Business and Finance

The University of Arizona (University) considers Misuse of assets a serious matter. This Policy defines and delineates responsibilities relating to the Misuse of University Assets and establishes protocols for reporting and handling of incidents involving alleged or actual Misuse of University Assets.

This Policy facilitates and supports the development of controls that aid in the detection and prevention of Misuse of University Assets. Theft, carelessness, and waste have a direct impact on the University community. It is the intent of the University to protect University Assets, ensure their efficient and proper use, and promote consistent organizational behavior by providing guidelines for the development of controls and conduct of investigations.

The Office of the Senior Vice President for Business Affairs and Chief Financial Officer (“Business Affairs Office”) has the overall responsibility for matters concerning known or suspected Misuse of University Assets, including receiving and responding to reports of Misuse.

This Policy applies to all members of the University community and all occurrences of Misuse, including those involving employees, students, designated campus colleagues (DCCs), vendors, and agents of the University.

Misuse includes:

• The use of a University Asset that is prohibited under any Arizona Board of Regents (ABOR) policy or University policy, including this Policy;
• Any use that is illegal or unlawful, including theft, conversion, or fraud;
• Any reckless or intentional use that results in loss, damage, or financial liability to the University or that impermissibly diminishes the value of University Assets; or
• Any use, excluding any inconsequential or incidental use, that results in a gift or personal gain to an individual without benefiting the University and furthering the University’s academic mission.

University Assets includes items of tangible or intangible property owned by, leased to, licensed to, or in the possession of the University. University Assets also include items which rightfully should be a University Asset but were diverted due to Misuse. Examples of University Assets include but are not limited to, money, paid employee time, proprietary information, intellectual property (such as patents, trademarks, and copyrights), land, buildings, improvements, equipment, vehicles, software, supplies, tools, inventory, library volumes, art objects, and museum pieces.

A.       University Assets must not be Misused.

B.       The University will review all reports of Misuse and may conduct investigations and take disciplinary or legal actions as appropriate.

C.       All levels of University management are responsible for implementing and maintaining a system of internal controls to prevent and detect Misuse and must be familiar with the risks of Misuse within their area of responsibility.

D.       With respect to financial matters, the University will adhere to all related policies and guidance including the State of Arizona Code of Conduct for Employees Engaged in Accounting, Financial, and Budgeting Activities.

E.       Employees and DCCs must report activities or incidents that appear to be Misuse of University Assets, including Misuse by other employees, students, DCCs, third-party vendors, or agents of the University.  Upon receiving a report, supervisory personnel must consult with a designated representative from the Business Affairs Office to discuss the reported Misuse and determine subsequent action.

G.       Individuals who report of Misuse of University Assets will not be subject to retaliation.

H.       In substantiated cases of Misuse, it is the policy of the University to obtain full restitution, to impose administrative or disciplinary sanctions, and to refer violations of criminal statutes for prosecution.

This Policy is intended to protect the integrity and reputation of the University of Arizona (University) by ensuring conflicts of interest and commitment are appropriately eliminated or managed and by promoting objectivity in research.

All University Employees, including faculty, staff, graduate and undergraduate student employees, and temporary employees; all University affiliates and associates, including Designated Campus Colleagues who Conduct Research at or under the auspices of the University; and Research Subrecipients and External Consultants (collectively “Covered Individuals”) are subject to this Policy.

Conducting Research includes the design, development, testing, evaluation, conduct, reporting, review, and oversight of a program of scientific inquiry.

Conflict Official means an individual who reviews conflict disclosures and facilitates conflict management, including individuals in the Office for Responsible Outside Interests, individuals in the office of Procurement and Contracting Services, and designees of those units.

Covered Individual means all University Employees (including undergraduate and graduate student employees), Designated Campus Colleagues, External Consultants, and Research Subrecipients.

Designated Campus Colleagues includes affiliates, associates, volunteers, and interns who contribute their time, services, and expertise to help the University accomplish its missions of teaching, research, and service.

External Consultant means an individual or firm that provides professional advice or services on a sponsored project for a fee, but is not a University Employee.

Institutional Financial Interests means:

1.  A University Administrator’s Significant Financial Interest;
2. A University Administrator’s Significant Personal Interest;
3. A loan of any amount between a non-publicly traded entity and a University Administrator or their family member;
4. The University’s equity or similar interest in a publicly traded entity valued at more than $100,000 or any amount in a non-publicly traded for-profit entity;
5. Substantial gifts, including in-kind gifts, received from an actual or potential commercial research sponsor or an individual or entity that owns or controls products being studied or tested as part of the Research;
6. Gifts totaling $1 million or more, cumulatively, and other gifts determined by the University’s Conflict of Interest Program to be substantial;
7. Any agreement with an external entity that includes the right for the University or a University Administrator or their family member to receive payments, royalties or other income from the commercial development or sale of an investigational product that is the subject of University Research;
8. Ownership by the Arizona Board of Regents (ABOR), on behalf of the University, of a patent and/or other intellectual property right in or sponsorship of an investigational new drug (IND) or device (IDE) application with respect to any drug or device for which human subject Research will be conducted;
9. Donation and sponsorship funds.

Investigator means any person who shares the responsibility of Conducting Research. This includes, but is not limited to, the Principal Investigator (PI), Co-PI, Co-Investigator, Project Director (PD), Co-PD, Senior/Key Personnel, and any other person, regardless of title or position, who is responsible for Conducting Research performed by or under the auspices of the University.

Outside Commitments: (1) are professional and other activities that are related to a University Employee’s professional expertise, outside of their University duties and responsibilities; (2) are for the benefit of an external entity or individual and are not covered by a fully executed written agreement between the University and the external entity; and (3) require a time commitment. Outside Commitments include Outside Employment, independent contracts for consulting services, private consulting groups comprised of University Employees, volunteer/pro bono work, appointments at postsecondary educational institutions, and foreign components, as that term may be updated by the University’s Office for Responsible Outside Interests.

Outside Employment refers to any employment relationship outside of the University requiring a time commitment.

Outside Interests means a person’s (or that person’s family members’), Significant Financial Interests (SFI), Significant Personal Interests (SPI) and Foreign Interests, as those terms are updated by the Office for Responsible Outside Interests.

Research and Research Project mean any organized program of scientific inquiry that involves a systematic investigation, study, or experiment designed to develop or contribute to generalizable knowledge that is performed at or under the auspices of the University. Research includes non-sponsored research, research fellowship and training programs, and research-related activities in undergraduate, graduate, and postdoctoral education.

Research Subrecipient is a party that receives a subaward or subcontract from the University under a University-sponsored project and is accountable to the University for the use of the funds provided by the subaward.

Substantial Interest is any nonspeculative pecuniary or proprietary interest, either direct or indirect, other than a remote interest. Remote interest is defined in A.R.S. § 38-502(10).

University Administrator is any University Employee in a position of administrative leadership of a college, academic department, business, or other administrative unit, where a regular job requirement is to make institutional decisions on behalf of the University of Arizona. The role of a University Administrator includes, but is not limited to, the following positions (whether such positions are staffed on an interim, full-time, or part-time basis):

• University Senior/Associate/Assistant Vice Presidents
• University Provost
• University Senior/Associate/Assistant Vice Provosts
• University Deans
• University Vice/Deputy/Associate/Assistant Deans
• University Directors
• University Department Heads/Chairs
• University Business Officers/Managers
• University Division Chiefs, Center Heads/Directors
• University Employees with the authority to sign agreements on behalf of the University of Arizona or Arizona Board of Regents
• University Employees whose duties and responsibilities include contracting or services related to Research administration, Research contracting, Research compliance, responsible conduct of Research, sponsored projects services, or technology transfer and who are in a position to influence decisions or commit University resources in the performance of the University Employee’s duties and responsibilities.
• Individuals who serve as Chairs on the University’s Institutional Review Board committees, regardless of whether such individuals are University Employees.

University Employees means all University employees, including faculty, staff, graduate and undergraduate student employees, and temporary employees.

All Covered Individuals must:

1. In accordance with the table below, timely disclose through the University eDisclosure system, all Outside Interests, Outside Employment, Outside Commitments, Institutional Financial Interests, and Substantial Interests;

* Note: Investigators who are University Administrators are responsible for all areas of required disclosure.

2. Adhere to any requirements deemed necessary by the University’s Conflict Official or the University Employee’s supervisor to comply with a directive or request from an external agency, or to manage or eliminate conflicts;
3. Ensure institutional responsibilities receive full effort, attention, and commitment, and obtain written approval from the Covered Individual’s supervisor prior to engaging in Outside Employment or Outside Commitments;
4. Comply with training requirements established by the Office for Responsible Outside Interests;
5. Disclose all sponsored and non-sponsored Research Projects to the Office for Responsible Outside Interests prior to Conducting Research if the individual is an Investigator;
6. Fully cooperate in any investigation or review of activities and comply with all directives or recommendations made by the University’s Conflict Official or the Covered Individual’s supervisor to correct, eliminate, or manage a conflict.

Potential sanctions for violations of this Policy may include, but are not limited to:

• Additional training requirements or management terms;
• Suspension of an individual’s funding or research privileges;
• Discipline, up to and including termination of employment or University affiliation.

All Covered Individuals to whom this Policy applies are responsible for becoming familiar with and following this Policy. The Office for Responsible Outside Interests and Covered Individual’s supervisors are responsible for promoting and understanding this Policy.

The Office for Responsible Outside Interests, Conflict Officials, and Covered Individual’s supervisors are responsible for taking appropriate steps to help ensure compliance with this Policy.

Purchases of services, supplies, and capital equipment are accomplished by properly executed documents which have been processed through established channels. The University is not obligated to pay for such purchases unless they have been authorized by personnel designated by the Senior Vice President for Business Affairs. Requests for purchases must be initiated through the responsible department head. Materials and services obtained with University funds must not be used for purposes other than approved University educational, research, or administrative activities. Individuals will be required to reimburse the University for services and supplies used for personal purposes. Violations of this policy may result in disciplinary action.

In compliance with state law, the University maintains inventory records of all capital equipment by means of assigned tag numbers. Lost and stolen items should be reported to the University of Arizona Police Department (UAPD) and a loss report sent to the Department of Risk Management Services. Surplus equipment may be delivered to the Surplus Property Office for resale to other departments or for public sale. Federal surplus equipment may be acquired from the Surplus Property Office for only a small handling charge.

Department heads are responsible for the care and custody of capital equipment under their control. University property must not be removed from University control without prior approval by administrative personnel, authorized by the Senior Vice President for Business Affairs. Complete information about the acquisition and disposal of items may be obtained from the Surplus Property Office.

Whenever University property is suspected to have been stolen or damaged by criminal activity (e.g., vandalism), UAPD at the Main Campus should be notified immediately. If the incident occurs at a UA location outside Tucson, the law enforcement agency of jurisdiction should be notified immediately. Additionally, in all cases a Property Loss Report Form must be completed and forwarded to the Department of Risk Management Services within 90 days, or within 24 hours if the loss is expected to exceed $10,000. Claim recovery is subject to state rules and exclusions. To avoid loss, personnel should lock rooms when they are unoccupied and report suspicious or unusual activity by phoning 9-1-1.

All gifts of any kind to an administrative unit or to individuals in their capacity as University employees should be placed in University accounts or inventories. Instructions for processing gifts are contained in the Financial Services Manual. The University gift policy is available online as follows:

• FSO Manual, 8.12: Gifts

​​Further information can be obtained from your unit Development Officer or the Central Gift Office at the University of Arizona Foundation.

This policy identifies University of Arizona (hereafter “the University”) requirements for the use of electronic signatures (hereafter “e-signatures”), electronic transactions (hereafter “e-transactions”), and electronic records (hereafter “e-records”) in conducting the University’s business operations in support of the institutional administration of the University’s teaching, research, and service operations (“University transactions”).

Under this policy, the University may require that members of the University community use e-signatures to conduct certain University transactions that previously had required handwritten signatures and approvals on paper documents. This policy codifies how the University will designate those University transactions for which e-signatures will be required and how the University recognizes e-signatures. This policy also requires that the University establish Security Procedures regarding the use of e-signatures, e-transactions, and e-records in connection with University transactions. This policy augments, and does not replace, University Information Security Office policies, which apply to all University services.

This policy applies to all individuals who are affiliated with the University, whether paid or unpaid, including but not limited to faculty, staff, students, affiliates, associates, and volunteers. This policy may require members of the University community to conduct University transactions electronically and to formally acknowledge their agreement to University transactions in which they are parties by affixing an e-signature.

"Agreement" means the bargain of the parties in fact, as found in their language or inferred from other circumstances and from rules, regulations, and procedures that are given the effect of agreements under laws otherwise applicable to a particular transaction. Rules, regulations, and procedures enacted by ABOR or the University authorizing electronic transactions or electronic signatures constitute such circumstances.

"Electronic" means relating to technology that has electrical, digital, magnetic, wireless, optical, or electromagnetic capabilities or similar capabilities.

"Electronic Record," or “E-record,” means a record of information that is created, generated, sent, communicated, received, or stored by electronic means.

"Electronic Signature," or E-signature,” means an electronic sound, symbol, or process that is attached to or logically associated with a record and that is executed or adopted with the intent to sign the record.

"Electronic Transaction," or “E-transaction,” means an action or set of actions that is conducted or performed, in whole or in part, by electronic means and/or via electronic records.

"Information" means data, text, images, sounds, codes, computer programs, software or databases, or similar items.

"Record" means Information that is inscribed on a tangible medium or that is stored in an electronic or other medium and that is retrievable in perceivable form.

"Security Procedure" means a procedure that is employed to verify that an electronic signature, record, or performance is that of a specific person, to determine that the person is authorized to sign the document, and to detect changes or errors in the information in an electronic record. This includes a procedure that requires the use of algorithms or other codes, identifying words or numbers or encryption, callback, or other acknowledgment procedures.

“University Community” means those people affiliated with the University, whether paid or unpaid, such as faculty, staff, students, affiliates, associates, and volunteers.

“User Authentication” is the process of securely verifying the identity of an individual prior to allowing access to an electronic University service.

“User Authorization” involves verifying that an authenticated user has permission to access specific electronic University services and/or perform certain operations.

Security Procedures and Unauthorized Use of Electronic Signatures

The University of Arizona will adopt Security Procedures for e-signatures, e-transactions, and e- records that are practical and secure, and that balance risk and cost. It is not the intent of this policy to eliminate all risk, but rather to provide a process for undertaking an appropriate analysis prior to approving the use of e-signatures, e-transactions, or e-records for specific University transactions; and, based on such analysis, to designate those University transactions in which e-signatures, e-transactions, and e-records will be required in place of handwritten documents. This policy also addresses implementation of User authentication and User authorization (defined above) at levels that are consistent with the security requirements for a University transaction, including but not limited to password guidelines, secure transmission standards, and access control policies.

Individuals who falsify e-records, e-transactions, or e-signatures are subject to disciplinary action, up to and including termination of employment and criminal prosecution, as specified in ABOR and University policies and under applicable federal and state laws. Individuals are required to report any suspect or fraudulent activities related to e-transactions, e-records, or e-signatures immediately to the University Information Security Office and to any manager or supervisor in the individual’s department, college, or division. Nothing in this policy is intended to authorize any individual to sign on behalf of the Arizona Board of Regents or the University of Arizona if they have not been granted such authority, and such signature authority continues to be governed by applicable ABOR and University policies.

Electronic Signatures and Handwritten Signature Requirements

To the fullest extent permitted by law, the University accepts e-signatures as legally binding and equivalent to handwritten signatures to signify an Agreement. When a University transaction has been identified and approved by the University under this policy for the use of e-signatures, and where University or ABOR policies, state or federal laws, regulations, or rules require a handwritten signature, that requirement is met if the document contains an e-signature, unless otherwise prohibited by such policies, laws, regulations, or rules.

This policy does not limit the University’s right or option to conduct a University transaction on paper or in non-electronic form, nor affect the University’s right or obligation to have documents be provided or made available on paper when required by applicable policies, laws, or regulations.

Designation of University Transactions Subject to Electronic Signatures

The University reserves the right to designate specific University transactions that are to be conducted as e-transactions or maintained as e-records, and that are to be fulfilled by e-signature under this policy.

A cross-functional team of data custodians, functional business owners, and enterprise application system owners will assess the potential for replacing a manual process/signature with an electronic process/signature (i.e., “Automation”) and propose joint recommendations for implementation of Automation, subject to executive approval. Joint recommendations under this paragraph are subject to formal authorization by the relevant executive data custodian. Once a process for a University transaction is approved and automated, it is automatically subject to the provisions of this policy.

To provide University-approved records retention and disposition schedules and storage procedures for University Management, Administration, Personnel, and Financial Records, including but not limited to records and documents created or maintained in electronic, paper, or other media.

The University of Arizona is required by law, regulation, and best business practice to create and retain certain records. These standards apply regardless of whether the record is created or maintained on paper or electronic format. Simply changing the medium does not change our obligation to create or store records.

The complete policy, with descriptions of records, disposition, and common retention schedules, is available at the Records Management and Archives website.

The Arizona Board of Regents on behalf of the University of Arizona has registered or otherwise protected through common law the "Trademarks" of the University. The University has delegated the responsibility for maintaining, managing, and licensing of all "Products" that bear University Trademarks to the Trademarks & Licensing Office in University Marketing & Brand Management, regardless of the manner of distribution.

Products bearing University Trademarks and distributed for resale, as premiums, or for any other purpose are subject to the licensing requirements of this Policy.

"Products," for the purposes of this policy, refers collectively to merchandise, premium items, websites, promotional materials, and other products.

"Trademarks" include all names, initials, logos, symbols, indicia, insignia, trade names, service marks, and trademarks  of the University.

1. The use of any trademark that identifies, or is associated with, the University of Arizona, may not be used without the prior express written authorization of the University of Arizona's Trademarks & Licensing Office. Only an Officially Licensed Vendor may produce Products bearing the University of Arizona Trademarks. "Officially Licensed Vendors" and Procurement and Contracting Services "Approved Vendors" or other University vendors may not always be the same. For a current list of Officially Licensed Vendors see the Trademarks & Licensing website.
2. Private companies are allowed to use University Trademarks on Products only after entering into a specific license agreement with the University through the Trademarks & Licensing Office that allows for trademark use. For additional information regarding inappropriate uses of Trademarks refer to the University of Arizona Corporate Relations Policy.
3. The Trademarks of the University will not be used in the promotion of weapons, alcohol, tobacco, or "recreational" drug products. The University reserves the right to prohibit other uses that it deems inappropriate and as being inconsistent with the image and mission of an educational institution. Products bearing University Trademarks and produced without proper written University authorization may be considered counterfeit or infringing and subject to all available legal remedies, including but not limited to, seizure of the Products.

1. Registered and Protected Trademarks
   1. The following trademarks are federally registered in the name of the Arizona Board of Regents on behalf of the University of Arizona:
      THE UNIVERSITY OF ARIZONA^®; ARIZONA^®; BEARDOWN^®; CATS^®; ZONAZOO^®, University official seal; official block letter "A"; Wilbur mascot; graphic cat face logo; and the cactus logo.
   2. The following marks are registered with the State of Arizona in the name of the Arizona Board of Regents on behalf of the University of Arizona:
      ZONA^TM; WILDCATS^TM; WILDCAT COUNTRY^TM; WILDCAT FOR LIFE^TM.
   3. All other names, symbols, initials, or graphic designs that refer to or are identified with the University of Arizona are protected by federal and state law.
2. Procedures
   1. Entities of the University designing Products to bear a University trademark must order all items from an Officially Licensed Vendor. That vendor will secure approval on behalf of the department.
3. Labor Practices/Code of Conduct
   1. The University of Arizona is committed to the concept that all Products bearing reference to the University (including names of each department and any recognized club and organization affiliated with the University) will be manufactured by companies whose labor policies protect their employees from abusive labor conditions.
   2. The University of Arizona has adopted strict Labor Code Standards that require manufacturers of licensed products (Licensees) to certify their compliance with the Code. In addition to certifying their compliance with the Code, Licensees are required to disclose the location, address, phone number, e-mail, and contact person for each facility it owns or contracts with for the production of goods, and they must authorize the University (or its agents) to make announced or unannounced inspections of their manufacturing facilities. See the Labor Code Standards online at the Office of Trademarks & Licensing website.
   3. The University requires that any product produced for the University (or for departments or recognized clubs and organizations) that carries a University trademark or uses the name of or refers to a University department or a recognized club or organization be manufactured by those companies that are appropriately licensed to use University Trademarks (Licensees) and are in compliance with the University's Labor Code Standards. For a current list of Officially Licensed Vendors see the Trademarks & Licensing website.
4. Implementation
   1. All products bearing the University of Arizona's Trademarks must be approved and licensed as specified by this Policy. Resale items will generally be subject to the current standard royalty rate established by the University.
   2. Promotional or "premium" items, regardless of distribution points, are also subject to these licensing requirements. Royalties will be determined based upon the scope of the promotion and other factors considered appropriate by the University.
   3. Institutional marketing materials produced by the University for official University business shall meet the criteria established by the University's Identification Program. Other promotional items, regardless of production method or source of distribution, are subject to the approval process in this Policy.
   4. The University of Arizona's official stationery shall be produced under the direction of the Marketing & Brand Management Office and the Department of Printing & Graphics Services, a division of Procurement and Contracting Services. Official stationery shall include University and departmental business cards, stationery, envelopes, and notecards.
   5. Companies and individuals wishing to extend congratulatory messages (or statements of support) not meeting the criteria of paragraph E below may receive authorization from the Trademarks & Licensing Office to use prescribed trademarked verbiage (e.g., GO CATS^® or Congratulations Wildcats^TM. Such messages must be clearly separate from the sale or promotion of any products, and require written approval from the Trademarks & Licensing Office.
5. Licensing and Royalties
   1. Any person, business, or organization desiring to use the University's Trademarks in any manner and for any purpose must be licensed to do so. The University has arranged for licenses to be issued for products by the Collegiate Licensing Company (CLC) on the University's behalf. For a complete description, see the Trademarks & Licensing website.
   2. The University generally permits three types of product licenses to be issued, but may create new licensing arrangements as needed.
      1. Traditional Retail for the production of emblematic Products which will be sold by the Licensees to retail establishments.
      2. Restricted issued to a company whose sole use of the University's Trademarks is in response to a production request by a department (non-retail) or a recognized campus club or organization. On-demand Licensees are not authorized to sell any products for traditional retail sales.
      3. Promotional Use, use of University Trademarks for an approved limited-duration commercial use.
   3. A product is generally subject to royalty fees if a University Trademark is utilized and
      1. the product is for resale; or
      2. the product promotes a specific event: or
      3. the name, mark, or logo of a third party is used in conjunction or in association with the Trademark.
   4. These guidelines are usually sufficient in determining royalty/non-royalty. However, each submission shall be reviewed individually to make sure all aspects of the situation are taken into consideration. 
6. Exemptions
   1. For purposes of consistency, the University does not exempt campus-operated retail stores from purchasing emblematic Products from Officially Licensed Vendors. Royalties are charged to campus retail stores in the same manner as charged to off-campus retail establishments.
   2. Departments of the University, and recognized clubs and organizations, are also required to purchase emblematic Products from "Officially Licensed Vendors." Receiving authorization for a design or to utilize a Trademark does not constitute approval to manufacture a particular product. The product must be manufactured by, and purchased from, an Officially Licensed Vendor. Activities or products that include the use of a commercial sponsor's names or logos on the licensed product will be assessed a higher royalty.

Trademarks & Licensing Office. The mission and purpose of the Trademarks & Licensing Office is to

1. Control the use of Trademarks that have come to be associated with the University of Arizona, protect all University Trademarks from unauthorized uses, and facilitate the process of granting authorization for legitimate internal and third-party use of University Trademarks;
2. Require that the University secures a legitimate and reasonable royalty for the use of its Trademarks; generate revenue for University Marketing & Communications and Intercollegiate Athletics; and enhance the quality of life for faculty, staff, and students across the campus; and
3. Promote the University in a consistent and uniform manner to protect the University's reputation, name, and image by permitting only appropriate uses and assuring that only quality products bear the University's Trademarks; and protect the consumer from inferior products bearing University Trademarks.

All departments of the University, recognized campus clubs and organizations, individuals, and companies are required to obtain approval from the Trademarks & Licensing Office prior to producing, or arranging for production of, any product that utilizes the University's Trademarks, regardless of use or method of distribution, except as otherwise authorized under paragraph D4 above. Products bearing University Trademarks and produced without proper written University authorization may be considered counterfeit or infringing and subject to all available legal remedies, including but not limited to, seizure of the Products.

The alcoholic beverage policy of the University of Arizona in relation to joint advertising, sponsorships, and promotions where contractual relationships exist between the University and a vendor is as follows:

• Advertising or sponsorship from alcoholic beverage distributors is acceptable provided such advertising or sponsorship excludes any reference to an alcoholic beverage, product logo, or product mascot. The corporation's/distributor's logo is acceptable.
• Promotions which relate to nonalcoholic beverages or messages that promote the responsible use of alcohol are acceptable. No advertisement, promotion, or message shall include any reference to an alcoholic product in conjunction with the distributor's name.
• Use of University of Arizona marks or logos is prohibited without prior permission.

 The purpose of the Business Practices Guidelines is to

1. Express the University's intentions and guide its departments/units in the conduct of business with both University constituencies and the general public;
2. Facilitate compliance with applicable federal and state laws and Arizona Board of Regents (ABOR) policies regarding competition with private enterprise; and 
3. Provide additional clarification and guidance within a framework in which business practices decisions are made by University managers at all levels.

Philosophy and Preamble

The University of Arizona is committed to accomplishing its instructional, research, and public service missions in an efficient and cost-effective manner. To support the successful execution of these missions, the following business practice principles are established with a commitment to

1. Serving the needs of the campus community;
2. Ensuring dependable access to the goods, services, and facilities required to fulfill the University's mission;
3. Ensuring that goods, services, and facilities provided to the University are appropriately priced and of good quality;
4. Considering the impact of University business practices on private enterprise, specifically local businesses;
5. Ensuring availability of an appeals process that is applicable to the internal (University) and external communities; and
6. Being consistent with applicable ABOR policies and state and federal law.

These guidelines are aimed at the nonacademic and academic support activities of the University.

Sales to the Internal Campus Community

University units/departments and recognized student organizations may engage in the sale of goods and services to students, faculty, staff, and invited guests, and the use/lease of University facilities (buildings and structures) that are practically available from private enterprise, provided the following guidelines are met.

1. The goods and services provided
   1. Are substantially and directly related to the University's instructional, research, and public service mission; or
   2. Are relevant to the sponsoring of University recreational, cultural, or athletic events, and/or to providing food concessions and services; or
   3. Involve items bearing unique University identification; or
   4. Involve service and/or product categories specifically authorized by ABOR.
2. The facilities (buildings, structures, equipment) provided must meet the criteria outlined in subparagraphs 1a and 1b above.
3. Consistent with paragraphs 1 and 2 above, the provision of such goods, services, and facilities to the University community by auxiliary and non-auxiliary units should
   1. Enhance mission accomplishment and service/product availability; and
   2. Be of high quality and offered at a fair and reasonable price; or
   3. Result in a savings to the University or its student body, faculty, and staff; or
   4. Represent a special convenience to faculty, staff, students, and other members of the University community; or
   5. Not involve the sale of goods and services to staff, faculty, and invited guests solely because of excess capacity.
4. The advertisement of goods, services, or facilities and equipment shall be only through officially recognized University publications and/or media sources, except when necessary to further the mission of the unit. Exception to this guideline is hereby granted if the general public is the intended audience for activities such as athletic events, Arizona Arts Live events, and other entertainment events, as well as activities required for the fulfillment of educational requirements in areas such as music, theater arts, etc., or fundraising.
5. The implementation of these guidelines requires
   1. The submission to the Senior Vice President for Business Affairs for review and approval of requests to engage in the initial (first-time) sale of a particular good and/or service and the use of facilities and/or equipment.
      1. Requests shall be submitted at least 120 days prior to the desired date to begin sales;
      2. Requests shall include a complete description of the proposed activity (including but not limited to all appropriate supporting documents, letters of support, financial analysis, specific benefits to campus community, overall rationale); and
      3. Requests must demonstrate, through documentation, how the guidelines noted in numbered paragraphs 1, 2 and 3 above are to be met.
   2. That any appeal against a decision employ the established University internal appeals process.

Sales to the External Community

Departments, units, and other official University organizations may engage in the sale of commercially available goods or services and in the sale or lease of University facilities and equipment to campus guests or to entities outside the University community provided the following criteria or guidelines are met:

1. The goods and services offered or provided are
   1. Products or byproducts of the educational, research, or outreach mission of the University and the department/unit; or
   2. Not practically available from private enterprise; or
   3. Mandated by state law or provided to meet a public good or need; or
   4. Not prohibited by ABOR policies and procedures.
2. Goods and services offered shall be part of legitimate educational and/or research program(s).
3. The University may allow the use of its facilities by the external community pursuant to ABOR policies 7-202 and 7-209. The rates charged for the use of University facilities and the equipment therein shall be in accordance with ABOR policy 7-203. These rates should reflect consideration of the fair current market value of comparable facilities and actual expenses incurred in providing the space (operations, maintenance, and deferred maintenance).
4. The use of University equipment for non-University purposes, and the rates charged for such use, shall be governed by University policy.
5. Except as provided in ABOR policy 6-908 (Intellectual Property Policy) and 6-909.10 (Technology Transfer), goods and services shall not be offered to the general public unless their costs reflect the full direct and indirect costs and are priced at not less than current market value.
6. The existence of the commercial sales activity is not solely due to the department having excess capacity.
7. The advertisement of goods, services, or facilities and equipment shall be only through officially recognized University publications and/or media sources, except when necessary to further the mission of the unit. Exceptions to this guideline are authorized if the general public is the intended audience for activities such as athletic events, Arizona Arts Live events and other entertainment events, as well as activities required for the fulfillment of educational requirements in areas such as music, theater arts, etc., or for fundraising.
8. Certain activities that would otherwise be prohibited are permitted if the provision of the goods, services, or facilities to the general public offers a valuable educational, research, or public service experience for students, or fulfills the public service mission of the University. Examples of such endeavors are the sale of advertising for the student newspaper (Arizona Daily Wildcat), instruction in recreational sports such as scuba diving and golf, operation of the Flandrau Science Center, or operation of the Student Unions and University of Arizona BookStores. On the other hand, activities engaged in simply to generate revenue to support a University department or endeavor normally do not qualify. Examples of such activities are the sale of advertising to support a communication such as Lo Que Pasa, which does not employ primarily students in its production; the use of University research facilities to provide routine laboratory services to the public that are available from other sources; or the provision of "surplus" products on a regular basis for the primary purpose of producing revenue. If you have questions about an activity, contact the Office of the General Counsel.
9. Property that is excess to the needs of University units shall be disposed of in accordance with official University policy and in a lawfully and commercially reasonable manner.
10. The University unit that is primarily responsible for the disposal of excess property is the Procurement and Contracting Department's Surplus Property Office.
11. Department/unit requests to engage in the initial (first-time) sale of a particular good or service shall be submitted to the Office of the Senior Vice President for Business Affairs for review and approval.
12. Sales by the University pursuant to the intergovernmental agreements are not governed by these guidelines and shall proceed in accordance with state law.

Sponsored Commercial Activity on University Property

University departments/units and recognized student organizations may engage in sponsored commercial activity on University-controlled property (excludes activities procured via the University procurement process) provided the following guidelines are met. These guidelines are intended to regulate all short-term sponsored commercial activity on University property.

1. Commercial activity is defined as
   1. All sales, purchases, and/or agreements for the sale or purchase of goods and services;
   2. All giving, demonstration, and/or solicitation for the purchase or sale of goods and/or services provided by a person, group of persons, or other entity; and
   3. All solicitations of gifts of money or other goods or services by a person, groups of persons, or other entity.
2. The goods and services provided are
   1. Substantially and directly related to the University's instructional, research, and public service mission; or
   2. Sponsored by a University unit relating to a recreational, cultural, co-curricular, or athletic event.
3. All other private commercial activity shall be governed by the State of Arizona procurement process (as outlined in paragraph 5).
4. The sponsored commercial activity must result in or arise from the achievement of one of the following:
   1. More efficient acquisition of product(s) or service(s);
   2. Savings to the University;
   3. Convenience to faculty, students, and other members of the University community;
   4. Facilitation of co-curricular or outreach activities of the University; or
   5. Financial support to the University or the sponsoring unit.
5. The activity shall not compete with any official University commercial enterprises (such as University of Arizona BookStores, Student Unions, Campus Health Service, University of Arizona Athletics, University Libraries, University Information Technology Services, etc.) or current University obligations (contracts) and agreements, unless otherwise approved or authorized by the Campus Use Coordinator.
6. This policy does not regulate regularly conducted activities that are part of the educational, research, service, and other legitimate functions of the University, such as
   1. University provision (by sale or otherwise, directly or indirectly) of sleeping accommodations (residence halls), food, books, and/or other goods and services for students, staff, and other lawful users of the campus.
   2. The provision (by sale or otherwise) of food and/or other goods or services associated with activities that are part of official University activities.
7. University departments/units or recognized student organizations may not grant exclusive rights to a particular vendor without the approval of the Campus Use Coordinator.
8. Implementing Rules
   1. Sponsored commercial activity is allowed in the Old Chemistry Lawn area of the University Mall (area of the Mall immediately east of Old Main) or in other areas with approval of the University Mall Events Committee.
      Sponsored commercial activity must meet all requirements set forth in the Campus Use Policy in addition to the following:
      1. Submission of a completed University of Arizona Commercial & Campus Use Activity Request Form.
      2. Receipt of the Approved Mall Permit issued by the Campus Use Coordinator upon approval of the event.
   2. Vendors must fall into one of the following categories:
      1. Be sponsored by a University unit or recognized student organization, paying the appropriate usage fee; or
      2. Be a participant in an official University activity.
   3. Total sponsored commercial activity days by one vendor, regardless of sponsorship, shall not exceed fifteen (15) days per fiscal year with no more than five (5) days per semester or session (Fall semester includes the Winter session).
   4. Sponsored commercial activity may occur Monday through Friday between 8:00 a.m. and 5:00 p.m., unless the activity is part of an official University activity approved in advance by the University Mall Events Committee. The foregoing does not apply to regularly scheduled University holidays and may be adjusted or cancelled for the convenience of the University or to protect public health, safety, and welfare.
9. Commercial Activity Area
   1. All approved sponsored commercial activity shall be restricted to the Old Chemistry Lawn area of the University Mall, unless a different location is approved in advance by the University Mall Events Committee. (Sidewalks are not included as part of the designated area.) Sidewalks must remain free and clear of commercial activity for fire and safety reasons.
   2. Sponsored commercial activity permits issued for any day shall be limited to those that can be adequately accommodated in the space available. In any event, there shall be no more than five (5) sponsored commercial activity permits issued for any day unless the sponsored commercial activity is part of an official University activity, or the Mall Events Committee grants approval for a larger number.
   3. Total space allocated shall not exceed 10' x 15' unless specially approved at the time of application.
   4. The sponsored commercial activity permit must be visibly displayed on the sales table or booth at all times.
   5. Structural removal requirements are contained in the Campus Use Policy. Structures, as defined in that policy, and all tables and chairs must be removed each day by 5:00 p.m., even if the sponsored commercial activity occurs on consecutive days. These requirements are applicable to all permit holders unless the activity is exempted under the Campus Use Policy.
10. Limitations
    1. No sponsored commercial activity of any item may take place until all licenses, permits, etc., required by federal, state, or local laws and ordinances have been obtained by the vendor.
    2. Sponsored commercial activity with any item bearing a University of Arizona logo or otherwise referencing the University of Arizona is permitted only with the expressed permission of the University of Arizona official with authority to grant such permission (Trademarks and Licensing Office).
    3. Sponsored commercial activity involving food is allowed only when the activity is associated with an official University activity or has received the approval of the Mall Events Committee, and when the permit holder is in compliance with all applicable federal, state, and local laws, ordinances, licensing, and/or permitting. Such compliance shall be the responsibility of the permit holder and any required licenses and/or permits shall be prominently displayed on the booth or tables. Failure to comply shall be grounds for denial or withdrawal of a Commercial Activity Permit. In all events involving food, the request will be reviewed by Dining Services.
11. Responsibilities of Vendors
    Vendors must
    1. Be in possession of all permits and licenses required by federal, state, and local laws or ordinances, and comply with any applicable federal, state, and local laws or ordinances; the obtaining of required permits and licenses and knowledge of the applicable laws are the responsibility of the vendors. Failure to be in possession of any required permit or license or to comply with any applicable law or ordinance shall be grounds for denial or withdrawal of a Commercial Activity Permit.
    2. Comply with all applicable University policies, procedures, and rules and provide information about
       1. The vendor's ability to back its claims and guarantees;
       2. The circumstances under which purchasers can return merchandise during and after the sale, including the name, address, and telephone number of the person who can accept a return and refund the purchase price;
       3. A copy of the permit; and
       4. Business liability insurance in the amount prescribed by University Risk Management Services.
12. Special guarantees or disclaimers may be required on certain merchandise or goods; for example, genuine leather versus imitation leather.
13. Sponsoring Unit or Recognized Student Organization Responsibilities
    1. Ensures the presence of responsible member(s) of the sponsoring unit throughout the duration of the commercial activity to include setup and take-down.
    2. Ensures that any sign identifying the vendor includes a sign of at least 3' x 4' identifying the sponsor.
    3. Sponsor must comply with all University policies, be in possession of all permits and licenses required by federal, state, and local laws or ordinances, and comply with any applicable federal, state, and local laws or ordinances. (Obtaining of required permits and licenses and knowledge of the applicable law are the responsibility of the vendor.) Failure to be in possession of any required permit or license or to comply with any applicable law or ordinance shall be grounds for denial or withdrawal of a Commercial Activity Permit.
    4. Secures a permit to conduct sponsored commercial activity on University property from the Campus Use Coordinator utilizing the University of Arizona Commercial & Campus Use Activity Request Form.
    5. Ensures the sponsoring unit or recognized student organization and vendor abide by the relevant and appropriate University policies, guidelines, and rules governing the location, time, and duration of the activity.
14. Permits and Fees
    1. Sponsored commercial activity permits will be issued only to the sponsoring unit or recognized student organization.
    2. Sponsored commercial activity permits will be issued Monday through Friday, between the hours of 9:00 a.m. and 4:00 p.m. through the Campus Use Coordinator.
    3. The vendor will be charged a fee for space use per day. (Payments can be made by check, money order, or cash to the Campus Use Coordinator, unless the group is participating in an official University activity.) The amount must be paid in advance and is non-refundable. The amount of the fee is subject to change annually.
15. The Campus Use Coordinator may make nonsubstantive changes to the wording of this document when such changes are required for clarity and do not affect the substance of the document. If one or more provisions of this document are declared inoperative or are otherwise voided, the remaining provisions shall remain in full force. The University's interpretation of these policies and regulations shall be binding on vendors and University sponsors.
16. Violations
    1. A sponsoring unit or recognized student organization that violates any of the provisions of the Sponsored Commercial Activity on University Property Guidelines may be denied approval of future requests for permission to use University property for activities that require such permission or may be otherwise restricted in its use of University property.
    2. In cases where violation of the provisions of the Sponsored Commercial Activity on University Property Guidelines results in infringement of other policies, rules, or regulations published by the University, ABOR, or federal and state laws, the violating unit/organization shall be subject to all applicable penalties.

 Campus Use & Mall Scheduling

Important Guidelines for Individuals/Groups/University Departments Requesting Campus Use/Mall Reservations

1. Space assignment will not be guaranteed until a completed Commercial & Campus Use Activity Request Form with all necessary signatures is submitted to the Arizona Student Unions Campus Use Scheduling Office. Space availability is limited. Plan ahead!
2. Two (2) calendar weeks from the initial receipt of applicable forms are required to complete the approval process.
3. Amplification is allowed only between noon and 1:00 p.m. Monday through Friday; between 5:00 p.m. and 7:00 p.m. Monday through Thursday, and at other times only with special advance approval from the Campus Use Scheduling Office. (Maximum allowable volume is 85 dB.)
4. The request form does not order services, equipment, etc., from Facilities Management (621-3610), Parking and Transportation (621-3710), Student Union Dining Services (621-5736), or Risk Management (621-7691). Arrangements for services and payments must be made a minimum of ten (10) business days prior to your event with Facilities Management and a minimum of five (5) business days prior to your event with Parking and Transportation.
5. Structures as defined in the Mall Guidelines (buildings, booths, tents, canopies, vehicles, trailers, fences, walls, or similar objects) may not be left up overnight unless approved in advance by the Campus Use Team. Structures are allowed only between 8 a.m. and 5 p.m. unless specifically approved as an exception in advance by the Campus Use Team. Call Facilities Management for blue staking at 621-3610. Note: Structures may not be set up nor may any staking occur on the Mall between the Cactus Garden and Cherry Ave.
6. If you need a tent or other equipment, the following vendors are familiar with the campus: Party Concepts (750-0550), Parties Plus (792-8368), AZ Party Rental (327-6678), and Party Express (338-8647).
7. Please be advised that chairs and tables from the Student Union Memorial Center (patio areas, food court areas including outside and inside) are not to be used for Mall events. Those tables and chairs are there for use by individuals doing business at the Student Union only. A Mall event is not a Student Union event.
8. If the event involves food and/or beverages, prior approval is required by the Dining Services Director at 621-5736.
9. Two (2) calendar weeks prior to a commercial activity, samples of products, promotions, flyers, advertisements, bank(s) or other institution(s) credit card application(s), and other related items must be submitted to the Campus Use Office for initial approval.
10. If the event involves commercial activity, copies of the vendor's business license should be attached to the Request Form. Individual vendor space is limited to a 10' x 15' area. Mall areas A and B are reserved for noncommercial activity. Sponsored commercial activity by one vendor shall not exceed a maximum of five times per semester on campus. Structures cannot be kept up overnight.
11. Vehicle Access and/or Parking on the Campus and the Mall Require Prior Approval. Access to and/or parking on the central Mall are prohibited between 9:00 a.m. and 4:00 p.m. on school weekdays. Access to and/or parking on other sections of the Mall is restricted. Please review your unloading and loading requirements with Parking and Transportation Services in order to obtain approval for vehicular access (621-3710). Arrange for your needs five (5) business days prior to the event. Parking on the grassy area of the campus and Mall requires further approval from the Campus Use Scheduling Office, Risk Management, and Facilities Management.
12. Large events, evening events, and other certain events may require security. Call the University of Arizona Police Department at 626-8007.
13. In accordance with the Campus Use Policy, a sponsoring organization (recognized student organization or University department) banner or sign (minimum size of 3' x 4') must be prominently displayed during the entire reserved period. In the case of a group(s) sponsoring commercial activity, the sponsoring group(s) banner or sign must be larger than the vendor's banner(s). Alcoholic beverage distributors or corporations must be in compliance with the Sponsorship of Events by Alcoholic Beverage Corporations/Distributors policy.
14. Student organizations or University departments sponsoring commercial activity must have a representative on the Mall during the scheduled activity.
15. Tables, booths, tents, etc., must be a minimum of 6 feet from any curb to allow for wheelchair access.
16. Sidewalks:
    1. Nothing may be placed on the Mall sidewalks/pedestrian walkways.
    2. All power and water lines crossing other sidewalks must be secured. Anything over ½ inch in diameter needs to be ramped.
    3. All other equipment, including tables, chairs, and other event-related items, must be on the grass.
17. In the event that conditions on the campus/Mall lawn sections are unusable for events due to inclement weather, Facilities Management will make the determination on campus/Mall usage in advance and will advise the Campus Use Scheduling Office of such conditions and decision. The Mall Scheduling Office will either relocate or reschedule the event. Sponsoring groups are responsible for adherence to these guidelines and to all policies as noted in the Mall Guidelines and University Business Practices Guidelines on Sponsored Commercial Activity (available from the Campus Use Scheduling Office). Failure to follow any of these policies may limit your ability to use the Mall in the future.

Questions? Phone (520) 626-2630, Student Union Memorial Center, 3rd floor; Website

Procurement Process and Procedures

Misinformation and misunderstanding of University procurement procedures both within and outside the University can result in undesirable consequences to both the UA and its suppliers. This summary illuminates the most common areas of misunderstanding and misinformation.

1. Procurement Authority: The Director of Procurement and Contracting Services (PACS) is the University Procurement Officer. The Procurement Officer is responsible for the proper implementation of the Arizona Board of Regents University Procurement Code. The Procurement Officer has the authority to commit University funds for the procurement of supplies, equipment, and contractual services on behalf of the University of Arizona and the Arizona Board of Regents (ABOR).
2. University Procurement Process: The University's procurement process is governed by ABOR policies 3-801 through 3-810, which are very similar to the Arizona State Procurement Code. The University supplements ABOR policies with procedures based on general University regulations, good business practices, and/or special requirements adopted by various agencies from which the University secures funds for special programs. The various categories of purchases governed by the ABOR policies are covered in the paragraphs immediately below.
   1. Purchases that exceed 100,000. The policies and procedures for expenditures in excess of $100,000 are contained in the Arizona Board of Regents Policy Manual, Chapter III, Article H. Procurement Procedures (University Procurement Code). The code specifies that the award for all supplies, equipment, and contractual services with an aggregate cost exceeding $100,000 (exceptions: sole source and emergency procurements) must be the result of a sealed competitive bid or request for proposal. All organizations that conduct or desire to conduct business with the University of Arizona should be aware of the provisions of the Procurement Code. The code covers such items as definitions, procurement authority, rules governing bidding and source selection procedures to include details involving competitive sealed proposals, construction services, contract controversies, bid protest, content and timelines for filing protests withbthe Procurement Officer, appeals to the President, rules governing the conduct of appeal hearings, requests for rehearing, or review of a final decision. A copy of the ABOR Policy Manual/University Procurement Code is available at the Main Library, Main Reference Section, and online.
   2. Purchases that do not exceed $100,000. ABOR policy requires that the unit/department requests for goods and services having an aggregate cost that does not exceed $100,000 be directed by PACS to a small business organization. The procedures governing purchases that do not exceed $100,000 are shown below.
      1. Purchase requests that do not exceed $5,000. Such requests received by PACS shall be referred to a small business organization. If the requesting unit/department has a preferred vendor, the request will be directed to that vendor, unless it is not a small business. Otherwise the Buyer shall select a vendor. Units/departments may also make these purchases in accordance with Financial Services Manual 9.18 Small Dollar/Direct Purchase Procedures.
      2. Purchases that exceed $5,000 but do not exceed $100,000. Such purchase requests received by PACS shall be filled on the basis of competitive informal proposals or bid submissions. Such proposals/bids shall be solicited from a minimum of three (3) vendors in written form or via telephone or fax.
   3. Strategic Alliances, Agreements, and University-Wide Contract Procurements: A strategic alliance agreement is a form of University-wide contract which is developed with one or more vendors covering the acquisition of a product (e.g., computers, cellular communications, document imaging). Such contracts, at the University’s discretion, may be expanded by the UA to cover others produced by a company as well without being subjected to additional procurement processes. In return, vendors provide the UA with research sponsorships, competitive scholarships, and other benefits. Strategic alliances are a way to maximize the leverage of the University's buying power to provide goods and services at the most economical price. University-wide contracts, while similar to strategic alliances, are generally focused on one particular area or product (e.g., office supplies, furniture, etc.). Regardless of the dollar amount, when a strategic alliance or University-wide contract exists, first consideration in filling a department's need should be given to products and services covered by such contracts or alliances. While no department/unit will be mandated to utilize a product or service that is not in its best interest, departments/units are expected to give their full purchasing support to such programs because of the benefits derived by the UA. If strategic alliances or University-wide contracted products or services will not satisfy the department's/unit's need, a written justification explaining why will be maintained in the department’s/unit’s file should ABOR inspectors have questions regarding such purchases.
   4. Design and Construction Services. Procurement authority for design and construction services has been delegated to the Department of Planning, Design and Construction (PDC). As such, PDC procures design and construction services; and manages new construction, renovation, and remodeling projects. Projects valued at less than $25,000 in labor and maintenance costs may be executed by the UA Facilities Management Department.
      1. Construction Services. Construction services are procured by the competitive bid process for Design-Bid-Build projects, or through a competitive request for qualifications (RFQ) selection process as outlined in that portion of the ABOR Policy Manual/Procurement Code relating to Design-Build, Construction Manager at Risk or Job Order Contracting project delivery methods. Construction services RFQs are posted on PDC's website and are advertised in the Daily Territorial, East Valley Tribune, and Daily News-Sun. Construction bids are posted on PDC's website and are advertised in the Daily Territorial, East Valley Tribune, and Daily News-Sun.
      2. Design Services. Architectural design services for projects where design fees will exceed $250,000 are procured through an RFQ process. The RFQ is posted on PDC's website and advertised in the Daily Territorial, East Valley Tribune, and Daily News-Sun. Architectural design services for projects where design fees will not exceed $250,000 are procured through an Annual Request for Qualifications process, where responding firms are selected for specific projects by a selection committee from a database containing qualifications, licensing, experience, and interest information of responding firms. Annual Requests for Qualifications are generally published in January or February of each year and are posted on PDC’s website and advertised in the Daily Territorial, East Valley Tribune, and Daily News-Sun.
3. Vendor Information Sources: Vendors desiring information regarding the procurement process should do the following:
   1. Frequently check the "Vendor Resources" section of the Procurement and Contracting Services website, as this is one source of information regarding sealed bid and proposal opportunities.
   2. Register with the Purchasing Office to attend a Vendor Workshop by calling (520) 621-5933. Workshops are held periodically throughout the year.
   3. Please call ahead to schedule appointments with procurement staff. The Staff Directory can be found on the Procurement and Contracting Services website. Bring a new idea or product for each interview and keep buyers up-to-date on markets and trends.
   4. Schedule appointments with departments to market your goods and services.
   5. Remain in contact with prospective University customers as they refer vendor names to Procurement and Contracting Services buyers.

Guiding Principles for Establishing and Administering Purchasing/Vendor Alliances

Purpose. The purpose of this document is to (1) articulate the nature and benefits of vendor purchasing alliances and (2) specify the related responsibilities of the key players for vendor alliance establishment and administration.

Background. The principal mission of Research I universities is teaching, research, and public service. While academics is the principal focus of these universities, in recent years the level of quality at which the mission has been accomplished is increasingly dependent on the availability of funds. In today’s world the purchasing function has become an additional source of funds for the University as opposed to one that merely expends money for the acquisition of goods and services. This has been made possible by the attractiveness of mutually beneficial relationships between universities and corporations and the willingness of these organizations to offer both monetary and non-monetary items in return for opportunities to do business over extended periods of time. We have labeled such business opportunities vendor alliances. Vendor alliances may involve the same goods and services that are offered for sale by both  University departments and the Procurement and Contracting Services Department (PACS). Because of the potential for confusion in the separation of different departmental acquisition missions and responsibilities, procedures are needed to eliminate or reduce any possibility of internal conflicts resulting from duplication in the acquisition of goods and services.

Vendor Alliances (General Description).

1. Vendor alliances are formal, fairly long-term business relationships established between the University and one or more vendors for the purpose of achieving results that benefit the participants. These agreements may be terminated after an agreement is entered into if it is determined by the Senior Vice President for Business Affairs that it is not in the University’s best interest to continue the agreement. Alliance members (both the UA and participating vendors) generally benefit through
   1. Collaborative relationships that further the strategic aims of both the University and supplier(s);
   2. The creation of added value by cooperation between the UA and the vendor(s); and
   3. Improvement in efficiency and/or cost effectiveness.
2. The University may benefit specifically from vendor alliances through
   1. Lower cost of products;
   2. Hiring of UA graduates by alliance vendors;
   3. Internship commitments by alliance vendors;
   4. UA access to alliance vendor expertise to improve UA processes and services;
   5. Increased alliance vendor interest in sponsorship of UA events or projects of UA units.
3. Potential Benefits to Alliance Vendors/Suppliers
   1. Increased market share (This must reflect a true increase that excludes all existing purchases or realized sales);
   2. Access to University knowledge and expertise to improve products and services;
   3. Support for company initiatives;
   4. Assistance in reducing transaction costs;
   5. Experience that may help increase market share in higher education market.

Responsibilities

1. Senior Vice President for Business Affairs. The Senior Vice President for Business Affairs has overall staff responsibility for
   1. The procurement of all University goods and services;
   2. Ensuring that policies and procedures are in place that govern the conduct of business by University units and facilitate compliance with applicable federal and state laws and ABOR policies;
   3. Providing additional clarification and guidance within a framework in which business practices and decisions are made by managers at all levels;
   4. Ensuring that vendor alliances are in the best interest of the University, which includes ensuring that due consideration is given to units that are or may be disadvantaged by the implementation of a proposed alliance.
2. Director, Procurement and Contracting Services Department
   1. Ensures that the provisions of the ABOR Procurement Code are complied with before, during, and after vendor alliances are established.
   2. Promulgates written procedures consistent with the ABOR Procurement Code and other ABOR policies governing procurement and management of goods, services, construction, and disposal of materials.
   3. Procures goods and services for UA departments and units when requested or required by the ABOR Procurement Code.
   4. Manages the University acquisition process. This includes the delegation of authority to selected directors/managers as needed to facilitate the procurement of goods in specialized areas (e.g., the Dean of the Libraries; Director of UA BookStores; Director, Planning, Design, and Construction; and Director, Student Unions.
   5. Initiates and manages the vendor alliance process. The steps in this process are as follows.
      1. Identify a commodity or service that has a high probability of being successful in academics, operational support, or providing financial benefit to UA departments/units that may result from a vendor alliance.
      2. Identify the potential advantages and disadvantages to the University of establishing a particular alliance. No decision will be made regarding establishing a particular alliance without considering both the positive and negative aspects to the University and its operating units.
      3. Hold discussions with affected departments prior to determining whether it is advantageous to the University to proceed to the next step of establishing an Alliance Evaluation Committee (AEC).
      4. Make no promises to departments in exchange for support of alliances. All revenues resulting from vendor alliances shall be administered by an organization that is external to PACS.
      5. Establish an Alliance Evaluation Committee.
         1. If PACS determines a vendor alliance may be advantageous, after consultation with the heads of departments/units that already offer similar products or services, an AEC will be established to assist in validating the decision. The AEC shall consist of a wide range of department/unit participants, including representation from among those who will be impacted by the proposed alliance. A department/unit may register an objection during this or any other discussion regarding the development of a vendor alliance. When an objection is made, the process stops until the objection is reconciled or ruled upon by the AEC. If the committee cannot decide the matter, it shall be submitted to the Senior Vice President for Business Affairs for final disposition or decision. (The Senior Vice President for Business Affairs may at their discretion obtain the views of both sides, including management personnel, prior to rendering a decision or may refer the matter to the President’s Cabinet for decision.)
         2. If there are no objections to consider the AEC shall take the following steps:
            1. Review and discuss the advantages and disadvantages of the proposed alliance.
            2. Recommend whether or not the University should proceed with the proposed vendor alliance. If the committee recommends entering into a vendor alliance, the Director of PACS will submit the proposal to the Senior Vice President for Business Affairs for final approval.
      6. Develop a vendor alliance project Request for Proposal (RFP). If the Senior Vice President approves the proposed vendor alliance, an RFP shall be developed. The RFP shall comply with the requirements of the University procurement code, including those requiring evaluation criteria.
      7. Establish a Request for Proposal Evaluation and Contract Award Selection Committee.
         1. Composition. All or selected members from the previously formed Alliance Evaluation Committee may serve on this committee. This committee is established after approval is granted to pursue a particular alliance.
         2. Responsibility.
            1. The RFP Evaluation and Contract Award Selection Committee is responsible for reviewing and evaluating vendor RFP responses and selecting the proposal that is most responsive to the requirements specified in the RFP and most beneficial to the University of Arizona.
            2. Minutes will be maintained during all meetings of the committee and shall include the general process, the conclusions reached, the evaluated RFPs, the unreconciled objections made by committee attendees, and the record of votes cast.
      8. Ensure that the vendor’s access route to students is approved by the appropriate University department.
      9. Focus on institutional benefits to the University.
3. Post-contract award management by PACS
   1. Ensure that no individual interest (personal or unit) is given greater importance than the institutional interest of the University.
   2. Provide marketing and administrative support to the alliance vendor.
   3. Provide education and training to University customers in the utilization and benefits of alliance.
4. University Department
   1. Any affected University department shall have an opportunity to
      1. Participate in each aspect of the process from the outset; and
      2. Determine the level and frequency of its participation in the vendor alliance process. If the University department elects not to participate, it is giving tacit approval to all the terms and conditions of a vendor alliance. (Separate or private meetings shall not be held to discuss an alliance for a product or a service already being offered by another department/unit unless the affected department/unit was invited but neglected to attend. Moreover, approval to enter into an alliance shall not terminate the sale of existing products or brands offered by another department/unit unless approved by appropriate University authority.)
5. An affected University department/unit shall concur or non-concur as to whether alliance products are to be available for sale to students, faculty, and staff. If the department/unit concurs with the sale of such products in its department business, the products will receive the same marketing opportunities as other similar brands or as specified in the alliance contract.
6. Questions regarding the alliance shall be raised with the Director of PACS before discussing them with the alliance vendor or others outside the University.

Senior Vice President for Business Affairs: Exercises overall staff responsibility for the development and implementation of the Business Practices Guidelines. The implementation responsibilities may be delegated, as appropriate, to facilitate coordination and operations.

Vice Presidents, Deans, Department Heads, and Directors. Are responsible for compliance with the guidelines within their assigned organizations/units.

Director of Corporate Relations: Performs the following functions: University liaison to the business community and point of contact for processing queries and complaints made by businesses and other external agencies/organizations; develops comprehensive strategic relationships with industry partners; co-chairs the University Business Advisory Committee; chairs the Industry Strategy Group; and serves as liaison to the general faculty's University Committee on Corporate Relationships (UCCR).

Dean of Students

• Responsible for the development and administration of the Policy and Regulations Governing the Use of the Campus and First Amendment Rights. The scheduling and day-to-day management of sponsored commercial activity and other events is the responsibility of the Procurement and Contracting Services Department in coordination with the Office of the Dean of Students.
• Establishes and chairs the University Mall Committee that annually reviews the policy on the use of the Mall.
• Provides guidance and assistance to the agencies involved in events approval.

Director of the Student Unions: Allocates space in conjunction with the Event Services Office to accommodate a Commercial and Mall Activity Coordinator and the performance of these functions, including the processing of applications and issuance of permits for sponsored commercial activities.

Director of Procurement and Contracting Services: Establishes procedures for the purchasing of goods and services in accordance with applicable federal and state laws and Arizona Board of Regents policies.

Director, Parking and Transportation: Assures accessibility of the Mall to individuals approved to conduct Sponsored Commercial Activity.

Director, Risk Management Services: Reviews Sponsored Commercial Activity applications/forms for applicability of the State and ABOR liability insurance requirements, and specifies whether such insurance is required and, if so, how much.

University Committees

The following committees have been established to facilitate the sale of UA goods and services within the campus community; the sale of UA goods and services to the external community in accordance with state and federal laws and ABOR policy; and use of UA name and licensing of UA products:

University Business Advisory Committee: This committee consists of representation from both the private sector and the campus community and representatives from government(s) when appropriate. It acts as a bridge between the University and the business community for the purpose of addressing issues involving UA business practices which impact or may impact area businesses.

University Committee on Corporate Relations (UCCR): This committee makes recommendations to the University President or their designee regarding potential or changeable relationships between any part of the University and one or more businesses. In the implementation of its responsibility, this committee evaluates submitted proposals from three vantage points:

1. Use of the University's name or symbol by an external entity
2. Implied University endorsement of a particular service, product company, or individual
3. Public display of advertisements or other corporate symbols

The committee also recommends UCCR policy modifications and/or proposes additional policies as long as they are approved by the Faculty Senate before they become a recommendation to the President.

Periodic Review

These guidelines shall be reviewed annually, and updated if necessary, to ensure their continuing responsiveness to the purpose for which they were established.

This policy applies to all University and University-related events, regardless of the source of funds used to pay for the event.

The Arizona Student Unions is the designated campus department responsible for the provision of food and beverage services for the University. Arizona Catering Company supports University functions and organizations requiring such services with a focus on the safety and health of the University's students, faculty, staff, and guests. The Office of the Executive Director, Student Unions, coordinates and approves the use of food and beverage services within the scope and applicability of this policy.

When events on the main campus are planned that include food, and the total cost exceeds $750.00, departments and organizations must contact the Arizona Catering Company to make food service arrangements. Departments at AHSC have the option of using the Banner University Medical Center food service. Events costing less than $750.00 and events catered off campus are exempt from this policy. Therefore, in the exempted instances departments may either use the Arizona Catering Company or make arrangements through an off-campus vendor with whom Purchasing and Contracting has executed a current Master Agreement. A Master Agreement must be in place before a vendor is allowed to cater any University event.

Only those vendors operating as specified under existing contracts with the Arizona Catering Company are authorized to provide food for retail sale on campus.

Special Circumstances

The Director, Student Unions, is authorized to grant a waiver in special circumstances. Waiver decisions will not be based on price. A Department or University organization's request for a policy waiver is to be submitted two weeks in advance of the event. A response to the request will be provided within forty-eight (48) hours. When a waiver is granted, the sponsoring department or organization may obtain the catering services of an off-campus vendor with whom Procurement and Contracting has an executed Master Agreement and who is in possession of all permits and licenses required by federal, state, and local laws as applicable.

Decisions that arise from waiver requests may be appealed to the Assistant Vice President of Auxiliary Services.