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Prepared by the Office of the Vice President for Research
This is a NEW Interim Policy
UNIVERSITY OF HAWAI‘I
INTERIM RESEARCH PERSONNEL POLICY
September 2005
E5.218 - Research Personnel
I.
OBJECTIVE
It is an objective of the University that all employees shall be hired in accordance with
applicable laws, collective bargaining agreements, and University policies and
procedures. Specifically, the objective of this interim policy is to establish policies and
procedures for the administration of temporary non-administrative extramurally funded
research support professional and technical personnel whose work directly supports the
research and training mission of the university in accordance with applicable collective
bargaining agreements, provisions of the Internal Agreement with between the University
of Hawai‘i and Research Corporation of the University of Hawai‘i (RCUH), Board of
Regents Policy, Section 5-19, and University administrative procedures.
II.
APPLICABLE LAW AND BOARD OF REGENTS POLICY
A.
Chapter 89, Hawai‘i Revised Statutes, Collective Bargaining in Public
Employment
B.
Section 307-1, Hawai‘i Revised Statutes, Establishment of the research
corporation; purpose:
“There is established as a body corporate, "The Research Corporation of the
University of Hawaii". The research corporation shall be a public instrumentality
and shall be a part of the University of Hawaii for administrative purposes
pursuant to section 26-35.
The purposes of the research corporation shall include, but not be limited to the
promotion of all educational, scientific, and literary pursuits by encouraging,
initiating, aiding, developing, and conducting training, research, and study in the
physical, biological, and social sciences, and humanities, and all other branches of
learning by encouraging and aiding in the education and training of persons for
the conduct of such training, investigations, research, and study, by the furnishing
of means, methods, and agencies by which the training, investigation, research,
and study may be conducted, by assisting in the dissemination of knowledge by
establishing, aiding, and maintaining professorships, or other staff positions,
fellowships, scholarships, publications, lectures, by other means to make the
benefits of training, investigations, research, and study available to the public; and
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by any and all other acts reasonably designed to promote the above purposes in
the interest of promoting the general welfare of the people of the State.”
C.
Board of Regent Policy Section 5-19 Research Corporation of the University of
Hawai‘i (RCUH):
The RCUH was established by state statute to facilitate the research effort of the
University of Hawaii. It is a corporation body governed by an independent board,
separate from the University. A statutorily determined number of members of the
Board of Regents also comprise the RCUH board. Regents shall be assigned to
the RCUH board annually by the Chairperson of the Board of Regents.
The University may service order certain aspects of research contracts and grants
to RCUH. However, RCUH shall not be used to circumvent statutes, Board of
Regent policies, contracts, settlements, or regulations. Consequently, in order for
the University to approve a service order to RCUH, it must be clearly
substantiated that despite capabilities under its constitutionally granted autonomy,
terms of the research or training grant or contract precludes the University from
maximum utilization of the funds.
Service ordering to RCUH shall be for the direct support of a research or training
project and shall not include major construction (CIP) and repair and maintenance
(R&M) projects, employment of any person in excess of one year except for (1)
shipboard personnel, personnel hired for work out-of-state, personnel who work at
the Maui High Performance Computer Center, or part-time intermittent personnel,
(2) extramurally funded research support personnel whose work directly supports
the research and training mission of the university; (3) current employees of
RCUH hired on behalf of the University, or (4) other personnel who for example
because of the unique nature of their services, the urgency of need, or the limited
duration of employment, make it impractical to follow the normal UH and State
recruitment procedures provided that such exceptions shall be in accordance with
procedures established by the President. Purchases in excess of $100,000;
$300,000 (total value), as a means to supplement existing University contracts or
salaries, or the contracting of services exceeding $100,000; $300,000 in total
value unless prior Board approval is obtained.
No University funds, regardless of source, shall be directed to RCUH or any
external agency without being received by the University’s office responsible for
the administration of research and training grants and contracts. Upon receipt, a
determination by the University shall be made as to service ordering to RCUH
based on this policy.
A monthly report of all service ordered actions to RCUH shall be submitted to the
Board of Regents in a format determined by the Board.
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The Board of Regents shall execute a document of relationship between the
University and RCUH delineating the parameters of service to be rendered. This
document shall be executed annually to allow for periodic amendments as
necessary.
III.
BACKGROUND
The University recognizes RCUH’s administrative flexibility to procure goods
and services for the externally-sponsored investigation, research and training projects and
grants, and seeks to continue to utilize RCUH’s administrative flexibility to perform the
University’s externally-sponsored investigation, research, and training contract and
grants, that may be appropriately assigned in accordance with University policies and
procedures. The University and RCUH have been utilizing RCUH’s administrative
flexibility to perform the University’s externally–sponsored investigation, research, and
training contracts and grants pursuant to the terms of the various agreements agreed to by
RCUH and the University. Additionally, the University continues to pursue procurement
flexibility through the development of such systems as Super Quote and Purchase Card
(P-Card) and statutory authorization.
Significant adjustments have been made to the University’s APT personnel
system allowing for greater flexibility including: Broad Band, procedures to hire above
the designated new hire rate and procedures to provide compensation adjustments and
special compensation awards for outstanding service has improved the responsiveness of
the University’s system.
As part of an on-going process of program review, assessment and updating, the
University continues to be sensitive and responsive to changes with respect to the
University’s research enterprise and its relationship to RCUH. In recognition of
possibility of changes in the University’s research enterprise and possible impact on the
relationship with RCUH, this executive policy is being adopted on an interim basis. In the
event that under the Board authority, the University should initiate change in its
administration of the research enterprise and operations and the consequent relationship
with RCUH, this Executive Policy shall be reviewed and, as appropriate, revised subject
to appropriate consultations.
IV.
DEFINITIONS
A.
“Shipboard personnel” are individuals hired to perform work as members of a
crew of an ocean-going research vessel or perform scientific research onboard or
from a research vessel.
B.
“Out-of-state personnel” are individuals whose worksite is outside the boundaries
of the State of Hawai‘i and most if not all work is performed outside the State.
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V.
C.
“Part-time intermittent personnel” are individuals who are hired on a part-time
basis and perform work on an as needed intermittent basis.
D.
“Temporary non-administrative extramurally funded research support personnel
whose work directly supports the research and training mission of the university”
shall mean personnel paid from extramural contracts or grants whose duties are in
direct support of university research and/or training projects.
E.
“Project employees of RCUH hired on behalf of the University before October
18, 2002 shall not be required to convert to a University position.
POLICY
It shall be the policy of the University of Hawai’i to hire temporary nonadministrative extramurally funded research support professional and technical staff in
accordance with the applicable collective bargaining agreements, Board Policy and
University procedures.
Service ordering to RCUH of temporary non-administrative extramurally funded
research support professional and technical personnel engaged in direct support of
research or training projects shall be limited to no more than one (1) year except for:
A.
Shipboard personnel, personnel hired for work out-of-state, personnel who work
at the Maui High Performance Computer Center, or part-time intermittent
personnel;
B.
Temporary non-administrative extramurally funded research support professional
and technical personnel whose work directly supports the research and training
mission of the university and who, for example, because of the unique nature of
their services, the urgency of need or the limited duration of employment make it
impractical to follow the normal UH and State recruitment procedures. For
example:
1.
The program needs are unique, complex and require close
and prompt attention during implementation, manufacture,
installation, and/or utilization of a product which may also
require extensive travel, communication, or coordination
(e.g., specialty expertise, e.g., submersible research
technician, or demonstrated ability to produce a high degree
of precision, accuracy while satisfying competing priorities
in response to time sensitive operations and grant
requirements.);
2.
There are urgent or unusual requirements of the program
which do not permit the normal advertising requirements
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prescribed under State law and University policies (e.g.,
salary in excess of negotiated schedule, or employee of
another agency);
3.
Operations are conducted outside the State or involve
private organizations or foreign governments and involve
unusual and complex requirements that cannot be
accommodated with the University system (e.g., granting
agency imposed hiring requirements or foreign or external
agency recruitment); or
4.
There are personnel requirements that cannot be readily
accrued through the normal University and State procedures
because of the unique nature of such services, the urgency
of need, unique requirements as required by the job, or other
exceptional circumstances [e.g., specialty assessment
(medical, psychological or other)], indemnification beyond
UH allowances, or unique positions that may be directly
charged to a grant or contract, i.e., a position responsible for
project management that has been approved by the
sponsoring agency either under Office of Management and
Budget Circular A-21, Section F.6.b. or in accordance with
a sponsor’s policy).
C.
Project employees of RCUH hired on behalf of the University before October 18,
2002.
D.
Personnel hired subject to service orders compliant with Board of Regents Policy,
Section 19b where it can be substantiated that despite capabilities under its
constitutionally granted autonomy, terms of the research or training grant or
contract preclude the University from maximum utilization of the funds.
E.
Implementation of Executive Policy E5.218 should not adversely impact, e.g.,
premature termination of a position in the University’s human resource system in
conjunction with the establishment of a like position on an exception basis
through RCUH, current temporary non-administrative extramurally funded
professional and technical positions whose work directly supports the research
and training mission of the university established in the University human
resource systems.
VI. RESPONSIBILITIES AND ADMINISTRATIVE REQUIREMENTS
A. Responsibilities
1.
Vice President for Research
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2.
3.
4.
a.
Shall be responsible to ensure compliance with Board of Regent Policy
Section 19c and this Executive Policy
b.
Shall hear appeals from the exclusive collective bargaining representative
and render a final decisions regarding the granting or not granting of an
exception to Board Policy Section 19c relating to research personnel in
accordance with Section V, Policy above. The Vice President for
Research, as deemed necessary, may consult with the Office of Human
Resources regarding the exemption.
c.
Shall ensure the provision of a monthly report to the Board and exclusive
collective bargaining representatives and such reports shall at a minimum
include a listing of approved exceptions to BORP Section 19c, duration of
exceptions, and the identification of employees hired by RCUH through
service orders.
UHM Chancellor or UHM Vice Chancellor
a.
Shall insure the completeness of information and conformance with the
provisions of Executive Policy
b.
Shall evaluate the request and shall have the authority (with no further
delegation of approval authority) to approve the request for an exception,
or deny the request for an exception in accordance with the provisions of
Section V, Policy above.
Dean, Director or Designee
a.
Shall be responsible for insuring compliance with the provisions of this
Executive Policy and other applicable policies and procedures relating to
research personnel in their respective colleges, institutes or units.
b.
Shall facilitate the processing of requests for position actions (e.g.,
establish and fill positions) associated with the support of externallysponsored investigation, research, and training contract and grants.
Principal Investigators
a.
Shall comply with the provisions of this Executive Policy by providing
information in sufficient detail to permit the evaluation of a request in a
timely manner. Failure to provide complete and sufficient information
may delay the processing of requests.
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b.
At the time of hire in the University human resource system, may request
consideration of a salary placement above the designated hiring rate as
provided for in established procedures. Such requests shall address
established criteria used to determine the need for additional compensation
and the additional rationale may be cited, if appropriate, the need to
provide additional compensation for individual tax deferred annuity
purposes due to extended state retirement vesting requirements.
c.
Shall counsel all selectees and in particular at the time of hire on
retirement plan differences between the University’s and RCUH’s and
offer the opportunity to participate tax in deferred benefit programs.
d.
Shall interview qualified employee applicants and make a selection from
among qualified applicants without regards to applicant priorities as set
forth in any collective bargaining agreement.
e.
May appeal the decision of the UHM Vice Chancellor for Research to
deny an exception to the UHM Chancellor who shall have final authority
to rule on Principal Investigator appeals.
B. General Requirement
1. Hiring of personnel to support a research project.
a.
Civil service and administrative, institutional or academic support
personnel shall be hired through the University’s human resource systems
or State Civil Service System.
b.
All positions established at RCUH to support the University’s research
mission shall be subject to the Service Order for RCUH Employee Form
(Formerly Attachment B) review process unless the position is established
in the University’s personnel system.
c.
In the event that a Principal Investigator believes that research support
personnel should be hired through RCUH such hiring through RCUH shall
be for less than one year or on exception basis. Principal Investigators
requesting the hiring of research Personnel through RCUH shall complete
and submit an on-line Service Order for RCUH Employee Form (Formerly
Attachment B).
(1)
Service ordering to RCUH for the direct support of a research or
training project
(a)
Effective beginning with the adoption of this Executive
Policy service ordering to RCUH for the direct support of a
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research or training project shall be as provided by Board
policy unless an exception is granted in accordance with
applicable Board policy, this Executive Policy, and
applicable collective bargaining agreement provisions.
Prior to the end of the authorized period for service
ordering to RCUH to hire personnel to provide direct
support to research or training projects, all positions created
in response to the service orders to RCUH shall be subject
to the Service Order for RCUH Employee Form (Formerly
Attachment B) review process.
(b)
(2)
Service Order for RCUH Employee Form (Formerly
Attachment B) review process
(i)
The electronic RCUH Service Order for Personnel
Form shall be completed and submitted by the
requestor to the appropriate Dean/Director for
review, approval, and forwarding as appropriate to
the Chancellors.
(ii)
The UHM Chancellor or UHM Vice Chancellor
shall review and approve/disapprove service order
requests. Copies of the approved/disapproved
service order request shall be electronically
forwarded to the Dean/Director, requestor, HGEA
and UPHA via email.
Exception Granted
Subject to the approval of the UHM Chancellor or UHM Vice
Chancellor, a Principal Investigator may proceed to hire research
personnel through RCUH.
(3)
Exception Denied
In the event that the UHM Chancellor denies a request to hire
research personnel through RCUH, the Principal Investigator shall
proceed to establish the professional or technical research position
in the University’s human resource systems and proceed to recruit
and hire in accordance with procedures and collective bargaining
provisions relating to temporary non-administrative extramurally
funded professional and technical personnel.
d.
An appeal of a decision to approve or deny an exceptions request may be
submitted by the exclusive representative via the appropriate UHM
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Chancellor to the Vice President for Research. The appeal shall be filed
within two (2) working days after the date of the electronic notice unless
the exclusive representative provides notice that for a specific request
additional time is needed in which case the appeal shall be filed within
five (5) working days after the date of electronic notice. In the absence of
receipt of any objections, the exception action proposed and as approved
by the University shall be executed.
2.
Monthly Summary Reports of Service Order Authorizing the Hiring of Research
Personnel Through RCUH and Exception Actions
a.
The University shall coordinate with RCUH to have RCUH provide on a
monthly basis reports reflecting the following information relating to
personnel hired and projects established to support University externallysponsored investigation, research, and training projects and grants through
the service order process:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
Name of employee
Project title and duration
Position title and salary range
Organizational location
Confirmation of receipt of approved Service Order for RCUH
Employee Form (Formerly Attachment B) Date
Status indication: initial hire, continuation, or renewal
Duration of appointment or position NTE date
Physical location
b.
The report shall include a status indication of the position, e.g., terminated,
position established in University human resource systems, temporary
position expired and function converted to UH human resource system or
other status, of position established in RCUH for one year or less.
c.
Copies of the monthly report are be transmitted to the Board of Regents,
exclusive collective bargaining representatives, and Chancellors.
d.
The University shall develop and maintain a listing of RCUH
“administrative-type” positions that upon vacancy or re-description shall
be subject to the Service Order for RCUH Employee Form (Formerly
Attachment B) review process. A copy of this listing shall be shared with
the exclusive representative of administrative type positions.
3. Change of Source of Funding or Transfer of Funds and Replacement Positions
a.
RCUH employees who continue to perform the same duties with RCUH
although there is a change in the source of funding or transfer for funds
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from rollover (i.e., same grant extended from one fiscal year to the next)
and not new grant(s) shall not be considered a new or replacement hire
and subject to an Service Order for RCUH Employee Form (Formerly
Attachment B) review process in conjunction with the change in the
source of funding or transfer of funds. In the event that a RCUH
employee should continue to perform the same duties, but from a new
grant, i.e., other than a rollover grant, the position shall be submitted
through Service Order for RCUH Employee Form (Formerly Attachment
B) review process with a request for special exception as appropriate.
b.
All requests to establish new RCUH positions to perform duties for a
grant(s) or project(s) shall be subject to the Service Order for RCUH
Employee Form (Formerly Attachment B) review process.
c.
Whenever a RCUH position becomes vacant and there is a request to
continue the same or similar duties by a replacement position, a request to
establish an RCUH position shall be submitted for review by the RCUH
Service Order for Personnel Form (Formerly Attachment B) review
process.
C. Compliance
Seeking the approval of a successive series of one (1) year exceptions for replacement
positions with the intent to circumvent the Board’s Policy limiting employment of any person
at RCUH to one (1) year is prohibited and may be the basis for disciplinary action up to and
including termination.
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