• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Solicitation of Gifts or Benefits
• Monetary Gifts
• Acceptance of Gifts or Benefits
• Gifts of Appreciation
• Token Gifts
• Official Gifts
• Commercial Agreements
• Bribes, Potential Bribes and Compromising Circumstances
• Section 4 - Procedures
• Section 5 - Guidelines

(1) Note: 8 March 2012 - The Gift and Benefit Acceptance and Management Policy is currently under review. Any queries relating to this matter should be referred to the Office of Marketing and Communication.

Section 1 - Purpose and Context

(2) To offer, give, seek or receive a gift or benefit with the intention of influencing the behaviour of any person to act contrary to the rules of honesty and integrity is considered an offence under both common law and NSW legislation.

(3) The University recognises the potential for corruption (in the form of bribery) arising from the giving and receiving of gifts and benefits in relation to the daily operations and decisions of its employees. Having done so, the University is committed to developing guidelines that provide clear boundaries as to when gifts and benefits may and may not be accepted. Furthermore the University is committed to the implementation of strategies that effectively minimise or eradicate the likelihood of corruption in regard to the acceptance of gifts and benefits.

(4) The University recognises its obligations under the law in regard to failure to effectively manage the giving and receiving of gifts and benefits as well as the potential implications for its reputation, image and future standing. The University also recognises that it has a duty of care to provide a safe working environment for its employees, in this regard protecting them from compromising situations and the possibility of prosecution. Importantly the giving of gifts can involve a conflict of interest or the perception of a conflict of interest, and while such conduct may not be corrupt it is inappropriate.

(5) The University's aim therefore is to develop and support sound business practices that demonstrate its commitment to the principles of integrity and honesty. It should be recognised therefore, that the purpose of this policy is not to endorse nor encourage the presentation or exchange of gifts and benefits. Instead the policy aims to ensure such exchanges are limited to appropriate circumstances and are undertaken in an ethical manner that will not compromise the reputation of the University or its employees.

(6) Further, in regard to recognition of excellence in service and achievement the University has developed programs such as the Vice-Chancellor's Excellence Awards specifically for this purpose and strongly recommends that members of the University Community utilise this evaluative approach to identify and officially recognise deserving employees. In circumstances where this level of recognition is not considered appropriate, for example a student wishing to thank an employee for their assistance, the University would recommend an alternate and acceptable expression of appreciation might be provided by way of a letter or card.

Section 2 - Definitions

(7) For the purpose of this policy:

1. approving officer- refers to the University employee with delegated responsibility for making a determination in regard to a particular part of this policy or related procedure.
2. benefit- refers to anything believed to be of value to the recipient. A benefit may include, but is not limited to; preferential treatment in regard to employment, access to events, functions and information; club membership; discounts in shops.
3. gift- refers to articles, items or monies given by one party to another party.A gift may include but is not limited to money, tickets, alcohol or other products.
4. gifts of appreciation- refers to gifts that are generally given to express thanks, such as flowers, chocolates and the like.
5. nominal value- refers to a value of $25.00 or less
6. official gifts- refers to gifts that are presented to the University in recognition of its services/achievements and gifts presented to the University at official functions.
7. official representative- refers to an employee attending an event in their capacity as an employee of the University.
8. one-off- refers to a single occurrence.
9. party- refers to any individual, group or organisation.
10. significant agreements - refers to agreements that are to be signed by the Vice-Chancellor.
11. solicitation- refers to the act of asking another party for something such as a gift, benefit or to commit or to aid in a crime.
12. token gift - refers to the types of gifts that are generally exchanged as a formality or custom by visiting delegates such as pens, ties, scarfs and the like.
13. University- refers to the University of Western Sydney.

Section 3 - Policy Statement

Solicitation of Gifts or Benefits

(8) The solicitation of gifts or benefits by University employees in relation to the performance of their duties is strictly forbidden. Any employee participating in this type of activity may be deemed to have committed serious misconduct and as such may be subject to proceedings under the disciplinary provisions of the applicable employment agreement.

(9) Any employee who witnesses an act of solicitation of gifts and/or benefits is required to report it through normal management lines.

Monetary Gifts

(10) The acceptance of monetary gifts such as cash, cheques, money orders, travellers' cheques, direct deposits and the like is strictly forbidden. No employee should accept a gift of this nature.

(11) Any party wishing to make a legitimate monetary donation to the University may do so in compliance with the University's "Donations and Sponsorships Policy".

Acceptance of Gifts or Benefits

(12) The best method for avoiding compromising situations is to forgo participation in any transaction or activity that may be perceived as corrupt or unethical. Accordingly the University applies the following general principles to the acceptance of gifts and/or benefits.

1. As a general rule and wherever practical, employees should decline acceptance of any gift(s) and/or benefit(s).
2. Under no circumstances should any employee accept a gift and/or benefit that could reasonably be perceived as having been provided with the intent of influencing the employee in carrying out their duties with the University.
3. Transparent processes are in themselves a defence against allegations of corruption, therefore the University recommends that employees report and record (see Gift and Benefit Reporting and Registration Procedures) all offers of gifts and/or benefits and the outcome of such incidents (i.e. acceptance/refusal of gift/benefit).

(13) Employees are expected to look at the range of perceptions that might apply to a situation regarding the acceptance of a gift and/or benefit. Some questions that might help reduce the level of uncertainty are:

1. How do I personally feel about it?
2. How would an independent person feel about it?
3. How does it sit against the values of the University and the spirit of those values?
4. What guidance do the University's policies and procedures provide?
5. How would I justify my actions to others?
6. Is it in the best interests of the University?

(14) The University strongly recommends employees seek advice from their supervisor/manager if they have any doubt regarding the acceptance of a gift and/or benefit.

(15) In addition to discussion of issues with supervisors, advice on ethical issues can be obtained from a range of sources within the University depending on the context. These include:

1. Office of Engagement & Partnerships
2. Deputy Vice-Chancellor Corporate Strategy and Services who is also the Protected Disclosures Coordinator
3. Office of University Legal Counsel
4. Audit and Risk Assessment Unit
5. Equity and Diversity Unit
6. Research Office - research ethics
7. UWS Innovation & Consulting
8. Office of People and Culture
9. Finance Office

(16) Benefits are often of intangible value and therefore difficult to assess in terms of nominal value. Accordingly, as a precautionary measure, the University requires employees to treat all benefits as being of greater than nominal value and to manage them as they would a gift of greater than nominal value in accordance with this policy. This precaution should also be sensibly applied to gifts were the recipient is unsure of the actual value but has concerns that it might be in excess of the $25 limit.

Gifts of Appreciation

(17) The University strongly recommends that individuals seek an approach to demonstrating their appreciation for services rendered that does not involve the presentation of a gift or benefit. Acceptable alternatives might include a letter of thanks, a thank you card or, in exceptional circumstances, nominating an employee for a Vice-Chancellor's Excellence Award. These alternatives are recommended on the basis that they are considered far less likely to result in a situation that compromises either participant.

(18) In line with clause (16), the University recommends employees politely decline all gifts of appreciation. Having said this the University recognises that situations may arise where it is not possible to decline the offer of such gifts without affording offence. In such circumstances the University considers it reasonable for employees to accept one-off offerings of such gifts where the gift is of nominal value ($25 or less) and provided the acceptance does not breach of any section of this policy.

(19) No employee is to accept a gift of appreciation of greater than nominal value. In circumstances were such a gift is offered the employee should politely refuse the offer explaining that it is against University policy for them to accept.

(20) While there are obvious exceptions, gifts of appreciation that would generally be considered of nominal value might include such items as a bouquet of flowers, box of chocolates or bottle of wine. In contrast a watch, gold bracelet or other jewellery would not be considered to be of nominal value.

(21) While one gift of nominal value may be considered insufficient to cause an employee to deviate from a proper course of duty, the sum total of multiple gifts may be considered sufficient to do so. Accordingly, where a party or a representative of that party presents a subsequent gift employees should politely refuse the offer, explaining that it is against University policy for them to accept.

(22) All offers of gifts of appreciation should be reported in an appropriate manner (see Gifts and Benefits Reporting and Registration Procedures- Reporting Gifts of Appreciation ).

Token Gifts

(23) Employees may, from time to time, be involved in social and cultural events where the presentation or exchange of token gifts is customary. In such instances the University deems it reasonable and appropriate for official representatives of the University to accept token gifts of nominal value on behalf of the University provided that doing so does not breach any part of this policy.

(24) Gifts of greater than nominal value should not be considered token gifts. Instead these should be considered Official Gifts and managed accordingly.

(25) Any token gifts accepted in accordance with clause (22) shall be reported to the Office of Engagement & Partnerships and included in their official Gifts Register (see Gift and Benefit Reporting and Registration Procedures - Reporting Token Gifts ).

(26) Gifts that would generally be considered token in nature might include such items as corporate pens, pencils, paperweights, ties, scarfs and the like. These are gifts that are often exchanged by visiting delegates. In contrast a leather jacket or expensive jewellery (e.g. Rolex Watch), would not be considered a token gift, nor of nominal value.

(27) Recipients may retain token gifts unless otherwise instructed by a more senior member of staff. Where accepted it is the responsibility of the recipient to display token gifts (when such gifts are suitable for display) in an appropriate manner and where necessary in a secure location. Gifts that are not suitable for display, for example ties, scarfs and perishable items such as food, may be utilised by the recipient in an appropriate manner.

Official Gifts

(28) Employees may, from time to time, be involved in social, cultural or community events where official gifts are presented or exchanged. In such circumstances, where it would not be polite or appropriate to decline the offer, the University deems it reasonable for official representatives of the University to accept official gifts on behalf of the University, where doing so does not breach any part of this policy.

(29) Gifts that would generally be considered official might include dedicated plaques, plates, vases, trophies and the like along with any gift of greater than nominal value.

(30) Any official gifts accepted in accordance with clause (27) shall:

1. be reported to the Director /Executive Dean and to the Office of Engagement & Partnerships for inclusion in their official Gifts Register (see Gift and Benefit Reporting and Registration Procedures - Reporting Official Gifts ), and
2. normally be considered the property of the University, and
3. where said gift is suitable, be displayed in an appropriate and secure location to be determined by the Director /Executive Dean.

(31) Exceptions to the requirements set out in clause (29)b and (29)c may be applied on a case by case basis, for example when the item received is not suitable for display. In such instances the recipient may:

1. submit an application to retain the gift, or
2. refer the matter (with a recommendation if so desired) to their Unit Head, Deputy Vice-Chancellor (where recipient is a Unit Head ) or the Vice-Chancellor (where the recipient is a DVC ).

(32) Depending on the recipient, the Unit Head (Director /Executive Dean ), DVC or Vice-Chancellor will consider such applications on a case by case basis and make a determination as to the appropriate disposal/utilisation of the gift.

Commercial Agreements

(33) Generally, where there is a commercial relationship between the University and another organisation, acceptance of any unofficial gift would be deemed inappropriate. Under these circumstances the intended recipient should politely refuse the gift explaining that it is against University Policy for them to accept. An inappropriate gift would include any item that might provide or be perceived as providing incentive for an employee to seek the services of a particular company, whether it be by way of free supply of that companies goods and services or alternate benefits.

(34) The University requires that the acceptance and utilisation of any gift be determined prior to entering any commercial agreement containing gifts. Consideration must include a determination as to:

1. whether the gift is appropriate, and
2. how the gift will be utilised and/or disposed of.

(35) Gifts should be excluded from agreements if there are no clear and appropriate avenues for their utilisation or disposal, or if they are deemed inappropriate in nature.

(36) As a general rule, where a gift is not likely to be available to other organisations providing the same or a similar service as the University, the University should decline inclusion of said gift in any agreement. This assessment is to be undertaken by the employee responsible for negotiating the agreement and should be undertaken as part of the negotiation process prior to signing the agreement. In circumstances where there is uncertainty regarding the acceptance of a gift it is the view of the University that the employee err on the side of caution and either:

1. refuse the gift, or
2. seek further advice regarding acceptance of the gift from their DVC, Executive Dean, the Executive Director, Engagement and Partnerships, or in the case of significant agreements the, Office of University Legal Counsel.

(37) Examples of appropriate utilisation or disposal may include:

1. displaying a gift in an appropriate and secure location,
2. donating the gift to a recognised charity where practicable,
3. using the gift for educational purposes.

(38) Any pre-agreed gifts that are accepted shall:

1. at the time of receipt, be reported to the Office of Engagement & Partnerships and included in their official Gifts Register (see Gift and Benefit Reporting and Registration Procedures - Reporting Gifts that form part of an agreement ), and
2. be considered the property of the University, and
3. be displayed/utilised in accordance with predetermined arrangements.

Bribes, Potential Bribes and Compromising Circumstances

(39) If an employee believes they have been offered a bribe, believes that there is potential for the offer of a gift to be perceived as being a bribe, or believes that the acceptance of a gift may place them or the University in a compromising position, they should politely decline acceptance of the gift. The incident should then be reported in an appropriate manner (see Gift and Benefit Reporting and Registration Procedures - Reporting Bribes, Potential Bribes and Compromising Circumstances ).

(40) On receiving a report of a bribe, potential bribe or compromising circumstance from an employee in respect of clause (38), the employees supervisor must report the incident in accordance with University procedures (see Gift and Benefit Reporting and Registration Procedures - Reporting Bribes, Potential Bribes and Compromising Circumstances).

(41) On receipt of an Official Declaration from an employee in respect of clause (38), the DVC or Vice-Chancellor must assess the situation on a case by case basis and make a determination as to if and how to pursue the matter. Where deemed necessary the DVC or Vice-Chancellor is to immediately initiate appropriate action in regard to disposal of the gift/handling of the incident. The Office of University Legal Counsel will be available for legal advice as to how best to proceed should the DVC or Vice-Chancellor deem such advice necessary. The outcome of each such instance is to be reported in accordance with the Gift and Benefit Reporting and Registration Procedures - Official Declarations.

Section 4 - Procedures

(42) Refer to Gift and Benefit Reporting and Registration Procedures.

Section 5 - Guidelines

(43) The information provided in the Associated Documents page may assist employees in making appropriate determinations in regard to the acceptance of gifts.