Gifts and Conflict of Interest
Overview
As a public institution of higher education
and also a custodian of public funds, the University is
concerned that there be appropriate safeguards against any
appearance of favoritism in its relations with other entities,
either public or private. To avoid any appearance of favoritism,
no officer or employee should accept any gift or gratuity
from any source which is offered or reasonably appears to
be offered because of the University position held by the
officer or employee, nor should an officer or employee extend
an offer of a gift on a similar basis.
Both the giver and recipient of a gift should
be guided by the intent as well as the statement of University
policy. The appearance of misconduct or impropriety can
be very damaging to the employee and to the University.
When University activities are not governed by specific
laws or regulations, integrity should guide our conduct.
No unethical practice can be justified because it is "customary"
outside UCI or because it serves other worthy goals.
Employees may not give, offer, or promise
anything of value to any government official in order to
enhance relations, regardless of whether that official is
in a position to influence any government decision that
affects the University or its activities. This includes
entertainment, gratuities and gifts. Additionally, no procurement
arrangement can be made by an employee with a relative or
near relative unless determined to be allowable within policy.
Gifts and Endowments
to the University
Gifts to the University are monies or other
tangible assets given with few or no conditions specified.
Gifts may be provided to establish an endowment or to provide
direct support for existing programs. Frequently, gifts
are used to support developing programs for which other
funding is not available.
A gift is a nonreciprocal transfer in that there is no implicit or explicit statement of exchange, purchase of services, or provisions of exclusive information. If the donor receives benefits in return for the contribution, the true value of the gift is the amount over and above the fair market value of any benefits received. Whether or not an institution has an obligation to report to the donor how a gift is used or invested, such reporting is an important element of good donor stewardship.
A gift is a contribution received by an institution for either unrestricted or restricted use in the furtherance of the institution for which the institution has made no commitment of resources or services other than, possibly, committing to use the gift as the donor specifies.
The Chancellor has redelegated the authority
to solicit and accept gifts (IDA
235). Gift Policy and Administration in University Advancement
serves as the official office for acceptance, recording,
and acknowledgement of all private gifts up to and including
$1 million dollars to UC Irvine and the UC Irvine Foundation.
Judgment must be exercised in order to classify
a gift/grant in accordance with the intent of University
policy. Solicitation and acceptance of private grants, contracts
and agreements, has been redelegated by the Chancellor to
officers in Research Administration. Review by Sponsored
Projects Administration ensures compliance with University
policies covering all protocol regulations for human and
animal subjects, radioactive materials, biohazards, and
intellectual property matters.
Acceptance of gifts is coordinated with
appropriate department heads and University Advancement.
CONTACT
Gift Administration & Prospect Management,
University Advancement
(949) 824-5751
POLICIES & PROCEDURES
UCI Administrative Policies & Procedures
Section
680, University Advancement
Section
680-10, Policy on Gifts and Endowments
Section
680-11, Procedures for Processing Acceptance of a Gift/Private
Grant
Section 680-12,
Policy on Memorial and Honorary Funds
Section
901-11, Procedure for Naming University Properties,
Programs, and Facilities
UC Delegations of Authority
DA
2011, To Solicit and Accept Gifts
UCI Delegations of Authority
IDA 235, To
Solicit and Accept Gifts
IDA 537, Solicit,
Accept, or Execute Certain Extramural Research, Training,
and Public Service Contracts and Grants
Gifts to Employees
from the University or a University Department
Awards - Sympathy - Retirement
Employees may receive retirement or sympathy
gifts from the University as well as non-cash awards for
performance. Work-related awards in recognition of work-related
accomplishments, length of service or retirement, may be
acknowledged by the presentation of an item of tangible
personal property.
Employee recognition awards are limited
to three per calendar year and limits on the cost of awards are shown in Business and Finance Bulletin G-41, Appendix A, unless exceptional approval is obtained (see IDA
290). Gift certificates and cards should be inscribed with the employee's name, if possible, and may not be used for gifts of services.
Guidance on quantity purchases of on-the-spot awards, raffles for door prizes, and other incentive gifts is also included in G-41.
In lieu of a sympathy gift of tangible personal property, such as flowers (limited to $75), a cash contribution of $200 or less may be made to a charitable organization.
The reimbursement of expenses related to
employee recognition events such as picnics, retirement
receptions, and holiday parties are considered entertainment
and are covered in Section 701-20.
CONTACT
Accounting Office - Accounts Payable/Payquest
(949) 824-3662
POLICIES & PROCEDURES
UC Business and Finance Bulletins
BUS-79, Expenditures for Business Meetings, Entertainment, & Other Occasions
G-41,
Employee Non-Cash Awards
UCI Administrative Policies & Procedures
Section
700-13, Guidelines for Reimbursement of Gift Purchases
Section
701-20, Business Meetings and Entertainment Guidelines
Personnel Procedures for UCI Staff Members
Procedure 34:
Incentive Awards
UCI Delegations of Authority
IDA
290, Employee Non-Cash Awards
Gifts to Non-Employees
on Behalf of the University
The presentation of a non-cash gift to
a non-University individual or organization on behalf of
the University is allowed for buiness purposes. Examples
might include promotional and goodwill gifts, gifts presented
as a token of appreciation for, or in recognition of, service
to the University, and gifts offered as an expression of
sympathy. Individuals or organizations eligible to receive
gifts include donors or potential donors, visiting dignitaries
and scholars, volunteers (including students), clientele,
and members of the local community.
To avoid any appearance of favoritism, no
officer or employee should present a gift that appears to
be offered because of the position held by the recipient.
Only department heads have the authority to approve requests
to reimburse expenses for non-cash gifts presented on behalf
of the University. This authority may not be redelegated
and any exception must be approved by the Chancellor.
Requests for payment or reimbursement of
non-cash gift expenditures may not be charged to State funds
and must be submitted on a Check Request (Form 5) with supporting
documentation.
CONTACT
Accounting Office - Accounts Payable/Payquest
(949) 824-3662
POLICIES & PROCEDURES
UC Business and Finance Bulletin
G-42,
Gifts Presented to Non-Employees on Behalf of the University
UCI Administrative Policies & Procedures
Sec.
700-13, Guidelines for Reimbursement of Gift Purchases
Gifts to Employees
from Vendors
UCI employees must be particularly aware
of situations where a conflict may exist between our private
interests and official responsibilities. We may not give,
offer, or promise anything of value to any vendor, contractor,
or other individual for the purpose of receiving favorable
treatment. Nor shall UCI personnel solicit or accept anything
of value from these individuals which may place an individual
or department in a compromising position.
University credit, purchasing power, and
faciliites cannot be used to purchase material for individual
or non-University activiites. Goods or services cannot be
purchased from an employee or near relative unless there
is a specific determination that the goods or services are
not available otherwise.
University employees should avoid accepting gifts from vendors.
Unless the gift is truly a marketing token (pen, keychain,
coffee mug, etc.) given by a vendor in the normal course
of business, employees should decline the gift. Health care individuals should refer to the Policy on Health Care Vendor Relations which states restrictions in circumstances where the potential drawback of a relationship with a vendor outweighs the anticipated benefit.
CONTACT
Materiel & Risk Management
(949) 824-6510
POLICIES & PROCEDURES
UC Policies
Policy on Health Care Vendor Relations and Frequently Asked Questions
UC Business & Finance Bulletins
BUS-43,
Materiel Management, Exhibit B, Principles of Purchasing
and Code of Ethics
UCI Administrative Policies & Procedures
Section
700-09, Policies on Gifts, Gratuities and Conflict of
Interest
Personnel Policies for Staff Members
Policy
82: Conflict of Interest
Personnel Procedures for UCI Staff Members
Procedure 82:
Conflict of Interest
Gifts to Employees
from Corporations or Organizations
The acceptance of personal gifts from those
doing business or seeking to do business with the University,
even when lawful, may give rise to legitimate concerns about
favoritism, depending on the circumstances. Consequently,
state law regulates the acceptance of gifts by public employees
in several ways:
- Certain University employees (those
who are "designated officials" under the UC
Conflict of Interest Code) cannot accept gifts worth over
a certain threshold amount from specified entities.
- Designated officials who accept gifts
under this threshold from such entities must disclose
such gifts on their annual statement of economic interest
(provided the gift or combination of gifts is worth at
least $50.00).
- Any University employee -- whether a
"designated official" or not -- who accepts
a gift or combination of gifts worth over a certain amount
is disqualified from participating in decisions involving
the source of the gift(s).
CONTACT
Conflict of Interest Coordinator
(949) 824-8713
POLICIES & PROCEDURES
State Laws
California
Fair Political Practices Commission
Limitations
and Other Restrictions on Gifts, Honoraria, Travel, and
Loans
UC Policies
UC
Policy and Guidelines Regarding Acceptance of Gifts and
Gratuities
by Employees Under
California's Political Reform Act
UC
Policy on Outside Professional Activities for Officers and
Designated Staff
UC
Political Reform Act Disqualification Requirements
Policy on Health Care Vendor Relations
UC
Conflict of Interest Code
Statement
of Economic Interests, Form 700 and Disclosure
Categories
UC Business and Finance Bulletins
G-39,
Conflict of Interest Policy and Compendium of Specialized
University Policies, Guidelines, and Regulations
Related to Conflict of Interest
UCI Administrative Policies & Procedures
Section
700-09, Policies on Gifts, Gratuities and Conflict of
Interest
Personnel Policies for Staff Members
Policy
82: Conflict of Interest
Gift to a Friend
or Relative for Lodging
When a traveler lodges with a friend or
relative while on official business for the University,
a non-cash gift, such as flowers, groceries, or a restaurant
meal, may be provided to the host. The actual cost of such
a gift may be reimbursed up to $75. Under IRS regulations,
a receipt must be provided for gifts costing $25 or more.
Only one gift per stay may be provided to a host.
CONTACT
Accounting Office - Accounts Payable/Travel
& Disbursing
(949) 824-3662
POLICIES & PROCEDURES
UC Business and Finance Bulletins
G-28,
Policy and Regulations Governing Travel
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