UTS Gifts and Benefits Vice-Chancellor's Operational Directives

1. Background and context

The University of Technology, Sydney requires its employees, and all persons who perform functions on its behalf, to act with the highest degree of professional independence and integrity. Accordingly, it is not appropriate for University employees to be offered or to accept gifts and benefits that affect, or may be seen to be likely to affect, the performance of their official duties.

In line with this principle, the University strongly encourages service providers to direct their efforts at providing better service or more competitive products to the University rather than offering personal benefits to staff.

2. Purpose and scope

2.1 The purpose of these Directives is to establish the principles that should be used to determine the appropriateness of accepting gifts and benefits. They also define the conditions for the acceptance or rejection of gifts and benefits of a nominal, significant, major or intangible value as well as appropriate disclosure reporting requirements.

2.2 These Directives apply to all gifts and benefits received by University employees in the course of their official duties.

Gifts and benefits received by an immediate family member or close associate of a University employee, which can be reasonably attributed to the employee's official duties or association with the University, are also covered by these directives.

2.3 Gifts and benefits received by University employees as a result of undertaking outside work are excluded from these Directives, subject to prior approval being sought to conduct outside work as detailed in the UTS Outside Work Policy. Honorariums from an individual organisation that do not exceed a total of $250 in a single year are also excluded, as are gifts or bequests made directly to the University.

2.4 These Directives do not apply to philanthropic gifts made by individuals, corporations, foundations or legal entities to assist the University in the pursuit of its mission.

3. Definitions

3.1 Accountable Supervisor refers to the supervisor of the staff member who is receiving or has been offered the gift or benefit.

3.2 Head of Unit refers to the Dean or Director (or equivalent) of the Faculty or Unit, respectively, in which the staff member who is receiving or has been offered the gift or benefit is located.

3.3 Gift or Benefit refers to items (both tangible and intangible) received by University employees in the course of official duties.

3.4 University employee is any person employed by the University either full-time or part-time, permanent or casual, or engaged on a contractual basis.

3.5 Official duties refers to any University function for which a University employee is contractually engaged, or any University function for which a University employee holds influence or has access, or possesses the ability to hold influence or have access, irrespective of the time of day, or location of the University employee at the time.

3.6 Fair value refers to either the domestic recommended retail price (if known), the monetary value set by a licensed valuer (for example, antiques or jewellery) or the monetary value that has been mutually agreed by the Accountable Supervisor/Head of Unit and the Director – Governance Support.

3.7 A reasonable observer is a fair-minded person in possession of the facts.

3.8 A nominal gift or benefit is one with a fair value of less than $50.

3.9 A significant gift or benefit is one with a fair value between $50 and $250.

3.10 A major gift or benefit is a single gift or benefit with a fair value in excess of $250 or a cumulation of nominal/significant gifts or benefits received from the same individual/organisation in the course of a financial year where the aggregate value is in excess of $250.

3.11 An intangible gift or benefit may be nominal, significant or major in nature, but is one with no lasting transactional value.

3.12 A declaration form is the Gifts and Benefits Declaration form (see the Appendix to these Directives).

3.13 The register of significant and major gifts and benefits is the official register that is used to record details of significant and major gifts and benefits that are either accepted or rejected by the University. Details stored in the register are treated as confidential information.

4. Vice-Chancellor's statement

The following standards must be applied in assessing the appropriateness of accepting or rejecting gifts and benefits.

Standards that must be met for it to be appropriate to accept gifts and benefits

• The accepting of the gift or benefit will not influence, or have the potential to influence, a University employee in such a way as to compromise or appear to compromise integrity and impartiality, or to create a conflict of interest, or the reasonable perception of a conflict of interest.
• The accepting of the gift or benefit is not related to advice or decisions about (but not limited to): awarding contracts; facilitating academic assessment, credit or award; or giving approvals.
• The gift or benefit has not been solicited either directly or indirectly by the intended recipient.
• Any obligation or potential obligation implied in acceptance of a gift or benefit of a greater than nominal value has been assessed and determined by the Accountable Supervisor as not compromising the integrity and impartiality of the University.

Conditions that mandate rejecting gifts and benefits

A gift or benefit may not be accepted if any of the following apply:

• it is intended or is likely to cause the recipient or donor to act in a partial manner in the course of their duties
• the intended donor has been requested to give the gift or benefit
• a reasonable observer would think that the recipient may be under obligation to act in a partial manner
• the offered gift is money or anything readily convertible to money.

5. Authorities and accountabilities

5.1 Authority to accept or reject gifts and benefits

All significant and major gifts and benefits given to a University employee are the property of the University. Subject to compliance with the Gifts and Benefits standards and conditions specified and documented at Clause 4, and the conditions listed below, authority to either accept or reject gifts and benefits given to a University employee is as set out in the following table.

The accepting or rejecting of gifts and benefits must be managed in a transparent manner with due concern for probity and ethical behaviour. Gifts and benefits received by the University or an individual University employee must be disclosed as indicated in the table.

The University Employee filling in the Gifts and Benefits Declaration form must provide the reason for receiving the gift or benefit. The relevant Accountable Supervisor or Head of Unit must declare whether the gift or benefit was retained by the University or the University employee, and further, whether the recipient believed the gift was an attempt to influence or compromise either the University or an employee. The declaration form must be submitted within 14 days of receiving the gift. If the employee is away from the University at the time the gift is offered or given, the form must be submitted within seven days of returning to work.

5.2 Register of significant and major gifts and benefits

It is the responsibility of the Director – Governance Support, or nominee, to establish a register of significant and major gifts and benefits, and associated procedures and forms, to record significant and major gifts and benefits accepted or rejected by the University.

5.3 Monitoring and quality assurance

It is the responsibility of the Director – Governance Support, or nominee, to develop and implement appropriate quality assurance procedures to monitor compliance with these Directives. This includes monitoring all Gifts and Benefits Declaration forms received and investigating any declarations that appear not to comply with these Directives and, where appropriate, referring matters to the Vice-Chancellor or the Director – Internal Audit.

5.4 Audits

It is the responsibility of the Director – Governance Support to develop and implement an audit schedule, which ensures the Register of Significant and Major Gifts and Benefits is audited by the University's Internal Audit Unit at intervals determined by the Vice-Chancellor. The audit report shall be submitted to the Vice-Chancellor.

5.5 Accountability

The Vice-Chancellor has overall accountability for the enforcement of these Directives. The Director – Governance Support is responsible for implementing these directives.

5.6 Breaches

All suspected breaches should be reported directly to a Nominated Disclosure Officer designated under the Policy on Reporting Corrupt Conduct, Maladministration and Serious and Substantial Waste within UTS. All reports received will be treated with appropriate concern for the law (including the University's obligations to report particular matters to the relevant State or Commonwealth authorities) and privacy.

Penalties for breaches of these directives will be administered in accordance with Rules of the University relating to staff discipline, the terms of any relevant enterprise agreement and any University codes of conduct issued from time to time.

6. Related documentation

UTS Code of Conduct (PDF)

Policy on Reporting Corrupt Conduct, Maladministration and Serious and Substantial Waste within UTS

UTS Procurement Policy and Directives

Appendix

The UTS Gifts and Benefits – Vice Chancellor's Operational Directives Declaration Form is available to download in a Word formatted document:

Declaration Form (Word)

Approval and revisions tables

Revision/modification history

Published: April 2006