Form 700 Statement of Economic Interests (COI)

The California Political Reform Act requires certain state and local government officials to publicly disclose their personal financial interests on the Form 700 Statement of Economic Interests. Additionally, it requires that all government (University of California) employees disqualify themselves from participating in decisions in which they have a personal financial interest.

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. In the Act, a list of Designated Positions which are required to file a Form 700 Statement of Economic Interest upon assuming and leaving a Designated Position, as well as once annually while in the Designated Position is provided. Holders of a Designated Position only report the financial interests that are designated by the “Disclosure Categories” that relate to their Designated Position.

Determination about a position’s Form 700 filing eligibility is at the discretion of each unit.

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 included:

• 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

UC Irvine 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 if an employee is in a position where the duties within their scope of work allow them to make or participate in university decisions that could substantially affect their personal finances or create this perception, then they are required to be designated as a Form 700 filer.

The UCI Policy Office has adopted e-filing software for Form 700 called NetFile, which is also utilized and managed by the University of California Office of the President. Please contact ucipolicy@uci.edu for any questions regarding the form.

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.

How to avoid ten common errors in filing conflict of interest statements:

1. Sign your statement. An unsigned statement is not considered filed and could subject you to late filing penalties.
2. Submit the original. The statement must contain an original signature. The University cannot accept a photocopy of the verification section in which you certified your statement as true and correct under penalty of perjury.
3. Know your jurisdiction. The jurisdiction for University Officials is the State.
4. Check your disclosure categories. You may need to report only certain types of interests. Be sure to check your Disclosure Categories (See, Designated Positions and Assigned Disclosure Categories) that describe the specific types of interests you must report.
5. Report your spouse’s interests. Your spouse’s investments and interests in real property are reportable. Fifty percent of your spouse’s income is considered your income and must be disclosed.
6. University salary or reimbursements. You are not required to report the salary or reimbursements for expenses, including travel expenses, that you receive from the University.
7. Don’t report personal residences. You need only report the portion of a personal residence that is used as a place of business for tax purposes.
8. Diversified mutual funds are not reportable. Neither are bank accounts, savings accounts, insurance policies, or government bonds.
9. Use the schedules. Do not attach brokerage statements of other extraneous information.
10. Annual Form 700 is due April 1st of each calendar year. There is no provision in the law for extensions of filing deadlines.

For more information about the Form 700, the Fair Political Practices Commission website is an excellent reference.

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.

All University of California officers and employees are expected to act with integrity and good judgment and to recognize that the acceptance of personal gifts from those doing business or seeking to do business with UC Irvine, even when lawful, may give rise to legitimate concerns about favoritism. Questions regarding the propriety or disclosure of a gift should be made to a supervisor or Conflict of Interest Coordinator.

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.

[2024 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.