RCUH Policies and Procedures
Research Corporation
of the University of Hawai‘i
1.420 Direct Projects – Non-State Entity
I. Non-State Entity
RCUH may enter into agreements with non-State entities, including federal and county governments and private entities, through the flexibility granted by its enabling legislation, provided that the project activities and projected outcomes are within the mission scope of RCUH, serve a public purpose, and clearly benefit UH and/or the State of Hawai‘i. To avoid the perception that RCUH, a public entity, is competing against the private sector, projects accepted by RCUH should exhibit at least one of the following characteristics:
A. The project is in the early stages of research, development or training.
B. The research is being funded by grants from the government or other external
sponsor.
C. The early research that resulted in the formation of the entity was performed at the
University of Hawai‘i or other governmental or non-profit agency.
D. TheprincipalownersoftheentityarefacultyoftheUniversityofHawai‘ioremployees
of a governmental or non-profit agency.
E. The intellectual property resulting from the research is owned by the University of
Hawai‘i or other governmental or non-profit entity.
F. The entity under which the project operates is a non-profit organization.
II. Procedure
A. Initial Agreement
1. When an entity wishes to request RCUH services, it shall contact the RCUH Director of Finance to discuss project objectives, goals, and the scope of required RCUH services.
2. If it is determined that the project is within RCUH’s mission scope and that RCUH may be able to assist, the entity shall complete the RCUH Direct Project Request. The request includes a Project Task Order Form(s), which will be made part of the Project Master Agreement if project is accepted.
3. The entity shall submit the completed/signed Direct Project Request and any applicable supporting documents to RCUH Project Administration.
4. RCUH Project Administration shall notify the entity of RCUH management’s decision after review of the Direct Project Request.
5. If RCUH agrees to provide the requested services, the entity shall complete a Project Master Agreement.
6. The entity shall submit the Project Master Agreement to Project Administration for RCUH’s review.
7. When all terms are agreeable to the parties, RCUH shall sign and return the agreement to the entity.
8. Upon receipt of the fully executed agreement, RCUH shall establish a project account in the RCUH financial system for each approved Project Task Order and notify the entity.
9. The PI shall complete, obtain appropriate signatures for, and submit to RCUH Project Administration the following:
a. Signature Authorization for the PI to assign authorized personnel to the project. The PI shall submit an updated signature authorization form to RCUH Project Administration as soon as any change occurs, e.g., addition/deletion.
A new Signature Authorization Form shall be submitted to RCUH Administration when a change in PI occurs.
b. Financial Portal Access Form for the PI to designate authorized project personnel to process and approve transactions online, and request that RCUH establish a log-in to the account for each authorized user.
10.RCUH Project Administration serves as the Fiscal Administrator (FA) for the project.
B. Amendment
An Amendment or a Task Order Change Form is required for any revision to the original agreement or task order, e.g., extension of project period, additional funding, etc.
1. When an amendment is necessary, the entity shall contact the RCUH Director of Finance to notify RCUH of its intent.
2. RCUH and the entity shall discuss project status and address concerns, if any.
3. The entity shall submit the completed/signed Project Master Agreement
Amendment or Project Task Order Change Form to RCUH Project Administration.
4. Extension/continuation of the project is subject to the review and approval of
RCUH management.
5. Upon approval, RCUH shall sign and return the fully executed Amendment or
Project Task Order Change Form to the entity.
6. RCUH shall update the project account in the RCUH financial system.
C. Additional Project/Task Order Request
A Project Task Order Form is required for any new project request.
1. When a new project is necessary, the entity shall contact the RCUH Director of Finance to notify RCUH of its intent.
2. The entity shall submit the completed/signed Project Task Order Form and supporting documents, if applicable, to RCUH Project Administration.
3. The task order is subject to the review and approval of RCUH management.
4. Upon approval, RCUH shall sign and return the fully executed Project Task Order Form to the entity.
5. RCUH shall establish a project account in the RCUH financial system and notify the entity.
D. Termination
Prior to the project termination date, PI shall do the following:
1. Review the project account, process pending payments, and clear outstanding encumbrances.
2. Reconcile petty cash funds and return the balance to RCUH Accounting, if applicable.
3. Turn in all credit cards issued to RCUH Accounting, if applicable.
RCUH shall submit a Final Expenditure Report and transfer controlled property and equipment acquired during the course of the project (refer to Policy 1.440 Direct Projects Property) to the sponsor in accordance with the terms of the Project Agreement.
IV. Relevant Documents
Direct Project Request
Financial Portal Access Form
Policy 1.440 Direct Projects Property Project Master Agreement
Project Master Agreement Amendment Signature Authorization
Task Order Form
Task Order Change Form
Date Revised: 1/18/2017