ORS Form 5 – Proposal Coordination Record

Expanded Instructions

This document provides additional definitions, clarification and information to support the document,

ORS Form 5 Basic Instructions for PIs

Page	ID	Section Name	Expanded Instructions
1	C	Proposal Type Proposal Type, continued Proposal Type, continued	Expanded definitions for proposal types listed in ORS Form 5. New: Not proposed to this sponsor previously. Instructions for Table: Complete the Initial Proposal section only. Revised: Two subtypes – Revised Proposals and Revised Awards Revised Proposal – When the sponsor has requested a revision to the scope of work or budget in response to the original proposal, submit a new ORS Form 5 and indicate proposal type as Revised. With the Form 5, submit to ORS a complete revised proposal and budget. Instructions for Table: Enter same values in Initial Proposal section as earlier submission; enter proposed revised values in Subsequent Proposals section; enter the cumulative dates and amount in the final row. Revised Award – When an existing award requires a revision to the scope of work or budget, submit a new Form 5 and indicate proposal type as Revised. With the Form 5, submit to ORS a complete revised proposal and budget. Instructions for Table: Enter dates of original award in Initial Proposal section; enter proposed revised 1^st year values in Subsequent Proposals section; enter cumulative dates and amount in the final row. Continuation: A proposal to continue an existing award. Competing Continuation – An application requiring competitive peer review and Institute/Center action to continue a project beyond the competitive segment approved under the existing award. Instructions for Table: In the Initial Proposal section, enter the dates and amount from the initial award (which may be different than those proposed); In the Subsequent Proposal section, enter the dates and amounts being requested for the continuation; enter the cumulative dates and amount in the final row. Non-Competing Continuation (NIH) – A proposal for funding for the next phase of an incrementally (one-year increments are typical) funded award. For example, some awards may be initially approved for multiple years but funded in one-year increments. Each year, an application for a non-competing continuation, with a scope of work and budget must be submitted through ORS to the NIH. Applications may be submitted on-line through Grants.gov. NEW: ORS has developed a new form (ORS Form 8) for submission with most NIH non-competing continuation application/requests in lieu of ORS Form 5. Its purpose is to reduce administrative requirements for PIs. ORS Form 8 replaces ORS Form 5 for most NIH non-competing continuation requests. When the continuation includes changes to: 1) the level of effort by key personnel, or 2) UH commitments (cost sharing), PIs are required to submit an ORS Form 5 with non-competing NIH continuation/renewal requests. ORS Form 8 & Instructions are on the ORS Website at http://www.hawaii.edu/ors/ Renewal: A proposal for next competitive funding cycle. For example, if an award for a five-year project has ended, a submission for a renewal might request funding for years six through 10. In the ORS Form 5, renewals are treated as competing continuations (above). Instructions for Table: In the Initial Proposal section, enter the dates and amount of the initial award; In the Subsequent Proposal section, enter the dates and amount being requested for the renewal; enter the cumulative dates and amount in the final row. Supplemental: A proposal to add work and budget to an existing award. A supplemental request may be competing or non-competing. A competing supplemental request is subject to peer review. A non-competing supplemental request is handled administratively. Instructions for Table: In the Initial Proposal section, enter the dates and amount of the initial award (which may be different than those proposed); In the Subsequent Proposal section, enter the dates and amounts being requested for the supplemental request; enter the cumulative dates and amount in the final row.
	C	Proposed Activity	If your proposal does not fit within the categories defined in this section, it is possible that it should not be submitted through ORS. If you have any questions, call the eRA HelpDesk at 956-5198 (email at erahelpline@ors.hawaii.edu) Research and Development – A systematic, intensive study intended to increase knowledge or understanding of the subject studied, a systematic study specifically directed toward applying new knowledge to meet a recognized need, or a systematic application of knowledge to the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements. Training – A specific instructional activity, including activities involving the teaching of research techniques as the primary purpose of the award. Where training of post-docs or students is part of a research project, the proposed activity should be identified as “Research and Development.” Other Sponsored Activity – The performance of work that does not fit into the other categories for which extramural support is being sought. Such activities may include extension services, performances, exhibitions, conferences or workshops, consultation services relating to existing programs or services, small business development centers, etc. F Facilities Construction/Renovation – The construction or acquisition of facilities (buildings or major renovations) in which title to the facilities passes to UH. Equipment/Instrumentation – The fabrication or acquisition of equipment or other instrumentation in which title passes to UH. Operations of Research Facilities – The operation and maintenance of research facilities or equipment such as telescopes, large computing centers, ocean-going vessels, etc. If 50% of the project scope involves the conduct of research, choose “Research and Development.”
1	D	PI Certifications: Commitments	Cost sharing (also called cost matching or in-kind contributions) refers to resources contributed or allocated by UH (or another third party) to a sponsored project over and above the support provided by the sponsor. Cost sharing commitments made in a proposal are legally binding commitments made by UH to the sponsor. UH may share the cost of a sponsored project when such costs are: § Required by the sponsor and consistent with the UH mission of supporting the search for and dissemination of knowledge, or § Otherwise determined to be an appropriate use of resources by UH officials. Cost sharing increases administrative burden and risk of adverse audit findings for UH. Therefore, voluntary cost sharing should be avoided, when possible. Check the appropriate box (1, 2 and/or 3) if your proposal includes: Any cost sharing or in-kind UH contributions, and provide the percentage of budget and dollar value of the UH commitment; Commitments from UH department(s) other than that of the PI, and submit a completed and appropriately endorsed ORS Form 5a; and/or Commitments from non-UH sources, and submit a letter of commitment from each source that details the nature and scope of the commitment. All details (who, what, when, how much) relating to cost sharing must be described in the budget justification or on a separate sheet appended to the submission. UH cost-sharing policies and procedures are documented in administrative procedure APM A8.947 and A8.951.
1	E	PI Certifications: Conflict of Interest	Conflict of Interest – In order to comply with federal regulations and protect the integrity of the University, UH has approved Executive Policy E5.214, which mandates annual conflict of interest disclosure by UH faculty, staff and administrators. In addition, NSF and PHS regulations apply to the PI and others who are responsible for the design, proposal, conduct or reporting of research. If an investigator or his/her spouse or dependent child holds a Significant Financial Interest (SFI), as defined below, in an entity that could reasonably appear to be affected by the proposed research, this SFI must be disclosed to UH. An SFI is anything of monetary value, including salary, consulting fees, honoraria or other payments for services, equity interests, and IP rights except: Salary or remuneration from UH; Income from seminars, lectures, teaching engagements, service on advisory committees or review panels sponsored by public or nonprofit entities; Equity interests that (when aggregated for the investigator, spouse and dependent children) do not exceed $10,000 or 5% ownership interest in any single entity; and Salary, royalties or other payments that (when aggregated for the investigator, spouse and dependent children over the following` 12 months) are not reasonably expected to exceed $10,000. Check box 1 and/or 2 if this proposal is for NSF or PHS funding (directly or flowing through a third party), or if any potential conflict of interest would exist or appear to exist if an award were made based on this proposal. If either box is checked, complete ORS Form 5b.
2	F	Other Certifications Other Certifications, continued Other Certifications, continued Other Certifications, continued Other Certifications, continued	F.1 Protection of Human Subjects To comply with federal regulation, research involving people or information that can identify them must be reviewed, approved and monitored by the UH Committee for Human Studies (CHS). All UH research, regardless of who conducts it (faculty, students, etc.) and who funds it (and even if it is not funded) must be reviewed by the CHS. Some research may be “exempt” (as defined by regulation) from CHS approval and oversight, but only the CHS can make a final determination of exemption. A certification of exemption or approval from the CHS will be required. Check certification box 1 if your research activities involve people or information that identifies them. If you have received certification of approval or exemption from CHS for this project, submit a copy to ORS. If the proposal will be submitted to the NIH, certification of completion of the NIH Training Module on human subjects protection (http://www.hawaii.edu/irb) by all project personnel is also required. For further information, contact the UH Committee for Human Studies at 956-5007 or visit the CHS Website at http://www.hawaii.edu/irb/index.htm F.2 Care and Use of Vertebrate Animals The Institutional Animal Care and Use Committee (IACUC) has been established at UH to ensure compliance with federal that are used in research, teaching/ training, testing and/or exhibition/display. The IACUC will determine whether the proposed use of vertebrate animals for your project is scientifically justifiable and the welfare and treatment of animal subjects are adequately addressed. Check certification box 2 if your project involves the use of vertebrate animals. Submit a copy of your certification to ORS. For further information, contact the UH IACUC at 956-4552, or visit the IACUC Website at www.hawaii.edu/ansc/IACUC F.3 Environmental Health and Safety At UH, the Environmental Health and Safety Office (EHSO) is responsible for ensuring compliance with federal regulations in the areas of: Biological Safety, including use of recombinant DNA technology (human tissues, cell lines, etc.), micro-organisms (bacteria, viruses, etc), and import/export of animals and plant materials; Radiation Safety, including any use of radioactive material and radiation-producing machines (x-rays, microwaves, etc.); Diving Safety, including any use of compressed gas for scuba diving; Hazardous Materials Management, including explosive material, water reactive chemicals, flammable liquids or gases, poison gases, organic peroxides, and highly toxic materials; and Disposal of Hazardous Waste. Check certification box 3 if your proposed project involves activities, equipment or substances in these categories. EHS approval is required prior to such involvement. If you have received certification of approval from EHSO for this project, submit a copy to ORS. For further information, contact EHSO at 956-8660 or visit the EHSO Website at www.hawaii.edu/ehso F.4 Export Controls Federal regulations enforced by the Department of Commerce, Export Administration Regulations (EAR) (link to Gaines 4-5-04 memo), and the Department of State, International Traffic in Arms Regulations (ITAR) (link to Gaines 3-3-04 memo), prohibit the unlicensed export of specific technologies for reasons of national security or protection of trade. If UH research involves certain technologies, the EAR and/or ITAR may require UH to obtain approval before allowing foreign nationals to participate in the research or partnering with a foreign company and/or sharing research with persons who are not U.S. citizens or permanent resident aliens. Under ITAR, UH must register with the UH State Department if defense articles (which may include unclassified technical data) or services are manufactured or exported. Once export controlled data or technology is accepted from the sponsor, investigators have the legal duty to prevent its unlawful “export” outside the US or to foreign nationals residing here. The consequences of violating these regulations can be severe, ranging from loss of research contracts to monetary penalties to jail time for the individual violating these regulations. PIs are encouraged to consult with the sponsor to determine whether export-controlled technology is being received or developed under the project. Indications of export controls might include sponsor restrictions on disclosure and/or access by foreign nationals. Check certification box 4 if your proposed project will include or result in export-controlled technology or data. For further information, contact OTTED at 539-3817 or by email at otted@hawaii.edu. Visit the OTTED website at http://www.otted.hawaii.edu/. F.5 Lobbying Efforts Restrictions issued by the Office of Management and Budget (OMB) bar recipients of federal funds from using such funds to lobby sponsoring agency officials or members of Congress for a grant, contract, or other award. Under these rules, UH must certify when applying for or receiving $100,000 or more in federal funds that federally appropriated dollars have not and will not be used to lobby in connection with an award. Check certification box 5 if lobbying efforts supported your proposal, and append a separate sheet describing the nature and funding source for the lobbying activities. F.6 Subcontractor Proof of Commitment Check certification box 6 if a portion of the proposed scope of work will be conducted by a non-UH entity under a subcontract (this entity is referred to as a subrecipient). Do not check this box to reflect services to be provided by a vendor. The difference between a subrecipient and a vendor is that a subrecipient independently carries out part of a project for which UH has been awarded funds. A vendor may provide goods and services to UH, but is not responsible for independently carrying out a scope of work. Because a subrecipient has responsibility for programmatic decision-making, its performance could affect the ability of UH to meet the obligations of its award. Federal regulations require UH to monitor subrecipient administration of federal funds. If you checked box 6, you must append to your ORS Form 5 a commitment letter signed by the subrecipient’s Institutional Official accompanied by a statement of work and budget for the subrecipient’s scope of work. F.7 Risk Management Some projects involve activity that significantly increases risk to UH. This includes, but is not limited to, studies involving ocean exploration and/or clinical interventions with human subjects. UH has a Risk Management Office that is responsible for reviewing and mitigating potential risks to UH. Advance warning and knowledge of possible risk factors enable a preliminary assessment of risk and exposure to liability for UH. Such knowledge enables UH to take the necessary steps to protect UH interests. Such steps may include the purchase of additional insurance or the inclusion of terms and conditions to the award document. Check certification box 7 if your proposed project includes medical professionals with human contact, patient care, HIV or other pathogens, use of watercraft, or other hazardous working conditions. Forward to ORS a copy of relevant insurance policies or other documentation of risk mitigation strategies applicable to your project. For additional information, contact the UH Office of Risk Management at 956-7243.
2	F-8	Intellectual Property	UH holds the title to intellectual property (IP) developed at the University, and it will only relinquish its ownership in exceptional circumstances. To advise and assist investigators and others with issues and questions pertaining to IP, UH has established an Office of Technology Transfer and Economic Development (OTTED). OTTED is organized to help UH faculty, staff, and students to identify, manage, protect, and commercialize the University’s IP assets. Check “yes” or “no” on certification 8 to indicate your agreement to accept sponsor requirements to waive or relinquish your rights to IP. Your answer to this question will serve as your proxy for IP issues if the proposal is funded. For additional information, contact OTTED at 539-3817 or by email at otted@hawaii.edu. Visit the OTTED website at http://www.otted.hawaii.edu/.
2	F-9	Publication	Principles of academic freedom provide broad publication and communication rights to university investigators. In certain circumstances, sponsors may seek to restrict publication of specific information.

Page

Section Name

Expanded Instructions

Proposal Type

Proposal Type, continued

Proposal Type,

continued

Expanded definitions for proposal types listed in ORS Form 5.

New: Not proposed to this sponsor previously.

Instructions for Table: Complete the Initial Proposal section only.

Revised: Two subtypes – Revised Proposals and Revised Awards

Revised Proposal – When the sponsor has requested a revision to the scope of work or budget in response to the original proposal, submit a new ORS Form 5 and indicate proposal type as Revised. With the Form 5, submit to ORS a complete revised proposal and budget.

Instructions for Table: Enter same values in Initial Proposal section as

earlier submission; enter proposed revised values in Subsequent

Proposals section; enter the cumulative dates and amount in the final row.

Revised Award – When an existing award requires a revision to the scope of work or budget, submit a new Form 5 and indicate proposal type as Revised. With the Form 5, submit to ORS a complete revised proposal and budget.

Instructions for Table: Enter dates of original award in Initial Proposal section; enter proposed revised 1^st year values in Subsequent Proposals section; enter cumulative dates and amount in the final row.

Continuation: A proposal to continue an existing award.

Competing Continuation – An application requiring competitive peer review and Institute/Center action to continue a project beyond the competitive segment approved under the existing award.

Instructions for Table: In the Initial Proposal section, enter the dates and

amount from the initial award (which may be different than those

proposed); In the Subsequent Proposal section, enter the dates and

amounts being requested for the continuation; enter the cumulative dates

and amount in the final row.

Non-Competing Continuation (NIH) – A proposal for funding for the next phase of an incrementally (one-year increments are typical) funded award. For example, some awards may be initially approved for multiple years but funded in one-year increments. Each year, an application for a non-competing continuation, with a scope of work and budget must be submitted through ORS to the NIH. Applications may be submitted on-line through Grants.gov.

NEW: ORS has developed a new form (ORS Form 8) for submission with most NIH non-competing continuation application/requests in lieu of ORS Form 5. Its purpose is to reduce administrative requirements for PIs. ORS Form 8 replaces ORS Form 5 for most NIH non-competing continuation requests.

When the continuation includes changes to: 1) the level of effort by key personnel, or 2) UH commitments (cost sharing), PIs are required to submit an ORS Form 5 with non-competing NIH continuation/renewal requests.

ORS Form 8 & Instructions are on the ORS Website at http://www.hawaii.edu/ors/

Renewal: A proposal for next competitive funding cycle. For example, if an award for a five-year project has ended, a submission for a renewal might request funding for years six through 10. In the ORS Form 5, renewals are treated as competing continuations (above).

Instructions for Table: In the Initial Proposal section, enter the dates and

amount of the initial award; In the Subsequent Proposal section, enter

the dates and amount being requested for the renewal; enter the cumulative

dates and amount in the final row.

Supplemental: A proposal to add work and budget to an existing award. A supplemental request may be competing or non-competing. A competing supplemental request is subject to peer review. A non-competing supplemental request is handled administratively.

Instructions for Table: In the Initial Proposal section, enter the dates and

amount of the initial award (which may be different than those

proposed); In the Subsequent Proposal section, enter the dates and

amounts being requested for the supplemental request; enter the

cumulative dates and amount in the final row.

Proposed Activity

If your proposal does not fit within the categories defined in this section, it is possible that it should not be submitted through ORS. If you have any questions, call the eRA HelpDesk at 956-5198 (email at erahelpline@ors.hawaii.edu)

Research and Development – A systematic, intensive study intended to increase knowledge or understanding of the subject studied, a systematic study specifically directed toward applying new knowledge to meet a recognized need, or a systematic application of knowledge to the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

Training – A specific instructional activity, including activities involving the teaching of research techniques as the primary purpose of the award. Where training of post-docs or students is part of a research project, the proposed activity should be identified as “Research and Development.”

Other Sponsored Activity – The performance of work that does not fit into the other categories for which extramural support is being sought. Such activities may include extension services, performances, exhibitions, conferences or workshops, consultation services relating to existing programs or services, small business development centers, etc.

F Facilities Construction/Renovation – The construction or acquisition of facilities (buildings or major renovations) in which title to the facilities passes to UH.

Equipment/Instrumentation – The fabrication or acquisition of equipment or other instrumentation in which title passes to UH.

Operations of Research Facilities – The operation and maintenance of research facilities or equipment such as telescopes, large computing centers, ocean-going vessels, etc. If 50% of the project scope involves the conduct of research, choose “Research and Development.”

PI Certifications: Commitments

Cost sharing (also called cost matching or in-kind contributions) refers to resources contributed or allocated by UH (or another third party) to a sponsored project over and above the support provided by the sponsor. Cost sharing commitments made in a proposal are legally binding commitments made by UH to the sponsor.

UH may share the cost of a sponsored project when such costs are:

§ Required by the sponsor and consistent with the UH mission of supporting the search for and dissemination of knowledge, or

§ Otherwise determined to be an appropriate use of resources by UH officials.

Cost sharing increases administrative burden and risk of adverse audit findings for UH. Therefore, voluntary cost sharing should be avoided, when possible.

Check the appropriate box (1, 2 and/or 3) if your proposal includes:

Any cost sharing or in-kind UH contributions, and provide the percentage of budget and dollar value of the UH commitment;

Commitments from UH department(s) other than that of the PI, and submit a completed and appropriately endorsed ORS Form 5a; and/or

Commitments from non-UH sources, and submit a letter of commitment from each source that details the nature and scope of the commitment.

All details (who, what, when, how much) relating to cost sharing must be described in the budget justification or on a separate sheet appended to the submission.

UH cost-sharing policies and procedures are documented in administrative procedure APM A8.947 and A8.951.

PI Certifications:

Conflict of Interest

Conflict of Interest –

In order to comply with federal regulations and protect the integrity of the University, UH has approved Executive Policy E5.214, which mandates annual conflict of interest disclosure by UH faculty, staff and administrators.

In addition, NSF and PHS regulations apply to the PI and others who are responsible for the design, proposal, conduct or reporting of research. If an investigator or his/her spouse or dependent child holds a Significant Financial Interest (SFI), as defined below, in an entity that could reasonably appear to be affected by the proposed research, this SFI must be disclosed to UH.

An SFI is anything of monetary value, including salary, consulting fees, honoraria or other payments for services, equity interests, and IP rights except:

Salary or remuneration from UH;

Income from seminars, lectures, teaching engagements, service on advisory committees or review panels sponsored by public or nonprofit entities;

Equity interests that (when aggregated for the investigator, spouse and dependent children) do not exceed $10,000 or 5% ownership interest in any single entity; and

Salary, royalties or other payments that (when aggregated for the investigator, spouse and dependent children over the following` 12 months) are not reasonably expected to exceed $10,000.

Check box 1 and/or 2 if this proposal is for NSF or PHS funding (directly or flowing through a third party), or if any potential conflict of interest would exist or appear to exist if an award were made based on this proposal. If either box is checked, complete ORS Form 5b.

Other Certifications

Other Certifications,

continued

Other Certifications,

continued

Other Certifications,

continued

Other Certifications,

continued

F.1 Protection of Human Subjects

To comply with federal regulation, research involving people or information that can identify them must be reviewed, approved and monitored by the UH Committee for Human Studies (CHS). All UH research, regardless of who conducts it (faculty, students, etc.) and who funds it (and even if it is not funded) must be reviewed by the CHS. Some research may be “exempt” (as defined by regulation) from CHS approval and oversight, but only the CHS can make a final determination of exemption. A certification of exemption or approval from the CHS will be required.

Check certification box 1 if your research activities involve people or information that identifies them. If you have received certification of approval or exemption from CHS for this project, submit a copy to ORS. If the proposal will be submitted to the NIH, certification of completion of the NIH Training Module on human subjects protection (http://www.hawaii.edu/irb) by all project personnel is also required. For further information, contact the UH Committee for Human Studies at 956-5007 or visit the CHS Website at http://www.hawaii.edu/irb/index.htm

F.2 Care and Use of Vertebrate Animals

The Institutional Animal Care and Use Committee (IACUC) has been established at UH to ensure compliance with federal that are used in research, teaching/ training, testing and/or exhibition/display. The IACUC will determine whether the proposed use of vertebrate animals for your project is scientifically justifiable and the welfare and treatment of animal subjects are adequately addressed.

Check certification box 2 if your project involves the use of vertebrate animals. Submit a copy of your certification to ORS.

For further information, contact the UH IACUC at 956-4552, or visit the IACUC Website at www.hawaii.edu/ansc/IACUC

F.3 Environmental Health and Safety

At UH, the Environmental Health and Safety Office (EHSO) is responsible for ensuring compliance with federal regulations in the areas of:

Biological Safety, including use of recombinant DNA technology (human tissues, cell lines, etc.), micro-organisms (bacteria, viruses, etc), and import/export of animals and plant materials;

Radiation Safety, including any use of radioactive material and radiation-producing machines (x-rays, microwaves, etc.);

Diving Safety, including any use of compressed gas for scuba diving;

Hazardous Materials Management, including explosive material, water reactive chemicals, flammable liquids or gases, poison gases, organic peroxides, and highly toxic materials; and

Disposal of Hazardous Waste.

Check certification box 3 if your proposed project involves activities, equipment or substances in these categories. EHS approval is required prior to such involvement. If you have received certification of approval from EHSO for this project, submit a copy to ORS.

For further information, contact EHSO at 956-8660 or visit the EHSO Website at www.hawaii.edu/ehso

F.4 Export Controls

Federal regulations enforced by the Department of Commerce, Export Administration Regulations (EAR) (link to Gaines 4-5-04 memo), and the Department of State, International Traffic in Arms Regulations (ITAR) (link to Gaines 3-3-04 memo), prohibit the unlicensed export of specific technologies for reasons of national security or protection of trade.

If UH research involves certain technologies, the EAR and/or ITAR may require UH to obtain approval before allowing foreign nationals to participate in the research or partnering with a foreign company and/or sharing research with persons who are not U.S. citizens or permanent resident aliens. Under ITAR, UH must register with the UH State Department if defense articles (which may include unclassified technical data) or services are manufactured or exported.

Once export controlled data or technology is accepted from the sponsor, investigators have the legal duty to prevent its unlawful “export” outside the US or to foreign nationals residing here. The consequences of violating these regulations can be severe, ranging from loss of research contracts to monetary penalties to jail time for the individual violating these regulations.

PIs are encouraged to consult with the sponsor to determine whether export-controlled technology is being received or developed under the project. Indications of export controls might include sponsor restrictions on disclosure and/or access by foreign nationals.

Check certification box 4 if your proposed project will include or result in export-controlled technology or data.

For further information, contact OTTED at 539-3817 or by email at otted@hawaii.edu. Visit the OTTED website at http://www.otted.hawaii.edu/.

F.5 Lobbying Efforts

Restrictions issued by the Office of Management and Budget (OMB) bar recipients of federal funds from using such funds to lobby sponsoring agency officials or members of Congress for a grant, contract, or other award. Under these rules, UH must certify when applying for or receiving $100,000 or more in federal funds that federally appropriated dollars have not and will not be used to lobby in connection with an award.

Check certification box 5 if lobbying efforts supported your proposal, and append a separate sheet describing the nature and funding source for the lobbying activities.

F.6 Subcontractor Proof of Commitment

Check certification box 6 if a portion of the proposed scope of work will be conducted by a non-UH entity under a subcontract (this entity is referred to as a subrecipient). Do not check this box to reflect services to be provided by a vendor.

The difference between a subrecipient and a vendor is that a subrecipient independently carries out part of a project for which UH has been awarded funds. A vendor may provide goods and services to UH, but is not responsible for independently carrying out a scope of work. Because a subrecipient has responsibility for programmatic decision-making, its performance could affect the ability of UH to meet the obligations of its award. Federal regulations require UH to monitor subrecipient administration of federal funds.

If you checked box 6, you must append to your ORS Form 5 a commitment letter signed by the subrecipient’s Institutional Official accompanied by a statement of work and budget for the subrecipient’s scope of work.

F.7 Risk Management

Some projects involve activity that significantly increases risk to UH. This includes, but is not limited to, studies involving ocean exploration and/or clinical interventions with human subjects. UH has a Risk Management Office that is responsible for reviewing and mitigating potential risks to UH. Advance warning and knowledge of possible risk factors enable a preliminary assessment of risk and exposure to liability for UH. Such knowledge enables UH to take the necessary steps to protect UH interests. Such steps may include the purchase of additional insurance or the inclusion of terms and conditions to the award document.

Check certification box 7 if your proposed project includes medical professionals with human contact, patient care, HIV or other pathogens, use of watercraft, or other hazardous working conditions. Forward to ORS a copy of relevant insurance policies or other documentation of risk mitigation strategies applicable to your project.

For additional information, contact the UH Office of Risk Management at 956-7243.

F-8

Intellectual Property

UH holds the title to intellectual property (IP) developed at the University, and it will only relinquish its ownership in exceptional circumstances. To advise and assist investigators and others with issues and questions pertaining to IP, UH has established an Office of Technology Transfer and Economic Development (OTTED). OTTED is organized to help UH faculty, staff, and students to identify, manage, protect, and commercialize the University’s IP assets.

Check “yes” or “no” on certification 8 to indicate your agreement to accept sponsor requirements to waive or relinquish your rights to IP.

Your answer to this question will serve as your proxy for IP issues if the proposal is funded.

For additional information, contact OTTED at 539-3817 or by email at otted@hawaii.edu. Visit the OTTED website at http://www.otted.hawaii.edu/.

F-9

Publication

Principles of academic freedom provide broad publication and communication rights to university investigators. In certain circumstances, sponsors may seek to restrict publication of specific information.