Procedures Dictionary of Terms

Section:
Chapter:
  • AP 1.202 : Discrimination Complaint Procedure for Students, Employees, and Applicants for Admission or Employment
     Advisor
    Advisor means an individual chosen by a Party to accompany the Party to meetings related to the investigation or resolution process, and to advise the Party on that process.
    Appeal Officer
    Appeal Officer means an impartial individual who has decision-making and sanctioning authority within the University's appeal process. The Appeal Officer is not the same person as the Decision Maker that reached the determination regarding responsibility.
    Complainant
    Complainant means an individual who is alleged to be the victim of conduct that could constitute Prohibited Behavior as defined in EP 1.202 or EP 1.204.
    Complaints
    Complaints are allegations submitted to a Coordinator alleging violations of EP 1.202 or EP 1.204.
    Coordinator
    Coordinator is at least one official designated by the University to ensure compliance with the University’s applicable nondiscrimination policies and procedures. References to the Coordinator throughout this procedure may include the Equal Employment Opportunity (EEO) or Title IX Coordinator, the Senior Student Affairs Officer, or a designee of the Coordinator for specific tasks.
    Decision Maker
    Decision Maker means an impartial individual(s) who has decision-making and sanctioning authority within the University’s investigation process.
    Fact-Finding Report
    Fact-Finding Report is a report synthesized and compiled by the Investigator(s). It includes but is not limited to a summary of the allegations of the Complainant, statements made by the Complainant, Respondent, and other relevant witnesses, any documentary evidence, and a statement of relevant facts.
    Finding
    Finding is a conclusion, by the Preponderance of the Evidence, that the conduct did or did not occur as alleged, and whether the conduct violated a University policy.
    Cause Finding is a conclusion by the Decision Maker that there is sufficient evidence to support a finding of a violation of University policy, (i.e., finding that the Preponderance of the Evidence, based on the investigation, supports the allegations of discrimination).
    No Cause Finding is a conclusion by the Decision Maker that there is insufficient evidence to support a finding of a violation of University policy (i.e., finding that the Preponderance of the Evidence, based on the investigation, does not support the Complainant’s allegations of discrimination).
    Investigator
    Investigator means a neutral individual(s) assigned by the Coordinator to gather facts, including documentary evidence, assess relevance, synthesize the evidence, and compile the information into a fact-finding Report.
    Parties or Party
    Parties mean the Complainant(s) and Respondent(s), collectively.
    Party refers to either the Complainant or Respondent, separately.
    Preponderance of the Evidence
    Preponderance of the Evidence is the standard of review used in determining whether alleged Prohibited Behavior violates either of the Policies.
    Prohibited Behavior
    Prohibited Behavior means any behavior prohibited under EP 1.202 or EP 1.204.
    Remedies
    Remedies are post-finding actions directed to the Complainant and/or the community as mechanisms to address safety, prevent recurrence, and restore or preserve equal access to the University’s educational program and/or employment.
    Respondent
    Respondent means an individual who has been reported to be the alleged perpetrator of conduct that could constitute Prohibited Behavior under EP 1.202 or EP 1.204.

  • AP 1.204 : Interim Title IX Sexual Harassment Grievance Process

    Advisor means an individual chosen by a party or appointed by the University, as applicable, to accompany the party to meetings related to the grievance process, to advise the party on that process, and/or to conduct cross-examination for the party at the live hearing, if any.

    Complainant means an individual who is alleged to be the victim of conduct that could constitute sexual harassment as defined in EP 1.204. A complainant must be participating in, or attempting to participate in, an education program or activity of the University at the time of filing a formal complaint.
    Decision Maker means an impartial individual(s) who has decision-making and sanctioning authority within the University’s grievance process. A decision maker can be either an individual or a panel.

    Education program or activity means locations, events, or circumstances over which the University exercises substantial control over both the Respondent and the context in which the Prohibited Behavior occurs and also includes any building owned or controlled by a student organization that is officially recognized by the University.

    Final Determination means a conclusion by the preponderance of the evidence that the alleged conduct occurred and whether it did or did not violate policy.

    Finding is a conclusion by the preponderance of the evidence that the conduct did or did not occur as alleged.

    Formal Complaint means a document filed by the Complainant or signed by the Title IX Coordinator alleging sexual harassment, as defined in EP 1.204, against a Respondent and requesting that the University investigate the allegation(s). “Document filed by the Complainant” means a document or electronic submission (such as by electronic mail or through an online portal provided for this purpose by the University) that contains the Complainant’s physical or digital signature, or otherwise indicates that the Complainant is the person filing the complaint.

    Investigator means an individual assigned by the Title IX coordinator to gather facts, assess relevance, synthesize the evidence, and compile the information into an investigation report.

    Parties mean the Complainant(s) and Respondent(s), collectively.

    Remedies are post-finding actions directed to the Complainant and/or the community as mechanisms to address safety, prevent recurrence, and restore or preserve equal access to the University’s educational program.

    Respondent means an individual over whom the University has substantial control and who has been reported to be the perpetrator of conduct that could constitute sexual harassment as defined in EP 1.204.

    Title IX Coordinator is at least one official designated by the University to ensure compliance with Title IX and the University’s Title IX program. References to the Coordinator throughout this policy may also encompass a designee of the Coordinator for specific tasks.

    Administrative Procedure

    Grievance Process: General Provisions

    The University has the burden of proof and the burden of gathering relevant and sufficient evidence to reach a determination regarding responsibility.

    The University will not access, consider, disclose, or otherwise use a party’s records that are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in the professional’s or paraprofessional’s capacity, and which are made or maintained in connection with the provision of treatment to the party, unless the party provides voluntary written consent to do so for the grievance process under this Policy.

    The parties have an equal opportunity to present witnesses, including fact and expert witnesses, and other inculpatory and exculpatory evidence.

    The parties may have an advisor of their choice during the grievance process, including during initial meetings or interviews and investigative meetings or interviews.

    Anyone who is asked to participate in an investigative interview or other meetings will be provided with written notice including the date, time, location, purpose and names of those participating in said interview or meeting with sufficient time to prepare to participate.

    The grievance process or any time frames therein may be temporarily delayed or extended for good cause with written notice to the Complainant and the Respondent of the delay or extension and the reasons for the action. Good cause may include, but is not limited to, considerations such as the absence of a party, a party’s advisor, or a witness; concurrent law enforcement activity; or the need for language assistance or accommodation of disabilities.

    To ensure that the University is able to gather evidence sufficient to reach a determination and to respond promptly and appropriately to sexual harassment, formal complaints must be filed with the Title IX Coordinator within three (3) years of the most recent incident of alleged sexual harassment, unless it can be demonstrated that there is good cause for a later filing. The Title IX Coordinator will decide if good cause exists.

    Complainant Initiated Investigation:

    When the Complainant files a formal complaint with the Title IX Coordinator, the Title IX Coordinator will make an initial determination that the formal complaint is sufficient to move forward under EP 1.204.

    If the formal complaint is sufficient, the Title IX Coordinator will initiate the Grievance Process by appointing a neutral investigator(s), who has no conflict of interest or bias for or against any of the parties, to conduct an investigation.

    The formal complaint may be filed with the Title IX Coordinator in person, by mail, or by electronic mail, by using the official contact information for the Title IX Coordinator.

    University Initiated Investigation:

    Under certain circumstances the University may initiate an investigation even absent a formal complaint or if the formal complaint has been withdrawn. The determination whether to initiate an investigation on behalf of the University shall be made by the Title IX Coordinator. When moving forward with a University Initiated Investigation, the Title IX Coordinator will sign a formal written complaint and then appoint a neutral investigator(s), who has no conflict of interest, or bias for or against any of the parties, to conduct an investigation.

    The
    title IX Coordinator is not the Complainant or a Party in a University Initiated Investigation and still serves as a neutral individual.

    In making the determination to conduct a University Initiated Investigation, the Title IX Coordinator will consider the frequency, nature, or severity of the allegations, the existence of a withdrawn formal complaint or Complainant’s refusal to participate in the investigation, the age of the parties involved, whether the allegations include violence, threat, pattern, or predation, the existence of prior or other similar complaints against the
    Responding Party, and the existence of actual or threatened use of a weapon.

    Consolidation of Formal Complaints

    The Title IX Coordinator may consolidate formal complaints as to allegations of sexual harassment against more than one respondent, or by more than one complainant against one or more respondents, or by one party against the other party, where the allegations of sexual harassment arise out of the same facts or circumstances.

    Dismissal of Formal Complaints

    Under certain circumstances, formal complaints can be dismissed prior to or during the grievance process. Only the Title IX Coordinator may decide to dismiss a formal complaint.

    Mandatory Dismissal

    The University must dismiss a formal complaint, or any allegations therein, if at any time during the grievance process it is determined that:

    The conduct alleged in the formal complaint would not constitute sexual harassment as defined in EP 1.204, even if proved; and/or

    The conduct did not occur in an educational program or activity controlled by the University (including buildings or property owned or controlled by recognized student organizations), and/or

    The University does not have control of the Respondent; and/or

    The conduct did not occur against a person in the United States; and/or

    At the time of filing a formal complaint, a complainant is not participating in or attempting to participate in the education program or activity of the University.

    Discretionary Dismissal

    The University may dismiss a formal complaint or any allegations therein if, at any time during the grievance process:

    A Complainant notifies the Title IX Coordinator in writing that the Complainant would like to withdraw the formal complaint or any allegations therein; or

    The Respondent is no longer enrolled in or employed by the University; or

    Specific circumstances prevent the University from gathering evidence sufficient to reach a determination as to the formal complaint or allegations therein.

    Notice of Dismissal and Appeal Rights

    Upon any dismissal, the Title IX Coordinator will promptly send written notice of the dismissal and the reason for doing so simultaneously to the parties.

    The dismissal decision is appealable by any party under the procedures for appeal below.

    Dismissal of one type of conduct charge does not affect or preclude proceeding with all other misconduct charges that may be at issue.

    Informal Resolution

    Any time after a formal complaint has been submitted, and prior to reaching a determination following a hearing, the Complainant and Respondent may agree to informally resolve the complaint through an alternate resolution mechanism, such as, but not limited to,
    facilitated discussions, mediation, hoʻoponopono, etc.

    Informal resolution is not available unless a formal complaint has been filed.

    Informal resolution is not available where it has been alleged that an employee sexually harassed a student.

    Any party participating in informal resolution can stop the process at any time and choose to begin or resume the grievance process.

    Prior to facilitating an informal resolution, the University will provide the parties with a written notice disclosing:

    The allegations;

    The requirements of the informal resolution process including the circumstances under which it precludes the parties from resuming a formal complaint arising from the same allegations, provided, however, that at any time prior to agreeing to a resolution, any party has the right to withdraw from the informal resolution process and resume the grievance process with respect to the formal complaint;

    Any consequences resulting from participating in the informal resolution process, including the records that will be maintained or could be shared by the University.

    The University will obtain voluntary, written confirmation that all parties wish to resolve the matter through an informal resolution before proceeding and shall not pressure the parties to participate in informal resolution.

    The
    title IX Coordinator will keep a record of any resolution that is reached, and failure to abide by the resolution agreement may result in appropriate responsive/disciplinary actions.

    Advisors Generally

    The University generally expects an advisor to be available to attend University meetings when planned but may change scheduled meetings to accommodate an advisor’s schedule, if doing so does not cause an unreasonable delay.

    Advisors shall not disrupt proceedings. If the advisor is disruptive or otherwise fails to respect the limits of the advisor role, the meeting will be ended, or other appropriate measures implemented. Advisors are expected to comply with all University policies and procedures.

    Advisors shall maintain the privacy of any information, including documents, shared with them. Such information shall not be shared with third parties, disclosed publicly, used outside of the grievance process, and/or used for unauthorized purposes. The University may restrict the role of any advisor who fails to abide by the University’s privacy expectations.

    Investigation Process

    Notice of Allegations and Investigation

    Upon receipt of a formal complaint, the Title IX Coordinator will provide written notice of the allegations and investigation to the parties. The notice will include:

    Information about and a copy of this procedure, including the informal resolution process;

    The identity of the involved parties (if known);

    A summary of the allegations, including sufficient details known such as the conduct allegedly constituting sexual harassment under EP 1.204, the date and location of the alleged incidents, if known at the time;

    A statement that Respondent is presumed not responsible for the alleged conduct and that a determination regarding responsibility is made at the conclusion of the grievance process;

    Statement that the parties may have an advisor of their choice;

    Information that the parties may inspect and review all directly related evidence during the review and comment period;

    A statement regarding the code of conduct and consequences for making false statements;

    Any other policies and/or procedures implicated, with a copy of those policies and procedures;

    A statement about the University’s
    policy on non-retaliation;

    The name(s) of the investigator(s) and their
    contact information.

    Amendments and updates to the notice may be made as the investigation progresses and more information becomes available regarding the addition or dismissal of various charges.

    Notice will be made in writing. Once mailed or emailed, notice will be presumptively delivered.

    Appointment of Investigators

    Upon commencing an investigation into a formal complaint, the
    title IX Coordinator will appoint an Investigator(s).

    The Title IX Coordinator will vet the assigned Investigator(s) to ensure there are no actual or apparent conflicts of interest or disqualifying biases.

    Steps in the Investigation Process The Investigator(s) will:
    Interview the Complainant, Respondent, relevant witnesses, and individuals with unique knowledge pertinent to the allegations in the notice of allegations and investigation, in

    order to gather and ascertain case facts and circumstances; and

    Collect all relevant evidence including documents, notes, electronic records, photographs, and any other materials relevant to the investigation offered by any party or witness and will seek to collect relevant evidence from other sources; and


    Prior to the conclusion of the investigation, provide the parties an opportunity to inspect and review any evidence obtained as part of the investigation that is directly related to the allegations, including the evidence upon which the recipient does not intend to rely in reaching a determination regarding responsibility and inculpatory or exculpatory evidence whether obtained from a party or other source, so that each party can meaningfully respond to the evidence prior to the conclusion of the investigation; and

    Prior to the completion of the investigative report, send to the parties and their advisors, if any, the evidence directly related to the allegations that is subject to inspection and review, in an electronic format or a hard copy1 and provide them with ten (10) business days to submit a written response;

    Consider the parties’ written comments on the evidence prior to completion of the investigative report; and

    Create an investigative report that fairly summarizes relevant evidence.

    Investigation Timeline

    The Investigator(s) shall seek to complete the first two steps of investigation process, outlined in section H.3.a. and b. above, within ninety (90) business days of their assignment. Some investigations may take longer, depending on the nature, extent, and complexity of the allegations, availability of witnesses, etc.




    1 May be sent using a file sharing platform that restricts parties and advisors from downloading or copying the evidence. Additionally, parties and their advisors may be required to refrain from disseminating the evidence or may be required to sign a non-disclosure agreement prior to being given a copy of the evidence.

    The University will make a good faith effort to complete investigations as promptly as circumstances permit. If an extension becomes necessary for good cause, the Investigator(s) will notify the parties in writing of any extension and the reason for the extension.

    Good cause may include, but is not limited to, ensuring the integrity and completeness of the investigation, complying with a request by external law enforcement, accommodating the availability of witnesses, or delays by the parties, or for other legitimate reasons.


    Investigation Interviews

    The parties may have an advisor accompany them to any investigation interview that they attend. Advisors are not permitted to speak for the party nor dictate the line or rationale of questioning. The parties are expected to inform the Investigator(s) of the name of their advisor as soon as possible.

    Involved parties, e.g., the Complainant, the Respondent, or witnesses, will not be allowed to be present during the interviews of others

    Live Hearings

    Upon completion of the investigation, and provided the complaint is not resolved through other means, the Title IX coordinator will refer the matter for a live hearing.

    At least fifteen (15) business days prior to a hearing, the Title IX Coordinator will send to each party and the party’s advisors, if any, the final investigative report for their review and written response. If a party chooses to provide a written response, it must be provided to the Title IX coordinator at least five (5) business days before the hearing.

    Any evidence obtained in the investigation that is directly related to the allegations, including the evidence upon which the University does not intend to rely, will be available at the hearing for the parties to inspect and review.

    4, Evidence that was not gathered and presented during the investigation cannot be introduced at the hearing, unless good

    cause can be shown as to why the evidence was not previously provided.

    The
    title IX Coordinator may serve as an administrative facilitator of the live hearing if their previous role(s) in the matter do not create a conflict of interest. Otherwise, a designee may fulfill this role.

    Appointment of Decision Maker

    The Title IX Coordinator has the discretion to designate a single Decision Maker or a three-member panel. If a panel is used, the Title IX Coordinator will appoint one of the three members as the Chair of the hearing.

    The Decision Maker or panel members will not have had any previous involvement with the investigation.

    Date, Time, Location of Hearing

    The hearing will be held no sooner than fifteen (15) business days after the transmission of the final investigation report to the parties and Decision Maker(s).

    No less than ten (10) business days prior to the hearing, the Title IX Coordinator will inform the parties in writing of the time, date, and location of the hearing and the name(s)/title(s) of the Decision Maker(s). Once mailed or emailed, notice will be presumptively delivered.

    Pre-Hearing Meetings

    The Decision Maker/Chair may convene a pre-hearing meeting(s) with the parties and/or their advisors to discuss the hearing order. To expedite the cross-examination process, the Chair may invite the parties to submit draft questions that they wish to ask at the hearing. If the parties choose to submit draft questions, the Chair will thereafter review the questions to determine relevancy in preparation for the hearing and thereafter provide a ruling and rationale at the hearing.

    Advisor’s Role in Hearings

    The parties must have an advisor to conduct cross- examination during a hearing as the parties are not permitted to directly cross-examine each other or any witnesses.

    Parties may choose their own advisor and must provide the
    title IX Coordinator with the name and
    contact information of their hearing advisor before the hearing.

    If a party does not have an advisor for the live hearing, the University will provide, without fee or charge to that party, an advisor of the University’s choice. This advisor shall conduct cross-examination on behalf of that party.

    If one party chooses to have an attorney as their advisor, the University is under no obligation to provide an attorney for the other party.

    Each advisor will be permitted to ask all relevant questions and follow-up questions of the other party and any witnesses. If a party decides not to participate in the hearing, the University will still appoint an advisor to conduct cross-examination for that party.

    Cross-examination during the hearing

    Each party’s advisor shall be allowed to ask the other party and any witnesses all relevant questions and follow up questions, including those challenging credibility. Such cross-examination at the live hearing must be conducted directly, orally, and in real time by the partyʻs advisor of choice and never by a party personally.

    Only relevant cross-examination and other questions may be asked of a party or witness.

    Before a complainant, respondent, or witness answers a cross-examination or other question, the Decision Maker(s) must first determine whether the question is relevant and explain any decision to exclude a question as not relevant.

    Questioning must be done in a respectful and non-abusive manner.

    Questions and evidence about the Complainantʻs sexual predisposition or prior sexual behavior are not relevant, unless such questions and evidence about the
    Complainantʻs prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged by the Complainant, or if the questions and evidence concern specific incidents of the Complainantʻs prior sexual

    behavior with respect to the Respondent and are offered to prove consent.

    At the request of either party, or at the discretion of the University, the live hearing may occur with the parties located in separate rooms with the technology enabling the Decision Maker(s) and parties to simultaneously see and hear the party or the witness answering questions.

    The University shall create an audio or audiovisual recording or transcript of any live hearing to be made available to the parties for inspection and review within a reasonable period of time after completion of the hearing.





    Determination Regarding Responsibility

    The Decision Maker(s) will make an objective evaluation of all relevant evidence to decide whether, by a preponderance of the evidence, the Respondent is responsible or not responsible for each of the alleged policy violation(s) in question. If a panel is used, a simple majority vote is required for each finding, including sanctions.

    If there is a finding of responsibility, the Decision Maker(s) will consult with other appropriate administrators as necessary to review any pertinent disciplinary/conduct history and to decide on appropriate sanction(s).

    The Decision Maker(s) shall seek to issue a written determination within thirty (30) business days of completion of the hearing. The determination must be provided to the parties simultaneously and must include the following:

    Identification of the allegations potentially constituting sexual harassment under EP 1.204;

    A description of the procedural steps taken from receipt of the formal complaint through the determination, including any notification to the parties, interviews with parties and witnesses, site visits, methods used to gather other evidence, and hearings held;


    Findings of fact supporting the determination;

    Conclusions regarding the application of the EP 1.204 to the facts;

    A statement of and rationale for the result as to each allegation, including a determination regarding responsibility, any disciplinary sanctions imposed on the Respondent, and whether remedies designed to restore or preserve equal access to the University’s education program or activity will be provided to the Complainant;

    The procedure and permissible bases for both parties to appeal the determination.

    Sanctions

    The University reserves the right to impose any level of sanction, ranging from a reprimand up to and including suspension or expulsion/termination, for any offense under this policy.

    Factors in Determining Sanctions

    Factors to be considered when determining a sanction/responsive action may include, but are not limited to:

    The nature, severity of, and circumstances surrounding the violation(s);

    The Respondent’s disciplinary history;

    Previous allegations or allegations involving similar conduct;

    The need for sanctions/responsive actions to bring an end to the harassment, and/or retaliation;

    The need for sanctions/responsive actions to prevent the future recurrence of discrimination, harassment, and/or retaliation;

    The need to remedy the effects of the discrimination, harassment, and/or retaliation on the Complainant and the community;

    The impact on the parties;

    Any other information deemed relevant by the Decision Maker(s).

    The sanctions will be implemented as soon as is feasible, either upon the outcome of any appeal or the expiration of the window to appeal without an appeal being requested.

    Student Sanctions

    The following sanctions may be imposed upon students singly or in combination:

    Warning: A formal statement that the conduct was unacceptable and a warning that further violation of any University policy, procedure, or directive will result in more severe sanctions/responsive actions.

    Required Counseling: A mandate to meet with and engage in either University-sponsored or external counseling to better comprehend the misconduct and its effects.

    Probation: A written reprimand for violation of institutional policy, providing for more severe disciplinary sanctions in the event that the student or organization is found in violation of any institutional policy, procedure, or directive within a specified period of time. Terms of the probation will be articulated and may include denial of specified social privileges, exclusion from co-curricular activities, exclusion from designated areas of campus, no-contact orders, and/or other measures deemed appropriate.

    Suspension: Termination of student status for a definite period of time not to exceed two years and/or until specific criteria are met. Students who return from suspension are automatically placed on probation through the remainder of their tenure as a student at the University.

    Expulsion: Permanent termination of student status and revocation of rights to be on campus for any reason or to attend University-sponsored events. It will be noted permanently, subject to any applicable expungement policies, as a Conduct Expulsion on the student’s official transcript.

    Withholding Diploma: The University may withhold a student’s diploma for a specified period of time and/or deny a student’s participation in commencement activities if the

    student has an allegation pending or as a sanction if the student is found responsible for an alleged violation.

    Revocation of Degree: The University reserves the right to revoke a degree previously awarded from the University for fraud, misrepresentation, and/or other violation of University policies, procedures, or directives in obtaining the degree, or for other serious violations committed by a student prior to graduation.

    Organizational Sanctions: Deactivation, loss of recognition, loss of some or all privileges (including University registration) for a specified period of time.

    Other Actions: In addition to or in place of the above sanctions, the University may assign any other sanctions as deemed appropriate.

    Employee Sanctions

    Discipline may be imposed in accordance with the applicable collective bargaining agreements. Possible discipline may include:

    Reprimand – Verbal or Written

    Loss of Oversight or Supervisory Responsibility

    Demotion

    Suspension

    Termination

    Other actions in addition to or in place of the above sanctions as deemed appropriate.

    Remedial Actions and Educational Refresher Programs

    When appropriate, remedial actions may be offered to the parties, including, but not limited to, no contact orders, management directions to employees, campus security/public safety escort, changes in schedules, changes in assignments, counseling, assistance with academic services, and other actions that the decision maker(s) deems appropriate.

    When appropriate, an employee or student may be required to participate in educational refresher programs. Educational refresher programs may be required as part of the
    University’s goal to prevent the recurrence of inappropriate conduct.

    Relevant information remains on an employee’s personnel records in accordance with the applicable collective bargaining agreement.

    Appeals

    Both parties have equal rights to an impartial appeal from the University’s dismissal of a formal complaint or any allegation therein or from a determination of responsibility under this
    policy and procedure.

    For an appeal to be considered timely, it must be submitted to the Title IX coordinator within five (5) business days after the date the written determination was received by the parties.

    An appeal shall be in writing, cite the basis for the appeal, and explain why the party believes there is a basis for the appeal.

    Appeals are limited to the following bases:

    Procedural irregularity that affected the outcome of the matter;

    New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter; or

    The
    title IX coordinator, investigator(s), or decision maker(s) had a conflict of interest or bias for or against complainants or respondents generally or the specific complainant or respondent that affected the outcome of the matter.

    If an appeal is filed, the Title IX coordinator will notify the other party in writing of the appeal and the basis. The other party may submit a response to the appeal within five (5) business days from the date they received the appeal.

    Within five (5) business days of the deadline for a response, the
    title IX Coordinator shall forward the appeal, any response, and the record to an appropriate appeals officer, who is not the same person as the Decision Maker(s) that reached the determination

    regarding responsibility or dismissal, the investigator(s), or the Title IX Coordinator.

    The appeals officer will examine the information presented. Within twenty (20) business days from the date the appeals officer received the information, the appeals officer will:

    Deny the appeal and uphold the original decision;

    Grant the appeal and remand the case because of procedural irregularities that affected the outcome of the matter;

    Grant the appeal and remand the case because new evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made could affect the outcome of the matter;

    Grant the appeal and remand the case because the Title IX Coordinator, investigator(s), or decision maker(s) had a conflict of interest or bias for or against complainants or respondents generally or the specific complainant or respondent that affected the outcome of the matter; or

    The appeals officer shall draft a determination of appeal explaining the rationale for the determination. The determination of appeal shall be promptly sent to the parties simultaneously.

  • AP 2.201 : New or Amended Policies and Procedures
     No policy specific or unique definitions apply.

  • AP 2.202 : Background Check Process for University Community Members and Non-UH Volunteers
     The definitions of the following terms have the meanings assigned to such terms in the EP 2.202 Safety and Protection of Minors Policy:  

    Background Check Coordinator
    Covered Person
    Covered Program
    Covered Program Minor
    Responsible Campus Official
    Covered Program Administrator
    Mandated Reporter
    University Community Member
    University-affiliated Organizations
    Non-UH Volunteer

  • AP 2.215 : Mandatory Training on Data Privacy and Security
    1. “General Confidentiality Notice” (“GCN”) – The GCN is completed as part of the onboarding process for new UH employees and outlines the responsibilities of Data Users with access to Protected Data. http://www.hawaii.edu/its/acer/

    2. “Information Security Awareness Training” (“ISAT”) – The ISAT covers best practices for protecting the privacy and security of Protected Data and applicable federal and state laws and regulations and related UH policies and procedures.
      http://www.hawaii.edu/its/acer/

    3. “Institutional Data Systems” – They are UH systemwide repositories that collect and store data that are created, received, maintained and/or transmitted by the University of Hawai’i in the course of meeting its administrative and academic requirements (e.g., Banner Student Information System, PeopleSoft, Kuali Financial System, STAR, Laulima, etc.).

      A listing of Institutional Data Systems and associated System Executive Data Stewards is available at the following site. Note the list is not intended to be all-inclusive of the University’s Institutional Data Systems, but rather, represents Institutional Data Systems that most likely contain Protected Data.
      http://go.hawaii.edu/ueP

    4. “Protected Data” – These are data that are subject to security and privacy considerations (i.e., all non-public data). They fall under the Institutional Data Classification Categories of “restricted,” “sensitive,” and “regulated.” For more information, refer to Executive Policy EP2.214, Institutional Data Classification Categories and Information Security Guidelines.


  • AP 3.101 : Organizational and Functional Changes
     <No Procedure specific definitions.>

  • AP 5.504 : Procedures for Disclosing and Addressing Conflicts of Interest and Commitment
     <No Procedure specific definitions.>

  • AP 7.021 : Procedure for Release of Student Biographical Data to Employers
     <No Procedure specific definitions.>

  • AP 7.022 : Administrative Procedure, AP 7.022 Procedures Relating to Protection of the Educational Rights and Privacy of Students
       A. “Authorized representative” means any entity or individual designated by a state or local educational authority or an agency headed by an official listed in Section III-J-1 to conduct, with respect to Federal- or State-supported education programs, any audit, evaluation, or compliance or enforcement activity in connection with Federal legal requirements that relate to these programs.

      B. “Custodian of Education Records” means the registrar and administrative heads of offices in which education records are kept.  The types of education records and the administrative office to contact are listed in Appendix A for each campus.

      C. “Days” means calendar days.

      D. “Directory Information” is more specifically defined in III-F.  The University has designated categories of information as directory information if public disclosure of that category is not generally considered to be harmful or an invasion of privacy.

      E. “Education record” means all records, files, documents, and other materials in both paper and electronic formats maintained by the University, which contain information directly related to a student.  Excluded are the following:

        1. Records that are kept in the sole possession of the maker, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the record;
         
        2. Confidential communication protected by law;
       
        3. Records maintained by law enforcement units on a campus, used only for law enforcement purposes, which are kept apart from the education records, and are available only to law enforcement officials of the same jurisdiction;

        4. University of Hawai’i personnel employment records, but not student employment records;

        5. Records made and maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional solely in connection with the treatment of a student and which may be reviewed by a physician or other appropriate professional of the student’s choice; or

        6. Records created by an alumni association, University of Hawai’i Foundation, or similar organization which contain only information relating to a person after that person is no longer in attendance at a campus of the University of Hawai’i.

      F. “Executive Data Stewards” for education data are System and Campus Executive Data Stewards as defined in Executive Policy EP 2.215, Institutional Data Governance. They are accountable for the use and management of student-related data at their respective campus or within the Institutional Data System under their purview and are considered University Officials. Refer to section III-I-2 for more details.

      G. “Institutional Data Systems” are defined as systemwide repositories that collect and store data that are created, received, maintained and/or transmitted by the University of Hawai’i in the course of meeting its administrative and academic requirements.

      H. “Legitimate educational interest” means that access to an education record is required for the purpose of performing an appropriate educational, research or administrative function of the University.

      I. “Personally identifiable information” means data or information in an education record, or a combination of data or information that when considered together, would identify a student. Such data or information includes, but are not limited to: the name of the student, the names of the student’s parents or other family members; a personal identifier such as the student’s social security number; or a combination of data elements that would identify the student.

      J. “President” means the president of the University of Hawai’i and shall include the president’s designees.

      K. “Restricted data” refers to data which may be freely used for educational and administrative purposes within the UH community (i.e., by students, faculty, and staff), but will not be released to external parties without student consent or a memorandum of agreement. Restricted data includes, but are not limited to, student address, phone number, and UH email address. For more information on restricted data, refer to UH’s Data Classification Categories.

      L. “Right to inspect” means the right of a student or a designated representative to inspect that student’s education records under the supervision of University personnel.

      M. “Student” means any individual who is or has been registered and is or has been in attendance at any campus of the University of Hawai’i, exclusive of the University of Hawai’i Laboratory School and University sponsored child care centers. An applicant for admission shall not be considered a student with respect to the unit to which the application has been made, even though that individual may be considered a student with respect to another unit of the University which that student has attended. The records of an applicant for admission shall be subject to the provisions of state law.

      N. “Student employee” means any student who is employed by the University of Hawai’i and paid in accordance with the University’s student employment classification and pay system.

      O. “University” means each of the institutions and the UH System Office that fall under the jurisdiction of the Board of Regents, including any administrative sub-unit with custodial responsibility for student education records.

      P. “University Officials” are those members of an institution who act in the student’s educational interest within the limitations of their legitimate educational interests.  These may include faculty, administrative employees, and other persons who manage student education record information including campus law enforcement personnel and student employees. University Officials may also include organizations, contractors, volunteers, and others performing institutional services or functions that the institution would normally do itself.

      Q. “Vice Chancellor for Student Affairs” means the chief student affairs officer on each campus or that officer’s designee.

  • AP 8.025 : Fiscal Responsibilities within the University
     A.  Fiscal Administrator/Assistant Fiscal Administrator – The term "Fiscal Administrator" is a working title not descriptive of any one position, but rather refers to that group or class of persons who perform the business and fiscal administration functions for a particular University unit.  These persons may occupy positions with such job titles as Vice Chancellor of Administration, Director of Administrative Services, Assistant Dean, Assistant Director, and other positions within the APT Institutional Support Career Group.

    B.  Fiscal Office (FO) Code - Three character code assigned by the Financial Management Office representing a specific functional unit administered by a designated Fiscal Administrator.

    C.  Fiscal Transaction – Refers to financial activity processed and/or recorded in the University’s various systems such as the Kuali Financial System, Banner Student Information System, MyGrant, PeopleSoft, and eTravel.  The term may also refer to financial data in reporting systems such as Discoverer, PageCenterX, and eThority.

    D.  Functional Unit - Any campus, college, school, department, program or unit of the University of Hawai‘i.

    E.  Principal Investigator/Project Director (PI/PD) – The Principal Investigator/Project Director named on the sponsored award.

    F.  Program   Head – Program  heads  are  leaders  of  functional units, e.g., college, division,  department, center,  administrative area and may include, but are not limited to, department chairs, Deans, Directors, Vice Chancellors, Vice Presidents, Chancellors and the President.

    G.  Purchasing Authority – Authority granted to designated individuals to execute contractual documents for procuring goods, services, and construction up to specified amounts. Only University personnel specifically delegated purchasing authority are authorized to contractually commit the University and only within the limits of their purchasing authority.

  • AP 8.026 : Appointment of Fiscal Administrators and Assistant Fiscal Administrators
     A.  Fiscal Administrator/Assistant Fiscal Administrator – The term "Fiscal Administrator" is a working title not descriptive of any one position, but rather refers to that group or class of persons who perform the business and fiscal administration functions for a particular University unit.  These persons may occupy positions with such job titles as Vice Chancellor of Administration, Director of Administrative Services, Assistant Dean, Assistant Director, and other positions within the APT Institutional Support Career Group.

    B.  Fiscal Office (FO) Code - Three character code assigned by the Financial Management Office representing a specific functional unit administered by a designated Fiscal Administrator.

    C.  Principal Investigator/Project Director (PI/PD) – The Principal Investigator/Project Director named on the sponsored award.

    D.  Program Head – Program  heads  are  leaders  of  functional units, e.g., college, division,  department, center,  administrative area and may include, but are not limited to, department chairs, Deans, Directors, Vice Chancellors, Vice Presidents, Chancellors  and the President.

    E.  Purchasing Authority – Authority granted to designated individuals to execute contractual documents for procuring goods, services, and construction up to specified amounts. Only University personnel specifically delegated purchasing authority are authorized to contractually commit the University and only within the limits of their purchasing authority.

  • AP 8.200 : Overview
     <No Procedure specific definitions.>

  • AP 8.215 : Definitions
     <No Procedure specific definitions.>

  • AP 8.220 : General Principles
     <No Procedure specific definitions.>

  • AP 8.225 : Limitations in Purchasing
     <No Procedure specific definitions.>

  • AP 8.230 : Contracting for Services
     <No Procedure specific definitions.>

  • AP 8.235 : Competitive Sealed Bidding
     <No Procedure specific definitions.>

  • AP 8.240 : Competitive Sealed Proposals
     <No Procedure specific definitions.>

  • AP 8.245 : Professional Services Procurement
     <No Procedure specific definitions.>

  • AP 8.250 : Small Purchase – Goods and Services
    <No Procedure specific definitions.>

  • AP 8.255 : Sole Source Procurement
     <No Procedure specific definitions.>

  • AP 8.260 : Emergency Procurement
     <No Procedure specific definitions.>

  • AP 8.265 : Specialized Purchasing
     <No Procedure specific definitions.>

  • AP 8.266 : Purchasing Cards

       A. Card Issuer: The bank with whom the University has contracted to issue purchasing cards to University employees, bill the University for all purchases made on the cards, and make payment to merchants on behalf of the University.

    b. Cardholder:  An employee of the University who completes training and is approved by the Approving Official to use the purchasing card to execute purchase transactions on behalf of the University. A Cardholder is accountable for all charges made with that card.

    c. Default Account: The UH 7-digit account code assigned to a purchasing card.

    d. Default Object Code:  The UH 4-digit object code assigned to a purchasing card.

    e. Monthly (Card) Limit: A dollar limitation of purchasing authority assigned to the Cardholder for the total of all charges made during the monthly billing cycle (billing cycle begins on the 15th of the month and ends on the 14th of the following month). This amount may not exceed $24,999 for Cardholders (other than selected Fiscal Administrators with higher purchasing card authority). Departments may establish lower limits on a per Cardholder basis.

    f. Parceling: The artificial or intentional division or fragmentation of a purchase of same, like, or related items of goods, services, or construction into several purchases of smaller quantities, in order to evade procurement requirements or the limits of delegated purchasing authority.

    g. PCDO:  The KFS Procurement Card Document that is the reconciliation tool for Purchasing Card transactions.

    h. Personal Use:  Purchase of goods or services intended for non-work related use or use other than official University of Hawaii business.

    i. Purchasing Card: A corporate liability card issued to an individual employee of the University that works similarly to a personal credit card, but includes built-in limits and accounting features.

    j. Small-Dollar Goods and Services:   Goods and Services that are less than $2,500 per transaction.

    k. Transaction Limit: A dollar limitation of purchasing authority assigned to the Cardholder for each transaction made with the purchasing card.  A single transaction may include multiple items but cannot exceed the transaction limit. A dollar limitation is also assigned to the Cardholder for all transactions made with the purchasing card per monthly billing period. Departments may establish lower limits on a per cardholder basis.

    4. Conditions for Use

    a. Personal use of the University of Hawaii purchasing card is not allowed.

    b. Use is for official University business only.

    c. Transaction Limit is less than $2,500 for all Cardholders other than selected Fiscal Administrators who have been assigned higher purchasing card authority.

    d. Use must be in accordance with applicable laws, rules and regulations and established University policies and procedures.

    e. Purchases shall not be parceled or split into smaller purchases in order to circumvent the Transaction Limit.

    f. The purchasing card should not be used for any procurement for construction which must be made in accordance with the procedures set forth in Administrative Procedure AP 8.281.


    5. Purchasing Card Program Roles and Responsibilities

    a. Cardholder

    The role of the Cardholder is to use the Purchasing Card responsibly to make University authorized purchases.  Use must be in accordance with all pertinent policies, procedures, guidelines and regulations.  Only the Cardholder has the authority to use his or her purchasing card and is accountable for all charges on her/his purchasing card account.  For lost, stolen and compromised cards, see item 14.

    The Cardholder shall not authorize or allow anyone to use the Cardholder’s assigned P-Card. Violations may be subject to suspension of P-Card privileges and/or disciplinary action, see below Section 21, Purchasing Card Compliance Policy.

    The responsibilities of the Cardholder are as follows:

       B. Understand what can be purchased with the Purchasing Card.  Be familiar with allowable transactions and understand how University policies impact purchasing card use.

       C. Use the Purchasing Card in a conscientious and ethical manner consistent with University of Hawaii policies and procedures and maintain support documentation for all transactions.  

       D. Ensure fair and reasonable pricing is being obtained and purchases are justifiable, have a legitimate business purpose and are in the best interest of the University.

       E. Adhere to the purchase limits and restrictions of the Purchasing Card.

       F. Ensure purchases are not parceled.

       G. Ensure that purchases do not exceed budgeted funds.


       H. Retain itemized receipts for every purchase.  When an itemized receipt is not available, accompany the receipt with itemized supporting documentation (e.g. packing slips, order confirmations).  

       I. Obtain all appropriate forms and approvals related to the purchase and verify that the documentation complies with the requirements for the type of commodity/service purchased.
       J. Certify that goods/services were received in good order and condition.

       K. Protect and safeguard the Purchasing Card and keep the card number confidential.

       L. Work with the vendor for credits, exchanges and problems.  Report disputed transactions to the Purchasing Card Administrator immediately and ensure that appropriate credits for the reported disputed item(s) or billing error appear on a subsequent statement.

       M. Shall not accept cash in lieu of a credit.

       N. Report lost, stolen or compromised card to the Card Issuer immediately and notify the Department Coordinator, Fiscal Administrator, or Purchasing Card Administrator in writing at the first opportunity during business hours.

       O. Notify the Department Coordinator or Fiscal Administrator upon termination of employment, transfer to another department, or change in employment that no longer includes the purchasing function.

       P. Shall not misuse the purchasing card.

       Q. Shall make payment to the University for purchases which are not in accordance with the procedures established for the proper use of the purchasing card.

       R. Understand that all card use is subject to review by the Purchasing Card Administrator.

       S. Shall review and approve PCDO eDoc within a reasonable period of time, attaching necessary receipts and documentation to support the business purpose of purchases.

    The Cardholder is the first approver in the PCDO process.  Refer to the Kuali Financial System PCDO Process Document, which is available at www.fmo.hawaii.edu/financial systems/index.html, for detailed information regarding the Cardholder’s PCDO processing responsibilities.

       T. Reallocator

       U. The role of the Reallocator is to reallocate the purchasing card transactions in PCDO from the default account number and object code to the correct account and object code and verify that the proper documentation is received from the Cardholder.  In some instances, the Reallocator may also be responsible for scanning the receipts and documentation for the Cardholder.

       V. If there is insufficient documentation for the transaction, the Reallocator should contact the Cardholder and obtain the necessary backups before approving the PCDO eDoc.

    Refer to the Kuali Financial System PCDO Process Document, which is available at www.fmo.hawaii.edu/financial systems/index.html, for detailed information regarding the Reallocator’s PCDO processing responsibilities.

       W. Account Supervisor

    The role of the Account Supervisor must be performed by an individual who has the authority to certify that the purchase supports the program objectives.  For extramural funds, authorization must be certified by the Principal Investigator.  The Account Supervisor is responsible for ensuring that the purchases are reasonable, support the program objectives and allowable under the terms of the sponsored program account for which the purchase was made.  

    The Account Supervisor’s PCDO responsibilities are reviewing and approving the eDocs in the Action List.  Refer to the Kuali Financial System PCDO Process Document, which is available at www.fmo.hawaii.edu/financial systems/index,html, for detailed information regarding the Account Supervisor’s PCDO responsibilities.  

    d. Fiscal Administrator

    The role of the Fiscal Administrator is to provide fiscal, policy and internal control management of its Purchasing Card Program, thereby ensuring the validity of the Purchasing Card transactions.  The responsibilities of the Fiscal Administrator are as follows:  

       X. Maintain knowledge of UH policies and procedures on the use of the Purchasing Card.

       Y. Monitor purchases and account activity for proper use of the Purchasing Card.
       Z. Review transactions for compliance, making certain that transactions are appropriate University expenditures.
       AA. Certify that funds are available for the transactions.
       AB. Ensure proper accounting of charges.
       AC. Verify that goods and services have been received in good order and condition.

       AD. Work with the Cardholder and if applicable, Purchasing Card Administrator, Account Supervisor and/or Approving Official, when an issue arises.

       AE. Notify Purchasing Card Administrator of any unresolved disputes.

       AF. Notify Purchasing Card Administrator of changes in Cardholder related information.

       AG. Ensure that lost, stolen or compromised cards have been reported to the Card Issuer.

       AH. Upon notification of Cardholder’s termination or transfer, immediately request closure of Cardholder’s account.

       AI. If during the review process, serious irregularities are detected, immediately notify the Purchasing Card Administrator.

       AJ. If a department does not have a Department Card Coordinator, act as the Purchasing Card liaison and disseminate information to Cardholders.

       AK. Adhere to the year-end cut-off date(s) published by the Financial Management Office for proper and accurate recording of all purchasing card transactions.

    The Fiscal Administrator does the final review and approval in PCDO.  Refer to the Kuali Financial System PCDO Process Document, which is available at www.fmo.hawaii.edu/financial systems/index.html, for detailed information regarding the Fiscal Administrator’s PCDO responsibilities.  

       AL. Reconciler

    The role of the Reconciler is to ensure the reliability of and maintain the purchasing card financial records.  The responsibilities of the Reconciler are as follows:

       AM. Print PCDO report from PageCenterX.

       AN. Obtain receipts from Cardholder and attach receipts to PCDO report.

       AO. Generate bank statement in CentreSuite.

       AP. Reconcile PCDO report to bank statement on a monthly basis.

       AQ. Ensure all PCDOs are fully approved and post to KFS.

       AR. Ensure all goods and/or services have been received.

       AS. File PCDO report, receipts and bank statement.

       AT. Maintain documentation for review purposes.

       AU. Ensure that statements, receipts and other source documents are filed in a manner which enables them to be retrieved upon request.   These records may be maintained and filed by the Reconciler or the Cardholder as determined by the department.   These records must be retained in accordance with Executive Policy E2.216, Institutional Records Management and Electronic Approvals/Signatures.

       AV. Approving Official

    The role of the Approving Official must be performed by a University official, i.e., Vice President, Chancellor, Dean or Director.  Through their oversight, Approving Officials provide the key point of control to maintain appropriate spending activities for their Cardholders and protect their department’s funds.  An efficient and effective Purchasing Card Program requires commitment, coordination and cooperation between the Cardholder, Reallocator, Account Supervisor, Department Card Coordinator, Fiscal Administrator and Approving Official.  An Approving Official, based upon the level of his or her position, may delegate some administrative tasks involved in the approval process; however, final authority and responsibility ultimately rests with the Approving Official.  The responsibilities of the Approving Official are as follows:

       AW. Approve purchasing cards for appropriate individuals within the department (University employees who have a true business need to purchase small-dollar goods or services and will responsibly make purchases on behalf of the University).

       AX. Set the card transaction limits and determine the exceptions/restrictions for the Cardholder.

       AY. Establish processes within the department to support the Purchasing Card program.

       AZ. Work with the Purchasing Card Administrator, the Office of Procurement and Real Property Management and if necessary, the Vice President for Administration or designee, regarding disciplinary action for Cardholders under his/her supervision who have inappropriately or fraudulently used their purchasing cards.  

       BA. Department Coordinator

    The role of the Department Coordinator is to act as a liaison between the department and the Purchasing Card Administrator for all matters relating to the Purchasing Card Program.  The Department Coordinator may have some of the responsibilities of the Fiscal Administrator.

    h. Purchasing Card Administrator

    The role of the Purchasing Card Administrator is to administer the Purchasing Card Program for the University and act as the University's intermediary in correspondence with the Card Issuer. The responsibilities of the Purchasing Card Administrator are as follows:

       BB. Provide system oversight of the program.

       BC. Establish administrative procedures to ensure compliance with University purchasing rules and regulations.

       BD. Provide initial and ongoing training for Cardholders, Reallocators, Reconcilers, Fiscal Administrators and Department Coordinators.

       BE. Review, approve, process, and maintain Purchasing Card applications and agreements.

       BF. Provide ongoing support to Cardholders, Department Coordinators, Fiscal Administrators, Approving Officials, and auditors of the UH Purchasing Card program.

       BG. Communicate Purchasing Card Program policy and changes to Program users.

       BH. Handle disputed charges/discrepancies not resolved by Cardholder, Department Coordinator or Fiscal Administrator.

       BI. Assist Cardholders, Reallocators, Department Coordinators, Fiscal Administrators and others as necessary with problem resolution.

       BJ. Review data on the usage of the Purchasing Card for appropriateness. Supplement (but not replace) the Fiscal Administrator’s basic review responsibility and examine Purchasing Card transactions, Cardholders, and/or Units on a periodic basis to identify improper, fraudulent, or abusive transactions.

       BK. Serve as the main contact with the Card Issuer regarding issues and problems.

       BL. Override Merchant Category Code blocks as necessary.

       BM. Ensure that all lost/stolen and replacement cards are processed as required by the Card Issuer.

       BN. Review and update the Purchasing Card procedures and training as required.

       BO. Maintain Purchasing Card Program records.
       BP. Evaluate and make recommendations for Purchasing Card Program improvements.

       BQ. Act as the CentreSuite Administrator.

    6. Cardholder/Program Participant Eligibility

    Criteria for eligibility are as follows:

    a. Applicant must be an employee of the University and may be issued only one (1) Purchasing Card.  Due to the short-term nature of their employment, emergency hires, casual hires, and lecturers shall not be eligible to be Cardholders.  RCUH employees shall not be issued purchasing cards.

    b. Applicant’s Approving Official must approve her/his request for a Purchasing Card.

    c. Applicant must be recommended by his/her supervisor and Fiscal Administrator and Department Card Coordinator.

    d. All Purchasing Card Program applicants  shall participate in the University’s purchase card training prior to card issuance/appointment and take refresher or supplemental training as required by the University. Upon completion of University purchasing card training each applicant shall complete and sign a statement: (a) certifying that they have participated in the University’s purchasing card training, (b) that they understand and are committed to complying with the rules and procedures associated with the purchasing care program and (c) that they have been informed of the potential consequences of inappropriate actions or use of purchasing cards.

    e. Each Cardholder must sign a Cardholder Agreement. By signing this agreement, the Cardholder indicates that he/she understands the intent of the program, and will comply with all guidelines of the University Administrative Procedures and the Purchasing Cardholder Procedures.


    7. Guidelines for the Use of the Purchasing Card

    a. The University Administrative Procedures, the Purchasing Card Program guidelines, as well as good business practice, shall be adhered to in using the purchasing card and supporting the purchases.
     
    b. Use of the purchasing card shall not eliminate required compliance with current University requirements contracts and State Procurement Office (SPO) price lists in which the University has agreed to participate on a mandatory basis.

    c. Cardholders utilizing extramurally sponsored project accounts must comply with all requirements of the Office of Research Services.
    d. Purchases may be made in person, over the telephone,
    by facsimile, or through a secured Internet connection with any merchant that accepts the purchasing card. Transactions are approved electronically, based on the Cardholder’s single and monthly purchase limits and approved commodities.

    e. Cardholders are encouraged to receive their own shipments and retain packing slips, mail order form copies, etc. related to the purchase.

    8. Receipts and Support Documentation

       BR. Receipts must be obtained for purchasing card transactions.  

       BS. Original receipts are preferred, however, in accordance with Section 40-57.6, HRS, the State Comptroller has determined the acceptability of the following documents in lieu of an original bill for purchases made by the purchasing card:

       BT. Customer sales slip or charge receipt reflecting the vendor’s name, date of purchase, description and cost of goods purchased.


    2) Electronic purchase confirmation (for internet purchases) reflecting the vendor’s name, date of purchase, and description and cost of goods purchased.

    3) Itemized packing slip (if an itemized invoice is not provided) reflecting the vendor’s name, date of purchase, and description and cost of goods purchased.

    4) E-mail confirmation of purchase from the vendor identifying the vendor’s name, date of purchase, and description and cost of goods purchased.

    c. Purchasing card transactions must be supported by appropriate documentation for the type of commodity/service purchased.

    d. When charges are made prior to receipt of goods for purchasing card transactions, Cardholder shall confirm that goods ordered and paid by the purchasing card are actually received and are in good order and condition.  

    e. If goods are not received in good order and condition, vendors should be contacted to determine if the goods will be replaced or account will be credited.

       BU. Charges for services should be made upon satisfactory completion of the services unless advance payment has been authorized in accordance with Administrative Procedure A8.275.

    9. Restricted Commodities

    a. Although the purchasing card is available for most small purchases of less than $2,500, certain commodities are restricted due to tax reporting requirements, University policies and procedures and state and federal regulations.  Restricted commodities include “Items Not to be Purchased” in Administrative Procedure A8.225 and commodities that require prior approval, special permits, etc.  Purchases of the restricted commodities listed in the “Usage Guidelines” section of the Purchasing Card website (www.hawaii.edu/oprpm/purchasing card/) and purchases $2,500 or greater must continue to be processed in accordance with established procurement and disbursement policies and procedures.

    b. Exceptions may be granted by OPRPM, on a limited basis upon a showing of sufficient justification or extenuating circumstances.

    10. Blocked Merchant Categories

    Merchant Category Codes (MCC’s) are assigned by a vendor’s merchant bank based on the type of goods or services that the vendor typically provides. Blocking certain MCC’s on a purchasing card, while not a fail-safe protection against unauthorized use of the card, does provide a measure of protection against unauthorized or prohibited purchases. By policy, the University has established that the Purchasing Card may not be used at certain categories of merchants and has blocked their MCC’s.  A list of the blocked MCC’s can be found on the Purchasing Card website at www.hawaii.edu/oprpm/purchasing card/.

    11. Extramural Funding Restrictions

    a. When utilizing extramural funds, the Cardholder shall be responsible for ensuring that all purchases meet the requirements and regulations of the extramural funding agency.

    b. The use of the purchasing card versus any alternate form of procurement does not change the existing costing, charging, and document retention requirements that must be met. Cardholder is still required to demonstrate that the item procured is not expressly prohibited by sponsor regulations or by other federal guidance and that the item purchased is necessary (allocable) for the project.

    c. For specific questions regarding using sponsored project funds, Cardholders should contact the Office of Research Services.


    12. Returns, Credits and Exchanges

    a. If merchandise is returned for credit, the Cardholder should obtain a credit receipt from the vendor and retain the receipt with the support documentation. Receiving cash or checks to resolve a credit is prohibited.

    b. If merchandise is exchanged, the Cardholder is responsible for returning the merchandise to the vendor and obtaining a replacement as soon as possible.  Documentation showing the proper resolution of the exchange should be retained.

       BV. If the matter is not resolved with the vendor, the transaction becomes a disputed item and Cardholder must notify the Purchasing Card Administrator.

    13. Erroneous Declines

    If it appears that the purchasing card has been declined in error by a vendor, Cardholder should contact the Fiscal Administrator, Department Coordinator or Purchasing Card Administrator for assistance.  

    14.  Lost, Stolen or Compromised Cards  

    If the purchasing card is lost or stolen or appears to be compromised, Cardholder must immediately notify the Card Issuer’s 24-hour, 7-day a week Customer Service Center at 844-4444 or 1-808-847-4444 (toll-free number:  888-844-4444),  dial “0” for customer assistance, and the account will be closed. It is very important that the Cardholder notify the Card Issuer immediately, since there is no limit to the University’s liability for charges made on the lost, stolen or compromised card until it is reported.  Cardholder must also notify the Purchasing Card Administrator in writing and the Purchasing Card Administrator will request the Bank Issuer to transfer the Cardholder to a new number.

    If unauthorized transactions post to the Cardholder’s account as a result of the lost, stolen or compromised card, Cardholder must request the Purchasing Card Administrator to initiate a dispute with the Card Issuer.

    A Purchasing Card that is found after it has been reported lost or stolen must be destroyed.

    The department will be responsible for all charges made on the Purchasing Card until the Card Issuer is notified that the card has been lost or stolen.

    15. Disputes

    a.   It is essential to file disputes in a timely manner because there is only a 60-day period in which disputes can be filed with the Card Issuer.  If an unauthorized or erroneous transaction appears on PCDO or the bank statement, Cardholder must contact the Purchasing Card Administrator in writing immediately.  

    b.   The Purchasing Card Administrator will forward the information to the Card Issuer and the Card Issuer will send a dispute form to the Cardholder.

    c.   Cardholder must fill out and submit the “Cardholder Dispute Form” to the Card Issuer for processing, otherwise, a credit will not be issued.  Disputes and the final resolution of the dispute should be documented and the documentation should be retained with the Statement of Account on which the disputed charge appears.

       BW. If a credit is not issued in a timely manner, Cardholder is responsible for following up with the Purchasing Card Administrator.

    16. Replacement Card/Changes

    Cardholder should contact the Purchasing Card Administrator to request a replacement card or report name or address changes.


    17. Canceling the Purchasing Card

    The purchasing card may be canceled for the following reasons:

           1. Cardholder suspects the card number has been used without authorization;

           2. Cardholder transfers to another University department;

    c. Cardholder seldom or never uses the card;

    d. Cardholder terminates University employment; or

    e. Cardholder is requested to surrender card due to violation of policies.

    The Department Card Coordinator or Fiscal Administrator should send a request to the Purchasing Card Administrator to cancel the card.

    18. Purchasing Card Statement

    In accordance with Section 40-57.6, Hawaii Revised Statutes, which grants the Comptroller the authority to determine the acceptability of any document submitted in lieu of an original bill, the State Comptroller has determined that the portable document format (pdf) copy of the consolidated purchasing card statement will be accepted as an original invoice.  The pdf copy of the Card Issuer statement from CentreSuite shall be considered an acceptable substitute for the hard copy Card Issuer statement.

    19. CentreSuite

    Fiscal Administrators/Cardholders   have access to CentreSuite, the online reporting tool for Purchasing Cards, and are able to monitor the Purchasing Card transactions at will.  Frequent monitoring of the Purchasing Card accounts is encouraged in order to minimize Purchasing Card problems.


    20. Internal Controls

    Each department/college should establish an internal control structure to address the use of the Purchasing Card. The following standards are recommended for departmental internal control systems:

    a. Qualified and continuous supervision is to be provided to ensure that internal control objectives are achieved.

    b. Transactions and other significant events are to be promptly authorized by persons acting within their scope of authority.

    c. Key duties and responsibilities should be assigned systematically to a number of individuals to ensure that effective checks and balances exist.

    d. Appropriate separation of duties shall exist between the person making the transactions (Cardholder) and the people who review and approve the transactions. If the person who reviews or approves the transaction is a Cardholder, there should be independent review of his/her account activity.

    e. There should be appropriate review and approval of purchases.

    f. All transactions and other significant events are to be promptly recorded and properly classified.

    21. Purchasing Card Compliance Policy

    Participation in the Purchasing Card Program is a revocable privilege.  Purchases or reallocations which do not appear to comply with the administrative procedures, purchasing card policies and procedures, or other relevant rules, regulations or guidelines should be scrutinized and suspected misuse should be immediately reported to the Purchasing Card Administrator.

    a. Periodic Review

    The Purchasing Card Administrator will conduct periodic reviews of Purchasing Card transactions, Cardholders, and/or Units using a risk-based approach to identify improper, fraudulent, or abusive transactions.  The work performed and conclusions reached will be documented.

    b. Unauthorized and/or Inappropriate Card Use

    The following will subject a Cardholder to the purchasing card three strike violation process and/or disciplinary action:

       BX. Card is used for personal use or unauthorized purposes.

       BY. A purchase is split or parceled into smaller purchases in order to circumvent the purchasing card limits established by the University.

       BZ. Card is used to purchase any substance, material or service which violates policy, law or regulation.

       CA. A purchase is split among Cardholders to circumvent the purchasing card limit.
       CB. Failure to provide support documentation for purchases.

       CC. Failure to provide, when requested, information about any specific purchase.

       CD. Violation of any grant restriction or requirement.

       CE. Failure to approve the PCDO eDoc within a reasonable period of time.

       CF. Violation of any policy or procedure in this Section or established by institutional policy.

    c. Three Strike Violation Process

    The Purchasing Card Administrator will work with the Fiscal Administrator or Department Coordinator to initiate corrective action when Cardholders or other parties involved are not complying with applicable University of Hawaii procedures. A three strike process will be followed and three instances of non-compliance may result in the revocation of the purchasing card.

    Violation Number 1
    The first violation will result in notification sent to the Cardholder, Cardholder’s supervisor, Fiscal Administrator, Department Coordinator and Approving Official.  The notification will be placed in the department’s compliance file and serves as a warning and explanation of corrective actions necessary to prevent a repeated occurrence.  

    Violation Number 2
    A second violation may result in the Cardholder, Approving Official and Fiscal Administrator or Department Coordinator having a meeting with the Purchasing Card Administrator, the Director of Procurement and/or the Vice President for Administration. The purpose of this meeting will be to discuss the matter, provide additional training and specify the corrective action required of the Cardholder and the department. Notification will be sent to the Cardholder and applicable parties regarding the violation and the result of the meeting.  The notification will be placed in the department’s compliance violations file.  

    Violation Number 3
    A third violation by a Cardholder may result in the immediate termination of the Cardholder’s participation in the Purchasing Card Program.

    Repeated violations within a department may result in the entire department losing purchasing card privileges for one year.

    d. Serious Violations

    If the Cardholder’s violation is deemed to be deliberate, fraudulent or illegal misuse of the purchasing card, the Cardholder may be subject to immediate card cancellation and/or disciplinary action, up to and including, termination of employment, in accordance with applicable collective bargaining agreements and University procedures.  In addition, the matter may be referred to the Office of the University General Counsel for appropriate civil action against the Cardholder to recover University funds expended as a result of the unauthorized and/or inappropriate use of the purchasing card.

    The Vice President for Administration, in consultation with the Vice President for Legal Affairs, will determine the appropriate course of action for the serious violations of purchasing card policies based on standards applicable to all University employees.

    The University prohibits retaliation against any individual who in good faith may initiate actions to fulfill their responsibilities in accordance with this policy.

    22. Fiscal Administrator Purchasing Card Limits

    The purchasing card transaction limit was increased for selected Fiscal Administrators in accordance with the Interim PCard Procedures dated May 16, 2012. Accordingly, the purchasing card transaction limit for selected Fiscal Administrators is under $25,000, depending on their current purchasing authority.  Any violations or policy noncompliance may result in revocation of the increased Fiscal Administrator limit.

    All procedures set forth in Administrative Procedures A8.200-A8.299, Procurement, must be followed for purchasing card purchases of $2,500 or more and one of the following methods of source selection must be utilized:

    Competitive Sealed Bidding (Section A8.235)
    Competitive Sealed Proposals (Section A8.240)
    Professional Services Procurement (Section A8.245)
    Professional Services Procurement for Architects, Engineers, Land Surveyors, and Landscape Architects (Section A8.246)
    Small Purchases (Section A8.250)
    Sole Source Procurement (Section A8.255)
    Emergency Procurement (Section A8.260)
    Construction Procurement (Section A8.281)


    If a purchase of $2,500 or more is exempt from the standard methods of source selection, the procedures set forth in Section A8.220, paragraph 9, Exempt Procurements, shall apply.

    Additionally, Fiscal Administrators shall:

       CG. Document the method of source selection utilized and complete all necessary paperwork associated with the method of source selection.

       CH. Create a requisition for purposes of certifying that funds are available for the particular purchase and to obtain approval for the purchase from the departmental Approving Authority certifying that the purchase supports program objectives.  The requisition and the supporting purchasing documents for the $2,500 or more transactions must be maintained and retained in the purchasing card file.

       CI. Obtain a Certificate of Vendor Compliance for procurements of $2,500 or more where applicable.






  • AP 8.270 : Types of Contracts
     <No Procedure specific definitions.>

  • AP 8.275 : Contract Formation and Administration
     <No Procedure specific definitions.>

  • AP 8.281 : Construction and Professional Services in Support of Construction
    <No Procedure specific definitions.>

  • AP 8.285 : Cost or Price Reasonableness
    <No Procedure specific definitions.>

  • AP 8.290 : Requirements of Federally Funded Purchases
     Extramural contracts and grants refer to external sponsorship of research, training, or other activities such as a federally funded grant or contract.

  • AP 8.300 : Interests in Real Property
     <No Procedure specific definitions.>

  • AP 8.305 : Use of Non-University Space and Facilities
     <No Procedure specific definitions.>

  • AP 8.350 : Concessions
     <No Procedure specific definitions.>

  • AP 8.375 : Fund Raising by a Recognized University Affiliated Volunteer Group or Non-Profit Organization
     <No Procedure specific definitions.>

  • AP 8.400 : Risk Management Guidelines and Procedures
     <No Procedure specific definitions.>

  • AP 8.509 : Property and Equipment Overview
     A.  Acquisition Cost – The net invoice unit price of equipment, including the cost of modifications, attachments and accessories necessary to make the property usable for the purpose for which it is acquired.  Other charges, such as the cost for installation, transportation, taxes, duty, or protective in-transit insurance, shall be included in the unit acquisition cost in accordance with University accounting practices.

    B.  Agency – The entity from which the University derives extramural support through contracts or grants (i.e., organizations, corporations, foundation or person).

    C.  Asset Representative – The individual responsible for maintaining continuous, accurate property records, periodically reporting location and condition changes, coordinating the annual physical inventory reporting, ensuring proper usage, safe keeping and maintenance of all property for which they are accountable.

    D.  Asset Tag – Preprinted property decals that shall be affixed to equipment and controlled property by the asset representative or custodial department immediately upon receipt from the Property and Fund Management Office (PFMO).

    E.  Capital Asset – Either movable or non-movable assets that benefit more than a single fiscal period.  A capital asset is also known as a fixed asset or as property, plant and equipment.  Typical examples of non-movable assets are land, land improvements, infrastructure, buildings and building improvements.  Movable capital assets include equipment.  

    F.  Capitalization Threshold – The minimum unit value at which an item is defined as equipment.  The University’s current capitalization threshold is $5,000 per unit.

    G.  Controlled Property – Tangible, non-expendable property with a unit cost less than $5,000 and meets either of the following criteria:
       
    1. Firearms or weapons;

    2.  Federal or agency owned property under the provisions of an extramural award accountable to the University.

    H.  Custodial Department – The department or unit of the University having physical control of the property (i.e., department utilizing the equipment or department to which the equipment was awarded by the extramural sponsor).

    I.  Donated Equipment – Property given, bequeathed, or granted to the University by a public or private organization or by an individual for an expressed purpose, a restricted purpose or an unrestricted purpose.

    J.  Equipment – Tangible, non-expendable property having a useful life of at least one year or more and an acquisition cost of $5,000 or more per unit.  Equipment also includes software with an acquisition or development cost of $25,000 or more.  

    K.  Excess Property – Property with a remaining useful life which is no longer required
    by a department, but not necessarily excess to the University’s systemwide needs.
    Such property remains subject to screening, transfer or retirement actions.

    L.  Expendable Property – Non-inventorial property that is consumed, loses its identity, or has a limited life span.

    M.  Fabricated Equipment – Equipment that has been constructed or assembled into one identifiable unit.  The cost assigned to the unit is the total of its component parts, materials, consumable supplies and applicable labor and should have a total cost of $5,000 or more with a useful life of more than one year.

    N.  Federal Contracting Officer – The duly authorized individual delegated by appropriate authority to enter into a contract, and thereafter administer the contract, on behalf of the Federal Government.

    O.  Federally Owned Property – All property owned by or title to which is vested in the
    Federal Government under terms of a contract of grant.  Federal property includes both government furnished and contractor acquired property.

    1. Government furnished property (GFP) is property in the possession of or directly
    acquired by the Federal Government and subsequently made available to the contractor by transfer or delivery to the University (contractor) for performance of a contract or grant.  Title to GFP remains vested in the government unless ownership transfer is indicated.

    2. Contractor acquired property (CAP) is property purchased or otherwise provided
    by the University, the cost of which is reimbursable under the contract or grant.  Under contracts, ownership of CAP generally vests in the Federal Government but may be transferred by authority of an administrative contracting officer.  For items with a unit acquisition cost of $5,000 or more, the sponsoring federal agency may reserve the right to transfer ownership to the Federal Government or to a third party named by the Federal Government.  Under grants, ownership of CAP generally vests with the University.

    P.  Loaned Property – Property which is either borrowed by the University from an external agency or from one University department to another; or loaned by the University to an external agency or individual that is approved by the department head and PFMO.

    Q.  Materials/Supplies – All property including consumables not classified as equipment or controlled property.

    R.  Non-Capital Asset – An asset that does not meet the criteria for a capital asset or controlled property that is managed in KFS by the custodial department.

    S.  Non-Expendable Property – Property which has a continuing use, retains its original identity during the period of use, and is not consumed in use.

    T.  Ownership – The state of being an owner who has certain rights, duties and control over property.  Ownership (i.e., title) to all equipment and controlled property resides with either the University or the project sponsor.  Title to equipment and controlled property does not reside personally with the principal investigator, asset representative, faculty member or staff.

    Ownership of an asset is designated by the alphabetical suffix assigned to the last position in the movable and non-movable asset payment object code.

    1. A – Owned by another agency
    2. F – Owned by the Federal Government
    3. G – Owned by the University and funded by a federal sponsor
    4. U – Owned by the University

    U.  Principal Investigator (PI) – The UH employee responsible for a given extramurally funded project, in accordance with Regents Policy, RP 12.202.  For purposes of this administrative procedure, the PI is also the individual responsible for maintaining continuous, accurate property records, periodically reporting location and condition changes, coordinating the annual physical inventory reporting, insuring proper usage, safe keeping and maintenance of all property for which they are accountable. The PI is usually the asset representative for an extramurally funded project.

    V.  Subsequent Acquisition – Costs incurred subsequent to the initial acquisition of an equipment item or after a fabrication is placed in to service.  A subsequent acquisition extends the life or increases the production capacity of the equipment and has a unit acquisition cost of $1,000 or more.  Any subsequent acquisition with a unit cost greater than or equal to $5,000 will be assigned a separate asset tag.  

    W.  Surplus Property – Any property that no longer has any value to the University or to the State.  

    X.  University Property Administrator – The Director of PFMO is responsible for the management and control of all capital assets and controlled property in which the title is vested with the University, Federal Government, or other agencies.

    Y.  Unrecorded Found Property – Property discovered by the custodial department which does not appear on the inventory records.  In reporting such property, estimated value must meet the University’s capitalization criteria for equipment.

  • AP 8.510 : Loaned Property, Personally Owned Property, and Collections
     No policy specific or unique definitions apply.

  • AP 8.512 : Identification of Property
     No policy specific or unique definitions apply.

  • AP 8.516 :    Property and Equipment Valuation (formerly Valuation of University Equipment)
     Refer to AP 8.509, Section II. for property and equipment related definitions.

  • AP 8.521 : Property and Equipment Acquisition
     Refer to AP 8.509, Section II. for property and equipment related definitions.

  • AP 8.523 : Receiving Property and Equipment
     Government Furnished Property (GFP) – Property in the possession of or directly acquired by the Federal Government and subsequently made available to the contractor by transfer or delivery to the University (contractor) for performance of a contract or grant.  Title to GFP remains vested in the government unless ownership transfer is indicated.

  • AP 8.524 : Property and Equipment Maintenance
     No policy specific or unique definitions apply.

  • AP 8.530 : Property and Equipment Storage and Movement
     No policy specific or unique definitions apply.

  • AP 8.536 : Subcontract Control of Government Property
     No policy specific or unique definitions apply.

  • AP 8.539 : Property and Equipment Record Maintenance
     No policy specific or unique definitions apply.

  • AP 8.540 : Physical Inventory
     No policy specific or unique definitions apply.

  • AP 8.541 : Property and Equipment Management Reports
     No policy specific or unique definitions apply.

  • AP 8.542 : Property and Equipment Utilization
     Refer to AP 8.509, Section II. for property and equipment related definitions.

  • AP 8.543 : Property and Equipment Transfer and Retirement
     Refer to AP 8.509, Section II. for property and equipment related definitions.

  • AP 8.550 : Capitalization

    Building - A structure with a roof and walls standing more or less permanently in one place, such as a house or school.  Common components of a building frequently include:  foundations, framing, floors, walls, roofs, interior and exterior finish, doors, windows and hardware.  The costs to be recorded are the costs of acquiring or constructing a building to be used by the University.  Generally, all costs incurred beginning with excavation through completion of construction are considered part of the building costs.  However, the cost of the building should not include the cost of land, land improvements, or equipment.

    Building Improvement – An improvement that involves major alternation or renovations to an existing building.  These costs should be capitalized and added to the building asset category for depreciation purposes.  Routine maintenance projects such as repairing, painting, refurbishing should not be capitalized but charged as operating expense.

    Capitalization – A process to record to a cost as an asset, rather than an expense.  This approach is used when an asset is expected to have a useful life more than one year.  Capitalized assets include:  property, plant, and equipment.

    Capitalization threshold – A minimum dollar amount that is established by the University for asset capitalization purposes.  The threshold are as follows:

    Asset Classification
    Capitalization Threshold
    Land
    All acquisitions
    Land Improvement
    $100,000
    Building & Building Improvement
    $100,000
    Infrastructure
    $100,000
    Equipment
    $5,000
    Software
    $25,000

    Construction in Progress (CIP) Asset – Construction in progress is an accounting term that refers to an asset in which construction and related costs are recorded until the project is completed.  When the project is completed, the asset or assets are classified in their actual form such as:  buildings, building improvements, infrastructure, equipment, etc.

    Depreciation – The accounting process of allocating the cost of tangible assets to current operation expense in the systematic and rational manner to those periods expected to benefit from the use of the asset.  

    Equipment – Tangible property that is used in the operations of a business that has a useful life or more than one year.  

    Fixed Equipment – Equipment which is attached to a building but would not require an extraordinary expenditure to remove.  It includes furniture and equipment affixed to the building that serves the function of the institution, such as built-in benches,  cabinets, counters, and lockers

    Moveable Equipment – Equipment that is not built into or permanently fastened to a building and does not lose its identity through incorporation into a more complex unit.  Examples are machinery (which is not part of a building’s mechanical system); furniture and furnishings, instructional and research equipment.

    Infrastructure – A long lived capital asset that normally is stationary in nature and normally can be preserved for a significantly greater number of years than most capital assets.  Examples of infrastructure assets include roads, sidewalks, bridges, tunnels, drainage systems, water and sewer systems, dams, and lighting systems.

    Intangible Assets – An intangible asset is an asset that lacks physical substance and usually is very hard to evaluate.  Corporate intellectual property, trademarks, copyrights, goodwill, and brand recognition are examples of intangible assets.  

    Land - Land comprises the portion of real property that is not building or other classification of asset.  It is basically the ground that the title document identifies.  Land cost should include all expenditures to acquire a site (purchase price, closing costs, legal fees, and recording fees) and costs to prepare a site for construction (removal of existing structures, draining, filling, and clearing).

    Land Improvement – Betterments, other than buildings or infrastructure, that are made to prepare the land for its intended use.  Costs incurred for land improvement should have limited lives such as parking lots, fences, and landscaping.  

    Library Books – Collections maintained by the libraries.  Library collections shall include, but not limited to books, bound volumes, periodicals, photographs, audio-visual materials, etc. that are identified, cataloged, shelved, and stored by the libraries.

  • AP 8.555 : Impairment of Capital Assets and Retirement of Real Property
     A.  Impairment – A significant, unexpected decline in the service utility of a capital asset, which includes property, plant, and equipment.  Service utility is defined as the usable capacity that a capital asset was expected to provide at its acquisition.  The events or changes in circumstances that lead to the Impairment are not considered normal or ordinary.  There are two typical situations when Impairment occurs:

        -  The level of usable capacity of the existing capital asset has been significantly reduced due to a decline in service utility or safety or economic reasons;

        -  Capital projects are canceled due to special circumstances, i.e. ,lack of continuous funding, or construction stoppage.

    B.  Real Property – All land, structures, firmly attached and integrated equipment on the land and all interests in the property.

    C. Retirement of Real Property – Removal from service of Real Property assets due primarily to damage beyond repair, worn beyond utilization, or exchanged with no profit to the University.

  • AP 8.560 : Post-Issuance Tax Compliance Procedures for Tax-Exempt and Build America Bonds
     A. Arbitrage Rebate – Payment to the United States Treasury equal to all interest earned on tax-exempt Bond proceeds in excess of the bond yield.

    B. Build America Bonds (BABs) – Taxable municipal bonds that carry special federal tax credits or subsidies for either the bond holders or bond issuer.  BABs must qualify as tax-exempt governmental bonds under section 103 of the Internal Revenue Code.

    C. Direct Pay Bonds – A type of tax-advantaged bond where the interest paid on the Bonds is taxable to the holder and the bond issuer is allowed a refundable tax credit.

    D. Private Use - Use of Bond proceeds or Bond-financed property/asset by a nongovernmental person (individual or entity) where all or a portion of the asset is used in a trade or business activity.

  • AP 8.561 : Tax Treatment of Non-Service Financial Assistance for Individuals
     A.  Fellowship is defined as an amount paid for the benefit of an individual to aid in the pursuit of study or research.  An example of a fellowship is a stipend awarded to a post-doctoral fellow for the purpose of aiding the post-doctoral fellow’s research.

    B.  General Program Expense is defined as any costs supporting activities of educating or instructing students for imparting knowledge or skill that fulfills the purpose of the academic program.  

    C.  General Welfare Exclusion (GWE) is a terminology that the IRS has accepted to exempt gross income from individuals who received payments under governmentally provided social benefit programs for the promotion of the general welfare.  To qualify for this exclusion, the payments must: (1) be made to individuals; (2) be made from a governmental fund; (3) be for the promotion of the general welfare, based on need –i.e., individual or family need; and (4) not represent compensation for services.

    D.  Nonresident Alien is defined as any individual from a foreign country who is not a permanent resident or a resident alien.

    E.  Permanent Resident Alien is defined as a lawful permanent resident of the United States at any time if the person has been given the privilege, according to the immigration laws, of residing permanently in the United States as an immigrant. The person generally has this status if the U.S. Citizenship and Immigration Services (USCIS) (or its predecessor organization) has issued an alien registration card, also known as a “green card.” The person continues to have resident status under this test unless the status is taken away or is administratively or judicially determined to have been abandoned.

    F.  Resident Alien is defined as a status a foreign person attained by obtaining permanent resident status as defined earlier or being physically present in the United States for a specified time under the substantial presence test as prescribed by the IRS.  Under the IRS rules, to meet the substantial presence test, an individual must be physically present in the United States for at least: (1) 31 days during the current calendar year, and (2) 183 days during the 3 year period that includes the current year and each of the two years before the current year.  Individuals with F-1 visa status will be exempt from the substantial presence test for the first five years and J-1 visa status individuals will be exempt for the first 2 years in the preceding 6 calendar years.

    G.  Scholarship is defined as an amount paid or allowed to, or for the benefit of, a student (whether a primary/secondary school student, undergraduate, or graduate) at an educational institution to aid in the pursuit of his or her studies.  An example of a scholarship is the UH Regents and Presidential Scholarship awarded to outstanding UH undergraduate students.  This scholarship provides a four-year tuition waiver, a $4,000 allowance, and one-time travel grant of $2,000.

    H.  Stipend is defined as a fixed sum of money paid periodically for services or to defray expenses. A stipend may include, but is not limited to, scholarship, fellowship, honorarium, prize, awards, etc.  As a result, tax treatment may differ based on the purpose of the stipend payment.

  • AP 8.565 : Tax Reporting of Payments to Postdoctoral Appointments
    The following are pertinent definitions:

    Postdoctoral appointments consist of; 1) Postdoctoral scholar, 2) Postdoctoral fellow, and 3) Postdoctoral associate as defined in EP 12.227

    Tax reporting by the University for these payments to various postdoctoral appointments are in accordance with the federal tax regulations of the Internal Revenue Service, adopted by State of Hawaii tax statutes.

    Payments, in the context of this policy, refers to funding that is awarded by the University to Postdoctoral fellow or Postdoctoral associate.

    “Responsible Person at UH” is the person who is authorized to approve payments for that department and knows the postdoctoral appointment of the payee.  This person could either be office staff, fiscal administrator, director or management executive for the department at UH.

  • AP 8.571 : Administrative Procedure AP 8.571, University of Hawai‘i at Mānoa Athletics Ticket Sales for Events that are not University of Hawai‘i Athletic Competitions and that Involve Payments to Non- University of Hawai‘i Entities
     No policy specific or unique definitions apply.

  • AP 8.602 : General Ledger
     A.  General ledger - A group of accounts that are established for organizing financial transactions for an operating entity.

    B.  General ledger account - A recording mechanism used to sort and store financial data according to their financial characteristics: asset, liability, net asset, revenue and expense for an operational unit.

  • AP 8.611 : Account Code
     No policy specific or unique definitions apply.

  • AP 8.612 : Establishment and Maintenance of Account Codes
     Account – The account code is a seven (7) character code representing a functional unit established for a specific purpose with one individual having primary responsibility for it.  It monitors the financial activities for a functional unit.

  • AP 8.615 : Object Codes
     A.  Ad Hoc Route – To route a document in KFS to a user or role that normally would not receive it.  Allowable action requests include Approve, Acknowledge or FYI.

    B.  Attribute - Descriptive data associated with an object code. They are maintained at the object code level in KFS via the Object Code Maintenance e-Docs.

    C.  Basic Accounting Category Code – A code that groups the object codes associated with the object codes into the basic accounting categories for reporting purposes.  The basic accounting categories include asset [AS], liability [LI], fund balance [FB], for balance sheet or revenue [IN], expense [EX] for income statement reporting.

    D.  Chart Manager – A role in KFS that is responsible for the maintenance of accounts and object codes on a given chart.  The campus chart manager is responsible for the respective campus level charts and the system chart manager is responsible for the University level charts.

    E.  E-Doc – An electronic document representing a business transaction or maintenance action.

    F.  Fiscal Administrator (FA) – Person that is responsible for monitoring and approving documents and transactions in KFS and certifying that the charges are accurate, appropriate, and allocable.

    G.  Object Code – A four character code assigned to transactions to classify the transaction into respective financial statement balances including assets, liabilities, fund balance, revenues and expenses.

    H.  Object Type Code – An attribute of the object code that is used to identify its general use, such as income, asset, expense, liability or fund balance.  The object type code further differentiates between the specific types of objects particularly for cash and accrual basis reporting.

    I.  Sub-object Code – A code that is an optional identifier to create finer distinctions within a particular object code.  It is specific to an account and fiscal year and takes on most of the attributes of the object code to which they report, including object code type and sub-type.

    J.  System Level Administrator – University level role typically associated with a system level office such as GALC and ORS that is responsible for the overall compliance for their respective area of responsibility.

  • AP 8.617 : Revenue and Higher Education Function Codes
     Function Codes - Three or four-digit codes classifying sources of revenue and types of expenditures for reporting purposes. These classifications are established in accordance with college and university accounting and reporting standards.

  • AP 8.619 : Fund Groups
     A. Fund Accounting - An accounting system that emphasizes accountability and stewardship rather than profitability.  It supports the classification of resources by purpose for accounting and reporting.  Classifications may be in accordance with activities or objectives such as those specified by donors, with regulations or restrictions imposed by governmental legislation, or with directions issued by a governing board.

    B. Funds - Groups of accounts with specified sources of capital and revenue.

    C. Fund Group - A group of accounts with common operational characteristics.

  • AP 8.620 : Gifts
     Gift - An irrevocable charitable contribution for the benefit of the University of Hawai`i system, which is intended as a donation, bestowed voluntarily and without expectation of tangible compensation and for which no contractual requirements are imposed.  Gifts usually take the form of cash, checks, securities, vehicles, boats, airplanes, real estate, or personal property and may be current or deferred.

  • AP 8.621 : Delinquent Financial Obligation Tax Setoff Hearings
     A. Appeal - The request for a hearing to contest the Setoff of a Person' s Delinquent Financial Obligation against the Person' s income tax refund or any other sum owed to the Person from the State.

    B. Board - The Board of Regents of the University of Hawai‘i and shall include its authorized designees.

    C. Claimant - The University program which initiates the utilization of the Setoff procedures.

    D. Contested Case - The administrative case involving the Setoff of a Person 's Delinquent Financial Obligation against the Person' s income tax refund or any other sum owed to the Person from the State.

    E. Debtor - A Person owing a debt to the University.

    F. Delinquent Financial Obligation - Past due on a financial obligation of the University of Hawai‘i, or failing to pay for tuition and fees by a published deadline.

    G. Designee - A Person designated or appointed by the University for a specific purpose or duty.

    H. Hearing Officer - A Person duly designated by the President or the President’s designee to preside over hearings involving tax Setoff.

    I. Party - A Person that participates in an appeal hearing or a Contested Case hearing as a Person filing the appeal, a business office, a debtor, or a Claimant.

    J. Person - An individual, corporation, partnership, association, or any trustee, assignee, receiver, or legal successor thereof.

    K. President - The President of the University of Hawai‘i and shall include the President's authorized Designees.

    L. Setoff - The application of Person's income tax refund or any other sums due to the Person from the State, to a valid debt owed to the University.

    M. University - The several institutions, collectively or individually, which fall under the jurisdiction of the Board of Regents of the University of Hawai‘i.

  • AP 8.622 : University Endowments
     A.  Designee - A person designated or appointed by the University or the Board of Regents for a specific purpose or duty.

    B.  Donor - Any individual, corporation, partnership, foundation, association, or trust contributing funds to the University.

    C.  Permanent Endowment - A fund established by a Donor who, by the terms of their conveying instrument, has stipulated that the principal of their gift(s) may never be expended.  The original principal of the endowment must remain intact (nonexpendable) in perpetuity and only the income earned can be expended.  Income from investments of endowment funds consists of either unrestricted income that may be used for any institutional purpose or restricted income that must be used according to the Donor’s stipulations.

    D.  Term Endowment - A fund that is similar to endowment funds except that, upon the passage of a stated period of time or the occurrence of a particular event, all or part of the principal may be expended.

    E.  Quasi-Endowment - An expendable fund that has been transferred for long-term investment to the endowment funds by the Board of Regents.  Quasi-Endowment funds are further categorized as restricted and unrestricted.  Restricted Quasi-Endowment funds represent Donor-restricted gifts, without the requirement to maintain the principal in perpetuity.  Unrestricted Quasi-Endowment funds represent unrestricted funds designated by the Board of Regents for long-term investment purposes.

  • AP 8.635 : Accounting For Leases
     A.  Lease – A Lease is a contractual agreement calling for the lessee (user) to pay the lessor (owner) for the use of an asset.  Property, buildings, business or industrial equipment and vehicles are common assets that are leased.

    B.  Operating Lease – An Operating Lease is a Lease whose term is short compared to the useful life of the asset being leased.

    C.  Capital Lease – A Capital Lease is a type of Lease in which a finance company is typically the legal owner of the asset during the duration of the Lease, while the lessee not just has operating control over the asset, but also has a substantial share of the economic risks and returns from the change in the valuation of the underlying asset.  A Lease is considered to be a Capital Lease if one or more of the following criteria is met:

        -  The Lease transfers ownership of the property to the lessee by the end of the Lease Term

        -  The Lease contains a Bargain Purchase Option

        -  The Lease Term is equal to 75% or more of the estimated economic life of the leased property.  However, if the beginning of the Lease Term falls within the last 25% of the total estimated economic life of the leased property including earlier years of use, this criterion shall not be used for purposes of classifying the Lease.Residual Value of Leased Asset

        -  The present value of the Minimum Lease Payments, excluding that portion of the payments representing executory costs such as insurance, maintenance, and taxes to be paid by the lessor, including any profit thereon, equals or exceeds 90% of the excess of the Fair Value of the Leased Property to the lessor.

    D.  Bargain Purchase Option – A provision allowing the lessee, at his option, to purchase the leased property for a price which is sufficiently lower than the expected fair (market) value of the property at the date the option becomes exercisable, that exercise of the option appears, at the inception of the Lease, to be reasonably assured.

    E.  Residual Value of Leased Asset – The estimated fair (market) value of the leased (asset) at the end of the Lease Term.

    F.  Fair (Market) Value of the Leased Property – The price for which the property could be sold in an arm’s length transaction between unrelated parties.

    G.  Interest Rate Implicit in the Lease – This is the discount rate that, when applied to the Minimum Lease Payments and any unguaranteed residual value accruing to the lessor, causes the aggregate present value to equal the Fair Value of the Leased Property to the lessor.  

    H.  Lease Term – The fixed term of the Lease in months.

    I.  Lessee’s Incremental Borrowing Rate – This is the rate that, at the inception of the Lease, the lessee would have incurred to borrow over a similar term the funds necessary to purchase the leased asset.

    J.  Minimum Lease Payments – From the standpoint of the lessee:  The payments that the lessee is obligated to make or can be required to make in connection with the leased property.  However, a guarantee by the lessee of the lessor’s debt and the lessee’s obligation to pay (apart from the rental payments) executory costs such as insurance, maintenance, and taxes in connection with the leased property shall be excluded.  If the Lease contains a Bargain Purchase Option, only the minimum rental payments over the Lease Term and the payment called for by the Bargain Purchase Option shall be included in the Minimum Lease Payments.  Otherwise, Minimum Lease Payments include the following:

        -  The minimum rental payments over the Lease Term

        -  Any guarantee by the lessee of the Residual Value of the Leased Asset at the expiration of the Lease Term, whether or not payment of the guarantee constitutes a purchase of the leased property

        -  Any payment for failure to renew or extend the Lease at the expiration of the Lease Term

  • AP 8.636 : Supply Inventory
     Inventorial Supplies – Un-issued materials or un-sold merchandise from units such as central stores, department storeroom/stockrooms, production facilities, health centers, food service units, printing/press operations, etc. which are charged to other departments, external agencies or customers as part of departmental operations.

  • AP 8.641 : Journal Entries
     Journal Entry Electronic Document (eDoc) - An accounting document used to record financial transactions or adjustments in the KFS.  Journal entries should contain at least two accounting lines, and include explanations, references to and attachments of documentary evidence supporting the entries.

  • AP 8.650 : Continuation and General Clearing Accounts
     A. Account - The account code is a seven (7) character code representing a functional unit established for a specific purpose with one individual having primary responsibility for it.  It monitors the financial activities for a functional unit.

    B. Appropriated Accounts - Accounts that are associated with funds appropriated from the state or federal government.

    C. Attribute – Non-dollar descriptive data associated with an account. They are maintained at the account level in KFS via the Account Maintenance e-Docs.

    D. Chart - Also referred to as Chart Code; Chart of accounts code that typically represents the campus or unit that an account belongs to.

    E. Chart Manager - A role in the Kuali Financial System that is responsible for maintenance of the accounts on a given chart.

    F. Clearing Account – An account that is used to temporarily accept posting from automated or manual processes when the target account or object code is not yet determined.

    G. Continuation Account - A clearing account that is designated to accept transactions initially coded to an expired account.

    H. Contracts & Grants Account - Account that is under the purview of the Office of Research Services (ORS) and identified with the ORS Indicator attribute on the Sub-Fund Group Code; also referred to as extramural or CG Account

    I. Depository of Funds - The location where cash is held, i.e. 1 = State of Hawai‘i; 2 = UHGA; 3 = Other; 4 = Fixed Assets

    J. Fiscal Administrator (FA) – Person that is responsible for monitoring and approving documents and transactions in KFS and certifying that the charges are accurate, appropriate, and allocable.

    K. Fiscal Officer Code (FO Code) - Three character code representing a functional unit that is under responsibility of a specific fiscal administrator.

    L. Imposed Status - Indicator that specifies if the account will be assessed fringe benefits (imposed) or if it will not be assessed fringe benefits (non-imposed). This is based on the UH Fund-Appropriation code.

    M. KFS Poster Routine (KFS Poster) - Part of the daily batch jobs that are run each day in KFS which posts that day’s finalized transactions.

    N. Organization Code - Also referred to as Org Code; a four character code representing a functional unit at the University, such as a school, department, college, program, etc.

    O. Sub-Fund Group Code - Account attribute used to designate the type or purpose of funds. i.e. STFSF = Special Funds, Tuition Fee Spending.

    P. Sub Fund Group Type - Attribute assigned to a Sub-Fund Group representing the source of funds, i.e. G = General Funds; F = Federal Funds

    Q. System Level Administrator - University level role typically associated with a system level office such as General Accounting Office (GAO) and ORS that is responsible for the overall compliance for their respective area of responsibility.

  • AP 8.651 : Non-Student Accounts Receivable and Delinquent Financial Obligations
    Accounts Receivable (AR) – Money owed to the University for goods sold or services rendered. These transactions are generally evidenced by an Invoice document. AR also arise from matters incidental to the operation of the University, such as, salary and wage overpayments, dishonored checks, and vendor credit memos.

    AR Subsidiary Ledger – An accounting ledger that shows the transaction and payment history separately for each customer. The balance in the AR Subsidiary Ledger account shall be periodically reconciled to the balance in the general ledger to ensure accuracy.

    Allowance for Doubtful Accounts – A valuation account used to estimate the portion of AR which is considered uncollectible (refer to AP 8.671 Year-End Accounting Data).

    Invoice – A billing document submitted to a customer or individual, identifying the transaction for which amounts are owed to the University. See Attachment 1 for the standard University Invoice form.

    Uncollectible Account – As defined in Hawai‛i Revised Statutes (HRS) Section 40-82, is an account where:

    The debtor or party causing damage to property belonging to the State is no longer within the jurisdiction of the State,

    The debtor or party causing damage to property belonging to the State cannot be located,

    The party causing damage to property belonging to the State is unknown or cannot be identified,

    The debtor is deceased or has filed bankruptcy and has listed the University as a creditor, or

    The account is deemed by the University General Counsel Office (OGC) to be uneconomical or impractical to collect.

    Write Off – The process to remove an Uncollectible Account from the AR records, provided the account has been delinquent for at least two (2) consecutive years with demonstrated due diligence collection efforts and approved for Write Off by the OGC.

  • AP 8.671 : Year-End Accounting Data
     Accrual basis - The basis of accounting under which revenues are recorded when earned and expenses are recorded when incurred (generally, when goods and services are received but not necessarily paid).

  • AP 8.685 : Cancellation or Replacement of University of Hawaii General Account Checks
     A.  Check - Refers to a check issued from the UHGA at the Bank of Hawai‘i (BOH).  Except for payroll and checks issued by the State of Hawai‘i, all University payments regardless of funds are made from the UHGA.

    B.  Lost checks - Checks not in the possession of the payee or the University, and have not been cashed by the Bank.  Lost checks may have been stolen, missing, misplaced, destroyed, forged or not received by the payee.

    C.  Stop payment - An order issued by the University to the Bank not to cash a check.

    D.  Stale dated checks - Checks issued by the University that have not been cashed with six (6) months from the date of the check.

    E.  Forgery - A fraudulent endorsement of a check.

  • AP 8.686 : Terminal Vacation Payout
     A. Terminal vacation payout fringe benefit rate – A single fringe benefit rate calculated as a percentage of payroll for all employees who accrue vacation, regardless of funding source.  The rate is assessed as a portion of total fringe benefit costs.  

    B. Terminal vacation payout – A payment for an accrued vacation balance made to a UH employee who is leaving the University because of termination, resignation, retirement, or transfer.

    C. Terminal vacation payout pool – A pool account (system wide account - SW 4432920) to collect all vacation payout contributions resulting from the fringe benefit rate assessment and from which all terminal vacation payouts are made.

  • AP 8.701 : Receipting and Depositing of Funds Received by the University
     
    A. Bank Deposit Slip – a pre-numbered form used to deposit cash and checks to the University’s bank account.  Campus and departments should contact the Treasury Office to request bank deposit slips.

    B. Campus Business Office – The central business office on each campus.  The Campus Business Office may be the Business Office or the Cashier’s Office, as designated by the internal procedures of the campus. On the Manoa Campus, it is the University of Hawai‘i Cashier’s Office.

    C.    Checks – There are several categories of checks.  All of the following are handled as checks and referred to as checks in this document.

    1.   Cashier’s check – A check purchased at a bank for any amount; the bank completes all information on the face of the check and a bank officer signs as the maker.
    2.   Certified check – A personal check that is written by the account holder and then stamped and signed by a bank officer on the front of the check.
    3.   Money order – An item purchased at a bank, post office, or other business establishment for any amount up to $1,000.
    4.   Traveler’s check – A special check supplied by banks or other companies for the use of travelers; these checks already bear the purchaser’s signature and must be countersigned and dated in the cashier’s presence.
    5.   Personal check – A written order payable on demand, drawn on a bank by a depositor; a personal check is written against an individual’s checking account as opposed to a cashier’s check, certified check, money order or traveler’s check, all of which are written against bank funds.

    D.    Department Heads – Includes Administrative Services Managers, Deans, Directors, Associate Vice Chancellors, Vice Chancellors, Associate Vice Presidents and Vice Presidents.

    E.    Electronic Funds Transfer (EFT) – Transfer of funds by electronic means via Automated Clearing House (ACH) or wire transfer directly to the University’s bank account.

    F.    Foreign checks – Any check not drawn on a U.S. bank, or which does not  have a U.S. clearing bank listed on it, even if the check is payable in U.S. dollars.

    G.    Kuali Financial System (KFS) – The University’s financial system.  All transactions related to University funds must be recorded in KFS.

    H.    University funds – All money in any form, including cash (coins and bills), checks, foreign checks, wire transfers, ACH direct deposits, and credit/debit cards received by the University.

    I.    University Funds Handler – All University personnel that are assigned duties related to safeguarding, receipting, depositing, recording or reconciling of University funds.

    J.    University of Hawai‘i General Account (UHGA) – The University’s checking account where all University funds, regardless of source of funds, are deposited unless authorized by the Vice President for Budget and Finance/Chief Financial Officer.

  • AP 8.702 : Establishment of Electronic Funds Transfer and Receipt of Funds
     A.    Electronic Funds Transfer (EFT) – Transfer of funds by electronic means via Automated Clearing House (ACH) or wire transfer directly to the University’s bank account. .

    B.    EFT Agreement Form - A form, usually provided by the remitter, requesting payee and financial institution information.

    C.    University of Hawai‘i General Account (UHGA) - The University’s checking account where all University funds, regardless of the source of funds, are deposited unless otherwise authorized by the Vice President for Budget and Finance/Chief Financial Officer.

  • AP 8.710 : Credit Card Administration
    1. Contractor – The vendor contracted by the University to provide merchant processing services, including authorization, processing, settlement and reporting of credit and debit card transactions.  The Contractor also provides equipment, software, training and support necessary to process these transactions.

    2. Merchant Department – A University department that is approved to accept credit cards as a form of payment.  It is also referenced as the Merchant in this Administrative Procedure.

    3. Merchant Account Contact – A regular, full-time employee that has been designated as the primary contact of the merchant and who coordinates and attests to the merchant’s compliance with PCI DSS and related University policies and procedures.  The Merchant Account Contact shall be appointed by the Dean/Director or Department Head of the unit.

    4. Merchant Fee – The service fee paid to the contractor by the Merchant based on the terms of the University’s merchant contract.

    5. Merchant Identification Number (MID) - A unique identification number established and issued by the contractor that identifies the department as a merchant.

    6. Merchant Information Technology (IT) Contact – The department’s designated IT staff member that works with the Merchant Account Contact on implementing required safeguards related to the merchant’s technical PCI DSS requirements.

    7. Minimum Security Standards (MSS) – A prioritized set of standards that collectively form a defense-in-depth set of best practices to mitigate the most common attacks against systems and networks.  These standards are to be followed to safeguard against the inadvertent exposure and inappropriate disclosure of University Institutional Data.

    8. Payment Card – For purposes of PCI DSS, payment cards includes any credit, debit or prepaid cards used in financial transactions that bear the logo of the five major card associations (Visa, MasterCard, American Express, Discover and JCB).  In this Administrative Procedure, the term credit card may be used in lieu of Payment Card.

    9. Payment Card Industry (PCI) – Includes Payment Card brands, issuing and acquiring banks, independent sales organizations, service providers and merchants who accept Payment Cards.

    10. PCI Security Standards Council (SSC) – A council comprised of the five major card associations including, Visa, MasterCard, American Express, Discover and JCB International.  The council is responsible for the development, management, education and awareness of the PCI DSS.

    11. PCI DSS – A set of twelve technical and operational requirements set by the PCI SSC to protect cardholder data and reduce credit card fraud.  These standards apply to all entities that store, process or transmit cardholder data.  The Merchant Department is required to meet the applicable requirements for their payment processing method/merchant environment.
      12.  
    12. Payment Processing Method – How a credit card transaction is processed, which includes:
      1. In-Person/Card Present – in person transactions where the cardholder presents their credit card to make a payment.

      2. eCommerce – a non-face-to-face, on-line transaction using electronic media over a public or private network.  Refers to all forms of business activities conducted over computer networks such as the Internet.

      3. Mail order/telephone order (MOTO) – cardholder data is provided to the merchant by the cardholder via mail, facsimile or through the phone.  Credit card information sent via other electronic methods (e.g. email, text, UH File Drop, etc.) is prohibited.

    13. Third-Party Payment Processing Service Provider – A third-party that provides connectivity among merchants, customers and financial networks to process authorization and payments and securely stores Payment Card data.   The provider must be a PCI DSS validated third-party.

    14. Self-Assessment Questionnaire (SAQ) – An annual self-assessment and attestation intended to demonstrate compliance with PCI DSS.


  • AP 8.731 : Student Accounts Receivable and Delinquent Financial Obligations
     A. Appeal – A petition disputing the University’s notification of delinquent financial obligation.

    B. Debtor – Any person who owes a debt to the University.

    C. Delinquent – Being past due on student loan payments or other financial obligation or failing to pay for tuition and fees by a published date.

    D. Hearing Officer – A person duly designated by the University to preside over a hearing.

    E. Sanctions – The range of penalties which the University may impose when a financial obligation becomes Delinquent.

    F. Setoff – The application of a person’s State of Hawai‘i income tax refund or any other sums due to the person from the State, to a valid debt due and owing the University pursuant to the authority granted by sections 231-51 to 231-59, Hawai‘i Revised Statutes.

    G.    Student Accounts Receivable (Student AR) – A receivable for charges associated with tuition, fees, housing and meal charges, etc. posted to a student’s account in the student information system.

  • AP 8.740 : Dishonored Checks
     A.    Dishonored check - A paper or electronic check, which the University has received and deposited, and is subsequently returned unpaid to the University by the maker's bank.  For purposes of this administrative procedure, dishonored check also includes any rejected Automated Clearing House (ACH) transaction related to scheduled payments to the University due to account closure, incorrect account, insufficient funds, etc.  A dishonored check is a financial obligation due to the University and must be held for safekeeping until it is repaid by the student or maker.

    B.    Sanctions - The range of penalties which the University may invoke if a dishonored check is not repaid.

    C.    Service charge - An amount assessed by the State of Hawai‘i in accordance with §40-35.5 HRS for a check that is dishonored for any reason.  The service charge cannot be waived and is deposited to the State general fund.

  • AP 8.750 : Establishment and Maintenance of Change Funds
     A.  Alternate Change Fund Custodian (Alternate Custodian) - An individual designated in writing by the Program Head and approved by the Treasury Office to act for a Change Fund Custodian during his/her absence.  The Alternate Custodian shall be a regular, full-time University employee.

    B.  Authorized Fund Amount - An established dollar amount approved by the Treasury Office.  The authorized fund amount should be sufficient to conduct a normal day’s business.  The authorized fund amount may also be based on the justification given for the fund and the physical security that will be provided.

    C.  Change Fund - An authorized sum of money advanced to a responsible individual for business transactions made within a department for the specific purpose of making change.

    D.  Change Fund Custodian (Custodian) - An individual designated in writing by the Program Head and approved by the Treasury Office to handle, safeguard and account for the cash in a change fund.  The Custodian shall be a regular, full- time University employee.

    E.  Program Head - Program Heads are leaders of functional units, e.g., college, division, department, center, administrative area and may include, but are not limited to, department chairs, Deans, Directors, Vice Chancellors, Vice Presidents, Chancellors and the President.

    F.  Temporary Increase – Additional cash in the change fund for a temporary period due to student registration or special events.  Temporary increases should be anticipated and requests for temporary increases shall be submitted prior to the peak periods.  A temporary increase shall be returned upon resumption of normal business activity.

  • AP 8.760 : IRS Compliance for Reporting Cash Payments Over $10,000
     A.  Cash - Coins and currency of the United States. The University prohibits acceptance of any foreign currency (refer to AP 8.701, III.C.2.a.iii.).

    Cash includes currency equivalents such as cashier’s checks, money orders, bank drafts, or traveler’s checks with a face value of $10,000 or less, if such items are:

         
    • Received in any transaction in which the recipient knows that such instruments is being used to avoid the report of the transaction, or

      •    
    • Received in a designated reporting transaction, which is defined as a retail sale of a consumer durable, a collectible or a travel or entertainment activity.

                   
      • Examples for the University include tickets for athletic or theatre performances; computers purchased at the bookstores; culinary catering events.

        •        

         




    For the purposes of this procedure, the following additional guidelines apply:

    -Cash does not include cashier’s checks, money orders, bank drafts or traveler’s checks with a face value of more than $10,000.  These items are not defined as cash and do not need to be filed on Form 8300 when received because if they were originally bought with currency, the bank or other financial institution that issued the item(s) would have previously filed a report to account for the transaction.

    - Cash does not include a cashier’s check if it constitutes the proceeds of a bank loan.

    - A personal check is not considered cash regardless of the amount.

    - The filing of Form 8300 does not apply to wire transfers.

    B.  Related Transaction - Any transactions between a buyer and a seller that occurs within a 24-hour period are related transactions.  Transactions can also be related even if they are more than 24 hours apart if you know, or have reason to know, that each transaction is one of a series of connected transactions.  

    An example of a related transaction is tuition, fees, room and board for the same term paid in cash within a rolling twelve-month period.  Payments for different terms should not be aggregated as a related transaction.

    C.  Term – For educational payments, the terms are defined as:

    - Spring Semester
    - Summer Session
    - Fall Semester

    D.  The University’s student system is programmed to flag collection of cash payments in excess of $10,000 over a rolling twelve-month period, however, does not distinguish the payments by term.  A review of the payments shall be made to determine if the payments are a related transaction (i.e. for the same term) and Form 8300 reporting is required.

  • AP 8.770 : Student Refunds
    Tuition and Fee Refund - An amount owed to a student who has made payment and drops or withdraws from classes by the specified refund deadline.  A refund will result when a student has made payment and a class is cancelled by the University.  Refunds may also result when a third- party payment, tuition waiver payment, scholarship payment or charge adjustment is posted to a student account.

    Part of Term - A part of term has a specific start and end date which identifies the period of enrollment for classes assigned to it. These dates must be contained within the semester.  Part of term 1 is always reserved for semester-long classes. Exceptions require approval from the Chief Academic Affairs Officer at the campus.

    Credit Balance Refund - An amount owed to a student that is created when excess financial aid remains on the student account after all eligible charges on the student account are paid in full and after Title IV financial aid is applied.  Parent Plus Loan proceeds are also considered credit balance refunds.

    Student eCommerce System - The computer system students enter via the University portal to conduct business on-line.  Students can make payments, join the payment plan, sign up for direct deposit (eRefund) as required by Administrative Procedure (AP) 8.802, and authorize a third party to pay or view charges.

  • AP 8.802 : Requirement of Direct Deposit and/or ACH

    No policy specific or unique definitions apply.

  • AP 8.806 : Roles and Responsibilities for Payment Transaction Processing

    No policy specific or unique definitions apply.

  • AP 8.808 : Bank Wire Transfer

    A. Wire Transfer - Bank transfer of funds where the account balance is electronically transferred from one bank to the other.

    B. Wire Transfer Form - Form used to request a transfer of funds by electronic means from the University’s bank account to the vendor’s bank.

  • AP 8.851 : Employee Out-of-State and Intra-State Travel
    Federal Allowable Rate (FAR) - The maximum allowable rate for Per Diem (Lodging and M&IE) set by the General Services Administration (GSA) for Contiguous United States (CONUS) travel, and by the Department of Defense for Outside Contiguous United States, Non-Foreign Overseas and Foreign (OCONUS) travel.

    Intra-State Travel - Authorized travel within the State of Hawai’i which includes inter-island travel (one-day travel where the traveler leaves and returns on the same day, overnight trips on research vessels in Hawaiian waters, and trips requiring overnight absence), and on-island travel (travel on the same island that requires overnight absence).  Note: Travel on the same island not requiring overnight absence, does not qualify as Intra-State Travel.

    Lodging - Allowable expenditure to cover the Lodging costs of Intra-State and Out-of-State Travel, where such Lodging costs are necessary and reasonable.

    Meals & Incidental Expenses (M&IE) - The maximum amount authorized for daily  Meals and Incidental Expenses determined by the business destination set by U.S. General Services Administration for CONUS travel and the Department of Defense for OCONUS travel.

    Out-of-State Travel - Authorized travel outside the State of Hawai’i to the United States (U.S.) and its territories and foreign localities.  Some procedural and accounting differences distinguish CONUS from OCONUS, i.e., special Per Diem rates, additional approval requirements, separate sub codes, etc.

    Per Diem - Allowance for Lodging, meals and related incidental expenses.  A maximum specified amount for each day of authorized intra-state or Out-of-State Travel is established by collective bargaining agreements.

  • AP 8.852 : Personal Automobile Mileage Voucher

    No policy specific or unique definitions apply.

  • AP 8.853 : Mobile Devices and Related Communications Services Program

    A.  Mobile Device Allowance - Subsidy to employees who incur incremental costs of business use of his/her personal mobile device.

    B.  Employee Mobile Device Program Form – Form used to substantiate business requirements and for recording proper authorization for granting or terminating the University-provided mobile devices and related services or monthly allowances to eligible employees.

    C.  Service Plan – A cellular service plan that includes voice, text, and data.

  • AP 8.863 : Relocation Allowances

    No policy specific or unique definitions apply.

  • AP 8.867 : Information Reporting on 1099-MISC, 1099-NEC and Backup Withholding on Payments

    The following definitions are from the Department of Treasury, Internal Revenue Service Publications:

    Taxpayer Identification Number (TIN) (Pub. 1281 - Backup Withholding on Missing and Incorrect TINS) - A TIN is either a social security number, an employer identification number, or an individual taxpayer identification number (which is issued by the IRS to a nonresident alien individual who is not otherwise eligible for a Social Security number).  Social security numbers (SSN) have nine digits separated by two hyphens (000-00- 0000), and employer identification numbers (EIN) and individual taxpayer identification numbers (ITIN) have nine digits separated by only one hyphen (00-0000000).

    Incorrect TIN (Pub. 1281 - Backup Withholding on Missing and Incorrect TINS) - A TIN/name combination that either does not match or is currently not found on Internal Revenue Service (IRS) or Social Security Administration (SSA) records.  For sole proprietors, the individual owner's name must be reported with either the individual owner's SSN or the business' (dba) EIN.

    Missing TIN (Pub. 1281 - Backup Withholding on Missing and Incorrect TINS) - Any TIN that has not been provided or a TIN that has more or less than 9 digits or a mixture of digits and letters.

    Backup Withholding (Pub. 1281 - Backup Withholding on Missing and Incorrect NAME/TIN(S)) - A system which the IRS imposes upon payers of certain types of income. Taxes are generally required to be withheld if the payee does not provide a TIN or if the IRS notifies the payer of an incorrect TIN.

    Entity Type (IRS Regulation Sections 1.761-1(a) and 301.7701-1(c)) - The form of an organization for tax purposes (e.g. individual, partnership, sole proprietor, government agency, corporation or tax exempt organization).  Different tax requirements apply to a payee based on its entity type.  Form W-9 “Request for Taxpayer Identification Number and Certification” (Attachment 3).

    Name Control (Pub. 1281 - Backup Withholding on Missing and Incorrect TINS) - The name provided on the first two name lines of the 1099-MISC & 1099-NEC information return.  The IRS matches the name and TIN combination on the 1099-MISC & 1099-NEC against its records to determine whether the TIN provided is correct.

    Nonresident Alien (Pub. 515 - Withholding of Tax on Nonresident Aliens and Foreign Entities) - A nonresident alien is an individual who is not a U.S. citizen or resident alien.  This includes a nonresident alien fiduciary.

    Resident Alien (Pub. 519 - U.S. Tax Guide for Aliens) - An alien who is a lawful permanent resident of the U.S. or meets the "Substantial Presence Test".  This test is met if the alien is present in the U.S. for more than 31 days during the current calendar year and 183 days during the past 3 consecutive calendar years.  For actual requirements of the test, see IRS Pub. 519 "U.S. Tax Guide for Aliens".  Resident aliens are taxed in the same manner as U.S. citizens.

  • AP 8.868 : Reporting and Withholding on Payments to Nonresident Aliens and Foreign Corporations

    The following definitions are from the Department of Treasury, Internal Revenue Service Publications:

    A. Candidate for a Degree – a student (whether full or part-time) who
    1. Attends a primary or secondary school or is pursuing a degree at a college or university, or
    2. Attends an educational institution that is authorized and accredited to provide a program that is acceptable for full credit toward a bachelor's or higher degree, or offers a program of training to prepare students for gainful employment in a recognized occupation.

    B. Dependent Personal Services - Personal services performed as an employee rather than as an independent contractor.

    C. Domestic Corporation - A corporation that was created or organized in the U.S. or under laws of the U.S. or any of its states.  Also includes a foreign corporation that elected to be treated as a domestic corporation.

    D. Foreign Person (individual or corporation) - A foreign person is a nonresident alien individual or foreign corporation that has not made an election under 26 CFR, section 897(i) to be treated as a domestic corporation, foreign partnership, foreign trust, or foreign estate.  It does not include a resident alien individual.

    E. Independent Personal Services Personal - Services performed by an independent contractor as contrasted with those performed by an employee.  Compensation includes payments for professional services, such as fees of an attorney, physician, or accountant made directly to the person performing the services.

    F. Nonresident Alien - A nonresident alien is an individual who is not a U.S. citizen or resident alien.

    G. Qualified and Nonqualified Educational Expenses for Scholarship, Fellowship and Traineeship Grant - Amounts used by a recipient of a scholarship, fellowship or traineeship for the following expenses:

    Tuition and fees required for enrollment or attendance at an educational organization, and

    Fees, books, supplies, and equipment required for courses of instruction at the educational organization.

    Tax Treatment of Scholarship/Fellowship Payments (Attachment 3)

    H. Resident Alien - An alien who is a lawful permanent resident of the U.S. or meets the "Substantial Presence Test".  This test is met if the alien is present in the U.S. for more than 31 days during the current calendar year and  183 days during the 3-year period that includes the current year and the 2 years immediately before that.  For actual requirements of the test, see IRS Pub. 519 "U.S. Tax Guide for Aliens".  Resident aliens are taxed in the same manner as U.S. citizens.

    I. Withholding Agent - Any person required to withhold tax including an individual, trust, estate, partnership, corporation, government agency, association, or tax-exempt foundation, whether domestic or foreign.  Withholding agents could include U.S. citizens and residents.  They also include foreign nominees and fiduciaries that are residents of treaty countries and must withhold additional U.S. tax under tax treaty provisions.  Resident or domestic fiduciaries of trusts or estates are withholding agents on payments to beneficiaries who are nonresident alien individuals, foreign partnerships, or foreign corporations.

  • AP 8.870 : Pay Types and Pay Days

    No policy specific or unique definitions apply.

  • AP 8.871 : Distribution on Security of Paychecks

    No policy specific or unique definitions apply.

  • AP 8.873 : Payroll Processing Cycle Deadlines

    No policy specific or unique definitions apply.

  • AP 8.876 : Overtime Authorization and Compensation

    A. Overtime - defined in the employee’s applicable collective bargaining contract and, in the case of excluded employees, by statute.

  • AP 8.877 : Salary and Wage Overpayment Recovery

    No policy specific or unique definitions apply.

  • AP 8.879 : Post Death Payments

    A. Post death payment – final payments of a deceased employee’s compensation (e.g., regular pay, vacation pay, retroactive pay, overtime pay, etc.) payable to a designated beneficiary or estate.

  • AP 8.926 : Administrative Procedure, AP 8.926 Administrative and Financial Management Requirements for Extramurally Financed Research and Training Programs/Activities of the University of Hawai`i (UH
     No policy specific or unique definitions apply

  • AP 8.927 : Administrative Procedure, AP 8.927 Facilities & Administrative Cost Charges in Contracts and Grants
     No policy specific or unique definitions apply

  • AP 8.951 : Accounting for Federally Matching Equipment Grants
     <No Procedure specific definitions.>

  • AP 9.005 : University Executive Designations
     <No Procedure specific definitions.>

  • AP 9.010 : Reporting of Changes and Corrections of Employee's Personal Records
     <No Procedure specific definitions.>

  • AP 9.025 : Fair Information Practice (Confidentiality of Personal Records)
     <No Procedure specific definitions.>

  • AP 9.030 : (Revised) State and Federal Posting Requirements
     <No Procedure specific definitions.>

  • AP 9.035 : Fair Labor Standards Act (FLSA)
     <No Procedure specific definitions.>

  • AP 9.041 : Utilization of Volunteer Services of the University of Hawaii
     <No Procedure specific definitions.>

  • AP 9.060 : 1977 Edition of the Faculty Hanbook for Manoa and Hilo Campuses (Including Major Policies Affecting Faculty Relations in the Community Colleges and the University as a Whole) University of Hawaii, 1973 Interim Revision
     <No Procedure specific definitions.>

  • AP 9.075 : Personnel Records
     <No Procedure specific definitions.>

  • AP 9.080 : Collective Bargaining Agreements Covering Civil Service Employees
     <No Procedure specific definitions.>

  • AP 9.090 : State of Hawaii Personnel Rules, Title 14, Administrative Rules, Department of Personnel Services, Subtitle 1
     <No Procedure specific definitions.>

  • AP 9.091 : HRS Chapter 89C, Adjustments for Civil Service Employees Excluded from Collective Bargaining
     <No Procedure specific definitions.>

  • AP 9.110 : Employment-Related Grievance Procedure for Persons (Including Applicants for Positions) Not Covered by Collective Bargaining Agreement Grievance Procedures or Other Applicable Procedures
     <No Procedure specific definitions.>

  • AP 9.130 : Procedures for Taking Disciplinary and Discharge Actions for Civil Service and Non-Civil Service Employees
     <No Procedure specific definitions.>

  • AP 9.140 : Internal Complaint Procedure for Civil Service Employees Complaints related to the Civil Service System
     <No Procedure specific definitions.>

  • AP 9.160 : University Employee Training
     <No Procedure specific definitions.>

  • AP 9.170 : Performance Evaluation of Administrative, Professional and Technical (APT) Personnel
     <No Procedure specific definitions.>

  • AP 9.190 : University Employee Perquisites
     <No Procedure specific definitions.>

  • AP 9.195 : Establishment of New Positions and Abolishment of Positions
     <No Procedure specific definitions.>

  • AP 9.205 : Salary Schedules for Faculty Personnel
     <No Procedure specific definitions.>

  • AP 9.220 : Lump Sum Payment of Prorated Salary upon Termination
     <No Procedure specific definitions.>

  • AP 9.230 : Maximum Additional Compensation (Overload) Rates for Board of Regents Personnel
     <No Procedure specific definitions.>

  • AP 9.235 : Administrative Stipends for Department Chairs and Special Program Directors
    <No Procedure specific definitions.>

  • AP 9.240 : Record of Outside Employment
     <No Procedure specific definitions.>

  • AP 9.290 : Annual Review of Civil Service Position Descriptions
     <No Procedure specific definitions.>

  • AP 9.300 : Preparation of Position Descriptions (Civil Service)
     <No Procedure specific definitions.>

  • AP 9.310 : Temporary Assigments for Civil Service Employees
     <No Procedure specific definitions.>

  • AP 9.330 : Flexible Working Hours Program for Civil Service Employees
     <No Procedure specific definitions.>

  • AP 9.335 : Nepotism
     <No Procedure specific definitions.>

  • AP 9.350 : Application for Transfer of Vacation and Sick Leave Credit or Payment in Lieu of Vacation
     <No Procedure specific definitions.>

  • AP 9.360 : Leaves of Absence for Pregnancy Related Disabilities
     <No Procedure specific definitions.>

  • AP 9.365 : Special Benefits for ERS Members on Military Leave Without Pay
     <No Procedure specific definitions.>

  • AP 9.370 : Retirement System Contributions While On Unpaid Professional Improvement or Educational Leave
     <No Procedure specific definitions.>

  • AP 9.380 : Vacation and Sick Leave System
     <No Procedure specific definitions.>

  • AP 9.390 : Vacation Credit Fund Transfer
     <No Procedure specific definitions.>

  • AP 9.400 : Guidelines for Sabbatical Leaves for Faculty
     <No Procedure specific definitions.>

  • AP 9.410 : Intergovernmental Service
     <No Procedure specific definitions.>

  • AP 9.420 : Leave without Pay for BOR Personnel
     <No Procedure specific definitions.>

  • AP 9.430 : Professional Improvement Leaves for APT Personnel
     <No Procedure specific definitions.>

  • AP 9.460 : Sabbatical leaves for Regular Civil Service Employees
     <No Procedure specific definitions.>

  • AP 9.470 : Leave Sharing
     <No Procedure specific definitions.>

  • AP 9.480 : Casual Appointments
     <No Procedure specific definitions.>

  • AP 9.485 : Filling of Vacant Position
     <No Procedure specific definitions.>

  • AP 9.520 : Tuberculosis Clearance
     <No Procedure specific definitions.>

  • AP 9.540 : Recruitment and Selection of Faculty and Administrative, Professional and Technical (APT) Personnel
    <No Procedure specific definitions.>

  • AP 9.560 : Appointment of Lecturers and Cooperating Teachers/Counselors
     <No Procedure specific definitions.>

  • AP 9.570 : Appointment Procedure for Board of Regents Personnel
     <No Procedure specific definitions.>

  • AP 9.580 : Employment of Employees' Retirement System (ERS) Retirants
     <No Procedure specific definitions.>

  • AP 9.600 : Joint Appointments between the University of Hawai‘i and the East-West Center
     <No Procedure specific definitions.>

  • AP 9.610 : Immigration Classifications for Employment of Foreign Nationals
     <No Procedure specific definitions.>

  • AP 9.650 : Exchange of Faculty with Other Institutions
     <No Procedure specific definitions.>

  • AP 9.660 : Civil Service Type Positions for Federally Funded Projects
     <No Procedure specific definitions.>

  • AP 9.670 : Employment of Personnel During Vacations
     <No Procedure specific definitions.>

  • AP 9.680 : Form I-9, Employment Eligibility Verification
     <No Procedure specific definitions.>

  • AP 9.685 : E-Verify Program
     <No Procedure specific definitions.>

  • AP 9.700 : ERS Service Credit for Previous Military Service
     <No Procedure specific definitions.>

  • AP 9.710 : Prescription Safety Glasses
     <No Procedure specific definitions.>

  • AP 9.720 : Workers' Compensation
     <No Procedure specific definitions.>

  • AP 9.730 : Workplace Non-violence Campus Procedures
     <No Procedure specific definitions.>

  • AP 9.740 : Tax Deferred Annuity Program (TDA)
     <No Procedure specific definitions.>

  • AP 9.750 : University of Hawaii Safety and Health Program
     <No Procedure specific definitions.>

  • AP 9.751 : Recording Occupational Injuries and Illnesses
     <No Procedure specific definitions.>

  • AP 9.760 : Procedures for Subsidized Parking
     <No Procedure specific definitions.>

  • AP 9.770 : State of Hawaii Temporary Disability Benefits Plan for Civil Service Employees Covered by a Collective Bargaining Agreement
     <No Procedure specific definitions.>

  • AP 9.771 : State of Hawaii Temporary Disability Benefits Plan for Non-Bargaining or Excluded Employees
     <No Procedure specific definitions.>

  • AP 9.800 : Unemployment Insurance Law
     <No Procedure specific definitions.>

  • AP 9.820 : Procedures for Accepting Resignation or Retirement
    1. “Appointing authority” for the purpose of this administrative procedure shall mean those individuals, including Vice Presidents, Associate Vice Presidents, Provost, Vice Provost, Assistant Provost, Associate/Assistant Vice-Provost, Chancellors, Vice Chancellors, Associate/Assistant Vice Chancellors, Deans and Directors, etc., authorized to approve the hiring and termination of BOR appointees.

    2. “Resignation” means an action taken by an employee to sever his/her employment relationship with the University. Acceptance of a resignation by an appointing authority does not necessarily imply that the employee resigned in “good standing.”


  • AP 9.830 : Layoff of APT Employees Included in the Bargaining Unit
     <No Procedure specific definitions.>

  • AP 9.840 : Work Force Reduction
     <No Procedure specific definitions.>

  • AP 9.860 : Policies and Procedures on Student Grievances
     <No Procedure specific definitions.>

  • AP 9.880 : Policies and Procedures on Student Employment
    1. Student Assistants. Students who are employed by the University of Hawai‘i or affiliate agencies while pursuing a certificate, degree or professional diploma. This employment, regardless of funding source, is a form of financial assistance enabling the students to pursue their education. Student employment is intended to provide students with an opportunity to meet their educational objective, therefore, student assistants are not regular employees of the University and are not entitled to the same fringe benefits.


    2. Campus Student Employment Office. That office of the campus which is responsible for the classification of student assistant positions, the finalizing of student assistant applications, and the placing of student assistants.

      Individual campuses may make provisions to delegate these functions to other campus offices as may be appropriate to meet special campus needs. This office is responsible for the enforcement of these policies and is authorized to initiate necessary payroll transactions when violations persist (e.g. mandatory increments, termination upon graduation, incomplete I-9, etc.).


    3. Educational Affiliation Amongst UH Campuses. Current federal regulations provide for international students to be employed up to 20 hours per week during the academic year and up to full time during the student's annual summer term. On-campus employment at an off-campus location is allowed, if there is an educational affiliation between a student's home campus and another campus or organization.

      The University of Hawai‘i acknowledges that there exists a continuous and on-going educational affiliation amongst the UH campuses based on educational curriculum, the UH strategic plan, and these policies which facilitate UH student employment at all UH campuses.

      Any UH-enrolled international student may be employed on any UH campus without needing prior authorization from the international student services unit at the student's home school provided the student meets all other eligibility criteria set forth in these policies and as established on the campus where the student seeks employment.


    4. Earning Modules. That dollar portion, as determined by the campus financial aid office, of the student's financial aid package expected to be achieved through employment.

      NOTE: Financial aid policies and procedures govern all aspects of earning modules for Federal Work Study students.


  • AP 9.890 : Equal Employment Opportunity/affirmative Action Program
     <No Procedure specific definitions.>

  • AP 9.895 : EEO/AA Glossary
     <No Procedure specific definitions.>

  • AP 9.900 : Policy and Complaint Procedure for Members of the Public Who Have Discrimination Complaints Regarding Public Accommodations or ADA Complaints Regarding Disability Access to University Services, Programs, and Activities
     <No Procedure specific definitions.>

  • AP 9.910 : Reporting Procedure for Employment Discrimination Complaints
     <No Procedure specific definitions.>

  • AP 10.100 : Task Order Price Estimates
     <No Procedure specific definitions.>

  • AP 10.110 : Labor Recording System
     <No Procedure specific definitions.>

  • AP 10.120 : Accounting
     <No Procedure specific definitions.>

  • AP 10.130 : Prorated Direct Costs
     <No Procedure specific definitions.>

  • AP 10.200 : Compensation of Employees
     <No Procedure specific definitions.>

  • AP 10.300 : Procurement Policies
     <No Procedure specific definitions.>

  • AP 10.350 : Personal Property
     <No Procedure specific definitions.>

  • AP 10.355 : Capitalization
     <No Procedure specific definitions.>

  • AP 12.203 : Service Orders to the Research Corporation of the University of Hawaiʿi
     A. Extramural contracts or grants: in the context of this policy are contracts or grants received by UH as a contractor or grantee, where the sponsor of the contract or grant is external to UH, and the funds supporting the contract or grant activities are not state general funds legislatively appropriated to UH or tuition and fee revenue generated through UH educational programming.  Examples of extramural contracts or grants include:  federal research or training contracts or grants awarded to UH by federal agencies (excluding federal financial aid programs), contracts or grants awarded to UH by other state agencies, county governments or non-governmental organizations, including both commercial and non-profit entities.

    B. Intramural funds: funds received by UH that are subsequently used at its discretion to fund activities consistent with the limitations and purposes for which the funds were received. The indirect overhead portion of extramural contracts or grants that are deposited into UH research and training revolving funds (RTRF), Tuition and Fee Special Funds (TFSF) and Special Fund Research Recharge Centers (SRRC) as defined below are examples of intramural funds. In the context of this policy, intramural funds exclude state general funds appropriated to UH or tuition and fee revenue generated through UH educational programming.

    C. Special Fund Research Recharge Center (SRRC) refers to a special fund that includes Specialized Service Facilities (SSFs), Recharge Centers and Core facilities.  These are self-sustaining, income generating projects which provide goods or services to support contracts, grants or other sponsored agreements and intramurally funded activities on an ongoing basis primarily for UH affiliated customers.

    D. Designated UH Official (DUO): the Fiscal Administrator (FA) of the UH program requesting RCUH services.

    E. Covered position: a UH position that is covered by a Collective Bargaining Contract and included in a Collective Bargaining Unit.  A covered position is normally hired through the UH and State personnel systems and procedures.

  • AP 12.204 : Special Fund Research Recharge Centers
     A. Core facility (source:  National Institutes of Health (NIH) NOT-OD-13-053):  a core facility is a centralized shared research resource that provides access to instruments, technologies, services, as well as expert consultation and other services to scientific and clinical investigators.  The typical core facility is a discrete unit within an institution and may have dedicated personnel, equipment, and space for operations. In general, core facilities recover their cost, or a portion of their cost, of providing services in the form of user fees that are charged to an investigator's funds, often to NIH or other federal grants.  Core facilities may be fiscally supported by institutional funds, federal funds, external revenue, other funding, or any combination of these.

    B. Fiscal Administrator (FA):  the FA or their delegate of the SRRC account.  The term "Fiscal Administrator" is a working title not descriptive of any one position, but rather refers to that group or class of persons who perform the business and fiscal administration functions for a particular University unit.  These persons may occupy positions with such job titles as Vice Chancellor of Administration, Director of Administrative Services, Assistant Dean, Assistant Director, and other positions within the APT Institutional Support Career Group. (definition from AP 8.025, Fiscal Responsibilities within the University).

    C. Intramural funds:  funds received by UH that are subsequently used at its discretion to fund activities consistent with the limitations and purposes for which the funds were received. The indirect overhead portion of extramural contracts or grants that are deposited into UH research and training revolving funds (RTRF), Tuition and Fee Special Funds (TFSF) and SRRCs as defined below are examples of intramural funds.  In the context of this policy, intramural funds exclude state general funds appropriated to UH or tuition and fee revenue generated through UH educational programming.

    D. Non-UH affiliated customers:  customers who are external to UH colleges, schools, departments and units, also includes students and employees acting in a personal capacity.

    E. Other sponsored agreements:  external sponsorship of a research, training or other activity established through forms of agreements other than a contract, grant or cooperative agreement.  Other forms of agreement include, but are not limited to, purchase orders (PO), master agreements, memorandums of agreement (MOA), memorandums of understanding (MOU), cooperative research and development agreements (CRADA), consortium agreements, etc.

    F. Principal Investigator (PI) or Project Director (PD):  the PI/PD named on a sponsored award. (definition from AP 8.025, Fiscal Responsibilities within the University).

    G. Project Manager (PM):  the Account Supervisor (or designee) on the Kuali Financial System (KFS) account with overall responsibility for operating and maintaining the SRRC.

    H. Project personnel:  personnel assigned to the project, which may include persons hired through UH or the Research Corporation of the University of Hawaiʿi (RCUH).

    I. Recharge center:  an institutional unit providing goods or services on a fee for service basis which supports contracts, grants or other sponsored agreements and intramurally funded activities on an ongoing basis but which generate less than $1,000,000 of revenue per year.

    J. Special Fund Research Recharge Center (SRRC):  a special fund that includes core facilities, recharge centers and specialized service facilities (SSFs). These are self-sustaining, income-generating projects which provide goods or services to support contracts, grants or other sponsored agreements and intramurally funded activities on an ongoing basis primarily for UH affiliated customers.  SRRC activity consists of internal “sales” but may include occasional sales to non-UH affiliated customers.  Cost of providing goods or services are recovered through charges to users.

    K. Specialized Service Facility (SSF):  an institutional service involving the use of highly complex or specialized facilities which supports contracts, grants or other sponsored agreements and intramurally funded activities on an ongoing basis.  SSFs that do not generate at least $1,000,000 of revenue per year will be considered a recharge center.

    L. SRRC Proposal:  the formal request to establish, amend, renew or terminate an SRRC project, which is routed to the Department Chair, the Dean/Director, the FA and the Vice President for Research and Innovation (VPRI) / Vice Provost for Research and Scholarship (VPRS) / Chancellor (or designee).

    M. UH affiliated customers: UH colleges, schools, departments and units.
    Administrative Procedure

  • AP 12.205 : Patent and Copyright Disclosure Procedures, Determination of Respective Rights, and Appeals
     No policy specific or unique definitions apply.

  • AP 12.206 : Procedures to Manage Ethical Issues in Technology Transfer Activities Sponsored by the University
     Act 38 refers to Act 38, Session Laws of Hawai‘i, 2017 (HB 425) that establishes an exemption for technology transfer activities sponsored by the University.

    A. An Act 38 Management Plan refers to an activity-specific document that establishes the responsibilities of the University and University employees to identify, avoid, mitigate and manage ethical issues that arise during the course of technology transfer activities supported by University resources.

    B. Act 39 refers to Act 39, Session Laws of Hawai‘i, 2017 (HB 847) that establishes the Innovation and Commercialization Initiative Program, codified in Part IV, Chapter 304A, Sections 1951 through 1959, Hawai‘i Revised Statutes.

    C. Applicant means the University employee who is also an officer, director, owner, creditor, employee or has a financial interest in a private entity who utilizes University resources to facilitate technology transfer activities on behalf of the private entity or on the applicant’s behalf when acting in a private capacity.

    D. Conflicts of Interest Committee means the committee established under Administrative Procedures 5.504 (Procedures for Disclosing and Addressing Conflicts of Interest and Commitment).

    E. Ethics Committee means the committee established by EP 12.211 (Policy for Responding to Allegations of Research and Scholarly Misconduct) and AP 12.211 (Administrative Procedure for Responding to Allegations of Research and Scholarly Misconduct).

    F. Office of Innovation and Commercialization means the unit within the Office of the Vice President for Research and Innovation that is the primary unit responsible for promoting technology transfer and administering University-generated intellectual property.

    G. Office of Research Compliance means the unit within the Office of the Vice President for Research and Innovation that oversees regulatory compliance programs such as human studies, animal welfare, biosafety, research integrity, research conflicts of interests, and export controls.

    H. State Ethics Code refers to Chapter 84, Hawai‘i Revised Statutes

    I. Technology Transfer Activities are activities undertaken by or at the University in collaboration with non-University organizations to transfer scientific findings, discoveries, or other inventions from the University to the private sector for commercial purposes.

    J. University Employees for purposes of this Administrative Procedure means any employee of the University, and include employees of the Research Corporation of the University of Hawai‘i, and others as more specifically defined in Administrative Procedures A5.504.

    K. The definitions and terms used in Administrative Procedure A5.504 (August 22, 2014), as amended, are incorporated as a reference and are to be used as a guide for this Administrative Procedure, unless specifically modified by this Administrative Procedure.

  • AP 12.211 : Administrative Procedure Procedure for Responding to Allegations of Research and Scholarly Misconduct
     A. Allegation means a disclosure of possible research misconduct through any means of communication.  The disclosure may be by written or oral statement or other communication to the RIO or other institutional official such as an Ethics Committee member, or Departmental Chairs or Deans.

    B. Assessment means the initial evaluation of an allegation of research misconduct by the Research Integrity Officer and Ethic Committee Chairperson. During this time it will be determined whether the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified.

    C. Complainant means a person who makes an allegation of research misconduct.

    D. Conflict of Interest means the real or apparent interference of one person’s interests with the interests of another person where the disinterestedness of an adjudicator may reasonably be called into question and potential bias may occur due to prior or existing personal or professional relationships. As expressed in Executive Policy EP 12.214, a potential or actual conflict of interest exists when commitments and obligations to the University or to widely recognized professional norms are likely to be compromised by a person’s other interests or commitments, especially financial, particularly if those interests or commitments are not disclosed.

    E. Deciding Official (DO) means a Senior Academic or Research Institutional Official appointed by the University President.  This individual makes final determinations on allegations of research misconduct and any institutional administrative action. The DO will not be the same individual as the Research Integrity Officer and should have no direct prior involvement in the institution's inquiry, investigation, or allegation assessment.  A Deciding Official’s appointment of individuals to evaluate allegations of research misconduct is not considered to be direct prior involvement on the part of the DO.

    F. Ethics Committee (EC) means the standing committee appointed by the DO and established to assist the RIO in evaluating alleged violations of research misconduct. The Ethics Committee shall have 16 members consisting of a Chairperson and 15 members selected from faculty and staff within the UH system.

    G. Evidence means any document, tangible item, or testimony offered or obtained during a research misconduct proceeding that tends to prove or disprove the existence of an alleged fact.

    1. Burden of Proof. The University has the burden of proof for making a finding of research misconduct. The destruction, absence of, or respondent’s failure to provide research records adequately documenting the questioned research is evidence of misconduct where the University has established by a preponderance of evidence that the respondent intentionally, knowingly, or recklessly had research records and destroyed them, had the opportunity to maintain the records but did not do so, or maintained the records and failed to produce them in a timely manner and that the respondent’s conduct constitutes a significant departure from accepted practices of the relevant research community.

    2. Preponderance of evidence means proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not.

    3. Standard of Proof.  An UH finding of research misconduct must be proved by a preponderance of the evidence.

    H. General Counsel means the legal counsel who represents the University and is responsible for advising the DO, RIO, and Ethics Committee whenever such counsel is sought.  The UH General counsel does not represent the respondent, the complainant/informant, or any other person participating during the Inquiry or Investigation stages, or any follow-up action, except the Institutional officials, EC members, and others responsible for managing or conducting the University of Hawaii’s evaluations of research misconduct allegations as part of their official duties.

    I. Good Faith, as applied to a complainant or witness, means having a belief in the truth of one’s allegation or testimony such that a reasonable person would call attention to the perceived irregularities known at the time.  An allegation, testimony, or cooperation on the part of a complainant, informant, witness, or respondent is not in good faith if it is made with knowing or reckless disregard for information that would negate the allegation or testimony. Good faith as applied to members of a committee or review panel means cooperation for the purpose of helping an institution meet its responsibilities to investigate potential research misconduct.

    J. HHS means the United States Department of Health and Human Services.

    K. Informant means a person who wishes to remain anonymous and who informs the University (e.g., through the Ethics Committee, the RIO, an institutional official) of the possibility of research misconduct.

    L. Inquiry means preliminary information-gathering and fact-finding to determine whether an allegation of research or scholarly misconduct warrants an investigation.

    M. Institutional Member means a person who is employed by, is an agent of, or is affiliated by contract or agreement with an institution. Institutional members may include, but are not limited to officials, tenured and untenured faculty, teaching and support staff, researchers, research coordinators, clinical technicians, postdoctoral and other fellows, students, volunteers, agents, and contractors, subcontractors, and sub- awardees, and their employees.

    N. Investigation means the formal development of a factual record and the examination of that record by an EC Review Panel, leading to a decision not to make a recommendation of a charge of research misconduct or to recommend such a charge. Decisions are reported in writing to the DO.

    O. Institutional Investigation means the Institution’s (e.g., DO and Administrators) evaluation of the EC investigation, for the purpose of either concurring with the EC’s findings or initiating ancillary procedures, such as additional interviews and/or further investigation.

    P. Misconduct Definition (PHS). For the purposes of PHS regulations and reporting to the Office of Research Integrity, “Misconduct” or “Research Misconduct” means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

    1. Fabrication is making up data or results and recording or reporting them.

    2. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

    3. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

    Research Misconduct does not include honest error or differences of opinion.


    Q. Misconduct Definition (UH).  Under Executive Policy EP 12.211, the UH definition of misconduct includes the PHS definition and the following elements:

    1. Abuse of confidentiality.  Taking or appropriating confidential or private information without proper authority or releasing or disclosing to others, without proper authority, ideas, data, or other information given with the expectation of confidentiality. This includes any unauthorized disclosure of personal health information as defined by HIPAA in the context of research misconduct.

    2. Property Violation. Misappropriation, maliciously destroying, or altering without proper authority the research-related papers, data, supplies, equipment, or other products of research or scholarship. “Property” in this context can be regarded as either physical or intellectual property.

    3. Improprieties of Authorship: Improper assignment of credit, such as excluding others, misrepresentation of the same material as original in more than one publication; listing as an author any persons who (i) did not contribute significantly to the published research, (ii) do not or cannot stand behind the research results or (iii) have not carefully examined the manuscript. Improprieties also include allowing oneself to be listed as an author when significant contributions have not been made and submission of multi-authored publications without the concurrence of all authors.

    4. Misappropriation of Funds.  Using research, or scholarship-related, funds for purposes that are in clear and substantial violation of the terms of a grant or regulations and policies

    5. Violation of generally accepted research practices.  Serious deviation from accepted practices in proposing or carrying out research, improper manipulation of experiments to obtain biased results, deceptive statistical or analytical manipulations, or improper reporting of results.

    6. Material failure to comply with federal, state, or university regulations pertaining to care and protection of animal subjects; protection of human subjects; use of recombinant DNA, radioactive, biological, or chemical materials; or the conduct of classified research. This includes but is not limited to serious or substantial willful violations that involve inappropriate use of funds.

    7. Inappropriate behavior including accusations of misconduct made in bad faith, withholding or destruction of information relevant to a claim of misconduct, reckless or false testimony to an Ethics Committee or Review Panel member, and retaliation against persons involved in an investigation.

    8. Deliberate material misrepresentation of qualifications, experience, or research accomplishments to advance a research program, to obtain external funding, or for other professional advancement.

    9. Conduct that violates research and scholarly-related ethical standards as expressed in relevant codes of conduct promulgated by professional associations and learned societies within the various disciplines.

    10. Violations of provisions of Executive Policy EP 12.214 regarding conflict of interest.

    R. Office of Research Integrity (ORI) means the office to which the HHS Secretary has delegated responsibility for addressing research integrity and misconduct issues related to PHS supported activities.i   (website: http://ori.dhhs.gov/ )

    S. PHS support means PHS funding for biomedical or behavioral research, biomedical or behavioral research training, or activities related to that research, or training that may be provided through:  PHS grants, cooperative agreements, or contracts or sub- grants or subcontracts under those PHS funding instruments; or salary or other payments under PHS grants, cooperative agreements or contracts.

    T. Public Health Service or PHS means the unit within HHS that includes the Office of Public Health and Science and the following Operating Divisions: Agency for Healthcare Research and Quality, Agency for Toxic Substances and Disease Registry, Centers for Disease Control and Prevention, Food and Drug Administration, Health Resources and Services Administration, Indian Health Service, National Institutes of Health, and the Substance Abuse and Mental Health Services Administration, and the offices of the Regional Health Administrators.

    U. Records of Research Misconduct Proceedings means: (1) the research records and evidence secured for the research misconduct proceeding pursuant to this policy and 42 CFR §§ 93.305, 93.307(b), and 93.310(d), except to the extent the RIO determines and documents that those records are not relevant to the proceeding or that the records duplicate other records that have been retained; (2) the documentation of the determination of irrelevant or duplicate records; (3) the inquiry report and final documents (not drafts) produced in the course of preparing that report, including the documentation of any decision not to investigate, as required by 42 CFR § 93.309(c); (4) the investigation report and all records (other than drafts of the report) in support of the report, including the recordings or transcripts of each interview conducted; and (5) the complete record of any appeal within the institution from the finding of research misconduct.

    V. Research Integrity Officer (RIO) is appointed by the DO or his/her designee. The RIO, in consultation with the Chairperson of the Ethics Committee, is responsible for: (1) assessing allegations of research misconduct to determine if they fall within the definition of research misconduct, as covered by Executive Policy EP 12.211 and whether they warrant an inquiry on the basis of the allegation being sufficiently credible and specific so that potential evidence of research misconduct may be identified; (2) overseeing inquiries and investigations; and (3) providing staff support to Review Panels.

    W. Research Misconduct Proceeding means any actions related to alleged research misconduct that is within 42 CFR Part 93 and EP 12.211, including but not limited to, allegation assessments, inquiries, investigations, ORI oversight reviews, hearings and administrative appeals.

    X. Research Record means the record of data (both written and electronic) or results that embody the facts resulting from academic research or scholarly work, including but not limited to, research proposals, laboratory records, progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and any documents and materials provided to the RIO, an EC member, or an institutional official during the course of a research misconduct proceeding.ii

    Y. Respondent means the person against whom an allegation of research misconduct is directed and who is the subject of a research misconduct proceeding.

    Z. Retaliation means an adverse action taken against a complainant, informant, witness, or EC Committee or Panel member of this institution or one of its institutional members in response to (1) a good faith allegation of research misconduct; or (2) good faith cooperation with a research misconduct proceeding.

    AA. Review Panel means the group of faculty and staff that conducts an inquiry or investigation dealing with allegations of research misconduct. The Review Panel shall be composed of five (5) individuals. The RIO, in consultation with the EC Chairperson, will appoint the Review Panel members who may include non-EC members who have relevant expertise.

  • AP 12.217 : Procedure for Institutional Oversight of Life Sciences Dual Use Research of Concern
       A. “Companion Guide” means the Tools for the Identification, Assessment, Management, and Responsible Communication of Dual Use Research of Concern: A Companion Guide to the U.S. Government Policies for Oversight of Life Sciences Dual Use Research of Concern, prepared by the National Institutes of Health (September 2014).
       B. “Deciding Official” (DO) means the University’s Vice President for Research and Innovation, or designee, who shall have authority to make final decisions on appeals from Institutional Review Entity decisions.
       C. “Dual Use Research” (DUR) is research conducted for legitimate purposes that generates knowledge, information, technologies, and/or products that can be utilized for benevolent and malevolent purposes.
       D. “Dual Use Research of Concern” (DURC) means the life sciences that, based on current understanding, can be reasonably anticipated to provide knowledge, information, products, or technologies that could be directly misapplied to pose a significant threat with broad potential consequences to public health and safety, agricultural crops and other plants, animals, the environment, materiel, or national security.

       E. “DURC Policies” means the United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern (Policy for Institutional DURC Oversight) and the United States Government Policy for Oversight of Life Sciences Dual Use Research of Concern (March 2012 DURC Policy), or as superseded by later federal policies.

       F. “Extramural research” means research that is funded by a source other than the University, such as by federal grants.

       G. The “Federal Select Agent Program” oversees the possession, use and transfer of biological select agents and toxins, which have the potential to pose a severe threat to public, animal or plant health or to animal or plant products.

       H. The “Institutional Animal Care and Use Committee” (IACUC) is established by the University to provide institutional oversight and evaluation of the animal care and use program and its components.

       I. The “Institutional Biosafety Committee” (IBC) is established by the University to provide institutional oversight of recombinant DNA research (rDNA) and infectious materials.

       J. “Institutional Contact for Dual Use Research” (ICDUR) means the University’s Assistant Vice Chancellor for Research Compliance, or designee, who shall serve as an internal resource for issues regarding compliance with and implementation of the requirements for DURC oversight.  The ICDUR shall also serve as the liaison (as necessary) between the University and the relevant federal funding agency, and other University offices, including, but not limited to the Office of Export Controls, Office of Research Services, and University General Counsel.

       K. The “Institutional Review Board” (IRB) is established by the University to provide institutional oversight of research protocols involving human research participants.

       L. The “Institutional Review Entity” (IRE) is established by the University to execute the requirements of this policy.  Refer to Section 7.2.B.i-7.2.B.v of the Policy for Institutional DURC Oversight for further guidance.

       M. “Intramural research” means research that is funded by the University for its own benefit.

       N. “Listed agents” means the agents and toxins in the most current list by the National Select Agent Program.  

       O. “Life sciences” refers to living organisms (e.g., microbes, human beings, animals, and plants) and their products, including all disciplines and methodologies of biology such as aerobiology, agricultural science, plant science, animal science, bioinformatics, genomics, proteomics, synthetic biology, environmental science, public health, modeling, engineering of living systems, and all applications of the biological sciences. The term is meant to encompass the diverse approaches for understanding life at the level of ecosystems, organisms, organs, tissues, cells, and molecules.

       P. The “March 2012 DURC Policy” refers to the United States Government Policy for Oversight of Life Sciences Dual Use Research of Concern.

       Q. The “National Science Advisory Board for Biosecurity” (NSABB) advises all federal departments and agencies with an interest in life sciences research.  The NSABB recommends specific strategies for the efficient use and effective oversight of dual use life sciences research, as well as raises awareness about the issue within the scientific community.  The NSABB considers both national security concerns and the needs of the research community when providing guidance and recommendations to the federal government.

       R. The “Office of Biotechnology Activities” (OBA), now the “Program on Biosecurity and Biosafety Policy” (PBBP), promotes science, safety and ethics in the area of Biosafety and Biosecurity, including oversight of dual use research.

       S. The “Office of Research Compliance” (ORC) is established by the University to assure the public that research conducted throughout the University system is performed responsibly.

       T. The “Office of Research Services” (ORS) is established by the University to provide services to facilitate the stewardship of extramural funded activities.

       U. The “Office of Science Technology Policy” (OSTP) advises the President and others within the Executive Office of the President on the effects of science and technology on domestic and international affairs.

       V. The “Policy for Institutional DURC Oversight” means the United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern.

       W. “Principal Investigators” (PIs) are the individual(s) designated by the University of Hawaii and the granting agency to have the appropriate level of authority and responsibility to direct the project.

       X. ADMINISTRATIVE PROCEDURES:

       Y. The DURC Policies focus on life sciences research that involves one or more of the agents or toxins identified in the most current list from the PBBP, the Federal Select Agent Program, and the March 2012 DURC Policy from the Public Health Emergency,  which pose the greatest risk of deliberate misuse with the most significant potential for mass casualties or devastating effects to the economy, critical infrastructure, or public confidence, and produces, aims to produce, or is reasonably anticipated to produce one or more of the effects listed in Section III.B., below, will be evaluated for DURC potential.

       Z. The administrative procedures that implement EP 12.217 are subject to periodic review and revision.  Consequently, institutional members are advised to review the University website and apply the most current version of the administrative procedures attached to this policy.

       AA. Categories of experiments.  As part of the screening process described in Section IV, Principal Investigators are required to assess whether their study will:

           1. Enhance the harmful consequences of the agent or toxin;

           2. Disrupt immunity or the effectiveness of an immunization against the agent or toxin without clinical or agricultural justification;

           3. Confer to the agent or toxin resistance to clinically or agriculturally useful prophylactic or therapeutic interventions against that agent or toxin or facilitates their ability to evade detection methodologies;

           4. Increase the stability, transmissibility, or the ability to disseminate the agent or toxin;

           5. Alter the host range or tropism of the agent or toxin;

           6. Enhance the susceptibility of a host population to the agent or toxin;

           7. Generate or reconstitutes an eradicated or extinct agent or toxin listed in Section (III.A.) above.

       AB. Responsibilities of the Principal Investigators (PIs).  

       AC. PIs will conduct early and ongoing screening of their research proposals to ensure that potential issues related to DURC are addressed at the earliest stage of the research process to avoid unnecessary delays in starting funded research, including:

       AD. PIs will be responsible for reporting whether other agents or toxins not specified in Section III.A., has the potential for DURC through bioengineering technologies.

       AE. PIs will immediately notify the University Office of Research Services that their research proposal raises potential DURC issues (Pre-award Notice).  

       AF. Work with the IRE to develop risk mitigation measures where appropriate.  The criteria for developing a risk mitigation plan is contained in Section IV.B.5.

       AG. Conduct DURC activities in accordance with the provisions in the risk mitigation plan.

       AH. Be knowledgeable about and comply with all institutional and federal policies and requirements for oversight of DURC.

       AI. Ensure that laboratory personnel conducting life sciences research that falls within the scope of this policy (i.e., those under the supervision of laboratory leadership, including graduate students, postdoctoral fellows, research technicians, laboratory staff, and visiting scientists) have received education on DURC.

       AJ. Communicate DURC in a responsible manner. Communication of research and research findings is an essential activity for all researchers, and occurs throughout the research process, not simply at the point of publication. When researchers are planning to communicate DURC, it is their duty to ensure that it is done in a responsible manner, and in compliance with any risk mitigation plan stipulated by the IRE.

       AK. Non-compliance with the policies and procedures set forth in EP 12.217 and AP 12.217, respectively, may subject PIs to review under the University’s research and scholarly misconduct or University misconduct policies and procedures.

    E. Responsibilities of the IBC and IRE in conducting the Dual Use Review.

       AL. Purpose.  The IRE is responsible for executing the requirements of the Review Criteria, below.  The formal review process involves the IBC acting as a screening committee, followed by the IRE review process conducted in two stages.

       AM. IBC Screening of Applications.

           1. PIs will exercise good faith in determining whether any of the biological agents or toxins from the sources listed in Section III.A., above, are involved in the study.

           2. If the answer is “yes,” PIs will respond to each of the seven screening questions in Section III.B.  

       AN. Review by IRE.
    If the answer to any of the screening questions is “yes,” the IBC, IRB, or IACUC office will forward the research protocol to the IRE, which will review the proposal in two stages:
    Stage 1:  The IRE will establish a DUR Review Sub-Committee to conduct the preliminary assessment of the research and determine whether it falls under DURC or not.  If the DUR Review Sub-Committee determines that the research falls under DURC, then the research will be referred to the full IRE Committee.  If not, the DUR Review Sub-Committee will determine any necessary management plan for the ongoing monitoring of the research project.

    Stage 2:  If a research project is considered as DURC, the full IRE Committee will conduct a review according to established criteria.
    In the cases where a PI is conducting potential DURC at multiple institutions, each institution is responsible for reviewing these projects and if DURC is being conducted at the University, the IRE will develop and implement a risk mitigation plan, as appropriate.
       AO. Review Criteria.  When research is identified by a PI as utilizing one of the agents or toxins from the sources listed in Section III.A., the IRE shall initiate an institutional oversight process that includes:

           1. Verification that research utilizes one or more of the agents or toxins from the sources listed in Section III.A.;

           2. Determination of whether the research produces, aims to produce, or is reasonably anticipated to produce one or more of the effects listed in IBC questionnaire;

           3. Determination of whether the research meets the DURC definition (Section II) and is therefore DURC. If the IRE determines that the research in question does not fall within the scope of Section 6.2.2 of the Policy for Institutional DURC Oversight, or does not meet the definition of DURC, the research can continue without additional DURC oversight;

           4. Assessment of the dual use risks and the benefits of the research;

           5. Development of a risk mitigation plan for DURC, as necessary, following the criteria described in Section IV.B.5., below;

           6. Implementation of the risk mitigation plan. After a risk mitigation plan is developed, the research must be conducted in accordance with that plan and must be periodically reviewed by the institution to determine if additional modifications to the risk mitigation plan are appropriate. For research that has been proposed but not yet initiated, the DURC component of the project should not be initiated until a risk mitigation plan is implemented;

           7. Within thirty (30) calendar days of the institutional review of the research for DURC potential, the federal funding agency shall be notified of any research that falls within the scope of Section III.A, including whether it meets or does not meet the definition of DURC. For non-federally funded research, notification may be made to NIH (who may in turn notify the appropriate Federal funding agency, based upon the nature of the research);

           8. Within thirty (30) calendar days from the date the University determines the research to be DURC, the IRE shall notify the University ORS and provide a copy of the risk management plan.

           9. Within ninety (90) calendar days from the time that the University determines the research to be DURC, provision of a copy of the risk mitigation plan to the funding agency for review – or for non-federally funded research, provision of the plan to NIH for review (or referral to the appropriate funding agency).

       AP. Risk mitigation plan criteria.  A risk mitigation plan may include, but not be limited to, the following criteria:

           1. Modifying the design or conduct of the research.

           2. Applying specific or enhanced biosecurity or biosafety measures.

           3. Evaluating existing evidence of medical countermeasures (MCM) efficacy, or conducting experiments to determine MCM efficacy against agents or toxins resulting from DURC, and where effective MCM exist, including that information in publications.

           4. Referring the University, PIs, and committee members to available DURC educational tools, including, but not limited to:  

       AQ. Office of Biotechnology Activities:  http://oba.od.nih.gov/biosecurity/biosecurity.html

       AR. Companion Guide (September 2014):  http://www.phe.gov/s3/dualuse/Documents/durc-companion-guide.pdf

       AS. Biosafety, NIH Guidelines:
    http://osp.od.nih.gov/office-biotechnology-activities/biosafety/nih-guidelines

       AT. Select Agent Regulations:
    http://www.selectagents.gov/SelectAgentsandToxinsList.html

           1. Regularly reviewing, at the University level, emerging research findings related to DURC, including educational tools that may be revised by or superseded by future DURC resources.

           2. Requesting that institutions notify funding departments or agencies if additional DURC is identified, and propose modifications to the risk mitigation plan, as needed.

           3. Determining the venue and mode of communication (addressing content, timing, and possibly the extent of distribution of the information) to communicate the research responsibly.

           4. IRE review of annual progress reports from PIs to determine if DURC results have been generated, and if so, flagging them for University attention and applying potential mitigation measures as described above, as necessary.

           5. If the risks posed by the research cannot be adequately mitigated with the measures above, federal departments and agencies will determine whether it is appropriate to:

                               [a] Request voluntary redaction of the research publications or communications;

                                   [] Departments and agencies may consider whether to refer classified research to another department or agency for funding.

                               [b] Not provide or terminate research funding.

    Each research proposal that is categorized as DUR or DURC is different and poses unique issues related to the implications of the information, materials, or technologies that may result from the research.  Therefore, it is not possible to develop a single review process that can be used for all cases.  The NSABB has developed a toolkit for such reviews that provides guidance for a comprehensive process.  The University’s IRE will perform its review based on these guidelines.

           6. IRE Membership.

       AU. The IRE shall consist of members of the IBC, with the addition of ad hoc members having sufficient breadth of expertise to assess the dual use potential of the range of relevant life sciences research conducted at the University, including, but not limited to members with experience in microbiology.  Other faculty and staff with knowledge or expertise and/or non-affiliated institutional experts may also be considered and asked to contribute to the DURC assessments on a case-by-case basis

       AV. The Chair of the IBC, the scientific representatives from the scientific community, and safety specialist(s) will form the DUR sub-committee conducting the Stage 1 review.

       AW. The Chair of the IBC shall serve as Chair of the IRE.

       AX. The IRE shall consist of individuals who are not involved in the research project in question or have a direct financial interest, except to provide specific information requested by the review entity.  The IBC Chair shall determine whether a conflict exists.

           1. Meetings and Minutes.  

                               [a] The full IRE will meet at least annually and on an as-needed basis to review the status of DURC at the University, review the latest recommendations of NSABB or other advisory or regulatory bodies, and determine whether any modifications to the oversight program are required.

                               [b] The IRE will maintain minutes of its deliberations and communicate its management recommendations for oversight to the PI and IBC in writing.

                               [c] The IRE will develop a strategy to post the minutes of its meetings and decisions online in a manner that does not compromise security.

           2. Meetings with PIs.

       AY. The DURC Review Sub-Committee will schedule meetings, as necessary, when the preliminary questionnaire in the IBC application indicates that a study might be subject to DURC review, or if the IBC refers a study that potentially has DURC issues.

       AZ. The IRE will also review and advise the PI if their prescreening during the proposal development indicates there might be DUR issues.

           1. Responsibilities of the Institutional Contact for Dual Use Research (ICDUR).

       BA. The University shall designate an ICDUR to serve as an internal resource for issues regarding compliance with and implementation of the requirements for the oversight of research that falls within the scope of Section III and/or meets the definition of DURC.

       BB. If questions arise regarding compliance with the DURC Policies, or when guidance is needed about identifying DURC or developing risk mitigation plans, the ICDUR serves as the liaison (as necessary) between the University and the relevant program officers at the federal funding agencies, or for non-federally funded research, between the University and NIH (or the appropriate federal funding agency to which NIH refers the University).

       BC. The ICDUR shall also serve as the liaison (as necessary) between other University offices, including, but not limited to the Office of Export Controls, ORS, and University General Counsel.

       BD. Consultation with the federal Funding Agency.

    The University may consult with the federal department or agency that is funding the research in question for advice on matters related to DURC. Such consultations should involve the ICDUR. The funding agency program officers can provide guidance on DURC issues. Questions regarding non-federally funded research can be directed to the NIH or to the federal funding agency to which NIH refers the institution based on the nature of the research in question. Consultation with the funding agency is not mandatory or intended as a substitute for institutional dual use review or the reporting requirements (see Section IV.B.2., above). Such consultations may be appropriate when:

       BE. The IRE requires guidance on developing an adequate risk mitigation plan in cases where the potential risks are perceived as particularly high;

       BF. The IRE considers the only viable risk mitigation measure to be not conducting or not communicating the research in question;

       BG. The PI does not agree with the finding of the IRE and so the University would like to request outside advice;

       BH. The research in question represents a particularly complex case or appears to fall outside the current definition of DURC, but still seems to present significant concerns; or

       BI. Guidance is required to ensure a clear understanding of how the federal government interprets the definition of DURC and related terms.

       BJ. University duties and responsibilities.

                   (1) Provide education on DURC for individuals conducting life sciences research that falls within the scope of this Policy.  The University shall maintain records of personal education on dual use research for three years.

                   (2) Report instances of noncompliance with this Policy, as well as mitigation measures undertaken by the University to prevent recurrence of similar noncompliance, within thirty (30) calendar days to the federal funding agency or, for non-federally funded research, to NIH on behalf of all the University’s federal funders.

                   (3) Provide additional review and oversight when questions arise.

                   (4) Appeals from IRE decisions.

                       (a) Any PI seeking to challenge the IRE’s decisions shall file a notice of appeal with the Chair of the IBC within thirty (30) calendar days of the IRE decision.

                       (b) The PI shall have thirty (30) calendar days from the date of filing the notice of appeal to submit a written statement to the Deciding Official identifying alleged points of error on the part of the IRE with supporting arguments and references to the record of the proceeding before the IRE.  

                       (c) The PI shall have access to the record of the IRE proceeding subject to the reasonable conditions imposed by the Chair of the IBC (e.g., time, place, and manner). The PI may not introduce new information or evidence.  

                       (d) The University shall have thirty (30) calendar days to submit a written statement in response to the PI’s written statement.

                       (e) The University has the burden of proof in upholding the IRE decision as accurate and complete.

                       (f) The standard of proof to overturn the IRE decision is by a preponderance of the evidence.  

                       (g) The Deciding Official shall render a decision within thirty (30) calendar days, together with recommendations as appropriate.  The decision shall be final and binding on the PI and the University, and incorporated into the record of the proceeding.  Copies of the decision shall be forwarded to the PI, the IRE, and to the University ORC.

                       (h) The record on appeal shall be forwarded to the University ORC and maintained for a period of seven (7) years.      

                   (5) Provide annual formal assurances to NIH regarding the following:

                       (a) The University has written policies and procedures for conducting a DUR and DURC assessment.

                       (b) In fostering a research environment that promotes the responsible conduct of research, the University shall provide education on DURC.  

                       (c) The University shall provide annual formal assurances.


       BK. DELEGATIONS OF AUTHORITY:

    There is no administrative procedure specific delegation of authority.


  • AP 12.301 : Protection of Human Participants
        A. Director:  the Director of the Human Studies Program, Office of Research Compliance.  

       B. Engaged: an institution is engaged in a human participants when the institution is involved in the study to such a degree that the institution must have the study reviewed and approved by an IRB before research activities of the study may be initiated.  

       C. Human participants: a living individual about whom an investigator conducting research—whether professional or student—obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.  It is also referred to as "subject," "human subject," or "participant."

       D. Human Participants Research Overseen or Conducted by UH: human participants research engaged by UH.

       E. Institutional Review Board (IRB): an institutional review board established in accord with and for the purposes expressed under federal regulations on human participants protection.

       F. Interaction: communication or interpersonal contact between an investigator and a participant.  Interaction can be indirect, e.g., online survey.

       G. Intervention: physical procedures by which data are gathered (e.g., venipuncture) and manipulations of the participant or the participant’s environment that are performed for research purposes.

       H. IRB approval: the determination by an IRB that the research has been reviewed and may be conducted at an institution within the constraints set forth by the IRB and by other institutional and federal requirements.

       I. Private information: it includes information

         • that is about behavior occurring in a context where an individual can reasonably expect that no observation or recording is taking place, or

         • that an individual has provided for specific purposes and can reasonably expect will not be made public (e.g., a medical record).

    Private information must be individually identifiable—i.e., the identity of the participant is or may readily be ascertained by the investigator or associated with the information—for obtaining the information to constitute research involving human participants.

       J. Research: a systematic investigation—including, but not limited to research development, testing, and evaluation—designed to develop or contribute to generalizable knowledge.  

       K. Research Involving Human Participants: It is also referred to as "human subjects research," or sometimes "research" for short if the context allows.

  • AP 12.304 : Procedures for Disclosing and Addressing Conflicts of Interest Related with Extramurally-Funded Activities
     A. COI – Stands for Conflicts of Interest, and refers to financial or professional/personal interests which may influence, or appear to influence, an Investigator’s objectivity or judgment in fulfilling his or her Institutional Responsibilities. “Professional/personal interests” shall refer to interests or activities undertaken outside of an Investigator’s Institutional Responsibilities.

    B. COIC – Stands for Conflict of Interest Committee, and refers to a group of individuals appointed by the Deciding Official to review and consult on FCOI/COI matters.

    C. Deciding Official – Unless otherwise designated by the University of Hawai‘i (UH) President, the Vice President for Research and Innovation (VPRI) will serve in this capacity.

    D. Disclosure – Refers to:
    1. Making known to UH the existence of any Significant Financial Interest;
    2. Making known to UH the existence of any potential or actual FCOI/COI;
    3. Providing a statement as to the existence of any FCOI/COI, such as in public presentations or publications;
    4. Notifying funding agencies of any potential or actual FCOI/COI; and/or
    5. Notifying other individuals involved in Extramurally-Funded Activities of any potential or actual FCOI/COI.

    E. Extramurally-Funded Activity – An activity that is funded by an external, non-UH entity and may include research, instruction, training, public service, or any other scholarly or administrative activity.

    F. FCOI – Stands for Financial Conflicts of Interest, and refers to COI that are specifically financial in nature.

    G. Immediate Family – Includes the Investigator’s spouse, domestic partner/reciprocal beneficiary and dependent children.  

    H. Institutional Responsibilities – Refers to an Investigator’s professional responsibilities on behalf of UH, which may include activities such as research, teaching, training, consulting, professional practice and committee memberships or service.

    I. Investigator – May include a Project Director (PD), Principal Investigator (PI), Co Investigator, Co-PD, Co-PI, key person or any other person who shares responsibility for the design, conduct, or reporting of the Extramurally-Funded Activity.  May also include clinical investigators, subrecipients, and students involved in extramurally-funded activities.

    J. Management Plan – A written plan describing the oversight and monitoring activities that will be undertaken to manage and mitigate the FCOI/COI.  The Management Plan must be acknowledged and agreed to by Investigators with identified FCOI/COI and those with responsibilities for oversight of the Management Plan.

    K. ORC – Refers to the UH Office of Research Compliance

    L. ORS – Refers to the UH Office of Research Services.

    M. PHS – Stands for Public Health Service, and refers to the Public Health Service of the United States Department of Health and Human Services, and any components of the PHS to which the authority involved may be delegated, including but not limited to, the National Institutes of Health (NIH). PHS has authority for the administration of 42 CFR § 50 and 45 CFR § 94, as may be amended from time to time. Other funding entities such as private non-profits may have adopted PHS FCOI regulations, and this Administrative Procedure shall also apply to Extramurally-Funded Activities with such entities.

    N. SFI – Stands for Significant Financial Interest, and refers to anything of monetary value or potential monetary value, to Investigators and/or their Immediate Family, received from non-UH entities, which is, or appears to be, reasonably related to the Investigator’s Institutional Responsibilities. SFI refers to anything of monetary value received in the past 12 months and includes, but is not necessarily limited to, the following:
    1. From publicly traded entities:
    a) Remuneration in excess of $5,000, aggregated per entity; or
    b) Any equity interest (e.g., ownership, stocks) in excess of $5,000, aggregated per entity
    2. From non-publicly traded entities:
    a) Remuneration in excess of $5,000, aggregated per entity; or
    b) Any equity interest of any value
    3. Intellectual Property: royalties/income from intellectual property (e.g., patents, copyrights and trademarks) not partially licensed to and/or owned by UH.
    4. Sponsored Travel: reimbursement or sponsorship for travel made by a non-UH entity, related to Investigator’s Institutional Responsibilities.  Applies ONLY to Investigators who receive extramural awards from PHS and any non-PHS agencies who incorporate PHS regulations in their award terms.
    SFI does not include:
    • Salary, royalties, or other remuneration paid by UH to its Investigators;
    • Equity interests arising solely by reason of investment in a business by a mutual fund, pension, or other institutional investment fund over which the investor does not exercise control;
    • Income from seminars, lectures, or teaching engagements sponsored by federal, state, local government agencies, or U.S. institutions of higher education;
    • Royalties or related compensation paid by UH, such as intellectual property rights assigned to UH and agreements to share royalties related to those rights; or
    • Income from service on advisory committees or review panels for federal, state, or local governmental agencies or U.S. institutions of higher education.

    O. Supervisor – Refers to the immediate supervisor of an Investigator (e.g., Department Chair) who must review and approve Disclosures, as well as the next level in an Investigator’s organization (e.g., Dean, Director, Campus Chancellor, or Vice President, as appropriate) who must provide a second level of approval.

  • AP 12.401 : Procedures for the Preparation and Submission of Proposals to External Sponsors and the Review/ Approval Requirements for Sponsored Agreements
     No policy specific or unique definitions apply

  • AP 12.402 : Procedures for Fringe Benefits Included in Proposal Budgets
     No policy specific or unique definitions apply.

  • AP 12.405 : Advance Funding Accounts for Externally Financed Programs and Activities
     A. Award - The provision of funds by an external organization to UH, based on an approved application and budget or progress report, for the purpose of carrying out a project or activity.

    B. Federal Demonstration Partnership (FDP) - A cooperative initiative among 10 federal agencies and various institutional recipients, including UH, that provides institutional recipients with expanded authority in order to reduce the burden associated with the administration of research contracts and grants.

    For awards made by a FDP agency, the Office of Research Services (ORS) has authority to approve expenditures made prior to the award start date. For all other awards, written sponsor approval is required to use award funds to cover "pre-award" costs.

    C. Advance Account Request - An internal approval process and form to authorize the establishment of an advance funding account.

    D. Pre-Award Costs - Costs incurred on an award prior to official sponsor approved start date of the award.

    E. Principal Investigator (PI) - Individual(s) who are responsible for fulfilling the scientific or technical work of an award and ensuring compliance with applicable administrative requirements of an award.

    F. Fiscal Authority (FA) - Individual who advises PI(s) on allowability, prior approval, availability of funds, and other applicable administrative requirements of an award.

    Facilitates the processing of documents and approves these documents as required.

    G. Key Personnel - Project Director I Principal Investigator and any other person identified as a senior I key personnel by UH on the grant application, progress report or any other report submitted to the sponsor.

    H. Public Health Services (PHS) - primary division of the U.S. Department of Health and Human Services. For list of PHS components, refer to http://www.hhs.gov/about/orgchart/.

  • AP 12.407 : Compensation for Personal Services on Extramural Awards
     A. IBS – Refers to Institutional Base Salary.  For the purposes of charging salaries and wages to any extramural award, the term IBS shall mean the basic rate of pay used to determine a University of Hawaii (UH) employee’s compensation in accordance with appropriate salary schedules and applicable laws, rules, collective bargaining agreements (CBA), executive orders, and UH Board of Regents Policy, 9.202, “Classification Plans and Compensation Schedules” for an individual's appointment. IBS shall not include stipends; differentials for overtime, stand-by duty, or temporary unusual work hazards; compression differentials; temporary differentials; and shortage differentials.  IBS shall also be used for calculating cost sharing amounts.

  • AP 12.408 : Effort Reporting
     No policy specific or unique definitions apply.

  • AP 12.410 : Accounting for Cost Sharing
     A. Cost sharing – sharing of project costs that are from sources other than what has been awarded by the funding agency for the project

    B. Mandatory cost sharing – refers to that portion of the University contribution that is required by the terms of the project’s Request for Proposal or Application or mandated by legislation or regulation

    C. Voluntary committed cost sharing – refers to University-initiated contributions to a sponsored project that are reflected in the proposal budget or narrative at the time of proposal submission; cost sharing not required by the funding agency. Voluntary committed cost sharing is not expected for research proposals and cannot be used as a factor during the merit review but may be considered if it is both in accordance with Federal awarding agency regulations and specified in a notice of funding opportunity.  Since cost sharing/matching identified in proposals may become a contractual commitment of the UH, they should be kept to a minimum and be limited to those items that can be easily documented and verified, such as, salaries, wages and fringe benefits.

    D. Committed cost sharing – refers to any cost sharing that has been specifically committed to a project, whether mandatory or voluntary, and that must be budgeted, accounted for, and recorded properly in the University’s financial system

    E. Voluntary uncommitted cost sharing (VUCS) - refers to effort or other contributions provided to the project that are above and beyond any commitments made in the proposal budget or narrative at the time of proposal submission. VUCS is not required to be tracked and shall not be accounted for in the University’s financial system.

  • AP 12.411 : Subrecipient Monitoring
     A. Contractor – an entity that receives a contract, which is a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award.

    B. Fixed amount subawards – subawards based on fixed amounts up to the Simplified Acquisition Threshold, that meet the requirements for fixed amount awards in 2 CFR 200.201.  A pass through entity may provide fixed amount subawards with prior written approval from the Federal awarding agency.

    C. Pass-through entity (PTE) – a non-Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program.

    D. Subaward – award provided by a PTE to a subrecipient for the subrecipient to carry out part of a Federal award received by the PTE.  It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program.  A subaward may be provided through any form of legal agreement, including an agreement that the PTE considers a contract.

    E. Subrecipient – a non-Federal entity that receives a subaward from a PTE to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program.  A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.

    F. Subrecipient monitoring – activities that occur throughout the year and which may take various forms, such as:

    1. Reporting – Reviewing financial and performance reports submitted by the    
    subrecipient

    2. Site visits – Performing site visits at the subrecipient’s location to review performance and financial records and observe operations

    3. Regular Contact – Regular communications with subrecipients and
    appropriate inquiries concerning program activities.

    G. Tax Clearance - Under Hawaii Revised Statutes section 103-53, as a
    prerequisite to entering into subagreements of $25,000 or more, subrecipients are required to provide proof of tax clearance from the Hawaii Department of Taxation and the Internal Revenue Service to the effect that all tax returns due have been filed, and all taxes, interest, and penalties levied against the subrecipient have been paid.  The tax clearance requirement does not apply in the following situations:

    1.  Subawards which are less than $25,000; or

    2.  Subawards made to a government agency. "Government agencies" includes
    any government agency, whether domestic or foreign, including municipal, county, state, or federal. This would include public universities. See Hawaii Tax Facts 2000-1 at http://tax.hawaii.gov/legal/a2_b2_1taxfacts/.

  • AP 12.412 : Extramural Closeout Procedures
     No policy specific or unique definitions apply.

 
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