notice of proposed policymaking policy type: regents

Notice of Proposed Policymaking

University of Hawai’iOffice of the PresidentOffice of the Vice President for Research & Innovation

Standard Header Information

Date: July 9, 2015Policy type: REGENTS POLICYType of change: RevisionsChapters: RP 12.201 — Ethical Standards of Conduct

RP 12.202 — Principal InvestigatorRP 12.203 — Right to Investigate and DisseminateRP 12.206 — Establishment and Review of Organized Research UnitsRP 12.207 —Research Corporation of the University of Hawai’iRP 12.20$ — Awards for Excellence Research

PurposeTo update and clarify Board of Regents Policies (RP) relating to research and

scholarly activity.

Background

About Board of Regents PoliciesPer Executive Policy 2.20 1, Systemwide Policies and Procedures, Board of

Regents Policies are broad statements that support the philosophy of the mission of theUniversity and are the principal basis and authority for policies and procedures issued bythe President and designated systemwide administrators.

Systemwide Effort to Review and Update Policies and ProceduresIn 2013, the University administration started a process to update and harmonize

the University’s policies and procedures, some of which have not been updated for 20years or more. A new web site to host the University’s policies and procedures in a newformat was launched in November 2014. Since its launch, there have been concerns withthe new format that was implemented, such as inconsistencies between the policies citedin different locations. Accordingly, policy updates and revisions have been suspended asof this date since this is a large undertaking with serious impact on Universitystakeholders and users of this system. The University administration understands andrecognizes the delicate balance between ensuring that momentum is maintained whilefoLlowing aLl applicable protocols. A Policy Advisory Committee is currently tasked

with identifying and addressing these issues under the direction of the Vice President forAdministration, who has been assigned as the lead for this matter.

Research Policy Task ForceAlthough the updating of policy and procedure was suspended, in anticipation of

resuming these efforts the Vice President for Research and Innovation (VPRI) conveneda Research Policy Task force (RPTF) to review and recommend updates to theUniversity’s research policies and procedures starting with the Regents Policies

The RPTF is comprised of representatives from the Office of the VPRI, Office ofthe UH Mãnoa Vice Chancellor for Research, and a faculty member from each of thephysical sciences, life sciences, and social sciences. One of the faculty members serves asthe chair of the RPTF.

The RPTF agreed that the RP should remain broad statements and that review andupdate of detailed policies and procedures would occur during the review of theExecutive Policies (EP) and Administrative Procedures (AP), which will happen after theRPs are updated.

RPs Not Subject to Revision at this TimeRP 12.204 was recently updated to comply with a strict federal deadline to restore

and update the policy regarding the composition and function of the key managementpersonnel group in order to conform with federal policies on classified research. Futurerevisions to RP 12.204 are anticipated to be handled using the normal consultationprocess for University policies and procedures.

RP 12.205 primarily cites a Hawai’i Administrative Rule (HAR) and collectivebargaining contracts. Because HARs are under the purview of the Office of the Governor,revisions to RP 12.205 are not being made at this time until the University administrationresearches the process for making and coordinating revisions to the University HAR as awhole.

Proposed Changes

RP 12.201 — Ethical Standards of Conduct

Language was added to RP 12.20] Ito emphasize that the document relates toethical standards ofconduct in research and scholarly activities as opposed to generalethical conduct.

Original language: To set forth poLicy regarding ethicat standards of conduct.

Proposed language: To set forth policy regarding ethical standards of conduct inresearch and scholarly activities.

Language under RF 12.20] lilA. was updated to include current terminology andconceptsfound infederal and state regulations to describe examples ofmisconduct.

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Original language: In the conduct of research and scholarly activities, facultymembers and staff shall adhere to strict ethical standards of conduct. Failure to adhere toethical standards includes, but is not limited to falsification of data, plagiarism, abuse ofconfidentiality, dishonesty in publications, deliberate violation of regulations, propertyviolations, the failure to report observed fraud, and potential conflicts of interest.

Proposed language: In the conduct of research and scholarly activities, faculty andstaff shall adhere to strict ethical standards of conduct. Failure to adhere to ethicalstandards includes falsification of data, plagiarism, breach of confidentiality, dishonestyin publications, deliberate violation of regulations, misappropriation of resources,utilizing one’s official capacity to gain undue benefits for oneself or others, exploitingsubordinates, including students, and failing to disclose and properly manage potentialconflicts of interest.

RP 12.202 — Principal InvestigatorLanguage describing who can be a principal investigator under RP 12.202 lilA.

was updated to recognize thatpersons in non-compensated board appointments canserve as principal investigator. Language was also added to emphasize that the role ofprincipal investigator is associated with externallyfunded contracts and grants.

Original language: Only university board appointees may serve as a principalinvestigator.

Proposed language: Only Board appointees may serve as principal investigator foran externally funded contract or grant. In the context of this policy, adjunct faculty,research affiliates, and emeriti faculty in non-compensated University appointments mayserve as principal investigators.

New language is added to describe the conditions for serving as principalinvestigator, which were located in RP 12.203. However, the original language did notmake the connection clear. In addition, language was added to clarfy that an externalsponsor ‘s processfor changingprincipal investigators shall be followed.

Proposed language:

12.202 III.B. The privilege to serve as a principal investigator is conditioned onthe following criteria: the proposed program or activity is desirable and compatible withthe mission of the respective academic or research unit; those university officialsresponsible for committing the use of facilities and other resources of the Universityagree to accept the commitment involved; the investigator has accepted the terms andconditions of the contract or grant; and the investigator has disclosed all potentialconflicts of interest.

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12.202 ITI.C. Changes in principal investigator shall be done in accordance withawarding agency policies and procedures such as the National Institutes of Health GrantsPolicy Statement or National Science Foundation Award and Administration Guide.

RP 12.203 — Right to Investigate and DisseminateLanguage under 12.203 IILB. was clarfled to emphasize that research is

conducted on behalfof the university, which provides support or resources. However, theresearch is directed by individuals or groups of investigators associated with theuniversity. The intent was to preserve the spirit of the original language and also reflectthat externally sponsored awards are made to the university and not individuals per Se.

Original language: At the University, all research is undertaken voluntarily byindividuals or groups of investigators. The “University” as such is not engaged inresearch. It may provide facilities, equipment and certain kinds of facilitatingadministrative services to facilitate the research. Whenever a given research proposal,however, involves special financing, whether by agencies inside or outside of theuniversity, there is a joint decision to submit the proposal by the principal investigatorand the various university reviewers.

Proposed language: Research conducted on behalf of the university, whetherfunded by an external sponsor or through an application of University resources, isdirected by individuals or groups of investigators associated with the University.University officials responsible for committing resources such as facilities, equipmentand administrative support may decide whether to support projects or to apply forexternal funding for projects, but may not direct the research. Thus, research is conductedunder joint decisions by investigators and university officials.

Language was added to 12.203 HJ.C. to acknowledge that while the universityrecognizes afaculty member ‘s academicfreedom, this does not mean that afacultymember’s research is immunefrom critical review.

Original language: The university guarantees the freedom to inquire of eachmember of the academic community and affirms the right of each member to gain accessto all available relevant information. Each member also has the absolute right to choosewhether, how, and where to publish scholarly conclusions and results of research.

Proposed language: The University guarantees the freedom to inquire of eachmember of the academic community and affirms the right of each member to gain accessto all available relevant information. Each member also has the absolute right to choosewhether, how, and where to publish scholarly conclusions and results of research. Thecommitment to academic freedom in the conduct of research does not imply that thefaculty member’s research is not subject to critical review and judgment as to its qualityand significance.

Although the language might be more applicable to externally sponsoredresearch, the language under 12.203 IILE, was retained and revised to be consistent with

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the proposed language under RF 12.202 II1B. to reflect the general conditionsforaccepting research projects.

Original language: Whenever a given research award is accepted by theuniversity, it means that the following conditions have been met: the proposal hasscholarly merit; the investigator is deemed capable of undertaking it; those responsiblefor committing the use of facilities and other resources of the University agree to acceptthe commitment involved; the investigator accepted the terms and conditions of thecontract or grant; and the investigator has disclosed all potential conflicts of interest.

Proposed language: Whenever a given research project or award is accepted bythe University, it means that the following conditions have been met: the proposedprogram or activity is desirable and compatible with the mission of the respectiveacademic or research unit; those responsible for committing the use of facilities and otherresources of the University agree to accept the commitment involved; the investigatoraccepted the terms and conditions of the contract or grant; and the investigator hasdisclosed all potential conflicts of interest.

Language under 12.203 III.f. was revised to remove references to a non-existententity and to generically refer to due process available to faculty to resolve disputesregarding scholarly activity. This was done so that the RF would not have to be updatedto reflect the dfferent bodies established by campuses to handle disputes, which maychange.

Original language: All cases of indecision, or unfavorable decisions to bereviewed by university authorities will be referred to the Academic Freedom Committeeof the University Faculty Senate for hearing according to established due processprocedures.

Proposed language: Any disputes of scholarly activity involving universityofficials designated with approving authority shall be resolved according to establishedUniversity due process procedures.

RP 12.206 — Establishment and Review of Organized Research UnitsLanguage under 12.206 lilA. was updated to reflect that an Organized Research

Unit (OR U) can be established at the level ofa school or college (Level 5) or at thedepartmental level (Level 4) and that OR Us receive institutional support in the form ofgeneralfunds programmedfor research (UOH-1 02).

Original language: The board approves extra-departmental administrativestructures, commonly referred to as organized research units (“ORU”). ORU provides alocus for faculty, staff and students to engage in focused, collaborative research andtraining activities. They are expected to generate significant grant and contract funding.

Proposed language: The Board approves extra-departmental administrativestructures, commonly referred to as organized research units (“ORU”). ORU provides a

5

locus for faculty, staff and students to engage in focused, collaborative research andtraining activities. Organized research units may exist at the level of a School or College(Level V) or Department (Level IV). They are supported in part by the OrganizedResearch Budget (UOH- 102) and are expected to generate significant grant and contractfunding.

Language under 12.206 II1B. was updated to reflect that review andrecommendation ofproposed OR U would be conducted by relevant campusadministrators. The current language might imply that high levelfiscal administrators,often referred to as administrative officers at the University, would be involved asopposed to members ofthe respective chancellor ‘s office.

Original language: The president shall establish procedures for review ofproposed ORU, including review and recommendations by the relevant campus facultysenate and administrative officers.

Proposed language: The President shall establish procedures for review ofproposed ORU, including review and recommendations by the relevant campus facultysenate and administrators.

Language under 12.206 hiD, was revised to make the review period consistentwith EP 12.213, Establishment and Review of Organized Research Units. The ExecutivePolicy utilizes afive-year cycle, which is consistent with peer and benchmark institutionpoliciesfor reviews of ORU Also, multi-year grants are made by awarding agencies inup to five-year increments.

Original language: Once established, an organized research unit will be reviewedperiodically at intervals of seven years or less, according to procedures established by thepresident.

Proposed language: Once established, an organized research unit will be reviewedperiodically at intervals of five years or less, according to procedures established by thePresident.

RP 12.207 — Research Corporation of the University of Hawai’i

Language was revised in 12.207 I. to reflect that the purpose ofthe RP is to setforth policy regarding the University’s relationship with the Research Corporation of theUniversity ofHawai ‘i (RCUH) and the conditionsfor service ordering univers ityfunds toRCUH.

Original language: To set forth policy regarding the estabLishment of RCUH andits relationship to the university.

6

Proposed language: To set forth policy regarding the relationship between theUniversity and RCUH and the Board conditions for service ordering University funds toRCUH.

Due to the dfferences between service orders ofextramuralfunds andInstitutionalfunds, policy specific definitions have been added to help clarfy the RP.

Proposed language: A. Extramural contracts and grants — Refers to externalsponsorship of research, training or other activities via a contract, grant or otheragreement. In the context of this policy, extramural contracts and grants shall also includeFederal formula funds and student financial aids.

B. Institutional funds — Refers to funds appropriated to the University such asgeneral funds, research and training revolving funds (RTRF) and tuition and fee specialfunds. It also includes other non-extramural funds such as bond proceeds. Institutionalfunds are exempt from RP 12.207 II1.C.1 when they will be used for mandatory costsharing or matching purposes.

C. Mandatory cost sharing or matching — Refers to a sponsor imposedrequirement to share or match institutional funds in order to receive sponsor funds undera grant or other agreement.

D. Research or training project — Refers to research, training or other activitiesthat are funded by external contracts and grants or through an application of institutionalfunds. Examples of institutional funds that are for research and training projects include aformal seed money grant program as well as projects funded by separately accounting foran academic or research units’ appropriated funds such as RTRF or unrestricted giftstoward pilot projects or faculty start-up costs.

E. Service order — a formal request by the University to utilize RCUH services toassist the University in carrying out its instruction, research or public service mission.

F. University funds — Refers to extramural contracts and grants and institutionalfunds received by the University.

Language was added to 12.207 lILA. to reflect that RCUH was in part establishedby state statute to facilitate the research effort of the University. While this is a large partofRCUH’s mission, it is not its only mission according to the Hawai ‘i Revised Statutes(HRS). Language regarding the composition of the RCUH board was removed becausethe HRS determines the composition (i.e., number ofmembers, representation and whomhas the power to appoint members) and the HRS may change. Because the intent of thesection is to describe the relationship between the University and RCUH, it was onlynecessary to note that members ofthe university would be on the board.

Original language: The RCUH was established by state statute to facilitate theresearch effort of the University of Hawai’i. It is a corporate body governed by an

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independent board, separate from the university. A statutorily determined number ofmembers of the board also comprise the RCUH board. The chairperson shall assign boardmembers to the RCUH board annually.

Proposed language: The RCUH was established by state statute, in part, tofacilitate the research effort of the University of Hawai’i. It is a corporate body governedby an independent board with members of the university community.

Language under 12.20 7 IIIB. was revised to reflect that extramural contracts andgrants are service ordered to RCUH, which include training and other activities, notjustresearch.

Original language: The university service orders research contracts and grants toRCUH. However, RCUH shaLl not be used to circumvent statutes, board policies,contracts, settlements, or regulations.

Proposed language: The University service orders extramural contracts and grantsto RCUH. However, RCUH shaLl not be used to circumvent statutes, Board policies,contracts, settlements, or regulations.

Language under 12.207111 C. was revised to emphasize the Board’s interest inmonitoring service orders of institutional funds, which should normally be usedfor thedirect support ofresearch or trainingprojects. This includes associated mandatory costsharing or matching.

Dollar thresholds were removed so that they would reference and be consistentwith the regular Board thresholdsforprior approval before transactions could occurunder RP 8.201, Contracts and Official Documents.

In addition, because the one-year limitation on RCUH employment was removedby the Board in 2005, it is also removedfrom the RP to avoid confusion.

Original language: Service ordering to RCUH shall be for the direct support of aresearch or training project and shall not include major construction (CIP) and repair andmaintenance (R&M) projects, employment of any person in excess of one year, purchasesin excess of $500,000 (total value), as a means to supplement existing universitycontracts or salaries, and contracting of services exceeding $500,000 in total value unlessprior board approval is obtained.

Proposed language: Service ordering of institutional funds to RCUH shall be forthe direct support of a research or training projects, including mandatory cost sharing ormatching.

1. Prior Board approval is required for service ordering of institutional funds for:a) Major construction (CIP) and repair and maintenance (R&M) projects;

$

b) Purchases of goods or services in accordance with the threshold delineated inRP 8.201, Section III.E.1;

c) Supplementation of existing University contracts or salaries; ord) Consultant contracts in accordance with the threshold delineated in RP 8.201,

Section III.C.1.

Langttage was revised under 12.207111. F. was revised to clarfy that theUniversity board executes the management agreement with the RCUH board and that theUniversity president annually reviews the document.

Original language: The board shall execute a document of relationship betweenthe university and RCUH delineating the parameters of service to be rendered. Thisdocument shall be reviewed annually to allow for periodic amendments as necessary.

Proposed language: The Board shall execute a document of relationship betweenthe University and RCUH board delineating the parameters of service to be rendered.This document shall be reviewed annually by the President to allow for periodicamendments as necessary.

RP 12.208 — Awards for Excellence Research

The title of the policy is proposed to be renamed to correct a typo and to reflectthat it is a Regents award.

Original title: Awards for Excellence Research

Proposed title: Regents Awards for Excellence in Research

Language was revised in 12.208 II1A.2. to correct a typo.

Original language: No person may receive ore than one award in teaching and oneaward in research in their period of service to the university.

Proposed language: No person may receive more than one award in teaching andone award in research in their period of service to the University.

Language describing the selection process under 12.2071113. was removed infavor of language describing the delegation of the process to the university presidentunder 12.207 IV

Proposed language: The President shall designate a body to collect system-widenominations, evaluate candidates and select recipients for Regents awards.

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Public Review and Comment PeriodPlease submit your comments via the web site located at: [fill in site]. Comments

must be received via this system no later than [insert date, which is 30 days from issuanceof this notice].

Substantive comments received will be reviewed by the RPTF. Substantiverevisions to the proposed policies, if any, will be subject to a final 30 day public reviewand comment period.

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UNIVERSITY Board of Regents Policy, RP 12.201of HAWAI F Ethical Standards of Conduct

BOARD Of REGENTS

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.201, Ethical Standards of ConductEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding ethical standards of conduct in research and scholarlyactivities.

II. Definitions

No policy specific or unique definitions apply.

III. Policy

A. In the conduct of research and scholarly activities, faculty and staff shall adhereto strict ethical standards of conduct. Failure to adhere to ethical standardsincludes to falsification of data, plagiarism, breach of confidentiality, dishonestyin publications, deliberate violation of regulations, misappropriation ofresources, utilizing one’s official capacity to gain undue benefits for oneself orothers, exploiting subordinates, including students, and failing to disclose andproperly manage potential conflicts of interest.

IV. Delegation of Authority

There is no policy specific delegation of authority.

V. Contact Information

Office of the Board of Regents, 956-8213, [email protected]

VI. References

A. hftp:llwww.hawaiiedu/offices/bor/

B. EP 12.211, Policy for Responding to Allegations of Research and ScholarlyMisconduct

RP 12.201Page 2 of 2

C. EP 12.214, Conflicts of Interest and CommitmentD. EP 12.218, Compliance with United States Export Control Laws and

RegulationsE. AP 12.211, Administrative Procedure for Responding to Allegations of

Research and Scholarly MisconductF. AP 5.504, Procedures for Disclosing and Addressing Conflicts of Interest and

CommitmentG. AP 8.025, Fiscal Responsibilities Within the UniversityH. AP 8.926, Administrative and Financial Requirements for Extramurally

Financed Research and Training Programs/Activities of the UniversityI. AP 8.956, Financial Conflicts of Interest (FCOI) for Public Health Services

(PHS) Grants, Cooperative Agreements and ContractsJ. Regulation and Compliance (NCURA) — A copy is on file at the Office of

Research Services for examination for faculty and staff who wish to see asummary of Federal regulations that impact research and scholarly activities.

VII. Exhibits and Appendices

No Exhibits and Appendices found

Approved:

Approved as to Form:

Cynthia Quinn DateExecutive Administrator andSecretary of the Board of Regents

UNIVERSITYof HAWA1F’

BOARD OF REGENTS

Board of Regents Policy, RP 12.201Ethical Standards of Conduct

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.201, Ethical Standards of ConductEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August2019

I. Purpose

To set forth policy regarding ethical standards of conduct in research and scholarlyactivities.

II. Definitions


III. Policy

A. In the conduct of research and scholarly activities, facultynd staff shall adhere f Deleted: members

to strict ethical standards of conduct. Failure to adhere to ethical standards

_____________

includetofaIsiflcationofdatapIaiansm,.breach of confldentiaiity,dhonesty.-in publications, deliberate violation of regulations, misappropriation of 4J Deleted: abuse

resources, utilizing one’s official capacity to gain undue benefits for oneself orothers, exploiting subordinates, including to disclose andproperly manage potential conflicts of interest.





VI. References

A. http://www.hawaii.edu/officeslbor/

SEP 12.211, Policy for Responding to Allegations of Research and ScholarlyMisconduct .1 Formatted: Font: Anal

Formatted: Indent: Left: 0.5”, No bullets or-‘? mbering

Deleted: - but is not limited

Deleted: property violations, the failure to- report observed fraud


C. EP 12.214, Conflicts of Interest and CommitmentD. EP 12.21 8. Compliance with United States Export Control Laws and

RegulationsE. AP 12.211, Administrative Procedure for Responding to Allegations of

Research and Scholarly MisconductF. AP 5.504, Procedures for Disclosing and Addressing Conflicts of Interest and

CommitmentG. AP 8.025, Fiscal Responsibilities Within the UniversityH. AP 8.926, Administrative and Financial Requirements for Extramurally


(PHS) Grants, Cooperative Agreements and ContractsJ. Regulation and Compliance (NCURA) — A copy is on file at the Office of

Research Services for examination for faculty and staff who wish to see asummary of Federal regulations that impact research and scholarly activities.



Approved:



UNIVERSITY Board of Regents Policy, RP 12.202of HAWAI F Principal Investigator

BOARD Of REGENTS

Page 1 012

Regents Policy Chapter 12, ResearchRegents Policy RP 12.202, Principal InvestigatorEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding principal investigators for externally funded contractsand grants.

II. Definitions


Ill. Policy

A. Only Board appointees may serve as principal investigator for an externallyfunded contract or grant. In the context of this policy, adjunct faculty, researchaffiliates, and emeriti faculty in non-compensated University appointments mayserve as principal investigators.

B. The privilege to serve as principal investigator is conditioned on the followingcriteria: the proposed program or activity is desirable and compatible with themission of the respective academic or research unit; those university officialsresponsible for committing the use of facilities and other resources of theUniversity agree to accept the commitment involved; the investigator hasaccepted the terms and conditions of the contract or grant; and the investigatoras disclosed all potential conflicts of interest.

C. Changes in principal investigator shall be done in accordance with awardingagency policies and procedures such as the National Institutes of Health GrantsPolicy Statement or National Science Foundation Award and AdministrationGuide.






VI. References

A. http:llwww.hawaii.edulofflceslborl

B. National Institutes of Health Grants Policy Statement, 8.1 Changes in Projectand Budget

C. National Science Foundation Award and Administration Guide, Chapter II —

Grant Administration

D. EP 12.214, Conflicts of Interest and Commitment

E. AP 5.504, Procedures for Disclosing and Addressing Conflicts of Interest andCommitment

F. AP 8.025, Fiscal Responsibilities Within the UniversityG. AP 8.910, Procedures for the Preparation and Submission of Proposals to

External Sponsors and the Review/Approval of Sponsored AgreementsH. AP 8.926, Administrative and Financial Requirements for Extramurally


(PHS) Grants, Cooperative Agreements and Contracts



Approved:



UNIVERSITYof HAWAIF

BOARD Of REGENTS

Board of Regents Policy, RP 12.202Principal Investigator

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.202, Principal InvestigatorEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding principal investigators for externally funded contractsand grants.

II. Definitions


Ill. Policy

Only,pard appointees may serve as principaHnvestator for an externallyfunded contract or grant. In the context of this policy, adjunct faculty, researchaffiliates, and emeriti faculty in non-compensated University apoointments mayserve as principal investigators.

B. The privilege to serve as principal investigator is conditioned on the followingcriteria: the proposed program or activity is desirable and compatible with themission of the respective academic or research unit: those university officialsresponsible for committing the use of facilities and other resources of theUniversity agree to accept the commitment involved: the investigator hasaccepted the terms and conditions of the contract or grant: and the investigatoras disclosed all potential conflicts of interest.

C. Changes in principal investigator shall be done in accordance with awardingagency policies and procedures such as the National Institutes of Health GrantsPolicy Statement or National Science Foundation Award and AdministrationGuide.

Deleted: university

Deleted: b






VI. References

A. http://www.hawaii.edu/officesThon

B. National Institutes of Health Grants Policy Statement, 8.1 Chanaes in Proiectand Budget

____________________________

• .-.,..--f Formatted: Font: Anal

C. National Science Foundation Award and Administration Guide, Chapter II — Formatted: Indent: Left: 0.5”, No bullets orGrant Administration numbering

.- .-{ Formatted: Font: Anal

D.EP 12.214, Conflicts of Interest and Commitment j Formatted: Indent: Left: 0.5, No bullets or

•.,..

E. AP 5.504, Procedures for DisclosinQ and Addtessin Conflicts of Interest and ‘( Formatted: Font: Arial

Commitment Formatted: Indent: Left: 0.5’, No bullets ornumbening

F. . (Formatted: Font: Anal

G. AP 8.910, Procedures for the Preparation and Submission of Proposals to Formatted: Indent: Left: 0.5”, Nobulletsor

External Sponsors and the Review/Approval of Sponsored Agreements Lnumbenlng

H. AP 8.926, Administrative and Financial Requirements for ExtramurallyFinanced Research and Training Programs/Activities of the University

I. AP 8.956, Financial Conflicts of Interest (FCOI’j for Public Health Services(PHS) Grants, Cooperative Agreements and Contracts



Approved:



UNIVERSI1Y Board of Regents Policy, RP 12.203of HAWAI F Right to Investigate and Disseminate

BOARD Of REGENTS

Page 1 of 3

Regents Policy Chapter 12, ResearchRegents Policy RP 12.203, Right to Investigate and DisseminateEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding the right to investigate and disseminate.

II. Definitions


IlL Policy

A. The University recognizes the right of the scholar to inquire and disseminatethe results of inquiry according to the established forms of academic freedom,recognizing that an individual’s work may have profound effects on theacademic community.

B. . Research conducted on behalf of the University, whether funded by anexternal sponsor or through an application of University resources, is directedby individuals or groups of investigators associated with the University.University officials responsible for committing resources such as facilities,equipment and administrative support may decide to support projects or toapply for external funding for projects, but may not direct the research. Thus,research is conducted under joint decisions by investigators and universityofficials.

C. The University guarantees the freedom to inquire of each member of theacademic community and affirms the right of each member to gain access to allavailable relevant information. Each member also has the absolute right tochoose whether, how, and where to publish scholarly conclusions and results ofresearch. The commitment to academic freedom in the conduct of researchdoes not imply that the faculty member’s research is not subject to criticalreview and judgment as to its quality and significance.

D. Notwithstanding the right of individual investigators to choose whether toparticipate in projects for which the sponsor may impose certain limitations on


dissemination it is the policy of the University to press for maximum opennessamong agencies—governmental or private—that place any kind of restrictionupon access to information of a scholarly character.

E. Whenever a given research project or award is accepted by the University, itmeans that the following conditions have been met: the proposed program oractivity is desirable and compatible with the mission of the respective academicor research unit; those responsible for committing the use of facilities and otherresources of the University agree to accept the commitment involved; theinvestigator accepted the terms and conditions of the contract or grant; and theinvestigator has disclosed all potential conflicts of interest.

F. Any disputes of scholarly activity involving university officials designated withapproving authority shall be resolved according to established University dueprocess procedures.





VI. References

A. http :Hwww. hawaii.ed u/offices/bor/B. RP 12.202, Principal InvestigatorC. RP 12.204, Classified ResearchD. AP 8.910, Procedures for the Preparation and Submission of Proposals to

External Sponsors and the Review/Approval of Sponsored Agreements



Approved:


Cynthia Quinn Date

UNIVERSITY Board of Regents Policy, RP 12.203of HAWAI’I’ Right to Investigate and Disseminate

BOARD Of REGENTS

Page 1 of 3

Regents Policy Chapter 12, ResearchRegents Policy RP 12.203, Right to Investigate and DisseminateEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

Purpose

To set forth policy regarding the right to investigate and disseminate.

II. Definitions


Ill. Policy

A. The 1,riiversity recognizes the rght of the scholar to inquire and disseminatethe results of inquiry according to the established forms of academic freedom,recognizing that an individual’s work may have profound effects on theacademic community.

B. ,. Research conducted on behalf of the University, whether funded by an -

external sponsor or through an application of University resources, is directedby individuals or groups of investigators associated with the University.University officials responsible for committing resources such as facilities,equipment and administrative support may decide to support proiects or toapply for external funding for proiects, but may not direct the research. Thus,research is conducted under ioint decisions by investigators and universityofficials.

C. The !jjiiversity guarantees the freedom to inquire of each membe theacademic community and affirms the tight of each member to gain access to allavailable relevant information. Each member also has the absolute right tochoose whether, how, and where to publish scholarly conclusions and results ofresearch. The commitment to academic freedom in the conduct of researchdoes not imply that the faculty member’s research is not subiect to criticalreview and iudgment as to its quality and significance.

D. Notwithstanding the right of individual investigators to choose whether toparticipate in projects for which the sponsor may impose certain limitations on

Deleted: U 1

Deleted: At the university, all research isundertaken voluntarily by individuals orgroups of investigators. The university” assuch is not engaged in research, It mayprovide facilities, equipment and certainkinds of overhead administrative services tofacilitate the research. Whenever a givenresearch proposal, however, involves specialfinancing, whether by agencies inside oroutside of the university, there is a jointdecision to submit the proposal by theprincipal investigator and the variousuniversity reviewers

Deleted: U

dissemination it is the policy of the p iversity to press for ma)dmum openness .-{ Deleted: u

among agencies—governmental or private—that place any kind of restrictionupon access to information of a scholarly character.

E. Whenever a given research proiect or award is accepted by the iiversityjtmeans that the following conditions have been metthe proposed program oractivity is desirable and compatible with the mission of the respective academicor research unit; those responsible for committing the use of facilities and otherresources of the ,piversfty agree to accept the commitment involved; the -.investigator accepted the terms and conditions of the contract or grant; and theinvestigator has disclosed all potential conflicts of interest.

Formatted: List Paragraph, Numbered ÷Level: 1 + Numbering Style: A, B, C, + Startat: 1 + Alignment: Left + Aligned at: 0.25” +Indent at: 0.5”


VI. References

VII.

A. http://www.hawaii.edu/offices/bonB. RP 12.202, Principal InvestigatorC. RP 12.204, Classified ResearchD. AP 8.910, Procedures for the Preparation and Submission of Proposals to

External Sponsors and the Review/Approval of Sponsored Agreements

Exhibits and Appendices


Approved:



IV.

Deleted: u

Deleted: the proposal has scholarly merit;the investigator is deemed capable ofundertaking it

f Deleted: u

F. ny disputes of scholarly activity involving university officials designated with ....-- Deleted: All cases of indecision, orunfavorable decisions to be reviewed byapproving authority .shall be resolved according to established University due univeredy authorities will be referred to the

process procedures. Academic Freedom Committee of theUniversity Faculty Senate for hearing

Delegation of Authority f Formatted: Font: Anal


V. Contact Information Formatted: Font: Anal

Cynthia Quinn Date

UN1VERSF1Y Board of Regents Policy, RP 12.206of HAWAI F Establishment and Review of Organized

BOARD Of REGENTS Research Units

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.206, Establishment and Review of Organized Research UnitsEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodifled)Review Date: August 2019

Purpose

To set forth policy regarding the establishment and review of organized researchunits.

II. Definitions


Ill. Policy

A. The Board approves extra-departmental administrative structures, commonlyreferred to as organized research units (“ORU”). ORU provides a locus forfaculty, staff and students to engage in focused, collaborative research andtraining activities. Organized research units may exist at the level of a School orcollege (Level V) or Department (Level IV). They are supported in part by theOrganized Research Budget (UOH-102) and are expected to generatesignificant grant and contract funding.

B. The President shall establish procedures for review of proposed ORU, includingreview and recommendations by the relevant campus faculty senate andadministrators.

C. No organized research unit may be formally established or discontinued untilreview as prescribed by the President has been completed, the Presidentmakes a recommendation to the Board and the Board has given its approval.

D. Once established, an organized research unit will be reviewed periodically atintervals of five years or less, according to procedures established by thePresident.

E. All major reorganizations of the administrative structure of an organizedresearch unit must be in conformance with provisions of the Board policy onestablishment and reorganization of organizational units.






VI. References

A. http:llwww.hawaii.edulofficeslborl

B. RP 3.202, Reorganizations

C. EP 12.213, Establishment and Review of Organized Research Units

D. AP 3.101, University of Hawai’i Organizational and Functional Changes



Approved:



UNIVERSITY Board of Regents Policy, RP 12.206of HAWAI’I’ Establishment and Review of Organized

BOARD OF REGENTS Research Units

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.206, Establishment and Review of Organized Research UnitsEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

Purpose

To set forth policy regarding the establishment and review of organized researchunits.

II. Definitions


III. Policy

A. The pard approves extra-departmental administrafive structures, commonly f Deleted: b

referred to as organized research units (ORU”). ORU provides a locus forfaculty, staff and students to engage in focused, collaborative research andtraining activities. Organized research units may exist at the level of a School orcollege (Level V) or Department (Level IV). They are supported in part by theOrganized Research Budget (UOH-102) and are expected to generatesignificant grant and contract funding.

B. The esident sha!I estabhsh procedures for review of proposed ORU, including freview and recommendations by the relevant campus faculty senate andadministrat2

_--- {C. No organized research unit may be formally established or discontinued until

review as prescribed by the esident has been comp!eted, the esidmakes a recommendation to the pard and the pard has given its approval.

D. Once established, an organized research unit will be reviewed periodically atintervals of,fiye years or less, according to procedures established by theEsJdent.

E. All major reorganizations of the administrative structure of an organizedresearch unit must be in conformance with provisions of the pard policy on festablishment and reorganization of organizational units.

Deleted: p

Deleted: ive officers

Deleted: p

Deleted: p

Deleted: b

.f Deleted: b

Deleted: seven

Deleted: p

Deleted: b






VI. References

A. http:llwww.hawaii.edu/offices/bor/

B. RP 3.202, Reorganizations

_____________________________

• .. ...frormatted: Font: Anal

CEP 12.213, Establishment and Review of Organized Research Units j’Formatted:1ndent: Left: 0.5”, Nobulletsor. numberin

D.AP3.1O1, University of Hawaii Organization an nctional Changes Forma: Font: Aria!

Eormatted Indent: Left: 0.5, No bullets or

VII. Exhibits and Appendices tnumnng


Approved:



UNIVERSFIY Board of Regents Policy, RP 12.207of HAWAI I® Research Corporation of the University

BOARD Of REGENTS of Hawai’i (“RCUH”)

Page 1 of 3

Regents Policy Chapter 12, ResearchRegents Policy RP 12.207, Research Corporation of the University of Hawai’i (“RCUH”)Effective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

Purpose

To set forth policy regarding the relationship between the University and RCUHand the Board conditions for service ordering University funds to RCUH.

II. Definitions

A. Extramural contracts and grants — Refers to external sponsorship of research,training or other activities via a contract, grant or other agreement. In thecontext of this policy, extramural contracts and grants shall also include Federalformula funds and student financial aids.

B. Institutional funds — Refers to funds appropriated to the University such asgeneral funds, research and training revolving funds (RTRF) and tuition and feespecial funds. It also includes other non-extramural funds such as bondproceeds. Institutional funds are exempt from RP 12.207 III.C.1. when they willbe used for mandatory cost sharing or matching purposes.

C. Mandatory cost sharing or matching — Refers to a sponsor imposedrequirement to share or match institutional funds in order to receive sponsorfunds under a grant or other agreement.

D. Research or training project — Refers to research, training or other activities thatare funded by external contracts and grants or through an application ofinstitutional funds. Examples of institutional funds that are for research andtraining projects include a formal seed money grant program as well as projectsfunded by separately accounting for an academic or research units’appropriated funds such as RTRF or unrestricted gifts toward pilot projects orfaculty start-up costs.

E. Service order — a formal request by the University to utilize RCUH services toassist the University in carrying out its instruction, research or public servicemission.



Ill. Policy

A. The RCUH was established by state statute, in part, to facilitate the researcheffort of the University of Hawai’i. It is a corporate body governed by anindependent board with members of the university community.

B. The University service orders extramural contracts and grants to RCUH.However, RCUH shall not be used to circumvent statutes, Board policies,contracts, settlements, or regulations.

C. Service ordering of institutional funds to RCUH shall be for the direct support ofresearch or training projects, including mandatory cost sharing or matching.

1. Prior Board approval is required for service order of institutional funds for:

a. Major construction (CIP) and repair and maintenance (R&M) projects;

b. Purchases of goods or services in accordance with the thresholddelineated in RP 8.201, Section lll.E.1;

c. Supplementation of existing University contracts or salaries; or

d. Consultant contracts in accordance with the threshold delineated in RP8.201, Section lIl.C.1.

D. No University funds, regardless of source, shall be directed to RCUH or anyexternal agency without being received by the University’s office responsible forthe administration of research and training grants and contracts. Upon receipt,a determination by the University shall be made as to service ordering to RCUHbased on this policy.

E. The Board shall execute a document of relationship between the University andRCUH board delineating the parameters of service to be rendered. Thisdocument shall be reviewed annually by the President to allow for periodicamendments as necessary.






VI. References

A. hffp:/Iwww.hawaii.edulofficeslbor/

B. AP 8.910, Procedures for the Preparation and Submission of Proposals toExternal Sponsors and the Review/Approval of Sponsored Agreements

C. AP 8.930, Service Orders to the Research Corporation of the University ofHawai’i

D. AP 8.931, Revolving Fund Service Orders to the Research Corporation of theUniversity of Hawai’i



Approved:



UNIVERSITYof HAWAI’I’

BOARD OF REGENTS

Board of Regents Policy, RP 12.207Research Corporation of the University

of Hawaii (RCUH”)

Page 1 of 3

Regents Policy Chapter 12, ResearchRegents Policy RP 12.207, Research Corporation of the University of Hawaii (‘RCUH”)Effective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding theatonshipbetween thepkersity and RCUH f Deleted: establishment of RCUH and iJand the Board conditions for service ordering University funds to RCUH. ,eietec: to

LDeleted:uII. Definitions

..A,xtramural contracts and grants — Refers to external sponsorship of research_training or other activities via a contract, orant or other agreement. In thecontext of this policy, extramural contracts and arants shall also include Federalformula funds and student financial aids.

B. Institutional funds — Refers to funds appropriated to the University such asaeneral funds, research and training revolving funds (RTRF) and tuition and feespecial funds. It also includes other non-extramural funds such as bondproceeds. Institutional funds are exempt from RP 12.207 lll.C.1. when they willbe used for mandatory cost sharing or matching purposes.

Deleted: No policy specific or uniquedefinitions apply.

C. Mandatory cost sharing or matching — Refers to a sponsor imposedrequirement to share or match institutional funds in order to receive sponsorfunds under a grant or other agreement.

Formatted: Indent: Left: 0.38’, Hanging:I 0.25”, Tab stops: Not at 0.5” + 0.63”

D. Research or training proiect — Refers to research, training or other activities thatare funded by external contracts and grants or through an application ofinstitutional funds. Examples of institutional funds that are for research andtraining prolects include a formal seed money grant program as well as proiectsfunded by separately accounting for an academic or research units’apDropriated funds such as RTRF or unrestricted gifts toward pilot projects orfaculty start-up costs.

E. Service order — a formal reguest by the University to utilize RCUH services toassist the University in carrying out its instruction, research or Dublic servicemission.

Deleted: , separate ftom

Deleted: A statutorily determined number ofmembers of the board also comprise theRCUH board. The chairperson shall assignboard members to the RCUH boardannually.

Deleted: u

Deleted: research

Deleted: b

Deleted: a

Deleted; and shall not include majorconstruction (CIP) and repair andmaintenance fR&M) projects, employment ofany person in excess of one year, purchasesin excess of $500,000 (total value), as ameans to supplement existing universitycontracts or salaries, and contracting ofservices exceeding $500,000 in total valueunless prior board approval is obtained.

Formatted: Indent: Left: 0.5, No bullets ornumbering

Formatted: Indent: Left: 0.63”, Numbered +Level: 1 + Numbering Style: 1, 2,3, ... + Startat: 1 + Alignment: Left ÷ Aligned at: 1” ÷Indent at: 1.25’

Formatted: Indent: Left: 0.88’, No bullets or

Formatted: Indent: Left: 0.88”, Numbered +Level: 2 ÷ Numbertng Style: a, b, c, ... + Startat: 1 + Alignment: Left + Aligned at: 1.5 +Indent at: 1.75”

Formatted: Indent: Left: 1.13, No bullets ornumbering

Formatted: Indent: Left: 0.88”, Numbered +Level: 2 + Numbering Style: a, b, c, ... + Startat: 1 + Alignment: Left + Aligned at: 1.5” +Indent at: 1.75”

1.13”, No bullets or

1.13”, No bullr

“, ‘:“fFormatted

‘,\‘l Formatted: Font: Anal I“,{ Deleted: u I

‘\U Deleted; u

\[ Deleted: u

“f Deleted: b

[ Deleted: u



III. Policy i”

A. The RCUH was established by state statute, in part, to facilitate the researcheffort of the University of Hawai’i. It is a corporate body governed by anindependent boar4with members of the universfty community. /

B. The piversity service ordersextramural_contracts and wants to RCUH 7.”However, RCUH shall not be used to circumvent statutes, pardpoIiciecontracts, settlements, or regulations.

Q_Service ordering of institutional funds to RCUH shall be for the direct support of,,.’”research or training projects. including mandatory cost sharing or matching.

Prior Board approval is required for service order of institutional funds for: .::fFormatted: Font: Anal

a. Maior construction (CIP) and repair and maintenance (R&M) proiects; •,“,4,,

b. Purchases of øoods or services in accordance with the thresholddelineated in RP 8.201. Section lll.E.1;

4”,

c. Supplementation of existing University contracts or salaries: or,‘, \“, “, c numbering

•,‘.l

d. Consultant contracts in accordance with the threshold delineated in RP /,\8.201, Section IIl.C.1..

D. No cUl-i nyexternal agency without being received by the university s office responsible forthe administration of research and training grants and contracts. Upon receipt,a determination by the jiIversitys ma as to service ordering to RCUHbased on this policy. “,ii\ Formatted: Indent; Left:

numbering

E. The pard aexeçuteonehipbetw thepiversfty and \‘7\”J Formatted

RCUH board delineating the parameters of service to be rendered. This \\\‘\J Formatted: Indent: Left:document shall be reviewed annually by the President to allow for periodic \‘,1 numbering

amendments as necessary.





VI. References

A. http://www.hawaii.edu/offices/bor/


B. P 8.910, Procedures for the Preparation and Submission of Proposals toExternal Sponsors and the Review/Approval of Sponsored Agreements

C. AP 8.930, Service Orders to the Research Corporation of the Unk ofHawaii

D. AP 8.931, Revo ing Fund Service Orders to the Research Corpotatlo theUniversity of Hawai’i

I Deleted: EP 12.227

Formatted: Font: Anal

Formatted: Indent: Left: 0.5”, No bullets ornumbering

- Formatted: Font: Anal

Formatted: Indent: Left: 0.5”, No bullets ornumbering



Approved:


DateCynthia QuinnExecutive Administrator andSecretary of the Board of Regents

UNIVERSITY Board of Regents Policy, RP 12.208of HAWAIV Regents Awards for Excellence in

BOARD Of REGENTS Research

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.208, Regents Awards for Excellence in ResearchEffective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding the establishment of awards for Excellence inResearch and the selection process.

II. Definitions


Ill. Policy

A. Awards may be made annually and will consist of an appropriate cash sum plusa suitably engraved Board of Regents’ medal.

1. Three awards for excellence in research may be made for the statewideuniversity system.

2. No person may receive more than one award in teaching and one award inresearch in their period of service to the University.

3. Awards for teaching and research will be presented by the President in thename of the Board at a convocation or faculty meeting.


The President shall designate a body to collect system-wide nominations, evaluatecandidates and select recipients for Regents awards.



VI. References

A. http://www..edu/offices/bon



Approved:




UNIVERSITY Board of Regents Policy, RP 12.208of HAWAI F Regents Awards for Excellence in

BOARD Of REGENTS Research

Page 1 of 2

Regents Policy Chapter 12, ResearchI Regents Policy RP 12.208, Regents Awards for Excellence jResearch

Effective Date:Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019

I. Purpose

To set forth policy regarding the establishment of awards for Excellence inResearch and the selection process.

II. Definitions


III. Policy

A. Awards may be made annually and will consist of an appropriate cash sum plusa suitably engraved Board of Regents’ medal.

1. Three awards for excellence in research may be made for the statewideuniversity system.

2. No person may receive more than one award in teaching and one award in

__________

research in their period of service to the university. --f Deleted: u

3. Awards for teaching and research will be presented by the esidentinth Deleted: p

name of the pardataconvocationorfacuftymeeting. 1eleted: b

— Deleted: <#>Selection ProcessIV. Delegation of Authority ¶

<#>Selection of the recipients of theawards for excellence in research from

ihe President shall designate a body to collect system-wide nominations, evaluatecandidates and select recipients for Regents awards. ¶

<#>The chancellors shall forward theirnominees to the president for endorsementV. Contact Information and transmittal to the boardij

Deleted: There is no policy specificOffice of the Board of Regents, 956-8213, [email protected] delegation of authority.

Deleted:

VI. References

A. http://www.hawaii.edu/offices/borl



Approved:


