UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-8001 831/582-3500

MEMORANDUM

TO: Corporation Board of Directors

CC: Kevin R. Saunders, Corporation Executive Director FROM: Nancy S. Ayala

DATE: September 13, 2018

SUBJECT: Agenda and Read-Ahead Materials

Enclosed are the agenda and read-ahead materials for the Corporation Board of Directors meeting on Thursday, September 20, 2018. The meeting will be in the board room at the Alumni and Visitors Center on the CSUMB campus starting at 8:30 a.m. If you have any questions or concerns before the Board meeting, please feel free to contact me at nayala@csumb.edu or (831) 582-3396.

UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-9001 831/582-3500

Note: In accordance with Education Code §89921 and Foundation Bylaws Article VI §5, this agenda provides notice of the business to be transacted (i.e., topics for Board discussion). Action may be taken on any item on the agenda. The italicized notations above are for guidance purposes only and the Board may take action on any item listed on the agenda, whether

action is specifically prescribed.

Board of Directors Meeting Thursday, September 20, 2018 8:30 a.m. – 10:30 a.m.

Alumni and Visitor’s Center – Board Room

REGULAR MEETING AGENDA

I. Call to Order E. Ochoa

II. Governance *2 min. Appointment of Directors E. Ochoa (Action: Discussion)

III. Approval of Minutes *2 min. Approval of June 21, 2018 meeting minutes E. Ochoa (Action: Discussion and motion to approve the minutes) IV. New Business *5 min. A. 321-001-E: Procurement Policy N. Ayala (Action: Discussion and motion to adopt revised policy) *5 min. B. Resolution Approving the AORMA Benefits Program G. Kiama

(Action: Discussion and motion to adopt the resolution)

V. Reports 20 min. A. Board Fiduciary Responsibility S. Pearson

(Board Briefing, no action required) 10 min. B. Auxiliary Audit Committee Report W. Musselman

(Report to the Board, no action required) 15 min. C Presentation of the 2017/18 Audited Financial Report S. Baggett

(Discussion and motion to ratify the Committee’s approval of the audited financial report) *15 min. D. External Funding Update – Sponsored Programs C. Lopez

(Report to the Board, no action required) *15 min. E. Corporate and Foundation Relations – University Development C. Avila (Report to the Board, no action required) 10 min. F. Investment Committee Report R. Taylor (Report to the Board, no action required) 15 min. G. Executive Director’s Report K. Saunders

(Report to the Board, no action required)

VI. Unfinished Business - None

VII. Executive Session VIII. Open Communications/Announcements E. Ochoa

The next Board meeting is on December 13, 2018. IX. Adjournment E. Ochoa

UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-8001 831/582-3500

MEMORANDUM TO: Corporation Board of Directors CC: Kevin R. Saunders, Corporation Executive Director FROM: Nancy S. Ayala DATE: September 13, 2018

SUBJECT: 2018/19 Director Appointments, Corporation Board

Dr. Eduardo M. Ochoa, CSUMB President, has appointed the following

individuals as Directors for the Corporation Board of Directors for the terms specified: Ronnie Higgs Ph.D. 3 years (through June 2021) Scott Fausti (Faculty Rep.) 2 years (through June 2020)

If you have any questions or concerns before the Board meeting, please contact

me at (831) 582-3396 or nayala@csumb.edu.

1

01/04/2018 ABBREVIATED VITA

SCOTT WILLIAM FAUSTI

College of Business

California State University, Monterey Bay

BIT Building Room 317 427 Combs Court

Seaside CA 93955-8001 Marina, CA USA

Ph. 831-582-4274 Ph. 605-692-0819

Email: SFausti@csumb.edu

Backgrounda

EDUCATION Ph.D., 10-15-91, University of Illinois

M.S., 1988, University of Illinois

B.S., 1986, North Dakota State University

RESEARCH AREAS: Agricultural Markets, Applied Micro Theory, Economics of Uncertainty,

International Trade and Policy, Environmental Economics

PAST POSITION 1991-2016 Professor of Economics South Dakota State University:

Teaching 30% / USDA-AG Experiment Station Appointment 70%.

1990-91: Visiting Assistant Professor, North Dakota State University,

PRESENT POSITION Associate Professor of Agricultural Business

CSUMB since Aug 2016.

DISSERTATION TITLE "Three Essays on Illegal Transactions in International Trade."

HONORS AND AWARDS Graduated with University Honors in 1986. Elected to the SDSU Graduate

Faculty in 1996. Promoted to Associate Professor in 1996. Granted Tenure

in 1997. Promoted to Professor in 2001. Regional Fellow 1996-98:

Northern Plains and Rockies Center for the Study of Western Hemisphere

Trade. The Jerome F. Schwier Meritorious Service Award 2011 presented

by the Missouri Valley Economics Association. AAEA Applied Risk

Analysis Section Best Research Paper Award 2015.

CONSULTING Forensic Economist: I provided forensic economic services the legal

profession: Fausti Forensics LLP.

a Note, current academic vita is 20 pages long. The full vita lists over a hundred publications and an extensive list of professional service. At the suggestion of my Department, I have shortened this current version to include only 2014 forward given my two years of service credit. Full vita is available upon request.

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Teaching and Learning for AY 2014-17

TEACHING Present: Associate Professor, CSUMB. I am currently teaching

EXPERIENCE Microeconomic Theory (BUS 358) and Agribusiness Risk Management

(BUS 375).

COURSES TAUGHT

At South Dakota State

University International Trade and Finance, Math Econ, Intro to Stat, Intro to

Regression/Econometrics, Macro and Micro Principles, Graduate Micro

and Macro Theory, Comparative Economic Systems, Agricultural

Marketing and Prices, Applied Risk Management.

SDSU STUDENT

EVALUATION

SCORES 2014 Average Scores (5-Point Scale)

Thesis Director during Tenure at South Dakota State University

Shoji Maruyama, The Effect of Slaughter Cattle Quality Uncertainty on Wages in the Meat

Packing Industry, Masters Plan B, Dept. of Economics, South Dakota State University, July,

1995.

Steve Schamber, Factors Influencing Marketing Decisions in the Cash Market For Slaughter

Cattle, Masters Thesis, Dept. of Economics, South Dakota State University, July, 1997.

David Englund, Identifying Attributes that Lead to the Retained Ownership Decisions, Masters

Thesis, Dept. of Economics, South Dakota State University, November, 1997.

Econ 428 Mathematical Economics Raw Adj.

A. Progress on Relevant Objectives 4.3 4.3

B. Excellent Teacher 4.9 4.8

C. Excellent Course 4.4 4.5

D. Average of B & C 4.7 4.7

Summary (Average of A & D) 4.5 4.5

Econ 453/553: Applied Risk Analysis Raw Adj.

A. Progress on Relevant Objectives 4.5 4.3

B. Excellent Teacher 4.3 4.1

C. Excellent Course 4.1 3.7

D. Average of B & C 4.2 3.9

Summary (Average of A & D) 4.4 4.1

3

Feng Xu, The Change of Employment Structure in China’s Urban Areas, Masters Plan B, Dept. of

Economics, South Dakota State University, April, 2000.

Randel Keimig, A Comparison of South Dakota’s Mandatory Price Reporting System to the AMS

Voluntary Price Reporting System: An Empirical Analysis for Slaughter Steers Sold on a Live

Basis, Masters Thesis, Dept. of Economics, South Dakota State University, July, 2002.

Moore Simek, Intra-Industry Trade between the United States and Canada. Master Thesis, Dept.

of Economics, South Dakota State University, April 2004.

Priebe, Joe, The Effect of Mandatory Price Reporting on the Structure of Weekly Reported Grid

Premium and Discount Prices for Fed Cattle. Masters Thesis, Dept. of Economics, South Dakota

State University, April, 2004.

Aware, Rozhyer, Testing the Robustness of Relative Risk Elicitation Procedures using Cow/Calf

Operator’s Economic, Social, and Behavioral Attributes Masters Plan B, Dept. of Economics,

South Dakota State University, June, 2004.

Brent Lange, A Comparison of the Steer and Heifer Cattle Slaughter with Respect to Grid Pricing

and Marketing Channels. Masters Plan B, Dept. of Economics, South Dakota State University,

April, 2009. Mr. Lange’s Plan B paper received the Food Distribution Research Society’s 2010

William Applebaum Memorial Scholarship Award.

Ariel Keating, Insecticide Usage an Assessment of Application and Crop Selection: South Dakota

Agriculture Case Studies. Masters Thesis, Dept. of Economics, South Dakota State University,

2011.

Ting Ting He, A Review of the Beveridge Curve; Masters Plan B, Dept. of Economics, South

Dakota State University, April, 2012.

Thesis Committee Member or Director during credited time or appointment at California State

University, Monterey Bay for AY 2014-17

Member of Jacquiline Danso’s Graduate Thesis Committee. Thesis defended in 2015. Thesis

title: “U.S. Competition of Hard Spring Wheat Characteristics.” South Dakota State University.

Link: https://openprairie.sdstate.edu/etd/272/.

Member of Abidemi Akinyemi’s Graduate Thesis Committee. Thesis defended in 2016. Thesis

title: “Outsourcing to the developing economy: Its impacts on GDP and unemployment. A case

study of India and the United States of America.” South Dakota State University. Link:

https://search.proquest.com/docview/1837115328?pq-origsite=gscholar .

4

Member of Archibold Quaye’s Graduate Thesis Committee. Thesis defended in 2017. Thesis

title: “Heterogeneous Nitrogen Losses: Cost-Effectiveness Analysis of Changes in Management

across South Dakota.” South Dakota State University. Link:

https://search.proquest.com/docview/1903664045?pq-origsite=gscholar .

Thesis Advisor for Charlotte Owusu-Smart’s Graduate Thesis Committee. Thesis defended in

2017. Thesis title: “Factors affecting feedlots' decisions on cattle marketing options: A national

study.” South Dakota State University. Link:

https://search.proquest.com/docview/1882235074?pq-origsite=gscholar.

Teaching and Learning Material Creation

Fausti, S., Erickson, B. J., Clay, D. E., & Carlson, C. G. (2017). Deriving and using equations to

calculate the economic optimum fertilizer and seeding rates. Chapter 11 in Practical mathematics

and agronomy for precision farming. ASA, Madison WI.

Fausti, S., and Wang, T. (2017). Cost of Crop Production. Chapter 12 in Practical mathematics

and agronomy for precision farming. ASA, Madison WI.

Discovery, Creation, Integration for AY 2014-17

Referred Journal Articles (Impact Factors are from Thomson Reuters)

Fausti, S. W., Wang, Z., Qasmi, B. A., & Diersen, M. A. (2014). Risk and marketing behavior:

pricing fed cattle on a grid. Agricultural Economics, 45(5), 601-612. Impact F: 1.085: AAEA

Applied Risk Analysis Section Best Research Paper Award 2015.

Fausti, S. W., Diersen, M. A., Qasmi, B. A., & Adamson, B. (2015). The Influence of Market

Power and Market Trends on Grid Market Signals. Journal of Agricultural and Resource

Economics, 40(1), 112-123. Impact F: 0.433 in 2015.

Fausti, S. W. (2015). The causes and unintended consequences of a paradigm shift in corn

production practices. Environmental Science & Policy, 52, 41-50. Impact F: 3.7.

Lundgren, J. G., McDonald, T., Rand, T. A., & Fausti, S. W. (2015). Spatial and numerical

relationships of arthropod communities associated with key pests of maize. Journal of Applied

Entomology, 139(6), 446-456. Impact F: 1.64.

Lundgren, J. G., & Fausti, S. W. (2015). Trading biodiversity for pest problems. Science

advances, 1(6), e1500558. Joint first author. Impact factor available in 2018.

Mogren, C. L., Rand, T. A., Fausti, S. W., & Lundgren, J. G. (2016). The effects of crop

intensification on the diversity of native pollinator communities. Environmental

entomology, 45(4), 865-872. Impact factor: 1.60

5

Fausti, S. W., Fausti, S. W., Qasmi, B., Qasmi, B., Mc Daniel, K., & Mc Daniel, K. (2017). Does

ethanol production affect corn basis volatility?. Agricultural Finance Review, 77(4), 506-523.

Cite Score 2016: 0.61.

Research Awards

Agricultural & Applied Economics Association: Applied Risk Analysis Section Best Research

Paper Award 2015: Fausti, S.W., Wang, Z., Qasmi, B.A., and Diersen, M.A., "Risk and

Marketing Behavior: Pricing Fed Cattle on a Grid".

Published Abstracts, Book Chapters, and Government Research Reports:

Scott W. Fausti, Evert Van der Sluis, Bashir A. Qasmi, and Jonathan Lundgren, Biotechnology-

Based Bioenergy Production: Implications for Crop Rotations” Abstract published by the

Southern Agricultural Economics Association (2014):

http://ageconsearch.umn.edu/bitstream/183077/2/jaae463abstracts.pdf

Fausti, S., Erickson, B. J., Clay, D. E., & Carlson, C. G. (2017). Deriving and using equations to

calculate the economic optimum fertilizer and seeding rates. Chapter 11 in Practical mathematics

and agronomy for precision farming. ASA, Madison WI. Assigned to Teaching and Learning.

Fausti, S., and Wang, T. (2017). Cost of Crop Production. Chapter 12 in Practical mathematics

and agronomy for precision farming. ASA, Madison WI. Assigned to Teaching and Learning.

Diersen, M., and S.W. Fausti (2015). Price Discovery and Local Information in Cattle on Feed

Reports (No. 2015556). Economics Commentator #556. South Dakota State University,

Department of Economics.

Qasmi, Bashir A., Scott W. Fausti, and Keith R. Underwood (2015). "Consumers’ Preferences

and Willingness to Pay for Ground Bison. Economics Research Report Series: Research Paper

2015-2, South Dakota State University, Department of Economics.

Diersen, Matthew A. and Fausti, Scott W., "Small- and Medium-Sized Feedlots: Management and

Marketing Survey Results" (2017). Economics Research Reports. 86.

https://openprairie.sdstate.edu/econ_research/86.

Professional Association Meeting Presentations.

Fausti, S.W, Diersen, M.A., Qasmi, B.A., “Cash Vs. Contract Marketing of Finished Cattle:”

presented by Scott Fausti at the 2014 Missouri Valley Economics Association Meetings, October

2014; St. Louis MO.

S. Fausti, E. Van der Sluis, B. Qasmi, and J. Lundgren “The Effect of Biotechnology and

Biofuels on U.S. Corn Belt Cropping Systems” presented by Bashir Qasmi at the 2014 Southern

Agricultural Economics Association Annual Meeting held in Dallas Texas, February 2014.

6

Qasmi, B., Fausti, S., & Underwood, K. (2015, January). Factors influencing the purchase and

consumers’ willingness to pay for ground bison. In 2015 Annual Meeting, January 31-February

3, 2015, Atlanta, Georgia (No. 196844). Southern Agricultural Economics Association.

Diersen, M., Gurung, P., and Fausti, S. “Optimal Allocation of Index Insurance Intervals for

Commodities” presented by Scott Fausti at the 2015 Southern Agricultural Economics

Association Annual Meeting held in Atlanta, GA, February 2015.

Fausti, S.W. “Feedlot Marketing Behavior and Packer Procurement Strategies in the Dakotas: A

Seed Grant Proposal”. USDA-NIFA-AFRI Project Directors Workshop, Agricultural and

Applied Economic Association Meeting. Held in Boston MA. Presentation made on August 3,

2016.

Fausti, S., Erickson, B. J., Clay, S., and Clay, D. E., (2017, October). Do Institutions of Higher

Education Provide the Precision Agriculture Education need by Agribusiness? In Missouri Valley

Economic Association Annual Meeting, Kansas City, Mo.

Matthew Diersen & Scott Fausti., Trade-offs in the Pasture, Rangeland and Forage Rainfall Index

(PRF-RI) Insurance Purchase Decision. NC-1177 Annual Meeting - Minneapolis, MN October

3, 2017.

Grant Activity

Funded, not funded, and submitted

Enhancing the Competitiveness and Value of U.S. Beef: SD00R455-12: Regional Project W-3177,

Oct. 2013 to Sept. 2017. USDA Agricultural Experiment Station Inter-disciplinary Regional

Project. Funded.

Qasmi, B.A., S.W. Fausti, and K. Underwood. “Identifying Consumer Preferences to Improve

Bison Marketing.”, 09/28/2012 to 09/30/14 at $31,725 (USDA-AMS-State Federal Marketing

Grant 3F3401). Funded.

Jonathan Lundgren, S.W. Fausti, and A. Szczepaniec “Demonstrating The Feasibility Of Cover

Crops In Managing Corn Insect Pests Of The Great Plains.” 09/28/2013 to 09/30/15 at $199,725

(USDA-NIFA). Funded.

Fausti, S.W., B.A. Qasmi, M. A. Diersen., “Feedlot Marketing Behavior and Packer Procurement

Strategies in the Dakotas: A Seed Grant Proposal.” 01/15/2014 to 01/14/2016 at $149,610

(USDA-NIFA). Funded. No cost extension to 01/14/2017.

Field exposure and toxicity of neonicotinoid insecticides to honeybees via flowering field

margins: the importance of continual pesticide exposure in bee forage: PD Scott Fausti; Funded

for two years from 03/15/2014 to 03/14/2016 at $40,550.00 (National Honey Board).

7

Precision farming workforce development: standards, working groups, and experimental learning

curricula. D. Clay PD. Funded for 3 years: 01/01/2014 to 09/31/2017 at $750,000.00 (NIFA).

Funded. Funding for Fausti transferred to CSUMB. No cost extension to 09/31/2018.

Central Valley Regional Innovation Cluster. PD Lee Johnson, CO-PI S.W. Fausti. Funded for 4

years: 05/01/16 to 04/30/20. At $99,000.00 (CA Energy Commission).

The influence of Biofuel Production on U.S. Corn Belt Cropping Systems. PD S.W Fausti and

Evert Van der Sluis: 01/01/17 to 12/31/18. Submitted USDA/NIFA. Not funded. Submitted as a

CSUMB faculty member.

Assessment of N-loss Pathways and Contributions From a Unique Poultry

Manure+Biochar+Humic Acid Organic Fertilizer and Grower Practice in CA Lettuce Systems.

PD Arlene Haffa, letter of intent to submit was submitted to California Department of Food and

Agriculture. Duration: 01/01/17 to 12/31/19. Not Funded.

True Economic Impact of Future Value Based Marketing in the U.S. Sheep Industry. PDs, Dr.

Travis Hoffman North Dakota State University and Scott Fausti CSUMB. Grant submitted to

National Sheep Industry Improvement Center. Duration: 01/01/18 to 12/31/18. Not Funded.

USDA W-3177: Western Regional Red Meat Project; member since 1996. I was

REGIONAL elected as a member of the steering committee for three separate terms.

COMMITTEE SCC-76: Southern Coordinating Committee on Risk in Agriculture;

WORK member since 1994. I was elected as a member of the steering committee

and served in 2004 and 2005. California State Agricultural Experiment

Station has given me permission to continue my membership in the W-

4177. The W-4177 is the recently approved extension of the W-3177.

Professional Application for AY 2014-17

PROFESSIONAL Agricultural & Applied Economics Association, Southern Agricultural

ASSOCIATIONS Economic Association, Western Agricultural Economic Association,

Northeastern Agricultural and Resource Economics Association, Missouri

Valley Economic Association, American Association of University

Professors, American Economic Association

Referee Service:

Referee: Journal of Agriculture and Resource Economics: 2015

Referee: Journal of Agricultural Economics: 2014, 2015.

Referee: Agricultural Economics: 2015.

Referee: Journal of Agricultural and Applied Economics: 2017

Referee: Precision Agriculture: 2017

Referee: AAEA-ARA Best Research Paper Selection Committee 2017

8

Panel Service:

NSF Panel Member: 2014&15 NSF Graduate Research Fellowship Program

NIFA USDA Small Business Innovation Research (SBIR) Program: ad hoc reviewer (Jan 2017).

Service Positions:

SDSU Chapter President of the American Association of University Professors: 2008 to 2016.

President of the Missouri Valley Economics Association 2010-11

Agricultural & Applied Economics Association: Applied Risk Analysis Section Executive

Committee Member 2013 to 2015.

Western Agricultural Economics Association: Director 2014 to 2016. Annual meeting program

chair for 2016. Annual meeting awards Chair 2017. Student Thesis Award Chair 2018.

Assistant Editor: Journal of Economics published by the Missouri Valley Economics Association

2013 to present.

Chairman of the Editorial Board for the Journal of Economics; published by the Missouri Valley

Economics Association: 2013 to present.

Member of the Grower Shippers Foundation Board. Began service December 2017.

Consulting Services

Completed work on a product defamation case involving Lean Finely Textured Beef. I am

provided forensic economic analysis for my client: Walt Disney Company . My client is a

Fortune 500 company. The case was settled June 2017. I worked on this case starting in 2014.

Completed auto-accident injury case for the law firm of Hovde, Dassow, and Deets LLC. The

firm is located in Indianapolis IN. Work completed in June 2017.

University Service for AY 2014-17

Department and University Service at SDSU last two years.

1. President of SDSU chapter of American Association of University Professors.

2. Served as a faculty committee member on four Econ graduate student committees in 2014: Ms.

Angela Gram July 3, 2014; Mr. Kelly McDaniel April 2014, Mr. Ola Akinfenwa July 17th 2014,

and Ebenezer Appiagyei Sept 19th 2014.

3. Department of Economics Promotion and Tenure Committee (2014-15).

4. Member of Economic Department’s steering committee (2014-15).

5. Member of Economic Department’s research committee (2014-15).

6. Poster Judge for Department’s career fair Feb 2015.

University Service At CSUMB for AY 2016 - 17

Presented at the CSUMB Agricultural Research Initiative meeting at the invitation of the College

of Science. Oct 12, 2016.

At the request of Dean Lawson, I was a peer reviewer of the CSUMB ARI grant applications.

Member of the Department’s Research and Assurance of Learning Committee.

9

Peer teaching in-class review of Martha Kosta on Fall 2016 (BUS 304).

Peer teaching in-class review of Dr. Sumadhur Shakya (BUS 309), Dr. Subhra Saha (Bus 201s),

Evy Smith (BUS 311), Terry Mullin (BUS203).

Current Vice Chair of CSUMB Academic Senate.

Member of the SCCC Senate Committee.

Member of the Business Department’s AOL and Research Committees.

Faculty Advisor to the CSUMB Agri Business Club.

University Corporation at Monterey Bay Board of Directors Meeting

Thursday, June 20, 2018 8:35 a.m. – 10:47 a.m.

Alumni and Visitors Center – Board Room

100 Campus Center, Seaside, CA

Page 1 of 3

Draft, Minutes

Board Members Present: Board Members Absent:

Dr. Eduardo Ochoa, President Chris Carpenter, Director Nathaniel Bond, Director Barbara Zappas, Director Kevin R. Saunders, Exec. Dir. Pat Tinsley McGill, Director Robert C. Taylor, Esq.,Director Dr. Ronnie Higgs, Director Dr. Bonnie D. Irwin, Secretary

Presenters: Staff Present:

Sherry Baggett, Corporation Controller Starr Lee, Assoc. Exec. Director Cindy Lopez, Director of Sponsored Programs Office Nancy S. Ayala, Gov. & Compl. Mgr. Clarisa Avila, Corporate & Foundation Relations Officer Miklos Benedek, KAZU General Manager

William Musselman, Auxiliary Audit Committee Chair Bob Dooley, A’viands General Manager

Annual Meeting

I. Call to Order: A quorum being established, President Eduardo Ochoa called the meeting to order at 8:35 a.m.

II. Governance: A. Appointment of Board Directors: President Ochoa announced his appointment of

Student Director Ana Gonzalez to the Board. B. Election of Board Officers: Moved by Director Ronnie Higgs and seconded to adopt

the slate of officers as presented. With Secretary Bonnie D. Irwin abstaining, the motion carried.

C. Appointment of Standing Committee Members: Moved by Secretary Irwin and seconded to appoint the Standing Committee members as presented. With no further discussion, the motion carried.

III. Adjournment: With no objections, the annual meeting adjourned at 8:37 a.m.

Regular Meeting

I. Call to Order: A quorum being established, President Ochoa called the meeting to order at 8:37 a.m.

II. Approval of Minutes: Moved by Director Higgs and seconded to approve the March 29, 2018 meeting minutes as presented, the motion carried.

III. New Business: A. 2018/19 Budget Approval: Corporation Controller Sherry Baggett presented the

Corporation’s 2018/19 budget request. The budget anticipates gross revenues of approximately $56M, expenses of $54M, and direct university support of $3.1M. Moved by Director Barbara Zappas and seconded to approve the 2018/19 budget request as presented. With no further discussion, the motion carried.

Page 2 of 3

B. Otter Student Union Construction Loan Approval: Executive Director Kevin Saunders requested a loan of up to $7M for the Otter Student Union to complete construction of the Student Union building. The Board unanimously approved the loan of up to $7M to complete construction of the Student Union Building.

IV. Reports:

A. Auxiliary Audit Committee Report: Auxiliary Audit Committee Chair William Musselman reported on the Committee’s activities. The Committee met on November 9, 2017 to review the auxiliaries’ 990s and KAZU audit report. The Committee also met on June 20, 2018 to review the auditor’s engagement letters. The auditors reported no issues thus far. The next meeting is scheduled for September 14, 2018.

B. FY 2017/18 Q3 Financials: Ms. Baggett presented the third quarter financial report. Total Assets have decreased by $1.9M this fiscal year due primarily to the transfer of cash and other assets to the Foundation of CSUMB. Total Liabilities have also decreased by $2.2M due to the annual debt payments that were made in the first quarter. Total Net Position increased minimally by $130K so far this Fiscal Year. The Corporation’s Total Net Position balance as of March 31, 2018 is $62.5M, compared to $62.4M at June 30, 2017. Total Operating Revenues are ahead of budget by $3M due to Homeowner Sales (a non-budgeted item) and Housing Revenues. Total Operating Expenses are over budget by $955K mostly due to Cost of Homeowner Sales (which isn’t budgeted). As a result of the above, the Operating Income exceeded budget by $2M. Overall, the Corporation’s Operating Income (including gifts and grants) is $6.8M. Total Non-Operating Revenues, Expenses, and Other Changes in Net Position, which includes gifts and donations, investment income, university support, market gains and losses, and interest on capital-related debt, yielded Net Expenses of $6.7M. As a result, the overall net impact of this Fiscal Year’s activities is a slight increase in net position of $130K.

C. Escheatment Report: Ms. Baggett reported that the State of California requires businesses to review their books and records annually to determine if they have reportable property that has remained unclaimed or in inactive accounts for the required dormancy period. Payments that were made payable to vendors and were not cashed within three years must be reported. Payroll checks that were not cashed within one year must be reported, as well. This year the Corporation sent a check to the State for $423.29 for four uncashed vendor checks, and a check for $1,196.06 for nine uncashed payroll checks.

D. Corporate and Foundation Relations – University Development: Corporate and

Foundation Relations Officer Clarisa Avila reported on private grants. Year-to-date University Development has received approximately $1.3M in private grants. Pending proposals total $1.1M.

E. External Funding Update – Sponsored Programs: Director of Sponsored Programs Office Cindy Lopez presented the third quarter’s external funding report. Through March 31, 2017, total awards are approximately $10.6M, $2.5M from reaching the 2016/17 goal of $13.1M. Currently, total awards consist of Federal 75%, State 21%, and other sources 4%. 57 total awards compared to 61 same period last year. The Facilities and Administrative Costs (F&A) recovery rate for the 3rd quarter is 9.84%.

Page 3 of 3

F. KAZU Briefing: KAZU General Manager Miklos Benedek provided an update on KAZU’s activities, noting that the station will have a record-breaking year in Operating Revenue exceeding $2M in Gross Revenue, compared to $1.8M prior year. Membership Revenue has also increased from approximately $1M last year to $1.2M this year.

G. Investment Committee Report: Investment Committee Chair Robert C. Taylor reported on the Investment Committee’s activities. The Operating Fund portfolio has 30% invested in equity, 60% in fixed income, and 10% in alternatives. The Operating Fund has outperformed the benchmark by 100 basis points over the past ten years. The Committee will be exploring true alternatives at the next meeting on August 10, 2018.

H. Food Service Report – A’viands: A’viands General Manager Bob Dooley provided an

update on the first month’s operations noting that orientation was a positive experience. Mr. Dooley reported on upcoming changes to food offerings and renovations at the dining facilities. Increasing participation and engagement from the campus community to improve on the campus dining experience is a priority.

I. Executive Director’s Report:

Student Housing Policy: Executive Director Kevin Saunders presented the proposed Student Housing Policy. The policy requires full-time freshmen and sophomores to live on campus. This policy affirms the University’s live on campus requirement since its inception in 1994. In addition, the Campus Master Plan Environmental Impact Report also has this requirement as part of CSUMB’s traffic mitigation plan. It was noted that Student Housing and the Dean of Students reviewed this policy prior to this Board meeting. Moved by Director Barbara Zappas and seconded to approve the new Student Housing Policy as presented. With no further discussion, the motion carried.

V. Unfinished Business: None

VI. Executive Session: Review of Executive Compensation: The Board entered into Executive Session at 10:40 a.m. The Board exited Executive Session at 10:47 a.m.

VII. Open Communication/Announcements: None

VIII. Adjournment: With no further business to conduct and no objection, the meeting was adjourned at 10:47 a.m.

Dr. Bonnie D. Irwin, Secretary/Treasurer Date

UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-8001 831/582-3500

MEMORANDUM TO: Corporation Board of Directors CC: Kevin R. Saunders, Corporation Executive Director FROM: Nancy S. Ayala DATE: September 13, 2018

SUBJECT: Policy Review: 321-001-E: Procurement Policy

Enclosed are the current Procurement Policy and the proposed revised Procurement Policy, in its final version. The major modifications to this policy include §V. Purchasing Requirements by Cost, and eliminates the requirements of using purchase orders based on dollar thresholds. The policy revised the latter to require a purchase order based on specific purchases and/or services rather than the price of said purchases and/or services.

At the regular board meeting on Thursday, September 20, 2018, the Board will be asked to adopt the revised policy. Corporation staff recommends the approval of the enclosed policies. If you have any questions or concerns before the Board meeting, please contact me at (831) 582-3396 or nayala@csumb.edu

CSUMB - 1

- UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-9001 831/582-3500

Page 1 of 5 September 2018

321-001-E: PROCUREMENT POLICY I. Introduction

The University Corporation at Monterey Bay (the “Corporation”) uses a variety of methods to purchase goods and services. The purpose of this document is to establish the Procurement Policy for Corporation purchases. Corporation purchases include those made utilizing Corporation funds. The purchasing functions, policy, and procedures have been established using sound business practices with the key goal of service to the Corporation and its employees.

The Corporation is firmly committed to a program of “Best Value”. Best Value considers all transactions from many perspectives, including but not limited to best dollar value, outreach to vendors, promotion of fair and open competition, lifecycle, operational requirements, quality and matching of products and services to the University Corporation’s needs. Travel and the retention of artists, entertainers, lecturers, and speakers for services are not subject to the provisions of this policy.

II. Policy, Regulations and Guidelines

A. Policy Provisions

1. Purchases are to be made in a cost-efficient manner that supports and facilitates the competitive bidding process and the lowest cost while still meeting operational requirements of the Corporation such as quality, specifications, service, and product availability, such that the lowest bid may not always be the bid that is selected.

2. Purchases involving sponsored project funds shall be approved by the Corporation in accordance with the sponsoring agency’s contract, including the approved budget and any expenditure restrictions or allowances of the sponsoring agency. Purchases will require prior written authorization or approval of the funding sponsor if required by the agreement. For detailed information regarding this policy, refer to the Procurement Guidelines and Procedures Handbook located on the Corporation’s website.

3. Purchases shall follow what is customary in the marketplace for a particular commodity or product and consummated in such a manner to constitute a reasonably prudent documented business transaction.

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Page 2 of 5 September 2018

4. Sustainable and/or recycled products shall be considered for procurement in place of non-sustainable/recycled products whenever such products are available at no additional cost.

5. Volume or pool purchases, annual purchase agreements, and master service agreements shall be utilized when deemed advantageous to the Corporation.

6. All purchases with Corporation funds must have a legitimate Corporation or University business purpose.

7. Travel and travel related purchases are subject to the Travel Policy and the Travel Procedures Handbook located on the Corporation’s website.

8. Hospitality expenses shall comply with this policy and the Corporation’s Community Relations Policy.

9. To protect from possible allegations of conflict of interest, purchases with Corporation funds should not be made from companies in which Corporation staff or family members have an economic interest. Employees with conflicts of interest must disqualify themselves from making or participating in a decision that would have a material effect on a personal financial interest. No Corporation Board member, Corporation employee, or CSU Monterey Bay employee by virtue of their position, can personally derive any benefit, gain, or receive preferential treatment from the purchase of materials, equipment, supplies, or services by Corporation.

III. Methods of Purchasing

The Corporation uses a variety of methods for the purchase of goods and services, including the procurement card, personal reimbursement, direct pay via check requests, and purchase orders.

A. Procurement Card Purchases: The Corporation has determined that it is in its best economic and administrative interest to use a procurement credit card (“Procard”) for transactions.

B. Direct Payment/Check Requests: The Corporation may pay vendors

directly for the purchase of supplies and services by completing the Check Request Form and submitting it to the Corporation Accounts Payable Department.

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Page 3 of 5 September 2018

C. Purchase Orders (PO): Purchase orders are required for purchases of capital assets and for many purchases using sponsored projects funds that total less than $5,000

i. Purchases of Capital Assets: A capital asset is defined as a tangible piece of property such as computer equipment, machinery and vehicles, with an acquisition cost greater than $5,000, including tax, and a useful life of one year or greater. Capital assets will be capitalized and depreciated over the economic life of the asset.

D. Personal Reimbursement: Corporation employees may be reimbursed for Corporation business-related purchases by using the Check Request form and submitting it to the Corporation Accounts Payable Department.

IV. General

A. Information Technology (IT): University IT provides Corporation’s IT support. University IT must approve all IT-related products prior to purchase or lease. This applies to all hardware, software, applications, copiers, and other non-computing devices regardless of the dollar amount. University IT will not support IT-related products that have not been reviewed and approved prior to purchase.

B. Contracts/Agreements/Leases: All contracts between the Corporation and another entity or individual are to be prepared and executed in written form. The Corporation Executive Director or designee is the signatory for any Corporation contract. The Corporation will not accept as legally binding any oral agreement that is not finalized and executed in written form. Additionally, if involving sponsored project funds contracts must be reviewed and/or authorized by the Sponsored Programs Office and Grants Accounting.

C. Authorizations: All requests to purchase and pay must be signed by a signer who is authorized for the account to be charged.

V. Purchasing Requirements by Cost

A. Thresholds: The dollar thresholds listed hereunder are considered in the aggregate; purchases cannot be split to circumvent these policies and procedures. Refer to the Payment Method Matrix within the Corporation’s Procurement Guidelines and Procedures on the Corporation’s website to determine when a PO is required. In most cases, purchases using Federal funds must meet the minimum requirements as set forth by Uniform Guidance unless already approved when funding was awarded and detailed in the accepted request of funding proposal. .

i. Purchases up to $10,000: Such purchases shall be accomplished in a manner customary to the marketplace using sound business practices.

321-001-E: PROCUREMENT POLICY

Page 4 of 5 September 2018

ii. Purchases of $10,001 to $50,000: The requester must submit in writing a minimum of two (2) quotes. If two quotes are not obtained, a written explanation why the minimum was not met must accompany the quote.

iii. Purchases of $50,001 to $ 100,000: The requester must submit a minimum of three (3) price quotes based on the same written specifications. If three written quotations are not obtained, a written explanation why the minimum was not met must accompany the quote(s).

iv. Purchases greater than $100,000: The requester must submit a minimum of three (3) formal bids from providers based on written specifications from a solicitation or request for proposals or quotes. If three formal bids are not obtained, a written explanation why the minimum was not met must accompany the bid(s).

B. Sole Source: Sole source purchases on a non-competitive basis regardless of the cost threshold must meet sole source requirements and will require written justification by the authorized signer and approval by the Executive Director or designee.

VI. Insurance Requirements

Corporation has specific insurance requirements for services, projects and in some cases, goods. Vendors providing services on campus may be required to provide proof of insurance and a services contract prior to purchase order issuance and/or commencing work. Equipment that is borrowed, loaned, rented, leased, or purchased through Corporation will be scheduled to insure for losses due to damage or theft; the requester or department should notify the Corporation prior to receipt of equipment to insure coverage.

VIII. Preferences

Whenever feasible, purchases should be made from small businesses and local vendors to help support the local economy, which has been a goal of CSU Monterey Bay since its inception. The Corporation also encourages purchases from minority-owned business enterprises, women-owned business enterprises, and disabled veterans. The Corporation encourages purchases with energy efficiency, sustainability, and the utilization of earth-minded, renewable (aka “green”) products and services.

IX. Enforcement

Individuals not following this Procurement Policy may be subject to personal liability, notification to their supervisors, disciplinary action, financial obligation, and revocation of purchasing privileges.

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Page 5 of 5 September 2018

X. Adoption and Review

A. The Corporation’s Board of Directors has adopted this Procurement Policy, dated September __, 2018. The Corporation’s Board of Directors adopted earlier versions of the Procurement Policy in September 2009 and June 2010.

B. This policy shall be evaluated at least within ten years from its adoption date to determine its effectiveness and appropriateness. The policy may be evaluated before that time as necessary to reflect substantial organizational, financial, or physical change(s) at the University Corporation or any change required by law or by other governing policy.

C. Any proposed amendments or variations of this policy would require a majority approval by the Corporation Board of Directors.

XI. Related Documents

A. Procurement Guidelines and Procedures

B. Procurement Card Manual

C. Corporation’s Community Relations Policy

D. Fund Request/Update Signature Authorization

E. Travel Procedures Handbook

CSUMB - 1

- UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-9001 831/582-3500

Page 1 of 7 August 2013

321-001-D: PROCUREMENT POLICY I. Introduction

The University Corporation at Monterey Bay (the “Corporation”) uses a variety of methods to purchase goods and services. The purpose of this document is to establish the Procurement Policy for Corporation purchases. Corporation purchases include those made by any Corporation employee utilizing Corporation funds. The purchasing functions, policy, and procedures have been established using sound business practices with the key goal of service to the Corporation and its employees.

The Corporation is firmly committed to a program of “Best Value”. Best Value considers all transactions from many perspectives, including but not limited to best dollar value, outreach to vendors, promotion of fair and open competition, lifecycle, operational requirements, quality and matching of products and services to the University Corporation’s needs. Travel and the retention of artists, entertainers, lecturers, and speakers for services are not subject to the provisions of this policy.

II. Policy, Regulations and Guidelines

A. Policy Provisions

1. Purchases are to be made in a manner that supports and facilitates the competitive bidding process and the lowest cost. The Corporation also takes other factors equally into consideration such as quality, specifications, service, and product availability so that the lowest bid may not always be the bid that is selected.

2. Purchases shall follow what is customary in the marketplace for a particular commodity or product and be consummated in such a manner so as to constitute a reasonably prudent documented business transaction.

3. Fitness and quality being equal, recycled products shall be considered for procurement in place of non-recycled whenever such products are available at no more than the total cost of their non-recycled counterparts. When purchasing such items, the Corporation also takes other factors equally into consideration such as quality, specifications, service and product availability.

4. Sponsored Programs purchases must also comply with the requirements set forth in the grant or contract agreement.

321-001-D: PROCUREMENT POLICY

Page 2 of 7 August 2013

5. Volume or pool purchases, annual purchase agreements and State-purchasing contracts shall be utilized when deemed to be advantageous to the Corporation.

6. All purchases with Corporation funds must have a legitimate business purpose. Prohibited purchasing practices include:

a. Conflict of Interest – In order to protect from possible allegations of conflict of interest, purchases with Corporation funds should not be made from companies in which Corporation staff or family members have an economic interest. Such purchases may have the appearance of wrongdoing and should therefore be avoided.

Employees with conflicts of interest must disqualify themselves from making or participating in a decision which would have a material effect on a personal financial interest.

b. Community Relations – Other prohibited purchases are identified in the University Corporation’s Community Relations Policy.

7. Sole source purchases on a non-competitive basis will require written justification by Approving Official and approval by the Executive Director. The sole source written justification should include:

a. Unique performance factors of the products specified,

b. Why these factors are required,

c. What other products have been evaluated and rejected, and why, and

d. Special circumstances requiring immediate attention.

8. No Corporation Board member, Corporation employee, or CSU Monterey Bay employee by virtue of their position, will personally derive any benefit, gain, or receive preferential treatment from the purchase of materials, equipment, supplies or services.

9. Authorized signers failing to follow the Corporation’s purchasing policy and procurement procedures may incur personal liability and/or financial obligation with the vendor.

III. Methods of Purchasing

The Corporation uses a variety of methods for the purchase of goods and services, including the procurement card, personal reimbursement/petty cash, direct pay via payment requests, and purchase requisitions and orders. The dollar

321-001-D: PROCUREMENT POLICY

Page 3 of 7 August 2013

thresholds listed hereunder are considered in the aggregate; purchases cannot be split to circumvent these policies and procedures.

A. Personal Reimbursement/Petty Cash: Corporation employees may make Corporation business-related purchases by using the Personal Reimbursement/Petty Cash form.

B. Procurement Card Purchases: The Corporation has determined that it is in its best economic and administrative interest for Corporation employees to use a procurement credit card (“Pro Card”) for low dollar transactions. Note that travel-related purchases are not allowed on the Pro Card unless a Procurement Card Travel Needs Statement has been submitted and approved by the Corporation Executive Director. For more information, please refer to the Pro Card manual.

C. Payment Requests: Alternatively, for low dollar transactions, including those for the purchase of supplies and services costing less than $5,000 (including tax), employees may request that the Corporation pay the vendor directly by completing a Payment Request form and submitting it to the Corporation Accounts Payable Technician.

D. Purchase Requisitions and Orders: For purchases exceeding $5,000, the appropriate method of requesting the purchase of goods and services is through the submission of a Purchase Requisition.

Regardless of the dollar amount, any IT or furniture purchases must be submitted via purchase requisition to facilitate accurate record-keeping related to the acquisition, maintenance, control, and disposition of Corporation property. See procurement procedures for more details on purchasing IT equipment and the IT approval process.

E. Contracts/Agreements/Leases: All contracts between the Corporation and another legal entity are to be prepared and executed in written form. The Corporation Executive Director is the appropriate signatory to any Corporation contract. Programs operated under the Corporation are without authority to bind the Corporation. The Corporation will not accept as legally binding any oral agreement that is not finalized and executed in written form, or is not first authorized by Sponsored Programs Office to be prepared if involving Sponsored Project Funds.

For further information on contracts and subcontracts guideline, please refer to the procurement procedures.

F. Stipend Payments: A Stipend Payment Request is a special form (usually relating to Sponsored Programs Office) that may be used exclusively to pay stipends to non-CSUMB students. Such stipend payment is typically written into a grant or contract.

G. Copier Lease/Purchase Program: Information on copiers for lease or purchase must be obtained from IT.

321-001-D: PROCUREMENT POLICY

Page 4 of 7 August 2013

IV. Dollar Threshold Requirements for Purchase Requisitions and Orders

Purchase requisitions and other authorizations to purchase must comply with the most current version of 713-001 Signature Authorization Procedure and with the Chartfield Create/Update Signature Authorization form on file in the Accounts Payable office.

A. Purchases under $5,000: The Corporation does not require a purchase order. If a vendor requires a purchase order, the Corporation will prepare a purchase order based on the purchase order request and price quotation obtained in writing from the vendor.

B. Purchases of $5,000 to $25,000: The requester is required to submit a purchase requisition and a price quotation from the vendor must be attached. If the purchase is for services, a contract may have to be put in place with the vendor before a purchase order can be issued.

C. Purchases of $25,000 to $49,999: The requester is required to submit a purchase requisition with a minimum of three price quotations attached. If the purchase is for services, a contract may have to be put in place with the vendor before a purchase order can be issued.

D. Purchases over $50,000: The requester is required to submit a purchase requisition and attach a minimum of three formal bids from providers based on written specifications, which recognize competitive pricing, responsiveness to specification, and reputation of vendors. If three bids cannot be obtained, a typed explanation of the circumstances must be submitted with the purchase requisition to the Corporation Executive Director who may authorize the purchase.

E. Request for Information: The purpose of a Request for Information (“RFI”) is to solicit information from firms interested in providing a specific service and/or commodity. An RFI is a mechanism for gathering information and may or may not result in a purchase. The RFI may be used in lieu of the RFP (Request for Proposal) process outlined in section D above provided that three proposals are obtained and that all vendors providing information are given the same specifications and information.

V. Exceptions to Bidding Requirements and Purchase Orders

A. Grant/Contract purchases governed by the terms and conditions of the executed agreement.

B. Retention of service contractors on an hourly time and material basis. Authorized signer’s approval must be obtained prior to retention of service contractors.

C. Sole Source/Sole-Brand purchases.

321-001-D: PROCUREMENT POLICY

Page 5 of 7 August 2013

VI. Insurance Requirements

The Corporation’s Business Support Services department must be notified whenever borrowed, loaned, rented, leased or purchased equipment is obtained so that equipment can be scheduled to insure for losses due to damage or theft. For insurance coverage, limits and endorsements, please contact the Buyer & Risk Management Analyst.

VII. Purchases from Sponsored Programs, Grants or Contracts

Purchases made from Sponsored Programs, Grants or Contracts funds may be made only during the term of the grant or contract or during an approved extension or renewal. The authorized signer should anticipate purchase requirements far enough in advance so that the purchasing process can be completed, the service rendered and the invoice received prior to expiration of the award. Purchase orders are generally issued within two working days.

VIII. Capitalization

Capital purchases with a cost greater than $5,000 and a normal useful life of at least one year will be capitalized and depreciated over the economic life of the asset. A capital purchase is defined as a tangible piece of property with an acquisition cost greater than $5,000 and a useful life of one year or greater.

IX. Rentals of Transportation and Other Equipment

Note that the rental of transportation and other equipment is a unique situation where Corporation’s insurance may not apply and where additional risk issues are present. Questions that should be considered in determining what risks and subsequent losses could arise should include, among others, the following:

• What activities will take place;

• Who could be harmed;

• What property could be damaged and how severely;

• What is the maximum likely loss for each activity;

• Are bystanders likely to be included;

• How likely is it that the Corporation or CSU Monterey Bay could be a defendant in the event of a loss?

The Corporation’s Buyer & Risk Management Analyst can assist with details. The policies and procedures concerning these rentals are for the protection of Corporation and CSU Monterey Bay, the requesting party, the individuals being served, and the programs at large.

A. Category 1: Rentals for Standard Transportation – Use by Employees Only. An employee desiring to rent a standard passenger car, truck, or sport utility must adhere to the procurement procedures and obtain

321-001-D: PROCUREMENT POLICY

Page 6 of 7 August 2013

liability waiver and hold harmless agreement for each volunteer and/or non-employee.

B. Category 2: Rentals of Equipment – Use by Employees Only. An employee desiring to rent equipment such as snowmobiles, boats, forklifts, and heavy moving equipment for the use by the Corporation employee and possibly, other Corporation employees and volunteers, on Corporation business, must obtain liability waivers and hold harmless agreement for each volunteer and/or non-employee using or being transported via such equipment.

C. Category 3: All Others, Including Rentals for Transportation of Others – Use by Employees and Participants. This is a catchall category, capturing any rentals not included in Category 1 or 2 above, and encompassing the situation where a University Corporation employee is renting a vehicle, boat, or other mode of transportation to transport groups of employees, volunteers, students, and non-employees or participants. Examples include: (1) a bus rental to transport high school students as part of an outreach program, (2) a bus rental to transport homecoming festival attendees, and (3) a boat rental to transport middle school students for outreach and sea exploration activities. A standard contract is generally accepted by the Corporation but is subject to the review and signature of the Executive Director.

Renting from non-commercial establishments not involved in the exclusive business of renting transportation for this purpose may be acceptable but an adequate contract is needed and is subject to the review and approval of the Corporation. In any event, adequate proof of insurance must also be provided because Corporation’s insurance does not apply to these types of rentals.

The Corporation employee initiating the rental should obtain a liability waiver and hold harmless agreement for each volunteer and/or non-employee.

For further requirements and procedures for all types of rentals mentioned, please refer to the procurement procedures.

X. Preferences

Whenever feasible, purchases should be made from small businesses and local vendors to help support the local economy, which has been a goal of CSU Monterey Bay since its inception. The Corporation also encourages that purchases be made from minority-owned business enterprises and women-owned business enterprises. The Corporation encourages that purchases be made with energy efficiency, sustainability, and the utilization of earth-minded, renewable (a.k.a “green”) products and services.

XI. Enforcement

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Page 7 of 7 August 2013

Individuals not following this Procurement Policy are subject to personal liability as noted hereof, notification to their supervisors, and revocation of purchasing privileges.

XII. Adoption and Review

A. The Corporation’s Board of Directors has adopted this Procurement Policy, dated September 2009. The Corporation’s Board of Directors has adopted this Procurement Policy, dated 24 June 2010.

B. This policy shall be evaluated ten years from its adoption date to determine its effectiveness and appropriateness. The policy may be evaluated before that time as necessary to reflect substantial organizational, financial, or physical change(s) at the University Corporation or any change required by law or by other governing policy.

Any proposed amendments or variations of this policy would require a majority approval by the Corporation Board of Directors.

XIII. Related Documents

A. 713-001 Signature Authorization Procedure

B. Chartfield Request/Update Signature Authorization

C. ProCard Manual

D. Travel Manual

UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-8001 831/582-3500

MEMORANDUM

TO: Corporation Board of Directors

CC: Kevin R. Saunders, Corporation Executive Director FROM: Nancy S. Ayala

DATE: September 13, 2018

SUBJECT: Agenda item: IV. New Business, B. Resolution Approving the AORMA Benefits Program

Enclosed are the AORMA Benefits Program Participation Agreement and proposed resolution. If you have any questions or concerns before the Board meeting, please feel free to contact me at nayala@csumb.edu or (831) 582-3396.

CALIFORNIA STATE UNIVERSITY RISK MANAGEMENT AUTHORITY (CSURMA)

PARTICIPATION AGREEMENT

FOR THE CSURMA AORMA BENEFITS PROGRAM

We, ___________________ signatory to the California State University Risk Management Authority “CSURMA” Joint Exercise of Powers Agreement, have agreed by action of our Board of Directors on 20 _____, to participate in the CSURMA Auxiliary Organizations Risk Management Alliance “AORMA” Benefits Program, hereinafter referred to as “AORMA Benefits Program”. As evidenced by the authorized signatures on Page Three of this document, we agree to become a participant in the AORMA Benefits Program and be referred to as a “Program Participant.” It is understood that this Participation Agreement pertains only to the AORMA Benefits Program and not to any other program operated by CSURMA. We understand that the following requirements have been met and insurance coverage through the AORMA Benefits Program begins on January 1, 2019: 1) All applicable participation fees have been paid. 2) We have executed this AORMA Benefits Program Participation Agreement.

3) We are a member of the Joint Powers Authority. This means we: a) Have been approved for Joint Powers Authority membership by the

Executive Committee; b) Have executed the Joint Exercise of Powers Agreement; and, c) Have executed a “Resolution to Join” in accordance with the Joint Exercise

of Powers Agreement. MINIMUM TIME OF PARTICIPATION AND NOTICE OF WITHDRAWAL: The Program anniversary date is January 1 of each year. It is understood that the AORMA Benefits Program requires an initial three full program year commitment. Withdrawal from the AORMA Benefits Program cannot occur until three full years of participation has occurred. If a CSURMA AORMA Member joins mid-term it would be three full program years plus the partial first year of participation. A Program Participant may withdraw only at the end of the Program Year, provided it has given the AORMA Benefits Program Administrator 90-days written notice of its intent to withdraw from the program. Once the Program Participant has withdrawn from the AORMA Benefits Program,

there is a one-year waiting period to come back to the AORMA Benefits Program, and the Program Participant will be subject to underwriting approval again. RESPONSIBILITIES OF PROGRAM PARTICIPANTS: It is understood that as a Program Participant we are obliged to do the following:

Take such action, including providing the AORMA Benefits Program Administrator with information, as is necessary to carry out the AORMA Benefits Program as required by the CSURMA Joint Exercise of Powers Agreement, Bylaws and the policies established by the AORMA Committee, Executive Committee and/or the Board of Directors;

Pay the AORMA Benefits Program when due any and all premium, taxes and fees.

Withdrawal does not relieve a Program Participant from liability for monies owed; and

Adhere to all CSAC EIA Administrative Guidelines (for those benefits programs

purchased through CSAC EIA). RESPONSIBILITY FOR PROGRAM PREMIUMS: It is also understood that AORMA Benefits Program Participants are responsible for their share of all AORMA Benefits Program premiums and any other expenses deemed necessary by the CSURMA Board of Directors. A Program Participant's share of the program premiums shall be reflected, as accurately as possible, within its program premium invoice. Program Participants agree to the following policy regarding premium payments:

I. Program Participants will receive AORMA Benefits Program premium invoices on a monthly basis.

II. Invoices shall be due and payable as invoiced upon receipt, but not later than the last day of the month prior to the month for which the Program Participant is invoiced. (Example: January premiums are due no later than December 31.) Invoices will become delinquent on the first day of the month for which the Program Participant is invoiced. (Example: January premium will be delinquent on January 1.)

III. Program Participant invoices remaining unpaid for 60 days beyond the due date shall be transferred to CSURMA for payment responsibility.

IV. Interest will begin accruing on the first day of premium delinquency. Interest will be assessed on any amounts which are unpaid.

V. The interest rate shall be at least equivalent to the investment income rate that CSURMA would have earned if the funds had instead been investing during the same calculation period, plus 4%.

VI. Participation in the AORMA Benefits Program may be revoked if a Program Participant’s program invoice remains unpaid for 90 days beyond the due date. Notwithstanding any other provision to the contrary, a Program Participant’s termination from the AORMA Benefits Program due to late payment or non-payment of premium will be at the discretion of the AORMA Committee.

The withdrawal or termination of Program Participant from the AORMA Benefits Program shall not terminate the responsibility to continue to contribute to its share of financial obligations incurred by CSURMA by reason of the Program Participant's previous participation.

* * * * * * * It is the policy of the CSURMA Executive Committee that members who leave the AORMA Benefits Program remain subject to assessments described here and in the Joint Powers Agreement, Bylaws, and other governing documents policy and procedures. We acknowledge and agree that this Participation Agreement shall automatically conform to any amendments made to the CSURMA Joint Exercise of Powers Agreement or Bylaws which affect the conditions of participation in the AORMA Benefits Program. Any other amendments to this Participation Agreement shall require a two-thirds vote of the members of the Board of Directors of the CSURMA who are elected by the Auxiliary Organization members of the CSURMA. In recognition of the above, this Participation Agreement is executed on ______________________, 20 __________. Auxiliary Organization Name ____________________________________ Signature ____________________________________ Name ____________________________________ Title

UNIVERSITY CORPORATION

AT MONTEREY BAY

100 Campus Center Seaside, CA 93955-8001 831/582-3500

Resolution: AORMA Benefits Program Page 1 of 2

Resolution of the Board of Directors of the University Corporation at Monterey Bay

Approval of Participation in the AORMA Benefits Program

Whereas, The University Corporation at Monterey Bay (the “Corporation”) has been formed for the purpose of furthering the educational programs of California State University, Monterey Bay (the “University”) as more fully described in the Articles of Incorporation (the “Articles”) of the Corporation; Whereas, The Corporation is an auxiliary organization in good standing of The California State University governed by the California Education Code §89900 et seq. and the administrative regulations of The California State University as set forth in Title 5 of the California Code of Regulations; Whereas, The Corporation has received information regarding the opportunity to join the CSURMA Auxiliary Organizations Risk Management Alliance “AORMA” Benefits Program to benefit from the pooling and group purchase concepts; Whereas, On September 20, 2018, the Board of Directors of the Corporation concluded that benefits to the Corporation of joining AORMA Benefits Program are sufficient to participate as required by the program members; now, therefore, be it Resolved, That the Corporation Board of Directors authorizes and directs the Corporation Executive Director or designee to take actions and execute the Participation Agreement for the CSURMA AORMA Benefits Program, and any other such documents necessary to effect the Corporation’s participation in the AORMA Benefits Program; Resolved, that this Resolution shall take effect immediately upon its adoption. ADOPTED AND PASSED this September 20, 2018 by the following vote: Ayes: Nays: Abstentions: Absent:

Resolution: AORMA Benefits Program Page 2 of 2

Secretary/Treasurer’s Certificate I, Bonnie D. Irwin, Secretary/Treasurer of the Board of Directors of the University Corporation at Monterey Bay, hereby certify as follows: The foregoing is a full, true, and correct copy of a resolution duly adopted by the Board of Directors of the Corporation on September 20, 2018. Said resolution has not been amended, modified, or rescinded since its adoption and the same is now in full force and effect. Dated: September 20, 2018 Bonnie D. Irwin, Secretary/Treasurer

UNIVERSTTY CORPORATION at MONTEREY BAY2017/2018 REPORT OF PUBLIC EXTERNAL FUNDING

SPONSORED PROGRAMS

SUMMARY REPORT7/1/17-6/30/18

1. PUBLIC AWARDS RECEIVEDZ017/201 8 (4th QUARTER)

(Awards Goal Compared to Actual Awards)

17/18 GOALAMOUNT TH RU

6/30/18NUMBER OF

AWARDS

FY16/17COMPARISOJSTAMOUNT THRU NUMBER OF

6/30/17 AWARDS

NEW PUBLIC FUNDSDIRECTINDIRECT

TOTAL PUBLIC

$9,000, 000tl innnnn

$10, 100, 000

$ 12,070, 274t1.17n.filq

$ 13,190,893

67(plus 26 supplements)

15, 232, 079t1. 67B. 744

$16,908,823

74(plus 32 supplements)

II. ONGOING PUBLIC AWARDS 201 7/2018 $32, 735, 366

Total Awards (New + Ongoing) $45,926,259

95

162

$28, 565, 745

$45, 474, 568

85

159

PENDING PUBUC PROPOSALS AS OF6/30/18

$15,019,619

NUMBER OFPROPOSALS

60

AS OF6/30/17

$26,810,020

NUMBER OFPROPOSALS

75

9/10/18 2:20 PM

University Corporation at Uonterey BayExternal Funding Report - Sponsored Programs Office

FY18 Awards - 4th Quarter

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$7. 500$1, 766

$50. 337$28, 048

$160. 000

$0$23, 033

$4, 52307. 273

$0S441

SI2.584$1,960

$40, 000J,000^<>0 S 124, 582 S

$10. 920S282. 862S49. 753

$300,000$7. 500$2, 207

$62,921$30, 008

1200, 0001, 124, 842

7/1/17-12/31/17IO/25/17-KMZ4/20U/1/17-1QQ1/182/12/18-10/31/206/1/18-5/31/193/l/lM/2ttfl812/31/17-600/195/1/18-5/31/195/15/18-3/1/20

NBwAwlndaBlnXFYlt

Nn» Amid*hrfimctJiYU

Total NtwAwri*ws :AEf£a'&S.e

125 Local City of Seaside Cfty of Seaside Local Small Business Assistance]26 Local Montcny Institute/Middlebury College< Broad Based Asset Invartoiy Project127 Local Montcrey Pnunsula Uufied Scfaool Disb RON to MPUSD 5th Grade 2016-2017128 Local Montcrcy Peninsula Water Managemeit I Baflrvmdric Survey of Los Padres Reservoir129 Local Intaim hic. -Montacy County Dqrt. Bd ChinatnmD Community Leaoung Center Support 17-18130 Local McntenyPnuiisula Water Man((gemmt]CamidRivffD&nRanoval Impacts131 Local Montct^PaunsulaUnificdS<iioolDirtiEco-AmbuBadon20l7-2018132 Local County of Montany-Dtpt. Sodd & Emi Child Wel&re Under Chronic, Seasonal and Occasional133 Local City of Seaside SnafnableChvYtarPnwan n7-18)134 Local County ofMontBny Lost Childioods Exhibition135 Local Monteny Peninsula WatffMan^ganmt] PIaatiuRBt MIX School May 5tfa 2018136 Local Central CA Coast Alliance for Health WaddBnocDwdooaneut Orant-PA ProRram Support

Shodchy, Maylou BusinessBarbeau, Bnd/Chou, Chi-Chun BusinessUenk, Laura Lee SNSKvitdc. Ritt/Smith, Doug SNSAltmm, Jnlic Social WorkSmith, Daue SNSUndc, LmnLee SNSNavaio, Ignaao HHSPFFnnnd^Dm SNSRyoe, Bud CAHSSUaak. LuaaLee SNSRios-Ellia, Britt/Forest, Christo HSIB/PA

AA/BnsincssAA/Bnsiness

AA/Sdcoce

AA/Sdncc

AA/HSHSAA/Samcc

AA/SdcaoeAA/HSIBAA/SdtnccAA/CAHSSAA/ScicnceAA/HSHS

TOTAL LOCAL GOV

13. 63616. 00022. 72713. 334

101. 65215, 83313, 63782,61717. 4928. 3331. 253

750, 0001,056, 514

1.3641.6002. 2732. 666

20, 3303, 1671. 363

16. 5243. 4981. 667

251

54, 703

15. 00017.60025. 00016.000

121. 98219,00015,00099. 14120, 99010. 000

1, 5047sa,ooo

1, 111, 217

$15, 000$17, 600$25, 000$16, 000

»

»

$0so$0n:n|so|

73, 600

$101, 652$15, 833$13, 637$82, 617$17. 492

$8,333$1, 253

S750. 000$990^17

$20. 330S3. 167$1, 363

$16. 524$3. 498$1. 667

$251»

$46^00

$0»$0M

$121. 982$19. 000$15. 000$99, 141$20, 990$10. 000

$1. 504$750, 000

$1,037, 617

7/7/16-12/31/178/23/16-12/31/178/1/1^6/301/186/1/17-3/30/187/1/17-6/30/187/10/17-1/31/18W27m-6/VW10/1/17-6/30008/1/17-7/30/183/1/18-12/31/185/1/18-5/5/185/I6/17-4/3QQ1

137 Otiur138 Other1390dier140 OdiiT141 Odur142 Odur143 Odm144 OditT145 Oflier146 Othff147 Oflur148 OthtT150 Other151 Other1S2 Other153 Othff154 Oflur155 Otha156 Otha157 (Mia158 Other159 Other160 Other161 Othn162 Odtff

Burieson Consultmg, IDC.Remote Sensing Solutions, toe.SenTrec, he.Occai AHO, Inc.Rcgmts ofUC/Merced-PG&E

Rcstaiaita Assistmcc for Dune Plantings Lienk, Laura LeeCSU COAST Srnnrnn- hrteniships-Rmiote Sfflsing Solutiar Kamer, KristaCSU COAST Sumrnn- hrtnnships-SeaTiec, Inc. Kamec, KristaCSU COAST Summer totanships-Ocean Aero, Inc. Kamu, KristaPO&E Enngy Effidat Tiaimng and Consulting Shocklcy, Mnylou

Marine Applied Reseandi & Exploration, CSU COAST Summer IntemsIiips-MARE Kana, Krista

SNSCOASTCOASTCOASTBusiness

COAST

N^a County Office of EducationRegents oftheUniv. of MinnesotaRcgmts ofUC/SantaCmzSanta Lcds ConsnvaDcyCA Stawbaiy CommissionbayecotariumUmvasity of MinnesotaVarious PartnersBig Sur Land TiustSanta Luda ConsttvnncyRegents ofUC/Santa Ciuz

Mtfdi Funds to AmeriCorps Building Volunteer Capaaty (5 Link, Laura Le^Pollack, Seth Savice Leami:MMPI-2RF Validation Using Meta-Analysis and a Forensic Bunfaett, DameUeNature Detectives Spring 2017 Uenk, LamaLeeSaataLudaMomtoring2017 Snuth, DougDcvdoping Rapid Detection Methods for Diagnosing Smlbo Miles, TimothyCOAST hrtanriripa-Bay Institute Kama, KristaMMPI-2-RF Validation in a Forensic Psydiiatric topatiait B Bunhett, Daudle

FsychologySNSSNSSNSCOASTPsychology

Uttik, LanaLee/Pollack, Stth SuviccLenau:AmaiCoqu Match AccountCar LAe Pilot 2017-2019 Licak. LanaLw SNSSanta Lucia Monitoring 2018 Olson. John SNSNrture Detectives Spring 2018 Uenk, LanaLec/CraDdall, Sha-SNS

Global Biodiversity toibimation Facility Cqarity Building & data mobiluadon for consffvarion aid CiandaU, Eric SNSCA Marine Sanctuay Foundation Cantinuadon ofAe MBNMS-CSUMB Researcfa Partnaship Undhohn, Janes SNSSouthwest Wetlands fatapredvc AssociaTijnaa River NERR Suounff Intemslups Kann; Kasta COASTCouncil on Undugraduate Research (CU) CUR Asstssmmt Research Coordmator Haeger, Headier UROCCA Ocean SdeaceTrast CSU COAST Simnna-bitemship-CAL OST Kaaia; Rrista COASTMazdflRaccway LagunaSeca Lagunn SecaEumomic Impact Asscssmtnt 2018 Avella, John/AtzDii, Robuta, G BusinessUrivHsidad dd Pas Vasco-Eniopean Co Erasmus htandional WedAECOM - CalAm Water 5-Yw Camd Mcnutoring

Mansonrian, IdaOlson, Join

brt'l Programs |SNSTOTAL OTHER

AA/Sdence

AA/Prorost

AA/Provost

AA/Provost

AA/Baancss

AATrovostAA/UCGSAA/CAHSSAA/ScienceAA/SdeaceAA/SdcnccAA/ProvostAA/CAHSSAA/UCGSAA/ScicnceAA/SciencsAA/SdaKC

AA/Snutoe

AA/SuaioeAA/ProvostAA/PronrostAA/ProwostAA/Buaincss

AA/CQEEAA/Sdaicc

6.459 S10. 039 $29.400 $

9,000 $15, 000 $9, 000 $

78, 354 $10. 009 $

5, 171 $19. 431 S19. 000 S2, 500 $

10, 009 $83, 750 $29, 237 $17, 473 $5. 717 $

10, 600 $22, 174 $12, 500 $41. 583 S12, 500 $20. 370 $

2.402 $37,203 $

S1S.8S1 S

4.306 $$

$

$

$

s

«

t

s

2, 915 $s

t

$

t4. 386 S2. 621 $

s

t

3, 326 $s

s

$

1. 630 $s

15, 997 »35,181 S

10. 76510.03929. 400

9,00015,0009, 000

78, 35410.0095. 171

22,34619, 0002.500

10. 00983. 75033, 62320,094

5.71710,60025, 50012.50041, 58312. 50022. 000

2, 40253, 200

554, 062

$101, 765$9, 000

$26, 900$9. 000

$15. 000$9.000

$78. 354$10. 009

S5, 171$22, 346$19. 000:

$2, 5001solu|to Ito Isol»1to Ito Im|»1to I»1u|

217, 045

$1,039$2, 500

£1. 039$2, 500

$10, 009$83. 750S29. 237S17. 473

$5,717$10,600£22. 174$12. 500$41. 583$12, 500$20, 370

$2, 402$37. 203

309,057 t

toto

$4, 386(2.62I

m

so$3,326

to»

to$1. 630

$0$15. 99727. 960

$10. 009$83, 750$33. 623$20. 094

$5, 717$10. 600$25, 500$12, 500$41, 583$12, 500S22. 000

$2, 402$53, 200

337, 017

3/15/15-12/31/176/1/16-12/31/206/1/16-12/31/206/1/16-12/31/201/1/16-9/3Qfl76/1/16-12/31/209/12/16-S/30/177/1/16-8/31/171/1/17-10/1/171/1/17-12/31/182/1/17-1/31/186/1/17-12/31/217/l/17-6/3Qfl99/1/17-8/3Q/U8/1/17-1/31/191/1/18-12/31/182/1/18-9/30/187/3/18-10/30/183/1/18-2/28/195/14/18-5/31032/2/18-6/301/196/1/18-5/31/231/17/18-1/15/19&1/18-6/30/185/14/18-5/13^

GRAND TOTAL $ 40, 312, 720 $ 5,613, 539 $ 45, 926,259 | S 32, 735, 3(6 | $ 12, 070, 274 Sl. 120,619 $ 13, 1!>0,893

a?'1 Federal2 Local

3 Fedari4 Fednd5 Federal6 Local

- SB"7 Fednal8 State

Local10 Sbte11 State12 State13 Fcdcal14 Fdari15 Fedad16Pcdtid17 Federal18 Fcdad19 Fdnd20 Fcdaal21 Local22 Fcdoal23 Federal

B'WHJL Tfft8/15/159/1/159/3/15

11/10/1512/16/15

2/4/16

7/20/167/15/168/16/168/31/169/23/16

12/13/163/1/173/6/173/6/173/6/173/7/17

3/15/173/29/174/17/174/28/175/15/176/12/17

iWtt

-:_TB"24 Fcdad26 State27 Federal28 Fdad29 Fcdeml30 Federal31 Fdad32 State33 State34 Federal35 Federal36 Fcdnd37 Fcdnd38 Federal

.

yr?pf"e?7/25/178/29/179/15/1710/2/17

10/13/1710/15/1710/16/1710/27/1711/30/1712/12/17iri2/i712/20/17

1/10/182/1/18

University Corporation at Monterey BayExternal Public Funding Report-Sponsored ProgramsCurrent Public Pending Proposals - FT18 4th Quarter

jSspmrt'-. mie K]Tufts. Ihuvereity-Natiooal Samoe Foundation MarioeLarvac ... ----, ->. GfnuLMdissisr*MontaqrPamMula Regional Pmk District KOK Sfh Gnde amlcn Projects 2015-2016 Umfc'LmmZecUCR^cab/LosAngds-NaUonal Science Found, CIunge in Global Kdp Hiupi', AiismTMn.

°^DSc ST'"tfcrtheAns pe Measimmcat of tostnctional Minutes in the Arts ftr the Tri-Coimly Ana £n, BmwiimgNOAA''BWET.

^ ... "

B°il^e A Bridge: Yr. 3: Coinccting undasnved youth to the Monten^ Bay Saniaaiy through ha Uaii^llu ra Lee

Tranaportalion Agency fcrMontaey County TranspmtationAgaicy For Montncy County BicydeSecun Program ' " "' - -'" - Spa? Ai^a

SNSSNSSNSLiberal StudiesSNSCampus PIanni

South Dakota State UnivCTsity - US Dept Agricult Thelufluence ofBiofuel of US CornState ofCA Air Resources Board Piloting of an Environmental Justice Sensitive Approach to MeiBuring Particulate"?'.?????. ......... A FamwoiknHouiing Study and Action Plan for SdinaiVallqi and PajaroVaUcyCA Dept of Fish & Wildlifi Ft. CW Dimes State Faik-Crispy Icqilant to Native WonddaidCA Ocean Protection Council Longtam MonitoruigCSU Piano - CSU Agriculhire Reseadl Instituta Lysimttric datmination of evapolmmpiratlon codBdnts &r drip inigatBd vegetablesMidugan Stale Uniym ity- US Dcpt. Agriculture Devdopme a Wnthtr.Biscd Decision Support Tool Ibr Mai^mait ofBliiAniyFiuit DiscasssRegents of UC/Davis-US Dept. Agriculture Improving ODline water managemait tools for vegetable production^s.-C^..I^rt F??)d & g-HS D£Pt^^riculture Mantging fimgicide resistance in Boftiytis cmereatm gn^e, strawbeny and bluebeny1^0^ T^e1L^v^i^^atioD^. scieDcepolu) hna'vatKms at the Nexus of Food, Eneigy and Water Systems Lo^ui,"_, tatS.U?"^"i<y'??I?/'^if ?°1TS of&18m AdataAncn demiion support systtm to iddSit/ optimal land lue alternatives fcr pntcctiDg spaae Olmn, JohnSm Jose State RKCSmh Fdn-NOAA (Coastal Resilience) Return oftbe Natives Restontimi Pniject - Coastal Resilience ttmughDuntsB Limh Laim LeeNational Sduce Foundation_ Undastmdmg LitaBt.Driva Design to Promote Equitable Engagemmt with MathemBh'ls - - Lvnch. Aiison^C..R5el^/B??c>'~, S? SH?S . CalSWEC Title WE Stipmd Pmgram Sr PY 2018^020

''~' '

Aitmm, Jdie'County of SmlaCruzfHmlth Services Agtaiy Evdnatitm of the Integrated Health md Housing SiiniottsPragnm itomro. 'ImacicR^nitsnfUcmakdey-USDept. Health & Hum CalSWECJV-E 17-18 ~ " ~ ATtmm.'M'ic'US Dept. Health & Hmnan Services Praject FEET (Fidd Education Expansion & Tminiiig) 'MVmm, Jniie

IM.Fausti, Scott

Femaodez, Dan/Tirado, MigudNavfuro, IgnacioLienk, Laura LeeLindholm, JamesPost, Kiik/Mdton, FairestMiles. TimMelton. Forrest/Johnson. LeeMiles. Tim

Logan, Chayl

Business

SNSHHSPPSNSSNSSNSSNSSNSSNSSNSSNSSNSSNSSocial WoitHHSPPSocial Wmk

Social Woik

FY17 PENDING PROPOSALS

-.... - S»W _ . . nB><!") Tl!feUS Fish & Wildlife Snvice Restondon at Montmy State Beach-Scaside'bm'es 2oi5-2bl9'Risgente ofUC/Bedidey-CA Dcpt. OSHPD CdSWEC Meiitd Health Stipend Prognin'17-18North Ultota State Ihmasity-US Dept. Agricultl Tnc Eanomic Impact of Future Value Based Marketing in the US Sheep bdusbyNational Science Foundation Molecular Design fbr Redox Active Deep Eutectic SolvmtsCA Dqrt Food & Ag-US Dept. riculture Investing in Future Specialty Crop Professionals

F.lLienk, Laura LeeAltmaa, JulieFausti, ScottGodtz, JohnHafia, Arienc/Slown, Corin

?,S?MS, '?.^IC/R?a!ii?T'us Dcpt' ABricultun/N] Utilizing Pliytophthora not rot-suppttssive micmbiomes fer their biocontml (apability m CA soil tfflea, TimNatimdSaaiceFomdafion . _. . _ _ Modeling the daaminants of loticaocystm biodivnsity fiom local to continental scales and pint Olso^ Johni'£?S^J'-'m^J?, I?J?!d,.sch^°l.Dis?'?'c^ cl Edu°ltorEdMn:emmt Pntoenliip: MPUSDmd CSUMB

- --

'""

Sdsbagn;Megan/SloT, CorinCSU Fres"o - CSU Affficulture Research Institute Lysimehic detennination ofevapotranspiration coefficicnts for drip imgated vegetables Mdton, Faircst.S_"^!.s?°!ceF??"llti?^. _ . . Motivtioml Attituda In Statistics Education Rcsendi (MASTER) UBBic^ Alana

AdlaJ*landanum-NatMmal Science Foundation Eng^ing non nugois in authentic researdi through citizen science BBuirt. AliswiAtaCoimilfcrMoiltey Coimty-NOAA Watariied RKtontioil Action is Nowl (WRAINI) Cimdall,-SharilM.iBllc. Lam U, SNSNational Endowmut br ttc Himuuitics Tektite Rwuiitd Documnitaiy (TUin'Mn]T'"'~ T'r'l'.L.^s.National Ocnmic& Atmospheric Allmlnistration/ICSU COAST SmnmnIntmahipK NOAANMFS Kniin^KnSiT" C(SsT

Social WoikBusiness

SNSSNSSNSSNSTaichn-Ed/SN!SNSMath & StatistSNS

$102, 453tl0, 800$16,275$9, 041

$48,374$9, 091

tlX. 034

WsS$35, 921

$119,877$49, 936

$110, 240$44, 177

$119, 774$93, 479

$123, 341$43,480

$214, 330C5I.902

$23, 893$135, 984$576, 876(488, 347$343, 081

$1,234, 443

M, 10», 08I

$47, 129$2, 160$7, 486$4, 159

$11,626$0

S72.S60

iMiBBt$15, 395$21, 644

$9, 987$27, 560$11, 044

$0$26, 366

$9,387(2, 518

$85,282$15,312$10,274$58,473135, 822$97. 669$18,728$98,756

Umt$17, 021$74,000$6, 830

$243, 813$277, 642$140,942$277, 990$159, 904$150,000$462, 864

$31,243S16.224$47, 563$25, 000

Indirect$2, 979

$0$554

$69, 579(21, 367

$8,764$107, 945

$39, 976$0

$137, 136$13. 435$«, 976

$20, 452SO

$149, 582$12, 960$23,761$13, 200$60,01)0

$9, 091

SMfL'jM

$51,316$149,603

$59, 923$137, 1100$55,221

$119, 774$119, 845$132,728$45, 998

$299, «U$367,214

$34, 167$194, 457$612,698$586,016$361, 809

$1, 333, 199

1544,217 $4,661,380

ToolKO.OOO$74, 000

$7, 384$313, 392$299,009$149, 706$385, 935$199, 880(150, 000$60(1,0(10$44, 678$23, 200$68, 015$25, 000

TO*,

39 StBe40 Fcdenl41 State

42 Fcdnal43 State44 State45 State46 Fednd47 Federal48 State49 State50 Federal

51 State52 Fedad53 State54 Fdtoal55 Tednd56 Federal57 Fcdad58 State

59 Local60 Fedaal

2/2/182/2/18

2/12/182/15/182/17/182/17/182/23/18

3/6/183/14/183/15/183/15/183/28/184/16/17

5/7/185/7/185/8/18

5/11/185/31/186/11/186/13/186/19/186/29/18

University Corporation at Monterey BayExternal PublicFunding Report-Sponsored ProgramsCurrent Public Pending Proposals - FY18 4th Quarter

!'i^.. '"'. ^'l' i,.

.-'-;)-. Bwt.^^

.^onxximl^Si^D^^^^^^^rS'"'3T -^' '. ^. t "^""^'ISSSS^S^^^^^^^^^WLJWO^^^^^{^SM a

SSS'S'dm^MAtion"""~~ "" CoUabontive Raeardi: Daomposing the enas ofdivnsifton tte ahmdmce of marine pamitcs upt, Alimnus:EnhmcmgtheCompetitivBiessandVahKofU.S. Beef_ ^ ^ . ._^FTt'. J"tt

A^dtmd Ite^idi I.aitutrfC. li&ii.ia Sue U. ARI Campus: In situ MomtoringofP. lhogenSuppnssmg VoUiles to Determine Effic^ °fA-ae, ft Ari^ ^^^ ^^^STol^tadToT ^lN^"R'Kou;Saiinas-Mva-SMeB»chDmieRestoiationPtee2

_ ^ _^ _.,.,. _"

LInk:L'ml. Lce'<::'mda"'!

NZ^aTs^.ce'F'ounddion''"'' "~~ Building Capicity Cioas-tetitutioml Faculty DevdopmentTo Impiove Critical Timsitions in STE Lawson, Anftew^

WLCWLCSNSSNSBusiness

SNS

Nationd pishaad Wildlife Foundation Monard & Blues: Restoring Inbitat &r mommii and Smith's NuebuttafliK^_^ ^iM'v'."of Southern CA^MOnnt-Flop 84 Pimds Change in fine sedimats along ocean moutts ofwatasheda caused by the Sobo

CalifemiaOcainPrateamnCoimciKA Sea Gran PREPROPOSAL: Persistence ofkdp cKiss-iitans andabdone m a dnging dimaUNaimidScimce Founduion" - Rqilicatioii ofcohort-based computer science badidoi's dcgne modelCAPublicUMttos Commission Angmmtation to CA Wldess Broadband Pcremnance md Cova^e Tncking StudyCA Dept. Education-US Dtpt. Agriculture USDA Simimer Food Prognm for Upwani Bound Residential Pmgnm (2017-2018)Rceente ofUC/Davis-CA State Watn Resouices C Aiigmoitation fbi Rivn Geomoipliic tovmtoiy oftbe CA South Cmtnl CoastNational Fish & Wildlift Fdn-US Fish & WUdlit Monadl & Blues: Restoring habitat for momidl and Smith's blue buttdiesCSU Cbico Resanch Fdn-US Dept. Agriculnue Cal Fresh Outnach @CSUMBOnpmai Uiiivcrsity-US Dept. Education RedBignmg an fattr-Disciplinay Cross Pmgram Special Eduution Inclusioii CouiseCSU Long Beach Fdn-National hstitute of Health Advmcing Hcaltk Opportmiities Reseanh Adiievemait (AHORA)CA Dept. "Fish & Wildlife WatsBhed Restoration on the Ft. Old National MomimaitSouthm Califtmi. Coastal Water Rescudi Proja Aiigmmtation-CA Oil Spill Study md Evaluation PiogT (COSSEP) Qy StBm AssessmentCounty of Monercy Hedtt Dcpt-US Cmter for D Frevmtioil Fiist

Lienk, Lama LealCrandalI, Sharif SNSOlson, John/Kvitek, Rikk SNSHmpt, Alisirn SNSNarayanan, Sathya SCDNanyanan, Sathya; Byun, Young- SCDBrittain, Joy EOSPSmith, Dong SNSLicak, LaunLte/Ciandall, Slarif SNSSnawdfiT-Manzo, Joanaia Dean of Studai

Ramirez, Erin; Chitwood. Keme Tcadi» EdRios-Ellis, Britt CHSHSLienk, Laura Lee/Crandall, Sharifi SNSOlson, Mm SNSJudsim, Kin HHSPPFY18 Pcndinff ProDOsals

TOTAL PENDING PROPOSALS

$16, 857$23, 481

$296, 091$62, 903

$5,719$262,246

$27, 372$1, 191,631

$69, 164$124,276$197, 831

$4,822, 099$814,590

$22, 182$78,472(67, 890$25,407$11, 110

$849, 558$202, 330

$26, 114$25,455

$11. 15U14_

'..y-:v. i. '"--^.

$643$1, 719

$0$27, 048

$273(17, 011

S6. M3$308, 366

$10, 375$31,069$49,458

$176, 971$203, 647

$0(19, 618$29. 193$10,925

$890$365, 310$23, 546

$6,528$2,545

Sl.721. 141

$17,500$25, 200

$296, 091$89, 951

$5, 992$279, 257

$34,215$1,499, 997

$79, 539$155, 345$247, 289

$4,999, 070$1, 018, 237

$22, 182$98, 090$97, 083$36, 332$12, 000

$1.214, 868(225, 876

$32,642$28,000

S10.089.1i4S

$15,458,929 $2,337.918 $15,019,619

Quarter

1st Quarter

(TVpe[DirectI Indirect

2,657,072.44258,529.04

445, 987. 9842,299.82

159,258.2613, 316. 37

44,012.938,561.17

38, 668. 19(1,081.87)

Grand Total

3,344,999.80321,624.53 9.62%

10.52%

9.02%

8.44%

1st Quarter Total 2,915,601.48 488,287.80 172,574.63 52,574.10 37,586.32 3, 666, 624. 33

2nd Quarter Direct

Indirect

2,455, 137. 93271, 191. 55

397, 813. 2344,876.23

290, 533. 2912,971.14

38, 678. 217,875. 16

36, 571. 751, 815. 33

3, 218, 734. 41338, 729. 41

2nd Quarter Total 2,726, 329.48 442, 689. 46 303, 504.43 46, 553. 37 38, 387. 08 3,557, 463, 82

3rd Quarter I Direct! Indirect

3,019, 140.49302, 429. 24

417, 374. 6635,720.36

454, 301. 9810, 517. 42

44, 125. 158, 939. 51

44,419. 071, 376. 23

3, 979, 361. 35358,982.76

3rd Quarter TotalI Directllndlrect

3321, 569. 73 452, 095. 02 464, 819.40 53, 064. 66 45, 795. 30 4,338,344. 11

4thQuarter 3,861, 709.67325, 124. 62

460, 159. 6259, 161. 21

391, 731. 837, 934. 30

51,551.0510, 462. 53

60,903. 074, 670. 02

4, 826, 055. 24407,352.68

4thQuarter Total 4,186,834.29 519,320.83 399,666.13 62,013.58 65,573.09 5,233,407.92! Grand Total 13,150,334.98 1,903,393.11 1,340,564.59 214,205.71 187,341.79 16,795,840.18

Total DirectTotal Indirect

11,993,060.531,157,274.45

1, 721, 335. 49182, 057. 62

1,295,825.3644, 739. 23

178, 367. 3435, 838. 37

180, 562. 086, 779. 71

15,369,150.801,426,689.38 9. 28%

Awarded to date

Sponsor Program Funded

Principal Investigator (PI)/Lead

Notice of Opportunity: Program/Div Amount $

1

Association for Consumer Research-Transforming Consumer Research

Research:Influence of Mother's Media Consumption & Autonomy on Children's Education Jenny Lin

College of Business

0(no cash funded, PI is a

co-author)

2 Berkshire FoundationRISE Operating Support/RISE Student Scholarships RENEWAL 270,000

3 City National Bank College of Business Dean's Discretionary Fund Shyam KamathCollege of Business 10,000

4College of Michigan -Teaching Works Fellowship

Teaching Works Fellowship for 2018-19 (improve abilty to use practice-based pedagogies to teacher education with focus on mathematics methods) Dennis Kombe

College of Education 10,500

5

Community Foundation for Monterey County (originating funding from Giannini Fund)

College Futures - S.County Addition. 2018 Collaborative Agreement with EOSP (funding a Early Start advisor position at CSUMB for 3 years). Provide services to Geenfield and King City Middle and H.S. for college readiness. Joy Brittain Student Affairs 264,710

6

Community Foundation for Monterey County (Donor Advised Fund)

College and Career Readiness Project (iiED partnership with Junior Achievement) Brad Barbeau

College of Business 5,000

7

Community Foundation for Monterey County (Donor Advised Fund) Women's Leadership Council Scholarship Fund various various 10,000

8

Community Foundation for Santa Cruz County (Donor Advised Fund)

College of Science Building II (Planning Phase to include Monterey Bay National Marine Sanctuary Offices) Andrew Lawson College of Science 25,000

Community Foundation for Santa Cruz County (Donor advised fund) Marine Science Program Andrew Lawson College of Science 50,000

9 Crankstart FoundationCrankstart Foundation Scholarships for Community College Transfer Students Angeles Fuentes RENEWAL Financial Aid 25,000

10Dignity Health/Dominican Hospital Physician Assistant Program Britt Rios-Ellis

College of Health Sciences and Human Services 150,000

11Dignity Health/Dominican Hospital CHSHS Diversity Series Sponsorship 2018-19 Britt Rios-Ellis

College of Health Sciences and Human Services 10,000

12 Claire Giannini Fund Teacher Pathway Program 2018-19 (Year3) Jose Luis Alvarado RENEWALCollege of Education 197,564

13 Doctors on Duty CHSHS Diversity Series Sponsorship 2018-19 RENEWAL 10,000

14 Doctors on Duty Chinatown Community Learning Center Britt Rios-Ellis

College of Health Sciences and Human Services 1,000

15

Hartnell College (originating funds from James Irvine Foundation)

Bright Futures: Projects designed to increase the rate of A-G course completion among H.S. students in Salinas Valley. Joy Brittain INVITED Student Affairs 100,000

16Monterey Peninsula Foundation

Athletics Otter Sports Center and Field Renovations Kirby Garry INVITED

Student Affairs/Athletics 1,000,000

17

The David & Lucile Packard Foundation - Special Opportunities Program College of Science Building II Planning Phase Andrew Lawson INVITED College of Science 1,000,000

18 Pebble Beach Co Foundation College Completion Scholarships Kris Roney Academic Affairs 12,000

19San Benito Health Foundation CHSHS Diversity Series Sponsorship 2018-19 Britt Rios-Ellis

College of Health Sciences and Human Services 5,000

20

CSU Sonoma State (originating funds from Chevron)

Expanding CSU Pathways to New STEM/STEAM Teacher Excellence: planning for CSUMB MakerSpace Professional Learning Community Jose Luis Alvarado

College of Education 40,000

University Development CFR Status Report - YTD 2018-19 (July 1, 2018 - September 11, 2018)

Highlighted = University Corporation Grants

This report reflects private funding activity from Corporate & Foundations. University Corporation funds = non-endowed annual scholarships, all grants, gifts for programs and events. Foundation funds = all funds specified for endowments (includes scholarships and other select operating funds)

1

21 National Steinbeck Center

Proceeds from the 6th Annual Mariachi & Tequila Festival-2017 designated to the Teacher Pathway Program Jose Luis Alvarado INVITED

College of Education 12,000

22 Tanimura Family Foundation

Tanimura Family Foundation Scholarships for Business Students with Ag-Business Concentration

Angeles Fuentes/Sumadur Shakya RENEWAL

Financial Aid/College of Business 20,000

23 Winward Fund

Open ET Project: Build a web-based platform to make evapotranspiration(ET) accessible to everyone who needs it across western U.S. Front-end application will transform data into actionable information for effective water trading programs, irrigation scheduling and management, water budget and ground water planning, and other water management efforts. Forrest Melton College of Science 439,968

3,667,742

Proposals Not FundedSponsor Program proposal College/Div Amount $

1E4FC c/o: Community Initiatives - Catalyst Fund Undocu-Success Student Program Clementina Macias INVITED Student Affairs 131,618

2

Strive Together (via subagreement from United Way)

College and Career Readiness Policies: Internal policy development for local H.S. boards that result in higher level of A-G prerequisite course completion. Cynthia Holmski President's Office 53,333

184,951Pipeline - Submitted & Under ReviewSponsor Program proposal College/Div Amount $

1

American Psychological Association (SPA Diision 15 - Educational Psychology

Confirming the Factor Structure and Validation of an Instrument to Measure Secondary Teachers Sense of Efficacy for Reading Instruction(STERI) across the Content Areas Erin Ramirez

College of Education 6,000

2 Carmel Valley Association Micro-plastics research project at the Carmel River John Olson College of Science 300

3Sally Hughes Church Foundation College of Science II Building Andrew Lawson College of Science 100,000

4College Futures Foundation (via the Chancellor's Office)

Interested in supporting the math programs who received the CA Department of Ed grant - ending Sept.2018. This is a pilot to help improve College-Level Math Readiness and focuses on professional development for teachers. Joanne Lieberman College of Science 60,000

5Community Foundation for Monterey County

To support and sustain the professional development of a community of Transition to College Level Math (TCLM) teachers as well as other secondary mathematics teachers throughout Monterey County. Joanne Lieberman College of Science 30,000

6Community Foundation for Monterey County Chinatown Rentry to Housing Program Britt Rios-Ellis

College of Health Sciences and Human Services 10,000

7Clinica de Salud del Valle de Salinas (CSVS) CHSHS Diversity Series Sponsorship 2018-19 Britt Rios-Ellis

College of Health Sciences and Human Services 5,000

8Woodard & Curran Foundation - Impact Grants

Large-Fog Collector Design, Construction and Deployments along California's Central Coast Dan Fernandez College of Science 100,000

9 National Geographic

Research: Galápagos corals may be uniquely thermally resistant. Cheryl will survey coral thermal tolerance across the archipelago using a portable autonomous thermal stress system and collect samples to determine the genetic and environmental basis of tolerance. The proposed project will be the first to assess coral thermal tolerance across the Galápagos, and will aid in in the identification and preservation of thermally resistant corals globally. Cheryl Logan College of Science 30,000

10 Pacific Library Partnership Wi-fi Hotspot Lending Program

Sarah Dahlen/Jacqui Grallo Library 11,500

11Salinas Valley Memorial Health System CHSHS Diversity Series Sponsorship 2018-19 Britt Rios-Ellis

College of Health Sciences and Human Services 10,000

Highlighted = University Corporation Grants

Highlighted = University Corporation Grants

2

12Sociology Initiatives Foundation LOI

LOI/concept: Comparative study which integrates two broad areas of scholarship, global labor migration and Corporate Social Responsibility in two labor-sending countries (Vietnam & Mexico) Focus: labor recruitment system Angie Tran

College of Arts, Humanities and Social Sciences 75,000

13 Strive Together

Bright Futures: The purpose is to accelerate the impact of the partnership on student outcomes by adding capacity and enabling growth. Cynthia Holmski

Office of the President 150,000

587,800Proposal Planning

Sponsor Program proposal Program/Div Amount Est.$

1American Education Research Association

Monterey Institute for English Learners (MIEL) (Sept.28 deadline)

Amalia W. Hernández

College of Business 35,000

2 Bank of America TBD (January '19 deadline) TBD TBD 5,000

3Barnet J. Segal Charitable Trust CAHSS new building Ilene Feinman

College of Arts, Humanities and Social Sciences tbd

4 Braitmayer Foundation Teacher Pathway (March '19 deadline) Jose Luis AlvaradoCollege of Education 35,000

5 CA Wellness Fnd LOI Guardian Scholars Program (Rolling, Internal deadline Fall'18)

Clementina Macias Student Affairs 130,000

6 Chapman FoundationEarly Outreach and Support Programs (January '19 deadline) Joy Brittain Student Affairs 10,000

7 Chevron N.A. UROC Scholars Program John Banks RENEWAL Provost/UROC 30,000

8 Chevron N.A. MakerSpace in Tanimura Family Memorial Library Jose Luis AlvaradoCollege of Education tbd

9 Harden FoundationTBD Focus: Agriculture (February '19/September '19 deadlines) TBD College of Science tbd

10 Hearst FoundationComputer Science Scholarships or Computing and Design Scholarships (rolling deadline) Sathya College of Science 50,000

11 W.M. Kellog FoundationCollaborative Teacher Pathway Program (rolling deadline) Jose Luis Alvarado

College of Education 150,000

12

The David and Lucile Packard Foundation - Conservation & Science TBD

James Lindholm/Andrew Lawson College of Science tbd

13 Upjohn FoundationGuardian Scholars Program (Internal Sept. '19 deadline)

Clementina Macias Student Affairs 2,000

14The Gladys & Wayne Valley Foundation

College of Science Building II (rolling deadline internal October) Andrew Lawson College of Science tbd

15 Waitt Foundation Corral Reef Project (October '19 deadline ) Cheryl Logan College of Science 10,000

16 Andy Warhol Foundation CAHSS project TBD (March '19 deadline) TBD

College of Arts, Humanities and Social Sciences TBD

450,000+

Highlighted = University Corporation Grants

3