

contributed $50 or more.

Q. Mary and Joe Benson, a married couple, want to give

a piece of artwork to a close friend who is a county

supervisor. Is each spouse considered a separate

source for purposes of the gift limit and disclosure?

A. Yes, each spouse may make a gift valued at $420

during 2009-2010. Therefore, the Bensons may give

the supervisor artwork valued at no more than $840.

The supervisor must identify Joe and Mary Benson as

the sources of the gift.

Q. I am a Form 700 ler with full disclosure. Our agency

holds a holiday rafe to raise funds for a local charity. I

bought $10 worth of rafe tickets and won a gift basket

valued at $120. The gift basket was donated by

Doug Brewer, a citizen in our city. At the same event,

I bought rafe tickets for, and won a quilt valued at

$70. The quilt was donated by a coworker. Are these

reportable gifts?

A. Because the gift basket was donated by an outside

source (not an agency employee), you have received a

reportable gift valued at $110 (the value of the basket

less the consideration paid). The source of the gift

is Doug Brewer and the agency is disclosed as the

intermediary. Because the quilt was donated by an

employee of your agency, it is not a reportable gift.

QUESTIONS AND ANSWERS

Continued

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 5

“Investment” means a nancial interest in any business

entity which is located in, doing business in, planning to do

business in, or which has done business during the previous

two years in your agency’s jurisdiction in which you, your

spouse or registered domestic partner, or your dependent

children had a direct, indirect, or benecial interest totaling

$2,000 or more at any time during the reporting period.

(See Reference Pamphlet, page 12.)

Reportable investments include:

• Stocks, bonds, warrants, and options, including those

held in margin or brokerage accounts and managed

investment funds (See Reference Pamphlet, page 12.)

• Sole proprietorships

• Your own business or your spouse’s or registered

domestic partner’s business (See Reference Pamphlet,

page 7, for the denition of “business entity.”)

• Your spouse’s or registered domestic partner’s

investments that are legally separate property

• Partnerships (for example, a law rm or family farm)

• Investments in reportable business entities held in a

retirement account (See Reference Pamphlet, page 14.)

• If you, your spouse or registered domestic partner, or

dependent children had a 10% or greater ownership

interest in a business entity or trust (including a living

trust), you must disclose investments held by the

business entity or trust. (See Reference Pamphlet,

page 14, for more information on disclosing trusts.)

• Business trusts

You are not required to disclose:

• Diversied mutual funds registered with the Securities

and Exchange Commission (SEC) under the

Investment Company Act of 1940

• Bank accounts, savings accounts, and money market

accounts

• Insurance policies

• Annuities

• Shares in a credit union

• Government bonds (including municipal bonds)

• Retirement accounts invested in non-reportable interests

(for example, insurance policies, diversied mutual

funds, or government bonds) (See Reference Pamphlet,

page 14.)

● Government dened-benet pension plans

• Interests held in a blind trust (See Reference Pamphlet,

page 15.)

Use Schedule A-1 to report ownership of less than 10% (for

example, stock). Schedule C (Income) may also be required

if the investment is not a stock or corporate bond. (See

second example below.)

Use Schedule A-2 to report ownership of 10% or greater

(for example, a sole proprietorship).

TO COMPLETE SCHEDULE A-1:

Do not attach brokerage or nancial statements.

• Disclose the name of the business entity.

• Provide a general description of the business activity

of the entity (for example, pharmaceuticals, computers,

automobile manufacturing, or communications).

• Check the box indicating the highest fair market value

of your investment during the reporting period. If you

are ling a candidate or an assuming ofce statement,

indicate the fair market value on the ling date or the

date you took ofce, respectively.

• Identify the nature of your investment (for example,

stocks, warrants, options, or bonds).

• An acquired or disposed of date is only required if you

initially acquired or entirely disposed of the investment

interest during the reporting period. The date of a stock

dividend reinvestment or partial disposal is not required.

Generally, these dates will not apply if you are ling a

candidate or an assuming ofce statement.

Examples:

John Smith holds a state agency position. His conict-of-

interest code requires full disclosure of investments. John

must disclose his stock holdings of $2,000 or more in any

company that does business in California, as well as those

stocks held by his spouse or registered domestic partner

and dependent children.

Susan Jones is a city council member. She has a 4%

interest, worth $5,000, in a limited partnership located in

the city. Susan must disclose the partnership on Schedule

A-1 and income of $500 or more received from the

partnership on Schedule C.

INSTRUCTIONS ─ SCHEDULES A-1 AND A-2

INVESTMENTS

REMINDERS

• Do you know your agency’s jurisdiction?

• Did you hold investments at any time during the

period covered by this statement?

• Code lers – your disclosure categories may only

require disclosure of specic investments.

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

09 09

0909

Name

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

► NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

Comments:

SCHEDULE A-1

Investments

Stocks, Bonds, and Other Interests

(Ownership Interest is Less Than 10%)

Do not attach brokerage or nancial statements.

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

FPPC Form 700 (2009/2010) Sch. A-1

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

FAIR MARKET VALUE

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Over $1,000,000

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

NATURE OF INVESTMENT

Stock Other

(Describe)

Partnership

Income of $0 - $500

Income Received of $500 or More (Report on Schedule C)

Clear Sch. A-1

Print Form

specify pages to print

FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 6

Use Schedule A-2 to report investments in a business entity

or trust (including a living trust) in which you, your spouse or

registered domestic partner, or your dependent children had

a 10% or greater interest, totaling $2,000 or more, during

the reporting period and which is located in, doing business

in, planning to do business in, or which has done business

during the previous two years in your agency’s jurisdiction.

(See Reference Pamphlet, page 12.) A trust located outside

your agency’s jurisdiction is reportable if it holds assets that

are located in or doing business in the jurisdiction. You are

not required to report a trust that contains no reportable

interests. For example, if you have a trust containing only

your personal residence, your savings account, and some

municipal bonds, you would not report this trust because

these interests are not reportable.

Also report on Schedule A-2 investments and real property

held by that entity or trust if your pro rata share of the

investment or real property interest was $2,000 or more

during the reporting period.

TO COMPLETE SCHEDULE A-2:

Part 1. Disclose the name and address of the business

entity or trust. If you are reporting an interest in a business

entity, check “Business Entity” and complete the box as

follows:

• Provide a general description of the business activity of

the entity.

• Check the box indicating the fair market value of your

investment.

• If you initially acquired or entirely disposed of this

interest during the reporting period, enter the date

acquired or disposed.

• Identify the nature of your investment.

• Disclose the job title or business position you held with

the entity, if any (for example, if you were a director,

ofcer, partner, trustee, employee, or held any position

of management).

Part 2. Check the box indicating your pro rata share of

the gross income received by the business entity or trust.

This amount includes your pro rata share of the gross

income from the business entity or trust, as well as your

community property interest in your spouse’s or registered

domestic partner’s share. Gross income is the total amount

of income before deducting expenses, losses, or taxes.

Part 3. Disclose the name of each source of income which

is located in, doing business in, planning to do business in,

or which has done business during the previous two years

in your agency’s jurisdiction, as follows:

• Disclose each source of income and outstanding loan

to the business entity or trust identied in Part 1 if

your pro rata share of the gross income (including

your community property interest in your spouse’s or

registered domestic partner’s share) to the business

entity or trust from that source was $10,000 or more

during the reporting period. (See Reference Pamphlet,

page 10, for examples.) Income from governmental

sources may be reportable if not considered salary.

(See Regulation 18232.) Loans from commercial

lending institutions made in the lender’s regular course

of business on terms available to members of the public

without regard to your ofcial status are not reportable.

• Disclose each individual or entity that was a source

of commission income of $10,000 or more during the

reporting period through the business entity identied

in Part 1. (See Reference Pamphlet, page 7, for an

explanation of commission income.)

You may be required to disclose sources of income

located outside your jurisdiction. For example, you

may have a client who resides outside your jurisdiction

who does business on a regular basis with you. Such

a client, if a reportable source of $10,000 or more, must

be disclosed.

Leave Part 3 blank if you do not have any reportable

$10,000 sources of income to disclose. Adding phrases

such as “various clients” or “not disclosing sources

pursuant to attorney-client privilege” may trigger a

request for an amendment to your statement. (See

Reference Pamphlet, page 13, for details about privileged

information.)

Part 4. Report any investments or interests in real

property held by the entity or trust identied in Part 1 if

your pro rata share of the interest held was $2,000 or more

during the reporting period.

• Check the applicable box identifying the interest held as

real property or an investment.

• If investment, provide the name and description of the

business entity.

• If real property, report the address or other precise

location (for example, an assessor’s parcel number).

• Check the box indicating the fair market value of your

interest in the real property or investment. (Report

the fair market value of the portion of your residence

claimed as a tax deduction if you are utilizing your

residence for business purposes.)

• Identify the nature of your interest.

• Enter the date acquired or disposed only if you initially

acquired or entirely disposed of your interest in the

property or investment during the reporting period.

INSTRUCTIONS ─ SCHEDULE A-2

INVESTMENTS, INCOME, AND ASSETS OF BUSINESS ENTITIES/TRUSTS

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

0909

09 09

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

09 09

SCHEDULE A-2

Investments,Income,andAssets

of Business Entities/Trusts

(Ownership Interest is 10% or Greater)

Comments:

Name

Address (Business Address Acceptable)

Name

Address (Business Address Acceptable)

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INVESTMENT REAL PROPERTY

Name of Business Entity or

Street Address or Assessor’s Parcel Number of Real Property

Description of Business Activity or

City or Other Precise Location of Real Property

► 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD BY THE

BUSINESS ENTITY OR TRUST

Check one

Trust, go to 2 Business Entity, complete the box, then go to 2

Check one

Trust, go to 2 Business Entity, complete the box, then go to 2

► 3. LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF

INCOMEOF $10,000OR MORE(attach a separate sheet if necessary)

► 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA

SHARE OF THE GROSS INCOME TO THE ENTITY/TRUST)

Name

700

Check one box:

YOUR BUSINESS POSITION

FPPC Form 700 (2009/2010) Sch. A-2

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

$0 - $499

$500 - $1,000

$1,001 - $10,000

$10,001 - $100,000

OVER $100,000

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INVESTMENT REAL PROPERTY

Name of Business Entity or

Street Address or Assessor’s Parcel Number of Real Property

Description of Business Activity or

City or Other Precise Location of Real Property

► 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD BY THE

BUSINESS ENTITY OR TRUST

► 3. LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF

INCOMEOF $10,000OR MORE(attach a separate sheet if necessary)

► 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA

SHARE OF THE GROSS INCOME TO THE ENTITY/TRUST)

Check one box:

YOUR BUSINESS POSITION

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

$0 - $499

$500 - $1,000

$1,001 - $10,000

$10,001 - $100,000

OVER $100,000

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

► 1. BUSINESS ENTITY OR TRUST

►

1. BUSINESS ENTITY OR TRUST

NATURE OF INVESTMENT

Sole Proprietorship Partnership

Other

NATURE OF INVESTMENT

Sole Proprietorship Partnership

Other

NATURE OF INTEREST

Property Ownership/Deed of Trust Stock Partnership

Leasehold Other

Check box if additional schedules reporting investments or real property

are attached

Yrs. remaining

NATURE OF INTEREST

Property Ownership/Deed of Trust Stock Partnership

Leasehold Other

Check box if additional schedules reporting investments or real property

are attached

Yrs. remaining

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FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 7

Report interests in real property located in your agency’s

jurisdiction in which you, your spouse or registered

domestic partner, or your dependent children had a direct,

indirect, or benecial interest totaling $2,000 or more

any time during the reporting period. (See Reference

Pamphlet, page 12.)

Interests in real property include:

• An ownership interest (including a benecial ownership

interest)

• A deed of trust, easement, or option to acquire property

• A leasehold interest (See Reference Pamphlet, page 13.)

• A mining lease

• An interest in real property held in a retirement account

(See Reference Pamphlet, page 14.)

• An interest in real property held by a business entity or

trust in which you, your spouse or registered domestic

partner, or your dependent children had a 10% or

greater ownership interest (Report on Schedule A-2.)

• Your spouse’s or registered domestic partner’s interests

in real property that are legally held separately by him

or her

You are not required to report:

• A residence, such as a home or vacation cabin, used

exclusively as a personal residence (However, a

residence for which you claim a business deduction

may be reportable. If reportable, report the fair market

value of the portion claimed as a tax deduction.)

• Interests in real property held through a blind trust (See

Reference Pamphlet, page 15, for exceptions.)

TO COMPLETE SCHEDULE B:

• Report the address or other precise location (for

example, an assessor’s parcel number) of the real

property.

• Check the box indicating the fair market value of your

interest in the property (regardless of what you owe on

the property).

• Enter the date acquired or disposed only if you initially

acquired or entirely disposed of your interest in the

property during the reporting period.

• Identify the nature of your interest. If it is a leasehold,

disclose the number of years remaining on the lease.

• If you received rental income, check the box indicating

the gross amount you received.

• If you had a 10% or greater interest in real property and

received rental income, list the name of the source(s) if

your pro rata share of the gross income from any single

tenant was $10,000 or more during the reporting period.

If you received a total of $10,000 or more from two or

more tenants acting in concert (in most cases, this will

apply to married couples), disclose the name of each

tenant. Otherwise, leave this section blank.

• Loans from a private lender that total $500 or more

and are secured by real property may be reportable.

Loans from commercial lending institutions made

in the lender’s regular course of business on terms

available to members of the public without regard

to your ofcial status are not reportable.

When reporting a loan:

-- Provide the name and address of the lender.

-- Describe the lender’s business activity.

-- Disclose the interest rate and term of the loan. For

variable interest rate loans, disclose the conditions

of the loan (for example, Prime + 2) or the average

interest rate paid during the reporting period. The

term of a loan is the total number of months or years

given for repayment of the loan at the time the loan

was established.

-- Check the box indicating the highest balance of the

loan during the reporting period.

-- Identify a guarantor, if applicable.

If you have more than one

reportable loan on a single

piece of real property,

report the additional

loan(s) on Schedule C.

Example:

Joe Nelson is a city

planning commissioner.

Joe received rental

income of $12,000 during

the reporting period from

a single tenant who rented

property Joe owned in the

city’s jurisdiction. If Joe

had received the $12,000

from two or more tenants,

the tenants’ names would

not be required as long

as no single tenant paid

$10,000 or more.

REMINDERS

• Income and loans already reported on Schedule B

are not also required to be reported on Schedule C.

• Code lers – do your disclosure categories require

disclosure of real property?

INSTRUCTIONS ─ SCHEDULE B

INTERESTS IN REAL PROPERTY

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

NAME OF LENDER*

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF LENDER

IF APPLICABLE, LIST DATE:

/ / / /

ACQUIRED DISPOSED

09 09

SCHEDULE B

Interests in Real Property

(Including Rental Income)

Name

► STREET ADDRESS OR PRECISE LOCATION

CITY

INTEREST RATE TERM (Months/Years)

% None

SOURCES OF RENTAL INCOME: If you own a 10% or greater

interest, list the name of each tenant that is a single source of

income of $10,000 or more.

NATURE OF INTEREST

Ownership/Deed of Trust Easement

Leasehold

Yrs. remaining

Other

Comments:

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

IF RENTAL PROPERTY, GROSS INCOME RECEIVED

OVER $100,000

$500 - $1,000 $0 - $499 $1,001 - $10,000

$10,001 - $100,000

HIGHEST BALANCE DURING REPORTING PERIOD

Guarantor, if applicable

OVER $100,000

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000

FPPC Form 700 (2009/2010) Sch. B

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

NAME OF LENDER*

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF LENDER

► STREET ADDRESS OR PRECISE LOCATION

CITY

INTEREST RATE TERM (Months/Years)

% None

SOURCES OF RENTAL INCOME: If you own a 10% or greater

interest, list the name of each tenant that is a single source of

income of $10,000 or more.

NATURE OF INTEREST

Ownership/Deed of Trust Easement

Leasehold

Yrs. remaining

Other

Guarantor, if applicable

FAIR MARKET VALUE

$2,000 - $10,000

$10,001 - $100,000

$100,001 - $1,000,000

Over $1,000,000

IF RENTAL PROPERTY, GROSS INCOME RECEIVED

OVER $100,000

$500 - $1,000 $0 - $499 $1,001 - $10,000

$10,001 - $100,000

HIGHEST BALANCE DURING REPORTING PERIOD

OVER $100,000

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000

* You are not required to report loans from commercial lending institutions made in the lender’s regular course

of business on terms available to members of the public without regard to your ofcial status. Personal loans

and loans received not in a lender’s regular course of business must be disclosed as follows:

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FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 8

Report the source and amount of gross income of $500

or more you received during the reporting period. Gross

income is the total amount of income before deducting

expenses, losses, or taxes and includes loans other than

loans from a commercial lending institution. (See Reference

Pamphlet, page 10.) Also report your job title with each

reportable business entity, even if you received no income

during the reporting period. You must also report the source

of income to your spouse or registered domestic partner if

your community property share was $500 or more during the

reporting period.

A source of income must be reported only if the source is

located in, doing business in, planning to do business in,

or has done business during the previous two years in your

agency’s jurisdiction. (See Reference Pamphlet, page 12, for

more information about doing business in the jurisdiction.)

Reportable sources of income may be further limited by

your disclosure category located in your agency’s conict-of-

interest code.

Commonly reportable income and loans include:

• Salary/wages, per diem, and reimbursement for expenses

including travel payments provided by your employer

• Community property interest (50%) in your spouse’s

or registered domestic partner’s income - report the

employer’s name and all other required information

• Income from investment interests, such as partnerships,

reported on Schedule A-1

• Commission income not required to be reported on

Schedule A-2 (See Reference Pamphlet, page 7.)

• Gross income from any sale, including the sale of a house

or car (Report your pro rata share of the total sale price.)

• Rental income not required to be reported on Schedule B

• Prizes or awards not disclosed as gifts

• Payments received on loans you made to others, including

loan repayments from a campaign committee

• An honorarium received prior to becoming a public ofcial

(See Reference Pamphlet, page 9, concerning your ability to

receive future honoraria.)

• Incentive compensation (See Reference Pamphlet, page 11.)

You are not required to report:

• Salary, reimbursement for expenses or per diem, or social

security, disability, or other similar benet payments

received by you or your spouse or registered domestic

partner from a federal, state, or local government agency

See Reference Pamphlet, page 11, for more exceptions to

income reporting.

TO COMPLETE SCHEDULE C:

Part 1. Income Received/Business Position Disclosure

• Disclose the name and address of each source of income

or each business entity with which you held a business

position.

• Provide a general description of the business activity if the

source is a business entity.

• Disclose the job title or business position, if any, that you

held with the business entity, even if you did not receive

income during the reporting period.

• Check the box indicating the amount of gross income

received.

• Identify the consideration for which the income was

received.

• For income from commission sales, check the box

indicating the gross income received and list the name of

each source of commission income of $10,000 or more.

(See Reference Pamphlet, page 7.)

• For income from rental property that is not required to be

listed on Schedule B, enter “Rental Income” under “Name

of Source,” check the box indicating the gross income

received, and, if you had a 10% or greater interest in the

rental property, list the name of each tenant if your pro rata

share of the gross income from that tenant was $10,000 or

more during the reporting period.

Part 2. Loans Received or Outstanding During the

Reporting Period

• Provide the name and address of the lender.

• Provide a general description of the business activity if the

lender is a business entity.

• Check the box indicating the highest balance of the loan

during the reporting period.

• Disclose the interest rate and the term of the loan.

-- For variable interest rate loans, disclose the conditions of

the loan (for example, Prime + 2) or the average interest

rate paid during the reporting period.

-- The term of the loan is the total number of months or

years given for repayment of the loan at the time the

loan was entered into.

• Identify the security, if any, for the loan.

REMINDERS

• Code lers – your disclosure categories may not

require disclosure of all sources of income.

• If you or your spouse or registered domestic partner

are self-employed, report the business entity on

Schedule A-2.

• Do not disclose on Schedule C income, loans, or

business positions already reported on Schedules

A-2 or B.

INSTRUCTIONS ─ SCHEDULE C

INCOME, LOANS, & BUSINESS POSITIONS

(Income Other Than Gifts and Travel Payments)

SCHEDULE C

Income,Loans,&Business

Positions

(Other than Gifts and Travel Payments)

GROSS INCOME RECEIVED

Name

FPPC Form 700 (2009/2010) Sch. C

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

OVER $100,000

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

► 1. INCOME RECEIVED

NAME OF SOURCE OF INCOME

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

YOUR BUSINESS POSITION

► 1. INCOME RECEIVED

NAME OF SOURCE OF INCOME

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

YOUR BUSINESS POSITION

NAME OF LENDER*

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF LENDER

INTEREST RATE TERM (Months/Years)

% None

HIGHEST BALANCE DURING REPORTING PERIOD

$500 - $1,000

$1,001 - $10,000

$10,001 - $100,000

OVER $100,000

GROSS INCOME RECEIVED

OVER $100,000

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000

Comments:

► 2. LOANS RECEIVED OR OUTSTANDING DURING THE REPORTING PERIOD

* You are not required to report loans from commercial lending institutions, or any indebtedness created as part

of a retail installment or credit card transaction, made in the lender’s regular course of business on terms

available to members of the public without regard to your ofcial status. Personal loans and loans received

not in a lender’s regular course of business must be disclosed as follows:

SECURITY FOR LOAN

None Personal residence

Real Property

Guarantor

Other

Street address

City

(Describe)

CONSIDERATION FOR WHICH INCOME WAS RECEIVED

Salary Spouse’s or registered domestic partner’s income

Loan repayment

Sale of

Commission or Rental Income, list each source of $10,000 or more

Other

(Describe)

(Property, car, boat, etc.)

CONSIDERATION FOR WHICH INCOME WAS RECEIVED

Salary Spouse’s or registered domestic partner’s income

Loan repayment

Sale of

Commission or Rental Income, list each source of $10,000 or more

Other

(Describe)

(Property, car, boat, etc.)

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FPPC Form 700 (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Instructions - 9

A gift is anything of value for which you have not provided

equal or greater consideration to the donor. A gift is

reportable if its fair market value is $50 or more. In

addition, multiple gifts totaling $50 or more received during

the reporting period from a single source must be reported.

Gifts are reportable regardless of where the donor is

located.

It is the acceptance of a gift, not the ultimate use to which

it is put, that imposes your reporting obligation. Except as

noted below, you must report a gift even if you never used

it or if you gave it away to another person.

If the exact amount of a gift is unknown, you must make a

good faith estimate of the item’s fair market value. Listing

the value of a gift as “over $50” or “value unknown” is not

adequate disclosure. In addition, if you received a gift

through an intermediary, you must disclose the name,

address, and business activity of both the donor and the

intermediary.

Commonly reportable gifts include:

• Tickets/passes to sporting or entertainment events

• Tickets/passes to amusement parks

• Parking passes

• Food, beverages, and accommodations, including those

provided in direct connection with your attendance at a

convention, conference, meeting, social event, meal, or like

gathering, where you did not give a speech, participate in a

panel or seminar, or provide a similar service

• Rebates/discounts not made in the regular course of

business to members of the public without regard to

ofcial status

• Wedding gifts (See Reference Pamphlet, page 15)

• An honorarium (You may report an honorarium as

income on Schedule C, rather than as a gift on Schedule

D, if you provided services of equal or greater value than

the payment received. See Reference Pamphlet, page 9,

regarding your ability to receive future honoraria.)

• Transportation and lodging (See Schedule E.)

• Forgiveness of a loan received by you

You are not required to disclose:

•Gifts that were not used and which, within 30 days after

receipt, were returned to the donor or delivered to a

charitable organization without being claimed by you as

a charitable contribution for tax purposes

• Gifts from your spouse or registered domestic partner,

child, parent, grandparent, grandchild, brother, sister,

aunt, uncle, niece, nephew, or rst cousin (Included in

this exception are gifts from your spouse’s or domestic

partner’s children, parents, brothers, sisters, and the

spouse or registered domestic partner of the individuals

listed above. The exception does not apply if the donor

was acting as an agent or intermediary for a reportable

source who was the true donor.)

• Gifts of hospitality involving food, drink, or occasional

lodging provided in an individual’s home when the

individual or a member of the individual’s family was

present

• Gifts of similar value exchanged between you and an

individual, other than a lobbyist, on holidays, birthdays,

or similar occasions

• Gifts of informational material provided to assist

you in the performance of your ofcial duties (e.g.,

books, pamphlets, reports, calendars, periodicals, or

educational seminars)

• A bequest or inheritance (However, inherited investments

or real property may be reportable on other schedules.)

• Personalized plaques or trophies with an individual value

of less than $250

• Campaign contributions

• A single ticket to a 501(c)(3) or political fundraising event

received for your own use from the organization or the

committee holding the fundraiser (The gift limit applies to

nonprot tickets.)

• Gifts given to members of your immediate family unless

you enjoy direct benet of the gift, use the gift, or

exercise discretion or control over the use or disposition

of the gift (See Commission Regulation 18944.)

• A pass or ticket that provided a one-time admission to an

event (e.g., theater performance or sporting event) that

was not used and was not transferred to another person

(Commission Regulation 18946.1 provides a method for

determining the value of a ticket or pass that was used

or transferred to another person and for determining

the value of passes or tickets which provide repeated

admission to facilities or services.)

• Food, beverages, and necessary accommodations

provided directly in connection with an event at which

you gave a speech, participated in a panel or seminar, or

provided a similar service

TO COMPLETE SCHEDULE D:

• Disclose the full name (not an acronym), address, and, if

a business entity, the business activity of the source.

• Provide the date (month, day, and year) of receipt, and

disclose the fair market value and description of the gift.

REMINDERS

• Gifts from a single source are subject to a $420

limit. See Reference Pamphlet, page 9.

• See Reference Pamphlet, page 1, for rules on

tickets.

• Code lers – you only need to report gifts from

reportable sources.

INSTRUCTIONS ─ SCHEDULE D

INCOME ─ GIFTS

SCHEDULE D

Income – Gifts

Comments:

Name

FPPC Form 700 (2009/2010) Sch. D

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)

/ / $

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FPPC Form 700 (2009/2010)

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Instructions - 10

Travel payments reportable on Schedule E include

advances and reimbursements for travel and related

expenses, including lodging and meals.

Gifts of travel may be subject to the gift limit. In addition,

certain travel payments are reportable gifts, but are not

subject to the gift limit. To avoid possible misinterpretation

or the perception that you have received a gift in excess of

the gift limit, you may wish to provide a specic description

of the purpose of your travel. See the FPPC fact sheet

entitled “Limitations and Restrictions on Gifts, Honoraria,

Travel, and Loans” at www.fppc.ca.gov.

You are not required to disclose:

• Travel payments received from any state, local, or

federal government agency for which you provided

services equal or greater in value than the payments

received

• Travel payments received from your employer in the

normal course of your employment that are included in

the income reported on Schedule C

• Payments or reimbursements for transportation within

California in connection with an event at which you

gave a speech, participated in a panel or seminar, or

performed a similar service

• Food, beverages, and necessary accommodations

received directly in connection with an event held inside

or outside California at which you gave a speech,

participated in a panel, or provided a similar service

(Note that payments for transportation outside of

California are reportable.)

• A travel payment that was received from a non-prot

entity exempt from taxation under Internal Revenue

Code Section 501(c)(3) for which you provided equal or

greater consideration

TO COMPLETE SCHEDULE E:

• Disclose the full name (not an acronym) and address

of the source of the travel payment.

• Identify the business activity, if any, of the source.

• Check the box to identify the payment as a gift or

income, report the amount, and disclose the date(s).

-- Travel payments are gifts if you did not provide

services that were equal to or greater in value than

the payments received. You must disclose gifts

totaling $50 or more from a single source during

the period covered by the statement. Gifts of

travel are reportable without regard to where the

donor is located.

When reporting travel payments that are gifts,

you must provide a description of the gift and the

date(s) received.

-- Travel payments are income if you provided

services that were equal to or greater in value than

the payments received. You must disclose income

totaling $500 or more from a single source during

the period covered by the statement. You have

the burden of proving the payments are income

rather than gifts.

When reporting travel payments as income,

you must describe the services you provided in

exchange for the payment. You are not required

to disclose the date(s) for travel payments that are

income.

Example:

City council member

Rick Chandler is a

board member of the

League of California

Cities. The League

reimburses its board

members for travel

and lodging, as well

as meals and other

expenses associated

with board meetings.

If Rick provides equal or greater consideration for the

travel and lodging when he participates in the meeting, the

reimbursements are reported as income. Note that the

burden is on the ofcial to determine whether he or she

has provided equal or greater value for the payment.

INSTRUCTIONS ─ SCHEDULE E

TRAVEL PAYMENTS, ADVANCES,

AND REIMBURSEMENTS

SCHEDULE E

Income – Gifts

TravelPayments,Advances,

and Reimbursements

Name

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

CITY AND STATE

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DESCRIPTION:

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

CITY AND STATE

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DESCRIPTION:

Comments:

FPPC Form 700 (2009/2010) Sch. E

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

TYPE OF PAYMENT: (must check one) Gift Income

700

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA FORM

• Reminder – you must mark the gift or income box.

• You are not required to report income from government agencies.

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

CITY AND STATE

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DESCRIPTION:

► NAME OF SOURCE

ADDRESS (Business Address Acceptable)

CITY AND STATE

BUSINESS ACTIVITY, IF ANY, OF SOURCE

DESCRIPTION:

DATE(S): / / - / / AMT: $

(If applicable)

DATE(S): / / - / / AMT: $

(If applicable)

TYPE OF PAYMENT: (must check one) Gift Income

DATE(S): / / - / / AMT: $

(If applicable)

DATE(S): / / - / / AMT: $

(If applicable)

Clear Sch. E

Print Form

specify pages to print

December 2009

2009/2010 Form 700

Statement of

Economic Interests

Reference Pamphlet

California Fair Political

Practices Commission

Toll-free advice line: 1 (866) ASK-FPPC

Website: www.fppc.ca.gov

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 1

● Who Must File Page 2 ● Where to File Page 4 ● Terms & Definitions Page 7

● Types of Statements Page 3 ● When to File Page 5

What’s New

Gift Limits

Effective January 1, 2009, the gift limit increased to $420. This gift limit will remain in effect until December 31, 2010.

Agency Raffles and Gift Exchanges

FPPC Regulation 18944.4, which went into effect December 12, 2009, provides rules for reporting raffle prizes won

at an agency sponsored event. A prize that was donated by an agency employee or lawfully purchased with agency

funds is not reportable by the winner. Other prizes valued at $50 or more may be reportable by the employee or the

agency. Contact the FPPC for guidance.

Positions Not Yet Covered Under a Conflict-of-Interest Code

Effective January 1, 2010, an individual hired for a position not yet covered under an agency’s conflict-of-interest

code must file Form 700 if the individual serves in a position that makes or participates in making governmental

decisions. These individuals must file under the broadest disclosure category until the code is amended to include

the new position unless the agency has provided in writing a limited disclosure requirement. Such individuals are

referred to as “code filers.” See Regulation 18734.

Tickets and Passes to Sporting, Entertainment, and Other Events (Form 802)

FPPC Regulation 18944.1, which went into effect February 7, 2009, sets out the circumstances under which the

receipt of tickets and passes by a public official from or through the official’s agency does not result in a gift to

the official. In addition to imposing new restrictions on the distribution of tickets and passes by state and local

government agencies, the regulation requires agencies to disclose the recipients on Form 802. Officials should

consult the regulation to determine if tickets or passes received must be disclosed on Form 700.

Gift to Agency Report (Form 801)

FPPC Regulation 18944.2 was amended effective July 1, 2008. The regulation establishes criteria under which a

payment that provides a personal benefit to a public official may be considered a gift to the official’s agency instead

of a gift to the official. The payment must be used for official agency business and the agency (not the official

who uses the payment) must disclose the payment on Form 801. In addition to other restrictions, the regulation

as amended prohibits agencies from accepting travel payments for elected officials and those officials specified in

Government Code Section 87200. A public official identified on a Form 801 is not required to report the same gift on

his or her Form 700.

Tickets to Nonprofit and Political Fundraising Events

FPPC Regulation 18946.4 was amended effective October 4, 2008. Prior to the effective date of the amendments,

a public official could receive an unlimited number of tickets to a 501(c)(3) or political fundraiser without disclosing

the tickets as a gift or counting the value of the tickets toward the gift limit.

As amended, the regulation now allows a

public official to receive a single ticket or other admission privilege, for his or her own use, to a 501(c)(3) or political

fundraising event. The ticket may only be received from the organization or the committee holding the fundraiser.

Other restrictions, including the gift limit, may apply.

Contents

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 2

1. Officials and Candidates Specified in Gov.

Code Section 87200 and Members of Boards and

Commissions of Newly Created Agencies

The Act requires the following individuals to fully disclose

their personal assets and income described in Form 700,

Statement of Economic Interests:

State Ofces

• Governor

• Lieutenant Governor

• Attorney General

• Controller

• Insurance Commissioner

• Secretary of State

• Treasurer

• Members of the State Legislature

• Superintendent of Public Instruction

• State Board of Equalization Members

• Public Utilities Commissioners

• State Energy Resources Conservation and

Development Commissioners

• State Coastal Commissioners

• Fair Political Practices Commissioners

• State public ofcials (including employees

and consultants) who manage public investments

• Elected members of and candidates for the Board of

Administration of the California Public Employees’

Retirement System

Other officials and employees of state boards,

commissions, agencies, and departments file Form 700 as

described in Part 2 on this page.

Judicial Ofces

• Supreme, Appellate, and Superior Court Judges

•

Court Commissioners

•

Retired Judges, Pro-Tem Judges, and part-

time Court Commissioners who serve or expect to

serve 30 days or more in a calendar year

County and City Ofces

• Members of Boards of Supervisors

• Mayors and Members of City Councils

• Chief Administrative Ofcers

• District Attorneys

• County Counsels

• City Attorneys

• City Managers

• Planning Commissioners

• County and City Treasurers

• County and city public ofcials (including

employees and consultants) who manage public

investments

Members of Boards and Commissions of Newly Created

Agencies

Members must fully disclose their investments, interests

in real property, business positions, and income until the

positions are covered under a conict-of-interest code.

2. State and Local Ofcials and Employees

Designated in a Conict-of-Interest Code (“Code

Filers”)

The Act requires every state and local government agency

to adopt a unique conict-of-interest code. The code lists

each position within the agency lled by individuals who

make or participate in making governmental decisions that

could affect their personal economic interests.

The code requires individuals holding those positions

to periodically le Form 700 disclosing certain personal

economic interests as determined by the code’s “disclosure

categories.” These individuals are called “designated

employees” or “code lers.” Effective January 1, 2010,

an individual hired for a position not yet covered under an

agency’s conict-of-interest code must le Form 700 if the

individual serves in a position that makes or participates in

making governmental decisions. These individuals must

le under the broadest disclosure category until the code is

amended to include the new position unless the agency has

provided in writing a limited disclosure requirement. See

Regulation 18734.

Obtain your disclosure categories from your agency –

they are not contained in the Form 700. Persons with

broad decisionmaking authority must disclose more

interests than those in positions with limited discretion.

For example, you may be required to disclose only

investments and business positions in or income from

businesses of the type that contract with your agency, or

you may not be required to disclose real property interests.

In addition, certain consultants to public agencies may

qualify as public officials because they make, participate

in making, or act in a staff capacity for governmental

decisions.

Note:

• An ofcial who holds a position specied in Gov. Code

Section 87200 is not required to le statements under

the conict-of-interest code of any agency that has

the same or a smaller jurisdiction (for example, a state

legislator who also sits on a state or local board or

commission).

Who Must File

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 3

Assuming Ofce Statement:

If you are a newly appointed ofcial or are newly employed

in a position designated in a state or local agency’s conict-

of-interest code, your assuming ofce date is the date

you were sworn in or otherwise authorized to serve in the

position. If you are a newly elected ofcial, your assuming

ofce date is the date you were sworn in.

• Investments, interests in real property, and business

positions held on the date you assumed the ofce or

position must be reported. In addition, income (including

loans, gifts, and travel payments) received during the

12 months prior to the date you assumed the ofce or

position is reportable.

For positions subject to conrmation by the State Senate or

the Commission on Judicial Performance, your assuming

ofce date is the date you were appointed or nominated to

the position.

Example:

Maria Lopez was nominated by the Governor to serve

on a state agency board that is subject to state Senate

conrmation. The assuming ofce date is the date Maria’s

nomination is submitted to the Senate. Maria must report

investments, interests in real property, and business

positions she holds on that date, and income, including

loans, gifts, and travel payments received during the 12

months prior to that date.

Initial Statement:

If your ofce or position has been added to a newly adopted

or newly amended conict-of-interest code, use the effective

date of the code or amendment, whichever is applicable.

• Investments, interests in real property, and business

positions held on the effective date of the code or

amendment must be reported. In addition, income

(including loans, gifts, and travel payments) received

during the 12 months prior to the effective date of the

code or amendment is reportable.

Annual Statement:

Generally, the period covered is January 1, 2009, through

December 31, 2009. If the period covered by the statement is

different than January 1, 2009, through December 31, 2009,

(for example, you assumed ofce between October 1, 2008,

and December 31, 2008, or you are combining statements),

you must specify the period covered.

• Investments, interests in real property, business

positions held, and income (including loans, gifts, and

travel payments) received during the period covered

by the statement must be reported. Do not change the

preprinted dates on Schedules A-1, A-2, and B unless

you are required to report the acquisition or disposition of

an interest that did not occur in 2009.

• If your disclosure category changes during a reporting

period, disclose under the old category until the effective

date of the conict-of-interest code amendment and

disclose under the new disclosure category through the

end of the reporting period.

Leaving Ofce Statement:

Generally, the period covered is January 1, 2009, through

the date you stopped performing the duties of your position.

If the period covered differs from January 1, 2009, through

the date you stopped performing the duties of your position

(for example, you assumed ofce between October 1, 2008,

and December 31, 2008, or you are combining statements),

the period covered must be specied.

• Investments, interests in real property, business

positions held, and income (including loans, gifts, and

travel payments) received during the period covered

by the statement must be reported. Do not change the

preprinted dates on Schedules A-1, A-2, and B unless

you are required to report the acquisition or disposition of

an interest that did not occur in 2009.

Candidate Statement:

If you are ling a statement in connection with your

candidacy for state or local ofce, investments, interests

in real property, and business positions held on the date

of ling your declaration of candidacy must be reported.

In addition, income (including loans, gifts, and travel

payments) received during the 12 months prior to the date

of ling your declaration of candidacy is reportable. Do not

change the preprinted dates on Schedules A-1, A-2, and B.

Candidates running for local elective ofces (for example,

county sheriffs, city clerks, school board trustees, and water

district board members) must le candidate statements,

as required by the conict-of-interest code for the elected

position.

Amendments:

If you discover errors or omissions on any statement, le

an amendment as soon as possible. You are only required

to amend the schedule that needs to be revised. It is not

necessary to rele the entire form. To obtain amendment

schedules, contact the FPPC, your ling ofcial, or the

FPPC website at www.fppc.ca.gov.

Types of Statements

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 4

1. Ofcials Specied in Gov. Code Section 87200

(See Reference Pamphlet, page 2):

In most cases, the ling ofcials listed below will retain

a copy of your statement and forward the original to the

FPPC.

Filers

Where to File

87200 Filers

State ofces

Judicial ofces

Retired Judges

County ofces

City ofces

Multi-County ofces

Your agency

The clerk of your court

Directly with FPPC

Your county ling ofcial

Your city clerk

Your agency

87200 Candidates

State ofces

Judicial ofces

Multi-County ofces

County ofces

City ofces

Public Employees’

Retirement System

(CalPERS)

County elections official with

whom you file your declaration

of candidacy

County elections ofcial

City Clerk

CalPERS

2. Members of Boards and Commissions of

Newly Created Agencies:

File with your newly created agency or with your agency’s

code reviewing body as provided by your code reviewing

body.

3. Code Filers — State and Local Ofcials and

Employees Designated in a Conict-of-Interest

Code:

File with your agency, board, or commission unless

otherwise specied in your agency’s conict-of-interest

code. In most cases, the agency, board, or commission

will retain the statements.

Candidates for local elective ofces designated in a

conict-of-interest code le with the elections ofce

where the declaration of candidacy or other nomination

documents are led.

State Senate and Assembly staff members file statements

directly with the FPPC.

Exceptions:

• Elected state ofcers are not required to le

statements under any agency’s conict-of-interest

code.

• 87200 lers are not required to le statements under

any agency’s conict-of-interest code in the same

jurisdiction. For example, a county supervisor who is

appointed to serve in an agency with jurisdiction in the

same county has no additional ling obligations.

4. Positions Not Yet Covered Under a Conflict-of-

Interest Code

Effective January 1, 2010, an individual hired for a position

not yet covered under an agency’s conflict-of-interest code

must file Form 700 if the individual serves in a position that

makes or participates in making governmental decisions.

These individuals must file under the broadest disclosure

category until the code is amended to include the new

position unless the agency has provided in writing a limited

disclosure requirement. Such individuals are referred to

as “code filers.” See Regulation 18734.

Where to File

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 5

Assuming Ofce and Initial Statements:

Filer Deadline

Elected ofcials

30 days after assuming

ofce

Appointed positions

specied in Gov. Code

Section 87200

Newly created board and

commission members

not covered by a conflict-

of-interest code

30 days after assuming

ofce

10 days after appointment

or nomination if subject

to Senate or judicial

conrmation

Other appointed

positions (including

newly hired employees)

designated in a conict-

of-interest code

30 days after assuming

ofce (30 days after

appointment or nomination

if subject to Senate

conrmation)

Positions newly added

to a new or amended

conict-of-interest code

30 days after the effective

date of the code or code

amendment

Exceptions:

• Elected state ofcers who assume ofce in December

or January are not required to le an assuming ofce

statement, but will le the next annual statement due.

• If you complete a term of ofce and, within 30 days, begin

a new term of the same ofce (for example, you are

reelected or reappointed), you are not required to le an

assuming ofce statement. Instead, you may le the next

annual statement due.

• If you leave an ofce specied in Gov. Code Section 87200

and, within 45 days, you assume another ofce or position

specied in Section 87200 that has the same jurisdiction

(for example, a city planning commissioner elected mayor),

you are not required to le an assuming ofce statement.

Instead, you may le the next annual statement due.

• If you transfer from one designated position to another

designated position within the same agency, contact

your ling ofcer or the FPPC to determine your ling

obligations.

Annual Statements:

1. Elected state ofcers (including members of the state

legislature and members elected to the Board of

Administration of the California Public Employees’

Retirement System);

Judges and court commissioners; and

Members of state boards and commissions specied in

Gov. Code Section 87200:

File no later than Monday, March 1, 2010.

2. County and city ofcials specied in Gov. Code Section

87200:

File no later than Thursday, April 1, 2010.

3. Multi-County ofcials:

File no later than Thursday, April 1, 2010.

4. State and local ofcials and employees designated in a

conict-of-interest code:

File on the date prescribed in the code (April 1 for most

lers).

Exception:

• If you assumed ofce between October 1, 2009, and

December 31, 2009, and led an assuming ofce

statement, you are not required to le an annual

statement until March 1, 2011, or April 1, 2011, whichever

is applicable. The annual statement will cover the day

after you assumed ofce through December 31, 2010.

Incumbent officeholders who file candidate statements also

must file annual statements by the specified deadlines.

Leaving Ofce Statements:

Leaving ofce statements must be led no later than 30

days after leaving the ofce or position.

Exceptions:

• If you complete a term of ofce and, within 30 days,

begin a new term of the same ofce (for example, you

are reelected or reappointed), you are not required to le

a leaving ofce statement. Instead, you may le the next

annual statement due.

When to File

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 6

• If you leave an ofce specied in Gov. Code Section

87200 and, within 45 days, you assume another

ofce or position specied in Section 87200 that has

the same jurisdiction (for example, a city planning

commissioner elected mayor), you are not required to

le a leaving ofce statement. Instead, you may le the

next annual statement due.

• If you transfer from one designated position to another

designated position within the same agency, contact

your ling ofcer or the FPPC to determine your ling

obligations.

Candidate Statements

All candidates (including incumbents) for offices specified

in Gov. Code Section 87200 must file statements no later

than the final filing date for their declaration of candidacy.

Candidates seeking a position designated in a conict-

of-interest code must le no later than the nal ling

date for the declaration of candidacy or other nomination

documents.

Exception:

A candidate statement is not required if you filed any

statement (other than a leaving office statement) for the

same jurisdiction within 60 days before filing a declaration

of candidacy or other nomination documents.

When to File - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 7

The instructions located on the back of each schedule

describe the types of interests that must be reported. The

purpose of this section is to explain other terms used in

Form 700 that are not defined in the instructions to the

schedules or elsewhere.

Blind Trust: See Trusts, Reference Pamphlet, page 14.

Business Entity: Any organization or enterprise

operated for profit, including a proprietorship, partnership,

firm, business trust, joint venture, syndicate, corporation,

or association. This would include a business for which

you take business deductions for tax purposes (for

example, a small business operated in your home).

Code Filer: An individual who has been designated in

a state or local agency’s conict-of-interest code to le

statements of economic interests.

Effective January 1, 2010, an individual hired for a position

not yet covered under an agency’s conict-of-interest code

must le Form 700 if the individual serves in a position

that makes or participates in making governmental

decisions. These individuals must le under the broadest

disclosure category until the code is amended to include

the new position unless the agency has provided in writing

a limited disclosure requirement. See Regulation 18734.

Commission Income: “Commission income” means

gross payments of $500 or more received during the

period covered by the statement as a broker, agent, or

salesperson, including insurance brokers or agents, real

estate brokers or agents, travel agents or salespersons,

stockbrokers, and retail or wholesale salespersons,

among others.

In addition, you may be required to disclose the names

of sources of commission income if your pro rata share

of the gross income was $10,000 or more from a single

source during the reporting period. If your spouse or

registered domestic partner received commission income,

you would disclose your community property share (50%)

of that income (that is, the names of sources of $20,000

or more in gross commission income received by your

spouse or registered domestic partner).

Report commission income as follows:

• If the income was received through a business entity in

which you or your spouse or registered domestic partner

had a 10% or greater ownership interest (or if you

receive commission income on a regular basis as an

independent contractor or agent), use Schedule A-2.

• If the income was received through a business entity

in which you or your spouse or registered domestic

partner did not receive commission income on a

regular basis or you had a less than 10% ownership

interest, use Schedule C.

The “source” of commission income generally includes

all parties to a transaction, and each is attributed the full

value of the commission.

Examples:

• You are a partner in Smith and Jones Insurance

Company and have a 50% ownership interest in the

company. You sold two Businessmen’s Insurance

Company policies to XYZ Company during the

reporting period. You received commission income of

$5,000 from the first transaction and $6,000 from the

second. On Schedule A-2, report your partnership

interest in and income received from Smith and

Jones Insurance Company in Parts 1 and 2. In Part

3, list both Businessmen’s Insurance Company and

XYZ Company as sources of $10,000 or more in

commission income.

• You are a stockbroker for Prince Investments, but you

have no ownership interest in the firm. You receive

commission income on a regular basis through the

sale of stock to clients. Your total gross income from

your employment with Prince Investments was over

$100,000 during the reporting period. On Schedule

A-2, report your name as the name of the business

entity in Part 1 and the gross income you have

received in Part 2. (Because you are an employee of

Prince Investments, you do not need to complete the

information in the box in Part 1 indicating the general

description of business activity, fair market value, or

nature of investment.) In Part 3, list Prince Investments

and the names of any clients who were sources of

$10,000 or more in commission income to you.

• You are a real estate agent and an independent

contractor under Super Realty. On Schedule A-2,

Part 1, in addition to your name or business name,

complete the business entity description box. In

Part 2, identify your gross income. In Part 3, for each

transaction that resulted in commission income to you

of $10,000 or more, you must identify the brokerage

entity, each person you represented, and any person

who received a finder’s or other referral fee for

referring a party to the transaction to the broker.

Note: If your pro rata share of commission income from

a single source is $500 or more, you may be required to

disqualify yourself from decisions affecting that source of

income, even though you are not required to report the

income. For information regarding disclosure of “incentive

compensation,” see Reference Pamphlet, page 11.

Terms & Denitions

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 8

Conict of Interest: A public ofcial or employee has a

conict of interest under the Act when all of the following

occur:

• The ofcial makes, participates in making, or uses

his or her ofcial position to inuence a governmental

decision;

• It is reasonably foreseeable that the decision will affect

the ofcial’s economic interest;

• The effect of the decision on the ofcial’s economic

interest will be material; and

• The effect of the decision on the ofcial’s economic

interest will be different than its effect on the public

generally. Check the FPPC website (www.fppc.ca.gov)

for a fact sheet entitled, “Can I Vote? Conict of Interest

Overview.”

Conict-of-Interest Code: The Act requires every state

and local government agency to adopt a conict-of-interest

code. The code may be contained in a Regulation, policy

statement, or a city or county ordinance, resolution, or

other document.

An agency’s conflict-of-interest code must designate all

officials and employees of, and consultants to, the agency

who make or participate in making governmental decisions

that could cause conflicts of interest. These individuals

are required by the code to file statements of economic

interests and to disqualify themselves when conflicts of

interest occur.

The disclosure required under a conflict-of-interest code for

a particular designated official or employee should include

only the kinds of personal economic interests he or she

could significantly affect through the exercise of his or her

official duties. For example, an employee whose duties

are limited to reviewing contracts for supplies, equipment,

materials, or services provided to the agency should be

required to report only those interests he or she holds

that are likely to be affected by the agency’s contracts for

supplies, equipment, materials, or services.

Consultant: An individual who contracts with or whose

employer contracts with state or local government

agencies and who makes, participates in making, or acts

in a staff capacity for making governmental decisions.

Consultants may be required to le Form 700. The

obligation to le Form 700 is always imposed on the

individual who is providing services to the agency, not on

the business or rm that employs the individual.

FPPC Regulation 18701 denes “consultant” as an

individual who makes a governmental decision whether to:

• Approve a rate, rule, or Regulation

• Adopt or enforce a law

• Issue, deny, suspend, or revoke any permit, license,

application, certicate, approval, order, or similar

authorization or entitlement

• Authorize the agency to enter into, modify, or renew a

contract provided it is the type of contract that requires

agency approval

• Grant agency approval to a contract that requires

agency approval and to which the agency is a party, or

to the specications for such a contract

• Grant agency approval to a plan, design, report, study,

or similar item

• Adopt, or grant agency approval of, policies,

standards, or guidelines for the agency or for any of its

subdivisions

A consultant also is an individual who serves in a staff

capacity with the agency and:

• participates in making a governmental decision; or

• performs the same or substantially all the same duties

for the agency that would otherwise be performed by an

individual holding a position specied in the agency’s

conict-of-interest code.

Designated Employee: An ofcial or employee of a

state or local government agency whose position has been

designated in the agency’s conict-of-interest code to le

statements of economic interests or whose position has

not yet been listed in the code but makes or participates

in making government decisions. Individuals who contract

with government agencies (consultants) may also be

designated in a conict-of-interest code.

A federal ofcer or employee serving in an ofcial federal

capacity on a state or local government agency is not a

designated employee.

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 9

Disclosure Categories: The section of an agency’s

conict-of-interest code that species the types of personal

economic interests ofcials and employees of the agency

must disclose on their statements of economic interests.

Disclosure categories are usually contained in an appendix

or attachment to the conict-of-interest code. Contact your

agency to obtain a copy of your disclosure categories.

Diversied Mutual Fund: Diversied portfolios of

stocks, bonds, or money market instruments that are

managed by investment companies whose business is

pooling the money of many individuals and investing it

to seek a common investment goal. Mutual funds are

managed by trained professionals who buy and sell

securities. A typical mutual fund will own between 75 to

100 separate securities at any given time so they also

provide instant diversication. Only diversied mutual

funds registered with the Securities and Exchange

Commission under the Investment Company Act of 1940

are exempt from disclosure.

Elected State Ofcer: Elected state ofcers include

the Governor, Lieutenant Governor, Attorney General,

Insurance Commissioner, State Controller, Secretary

of State, State Treasurer, Superintendent of Public

Instruction, members of the State Legislature, members

of the State Board of Equalization, and elected members

of the Board of Administration of the California Public

Employees’ Retirement System.

Enforcement: The FPPC investigates suspected

violations of the Act. Other law enforcement agencies

(the Attorney General or district attorney) also may initiate

investigations under certain circumstances. If violations

are found, the Commission may initiate administrative

enforcement proceedings that could result in nes of up to

$5,000 per violation.

Instead of administrative prosecution, a civil action may

be brought for negligent or intentional violations by the

appropriate civil prosecutor (the Commission, Attorney

General, or district attorney), or a private party residing

within the jurisdiction. In civil actions, the measure

of damages is up to the amount or value not properly

reported.

Persons who violate the conict-of-interest disclosure

provisions of the Act also may be subject to agency

discipline, including dismissal.

Finally, a knowing or willful violation of any provision

of the Act is a misdemeanor. Persons convicted of a

misdemeanor may be disqualified for four years from the

date of the conviction from serving as a lobbyist or running

for elective office, in addition to other penalties that may

be imposed. The Act also provides for numerous civil

penalties, including monetary penalties and damages, and

injunctive relief from the courts.

Expanded Statement: Some ofcials or employees may

have multiple ling obligations (for example, a city council

member who also holds a designated position with a county

agency, board, or commission). Such ofcials or employees

may complete one expanded statement covering the

disclosure requirements for all positions and le a complete,

originally signed copy with each agency.

Fair Market Value: When reporting the value of an

investment, interest in real property, or gift, you must

disclose the fair market value – the price at which the item

would sell for on the open market. This is particularly

important when valuing gifts, because the fair market value

of a gift may be different from the amount it cost the donor

to provide the gift. For example, the wholesale cost of a

bouquet of owers may be $10, but the fair market value

may be $25 or more. In addition, there are special rules

for valuing free tickets and passes. Call the FPPC for

assistance.

Gift and Honoraria Prohibitions:

Gifts:

State and local officials who are listed in Gov. Code

Section 87200 (except judges – see below), candidates

for these elective offices (including judicial candidates),

and officials and employees of state and local government

agencies who are designated in a conflict-of-interest code

are prohibited from accepting a gift or gifts totaling more

than $420 in a calendar year from a single source during

2009-2010.

In addition, elected state ofcers, candidates for elective

state ofces, and ofcials and employees of state agencies

are subject to a $10 per calendar month limit on gifts from

lobbyists and lobbying rms registered with the Secretary

of State.

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 10

Honoraria:

State and local officials who are listed in Gov. Code

Section 87200 (except judges – see below), candidates

for these elective offices (including judicial candidates),

and employees of state and local government agencies

who are designated in a conflict-of-interest code are

prohibited from accepting honoraria for any speech given,

article published, or attendance at any public or private

conference, convention, meeting, social event, meal, or

like gathering.

Exceptions:

• Some gifts are not reportable or subject to the gift

and honoraria prohibitions, and other gifts may not

be subject to the prohibitions, but are reportable. For

detailed information, see the FPPC fact sheet entitled

“Limitations and Restrictions on Gifts, Honoraria,

Travel, and Loans,” which can be obtained from your

ling ofcer or the FPPC website (www.fppc.ca.gov).

• The $420 gift limit and the honorarium prohibition do

not apply to a part-time member of the governing board

of a public institution of higher education, unless the

member is also an elected ofcial.

• If you are designated in a state or local government

agency’s conict-of-interest code, the $420 gift limit

and honorarium prohibition are applicable only to

sources you would otherwise be required to report on

your statement of economic interests. However, this

exception is not applicable if you also hold a position

listed in Gov. Code Section 87200 (See Reference

Pamphlet, page 2.)

• For state agency ofcials and employees, the $10

lobbyist/lobbying rm gift limit is applicable only to

lobbyists and lobbying rms registered to lobby your

agency. This exception is not applicable if you are an

elected state ofcer or a member or employee of the

State Legislature.

• Payments for articles published as part of the practice

of a bona de business, trade, or profession, such as

teaching, are not considered honoraria. A payment for

an “article published” that is customarily provided in

connection with teaching includes text book royalties

and payments for academic tenure review letters. An

ofcial is presumed to be engaged in the bona de

profession of teaching if he or she is employed to teach

at an accredited university.

Judges:

Section 170.9 of the Code of Civil Procedure imposes gift

limits on judges and prohibits judges from accepting any

honorarium. Section 170.9 is enforced by the Commission

on Judicial Performance. The FPPC has no authority to

interpret or enforce the Code of Civil Procedure. Court

commissioners are subject to the gift limit under the

Political Reform Act.

Income Reporting: Reporting income under the Act

is different than reporting income for tax purposes. The

Act requires gross income (the amount received before

deducting losses, expenses, or taxes, as well as income

reinvested in a business entity) to be reported.

Pro Rata Share: The instructions for reporting income

refer to your pro rata share of the income received. Your

pro rata share is normally based on your ownership

interest in the entity or property. For example, if you are

a sole proprietor, you must disclose 100% of the gross

income to the business entity on Schedule A-2. If you own

25% of a piece of rental property, you must report 25% of

the gross rental income received. When reporting your

community property interest in your spouse’s or registered

domestic partner’s income, your pro rata share is 50% of

his or her income.

When you are required to report sources of income to a

business entity, sources of rental income, or sources of

commission income, you are only required to disclose

individual sources of income of $10,000 or more.

However, you may be required to disqualify yourself from

decisions affecting sources of $500 or more in income,

even though you are not required to report them.

Examples:

• Alice Ruiz is a partner in a business entity. She has a

25% interest. On Schedule A-2, she must disclose 25%

of the fair market value of the business entity; 25% of

the gross income to the business entity (even though all

of the income received was reinvested in the business

and she did not personally receive any income from the

business); and the name of each source of $40,000 or

more to the business.

• Cynthia and Mark Johnson, a married couple, own

Classic Autos. In determining the amount to report for

income on Schedule A-2, Part 2, Mark must include

his 50% share and 25% of his spouse’s share. Thus,

if income to the business entity was $200,000, his

reportable income would be $150,000 and he will check

the box indicating $100,001-$1,000,000. (Also see

Reference Pamphlet, page 12, for an example of how

to calculate the value of this investment.)

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 11

You are not required to report:

• Salary, reimbursement for expenses or per diem, social

security, disability, or other similar benet payments

received by you or your spouse or registered domestic

partner from a federal, state, or local government agency

• Campaign contributions

• A cash bequest or cash inheritance

• Returns on a security registered with the Securities and

Exchange Commission, including dividends, interest, or

proceeds from a sale of stocks or bonds

• Redemption of a mutual fund

• Payments received under an insurance policy

• Interest, dividends, or premiums on a time or demand

deposit in a nancial institution, shares in a credit union,

an insurance policy, or a bond or other debt instrument

issued by a government agency

• Your spouse’s or registered domestic partner’s income

which is legally “separate” income

• Income of dependent children

• Automobile trade-in allowances from dealers

• Loans and loan repayments received from your spouse

or registered domestic partner, child, parent, grandparent,

grandchild, brother, sister, parent-in-law, brother-in-law,

sister-in-law, nephew, niece, aunt, uncle, or rst cousin

unless he or she was acting as an intermediary or agent

for any person not covered by this provision

• Alimony or child support payments

• Payments received under a dened benet pension plan

qualied under Internal Revenue Code Section 401(a)

• Any loan from a commercial lending institution made in the

lender’s regular course of business on terms available to

the public without regard to your ofcial status

• Any retail installment or credit card debts incurred in the

creditor’s regular course of business on terms available to

the public without regard to your ofcial status

• Loans made to others. However, repayments may be

reportable on Schedule C

• A loan you co-signed for another person unless you made

payments on the loan during the reporting period

Incentive Compensation: “Incentive compensation”

means income over and above salary that is either

ongoing or cumulative, or both, as sales or purchases of

goods or services accumulate. Incentive compensation is

calculated by a predetermined formula set by the ofcial’s

employer which correlates to the conduct of the purchaser

in direct response to the effort of the ofcial.

Incentive compensation does not include:

• Salary

• Commission income (For information regarding

disclosure of “commission income,” see Reference

Pamphlet, page 7.)

• Bonuses for activity not related to sales or marketing,

the amount of which is based solely on merit or hours

worked over and above a predetermined minimum

• Executive incentive plans based on company

performance, provided that the formula for determining

the amount of the executive’s incentive income does

not include a correlation between that amount and

increased prots derived from increased business with

specic and identiable clients or customers of the

company

• Payments for personal services which are not

marketing or sales

The purchaser is a source of income to the ofcial if all

three of the following apply:

• the ofcial’s employment responsibilities include

directing sales or marketing activity toward the

purchaser; and

• there is direct personal contact between the ofcial and

the purchaser intended by the ofcial to generate sales

or business; and

• there is a direct relationship between the purchasing

activity of the purchaser and the amount of the

incentive compensation received by the ofcial.

Report incentive compensation as follows:

• In addition to salary, reimbursement of expenses, and

other income received from your employer, separately

report on Schedule C the name of each person

who purchased products or services sold, marketed

or represented by you if you received incentive

compensation of $500 or more attributable to the

purchaser during the period covered by the statement.

• If incentive compensation is paid by your employer in

a lump sum, without allocation of amounts to specic

customers, you must determine the amount of incentive

compensation attributable to each of your customers.

This may be based on the volume of sales to those

customers.

(See Regulations 18703.3 and 18728.5 for more

information.)

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 12

Investment Funds: Report investment funds in which

the value of your interest is $2,000 or more. If your

investment share is less than 10%, report only the fund

on Schedule A-1. If your investment in the fund is 10%

or greater, report the fund and any investments contained

in the fund in which your interest is $2,000 or more on

Schedule A-2. Common examples of investment funds

are index funds, exchange-traded funds, and venture

capital funds. Diversied mutual funds registered with

the Securities and Exchange Commission under the

Investment Company Act of 1940 are exempt from

disclosure.

Investments and Interests in Real Property: When

disclosing investments on Schedules A-1 or A-2 and

interests in real property on Schedules A-2 or B, you must

include investments and interests in real property held by

your spouse or registered domestic partner, and those held

by your dependent children, as if you held them directly.

Examples:

• Terry Pearson, her husband, and two children each own

$600 in stock in General Motors. Because the total

value of their holdings is $2,400, Terry must disclose

the stock as an investment on Schedule A-1.

• Cynthia and Mark Johnson, a married couple, jointly

own Classic Autos. Mark must disclose Classic Autos

as an investment on Schedule A-2. To determine the

reportable value of the investment, Mark will aggregate

the value of his 50% interest and Cynthia’s 50%

interest. Thus, if the total value of the business entity is

$150,000, he will check the box $100,001 - $1,000,000

in Part 1 of Schedule A-2. (Also see Reference

Pamphlet, page 10, for an example of how to calculate

reportable income.)

The Johnsons also own the property where Classic

Autos is located. To determine the reportable value

of the real property, Mark will again aggregate the

value of his 50% interest and Cynthia’s 50% interest to

determine the amount to report in Part 4 of Schedule

A-2.

● Katie Smith rents out a room in her home. She receives

$6,000 a year in rental income. Katie will report the fair

market value of the rental portion of her residence and

the income received on Schedule B.

Jurisdiction: You must disclose investments and

sources of income that are located in or doing business

in your jurisdiction, are planning to do business in your

jurisdiction, or that have done business during the previous

two years in your jurisdiction, and interests in real property

located in your jurisdiction.

A business entity is located in or doing business in your

jurisdiction if the entity has business contacts on a regular

or substantial basis with a person who maintains a

physical presence in your jurisdiction.

Business contacts include, but are not limited to,

manufacturing, distributing, selling, purchasing, or

providing services or goods. Business contacts do not

include marketing via the Internet, telephone, television,

radio, or printed media.

The same criteria are used to determine whether an

individual, organization, or other entity is located in or

doing business in your jurisdiction.

Exception:

• Gifts are reportable regardless of the location of the

donor. For example, a state agency ofcial with full

disclosure must report gifts from sources located outside

of California. (Designated employees/code lers should

consult their disclosure categories to determine if the

donor of a gift is of the type that must be disclosed.)

For reporting interests in real property, if your jurisdiction

is the state, you must disclose real property located within

the state of California unless your agency’s conflict-of-

interest code specifies otherwise.

For local agencies, an interest in real property is located in

your jurisdiction if any part of the property is located in, or

within two miles of, the region, city, county, district, or other

geographical area in which the agency has jurisdiction,

or if the property is located within two miles of any land

owned or used by the agency.

See the following explanations to determine what your

jurisdiction is:

State Ofces and All Courts: Your jurisdiction is the state

if you are an elected state ofcer, a state legislator, or

a candidate for one of these ofces. Judges, judicial

candidates, and court commissioners have statewide

jurisdiction. (In re Baty (1979) 5 FPPC Ops. 10.) If you

are an ofcial or employee of, or a consultant to, a state

board, commission, or agency, or of any court or the State

Legislature, your jurisdiction is the state.

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 13

County Ofces: Your jurisdiction is the county if you are

an elected county ofcer, a candidate for county ofce, or

if you are an ofcial or employee of, or a consultant to, a

county agency or any agency with jurisdiction solely within

a single county.

City Ofces: Your jurisdiction is the city if you are an

elected city ofcer, a candidate for city ofce, or you are an

ofcial or employee of, or a consultant to, a city agency or

any agency with jurisdiction solely within a single city.

Multi-County Ofces: If you are an elected ofcer,

candidate, ofcial or employee of, or a consultant to

a multi-county agency, your jurisdiction is the region,

district, or other geographical area in which the agency

has jurisdiction. (Example: A water district has jurisdiction

in a portion of two counties. Members of the board are

only required to report interests located or doing business

in that portion of each county in which the agency has

jurisdiction.)

Other (for example, school districts and special districts): If

you are an elected ofcer, candidate, ofcial or employee

of, or a consultant to an agency not covered above, your

jurisdiction is the region, district, or other geographical

area in which the agency has jurisdiction. See the multi-

county example above.

Leasehold Interest: The term “interest in real property”

includes leasehold interests. An interest in a lease on real

property is reportable if the value of the leasehold interest

is $2,000 or more. The value of the interest is the total

amount of rent owed by you during the reporting period

or, for a candidate, assuming ofce, or initial statement,

during the prior 12 months.

You are not required to disclose a leasehold interest with a

value of less than $2,000 or a month-to-month tenancy.

Loan Reporting: Filers are not required to report loans

from commercial lending institutions or any indebtedness

created as part of retail installment or credit card

transactions that are made in the lender’s regular course

of business, without regard to ofcial status, on terms

available to members of the public.

Loan Restrictions: State and local elected and

appointed public ofcials are prohibited from receiving any

personal loan totaling more than $250 from an ofcial,

employee, or consultant of their governmental agencies

or any governmental agency over which the ofcial or the

ofcial’s agency has direction or control. In addition, loans

of more than $250 from any person who has a contract

with the ofcial’s agency or an agency under the ofcial’s

control are prohibited unless the loan is from a commercial

lending institution or part of a retail installment or credit card

transaction made in the regular course of business on terms

available to members of the public.

State and local elected officials are also prohibited from

receiving any personal loan of $500 or more unless the

loan is in writing and clearly states the terms of the loan,

including the parties to the loan agreement, the date,

amount, and term of the loan, the date or dates when

payments are due, the amount of the payments, and the

interest rate on the loan.

Campaign loans and loans from family members are not

subject to the $250 and $500 loan prohibitions.

A personal loan made to a public official that is not being

repaid or is being repaid below certain amounts will become

a gift to the official under certain circumstances. Contact the

FPPC for further information, or see the FPPC fact sheet

entitled “Limitations and Restrictions on Gifts, Honoraria,

Travel, and Loans,” which can be obtained from your filing

officer or the FPPC website (www.fppc.ca.gov).

Privileged Information: You are not required to

disclose on Schedule A-2, Part 3, the name of a person

who paid fees or made payments to a business entity if

disclosure of the name would violate a legally recognized

privilege under California law. For example, a name

is protected by attorney-client privilege when facts

concerning an attorney’s representation of an anonymous

client are publicly known and those facts, when coupled

with disclosure of the client’s identity, might expose the

client to an ofcial investigation or to civil or criminal

liability.

A patient’s name is protected by physician-patient privilege

when disclosure of the patient’s name would also reveal

the nature of the treatment received by the patient

because, for example, the physician is recognized as a

specialist.

FPPC Regulation 18740 sets out specic procedures that

must be followed in order to withhold the name of a source

of income. Requests for disclosure exemptions are led

with the FPPC Executive Director.

Terms & Denitions - (continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 14

Public Ofcials Who Manage Public Investments:

Individuals who invest public funds in revenue-producing

programs must le Form 700. This includes individuals

who direct or approve investment transactions, formulate

or approve investment policies, and establish guidelines

for asset allocations. FPPC Regulation 18701 denes

“public ofcials who manage public investments” to include

the following:

• Members of boards and commissions, including

pension and retirement boards or commissions, and

committees thereof, who exercise responsibility for the

management of public investments;

• High-level ofcers and employees of public agencies

who exercise primary responsibility for the management

of public investments (for example, chief or principal

investment ofcers or chief nancial managers); and

• Individuals who, pursuant to a contract with a state

or local government agency, perform the same or

substantially all the same functions described above.

Registered Domestic Partners: Filers must report

investments and interests in real property held by, and

sources of income to, registered domestic partners. (See

Regulation 18229.)

Retirement Accounts (for example, deferred

compensation and individual retirement accounts

(IRAs)): Assets held in retirement accounts must be

disclosed if the assets are reportable items, such as

common stock (investments) or real estate (interests

in real property). For help in determining whether your

investments and real property are reportable, see the

instructions to Schedules A-1, A-2, and B.

If your retirement account holds reportable assets, disclose

only the assets held in the account, not the account

itself. You may have to contact your account manager to

determine the assets contained in your account.

Schedule A-1: Report any business entity in which the

value of your investment interest was $2,000 or more

during the reporting period. (Use Schedule A-2 if you have

a 10% or greater ownership interest in the business entity.)

Schedule B: Report any piece of real property in which

the value of your interest was $2,000 or more during the

reporting period.

Examples:

• Alice McSherry deposits $500 per month into her

employer’s deferred compensation program. She has

chosen to purchase shares in two diversied mutual

funds registered with the Securities and Exchange

Commission. Because her funds are invested solely

in non-reportable mutual funds (see Schedule A-1

instructions), Alice has no disclosure requirements with

regard to the deferred compensation program.

• Bob Allison has $6,000 in an individual retirement

account with an investment rm. The account

contains stock in several companies doing business

in his jurisdiction. One of his stock holdings, Gala

Computers, reached a value of $2,500 during the

reporting period. The value of his investment in each

of the other companies was less than $2,000. Bob

must report Gala Computers as an investment on

Schedule A-1 because the value of his stock in that

company was $2,000 or more.

• Adriane Fisher has $5,000 in a retirement fund that

invests in real property located in her jurisdiction. The

value of her interest in each piece of real property held

in the fund was less than $2,000 during the reporting

period. Although her retirement fund holds reportable

assets, she has no disclosure requirement because she

did not have a $2,000 or greater interest in any single

piece of real property. If, in the future, the value of her

interest in a single piece of real property reaches or

exceeds $2,000, she will be required to disclose the real

property on Schedule B for that reporting period.

Trusts: Investments and interests in real property held

and income received by a trust (including a living trust) are

reported on Schedule A-2 if you, your spouse or registered

domestic partner, or your dependent children had a 10% or

greater interest in the trust and your pro rata share of a single

investment or interest in real property was $2,000 or more.

You have an interest in a trust if you are a trustor and:

• Can revoke or terminate the trust;

• Have retained or reserved any rights to the income or

principal of the trust or retained any reversionary or

remainder interest; or

• Have retained any power of appointment, including the

power to change the trustee or the beneciaries.

Terms & Denitions - (Continued)

FPPC Form 700 Reference Pamphlet (2009/2010)

FPPC Toll-Free Helpline: 866/ASK FPPC www.fppc.ca.gov

Ref. Pamphlet - 15

Or you are a beneciary and:

• Presently receive income; or

• Have an irrevocable future right to receive income

or principal. (See FPPC Regulation 18234 for more

information.)

Examples:

• Sarah Murphy has set up a living trust which holds her

principal residence, stock in several companies that

do business in her jurisdiction, and a rental home in

her agency’s jurisdiction. Since Sarah is the trustor

and she can revoke or terminate the trust, she must

disclose any stock worth $2,000 or more and the rental

home on Schedule A-2. Sarah’s residence is not

reportable.

• Ben Yee is listed as a beneciary in his grandparents’

trust. However, Ben does not presently receive income

from the trust, nor does he have an irrevocable future

right to receive income or principal. Therefore, Ben

is not required to disclose any assets contained in his

grandparents’ trust.

Blind Trusts:

A blind trust is a trust managed by a disinterested trustee

who has complete discretion to purchase and sell assets

held by the trust. If you have a direct, indirect, or beneficial

interest in a blind trust, you may not be required to disclose

your pro rata share of the trust’s assets or income.

However, the trust must meet the standards set out in

FPPC Regulation 18235, and you must disclose reportable

assets originally transferred into the blind trust and income

from those original assets on Schedule A-2 until they have

been disposed of by the trustee.

Trustees:

If you are only a trustee, you do not have a reportable

interest in the trust. However, you may be required

to report the income you received from the trust for

performing trustee services.

Wedding Gifts: Wedding gifts must be disclosed if they

were received from a reportable source during the period

covered by the statement. Gifts valued at $50 or more

are reportable; however, a wedding gift is considered a

gift to both spouses equally. Therefore, you would count

one-half of the value of a wedding gift to determine if it is

reportable and need only report individual gifts with a total

value of $100 or more, unless a particular gift can only be

used by you or is intended only for your use.

For example, you receive a place setting of china valued at

$150 from a reportable source as a wedding gift. Because

the value to you is $50 or more, you must report the gift on

Schedule D, but may state its value as $75.

Wedding gifts are not subject to the $420 gift limit, but they

are subject to the $10 lobbyist/lobbying rm gift limit for

state ofcials.

Privacy Information Notice

Information requested on all FPPC forms is used by the

FPPC to administer and enforce the Political Reform Act

(Gov. Code Sections 81000-91014 and California Code

of Regulations Sections 18109-18997). All information

required by these forms is mandated by the Political

Reform Act. Failure to provide all of the information

required by the Act is a violation subject to administrative,

criminal, or civil prosecution. All reports and statements

provided are public records open for public inspection and

reproduction.

If you have any questions regarding this Privacy Notice or

how to access your personal information, please contact

the FPPC at:

General Counsel

Fair Political Practices Commission

428 J Street, Suite 620

Sacramento, CA 95814

(916) 322-5660

Terms & Denitions - (continued)

or greater. Income includes your gross income and your

community property interest in your spouse’s or registered

domestic partner’s gross income totaling $500 or more.

Gross income is the total amount of income before deducting

expenses, losses, or taxes. (See Gov. Code Section 82030.)

What is a Loan?

Loans received or outstanding are reportable if they total

$500 or more from a single lender. Your community

property interest in loans received by your spouse or

registered domestic partner also must be reported. (See

Gov. Code Section 82030(a).)

What is a Gift?

A gift is anything of value for which you have not provided

equal or greater consideration to the donor. A gift is

reportable if its fair market value is $50 or more. In

addition, multiple gifts totaling $50 or more received from a

reportable source must be reported.

It is the acceptance of a gift, not the ultimate use to which

it is put, that imposes your reporting obligation. Therefore

you must report a gift even if you never used it or if you

gave it away to another person.

If the exact amount of a gift is not known, you must make a

good faith estimate of the item’s fair market value. Listing

the value of a gift as “over $50” or “value unknown” is not

adequate disclosure.

Commonly reportable gifts include:

• Tickets/passes to sporting or entertainment events

• Tickets/passes to amusement parks

• Parking passes

• Food, beverages, and accommodations, including that

provided in direct connection with your attendance at

a convention, conference, meeting, social event, meal,

or like gathering, where you did not give a speech,

participate in a panel or seminar, or provide a similar

service

• Rebates/discounts not made in the regular course of

business to members of the public without regard to

ofcialstatus

• Wedding gifts

• An honorarium. You may report an honorarium as

income rather than as a gift if you provided services of

equal or greater value than the payment received.

• Transportation and lodging

• Forgiveness of a loan received by you

(See Gov. Code Section 82028.)

FPPC Form 700-U (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Who Files Form 700-U?

ThisformmustbeledbyallpersonsemployedbyUCor

CSUwhohaveprincipalresponsibilityforaresearchproject

iftheprojectistobefundedorsupported,inwholeorin

part, by a contract or grant (or other funds earmarked by

thedonorforaspecicresearchprojectorforaspecic

researcher) from a nongovernmental entity.

Reporting requirements are outlined in Regulation 18755.

This regulation provides that research funding by certain

nonprotentitieswillnottriggerdisclosure.Thisregulationis

available on the FPPC website.

What is the Reporting Period?

For"initial"statements,beforethenalacceptanceofthe

contract,grant,orgift,thelermustreportinvestmentsin

and business positions with the sponsor as of the date that

the award is made, and income and gifts received from

the sponsor within the 12 months prior to the date that the

award is made.

For"interim"statements,thelermustsubmitastatement

within 30 days after the contract, grant, or gift is renewed

that discloses reportable investments, income and

businesspositionsthatthelerheldorreceivedduringthe

periodbetweenthedatetheinitialstatementwasledand

thedatetheprojectcontract,grant,orgiftwasrenewed.

What is an Investment?

“Investment”meansanynancialinterestinabusiness

entity in which you, your spouse or registered domestic

partner, or your dependent children have a direct, indirect,

orbenecialinteresttotaling$2,000ormore.Reportable

investments include stocks, bonds, warrants, and options,

including those held in margin or brokerage accounts and

investment funds. Common examples of investment funds

are index funds, exchange-traded funds, and venture capital

funds. (See Gov. Code Section 82034.)

What is Income?

“Income” means a payment received, including but not limited

to any salary, wage, advance, dividend, interest, rent, proceeds

from any sale, gift, including any gift of food or beverage, loan

forgivenessorpaymentofindebtednessreceivedbytheler,

reimbursement for expenses, per diem, or contribution to an

insurance or pension program paid by any person other than

an employer, and any community property interest in income

of a spouse or registered domestic partner. Income also

includes an outstanding loan. Income of an individual also

includes a pro rata share of any income of any business entity

or trust in which the individual, spouse, or registered domestic

partnerownsdirectly,indirectly,orbenecially,a10%interest

Instructions for Completing

Form 700-U

700-U

CALIFORNIA

FORM

A. Areyouadirector, ofcer, partner,trustee, consultant,

employee, or do you hold a position of management in

the entity listed in Part 1? No

Yes

Title:

Initial (for new funding)

Date of initial funding: / /

STATEMENT OF ECONOMIC INTERESTS

FOR

PRINCIPAL INVESTIGATORS

A Public Document

NAME (LAST) (FIRST) (MIDDLE)

ACADEMICUNITORDEPARTMENT MAILCODE

( )

TELEPHONENUMBER

FPPC Form 700-U (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Name of Entity:

Address of Entity:

PrincipalBusinessofEntity:

Amount of Funding: $

Estimated

Actual

3. Filer Information

1. Information Regarding Funding Entity

(UseaseparateForm700-Uforeach funding entity.)

3. Filer Information - Cont.

E-MAIL ADDRESS

Date Received

Campus Use Only

Please type or print in ink.

700-U

FAIR POLITICAL PRACTICES COMMISSION

CALIFORNIA

FORM

2. Type of Statement (Check at least one box)

Interim (for renewed funding)

Funding was renewed on: / /

E. Have you received gifts from the entity listed in Part 1

within the last 12 months valued at $50 or more?

Yes

– describe below.

Description:

Value: $ Date Received: / /

D. Have you received loans from the entity in Part 1 for which

the balance exceeded $500 during the reporting period?

Yes

– highest balance:

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000 Exceeded $100,000

If you checked “yes,” was the loan:

Secured  Unsecured Interestrate: %

Was the loan entirely repaid within the last 12 months?

No Yes

Campus:

ID No:

B. Doyou,yourspouseorregistereddomesticpartner, or

your dependent children have an investment of $2,000

or more in the entity listed in Part 1 above?

Yes

– value is:

$2,000 - $10,000 $10,001 - $100,000

$100,001 - $1,000,000 Exceeds $1,000,000

Date Disposed:

/ / , if applicable

Description:

Amt: $ date(s): / / / /

(If applicable)

Type of Payment: (check one) Gift Income

F. Has the entity in Part 1 paid for your travel during the

reporting period

? No

Yes

– describe below.

4. Verication

I have used all reasonable diligence in preparing this statement. I

have reviewed this statement and to the best of my knowledge the

information contained herein and in any attached schedules is true

andcomplete.Icertifyunderpenaltyofperjuryunderthelawsof

the State of California that the foregoing is true and correct.

Date Signed

(month, day, year)

Signature

(File the originally signed statement with your university.)

The Form 700-U is for university use only.

This statement is a public record under Gov. Code Section 81008(a).

TITLEOF RESEARCHPROJECT

C. Have you received income of $500 or more from the

entity listed in Part 1 during the reporting period?

Yes

– amount is:

$500 - $1,000 $1,001 - $10,000

$10,001 - $100,000 Exceeds $100,000

Was this income received through your spouse or

registered domestic partner?

No Yes

Completion Statement, CSU Req. Project ended:

Clear Form

Print Form

• Food, beverages, and necessary accommodations

received directly in connection with an event held inside

or outside California at which you gave a speech,

participated in a panel, or provided a similar service

(note that payments for transportation outside of

California are reportable)

• A travelpaymentwhich was receivedfroma nonprot

entity exempt from taxation under IRS Code Section

501(c)(3) for which you provided equal or greater

consideration

Check the box to indicate if the payment was a gift or

income, report the amount, and disclose the date(s) if

applicable.

Violations

FailuretoletherequiredStatementofEconomicInterests

orfailuretoreportanancialinterestmaysubjecta

principalinvestigatortocivilliability,includingnes,as

wellasUniversitydiscipline.(Gov.CodeSections81000-

91014)

Privacy Information Notice

Information requested on all FPPC forms is used by the

FPPC to administer and enforce the Political Reform

Act (Gov. Code Sections 81000-91014 and Regulations

18109-18997). All information required by these forms is

mandated by the Political Reform Act. Failure to provide

all of the information required by the Act is a violation

subjecttoadministrative,criminalorcivilprosecution.All

reports and statements provided are public records open

for public inspection and reproduction.

If you have any questions regarding this Privacy Notice or

how to access your personal information, please contact

the FPPC at:

General Counsel

Fair Political Practices Commission

428JStreet, Suite 620

Sacramento, CA 95814

(916)322-5660

What is a Travel Payment?

Travel payments include advances and reimbursements

for travel and related expenses, including lodging and

meals.

• Travel payments are gifts if you did not provide

services which were equal to or greater in value

than the payments received. You must disclose gifts

totaling $50 or more from a single source during

the period covered by the statement. Gifts of travel

are reportable without regard to where the donor is

located.

When reporting travel payments which are gifts, you

must provide a description of the gift and the date(s)

received.

Travel payments are income if you provided services

which were equal to or greater in value than the

payments received. You must disclose income

totaling $500 or more from a single source during the

periodcoveredby the statement.Thelerhasthe

burden of proving the payments are income rather

than gifts.

When reporting travel payments as income, you must

describe the services you provided in exchange for

the payment. You are not required to disclose the

date(s) for travel payments which are income.

Giftsoftravel may besubjectto a $420giftlimit.  In

addition, certain travel payments are reportable gifts, but

arenotsubject to thegiftlimit.  SeetheFPPC fact sheet

entitled “Limitations and Restrictions on Gifts, Honoraria,

Travel, and Loans,” which can be obtained from the

FPPC at www.fppc.ca.gov.

You are not required to disclose:

• Travel payments received from any state, local, or

federal government agency for which you provided

services equal or greater in value than the payments

received

• Travel payments received from your employer in the

normal course of your employment

• Payments or reimbursements for transportation within

California in connection with an event at which you

gave a speech, participated in a panel or seminar, or

performed a similar service

Instructions for Completing

Form 700-U (continued)

700-U

CALIFORNIA

FORM

FPPC Form 700-U (2009/2010)

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

Example

California Fair Political

Practices Commission

Toll-free advice line: 1 (866) ASK-FPPC

Website: www.fppc.ca.gov

Limitations and

Restrictions on

Gifts, Honoraria,

Travel and Loans

A Fact Sheet for

 Elected State Officers and Candidates for Elective

State Office

 Members of State Boards and Commissions

 Designated Employees of State Government

Agencies

 State Officials Who Manage Public Investments

January 2009

Fair Political Practices Commission 1 State Officials, 1/2009

The Political Reform Act

(the “Act”) imposes

limits on gifts, prohibits honoraria payments,

and imposes limits and other restrictions on

the receipt of travel payments and personal

loans by the following state officials:

 Elected state officers, candidates for

elective state office, and other state

officials specified in Government Code

section 87200

 Members of state boards and

commissions

 Designated employees of state agencies

(i.e., officials and employees of state

agencies who file statements of economic

interests (Form 700) under their agency’s

conflict of interest code)

This fact sheet summarizes the major

provisions of the Act concerning gifts,

honoraria, travel, and loans. You should not,

however, rely on the fact sheet alone to

ensure compliance with the Act. If you have

any questions, contact the Fair Political

Practices Commission at (866) ASK-FPPC or

visit our Website at www.fppc.ca.gov.

Commission advice letters from 1986 to

present are available on Lexis-Nexis at “CA

FAIR” under California Library or on Westlaw

at “CA-ETH.”

Ethics Training

Most state agency officials are required to

complete an ethics training course. Contact

your agency for course information. Also see

the FPPC Website for a link to state agency

ethics training.

Introduction

1-866-ASK-FPPC

Government Code sections 81000-91014. Commission regulations appear at 2 California Code of Regulations

section 18000, et seq.

The gift limit and honoraria prohibition do not apply to judges (although they do apply to candidates for judicial

office) or to any part-time member of the governing board of any public institution of higher education, unless the

member is also an elected official. (Sections 89502 and 89503.)

State officials specified in section 87200 include elected state officers, candidates for elective state office,

members of the Public Utilities Commission, Energy Resources Conservation and Development Commission, Fair

Political Practices Commission, and California Coastal Commission, and officials who manage public investments.

Fair Political Practices Commission 2 State Officials, 1/2009

Limitations

Elected state officers, candidates for elective

state office, and other state agency officials

and employees are subject to two gift limits:

1. Elected state officers, candidates for

elective state office, and designated

employees of the legislature may not accept

gifts aggregating more than $10 in a

calendar month from any single lobbyist or

lobbying firm. State agency officials,

including board and commission members,

officials who manage public investments, and

employees, may not accept gifts aggregating

more than $10 in a calendar month from a

single lobbyist or lobbying firm if the lobbyist

or firm is registered to lobby the official or

employee’s agency. (Sections 86201-

86204.)

2. Gifts from any other single source

may not exceed $420 in a calendar year.

For officials and employees who file

statements of economic interests (Form 700)

under a state agency’s conflict of interest

code (“designated employees”), this limit

applies only if the official or employee would

be required to report income or gifts from that

source on the Form 700, as outlined in the

“disclosure category” portion of the agency’s

conflict of interest code. (Section 89503.)

What is a “Gift”?

A “gift” is any payment or other benefit

provided to you that confers a personal

benefit for which you do not provide goods or

services of equal or greater value. A gift

includes a rebate or discount in the price of

anything of value unless the rebate or

discount is made in the regular course of

business to members of the public. (Section

82028.) (See FPPC Regulation 18946.1 for

valuation guidelines.)

Except as discussed below, you have

“received” or “accepted” a gift when you

know you have actual possession of the gift

or when you take any action exercising

direction or control over the gift, including

discarding the gift or turning it over to

another person. (Regulation 18941.)

Exceptions

The Act and Commission regulations provide

exceptions for certain types of gifts. (Section

82028; Regulations 18940-18946.5.) The

following are not subject to any gift limit

and are not required to be disclosed on a

statement of economic interests (Form

700):

1. Gifts which you return (unused) to the

donor, or for which you reimburse the donor,

within 30 days of receipt. (Section 82028(b)

(2); Regulation 18943.)

2. Gifts which you donate (unused) to a

non-profit, tax-exempt (501(c)(3))

organization or a government agency within

30 days of receipt without claiming a

deduction for tax purposes. (Section 82028

(b)(2); Regulation 18943.)

3. Gifts from your spouse, child, parent,

grandparent, grandchild, brother, sister,

Section 89503 provides for a biennial adjustment to the gift limit to reflect changes in the Consumer Price Index.

For 2009-2010, the gift limit is $420. (Section 89503; Regulation 18940.2.) Gifts from a single source that

aggregate $50 or more must be disclosed, and gifts aggregating $420 or more received by an official may subject

the official to disqualification with respect to the source (Section 87103(e).) Designated employees should obtain a

copy of their conflict of interest code from their agency. Some conflict of interest codes require very limited

disclosure of income and gifts. If your agency’s conflict of interest code requires you to disclose income and gifts

only from specified sources, gifts from sources that are not required to be disclosed are not subject to the $420 gift

limit.

Gifts

Fair Political Practices Commission 3 State Officials, 1/2009

parent-in-law, brother-in-law, sister-in-law,

aunt, uncle, niece, nephew, or first cousin or

the spouse of any such person, unless he or

she is acting as an agent or intermediary for

another person who is the true source of the

gift. (Section 82028(b)(3); Regulation 18942

(a)(3).)

4. Gifts of hospitality including food,

drink, or occasional lodging that you receive

in an individual’s home when the individual or

a member of his or her family is present.

(Regulation 18942(a)(7).) Such hospitality

provided by a lobbyist is a gift if it is paid for

or reimbursed by the lobbyist employer or if

the lobbyist deducts the cost as a business

expense. (Regulation 18630.)

5. Gifts approximately equal in value

exchanged between you and another

individual (other than a lobbyist) on holidays,

birthdays, or similar occasions to the extent

that the gifts exchanged are not substantially

disproportionate in value. (Regulation 18942

(a)(8).)

6. Informational material provided to

assist you in the performance of your official

duties, including books, reports, pamphlets,

calendars, periodicals, videotapes, or free

admission or discounts to informational

conferences or seminars.

“Informational material” may also include

scale models, pictorial representations,

maps, and other such items, provided that if

the item’s fair market value is more than

$420, you have the burden of demonstrating

that the item is informational. In addition, on-

site demonstrations, tours, or inspections

designed specifically for public officials are

considered informational material, but this

exception does not apply to meals or to

transportation to the site unless the

transportation is not commercially available.

(Section 82028(b)(1); Regulations 18942(a)

(1) and 18942.1.)

7. A devise or inheritance. (Section

82028(b)(5); Regulation 18942(a)(5).)

8. Campaign contributions, including

rebates or discounts received in connection

with campaign activities. (Section 82028(b)

(4); Regulation 18942(a)(4).) However,

campaign contributions must be reported in

accordance with the campaign disclosure

provisions of the Act and may be subject to

the contribution limitations imposed by the

Act.

9. Personalized plaques and trophies

with an individual value of less than $250.

(Section 82028(b)(6); Regulation 18942(a)

(6).)

10. A single ticket or other admission

privilege, for your own use, to attend a

fundraiser for a campaign committee or

candidate, or to a fundraiser for an

organization exempt from taxation under

Section 501(c)(3) of the Internal Revenue

Code. The ticket may only be received from

the organization or committee holding the

fundraiser. The nondeductible value of a

ticket to a 501(c)(3) fundraiser may not

exceed the gift limit. (Regulation 18946.4.)

11. Free admission, refreshments, and

similar non-cash nominal benefits provided to

you at an event at which you give a speech,

participate in a panel or seminar, or provide a

similar service. Transportation within

California, and any necessary lodging and

subsistence provided directly in connection

with the speech, panel, seminar, or similar

service, are also not considered gifts.

(Regulation 18942(a)(11).)

12. Passes or tickets that provide

admission or access to facilities, goods,

services, or other benefits (either on a one-

time or repeated basis) that you do not use

and do not give to another person.

(Regulation 18946.1.)

13. Gifts provided directly to members of

your family unless: a) you receive a direct

benefit from the gift (other than a benefit of

nominal value); b) you use the gift (and your

use is more than nominal or incidental); or c)

Fair Political Practices Commission 4 State Officials, 1/2009

you exercise discretion or control over the

use or disposition of the gift. Factors used to

determine the recipient of a gift include the

relationship between the donor and family

member, nature of the gift, and the manner in

which the gift was offered. (Regulation

18944.) (Note: In most cases, the full amount

of a gift made to you and your spouse must

be counted for purposes of disclosure and the

gift limits. However, see the discussion below

regarding wedding gifts.)

14. Gifts provided to your government

agency. This may include passes or tickets

to facilities, goods or services, travel

payments, and other benefits. However, this

exception does not apply to elected officials

and officials specified in Government Code

Section 87200 (see page 1) with regard to

travel payments. In addition, certain other

conditions must be met before a gift received

by an official through his or her agency would

not be considered a gift to the official. An

agency must disclose specified payments on

its Website. (Regulations 18944.1-18944.2.)

Contact the FPPC for detailed information.

15. Generally, payments made by a third

party to co-sponsor an event that is

principally legislative, governmental, or

charitable in nature. Payments made by a

single source totaling $5,000 or more in a

calendar year for this type of event must be

reported if the payments are made at the

behest of (at the request of, or in consultation

or coordination with) an elected official. The

report must be made to the elected official’s

agency, and then forwarded to the Fair

Political Practices Commission. (Section

82015(b)(2)(B)(iii).)

16. Leave credits (e.g., sick leave or

vacation credits) received under a bona fide

catastrophic or emergency leave program

established by your employer and available

to all employees in the same job

classification or position. Donations of cash

are gifts and are subject to limits and

disclosure. (Regulation 18942(a)(9).)

17. Food, shelter, or similar assistance

received in connection with a disaster relief

program. The benefits must be received

from a governmental agency or charity and

must be available to the general public.

(Regulation 18942(a)(10).)

Reportable Gifts Not Subject to Limits

The following exceptions are also

applicable to gifts, but you may be

required to report these items on a

statement of economic interests (Form

700) and they can subject you to

disqualification:

1. Certain payments for transportation,

lodging, and subsistence. Travel payments

are discussed below. See Regulation

18946.6 to determine the value of gifts of air

transportation.

2. Wedding gifts are not subject to the

$420 gift limit, but they are subject to the $10

lobbyist/lobbying firm gift limit. In addition,

wedding gifts are reportable. However, for

purposes of valuing wedding gifts, one-half of

the value of each gift is attributable to each

spouse, unless the gift is intended

exclusively for the use and enjoyment of one

spouse, in which case the entire value of the

gift is attributable to that individual.

(Regulation 18946.3.)

3. A prize or award received in a bona

fide competition not related to your official

status is not subject to the gift limit, but must

be reported as income. Therefore, it is

reportable if the value of the prize or award is

$500 or more. (Section 87207; Regulation

18946.5.)

Designated employees should consult the “disclosure category” portion of their agency’s conflict of interest code

to determine if a particular source of income or gifts must be disclosed.

Fair Political Practices Commission 5 State Officials, 1/2009

The Prohibition

State officials specified in Government Code

section 87200 (see page 1) are prohibited

from receiving honoraria payments. Officials

and employees of state agencies who file

statements of economic interests (Form 700)

under the agency’s conflict of interest code

(“designated employees”) may not receive

honoraria payments from any source if the

employee would be required to report income

or gifts from that source on the Form 700, as

outlined in the “disclosure category” portion

of the conflict of interest code. (Section

89502.)

What is an “Honorarium”?

An “honorarium” is any payment made in

consideration for any speech given, article

published, or attendance at any public or

private conference, convention, meeting,

social event, meal, or like gathering.

(Section 89501.)

A “speech given” means a public address,

oration, or other form of oral presentation,

including participation in a panel, seminar, or

debate. (Regulation 18931.1.)

An “article published” means a nonfictional

written work: 1) that is produced in

connection with any activity other than the

practice of a bona fide business, trade, or

profession; and 2) that is published in a

periodical, journal, newspaper, newsletter,

magazine, pamphlet, or similar publication.

(Regulation 18931.2.)

“Attendance” means being present during,

making an appearance at, or serving as host

or master of ceremonies for any public or

private conference, convention, meeting,

social event, meal, or like gathering.

(Regulation 18931.3.)

Exceptions

The Act and Commission regulations provide

certain exceptions to the prohibition on

honoraria. (Section 89501; Regulations

18930-18933.) The payments described

below are not prohibited and are not

required to be disclosed on a statement

of economic interests (Form 700):

1. An honorarium that you return

(unused) to the donor or the donor’s agent or

intermediary within 30 days. (Section 89501

(b); Regulation 18933.)

2. An honorarium that is delivered to the

State Controller within 30 days for donation

to the General Fund for which you do not

claim a deduction for income tax purposes.

(Section 89501(b); Regulation 18933.)

3. A payment that is not delivered to you

but is made directly to a bona fide charitable,

educational, civic, religious, or similar tax-

exempt, non-profit organization. However:

 You may not make the donation a

condition for your speech, article, or

attendance;

 You may not claim the donation as a

deduction for income tax purposes;

 You may not be identified to the non-

profit organization in connection with

the donation; and

 The donation may have no reasonably

foreseeable financial effect on you or

on any member of your immediate

family. (Regulation 18932.5.)

4. A payment received from your

spouse, child, parent, grandparent,

grandchild, brother, sister, parent-in-law,

brother-in-law, sister-in-law, nephew, niece,

aunt, uncle, or first cousin, or the spouse of

any such person. However, a payment that

would be considered an honorarium is

prohibited if one of these persons is acting as

Honoraria

Fair Political Practices Commission 6 State Officials, 1/2009

an agent or intermediary for someone else.

(Regulation 18932.4(b).)

5. Items 6, 8, 9, and 11 under

“Exceptions to the Definition of ‘Gift’,”

discussed earlier in this fact sheet.

(Regulation 18932.4.)

Exceptions That May Be Reportable as

Income or Gifts

The following payments are not

considered “honoraria” but may be

reportable and can subject you to

disqualification:

1. Payments received for a comedic,

dramatic, musical, or other similar artistic

performance, and payments received for the

publication of books, plays, or screenplays.

(Regulation 18931.1-18931.2.) However,

such payments are reportable income.

2. Income earned for your personal

services if the services are provided in

connection with a bona fide business, trade,

or profession —such as teaching, practicing

law, medicine, insurance, real estate,

banking, or building contracting — and the

services are customarily provided in

connection with the business, trade, or

profession.

This exception does not apply if the sole or

predominant activity of the business, trade,

or profession is making speeches. In

addition, you must meet certain criteria to

establish that you are a bona fide business,

trade, or profession (such as maintenance of

business records, licensure, proof of

teaching position) before a payment received

for personal services that may meet the

definition of honorarium would be considered

earned income and not an honorarium.

(Section 89501(b); Regulations 18932-

18932.3.) Earned income is required to be

reported. Contact the FPPC for detailed

information.

3. Free admission, food, beverages, and

other non-cash nominal benefits provided to

you at any public or private conference,

convention, meeting, social event, meal, or

similar gathering, whether or not you provide

any substantive service at the event.

(Regulation 18932.4(f).) Although these

items are not considered honoraria, they may

be reportable gifts and subject to the gift

limit.

4. Certain payments for transportation,

lodging, and subsistence are not considered

honoraria but may be reportable and subject

to the gift limit. (Sections 89501(c) and

89506.) Travel payments are discussed

below.

Designated employees should consult the “disclosure category” portion of their agency’s conflict of interest code

to determine if a particular source of income or gifts must be disclosed.

Fair Political Practices Commission 7 State Officials, 1/2009

The Act and Commission regulations provide

exceptions to the gift limit and honoraria

prohibition for certain types of travel

payments. (Section 89506; Regulations

18950-18950.4.)

The term “travel payment” includes payments,

advances, or reimbursements for travel,

including actual transportation and related

lodging and subsistence. (Section 89506(a).)

Exceptions

The following types of travel payments

are not prohibited or subject to any limit

and are not reportable on a statement of

economic interests (Form 700):

1. Transportation within California

provided to you directly in connection with an

event at which you give a speech, participate

in a panel or seminar, or provide a similar

service. (Regulation 18950.3.)

2. Free admission, refreshments, and

similar non-cash nominal benefits provided to

you during the entire event (inside or outside

California) at which you give a speech,

participate in a panel or seminar, or provide a

similar service. (Regulation 18950.3.)

3. Necessary lodging and subsistence

(inside or outside California), including meals

and beverages, provided to you directly in

connection with an event at which you give a

speech, participate in a panel or seminar, or

provide a similar service. In most cases, the

exclusion for meals and beverages is limited

to those provided on the day of the activity.

(Regulation 18950.3.)

4. Travel payments provided to you by

the State of California or by any state, local,

or federal government agency which would

be considered income and not a gift (i.e.,

payments for which you provide equal or

greater consideration). (Section 89506(d)(2);

Regulation 18950.1(d).)

5. Reimbursements for travel expenses

provided to you by a bona fide non-profit, tax

-exempt (501(c)(3)) entity for which you

provide equal or greater consideration.

(Section 82030(b)(2).)

6. Travel payments provided to you

directly in connection with campaign

activities. However, these payments must be

reported in accordance with the campaign

disclosure provisions of the Act.

(Regulations 18950.1(c); 18950.4.)

7. Any payment for travel that is

excluded from the definition of “gift” as

discussed earlier in this fact sheet.

Reportable Payments Not Subject to

Limit

The following travel payments are not

prohibited or subject to the $420 gift limit

but may be reportable on a statement of

economic interests (Form 700).

If the

travel payment would otherwise be

considered a gift under the Act (i.e., you did

not provide equal or greater consideration for

the payment), the payment would be subject

to the $10 lobbyist/lobbying firm gift limit.

1. Travel that is reasonably necessary in

connection with a bona fide business, trade,

Travel Payments

Designated employees should consult the “disclosure category” portion of their agency’s conflict of interest code

to determine if a particular source of income or gifts must be disclosed.

Under Article IV, Section 4(a), and Article V, Section 14(a), of the California Constitution, elected state officers

are prohibited from receiving salary, wages, commissions or other earned income from a lobbyist, lobbying firm or

person who, during the previous 12 months, has been under a contract with the Legislature.

Fair Political Practices Commission 8 State Officials, 1/2009

or profession, and which satisfies the criteria

for federal income tax deductions for

business expenses specified in Sections 162

and 274 of the Internal Revenue Code.

(Section 89506(d)(3); Regulation 18950.1

(e).) For reporting purposes, these travel

payments would be considered part of the

salary, wages, and other income received

from the business entity and would be

reported on Schedule A-2 or C of Form 700.

2. Travel within the United States that is

reasonably related to a legislative or

governmental purpose — or to an issue of

state, national, or international public policy

— in connection with an event at which you

give a speech, participate in a panel or

seminar, or provide a similar service.

Lodging and subsistence expenses in this

case are limited to the day immediately

preceding, the day of, and the day

immediately following the speech, panel, or

other similar service. (Section 89506(a)(1);

Regulation 18950.1(a)(2).)

Note that this exception is different than

travel payments described earlier. Under the

circumstances described in this paragraph,

transportation outside California but within

the United States is not subject to the $420

gift limit but is reportable and can subject a

public official to disqualification. On the other

hand, transportation inside California in

connection with a speech is not limited,

reportable, or disqualifying. (Regulation

18950.3.)

In addition, the lodging and subsistence

payments described in this paragraph can be

provided both the day before and the day

after a speech without being subject to the

$420 limit. However, payments for lodging

and subsistence are reportable

and subject

to the lobbyist gift limit unless they are

received directly in connection with the

speech.

3. Travel not in connection with giving a

speech, participating in a panel or seminar,

or providing a similar service but which is

reasonably related to a legislative or

governmental purpose, or to an issue of

state, national, or international public policy,

and which is provided by:

 A government, governmental agency,

foreign government, or government

authority;

 A bona fide public or private

educational institution defined in

Section 203 of the California Revenue

and Taxation Code;

 A non-profit organization that is exempt

from taxation under Section 501(c)(3) of

the Internal Revenue Code; or

 A foreign organization that substantially

satisfies the requirements for tax-

exempt status under Section 501(c)(3)

of the Internal Revenue Code.

(Section 89506(a)(2); Regulation 18950.1(b).)

Fair Political Practices Commission 9 State Officials, 1/2009

Personal loans received by certain state

officials are subject to limits and other

restrictions and, in some circumstances, a

personal loan that is not being repaid or is

being repaid below certain amounts may

become a gift to the official who received it.

Limitations on Loans from Agency

Officials, Consultants, and

Contractors

If you are an elected official, an official

specified in Section 87200 (see page 1), or

you are exempt from the state civil service

system pursuant to subdivisions (c), (d), (e),

(f), or (g) of Section 4 of Article VII of the

Constitution, you may not receive a personal

loan that exceeds $250 at any given time from

an officer, employee, member, or consultant

of your government agency or an agency over

which your agency exercises direction and

control. (Section 87460(a) and (b).)

In addition, you may not receive a personal

loan that exceeds $250 at any given time

from any individual or entity that has a

contract with your government agency or an

agency over which your agency exercises

direction and control. This limitation does not

apply to loans received from banks or other

financial institutions, and retail or credit card

transactions, made in the normal course of

business on terms available to members of

the public without regard to your official

status. (Section 87460(c) and (d).)

Loan Terms Applicable Only to

Elected Officials

In addition to the limitations above, if you are

an elected official, you may not receive a

personal loan of $500 or more unless the

loan is made in writing and clearly states the

terms of the loan. The loan document must

include the names of the parties to the loan

agreement, as well as the date, amount,

interest rate, and term of the loan. The loan

document must also include the date or

dates when payments are due and the

amount of the payments. (Section 87461.)

The following loans are not subject to

these limits and documentation

requirements:

1. Loans received by an elected officer’s

or candidate’s campaign committee.

2. Loans received from your spouse,

child, parent, grandparent, grandchild,

brother, sister, parent-in-law, brother-in-law,

sister-in-law, nephew, niece, aunt, uncle, or

first cousin, or the spouse of any such

person unless he or she is acting as an

agent or intermediary for another person not

covered by this exemption.

3. Loans made, or offered in writing, prior

to January 1, 1998. (Sections 87460 and

87461.)

Loans as Gifts

Under the following circumstances, a

personal loan received by any public official

(elected and other officials specified in

Section 87200, as well as any other state

official or employee required to file

statements of economic interests) may

become a gift and subject to gift reporting

and limitations:

1. If the loan has a defined date or dates

for repayment and has not been repaid, the

loan will become a gift when the statute of

limitations for filing an action for default has

expired.

2. If the loan has no defined date or dates

for repayment, the loan will become a gift if it

remains unpaid when one year has elapsed

from the later of:

 The date the loan was made;

Loans

Fair Political Practices Commission 10 State Officials, 1/2009

 The date the last payment of $100 or

more was made on the loan; or

 The date upon which you have made

payments aggregating to less than

$250 during the previous 12 months.

(Section 87462.)

The following loans will not become gifts:

1. A loan made to an elected officer’s or

candidate’s campaign committee. This loan

would, however, be a campaign contribution.

Consult the FPPC campaign manual for state

candidates (Manual 1) for more details.

2. A loan described above on which the

creditor has taken reasonable action to

collect the balance due.

3. A loan described above on which the

creditor, based on reasonable business

considerations, has not undertaken collection

action. (However, except in a criminal

action, the creditor has the burden of proving

that the decision not to take collection action

was based on reasonable business

considerations.)

4. A loan made to an official who has filed

for bankruptcy and the loan is ultimately

discharged in bankruptcy.

5. A loan that would not be considered a

gift as outlined earlier in this fact sheet (e.g.,

loans from certain family members).

(Section 87462.)

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