Research Corporation of the University of Hawaiʻi

Research Corporation
of the University of Hawai‘i
2.004 Standards of Conduct
Hawaii Revised Statutes (HRS) Chapter 84, Standards of Conduct, applies to all RCUH employees. Any questions regarding applicability or conflicts of interest during employment or post-employment should be directed to the Hawaii State Ethics Commission.
I. Responsibilities
A. Principal Investigator
Ensures compliance with policies and regulations regarding standards of conduct and conflicts of interest.
B. Fiscal Administrator
Ensures that Projects comply with policies and regulations regarding standards of conduct and conflicts of interest.
II. Standards of Conduct
All RCUH employees shall abide by the following standards of conduct:
A. Gifts – No employee shall solicit, accept, or receive, directly or indirectly, any gift, favor, or anything of monetary value, whether in the form of money, service, loan, travel, entertainment, hospitality, thing, or promise, or in any other form, under circumstances in which it can reasonably be inferred that the gift is intended to influence the employee in the performance of the employee’s official duties, or is intended as a reward for any official action on the employee’s part.
B. Confidential Information – No employee shall disclose information which by law or practice is not available to the public and which the employee acquires in the course of the employee’s official duties, or use the information for the employee’s personal gain or for the benefit of anyone.
C. Fair Treatment – No employee shall use or attempt to use the employee’s official position to secure or grant unwarranted privileges, exemptions, advantages, contracts, or treatment for oneself or others including, but not limited to, the following:
1. Seeking other employment or contract for services for oneself by the use or attempted use of the employee’s office or position;

2. Accepting, receiving, or soliciting compensation or other consideration for the performance of the employee’s official duties or responsibilities except as provided by law;
3. Using state time, equipment, or other facilities for private business purposes; and
4. Soliciting, selling, or otherwise engaging in a substantial financial transaction with a subordinate or a person or business that the employee inspects or supervises in the employee’s official capacity.
D. ConflictsofInterest
1. No employee shall take any official action directly affecting any of the following:
a. A business or other undertaking in which the employee has a substantial financial interest; or
b. A private undertaking in which the employee is engaged as legal counsel, advisor, consultant, representative, or other agency capacity.
2. No employee shall acquire financial interests in any business or other undertaking which the employee has reason to believe may be directly involved in official action to be taken by the employee.
3. No employee shall assist any person or business or act in a representative capacity before any State or county agency for a contingent compensation in any transaction involving the State.
4. No employee shall assist any person or business or act in a representative capacity for a fee or other compensation to obtain a contract, claim, or other transaction or proposal in which the employee has participated or will participate as an employee, nor shall the employee assist any person or business or act in a representative capacity for a fee or other compensation on such contract, claim, or other transaction or proposal before UH or RCUH.
5. No employee shall participate in the selection, award, or administration of a contract if the employee (or any member of his/her immediate family, his/her partner, or an organization that employs or will employ the employee or his/her immediate family or partner) has a financial or other interest in, or will receive or has received a tangible personal benefit from, a business or other undertaking considered for a contract.
E. Disclosure – HRS Chapter 84, Standards of Conduct, requires certain State officials to submit Disclosure of Financial Interest forms to the Hawaii State Ethics Commission. Those so required will be advised by the Hawaii State Ethics Commission.
F. Contracts
1. RCUH, as a State agency, shall not enter into any contract to procure goods or services, or for construction, with a legislator, an employee of the State, or a
business in which a legislator or an employee of the State has a controlling interest, involving services or property of a value in excess of $10,000, unless the contract is awarded by competitive sealed bidding or competitive sealed proposal, or a notice of intent to award the contract is posted and a copy is filed with the Hawaii State Ethics Commission at least ten (10) days before the contract is awarded. The Hawaii State Ethics Commission (HSEC) (808-587- 0460) should be contacted prior to entering into any contract with a legislator or with a UH, RCUH, or State of Hawai‘i employee. The UH Office of Research Services (ORS) Compliance Department should also be contacted at [email protected] prior to entering into a contract with a UH employee. All correspondence (oral or written) with the HSEC and ORS Compliance Department should be noted in the procurement file.
2. RCUH, as a State agency, shall not enter into a contract with any person or business which is represented or assisted personally in the matter by a person who has been an employee of RCUH or UH within the preceding two (2) years, and who participated (while in State office or employment) in the matter with which the contract is directly concerned. Contact the HSEC (808-587-0460) for guidance in this situation. All correspondence (oral or written) with the HSEC should be noted in the procurement file.
3. When expending federal funds, RCUH is required to comply with the Anti-Kickback Act of 1986, which prohibits the making or accepting of payments for the purpose of improperly obtaining or rewarding favorable treatment. The following procedures have been established to comply with the requirements of the law:
a. Definitions
b.
i. Kickback: Any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to RCUH or its employees, contractors or contractor employees for the purpose of improperly obtaining or rewarding favorable treatment.
ii. Contractor: Any person who offers to furnish or furnishes any supplies, materials, equipment, or service of any kind under a contract with RCUH.
iii. Person: A corporation, partnership, business, association of any kind, trust, joint-stock company, or individual.
Responsibility – No person shall perform the following:
i. Provide, attempt to provide, or offer to provide any kickback;
ii. Solicit, accept, or attempt to accept any kickback; or
iii. Charge the federal government or the University, directly or indirectly, the amount of any kickback.
c. Penalties
i. Any person who knowingly and willfully engages in the conduct described in subparagraph 6.c.ii, above, may be subject to criminal penalties.
ii. Civil penalties may be recovered from any person who knowingly engages in such prohibited conduct.
d. Audit Procedures – RCUH requires Fiscal Administrators and other RCUH personnel engaged in procurement, contracting or related activities to submit an Attachment 9 Annual Declaration of Receipt of Gifts and Gratuities Compliance with Standards of Conduct.
e. Procedures for Reporting Kickbacks
i. When any person has reasonable grounds to believe that a violation of the Anti-Kickback Act has occurred, he/she shall promptly report in writing the possible violation to the RCUH Procurement & Disbursing manager.
ii. RCUH personnel shall cooperate fully with any federal agency investigating a possible violation of the Anti-Kickback Act.
f. Procedures to Offset Kickbacks – The Federal Contracting Officer may perform any of the following:
i. Offset the amount of any kickback against any monies owed under the contract with RCUH; and/or
ii. Direct that RCUH withhold from sums owed a contractor the amount of any kickback; and
iii. Order that monies withheld under subparagraph 6.c.vi.2., above, be paid over to the federal government unless it has already offset those monies under subparagraph 6.c.vi.1., above. In either case, RCUH is required to notify the Federal Contracting Officer whenever monies are withheld.
III. Relevant Documents
HRS Chapter 84, Standards of Conduct
Attachment 9 Annual Declaration of Receipt of Gifts and Gratuities Compliance with Standards of Conduct
UH AP 8.220 General Principles
Date Revised: 2/02/2017