ACCEPTANCE OF GIFTS FROM EXTERNAL ENTITIES POLICY (A1515) REDLINED 08-21-2019.PDF

Maricopa County — Formal (2019-08-21)

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Maricopa County Title: External Relationships Number: A1515
Internal Policy and Acceptance of Gifts
Issue Date: Nov. 14, 2012
Policy Category: Ethics Approved By: Maricopa Revision No: N/A
County Board of Supervisors
Initiating Department: and Special Districts Revision Date: N/A
County Manager
MARICOPA COUNTY INTERNAL POLICY
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM 08-21-2019xx-xx-
Current Adoption Date:
EXTERNAL ENTITIES 2019
08-21-2019xx-xx-
Current Implementation Date:
2019
C-49-13-026-6-
Approved by: Board Agenda Number: 01C-31-xx-xxx-x-
BOARD OF SUPERVISORS 00
Original Adoption Date: 11-14-2012
I. PURPOSE
To outline expectations for employees interacting in their official capacity with organizations or
individuals in order to maintain impartiality, public trust, and compliance with the lawsupplement the
Maricopa County Ethics Policy by defining acceptable employee behavior when engaging in
External Relationships.
All Employees are expected to practice the highest standards of personal behavior when interacting
with all Businesses as a result of their employment with Maricopa County.
II. AUTHORITY
This pPolicy is authorized by the Board of Supervisors pursuant to A.R.S. § 11-251.
II.III. APPLICATION AND ENFORCEMENT
This pPolicy applies to all employees of Maricopa County elected offices, appointed departments,
as well as the Flood Control District of Maricopa County and the Maricopa County Library District
(Special Districts). The Board of Supervisors is authorized to jointly adopt policies applying to the
Special Districts under the Intergovernmental Agreement, C-06-18-393-6-00, approved on April 11,
2018and Maricopa County Special Districts. This policy does not apply to the employees of the
Superior Court of Arizona in Maricopa County.
This Policy also applies to employees of County elected offices unless the elected official has
implemented a similar policy specific to his or her office.Appointing Authorities are responsible for
enforcement of this policy and may discipline Employees who violate this policy up to and including
termination of employment.
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Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
III.IV. DEFINITIONS
A. Appointing Authority: An elected official, the single administrative or executive head of a
department or the designated County representative authorized to act in this capacity.
B. Business: Any corporation partnership, individual, sole proprietorship, joint stock company,
joint venture, individual, union, committee, organization, group of individuals or any other private
legal entity (including any of its employees) that might be affected by the performance or non-
performance of an Employee’s job duties and/or would benefit by selling commodities, services
or influencing the County’s behavior or decisions. It includes those entities that 1) are regulated
by the County; 2) do business, or seeks to do business directly with the County; 3) attempt to
lobby or influence any action by the County; 4) are involved in litigation adverse to the County;
or 5) have received or applied for funds from the County. This does not include organizations
to which the County subscribes or is a member.
C.B. Chief Officer: For purposes of this Policy, a Deputy County Manager, Assistant County
Manager, the Director of Procurement Services, County Internal Auditor, Clerk of the Board,
County Manager or the Chief Deputy of an elected office.
C. Conflict of Interest: Participating in a decision about a matter or exercising control over another
person participating in a decision about a matter (e.g., any contract or arrangement of
employment, leasing, sale or provision of goods and services) which may personally benefit or
be seen to benefit that person because of actions or decisions made in an official capacity.
Situations that may give rise to a Conflict of Interest include but are not limited to: nepotism, an
external business relationship, or a close personal relationship.
D. Donation: The receipt of something of value voluntarily transferred by a person or entity to a
County Ddepartment or Sspecial Ddistrict without compensation as outlined in A2508 Receiving
DonationsMaricopa County Policy (A2508), Policy for Receiving Donations.
E. Employee: A person paid a wage, salary, or stipend from public monies in accordance with
official entries on County payroll entries. This includes all classified, unclassified, temporary,
contract employees, County Volunteers and any temporary employee paid through Maricopa
County accounts payable processes are considered Employees. For purposes of this Ppolicy,
Tthis includes all classified, unclassified, temporary, and contract employees as well as
volunteers., County Volunteers and any temporary employee paid through Maricopa County
accounts payable processes are considered Employees. “Employee” does not include persons
employed by the Superior Court of Arizona in Maricopa County.
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Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
F. External Entity: Any corporation partnership, individual, sole proprietorship, joint stock
company, joint venture, union, committee, organization, group of individuals or any other private
legal entity (including any of its employees) that is directly affected by a service an Employee
provides and/or would benefit by selling commodities or, services, or influencing the County’s
behavior or decisions. It includes individuals or entities that 1) are regulated by the County,; 2)
do business, or seeks to do business directly with the County,; 3) attempt to lobby or influence
any action by the County,; 4) are involved in adverse litigation to the County, 5) have received
or applied for funds from the County, or 6) have applied for employment with the County. This
does not include organizations to which the County subscribes or is a member.
F. External Relationship: An interaction between Maricopa County and a Business not employed
by Maricopa County.
G. Gift: aAnything of value from an external entityas defined in Maricopa Internal Policy A1515.
Donations received under County policy A2508 are not Gifts.
H. Volunteer: A person who, of their own free will, provides services to the County without
receiving a wage, salary, stipend, or other County benefit.
IV.V. POLICY
Employees shall conduct their official activities in a manner that is above reproach and free from
indiscretion. Employees shall not accept anythings of value or benefit that would createcast a real
or perceived Conflict of Interest reasonable doubt or suspicion upon themselves or the County in
accordance with the Maricopa County Ethics Policy. Additionally, Employees shall, at all times,
maintain a professional and arms-length relationship with any Business while employed by
Maricopa County. All Employees shall adhere to the following rules of conduct.:
A. Employees May Accept the Following:
1. Discounts and similar benefits sponsored through and/or contracted for by the County such
as those provided by the County’s employee discount program or generally available to any
government employee (e.g., as through the Employee Services Management Association,
known as the ESMA program).
2. Personal or private business loans from financial institutions doing business with the County
where. Tthe if the loans areisshould be based on customary terms generally available to the
public to finance proper personal activities of the employee.
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Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
3. Unsolicited advertising or promotional material such as pens, pencils, calendars, and other
itemsthings of nominal value from an External EntityBusiness or other organization.
4. Unsolicited perishables from an BusinessExternal Entity, individual or group that are made
available to all Employees within the work unitdepartment or office and that are placed in
the Employee lounge or general office area.
5. Awards for meritorious public service or honorary degrees given without remuneration. The
Employee shall obtain approval from the Appointing Authority prior to acceptance, when
possible, of any awards or honorary degrees awarded by contracted entities.
6. Food, shuttle services, or other items underwritten by a sponsor of a conference or training
event generally available to the public or other attendees and only if the Employee’s
attendance is seen to further the County’s mission. The Employee shall obtain approval
from their Appointing Authority prior to accepting any of these items.
7. Subject to this policy Section IV.AB.5., admission to an event, conference, or activity or
honorarium,s, speaking fees,, travel expenses,, or food which that benefits the County
subject to the following principle: Eemployees shall not accept any valuable itemthing or
valuable benefit that would cast reasonable doubt or suspicion upon themselves or the
County in accordance with the Maricopa County Ethics Policy.
a. Employee attendance at an event, honorarium, speaking fee, travel expense, or food
that benefits the County must be approved prior to the event by the Employee’s Chief
Officer of the Employee’s department/agency.
b. Justification for the benefit mustwill be in writing, signed by the Chief Officer and a copy
of the form shall be kept in the Employee’s personnel file and on file in the
department/agency for audit purposes.
c. Elected officials are welcome and encouraged to submit a disclosure of these specific
events to the Clerk of the Board.
Anything given to an Employee by a family member when it is clear that the motivation for
giving is because of a family relationship and not a County relationship.
8. Anything given to an Employee by a friend or family member of the Employee when where
it is clear that the motivation for giving is because of thea friendship or family relationship
and not the recipient's official County position. Relevant fFactors to consider include whether
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Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
the relationship existed beforefriendship pre-dated the recipient became an Employee’s
status as a public Employee and whether gifts have been previously exchanged.
9. Any cContributions or benefits permitted by law and the PhRMA Code of Interactions with
Hhealthcare Pprofessionals.
B. Unless Permitted by Policy, Employees Shall Not Accept any of the Following from
External Entities Regardless of the Value:
1. Food provided by an External Entity regardless of the value, unless specifically permitted
by this Policy.
2. Gifts or gratuities from an External Entity, regardless of value.
3. Tickets or complimentary admittance to an event on behalf of an External Entity regardless
of value (e.g.,. This includes admission to conferences, trade shows, concerts, and sporting
or promotional events).
4. Donation in any form , regardless of the value, from an External Entity until the requirements
of County policy A2508 Receiving Donations have been fulfilled.
5. Honorariums, speaking fees, travel expenses, food, or other forms of remunerations for
attending events or activities that could reasonably be perceived as benefiting an External
Entity and do not benefit the County.
C. Other Conduct Regarding External EntitiesBusinesses:
1. Employees shall notneither offer nor provide blanket endorsements for or against any
External Entities Businesses. However, with department authorization, Employees
authorized by their Ddepartment/Agency may, however, respond in reference to a
callcommunications regarding an External Entity Business.
2. Employees shall not display or showprovide favoritism for or againstto an BusinessExternal
Entity regarding by providing preferential access to them or staff, or to information that is
not available equally to all other Businesses.
3. In accordance with the law (A.R.S. §§ 38-501 through 505) and the Maricopa County
Employee Merit System rRules (Merit Rules 11.01 and 11.02) – Code of Ethics, Employees
shall declare all Conflicts of Interest or potential Conflicts of Interest before participating in
any activity that may reasonably call into question theiran Employee’s ability to make an
unbiased decision. In all instances where the need to declareIf aAEmployees who are
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Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
uncertain if a Conflict of Interest exists is in question, the Employee shouldshall make the
declaration.
Employees shall treat all External EntitiesBusinesses with respect and in a waymanner that
reflects positively on theMaricopa County.
1. Acceptance of Things of Value Prohibited:
Employees shall not accept any food provided by a Business regardless of the value, unless specifically
permitted by this policy.
Employees shall not accept any Gifts or gratuities from a Business, regardless of value, unless specifically
permitted by this policy.
Employees shall not accept any tickets or complimentary admittance to an entertainment or event from or
on behalf of a Business regardless of the value. This includes admission to conferences, trade shows,
concert and sporting events, and promotional events.
Employees shall neither solicit nor accept any Donation in any form, regardless of the value, from a
Business until the requirements of County policy A2508 have been fulfilled.
6.4. Employees, in their official capacity as County employees, shall not accept any honorariums, speaking
fees, travel expenses, food, or other forms of remunerations for attending events or activities that could
reasonably be perceived as benefiting a Business and which does not benefit the County.
E.A. Employees May Accept the Following:
6.1. Discounts and similar benefits sponsored through and/or contracted for by the County
or generally available to any government employee (e.g., as through the Employee Services
Management Association, known as the ESMA program).
7.1. Personal or private business loans from financial institutions doing business with the
County if the loan is based on customary terms generally available to the public to finance
proper personal activities of the employee.
8.1. Unsolicited advertising or promotional material such as pens, pencils, calendars, and
other things of nominal value from a Business or other organization.
9.1. Unsolicited perishables from a Business, individual or group that are made available to
all Employees within the department or office and that are placed in the Employee lounge
or general office area.
6 of 54

Maricopa County Title: External Number: A1515
Internal Policy Relationships and
Acceptance of Gifts Issue Date: Nov. 14, 2012
Policy Category: Initiating Department: Revision No: N/A
Ethics County Manager Revision Date: N/A
Policy Title: Policy Number: A1515
ACCEPTANCE OF GIFTS FROM EXTERNAL 08-21-
ENTITIES Current Adoption Date: 20193x-
21xx-
20189
10.1. Awards for meritorious public service or honorary degrees given without remuneration.
The Employee shall obtain approval from the Appointing Authority prior to acceptance, when
possible, of any awards or honorary degrees awarded by contracted entities.
11.1. Food, shuttle services, or other items underwritten by a sponsor of a conference or
training event generally available to the public or other attendees and only if the Employee’s
attendance is seen to further the County’s mission. The Employee shall obtain approval
from their Appointing Authority prior to accepting any of these items.
12.1. Subject to this policy Section IV.A.5., admission to an event, conference or activity or
honorariums, speaking fees, travel expenses, or food that benefits the County subject to the
following principle: Employees shall not accept any valuable thing or valuable benefit that
would cast reasonable doubt or suspicion upon themselves or the County in accordance
with the Maricopa County Ethics Policy.
.a. Employee attendance at an event, honorarium, speaking fee, travel expense or food that
benefits the County must be approved prior to the event by the Chief Officer of the
Employee’s department/agency.
.a. Justification for the benefit will be in writing, signed by the Chief Officer and a copy of
the form shall be kept in the Employee’s personnel file and on file in the
department/agency for audit purposes.
.a. Elected officials are welcome and encouraged to submit a disclosure of these specific
events to the Clerk of the Board.
16.1. Anything given to an Employee by a family member when it is clear that the motivation
for giving is because of a family relationship and not a County relationship.
17.1. Anything given to an Employee by a friend where it is clear that the motivation is a
friendship and not the recipient's official County position. Relevant factors to consider
include whether the friendship pre-dated the Employee’s status as a public Employee and
whether gifts have been previously exchanged.
18.1. Any contribution or benefit permitted by law and the PhRMA Code of Interactions with
Healthcare Professionals.
S.A. Other Conduct Regarding Businesses:
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