Form 700 - Conflict of Interest (COI)

The California Political Reform Act requires certain state and local government officials (including some University employees) to disclose their personal financial interests.

Financial disclosure is made on the Statement of Economic Interests (Form 700), which must be filed annually.

Filed forms are public documents that must be made available to anyone who requests them.

The University of California operates under the 2014 Conflict of Interest Code, which aligns with the requirements of the California Political Reform Act.

Each state and local agency, including the University of California, must adopt a conflict of interest code tailored to the disclosure requirements for each position within the agency.

At UCI, employees in designated positions are required to file a Form 700 and disclose personal financial interests in accordance with the assigned disclosure categories, such as investments in business entities, interests in real estate, sources of personal income, and positions of management or employment with business entities. For a comprehensive list of designated positions and their corresponding disclosure categories, refer to the Designated Positions and Disclosure Categories (PDF).

Determination about whether a position would be considered a Form 700 filer is at the discretion of each unit. Units should use the information on the UCOP website, 2014 Conflict of Interest Code and the Designated Positions and Disclosure Categories
documents to determine if the duties associated with the classification meet the Form 700 filing requirement.

When a designated Form 700 filer position has been vacated and/or filled, it is the responsibility of the unit to contact the policy office at ucipolicy@uci.edu to ensure that all filing requirements have been met. The following information should be provided in your communication:

• Assuming Office:
  • Individual’s start date
  • UCI email address
  • Official position title
• Leaving Office:
  • Individual’s leaving office date
  • UCI email address
  • Personal email address (to send final reporting documents)
  • Official position title

University employees in designated positions identified by the Conflict of Interest Code are required to file Form 700. These positions are determined based on the types of decisions a person holding that position would make.

If you are uncertain whether you are a designated employee or need more information about your filing obligations, please contact your unit’s conflict of interest liaison or ucipolicy@uci.edu.

The determination of whether you are a Form 700 designated filer depends on your position's classification in the Conflict of Interest Code.

The general rule that is often used, is that anyone making regular financial decisions on behalf of UCI should be a Form 700 filer.

If your position involves decision-making that could potentially lead to a financial conflict of interest, it is likely that you are required to file Form 700.

For further clarification and to confirm your filing obligations, please consult ucipolicy@uci.edu.

Annual Forms are due by April 1st of each year. Ensure timely submission to comply with the filing requirements. It also requires designated University officials to file a financial disclosure within 30 days of assuming or leaving office.

It is the Policy of the University of California that all of its officers and employees will comply with the provisions of State and federal law governing the acceptance of gifts and gratuities. In addition to compliance with the requirements of law, University officers and employees must avoid the appearance of favoritism in all of their dealings on behalf of the University.

All University officers and employees are expected to act with integrity and goof judgment and to recognize that 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. If a University officer or employee has any question regarding the propriety of a gift, disclosure of the gift or proposed gift should be made to a supervisor or Conflict of Interest Coordinator for a determination of the proper course of action.

Certain employees are subject to more restrictive policies such as:

• designated University officials under the University of California’s Conflict of Interest Code;

• the Health Care Vendor Relations Policy (see UC Guidance on Acceptance of Personal Gifts and Gratuities by Employees under California’s Political Reform Act for more details); and

• the Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects policy (contact the UCI Academic Conflict of Interest Coordinator for more information).

1. Notify the Conflict of Interest Coordinator of changes in the staffing of designated official positions;

2. Include conflict of interest information in recruitment materials for designated officials, such as: “Under the provisions of the Political Reform Act of 1974, the successful candidate will be required to file a Statement of Economic Interests”; and

3. Establish departmental practices to ensure that:

   • Staff are aware of disclosure and disqualification requirements; and

   • University policies and codes regarding conflict interest are followed.

UC Legal - Office of the General Counsel - The systemwide source of legal representation, advice and guidance.

[2014 Conflict of Interest Code (PDF)] - The full text of the 2014 Conflict of Interest Code applicable to University employees. It assigns disclosure categories to these positions and indicates the types of economic interest which must be reported, such as investments, interests in real estate, or sources of income or gifts.

[2022 Designated Positions (PDF)] - An updated list of designated positions for the current year.

Administrative Policies & Procedures Office Conflict of Interest Presentation (PDF) - An overview of Conflict of Interest Management at UCI

The UCI Policy Office remains dedicated to upholding the highest ethical standards in all our endeavors.

We encourage all members of our UCI community to familiarize themselves with the policies, regulations, and guidelines regarding conflicts of interest to ensure compliance and maintain the integrity of our institution.

Please contact ucipolicy@uci.edu for any questions or concerns.