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Gifts and Benefits Policy

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Purpose | Scope | Principles | Policy statements | Roles and responsibilities | Definitions | Approval information | Version history | References

Related document

Gifts and benefits declaration form (SharePoint)

1. Purpose

1.1 The Gifts and Benefits Policy (the policy): 

  1. establishes the principles to use to determine the appropriateness of accepting gifts and benefits
  2. defines the conditions for accepting, rejecting and disclosing of gifts and benefits, and 
  3. outlines appropriate disclosure reporting requirements.

2. Scope

2.1 This policy applies to all UTS staff and affiliates (hereafter staff).

2.2 This policy covers all gifts and benefits received by staff in the course of their official duties. It also covers activities such as work-related functions, travel, conferences and other circumstances when a staff member is representing UTS.

2.3 This policy also applies to immediate family members, or close associates, of a staff member who receive a gift or benefit that can be reasonably attributed to the staff member’s official duties or association with UTS.

2.4 This policy does not apply to:

  1. gifts and benefits provided by UTS to staff
  2. gifts and benefits received by staff as a result of undertaking outside work (refer Outside Work Policy)
  3. staff performing duties listed under statement 4.2
  4. honorariums from an individual organisation that do not exceed a total value of $500 in a single year, unless any single gift has a fair value of $200 or more
  5. philanthropic gifts made by individuals, corporations, foundations or legal entities to assist UTS in the pursuit of its vision (refer Philanthropic Fundraising Policy).

3. Principles

3.1 The key principles for managing gifts and benefits are integrity, disclosure and transparency.

3.2 UTS requires its staff and affiliates to act with the highest degree of professional independence and integrity in line with the Code of Conduct and the Fraud and Corruption Prevention Policy.

3.3 Current and prospective suppliers must act in accordance with the Procurement Policy and provide better service and more competitive products to the university rather than offer personal benefits to staff.

4. Policy statements

What is a gift or benefit?

4.1 The following constitute a gift or benefit:

  1. general gifts (for example, flowers, wine, chocolates, gift baskets, lucky door prizes)
  2. gift vouchers
  3. corporate merchandise
  4. products (for example, promotional products, samples)
  5. souvenirs
  6. entertainment (for example, dinners, theatre, sporting events, conferences)
  7. travel (for example, a third party paying for or subsidising flights, accommodation, meals)
  8. sponsored and corporate events (for example, a third party paying travel costs for a conference).

4.2 The following do not constitute a gift or benefit:

  1. travel or conference attendance that is aligned with the terms of a research grant funded by a recognised government funding body (for example, the Australian Research Council or National Health and Medical Research Council)
  2. travel or conference attendance that is paid for by another university (or similar institution) for work falling in the normal teaching or research duties (for example, thesis marking) of an academic staff member
  3. travel or conference attendance where the staff member is presenting in their discipline or area of expertise at the conference of a learned society (or other professional association), and funded by the learned society (or other professional association), and is approved by UTS
  4. travel or conference attendance awarded as a prize for an academic achievement.

4.3 The activities outlined in statement 4.2 must be undertaken in accordance with the Staff Travel, Expenses and Credit Card Policy and with the full prior knowledge of the staff member’s supervisor (or equivalent).

4.4 A gift or benefit that falls under statement 4.1 might still be accepted, but it must be disclosed and dealt with in accordance with this policy.

4.5 All significant and major gifts and benefits (refer statement 4.18) given to staff in the course of their official duties are the property of UTS (unless approved otherwise as per statement 4.18).

Assessing the appropriateness of a gift or benefit

4.6 A gift or benefit must not be accepted if it will influence, or have the potential to influence, staff in such a way as to compromise, or appear to compromise, integrity and impartiality.

4.7 A gift or benefit must not be accepted if any reasonable observer would think that the staff member may be obliged to act in a particular manner.

4.8 A gift or benefit must not be accepted if it will affect, or be seen to be likely to affect, the performance of a staff member’s official duties (refer Fraud and Corruption Prevention Policy).

4.9 A gift or benefit must not be accepted if it will create an actual, perceived or potential conflict of interest (refer Conflicts of Interest Disclosure Policy).

4.10 A gift or benefit must not be accepted if it is related to advice or decisions about, but not limited to, awarding contracts, facilitating academic assessment, academic credit or awards, or giving approvals.

4.11 A gift or benefit must not be solicited either directly or indirectly.

4.12 A gift or benefit must not be accepted if it is offered in monetary form or as anything convertible to money.

4.13 Any obligation or potential obligation implied in accepting a gift or benefit of a greater than nominal value (refer statement 4.18) must be assessed and determined by a supervisor as not compromising the integrity and impartiality of the university.

Accepting a gift or benefit

4.14 Accepting or rejecting a gift or benefit must be managed in a transparent manner with probity.

4.15 Staff should discuss gifts and benefits with their supervisor to ensure there is no actual, perceived or potential conflict of interest (refer Conflicts of Interest Disclosure Policy) or breach of this policy. In some cases, a declaration of interest form may also be required as outlined in the Conflicts of Interest Disclosure Policy.

4.16 Gifts and benefits received by a staff member must be disclosed as indicated in statement 4.18.

4.17 Depending on the value of the gift or benefit (refer statement 4.18), staff may need to complete the gifts and benefits declaration form (SharePoint) (the declaration form).

Authority and conditions for accepting a gift or benefit

4.18 Table 4.18 outlines the authority and conditions for accepting a gift or benefit.

Table 4.18: Authority and conditions for accepting a gift or benefit

Category of gift or benefitAuthority and conditions of accepting gift or benefitDisclosure required
Nominal: fair value of less than $200.Staff member can accept the gift or benefit subject to verbally informing their supervisor (and where the gift or benefit meets the standards of appropriateness as detailed in statements 4.6 to 4.13).Verbal.
Significant: fair value of between $200–$500.

With their supervisor’s approval, a staff member may choose to:

  • keep the gift or benefit
  • give it to a university-related project, or
  • keep it for the benefit of the faculty/unit or university.

Whatever is chosen, it must meet the standards of appropriateness as detailed in statements 4.6 to 4.13.

Completed declaration form assessed and signed by the supervisor.
Major — single: fair value of single gift greater than $500.

With the head of unit’s approval, a staff member may choose to:

  • keep the gift or benefit
  • give it to a university-related project, or
  • keep it for the benefit of the faculty/unit or university.

Whatever is chosen, it must meet the standards of appropriateness as detailed in statements 4.6 to 4.13.

Completed declaration form assessed and signed by the supervisor and head of unit.
Major — cumulative: total value of multiple nominal or significant gifts received by a staff member in one calendar year from the same organisation that is in excess of $500.

With the head of unit’s approval, a staff member may choose to:

  • keep the gift or benefit
  • give it to a university-related project, or
  • keep it for the benefit of the faculty/unit or university.

Whatever is chosen, it must meet the standards of appropriateness as detailed in statements 4.6 to 4.13.

Completed declaration form assessed and signed by the supervisor and head of unit.

Register of significant and major gifts and benefits

4.19 The register of significant and major gifts and benefits records the details of significant and major gifts and benefits that are offered, accepted or rejected by the university. The Deputy Director, Corporate Governance maintains the register and any associated procedures and forms required to track and record this information.

Monitoring and quality assurance

4.20 The Deputy Director, Corporate Governance develops and implements quality assurance procedures to monitor compliance with this policy. This includes monitoring the declaration forms received, investigating declarations that do not comply with this policy and, where appropriate, referring matters to the University Secretary.

4.21 Deans and directors must confirm compliance with this policy through the annual management sign-off process.

Breaches

4.22 All suspected breaches of this policy should be reported to a supervisor or a public interest disclosure officer in line with the Whistleblowing and Public Interest Disclosures Policy.

4.23 Breaches of this policy are considered a failure to comply with the Code of Conduct and will be dealt with under the code. This includes the right of UTS to notify a relevant statutory authority and/or agency where there is a breach of legislation.

5. Roles and responsibilities

5.1 Policy owner: The University Secretary is responsible for the enforcement, compliance and review of this policy.

5.2 Policy contact: The Deputy Director, Corporate Governance is the primary contact for advice on implementing, administering and monitoring compliance with this policy; and for establishing and maintaining the official file.

6. Definitions

The following definitions apply for this policy and the declaration form. These are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular also include the plural meaning of the word.

Affiliate is defined in the Code of Conduct.

Fair value means the:

  1. domestic recommended retail price (if known), or
  2. monetary value set by a licensed valuer (for example, for antiques or jewellery), or
  3. monetary value that has been mutually agreed by the supervisor/head of unit and the Deputy Director, Corporate Governance.

Gift or benefit means both tangible and intangible items received by staff in the course of their official duties.

Head of unit means the dean or director (or equivalent) of the faculty or unit (or equivalent) of the staff member. Where the recipient of a gift or benefit is a dean, director or higher-level position, the supervisor fulfils this function.

Honorarium means a gift for a voluntary service or a professional service for which no fee is charged, set or agreed on in advance. Honorariums include ‘thank you’ gifts (for example, to a speaker or presenter) and may be paid as money or property as outlined at the Australian Taxation Office: Honorariums.

Official duty means any university function for which a staff member has influence or is employed or contracted to carry out at any time or location.

Reasonable observer means a fair-minded person in possession of the facts.

Register of significant and major gifts and benefits means the official register maintained by the Governance Support Unit and used to record details of significant and major gifts and benefits. Details stored in the register are treated as confidential information.

Staff is defined in the Code of Conduct.

Supervisor is defined in the Code of Conduct and, for the purposes of this policy, means the supervisor of the staff member being offered and/or accepting or rejecting a gift or benefit.