(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.II.A.1.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

1.  Preamble

1.1   The Faculty Role in University Shared Governance

1.1.1   The principle of shared governance in universities is long established by tradition and was formalized in the 1966 Joint Statement on Government of Colleges and Universities (jointly formulated by the American Association of University Professors, the American Council on Education, and the Association of Governing Boards of Universities and Colleges). The Joint Statement affirms that the academic institution is a "joint effort," requiring communication and consultation among all constituencies, and addresses the distinctive responsibilities of trustees, administration, faculty, staff, and students in university governance.

1.1.2   The distinctive responsibility of the faculty is the academic mission of the university. In particular, the joint statement asserts that, "The faculty has primary responsibility for such fundamental areas as curriculum, subject matter and methods of instruction, research, faculty status, and those aspects of student life which relate to the educational process. On these matters the power of review or final decision lodged in the governing board or delegated by it to the president should be exercised adversely only in exceptional circumstances and for reasons communicated to the faculty."

1.1.3   This constitution provides for the faculty to exercise this responsibility through an elected Faculty Senate. This Faculty Senate is designed to work in close communication and collaboration with the Board of Trustees, executive officers and the Council of Deans, the PAT and Operating Staff Councils, and the Student Senate, each of which have their own distinctive responsibilities as well as overlapping areas of concern.

2.   Purpose

2.1   The Faculty Senate will be the legislative body that reviews and develops policies concerned with the academic mission of the university.

3.   Membership

3.1   Each academic department shall elect one member to the Faculty Senate for a two-year term. Departments with more than 20 tenure-track faculty shall elect two senators. For purposes of Faculty Senate membership, the Library, the Thompson School, and UNH-Manchester divisions shall be treated in the same way as departments. (See Bylaw 4). Elections shall be by an approval ballot in which every tenure-track member of the department is nominated and in which faculty members can vote for as many candidates as they wish. Only tenure-track faculty may vote. The Faculty Senate shall supervise the elections.

4.   Referral of fundamental issues to the faculty

4.1   Faculty referendum on senate actions. Any motion or resolution acted upon by the Faculty Senate is subject to a referendum by the faculty of the University of New Hampshire. Any issue may go to referendum upon petition of at least twenty percent of the tenure-track faculty, provided that such petition is made within 45 days of the senate action in question (excluding vacations). The petition shall be delivered to the chair of the senate. The senate chair shall cause transcripts of all relevant senate discussion of the issue to be distributed to all faculty. The chair will arrange for a vote of the faculty by ballot. Faculty members will have not less than two weeks and not more than four weeks to consider the issue and complete ballots. The majority vote shall be binding provided that at least fifty percent of the faculty submit ballots. In the event of a participation rate of less than fifty percent or a tie vote, the original senate action shall stand.

5.   Implementation of legislation

5.1   Faculty Senate legislation will be developed in consultation with the appropriate Dean(s), the appropriate Vice President(s) and the President. The Deans will implement the legislation, in consultation with the Faculty Senate. The Faculty Senate, through the appropriate Faculty Senate committees, will be informed by the university administration in a timely manner, of the disposition of the legislation passed by the Faculty Senate.

6.   Officers of the Faculty Senate

6.1   In May of each year, the outgoing Faculty Senate chair will conduct an election, by the members of the Faculty Senate for the following academic year, for a chair, a vice chair, and three at-large members of the Agenda Committee for one-year terms. A slate of candidates will be presented by the out-going Agenda Committee two weeks before the election. Additional candidates may be nominated from the floor.

Should a vacancy occur during the ensuing academic year, candidates for the replacement position shall be presented to the Faculty Senate by the Agenda Committee. Additional candidates may be nominated from the floor. The Faculty Senate shall elect a replacement by majority vote, with the winner needing more than half the votes of those senators present and voting. If no candidate receives a majority of the votes, a run-off election of the two candidates who received the most votes will be held. A vacancy results from a senator leaving the university or voluntarily resigning due to illness or other personal reasons. A senator who is absent due to work to rule and has not resigned is still a member.

6.2   The Faculty Senate chair may select a parliamentarian either from within or from outside the Faculty Senate. The Provost's Office will provide funds for a program assistant, to assist the officers of the Faculty Senate in carrying out business of the Faculty Senate.

7.   Committees

7.1   Agenda Committee. An Agenda Committee of five members, including the Faculty Senate chair, vice chair and three at-large members, shall set the Faculty Senate agenda and be responsible for the operations of the Faculty Senate. In addition to these five members, the previous senate chair shall serve as an ex officio member of the Agenda Committee if possible. In the event that the previous senate chair cannot serve, the Agenda Committee may select a replacement.

7.2   Standing Committees. The Faculty Senate will have six standing committees, each comprised solely of Faculty Senators. Each committee will meet regularly with the corresponding administrators (see Bylaw 5) to advise and consult on policy and to design and implement Faculty Senate legislation. Committees will invite additional members of the university community or others to consult with them as appropriate.

7.2.1   The Academic Affairs Committee will concern itself with the University's instructional programs and academic support, including computer and information services and university advising programs.

7.2.2   The Finance and Administration Committee will concern itself with the financial affairs of the University, including establishing priorities and allocating funds within the budget.

7.2.3   The Student Affairs Committee will concern itself with student services and non-academic student programs, including athletics.

7.2.4   The Research and Public Service Committee will concern itself with the University's research and public service programs.

7.2.5   The Campus Planning Committee will concern itself with space allocation, facilities, and physical plant planning.

7.2.6   The Library Committee will concern itself with matters pertaining to the university's library and its operation.

7.3   The Professional Standards Committee

7.3.1   The Professional Standards Committee will concern itself with matters affecting the welfare of the faculty including academic freedom, promotion, tenure, workload assignments, faculty personnel policy, and professional ethics. This committee has a role established by the collective bargaining agreement relating to termination or severe sanctions placed on faculty members. The Professional Standards Committee will be elected by bargaining-unit faculty by approval ballots in Liberal Arts, Engineering and Physical Sciences, Life Sciences and Agriculture, Business and Economics, Health and Human Services, UNH-Manchester, and the library. All tenured faculty members will automatically be the nominees on their respective ballots. The Faculty Senate will supervise this election. The Professional Standards Committee will have seven directly elected members, one from each of the following: CEPS, COLSA, LA, SHHS, WSBE, UNH-Manchester and the library. In addition the vice chair of the Faculty Senate will be the eighth member and the chair of the committee.

7.4   Other Faculty Senate Committees

7.4.1   The Faculty Senate may establish whatever other committees it deems appropriate, as needed, such as the University Curriculum and Academic Policies Committee (UCAPC).

8.   Faculty Senate Bylaws and Rules

8.1   The Faculty Senate will establish its own bylaws and rules by majority vote.

9.   Amendments to the Constitution

9.1   Amendments to the Constitution will require a two-thirds vote of the Faculty Senate. Amendments will be introduced to the Faculty Senate at least two weeks before the vote.

10.   Matters pertaining to collective bargaining

10.1   Collective bargaining issues may be discussed, but no official action may be taken.

11.   Meetings Open to faculty

11.1   The meetings of the Faculty Senate will be open to all tenure-track faculty. Others may be present only on invitation of the Agenda Committee. Anyone may be recognized to make a presentation at a Faculty Senate meeting, but only senators may propose motions or vote.

12.   Coordination with Students, Administration, and Staff

12.1   The Faculty Senate is committed to working closely with other university governing bodies, including the Board of Trustees, the President's Cabinet, the Student Senate, the PAT Council, and the Operating Staff Council.

13.   Evaluation and Reconsideration of the Faculty Senate

13.1   Five years after the enactment of this constitution, the chair of the Faculty Senate shall organize a referendum to determine whether the faculty are satisfied with the Faculty Senate as constituted by this document and any subsequent amendments.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.II.B.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

1.   Elections

1.1   Half of the senators will be elected each year. The senate assistant will prepare ballots for those departments electing senators in a given year, with every tenure-track faculty member of those departments appearing on the ballot.

1.2   Departmental ballots will be sent to faculty members directly by the senate assistant during the first week of March. Ballots must be returned to the senate assistant by March 31.

1.3   A plurality of votes from the department will be sufficient for election. In the case of a tie, a run-off election will be held between April 1 and April 20.

2.   Membership of Committees

2.1   Standing Committees: In the summer of each year the Agenda Committee will appoint members to committees, after receiving indications of committee preferences. Should a vacancy occur on any committee during the ensuing academic year, the Agenda Committee may appoint a replacement. A vacancy results from a senator leaving the university or voluntarily resigning due to illness or other personal reasons. A senator who is absent due to work to rule and has not resigned is still a member. The Agenda Committee will appoint a chair to each of the standing committees.

2.2   Joint Committees: The Agenda Committee and the Faculty Senate will coordinate appointments and elections of faculty to all university-wide joint committees of faculty, administration and students, such as the ROTC Board of Governors, the MUB Board of Governors, the Affirmative Action Committee, the Instructional Technology Committee, and the Athletic Advisory Committee.

2.3   Professional Standards Committee: Members will be elected for two-year terms with half elected each year. The senate assistant will prepare ballots for those units electing members, with every tenured faculty member in the unit appearing on the ballot. The same procedure as in (1.B) and (1.C) will be followed.

3.   Meetings

3.1   The Agenda Committee will meet at least once a month during the academic year. The committee will call meetings of the full senate whenever agenda items arise, but normally at least once a month. Standing committees will converse regularly with the Agenda Committee about prospective agenda items.

3.2   The senate will have a regular meeting in September to discuss the future year's work and a regular meeting in May to organize the new senate.

3.3   A quorum must be present for the legal transaction of business, and a quorum will consist of a majority of the voting members. Voting members are defined as all faculty senators who have been elected by eligible departments. Departments that choose not to elect a senator are therefore not counted. A senator may designate another member of her/his department to act as proxy. If two small departments agree to share a senator, they may be represented by one senator with one vote. A proxy for the senator for the combined departments may be chosen from those combined departments. No senator or proxy may have more than one vote.

4.   Definition of Faculty Senate Members

4.1   For purposes of Faculty Senate membership, the following academic departments are eligible to elect senate members. The Agenda Committee is responsible for monitoring this list annually.

• Accounting & Finance
• Animal & Nutritional Science
• Anthropology
• Art & Art History
• Biochemistry & Molecular Biology
• Chemical Engineering
• Chemistry
• Civil Engineering
• Communication Disorders
• Communication
• Computer Science
• Decision Sciences
• Earth Sciences
• Economics
• Education
• Electrical Engineering
• English
• Family Studies
• Geography
• Health Management & Policy
• History
• Hospitality Management
• Kinesiology
• Languages, Literatures & Cultures
• Management
• Marketing
• Mathematics
• Mechanical Engineering
• Microbiology
• Music
• Natural Resources
• Nursing
• Occupational Therapy
• Philosophy
• Physics
• Plant Biology
• Political Science
• Psychology
• Recreation Management & Policy
• Resource Economics & Development
• Social Work
• Sociology
• Theater & Dance
• Zoology
• Library
• Thompson School
• UNHM, Humanities
• UNHM, Sciences

5.   Faculty Senate Standing Committees and Corresponding Administrators

• Academic Affairs: Provost/Vice President for Academic Affairs, Dean's Council
• Finance & Administration: Vice President for Finance and Administration
• Student Affairs: Vice President for Student Affairs
• Research & Public Service: Vice President for Research and Public Service
• Campus Planning: Associate Vice President for Campus Planning & Real Property Management & Campus Planner
• Library: University Librarian

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.II.C.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction and Guiding Principles

1.1   One of the University of New Hampshire's (UNH) primary missions is to support the creation and dissemination of knowledge. The UNH community must hold itself accountable for the conduct of any scholarly activity undertaken in fulfillment of this mission. In particular, all members of the community are expected to exercise appropriate supervision of themselves and those under their direction so as to ensure the integrity of the scholarly process. The UNH community's obligations in this regard should be seen as part of higher education's responsibility to promote and sustain public confidence in the value of scholarly inquiry. Several key principles inform the policy and procedures set forth below.

1.2   First, the reputation of UNH and the reputations of its scholars are equally vital to the health of UNH; and actions that might jeopardize this health should not be tolerated.

1.3   Second, in the event of an allegation of scholarly misconduct, the confidentiality of all parties involved should be maintained to an extent consistent with UNH's obligations to inform the scholarly community in a timely way and, if such is the case, any sponsoring agency.

1.4   Third, each party involved should have an equal chance to present its case; in particular, the subject of any allegation of scholarly misconduct should have the opportunity to respond to the complainant's allegations during the proceedings.

1.5   Fourth, decisions and actions taken during the proceedings should be based on the best and most accurate information and evidence available, and vigorous effort should be made to obtain such material consistent with the concerns for confidentiality engendered in this policy.

1.6   Fifth, all information and evidence gathered, including oral and/or written testimony, should be subjected to the impartial judgment of individuals possessing the relevant expertise, with the "preponderance of the evidence standard" applied as the measure of proof during an investigation.

2.   Definitions

2.1   Allegation: Any written or oral statement or other indication of possible scholarly misconduct made to a UNH official and identified as a possible allegation of scholarly misconduct.

2.2   Complainant: A person who makes an allegation of scholarly misconduct.

2.3   Conflict of interest: The real or apparent interference of one person's interests with the interests of another person, where potential bias may occur due to prior or existing personal or professional relationships, including financial connections. Members of an investigation team are not deemed to have a conflict of interest solely because of their role at UNH and the relationship that such role creates with the respondent or the complainant (e.g., a college Dean is not deemed to have a conflict merely because he/she is the Dean of the college of a respondent who is a faculty member).  Examples of problem situations include having: 

2.3.1   A family relationship with the respondent or complainant; 

2.3.2   A professional relationship with the respondent or complainant, e.g., as a consultant or collaborator on the work in which scholarly misconduct has been alleged; 

2.3.3   A known personal relationship with the respondent or complainant, either as close friends or open antagonists; or

2.3.4   Having collaborated recently on a project related to the work in which scholarly misconduct has been alleged. 

2.3.5   If there is a question as to whether a conflict of interest exists, the RIO may consult the Deciding Official.

2.4   Deciding Official: The UNH official who makes final determinations on allegations of scholarly misconduct and any responsive institutional actions. This person is the Senior Vice Provost for Research, Economic Engagement and Outreach (SVPREEO).  If the SVPREEO is considering recusing themself for conflict of interest or other reasons, the Deciding Official will be the UNH Provost.

2.5   Fabrication: Making up data or results and recording or reporting them.¹

2.6   Falsification:  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.²

2.7   Good faith allegation: An allegation made with the honest belief that scholarly misconduct may have occurred. An allegation is not in good faith if it is made with reckless disregard for or willful ignorance of facts that would disprove the allegation.

2.8   Misconduct:

2.8.1   Fabrication, falsification, or plagiarism in proposing, performing, or reviewing scholarly activities, or in reporting results from scholarly activities; or

2.8.2   Retaliation of any kind against a person who has brought forth an allegation of scholarly misconduct or who has provided information about a suspected case of scholarly misconduct because of their participation in the processes articulated in this policy.

2.8.3   This definition is consistent with that used by federal funding agencies such as the National Science Foundation (NSF) and the Public Health Service (PHS).  Examples of scholarly misconduct include, but are not limited to:

2.8.3.1   Misappropriation of the ideas of others, including the unethical use of privileged and/or confidential information;

2.8.3.2   Misrepresentation of the results of scholarly activity or scholarly credentials; and

2.8.3.3   Lack of appropriate attribution of sources in scholarly products.

2.8.4   Scholarly misconduct does not include honest error or differences in interpretations or judgments with respect to scholarly issues that are inherent in the scientific and creative process. Furthermore, this definition should not be construed to stifle academic freedom.

2.9   ORI: The Office of Research Integrity, the office within the U.S. Department of Health and Human Services (DHHS) that is responsible for the scientific misconduct and research integrity activities of the U.S. Public Health Service.

2.10   PHS: The Public Health Service of the U.S. Department of Health and Human Services, and any components of the PHS to which the authority involved may be delegated, including the National Institutes of Health (NIH).

2.11   Plagiarism:  The appropriation of another person's ideas, processes, results, or words without giving appropriate credit.³

2.12   PHS regulation: The Public Health Service regulation establishing standards for institutional investigations into allegations of scientific misconduct, which is set forth at 42 C.F.R. Part 50, Subpart A, entitled "Responsibility of PHS Awardee and Applicant Institutions for Dealing With and Reporting Possible Misconduct in Science."

2.13   PHS support: PHS grants, contracts, or cooperative agreements or applications thereof.

2.14   Preponderance of the evidence: The quantity and quality of evidence which, when fairly considered, produces the stronger impression, and has the greater weight, and is more convincing as to its truth than the evidence in opposition. Note: This standard of proof is consistent with that applied by federal funding agencies such as NSF.

2.15   Research Integrity Officer (RIO): The UNH official responsible for assessing allegations of scholarly misconduct, determining when such allegations warrant a stage one investigation, and for overseeing investigations.  This person is the Director of Research Integrity Services or his/her designee.

2.16   Research record: Any data, document, computer or digital file, or any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of scholarly misconduct. A research record includes, but is not limited to, grant or contract applications, whether funded or unfunded; grant or contract progress and other reports; laboratory notebooks; notes; correspondence; videos; photographs; X-ray film; slides; biological materials; computer files and printouts; manuscripts and publications; equipment use logs; laboratory procurement records; animal facility records; human and animal subject protocols; consent forms; medical charts; and patient research files.

2.17   Respondent: The person against whom an allegation of scholarly misconduct is directed or the person whose actions are the subject of a stage one or a stage two investigation. There can be more than one respondent in any charge of scholarly misconduct.

2.18   Retaliation: Any action by UNH of an employee that adversely affects the employment or other institutional status of an individual that is taken because the individual has in good faith, made an allegation of scholarly misconduct or of inadequate institutional response thereto or has cooperated in good faith with an investigation of such allegation.  Retaliation does not include action taken for reasons other than the impacted individual’s participation in the procedures articulated by this policy.

2.19   Scholarly activity: Includes, but is not limited to, laboratory, clinical, and field research, educational innovation projects, theoretical investigations, observational studies, experimentation, research and scholarship in the humanities and artistic and other forms of creative expression.

2.20   Stage one investigation:  Gathering information and initial fact-finding to determine whether an allegation or apparent instance of scholarly misconduct warrants a stage two investigation.

2.21   Stage two investigation: The formal examination and evaluation of all relevant facts to determine if scholarly misconduct has occurred, and, if so, to determine the responsible person and the seriousness of the scholarly misconduct.

3.   Scope and Applicability

3.1   This document sets forth the UNH policy on Misconduct in Scholarly Activity and details the process for dealing with an allegation of such misconduct. The policy applies to all UNH faculty, staff, and graduate students, and to UNH undergraduate students with respect to scholarly activities that are part of federally-funded research projects. Furthermore, for UNH faculty, staff, and graduate students, this document does not distinguish between funded and unfunded efforts, except where it reflects specific requirements of a sponsoring agency, for example the notification of an agency that an investigation of an allegation of scholarly misconduct has commenced. The Office of the Senior Vice Provost for Research, Economic Engagement and Outreach (OSVPREEO) shall be responsible for administration of this policy and its procedures. Changes in the policy must be approved by the UNH President.

3.2   Misconduct in scholarly activity (hereinafter referred to as "scholarly misconduct") is a specific instance of impropriety within the broader domain of personal and professional conduct. Allegations of misconduct outside the scope of this policy should be directed to the cognizant chair, dean, director, vice president, or other UNH official. The process of investigation and reporting obligations may differ from those required for cases covered under this policy.

3.2.1   Allegations of plagiarism  made against undergraduate or graduate students are not intended to be covered by this policy with respect to their completion of normal course assignments to the extent those assignments do not entail published work. Such cases are subject to the policies of the Office of the Senior Vice Provost for Student Life with respect to student conduct, as outlined in the "Student Handbook on Rights, Rules, and Responsibilities."

3.2.2   Graduate student research, including master’s theses, capstone research projects, and doctoral dissertations, are subject to this policy.

3.2.3   This policy applies to scholarly activities conducted by undergraduate students when the project of which they are a part is federally funded, in whole or in part.

3.3   This policy should not be construed to limit the rights of any member of the UNH community, including those of UNH faculty as outlined in their collective bargaining agreement, staff as detailed in the University System of New Hampshire (USNH) Policy Manual and relevant handbooks, and graduate and undergraduate students as outlined in their document on rights, rules, and responsibilities. The collective bargaining agreement will control in any conflict with this policy for cases involving UNH faculty.

4.   Requirements for Findings of Scholarly Misconduct

4.1   A finding of scholarly misconduct requires that:

4.1.1   There must be a significant departure from accepted practices of the research community; and

4.1.2   The scholarly misconduct be committed intentionally, knowingly, or recklessly; and,

4.1.3   The allegation be proven by a preponderance of the evidence.

5.   Evidentiary Standards

5.1   The following evidentiary standards apply to findings made under this policy:

5.1.1   A UNH finding of scholarly misconduct must be proved by a preponderance of the evidence.

5.1.2   UNH has the burden of proof for making a finding of scholarly misconduct. The destruction, absence of, or respondent's failure to provide records adequately documenting the questioned scholarship is evidence of scholarly misconduct where UNH establishes by a preponderance of the evidence that the respondent intentionally, knowingly, or recklessly had 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 deviation from accepted practices of the relevant scholarly community.

5.1.3   The respondent has the burden of going forward with and the burden of proving, by a preponderance of the evidence, any and all affirmative defenses raised. In determining whether UNH has carried the burden of proof imposed by this part, the finder of fact shall give due consideration to admissible, credible evidence of honest error or difference of opinion presented by the respondent.

5.1.4   The respondent has the burden of going forward with and proving by a preponderance of the evidence any mitigating factors that are relevant to a decision to impose administrative actions following a misconduct proceeding.

6.   Rights and Responsibilities

6.1   Research Integrity Officer (RIO)

6.1.1   The RIO will have primary responsibility for implementation of the procedures set forth in this policy. The RIO will be a UNH official who is well qualified to handle the procedural requirements involved and is sensitive to the varied demands made on those who conduct research, those who are accused of scholarly misconduct, and those who report apparent scholarly misconduct in good faith.

6.1.2   The RIO will appoint the investigation teams as provided in this policy and ensure that necessary and appropriate expertise is secured to carry out a thorough and authoritative evaluation of the relevant evidence in an investigation. The RIO will attempt to ensure that confidentiality is maintained.

6.1.3   The RIO will assist investigation teams and all UNH personnel in complying with these procedures and with applicable standards imposed by government or external funding sources. The RIO is also responsible for maintaining files of all documents and evidence, and for the confidentiality and the security of the files.

6.1.4   The RIO will report to ORI as required by regulation and keep ORI apprised of any developments during the course of the stage one or stage two investigation that may affect current or potential DHHS funding for the individual(s) under investigation or that PHS needs to know to ensure appropriate use of federal funds and otherwise protect the public interest.

6.2   Complainant

6.2.1   The complainant will have an opportunity to testify before the stage one investigation team, when applicable, and the stage two investigation team, to review portions of the investigation report(s) pertinent to their allegations or testimony, to be informed of the results of the investigations, and to be protected from retaliation. Also, if the RIO has determined that the complainant may be able to provide pertinent information on any portions of the draft report(s), these portions may be given to the complainant for comment.

6.2.2   The complainant is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with an investigation.

6.2.3   The complainant does not have any personal right or interest in the outcome of the MISA process.

6.3   Respondent

6.3.1   The respondent will be informed of the allegations when a stage one investigation is opened and notified in writing of the final determinations and resulting actions. The respondent will also have the opportunity to be interviewed by and present evidence to the stage one investigation team and the stage two investigation team, to review the draft investigation reports, and to have the advice of counsel (subject to limitations as set forth in this policy).

6.3.2   The respondent is responsible for maintaining confidentiality and cooperating with the conduct of an investigation. If the respondent is not found to have committed scholarly misconduct, they have the right to receive institutional assistance in restoring their reputation.

6.3.3   The respondent does not have any personal right or interest in the outcome of a stage one or stage two investigation, other than as specifically set forth in this policy.

6.4   Deciding Official

6.4.1   The Deciding Official will receive the investigation report(s) and any written comments made by the respondent or the complainant on the draft report(s). The Deciding Official will consult with the RIO and/or other appropriate officials and will determine whether to conduct a stage two investigation, whether scholarly misconduct occurred, whether to impose sanctions, and/or whether to take other appropriate administrative actions (see section 14. Administration of Sanctions).

7.   Policy Statement

7.1   UNH does not condone and will not tolerate any act of scholarly misconduct by a member of its community. Violation of this policy is grounds for administrative sanction. UNH strives to ensure that all members of its community understand and uphold this policy.

8.   Process

8.1   An allegation of scholarly misconduct shall be handled through several procedural stages: reporting, assessment, stage one investigation, stage two investigation, and determination, and administration of sanctions if warranted. The reporting stage initiates a formal process designed to consider an allegation with the seriousness it is due. During the assessment, a decision is made whether the allegation falls within the scope of the policy. If so, in the stage one investigation, preliminary fact finding takes place to substantiate or refute the allegation. If the allegation is found to have substance, then a stage two investigation is undertaken. Following the investigation and a determination of whether scholarly misconduct occurred, administrative sanctions may be applied as appropriate.

9.   Reporting

9.1   All members of the UNH community, including administrators, faculty, staff, and graduate and undergraduate students are strongly encouraged to report without delay any suspicion of scholarly misconduct to the RIO or to the SVPREEO. Causes for suspicion include, but are not limited to, direct observation, inferences based on data or research practices, or specific reports or statements received from knowledgeable individuals and/or organizations within or outside the UNH community.

9.2   UNH encourages community members to consult with the SVPREEO or the RIO if they are aware of inappropriate conduct but uncertain whether it constitutes scholarly misconduct.

9.3   In addition, the SVPREEO should be alerted promptly if any of the following circumstances detailed below are discovered during the reporting stage or any of the subsequent stages (stage one investigation, stage two investigation and determination, or administration of sanctions):

9.3.1   An immediate health hazard;

9.3.2   An immediate need to protect federal, state, local, or UNH funds or equipment;

9.3.3   An immediate need to protect the complainant, the respondent, their associates, or a witness;

9.3.4   Likelihood that an alleged incident of scholarly misconduct will be reported publicly;

9.3.5   The allegation involves a public health sensitive issue (e.g., clinical trial); or

9.3.6   A reasonable indication of possible criminal violation.

9.4   If these emergency situations arise in connection with scholarly activity that is externally sponsored, UNH may, and in some cases must, notify sponsoring agencies directly and immediately. UNH may also take interim administrative (not disciplinary) action as necessary to protect funds, equipment, and/or the purposes of the sponsored grant or contract that may be involved. Notifications and any actions taken in this regard will be coordinated by the DO.

9.5   UNH shall use reasonable efforts, consistent with the due process rights of the accused, to keep confidential the identity of the complainant(s) during the stage one investigation, unless that person (or persons) consents to the disclosure of their identity.  UNH will not tolerate any acts of retaliation against the complainant or any person who participates in the investigation of alleged scholarly misconduct, and disciplinary action may be taken against the individual engaging in such acts, in accordance with appropriate UNH policies. The RIO will monitor the treatment of individuals who bring allegations of scholarly misconduct or of inadequate institutional response thereto, and those who cooperate in investigations. Individuals should immediately report any alleged or apparent retaliation to the RIO.

9.6   Further, UNH will protect to the maximum extent possible the privacy of those who report scholarly misconduct in good faith. For example, if the complainant requests anonymity, UNH will make an effort to honor the request during the allegation assessment or stage one investigation within applicable policies and regulations and state and local laws, if any.  The complainant will be advised that if the matter is referred to a stage two investigation team and the complainant’s testimony is required, anonymity may no longer be guaranteed. UNH is required to undertake diligent efforts to protect the positions and reputations of those persons who, in good faith, make allegations.

9.6.1   If the RIO determines that it is necessary to maintain anonymity of the complainant in order to protect that individual or that the identity of the complainant is not necessary to the stage one investigation, UNH will be deemed the complainant. The RIO may also designate UNH as the complainant in circumstances when the identity of the complainant is unknown or he/she is unwilling to file a complaint, but the evidence of scholarly misconduct is substantial.

9.7   Investigations will be conducted in a manner that will ensure fair treatment to the respondent(s) in the investigation and confidentiality to the extent possible without compromising public health and safety or thoroughly carrying out the investigation.

9.8   UNH employees accused of scholarly misconduct may consult with legal counsel or a non-lawyer personal adviser (who is not a principal or witness in the case) to seek advice. Employees may forward to their personal legal counsel all written communications or documents provided in connection with this policy. Personal legal counsel should communicate any concerns directly to UNH counsel.

9.9   UNH employees will cooperate with the RIO and other UNH officials in the review of allegations and the conduct of investigations. Employees have an obligation to provide relevant evidence to the RIO or other UNH officials on scholarly misconduct allegations.

9.10   Upon receiving an allegation of scholarly misconduct, the RIO will immediately assess the allegation to determine whether there is sufficient evidence to warrant a stage one investigation, whether external funds are involved, and whether the allegation falls under the definition of scholarly misconduct.

9.11   If the respondent, without admitting to scholarly misconduct, elects to resign their position at UNH prior to the initiation of a stage one investigation, but after an allegation has been reported, or during an investigation, the investigation will proceed. If the respondent refuses to participate in the process after resignation, the stage one and/or stage two investigation team will use its best efforts to reach a conclusion concerning the allegations, noting in its report the respondent's failure to cooperate and its effect on the stage one and/or stage two investigation team's review of all the evidence.

10.   Records and Evidence

10.1   UNH has an obligation to ensure that it maintains adequate records for a scholarly misconduct proceeding.

10.2   Either before or when UNH notifies the respondent of the allegation or investigation, UNH will promptly take all reasonable and practical steps to obtain custody of all the records and evidence needed to conduct the scholarly misconduct proceeding, inventory the records and evidence, and sequester them in a secure manner, except that where the records or evidence encompass scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments.

10.3   UNH will give the respondent copies of, or reasonable, supervised access to the records, subject to the need for confidentiality and the due process rights of all parties.

10.4   UNH will undertake all reasonable and practical efforts to take custody of additional records or evidence that are discovered during the course of a scholarly misconduct proceeding, except that where the records or evidence encompass scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments.

10.5   UNH will maintain the research records and evidence as required by this policy.

10.6   In PHS-supported activities, ORI or other authorized DHHS personnel will be given access to records upon request.

11.   Assessment

11.1   Conducting the assessment

11.1.1   Following receipt in the OSVPREEO or by the RIO of an allegation of scholarly misconduct, the RIO will determine whether the allegation is frivolous or for other reasons does not warrant a more thorough inquiry. If the determination is that the allegation is frivolous or for other reasons does not warrant a more thorough inquiry, within 10 (ten) working days of receipt, the RIO shall submit a written finding to the Deciding Official and the assessment will end. If the determination is that the allegation warrants a more thorough inquiry, the RIO shall notify the respondent, in writing, that a report of alleged scholarly misconduct has been made and that it will be referred to a stage one investigation.

12.   Stage One Investigation

12.1   Conducting the stage one investigation

12.1.1   Within 10 (ten) working days, following receipt in the OSVPREEO or by the RIO of an allegation of scholarly misconduct that in the assessment phase has been determined to warrant more thorough inquiry, the RIO will appoint a stage one investigation team. The team will consist of the supervisor of the respondent, the next higher administrative officer of the respondent, and an appropriate staff, faculty, or UNH official⁴. If an individual on this team has a conflict of interest with the case, then the next higher administrative officer for the individual in conflict (or other such individual as the RIO may designate at their discretion) shall serve instead. Under no circumstance may the complainant be a member of this team.

12.1.2   The RIO will prepare a charge for stage one investigation team that describes the allegations and any related issues identified during the allegation assessment, and states that the purpose of the stage one investigation is to make a preliminary evaluation of the evidence and testimony of the respondent, complainant, and key witnesses to determine whether there is sufficient evidence of possible scholarly misconduct to warrant a stage two investigation. The purpose is not to determine whether scholarly misconduct definitely occurred or who was responsible.

12.1.3   At the stage one investigation team’s first meeting, the RIO will review the charge with the team, discuss the allegations, any related issues, and the appropriate procedures for conducting the stage one investigation, assist the team with organizing plans for the stage one investigation, and answer any questions raised by the team. At this meeting, members will elect a chair. The RIO and a representative from the University System of New Hampshire’s (USNH) General Counsel’s Office will be present or available throughout the stage one investigation to advise the team as needed.

12.1.4   Following this initial meeting, the stage one investigation team will report the allegation in full and in writing to the respondent in a timely way, remind the respondent of their right to legal counsel, and provide a copy of this policy. This initial communication must explicitly remind the respondent of their obligations under section 5.1.2  to maintain the integrity of any records that may subsequently be used in a stage two investigation of the allegation. The stage one investigation team will then engage in preliminary fact-finding and preliminary information gathering, to ascertain if there is cause for a stage two investigation into the case. The stage one investigation team will consult with the RIO throughout its proceedings and in the production of its draft and final reports. The stage one investigation team should strive to gather and consider available evidence in a manner that does not incriminate or cast suspicion on the respondent. The respondent should be encouraged to provide a written response to the allegation and submit their view on the alleged action(s) or deed(s). The stage one investigation team will use its best efforts to interview the complainant and the respondent, and may also interview others in the community who have knowledge of aspects of the case. The respondent should also be encouraged to suggest individuals to interview. It should be recognized that damage to the reputation of the respondent might result from soliciting information from their peers and colleagues, even if complete confidentiality is requested. Thus, the team should exercise circumspection in conducting its business.

12.2   Communication of findings

12.2.1   Within 30 (thirty) working days of receipt of the allegation in the OSVPREEO or by the RIO, unless extended for good cause by the RIO on the basis of a written finding that it is infeasible to complete the necessary work within the prescribed time frame, the stage one investigation team shall reach a decision as to whether there is or is not cause to pursue a stage two investigation into the case and issue a written report.  In consultation with the RIO, the stage one investigation team will issue a final report that documents this decision. The report will include, but is not limited to:

12.2.1.1   Name and title of the stage one investigation team members;

12.2.1.2   The allegations;

12.2.1.3   Any funding;

12.2.1.4   A summary of the stage one investigation process used;

12.2.1.5   A list of the research records reviewed;

12.2.1.6   Summaries of any interviews;

12.2.1.7   A description of the evidence in sufficient detail to demonstrate whether a stage two investigation is warranted; and

12.2.1.8   The team’s determination as to whether a stage two investigation is recommended or whether any other actions should be taken if a stage two investigation is not recommended.

12.2.2   UNH legal counsel will review the draft report for legal sufficiency.  

12.2.3   The RIO will provide to the respondent a copy of the draft stage one investigation team report for comment and rebuttal. Concurrently, the RIO will provide the complainant, if identifiable, with portions of the draft stage one investigation team report that address the complainant’s role in the stage one investigation. If UNH is deemed to be the complainant, the draft report may be given to individual(s) designated by the Deciding Official who have sufficient knowledge of the allegations to provide meaningful review of the draft report on behalf of UNH.  The RIO may establish reasonable conditions for review to protect the confidentiality of the draft report.

12.2.4   Within 10 (ten) working days of their receipt of the draft report, the respondent and the complainant will provide their comments, if any, to the RIO. Any comment that the respondent and complainant submits on the draft stage one investigation team report will become part of the final stage one investigation team report and record. Based on the comments, the stage one investigation team may revise the report as appropriate.

12.2.5   The RIO will transmit the final report to the Deciding Official, who will make the determination of whether findings from the stage one investigation provide sufficient evidence of possible scholarly misconduct to justify conducting a stage two investigation. The stage one investigation is completed when the Deciding Official makes this determination, which will be made within 30 (thirty) working days of the first meeting of the stage one investigation team, unless extended for good cause by the RIO on the basis of a written finding that it is infeasible to complete the necessary work within the prescribed time frame. Any extension of this period will be recorded in the stage one investigation file.

12.2.6   When PHS support is involved and an admission of scholarly misconduct is made, the RIO will contact ORI for consultation and advice. Normally, the individual making the admission will be asked to sign a statement attesting to the occurrence and extent of scholarly misconduct. When the case involves PHS support, UNH cannot accept an admission of scholarly misconduct as a basis for closing a case or not undertaking an investigation without prior approval from ORI.

12.2.7   If UNH plans to terminate a stage one investigation in PHS-supported activities for any reason without completing all relevant requirements of this policy, the RIO will submit a report of the planned termination to ORI, including a description of the reasons for the proposed termination.

12.3   Conclusion of the stage one investigation

12.3.1   If the Deciding Official finds that there is no cause to undertake a stage two investigation into the alleged scholarly misconduct, the RIO will promptly write a letter of exoneration to the respondent and the matter will be considered officially closed. This letter of exoneration shall be included with the final report of the stage one investigation team. The complainant shall also be notified of this decision. Any individuals interviewed during this stage or otherwise involved in the proceedings may also be notified by the RIO that the matter is officially closed. The RIO will provide the final report of the findings of the stage one investigation team to both the respondent and complainant.

12.3.2   If the Deciding Official finds no cause to undertake a stage two investigation into the alleged scholarly misconduct, after consulting with the respondent the RIO will undertake reasonable efforts to restore the respondent's reputation. Depending on the circumstances, the RIO may consider notifying those individuals aware of or involved in the stage one investigation of the final outcome, publicizing the final outcome in forums in which the allegation of scholarly misconduct was previously publicized, or expunging all reference to the scholarly misconduct allegation from the respondent's personnel file. Any institutional actions to restore the respondent's reputation must first be approved by the Deciding Official.

12.3.3   If the Deciding Official, the RIO, or the stage one investigation team suspects that the allegation of scholarly misconduct was not made in good faith, UNH shall initiate an inquiry. Improper behavior of this type falls under the purview of the more general USNH (USY V) and UNH (UNH V) policies regarding personal and professional conduct and the relevant procedures will apply.

12.3.4   If the Deciding Official concludes that a stage two investigation into the case is warranted, then the RIO will promptly identify the complainant (if known) to the respondent and in consultation with the stage one investigation team oversee the formation of a stage two investigation team to undertake an investigation to determine if scholarly misconduct has taken place. (See below for composition and selection of the stage two investigation team.)  Once the stage two investigation team is formed, the RIO will provide the final report of the findings of the stage one investigation team to the respondent and portions of the report that address the complainant's role in the stage one investigation to the complainant. The RIO will remind both the respondent and the complainant of their obligation to cooperate with the stage two investigation.

12.3.5   The stage one investigation team chair will collect all notes and other documentation compiled during the course of the stage one investigation and submit them to the RIO for retention in a secure and confidential manner in the OSVPREEO for at least seven years past the submission of the stage one investigation team's final report. The records may be kept in an appropriate electronic format. If the scholarly activity in question is a funded effort, the records shall be retained for seven years past the submission of the principal investigator's final project report to the sponsoring agency (or seven years past the submission of the stage one investigation team's final report, whichever is greater). In the event that legal action arises from the allegation, the records shall be retained until the matter is resolved (or three years past the submission of the principal investigator's final project report to the sponsoring agency, or seven years past the submission of the stage one investigation team's final report to the Deciding Official, whichever is greater).

12.3.6   The RIO will adhere to any requirements from sponsoring agencies supporting the scholarly activity in question to notify them that an allegation of scholarly misconduct has been brought, that a stage one investigation has found cause to undertake a stage two investigation, and that such an investigation is to begin.

13.   Stage Two Investigation and Determination

13.1   Conducting the stage two investigation

13.1.1   The purpose of the stage two investigation is to gather, examine, and evaluate the evidence of the case, establish the facts of the activity in question, analyze these facts to determine whether scholarly misconduct has occurred, and recommend sanctions if there is a determination that scholarly misconduct has taken place. The stage two investigation will also determine whether there are additional instances of possible scholarly misconduct that would justify broadening the scope beyond the initial allegations. This is particularly important where the alleged scholarly misconduct involves potential harm to human subjects or the general public, or if it affects research that forms the basis for public policy, clinical practice, or public health practice. The findings of the stage two investigation will be set forth in an investigation report.

13.1.2   The RIO will immediately sequester any additional pertinent research records that were not previously sequestered during the stage one investigation. This sequestration should occur before or at the time the respondent is notified that a stage two investigation has begun. The need for additional sequestration of records may occur for any number of reasons, including UNH's decision to investigate additional allegations not considered during the stage one investigation or the identification of records during the stage one investigation that had not been previously secured. The procedures to be followed for sequestration during the stage two investigation are the same procedures that apply during the stage one investigation.

13.1.3   The stage two investigation shall be conducted by a stage two investigation team comprised of five individuals, appointed, and provided with a formal written charge by the RIO, in consultation with the stage one investigation team. The RIO will appoint and charge the stage two investigation team within 30 (thirty) working days of receipt of the Deciding Official's decision that a stage two investigation is warranted.

13.1.4   The RIO and the stage one investigation team members will identify a slate of prospective stage two investigation team members, which may include individuals from outside the UNH community. The respondent should also be encouraged to identify one or more individuals for inclusion on this slate. Development of this list of potential stage two investigation team members should be in compliance with UNH and USNH policies on non-discrimination. In addition, a number of factors may also be considered that reflect sensitivity to a range of issues including a candidate's professional background and its relevance to the case in question, reputation for personal integrity, supervisory experience, and/or other relevant professional and personal characteristics.

13.1.5   No member of the stage one investigation team (see section 12.1.1  above) or individual who reviewed the stage one investigation draft report on behalf of UNH (see section 12.2.3  above) may serve as a member of the stage two investigation team. Furthermore, no member of the stage two investigation team may have any significant personal or professional connection with the respondent or the activity in question. Thus, individuals who are approached to serve on the stage two investigation team must also receive a clear statement of disqualifying conditions. Upon recognizing a conflict of interest, the individual must immediately recuse themself from the remainder of the proceedings. This action should be clearly documented in writing and should become part of the final report of the stage two investigation team.

13.1.6   Individuals on this list should first be contacted regarding their willingness and ability to serve, without revealing the identity of the respondent. Those willing to serve will be asked to provide an up-to-date curriculum vitae. At this point the respondent shall have the opportunity to indicate in writing concerns they may have regarding the potential membership of the stage two investigation team. The RIO, in consultation with the stage one investigation team, will then appoint the stage two investigation team, taking into account the concerns raised by the respondent. If the respondent has supplied a list of potential members of the stage two investigation team who are otherwise qualified to serve, one member of the stage two investigation team shall be appointed from among those on the respondent's list who have indicated a willingness to serve and who do not possess a conflict of interest. Since the identity of the respondent will also be revealed at this time to the members of the stage two investigation team, another check for conflicts of interest will be made. If necessary, replacement members of the stage two investigation team will be chosen in the manner described above.

13.1.7   The RIO will consult with the members of the stage two investigation team and designate one to be chair of the team. Upon establishment of the stage two investigation team, the RIO will define the subject matter of the investigation in a written charge to the stage two investigation team that describes the allegations and related issues identified during the stage one investigation, defines scholarly misconduct, and identifies the name of the respondent. The charge will state that the stage two investigation team is to evaluate the evidence and testimony of the respondent, complainant, and key witnesses to determine whether, based on a preponderance of the evidence, scholarly misconduct  occurred and, if so, to what extent, who was responsible, and its seriousness. The RIO will inform both the respondent and complainant in writing of the formation, purpose, and membership of the stage two investigation team.

13.1.8   During the stage two investigation, if additional information becomes available that substantially changes the subject matter of the investigation or would suggest additional respondents, the stage two investigation team will notify the RIO, who will determine whether it is necessary to notify the respondent of the new subject matter. The RIO will notify any individual who is added as a respondent.

13.1.9   A representative from the USNH General Counsel's Office shall advise the stage two investigation team on procedural and legal matters, and it is expected that the stage two investigation team will work closely with the RIO to develop a stage two investigation plan which can serve to professionalize, depersonalize, and rationalize the process. At a minimum this plan should include:

13.1.9.1   A clear statement of what information is needed and how it should be obtained;

13.1.9.2   What evidence is to be collected;

13.1.9.3   A protocol for conducting interviews and for providing opportunity for the respondent to respond to the substance of these interviews;

13.1.9.4   A plan for data collection and preservation with steps to secure such material, as well as other physical evidence that might impinge on the case; and

13.1.9.5   A discussion of the distinction between fact-finding and deliberative components of the stage two investigation. The investigation plan should also include how decisions regarding the internal operations of the stage two investigation team will be reached (e.g., voting vs. consensus), and provision for all parties involved in the case to receive regular progress reports.

13.1.10   The stage two investigation team should be prepared, if necessary, to seek additional expertise to carry out its investigation plan. In its evaluation of the evidence and deliberations, the stage two investigation team shall use a preponderance of the evidence as its standard of proof for a finding of scholarly misconduct. This standard is consistent with that used by federal agencies.

13.1.11   The stage two investigation will normally involve examination of all documentation including, but not limited to, relevant research records, computer and digital files, proposals, manuscripts, publications, correspondence, memoranda, and notes of telephone calls. Whenever possible, the stage two investigation team should interview the complainant(s), the respondents(s), and other individuals who might have information regarding aspects of the allegations.  Interviews of the respondent should be audio recorded or transcribed. All other interviews should be audio recorded, transcribed, or summarized. Summaries or transcripts of the interviews should be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file.

13.1.12   When PHS support is involved and an admission of scholarly misconduct is made, the RIO will contact ORI for consultation and advice as required by regulation. Normally, the individual making the admission will be asked to sign a statement attesting to the occurrence and extent of scholarly misconduct. When the case involves PHS support, UNH cannot accept an admission of scholarly misconduct as a basis for closing a case or not undertaking a stage two investigation without prior approval from ORI.

13.1.13   If UNH plans to terminate a stage two investigation in PHS-supported activities for any reason without completing all relevant requirements of this policy, the RIO will submit a report of the planned termination to ORI as required by regulation, including a description of the reasons for the proposed termination.

13.2   Communication of findings

13.2.1   Within 120 (one hundred and twenty) working days of its first meeting, unless extended for good cause by the RIO on the basis of a written finding that it is infeasible to complete the necessary work within the prescribed time frame, the stage two investigation team shall provide a final report of its investigation to the Deciding Official via the RIO⁵.

13.2.2   The RIO will provide the respondent with a copy of the draft stage two investigation report for comment and rebuttal. The RIO will provide the complainant, if identifiable, with portions of the draft stage two investigation report that address the complainant’s role and opinions in the investigation. In distributing the draft report, or portions thereof, to the respondent and complainant, the RIO will inform the recipient of the confidentiality under which the draft report is made available and may establish reasonable conditions to ensure such confidentiality. For example, the RIO may request the recipient to sign a confidentiality statement or to come to their office to review the report. Personal legal counsel for the respondent shall be included within any confidential access that applies to the respondent.

13.2.3   Within 10 (ten) working days of their receipt of the draft report, the respondent and the complainant will provide their comments, if any, to the RIO. The findings of the final stage two investigation report should take into account the respondent’s comments in addition to all the other evidence, and the report may be modified, as appropriate, based on the complainant’s comments.

13.2.4   The stage two investigation report should contain sufficient detail to enable an assessment of the decision as to whether or not misconduct occurred. This document should:

13.2.4.1   State the allegation in full;

13.2.4.2   Describe the facts of the case as found during the investigation;

13.2.4.3   Carefully detail the steps taken to collect data, materials, and any other physical evidence relevant to the case;

13.2.4.4   Summarize the interviews conducted;

13.2.4.5   Clearly state the conclusions reached and the reasons for these findings; and

13.2.4.6   Indicate the stage two investigation team’s decision as to whether scholarly misconduct occurred.

13.2.5   The report should provide sufficient information to permit the appropriate UNH official(s) to determine what disciplinary action, if any, should be taken. If it chooses to do so, the stage two investigation team may include as part of its report a set of recommended sanctions to be applied, but these are not binding.

13.2.6  UNH legal counsel will review the draft stage two investigation report for legal sufficiency.

13.2.7   After comments have been received and the necessary changes have been made to the draft report, the stage two investigation team should transmit to the Deciding Official through the RIO the final investigation report with attachments, including the respondent's and complainant's comments.  Based on a preponderance of the evidence, the Deciding Official will make the final determination whether to accept the stage two investigation report, its findings, and the recommended institutional actions.

13.2.8   For PHS-supported research, if the Deciding Official’s determination varies from that of the stage two investigation team, the Deciding Official will explain in detail the basis for rendering a decision different from that of the stage two investigation team in UNH’s letter transmitting the report to ORI. The Deciding Official's explanation should be consistent with the UNH definition of scholarly misconduct, UNH’s policies and procedures, and the evidence reviewed and analyzed by the stage two investigation team. The Deciding Official may also return the report to the stage two investigation team with a request for further fact-finding or analysis. The Deciding Official's determination, together with the stage two investigation team's report, constitutes the final stage two investigation report for purposes of ORI review (for PHS-supported research).

13.2.9   When a final decision on the case has been reached, the RIO will notify both the respondent and the complainant in writing. In addition, the Deciding Official will determine whether law enforcement agencies, professional societies, professional licensing boards, editors of journals in which falsified reports may have been published, collaborators of the respondent in the work, or other relevant parties should be notified of the outcome of the case. The RIO is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies⁶.

13.3   Conclusion of the stage two investigation

13.3.1   If the Deciding Official determines that no scholarly misconduct occurred, then the RIO will promptly write a letter of exoneration to the respondent and attach the stage two investigation team final report, and the matter will be considered officially closed. This letter of exoneration shall be included with the final report of the stage two investigation team. The complainant shall be notified of this decision and provided with a summary of the final report from the stage two investigation team. Any individuals interviewed during the stage two investigation or otherwise involved in the proceedings may also be notified by the RIO that the matter is officially closed. Notification of this decision shall be sent to any sponsoring agencies, as appropriate, along with a copy of the letter of exoneration. In addition, action may be taken by UNH to help maintain or restore the reputation of any parties involved in the case. This process should be coordinated through the OSVPREEO.

13.3.2   If the Deciding Official determines that no scholarly misconduct occurred but recommendations to address a respondent’s behavior are made, the Deciding Official will work with the respondent’s supervisor to determine an appropriate course of action. They may consult the RIO and chair of the stage two investigation team.

13.3.3   If the Deciding Official determines that no scholarly misconduct occurred, and for PHS-supported activities ORI concurs, after consulting with the respondent, the RIO will undertake reasonable efforts to restore the respondent's reputation. Depending on the circumstances, the RIO should consider notifying those individuals aware of or involved in the stage one investigation of the final outcome, publicizing the final outcome in forums in which the allegation of scholarly misconduct was previously publicized, or expunging all reference to the scholarly misconduct allegation from the respondent's personnel file. Any institutional actions to restore the respondent's reputation must first be approved by the Deciding Official.

13.3.4   If the Deciding Official, the RIO, and/or the stage two investigation team suspect that the allegation of scholarly misconduct was not made in good faith, inquiry shall be initiated by UNH. Improper behavior of this type falls under the purview of the more general USNH (USY V) and UNH (UNH V) policies regarding personal and professional conduct, and the relevant procedures will apply.

13.3.5   The stage two investigation team chair will collect all notes from interviews and meetings, as well as all documentary evidence compiled during the course of the stage two investigation and submit them to the RIO for retention, along with the final stage two investigation report from the stage two investigation team, in a secure and confidential manner in the OSVPREEO for at least seven years past the submission of the stage two investigation team's final report. The records may be kept in an appropriate electronic format. If the scholarly activity in question is a funded effort, the records shall be retained for seven years past the submission of the principal investigator's final project report to the sponsoring agency (or seven years past the submission of the stage two investigation team’s final report, whichever is greater). In the event that legal action arises from the allegation, the records shall be retained until the matter is resolved (or seven years past the submission of the principal investigator's final project report to the sponsoring agency, or seven years past the submission of the stage two investigation team's final report to the DO, whichever is greater). In addition, a copy of the final stage two investigation report shall be sent to sponsoring agencies if relevant.

13.3.6   Regardless of whether the Deciding Official, or for PHS-supported activities ORI, determines that scholarly misconduct occurred, the RIO will undertake reasonable efforts to protect complainants who made allegations of scholarly misconduct in good faith and others who cooperate in good faith with investigations of such allegations. Upon completion of a stage two investigation, the Deciding Official will determine, after consulting with the complainant, what steps, if any, are needed to restore their position or reputation. The RIO is responsible for implementing any steps the Deciding Official approves. The RIO will also take appropriate steps during the stage one and stage two investigations to prevent any retaliation against the complainant.

14.   Administration of Sanction(s)

14.1   If the Deciding Official determines that scholarly misconduct has occurred, sanctions may be administered as appropriate and consistent with USNH and UNH policies on disciplinary action and any applicable collective bargaining agreement as may apply to the respondent. These sanctions range from oral warning, to the issuance of official letters of reprimand, withdrawal or correction of all pending or published abstracts and papers emanating from the activity where scholarly misconduct was found, up to and including restitution of funds as appropriate, suspension without pay, termination of employment or dismissal from UNH. The final report of the stage two investigation team shall be forwarded to the appropriate staff, faculty, and/or UNH official(s)⁷ who will determine what disciplinary action is to be taken. In determining disciplinary action, the appropriate staff, faculty, and/or UNH official(s) should consult with the chair of the stage two investigation team, the RIO, and the Deciding Official. In the case of faculty, any action with regards to suspension without pay or dismissal from UNH must respect the relevant terms and conditions as set forth in the current collective bargaining agreement. Cases involving either graduate or undergraduate students will also be subject to the policies covering the student judicial process.

14.2   The UNH officials charged above with determining disciplinary action may decide in consultation with the chair of the stage two investigation team and the Deciding Official that, in order to ensure the integrity of UNH as a seat of higher learning and scholarly inquiry, additional measures must be taken beyond the application of internal UNH disciplinary action. Such measures may include public disclosure that scholarly misconduct has taken place, retraction of articles or other publications pertaining to the activity in which scholarly misconduct occurred, and notification to the relevant scholarly community and any sponsoring agencies that results obtained as a result of the activity in which scholarly misconduct occurred may be of questionable validity.

14.3   Information about all sanctions that are eventually applied should be appended to the final stage two investigation team report.

14.4   Finally, sponsoring agencies, such as PHS and NSF, retain the right under their policies to administer additional sanctions beyond those invoked by UNH, if the agency finds it necessary.

15.   Grievance Procedures

15.1   If the respondent believes that they have been judged improperly, grievance procedures may be initiated in accordance with USNH and UNH policies. For a faculty member, these terms are set forth in the current collective bargaining agreement, for a staff member the relevant sections of the USNH policy manual hold, and for a graduate or undergraduate student the current "Student Rights, Rules, and Responsibilities" document should be consulted.

 

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Endnotes

¹ Office of Science and Technology Policy.  Federal Policy on Research Misconduct. http://www.gpo.gov/fdsys/pkg/FR-2000-12-06/html/00-30852.htm. 

² Office of Science and Technology Policy.  Federal Policy on Research Misconduct. http://www.gpo.gov/fdsys/pkg/FR-2000-12-06/html/00-30852.htm.

³ Office of Science and Technology Policy.  Federal Policy on Research Misconduct. http://www.gpo.gov/fdsys/pkg/FR-2000-12-06/html/00-30852.htm.

⁴ The appropriate staff, faculty, or UNH official is the Provost, if the respondent is an administrator; the Chair of the Faculty Senate Committee on Professional Standards, if the respondent is a faculty member; the Chair of the Operating Staff (OS) Council, the Professional, Administrative, and Technical (PAT) Staff Council, or the Extension Educator (EE) Council if the respondent is a staff member; the Dean of the Graduate School, if the respondent is a graduate student; or the Senior Vice Provost for Student Life and Dean of Students, if the respondent is an undergraduate student

⁵ For PHS-supported activities, if UNH determines that it will not be able to complete the investigation in 120 days, the RIO will submit to ORI a written request for an extension that explains the delay, reports on the progress to date, estimates the date of completion of the report, and describes other necessary steps to be taken. If the request is granted, the RIO will file periodic progress reports as requested by ORI.

⁶ UNH must notify ORI of the final outcome of the investigation and must provide ORI with a copy of the investigation report.  Any significant variations from the provisions of UNH policies and procedures should be explained in any reports submitted to ORI.

⁷ For cases involving administrators, the appropriate UNH official is the Provost. In the case of a faculty member, the Provost and the Chair of the Faculty Senate Professional Standards Committee will determine disciplinary action. For a staff member, the Chief Financial Officer and the relevant Chair of the PAT, OS, or EE Council will determine disciplinary action. If a graduate student is involved, the appropriate UNH and faculty officials are the Dean of the Graduate School and the Department Chair of the respondent. For a case involving an undergraduate student, the Senior Vice Provost for Student Life and Dean of Students and the student's Department Chair will determine disciplinary action (if the student is an undeclared major, the student's College Dean will serve).

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.II.M.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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A guiding theme of the "Academic Plan for the Future of the University of New Hampshire" is quality, integration, and collaboration. The planning document explains this theme in the following way:

"Two key forces driving the University -- the desire to be comprehensive and the desire to focus to achieve excellence -- are in constant tension. In cases where they conflict, the University of New Hampshire will always opt for quality. We will not be "all things to all people." We will focus on areas that are consistent with our mission and in which we can excel. While the University of New Hampshire will respect the integrity of academic disciplines, its strategic future will be guided by the goals of increasing coherence in our students' education and collaboration across academic disciplines and administrative units."

Additionally, the fourth of eleven goals in the "Academic Plan" speaks to the need to grow strategically as a significant and excellent research university.

Goal 4: The University of New Hampshire will continue to grow strategically in its role as a significant and excellent research university while balancing research with its primary commitments to undergraduate education and high quality teaching.

One way the University of New Hampshire can support interdisciplinary and collaborative teaching, research, and public service in areas of special strength and strategic interest is to establish and recognize a small number of "University Institutes." University Institutes would bring together well established, successful and complimentary centers and other working groups in order to significantly advance the teaching, research, and public service mission of the University. They would involve faculty from two or more colleges or schools. University Institutes would enable faculty involved in them to engage in interdisciplinary and collaborative work and to attract external funding at levels that would not otherwise be possible.

University Institutes would differ from other centers and institutes in the University in several important ways. First, to be designated a University Institute, a unit would undergo a comprehensive review and approval process demonstrating its strategic importance to the three-fold mission of the University -- teaching, research, and public service. Second, faculty associated with a University Institute would have teaching and governance responsibilities in graduate programs related to the Institute. Third, University Institutes would be sufficiently large and financially complex that it would be appropriate to designate them "RC Units" within the Responsibility Centered Management budgeting process. Fourth, directors of University Institutes would serve with academic deans on a Deans and Directors Council advisory to the Vice President for Research and Public Service and the Vice President for Academic Affairs. Finally, while University Institutes are expected to be financially viable primarily through grants, contracts, private endowments, and foundation support, they may also receive E&G funding associated with teaching.

This document specifies the review criteria and review procedure for University Institutes.

1.   Criteria and Approval Process

1.1   Review criteria

1.1.1   Mission related questions

1.1.1.1   How does the proposed University Institute advance the mission of the University?

1.1.1.2   What are the strengths and contributions existing components will make to the proposed institute?

1.1.1.3   How does the Institute advance the intellectual agenda of its components beyond what they can do individually?

1.1.1.4   How does the proposed University Institute advance interdisciplinary and inter-college work?

1.1.1.5   How does the Institute advance teaching, research/scholarship, and public service?

1.1.1.6   How does the Institute involve undergraduate and graduate students in its activities?

1.1.2   Organization-related questions

1.1.2.1   What is the proposed leadership structure?

1.1.2.2   What is the proposed executive/advisory committee structure?

1.1.2.3   How are external constituencies involved in the organization of the proposed University Institute?

1.1.2.4   How will bylaws and procedures address appointment of faculty and staff?

1.1.2.5   How will bylaws and procedures address the governance structure in areas of curriculum, budget, and facilities?

1.1.2.6   How does the Institute relate to colleges or schools?

1.1.3   Accountability. What is the plan for periodic review of the work of the proposed University Institute and the effectiveness of its organizational and governance structure?

1.1.4   Budget. Provide a three to five year budget plan which includes expected external as well as internal funding sources with evidence of capability of participants in the Institute in achieving budget plan.

2.   Approval Process

2.1   Peer review and advice by three to four external experts -- half identified by those proposing the University Institute; half identified by the Provost and the Vice President for Research and Public Service

2.2   Review and advice by Deans Council

2.3   Review and advice by the Dean of the Graduate School

2.4   Review and advice by the University Curriculum and Academic Policy Committee

2.5   Review and recommendation by the Provost and the Vice President for Research and Public Service

2.6   Review and recommendation by President's staff

2.7   Review and approval by President

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.II.N.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Background and Rationale

1.1   This document is informed by the 2003 Academic Plan and the 2010 Strategic Plan which call for increased interdisciplinary and multidisciplinary teaching, scholarship and engagement. Both documents articulate the need and value of interdisciplinary efforts in strengthening the University by weaving together the disciplinary strengths of the community, and applying those strengths to challenges faced by our students, state, region, nation and world.

1.2   UNH is already a leader in interdisciplinary scholarship and professional development, with a number of graduate and undergraduate programs that effectively cross Department, College and disciplinary boundaries. However, there remain notable areas, as specified in the Strategic Plan, in which we have achieved national prominence but lack the organizational structure that would provide students and faculty integrated access to that expertise. Our strengths are also not projected effectively externally, limiting our ability to recruit the best people, and to obtain external support, both public and private.

1.3   The purpose of this document is to provide guidelines for the formation of a relatively small number of large, interdisciplinary Schools which bring together existing areas of strength on campus and enhance cooperation and integration among the relevant disciplines in order to support the advancement of teaching, research and engagement by faculty and students.

2.  Essential Characteristics of a School

• Schools will be major interdisciplinary units focused on a common research theme and selected to assure the broadest possible faculty participation and integration across all areas of scholarship related to that theme.
• Schools will enhance established areas of strength and be organized around innovative, multidisciplinary initiatives or focused areas of professional training.
• Schools will reflect the full mission of the University, but may emphasize a subset of that mission, (e.g. research and graduate education, or targeted professional preparation).
• Schools can be the organizational home of a limited number of undergraduate minors, options, or dual majors, but not disciplinary majors, which would retain their location in the Departments.
• Graduate degrees and certificates could be proposed, developed and implemented by the Schools in accordance with current Graduate School guidelines; degrees and certificates would be granted by Graduate School, as with any graduate program.
• Tenure-track faculty with joint appointments in Schools would retain their primary academic appointments in their home Departments.
• Research and clinical faculty may have primary appointments within Schools.
• Schools will have a clear budget model that offers incentives for financial sustainability.
• Schools will offer enrichment opportunities to undergraduates, but will not detract from or reduce support for undergraduate education.
• Schools would be eligible for naming opportunities and other forms of private support.

3.   Governance Structures and Process

3.1   Proposing and approving a school

3.1.1   It is expected that proposals for an interdisciplinary academic and/or professional school will originate within groups of interested and committed faculty and will be developed in consultation with colleagues, Deans, Directors and the Provost. The proposal must address:

• Vision
• Mission
• Rationale
• Goals
• Organization and Structure, including plan for leadership
• Responsibilities, Membership and Governance
• Budget (3-5 year)
• Timeline for establishment
• Plan for review and assessment of outcomes relative to goals

3.1.2   Full proposals will be presented to Provost who will then communicate that proposal to the University Community for review by relevant faculty governance groups at the Department, Colleges, and University level. If curricula are involved, proposals will address their relationship to existing degree programs, and MOUs will be constructed addressing commitments within the College for meeting course offering requirements, and revenue allocation from tuition following current procedures. Proposals for new degrees housed within the Schools will follow existing approval protocols including review by the relevant College Executive Committees and Deans. While graduate degrees and certificates may be proposed, developed and implemented by Schools, the Graduate School will retain the same degree of oversight authority as applied to other graduate programs through office of the Graduate Dean and the Graduate Council.

3.1.3   Budgets included in a proposal for a School will be clear, transparent and thorough, and will address potential impacts, both academic and financial, on related colleges, departments, institutes and centers.

3.1.4   Final approval for the creation of a school will be the responsibility of the Provost, in consultation with the President. Approval by the Board of Trustees is not necessary.

3.2   Reporting Structure, management and faculty membership

3.2.1   Schools will be led by a Director who will be a member of the tenure-track Faculty of the University and will report through one or more Colleges, Institutes or through the Graduate School selected to enhance the cross-college and interdisciplinary focus and purpose of the School. Each School will have an Advisory Council composed of Deans and Directors of the RC units affected by the School, and others as appointed by the Provost. Membership will be specified in the School proposal.

3.2.2   Directors will be appointed by the Provost or designee, with the advice of the Advisory Council, for terms of 3 to 5 years and be classified as academic administrators with a tenure-track faculty appointment in a related Department. The search for the Director will include an open and national, or specified internal process, with substantial faculty, staff and student input. Directors may be supported by a small staff and office, but every effort should be made to avoid duplication of administrative structures and overhead expenses vis-a-vis existing units. The nature and source of funding for any administrative structures should be delineated in an MOU developed at the time of the founding of the School. Each School will have an Executive Committee chaired by the Director and consisting of core faculty and others as specified in the Proposal. The Executive Committee shall study and recommend to the Director action on any matter of administrative, or educational policy entrusted to the School and shall review the current direction of the School and plan for its future development. Action may be initiated by the Committee itself, or by the Director, or by any member of the School Faculty. No School policy shall become operative until it has been considered by the Committee.

3.2.3   The goal of the membership policy for Schools is to encourage broad participation by faculty from all across the University. All tenure-track faculty that are part of a School will have tenure homes in an allied Department, in accordance with the provisions of the Collective Bargaining Agreement. This entails that Tenure Track School faculty will have and meet all normal responsibilities within the tenure home department except where stipulated otherwise in an MOU agreed to by the relevant Dean, Department Chair and School Director. Faculty will participate in the School primarily through support and advising of students and service on School Councils, as well as through coordination of, and participation in, research activities, seminars, colloquia, and other events organized by the School. Faculty will apply to the Executive Committee for membership in the School. Retention on the School Faculty will depend on degree of participation in the activities of the School, as determined by the Executive Committee. The School will comport with policies and protocols of faculty governance as elsewhere in UNH, including existing policies on joint and affiliated appointment and promotion of faculty.

3.2.4   Most faculty members participating in School programs will not draw salary from the program, but will participate voluntarily in the activities of the School. For a limited number of positions, salary support and faculty responsibilities may be shared between the School and the Colleges. Partial administrative assignments in the School may be arranged. A limited number of tenure track positions may be financially supported primarily by a School, but will have tenure homes in Departments. An MOU must then establish the financial responsibilities should the School no longer be capable of such support. Research faculty may have either primary or affiliated appointments in the School. Promotion and Tenure processes for jointly supported or affiliated positions will follow existing policies. Deans and Chairs will continue to be responsible for overseeing faculty time commitments and any changes in teaching responsibilities will be negotiated and specified in an MOU signed by the School Director and relevant Dean(s) and Chair(s). Formal joint appointment is not a requirement for participation as a core faculty member. Tenure-track Faculty who participate in schools will be represented on the Faculty Senate and Graduate Council through their home Departments.

3.2.5   All new faculty tenure-track hires for positions affiliated with or appointed jointly by Schools will be the product of consultation between the Director and the Deans and Departments, as well as the Provost.

3.3   Finances

3.3.1   A primary goal of Schools is the generation of additional net revenue which will flow to the Colleges, as well as the School. Schools will not be eligible for status as separate RC Units. Initial Financial resources allocated to Schools will be determined by the Provost and the Dean(s)/Director(s) of all affected units. Annual budgets will be submitted by the Director of the School to the Provost or designee and the Advisory Council, which includes the Dean(s)/ Director(s) of allied units. Clear MOUs describing the financial arrangements between the School and other units shall be developed at the time of establishment of a School. When Schools belong to more than one RC Unit, the MOU will be negotiated with and signed by each RC Unit Head. Budget impacts on other units, and on undergraduate education in particular, will be considered in crafting of MOUs. All MOUs will be made available to the University community.

3.3.2   The budget section of a School proposal must account for revenues with enough specificity that the School's ability to be self-supporting is clear. This will include a starting budget, which provides evidence of the initiative's feasibility, and evidence-based projections over three and five year increments of anticipated revenues and costs. A brief explanation of revenue sources must be included. For example, what endowed gifts and grants will provide revenue for the School. If tuition is a budgeted revenue source, through which programs will the tuition be generated? Will the School have its own courses or will it be involved in revenue sharing with colleges?

3.3.3   Gifts of endowments to a school should include an MOU that outlines the distribution of the gift should the faculty, curricula, and research functions return to the Colleges and/or Institutes.

3.4   School missions and strategic planning

3.4.1   Interdisciplinary and professional schools will be required to have an articulated mission and 3-5 year strategic plan, subject to approval by the relevant Dean(s)/Director(s) and Provost. Strategic plans will include specific benchmarks for measuring the achievement of goals, including goals for financial stability and revenue generation.

3.5   Governance of schools

3.5.1   Once schools are approved and become operational, the Director and Executive Committee may establish by-laws or guidelines as well as shared governance mechanisms consistent with College and university standards and the principles outlined here. The Executive Committee shall work with the Director to establish policies and procedures for curriculum development, research, engagement and outreach programs, advancement activities, external partnerships and faculty appointments. The Advisory Council shall review and consult with the Director prior to a vote on any proposed policies and procedures by the School's faculty. The Director will also develop an annual budget for the School, to be reviewed by the Advisory Council and submitted for final approval by the Provost. The Director shall seek final approval from the administrator(s) of the RC unit(s) in which the School resides and to whom the Director reports for any policies that are the purview of the administration.

3.5.2   All relevant existing University policies and practices related to faculty and staff, including promotion, tenure, workload, annual review and others will apply to all positions located in Schools.

3.6   Performance Metrics and Review

3.6.1   Schools will undergo annual reviews, a comprehensive review and assessment after the first 5 years, and again every 10 years thereafter. The review will determine the School's continued relevance to College and University missions, and success relative to both academic and financial metrics included in the proposal. Standard protocols for program review and continuation or reorganization will apply to Schools. Failure to meet stated goals for either academic or financial performance will result in proposals to maintain, scale back, or eliminate the School, or to identify alternative funding sources should the initiative be maintained without reaching anticipated levels of revenue.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.A.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Responsibility

1.1   The University Police Department is responsible for overseeing the display of flags on the Thompson Hall flagpole.

2.   United States Flag

2.1   The United States flag is to be flown from dawn to dusk each and every day, including Sundays and holidays and whether the University is in session or not, except in inclement weather (i.e., heavy rain or snow).

2.2   The United States flag is to be flown at full staff at all times unless ordered to half-staff by the President of the United States or by the Governor of New Hampshire as a mark of national or statewide mourning.

3.   University of New Hampshire Flag

3.1   The distinctive UNH flag will be flown at half-staff (below the American flag) on the Thompson Hall flagpole upon the death of a member of the University community (student, faculty, administrative, or staff member) or a UNH alumnus killed in wartime. On such occasions the flag will be flown at half-staff for a period of three consecutive days. The American flag will be at full staff unless the occasion coincides with a declared period of national or state mourning. In this instance, the American flag will be flown at half-staff with the University flag directly beneath it.

3.2   The UNH flag is to be flown at full staff (immediately below the American flag) on the Thompson Hall flagpole on formal University "days," i.e., commencement, alumni reunion weekends, parents' day, honors' day, etc. The President's office can determine other occasions when the UNH flag will be flown.

4.   Other Flags

4.1   No other flag of any type or description, except the State of New Hampshire flag, is to be flown from the Thompson Hall flagpole. The President's office or the Governor of New Hampshire may determine when the state flag is to be flown.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.B.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   General

1.1   The University of New Hampshire maintains mailing lists of specific audiences of special interest such as students, parents of students, faculty and staff, alumni, and some other groups.

2.   Mailing Lists

2.1   Mailing lists are defined as a listed record of the names and mailing addresses of a specific audience in the form of a computer printout, addressograph plate listing, labels, or other similar formats. The purpose of these lists is the mailing of materials and information having to do with the business of the University or the University System.

2.2   Such lists are maintained as a necessary communications tool to be used solely by academic, administrative, and student offices. The lists are not intended for use by organizations or interests not affiliated with the University or the University System.

3.   Policy

3.1   It is the policy of the University that mailing lists will be made available (through the office which is responsible for gathering and maintaining such lists) only to offices that are a part of the University or University System and only to carry on the communication of University and campus business and operations. Lists and/or labels will not be made available by any campus or System office or group to organizations or interests not a part of the University or University System.

3.2   However, it is recognized that the Alumni Association and the UNH Foundation because of the uniqueness of their activities may face different mailing needs than other campus offices. Therefore, the Foundation and Alumni Association -- through their boards of directors and professional administrators -- are encouraged to follow the policy herein, but the ultimate responsibility for any deviation from the policy rests with the Association/Foundation.

3.2.1   Alumni Database Information Usage Policy

3.2.1.1   The alumni database information is for official University, Alumni Association, and UNH Foundation use only. This information is not to be used for commercial or political purposes, or solicitations for non-University business.

3.2.1.2   Data provided is to be used only by the requesting department/individual and not passed on to third parties without strict usage controls which conform to the alumni database information usage policy. Data must be used only for the purpose for which it was requested. Data is perishable due to a high volume of address changes and must be used and/or discarded within 30 days from receipt. The Alumni Office will rerun the data if not used within 30 days. This information is not to be used to create local databases.

3.2.1.3   Individual financial or giving data should not be released under any circumstances without prior approval of the UNH Foundation's AVP of Advancement Services.

3.2.1.4   Any misuse of the alumni database information constitutes misappropriation of UNH property and will result in revocation of the requestor's access to alumni data and/or disciplinary action under UNH/USNH regulations.

3.2.1.5   Request Procedures

From outside Alumni Association/UNH Foundation:

• Request must originate from a Dean, Vice president, Director, Department Chair, or similar University official
• Request must be made using the online form (in the drop down menu entitled "Request Type" please select "Report Request")
• Sample or draft of material to be sent must be attached and/or the intended use must be specified
• Returned information to the requestor will include the Alumni Database Information Usage Policy and must be strictly adhered to

From Alumni Association/UNH Foundation:

• Within the UNH Foundation, all list requests for any purpose must be cleared through the UNH Foundation's AVP Advancement Services

4.   Directories

4.1   It is noted that UNH publishes staff and faculty and/or student directories, alumni directories, and the like. When published, these are public documents, and this policy does not prohibit the acquisition of such publications by organizations and interests not a part of the University.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.C.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   All gifts and matching gifts from individuals, foundations, corporations, trusts, etc., and other donations such as real property whether transmitted to the University of New Hampshire or to the University of New Hampshire Foundation, with the exception of those associated with New Hampshire Public Television, must be recorded through the University's and Foundation's joint gift recording and accounting system within 48 hours of receipt. Proper documentation specifying the name and address of the individual donor as well as the donor's wishes with respect to the use of the gift (if any) and the intended recipient of the gift must accompany cash, checks, negotiable securities, and other forms of donation. The UNH Foundation will provide the donor with acknowledgment of all gifts keeping in mind Internal Revenue Service guidelines.

2.   Grants and contracts are not gifts, and they are processed in a different manner. Grants and contracts in support of specific sponsored programs and projects which require periodic reporting and financial accounting to the grantor or contractor must be processed through the Sponsored Program Administration. That office must also review and approve all agreements related to technology transfer including, but not limited to, licensing of inventions, patents, software, and biological materials.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.D.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   The University of New Hampshire cannot accept any gifts, loans, donations, disbursements, or objects of value from any individual, group of individuals, or organization engaging in the unauthorized use of the name or seal of the University, or phrases and symbols associated with the University. Authorization for such use shall only be granted by the President or his/her designee and must be in writing.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.E.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Authority

1.1   The President of the University of New Hampshire is responsible under RSA 187-A:16 for the general administration and supervision of all aspects of instructional, research and service programs for the University of New Hampshire, including those for UNHM, Cooperative Extension and NHPTV. In addition, Board of Trustees policy BOT III.A.1 and 2 establish authority for the President to adopt institutional policies.

1.2   In addition to the above responsibilities, BOT and USY policy specifies areas of delegated authority and responsibility to UNH. Those specifications are included by functional area.

1.3   The President of the University of New Hampshire may delegate authority to specific officers of the University. Those delegations are included by function into "UNH" designated policy. In addition, the President may delegate authority for the adoption of UNH procedures.

2.   Definition and Elements

2.1   Definition. UNH shall promulgate such policies, procedures, and guidelines as are necessary to carry out its responsibilities under UNH III.E.1.

2.1.1   "Institutional" policies, procedures, and guidelines shall mean those that have general applicability throughout the University. Policies, procedures, and guidelines that are unique to one particular part of the University, e.g., college, school, designated committee, Faculty Senate, administrative office, etc., have separate approval processes as delegated by the President of the University.

2.1.2   "Policies" shall mean written statements or sets of statements that describe principles, requirements, and limitations and will be characterized by indicating "what" needs to be done rather than how to do it. Such statements will have the force of establishing rights, requirements, and responsibilities.

2.1.3   "Procedures" shall mean written documents providing specific "how to" information and will normally be developed by the office responsible for administration of a policy. In cases where procedures establish rights, requirements, and responsibilities, they will normally be developed through a process similar to the institutional policy approval process.

2.1.4   "Guidelines" shall mean written documents that further explain policies/procedures and will be characterized by narrative descriptions and examples that serve as aids in interpreting and applying them. Unless otherwise stated, guidelines will not normally have the force of establishing rights, requirements and responsibilities.

2.2   Institutional Policy Elements

2.2.1   All UNH institutional policy shall include the following elements: a) the statement of policy, b) the effective date of the policy which shall be the date of adoption by the President unless otherwise specified1, c) a statement of authority, and d) a statement regarding applicability.

2.2.2   Policy formatting shall be consistent with USY and UNH convention and numbering.

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¹ As policies are revised, all dates of revision and the date of original policy issuance should be listed to preserve the history of policy formation.

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3.   Adoption, Amendment and Repeal of UNH Institutional Policy

3.1   All UNH institutional policy shall be developed, reviewed and approved according to this policy (UNH III.E). UNH institutional policy shall be adopted, amended or repealed by written authorization of the President or his/her designee. Authorized institutional policies and revisions shall be forwarded to the USNH General Counsel for inclusion in the On-line Policy Manual (OLPM).

4.   Institutional Policy Initiation and Development

4.1   Review of Institutional Policy

4.1.1   External Review. In addition to the review process contained in this policy and accompanying guidelines (see "Developing Institutional Policy at the University of New Hampshire: Steps in the Process"), the proposed institutional policy will be reviewed by the USNH General Counsel as well as any other group or individual prescribed by existing policy.

4.1.2   Presidential Notifications. The President's office shall notify the initiating individual or committee whether or not a proposed institutional policy or revision is adopted.

5.   Policy Status

5.1   Policies included and authorized as BOT, USY, or UNH institutional policy are official and are available in the OLPM. During the transition period to formal approval of all UNH institutional policies, the President or his/her designee shall make the determination about whether a policy or procedure is to be considered a "working" UNH policy or procedure.

5.2   In the event of conflict between policies, BOT policy shall have priority over USY and UNH policy. USY policy shall have priority over UNH policy. Official adopted UNH institutional policy shall have priority over working policies or UNH procedures.

6.   Interpretation of Institutional Policy

6.1   Philosophy. UNH institutional policy shall be interpreted to give the greatest effect to that purpose for which it was adopted. UNH institutional policy is intended to support the mission of the University and should be applied with flexibility and judgment consistent with UNH's goals and obligations.

7.   Record Keeping

7.1   The Office of Executive Assistant to the President shall be responsible for records of notifications and approvals, and shall ensure that those responsible for dissemination of institutional policy are informed of the President's approval, policy adoption, amendment, revision or repeal.

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Recommended Guidelines

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.F.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Purpose

1.1   The University of New Hampshire is committed to providing a safe environment for all persons, including but not limited to children, and to prevent and respond to abuse, neglect and crimes against children. This policy establishes consistent standards intended to support the University in meeting its commitment to protect minors who participate in University activities.

1.2   All members of the University community who have any reason to suspect child abuse or neglect shall follow all applicable NH state laws and the process for reporting as described in this policy.

2.   Definitions

2.1   Child Abuse and Neglect - for purposes of this policy, the definitions of child abuse and neglect shall be those contained in NH RSA 169-C:3, as amended:

"Abused child'' means any child who has been: 
       (a) Sexually abused; or 
       (b) Intentionally physically injured; or 
       (c) Psychologically injured so that said child exhibits symptoms of emotional problems generally recognized to result from consistent mistreatment or neglect; or 
       (d) Physically injured by other than accidental means.

"Neglected child'' means a child: 
       (a) Who has been abandoned by his parents, guardian, or custodian; or 
       (b) Who is without proper parental care or control, subsistence, education as required by law, or other care or control necessary for his physical, mental, or emotional health, when it is established that his health has suffered or is very likely to suffer serious impairment; and the deprivation is not due primarily to the lack of financial means of the parents, guardian or custodian; or 
       (c) Whose parents, guardian or custodian are unable to discharge their responsibility to and for the child because of incarceration, hospitalization or other physical or mental incapacity.

2.2    Minor - a person under the age of 18 years old

2.3    UNH Youth Program - Events or programs sponsored, operated, or supported by the University specifically intended for minors who are under the supervision of UNH staff, including faculty, volunteers and student employees. These programs may be day or overnight; on- or off-campus.

Note: the following are not considered a UNH Youth Program:

• Events at UNH open to the public where parents/guardians or adult chaperones are expected to accompany and supervise minors.
• Undergraduate and graduate programs in which minors are enrolled for academic credit or have been accepted for enrollment.
• Courses in which minor students are dually enrolled in UNH credit-bearing non-residential courses while also enrolled in elementary, middle, and/or high school. 
• University programs, such as student teaching, academic or clinical internships, which take place outside of the University under the supervision of a separate organization. UNH staff and students in these placements will follow the policies and procedures for the protection of minors in place at the hosting organization.
• Field trips or visits to UNH solely supervised by an external school or organization, where there is no UNH department providing contracted facility usage or otherwise supporting the program. These trips or visits are subject to the policies in place within the sponsoring organization.
• Licensed child care facilities operated by UNH.

2.4   Youth Skill Camp - Consistent with NH State Law, UNH defines a Youth Skill Camp as a program that runs for three or more consecutive days for the purpose of teaching skills to minors.

2.5   Sponsoring department - The UNH department or program sponsoring, operating, or supporting programs for minors, or contracting for the delivery of activities to participants who are minors.

2.6   UNH Youth Program Manager - Employees, faculty, students or volunteers who manage or direct a UNH program(s). The UNH Youth Program Manager is responsible for ensuring compliance with all policies and procedures.

2.7   UNH Youth Program Staff - Employees, faculty, students and volunteers, whether paid or unpaid, who work for a UNH Youth Program.

2.8   Authorized Adult - A University employee, student, or volunteer (paid or unpaid) who has successfully completed a criminal background check and completed a University protection of minors training within the timelines outlined in the Procedures for the Protection of Minors.

2.9   External Groups - Groups outside of UNH who use UNH facilities as the location for programs or events intended for minors or where minors may be present.

3.   Background Checks

3.1   Youth Skill Camp – UNH Youth Program Managers and UNH Youth Program Staff working in programs that meet the NH State definition of a “youth skill camp” are required to complete an annual background check, including a check of the National Sex Offender Registry (NSOR), in accordance with NH State Law. (RSA 485-A:24).

3.2   Other UNH Youth Programs - Youth Program Managers and Staff working in programs that do not meet the NH State definition of a “youth skill camp” are subject to a criminal history background check as outlined in the UNH Procedures for the Protection of Minors.

3.3   Guest Speakers - UNH Youth Programs may utilize untrained and unscreened guest speakers, instructors, or volunteers to work with minors for short term specific tasks, as long as the program provides continuous supervision by an Authorized Adult.

4.   Reporting Obligation

4.1   NH Law (RSA 169-C:29-31) requires any person who suspects that a child under age 18 has been abused or neglected must report that suspicion immediately to:

• NH Division for Children, Youth and Families (DCYF) Intake Unit
  If calling from NH: (800) 894-5533
  If calling from outside NH: (603) 271-6562
• After a call to NH DCYF, contact UNH Police.

Note: Proof of abuse and neglect is not required to make a report.

4.2   The Youth Program Manager and Staff will follow established procedures for reporting, as outlined in the Procedures for the Protection of Minors.

4.3   In addition to these statutory reporting requirements, University employees must also comply with any other University policies that impose additional reporting obligations, such as the Clery Act, UNH Policy on Discrimination, Harassment, Interpersonal Violence, and Title IX.

5.   External Groups and Outside Contractors

5.1   External Groups conducting programs or events at UNH intended for minors: UNH departments providing contracted facility usage or otherwise supporting external groups will require that an external group affirms its compliance with all applicable NH State and Federal laws, including:

• Requiring background checks for staff and volunteers;
• Training for staff and volunteers working with minors, including NH State requirements for reporting suspected cases of child abuse and neglect.

5.2   In UNH contracts with external groups, it shall specify that, while the University acts as landlord for the event, the external group is responsible for the safety of minor children attending the program. The contract will further state that the external group  is required to obtain its own insurance, including coverage with no exclusions or sub-limits for incidents arising from sexual misconduct (including, but not limited to, sexual molestation, sexual assault, sexual harassment, dating violence and stalking).

5.3   Outside Contractors or Vendors - UNH departments that utilize outside contractors or vendors to provide services at UNH locations where the contractor or vendor may have unsupervised access to minors  should ensure that the contractor or vendor affirms its compliance with all applicable NH State and Federal laws, including the hiring and supervision of employees.

6.   Violation of Policy

6.1   Violations of this policy may result in appropriate disciplinary measures in accordance with University policies, applicable collective bargaining agreements, and applicable Student Conduct policies.

UNH Procedures for the Protection of Minors

1.   Responsibility

1.1   The Dean of Students is responsible for monitoring and updating this policy as needed.

2.   Definition

2.1   Commercial Activity – This term refers to any activity undertaken as part of a commercial enterprise. This includes marketing, sales, or any other action deemed as commercial activity by the University.

3.   Policy

3.1   The purpose of this policy is to manage outdoor commercial activity on campus in order to maintain a healthy, safe, and attractive educational and living environment, which is in keeping with the University of New Hampshire's mission, including its Academic Plan, Transportation Policies, and Campus Master Plan. Conducting any commercial activities for the profit of any person or business is permitted on the campus only upon receipt of a UNH Outdoor Commercial Activity Permit with the following conditions and exemptions.

4.   Exemptions

4.1   The following activities are exempt from this policy:

4.1.1   Commercial activities at athletic events that receive authorization from the Director of Athletics and are registered with the University Police Department through a separate process.

4.1.2   Student activities performed by the students of the University.

4.1.3   Commercial activities sanctioned under separate contract agreements executed by authorized University officials. Anyone wishing to obtain more information about the UNH Outdoor Commercial Activity Permit can contact the UNH Police Department during normal business hours by calling 603.862.1427 or visiting their office at 18 Waterworks Way on campus.

5.   Sale of Concert and Performance Related Materials

5.1   The sale of records, tapes, programs, and other items immediately before, during intermission(s), and directly after concerts and other performances sponsored by recognized student organizations and/or University departments, shall be permitted provided that all material offered for sale is directly related to the person or group performing.

6.   Public Presentations

6.1   Public presentations of a commercial nature to which students may be invited shall be permitted in the conference rooms of the New Hampshire Memorial Union, provided that:

6.1.1   The presentation or demonstration is requested by a recognized student organization or campus department, the presentation is relevant in nature to the work of the organization or department and the organization or department is not, in the view of the Memorial Union administration, being used to “front” for an external organization that would otherwise be subject to different policies and rates as a non-UNH organization;

6.1.2   The room to be used is properly reserved;

6.1.3   The Memorial Union and Student Activities Office is given, through the reservation process, a clear and complete explanation of the nature of the presentation or demonstration;

6.1.4   During and immediately after the presentation or demonstration, no sales may be discussed or closed, no reservations recorded, no money exchanged, and no credit obligations created.

7.   Memorial Union

7.1   The sale of items in the Memorial Union is permitted in accordance with specific guidelines outlined by the Memorial Union & Student Activities and the Memorial Union Board of Governors. Vendors are guests of the University.

8.   Private Individual Sales Presentations

8.1   Nothing in this policy shall prohibit a person or business engaged in commercial activities from conducting private individual sales presentations on campus if so requested by a student, advertising in student and local newspapers, telephoning students, or posting information on general-use bulletin boards.

9.   Permission

9.1   A license/permit shall be required by all students, staff, and commercial groups, individuals(s) not associated with the University. Upon appropriate approvals, including the Chief of Police or designee, the University of New Hampshire Police department, said license/permit will be issued.

1.   Responsibility

1.1   The Executive Director of Hospitality and Campus Services is responsible for monitoring and updating this policy as needed.

2.   General Provisions

2.1   This policy shall govern the use of all personal manual and motorized devices that facilitate the movement of people on the University of New Hampshire Durham campus. This policy is meant to encourage safe shared use of transportation infrastructure including roads, walkways and pathways around campus and town, with environmentally friendly modes of transportation in a manner that protects the safety of all riders, motorists, and pedestrians. Our community expectation is that riders will operate their devices with courtesy on our shared pathways and always yield to pedestrians.

2.2   This policy shall not deny or limit campus access for individuals with disabilities. Mobility devices and other similar Assistive Technology (AT) specifically designed for an individual with a disability or used to facilitate access in accordance with the American Disabilities Act (i.e., wheelchair, mobility-aid) are explicitly excluded from the scope of this policy.

2.3   For community members interested in riding their personal transportation devices on public streets, in town or on campus, it’s important to know that electric motorized devices are not considered vehicles per NH motor vehicle laws; however, riders are required to follow NH state statute, Chapter 265: Rules of the Road and the Town of Durham, Chapter 055: Electronic Motorized Devices/Electric Scooters and related ordinances.

3.   Terms and Definitions

3.1   Manual Devices – This term refers to any form of personal transportation propelled solely by human power including bicycles, inline skates, kick scooters, and skateboards.

3.2   Motorized Devices – This term refers to any form of personal transportation powered by electricity or gas not classified as a moped or motorcycle including e-bikes.

4.   Registration Process

4.1   Students and employees are prohibited from operating a motorized device on any part of the UNH premises unless such motorized device has been properly permitted through Parking Services. Effective January 1, 2025, owners may only possess and operate motorized devices and batteries that are commercially manufactured and UL/ULC listed as evidence that certain safety standards have been met.

4.2   Registration provides a record of ownership of your personal transportation device. Should your device be lost or stolen, your registration record can be used to file a report with University Police or to contact owners of impounded devices.

5.   Dismount and Parking Regulations

5.1   All personal transportation devices are prohibited from the interiors of academic and administrative buildings.

5.2   Riders must fully dismount from their transportation device prior to entering a residential building and walk through the area as operation of any kind while indoors is prohibited.

5.3   Parking is prohibited in pedestrian pathways leading to buildings, vehicle parking spaces or ADA ramps.

5.4   Unattended devices shall only be secured and parked at outdoor racks in such a manner that does not impede the free and clear use of passageways.

5.5   At no time may personal transportation devices, bicycles, or e-bikes be chained, locked, or attached to any handrail, tree, bush, door, signpost, lamp, telephone pole, lamppost, fence, or other object not maintained or designated for the purpose of securing a transportation device.

6.   Storage and Charging

6.1   Indoor storage and charging for personal devices are available for resident students in the designated location of their assigned residence hall or campus apartment.

6.2   Motorized devices may be charged in residence halls and campus apartments so long as they are properly permitted, except for hoverboards and gasoline powered motorized devices which are prohibited from all university housing facilities.

6.3   At no time may motorized devices be stored or charged in university housing rooms, or academic and administrative buildings.

6.4   Owners must remove or disconnect the battery of personal devices and actively monitor batteries until charging is complete.

7.   Operational Safety

7.1   The University strongly suggests all operators wear safety protection including a properly fitted and fastened helmet.

7.2   Riders are prohibited from operating personal devices while under the influence of alcohol or drugs.

7.3   To mitigate any chance of losing control of the device, riders should remain attentive to their surroundings and limit the use of earbuds or headphones.

7.4   Operation of these devices upon a sidewalk, defined as a walkway immediately adjacent to a public road, is strictly prohibited. 

7.5   Operation of motorized devices on multi-use trails, and other pathways is subject to regulation by the University of New Hampshire.

7.6   Motorized devices shall not be operated at a speed greater than is reasonable and prudent under existing conditions and in no event exceeding the posted limit.

7.7   Devices must be operated near the right-hand side of the roadway or path as practicable, exercising due care when passing a parked vehicle or pedestrian.

7.8   Motorized devices emerging from a driveway or building shall upon approaching a sidewalk or roadway yield the right-of-way to all pedestrians approaching on the said sidewalk area; and upon entering the roadway shall yield the right-of-way to all vehicles approaching on said roadway.

7.9   Operators of motorized devices must obey all official traffic signals, signs, and other control devices on the UNH premises used in regulating and directing traffic, unless otherwise directed by a police officer.

7.10   On roadways, devices shall be operated in the direction and with the flow of vehicular and bicycle travel.

7.11   On public roadways where authorized signs are posted, riders operating a motorized device shall obey the regulation contained therein, except that when such person dismounts from the motorized device to make any such maneuver, the operator shall obey all the traffic ordinances provisions applicable to pedestrians.

7.12   No person shall operate a motorized device unless it is equipped with a brake, front and rear lights, and bell or other audible alert.

8.   Oversight and Enforcement

8.1   University Police and Transportation Services will work cooperatively with university departments to enforce personal transportation device regulations.

8.2   Personal transportation devices that are improperly parked, not permitted, or abandoned are subject to citation, fines, impoundment, or disposal, including disposal of hazardous materials, may also be subject to fines by UNH Facilities or Health and Safety and external entities.

8.3   Responsibility for costs that accrue as a result of such fines rests with the device owner and the University shall not be liable for any damage, repair, or replacement associated with moving or impounding any device operated or stored in a manner that violates this policy.

1.   Responsibility

1.1   The Director of Education and Promotion for Health & Wellness is responsible for monitoring and updating this policy as needed.

2.   Preamble

2.1   The University of New Hampshire (UNH) joins with the American College Health Association (ACHA) and more than 2000 institutions of higher education in supporting the findings of the Surgeon General that tobacco use in any form, active and passive, is a significant health hazard. UNH further recognizes that environmental tobacco has been classified as a Group A carcinogen by the United States Environmental Protection Agency. Considering these health risks, UNH hereby adopts a tobacco policy that is committed to a tobacco, smoking, and nicotine-free campus and prevention, reduction, and cessation actions as they pertain to tobacco, smoking, and nicotine (TSN) use issues.

2.2   UNH supports the health goals of the U.S. Public Health Service (USPHS) to reduce the proportion of adults who consume TSN products, and to positively influence our community by helping people remain or become TSN-free. Efforts to promote a TSN-free environment have led to substantial reductions in the number of people who consume these products, the amount of these products consumed, and the number of people exposed to environmental harms associated with use. At the same time, the simple message of “smoke-free” can sometimes be misinterpreted to mean “smoker-free” or “anti-smoker.” Our intent is to institute a policy that respects the rights of people who smoke and those who do not. We acknowledge the Centers for Disease Control and Prevention (CDC) statistics that an estimated 32 million people who smoke (about 70% of all people who smoke) report that they want to quit smoking completely. We recognize that the implementation of a 100% TSN-free policy will have an immediate effect on our campuses, and therefore have included prevention, education, and cessation initiatives to support the non-use of tobacco products.

3.   Policy

3.1   In order to protect the health, safety and comfort of University students, faculty and other academic appointees, staff, and visitors, and consistent with state law (RSA 155:64-77), the University of New Hampshire is committed to a policy of prohibiting the use of tobacco products, including but not limited to: cigarettes (clove cigarettes, bidis, kreteks), electronic nicotine delivery systems (ENDS, vaping), cigars and cigarillos, hookah-smoked products or any lighted or heated tobacco and nicotine products, and non-combustible tobacco and nicotine products (dip, chew, oral nicotine pouches, tobacco substitutes) in facilities and on grounds owned and occupied or leased and occupied by the University (including UNH Manchester & UNH Law). In addition, UNH supports education programs to provide prevention and cessation initiatives to our students, faculty and other academic appointees and staff. This policy supersedes all other TSN policies at UNH.

4.   Definitions

4.1   Tobacco Product – This term refers to any substance containing tobacco leaf, including but not limited to, cigarettes, cigars, pipe tobacco, hookah tobacco, snuff, chewing tobacco, dipping tobacco, bidis, blunts, clove cigarettes, or any other preparation of tobacco; and any product or formulation of matter containing biologically active amounts of nicotine that is manufactured, sold, offered for sale, or otherwise distributed with the expectation that the product or matter will be introduced into the human body by inhalation, ingestion, or absorption; but does not include any cessation product specifically approved by the U.S. Food and Drug Administration for use in treating nicotine or tobacco dependence.

4.2   Smoking – This term refers to inhaling, exhaling, burning, or carrying any lighted or heated cigar, cigarette, pipe, hookah, or any other lighted or heated tobacco or plant product intended for inhalation, including cannabis (recreational and medicinal), whether natural or synthetic, in any manner or in any form. “Smoking” also includes the use of an electronic smoking device which creates an aerosol or vapor, in any manner or in any form, or the use of any oral smoking device for the purpose of circumventing the prohibition of smoking in this Article.

4.3   Electronic Smoking Device – This term refers to any product containing or delivering nicotine or any other substance intended for human consumption that can be used by a person in any manner for the purpose of inhaling vapor or aerosol from the product. The term includes any such device, whether manufactured, distributed, marketed, or sold as an e-cigarette, e-cigar, e-pipe, e-hookah, or vape pen, or under any other product name or descriptor.

4.4   Tobacco Substitutes – This term refers to nicotine pods and juices, oral nicotine pouches electronic cigarettes or other electronic or battery-powered devices that contain and are designed to deliver nicotine or other substances into the body through the inhalation of vapor and that have not been approved by the U.S. Food and Drug Administration for tobacco cessation or other medical purposes. Products that have been approved by the U.S. Food and Drug Administration for tobacco cessation or other medical purposes shall not be considered tobacco substitutes as defined in this Article.

4.5   Hookah - This term refers to a water pipe and any associated products and devices which are used to produce fumes, smoke, and/or vapor from the burning of material including, but not limited to, tobacco, shisha, or other plant matter.

5.   Education

5.1   The UNH TSN policy shall be included in the new employee and student orientation program, in the Student Rights, Rules, and Responsibilities, Room & Board Agreement, in admissions application materials and other campus documents where appropriate.

5.2   UNH encourages employees and students not to use tobacco products by offering educational information and providing information about TSN cessation resources offered through university departments or offices, health care providers, nonprofit organizations, or other groups.

5.3   UNH Health & Wellness, Living Well Services, will provide prevention and cessation programs to students upon request and offer other prevention and education initiatives that support non-use and address the risks of exposure to second and third hand exposure.

5.4   USNH health and wellness programs and services will offer prevention and cessation programs to faculty and staff.

6.   Affected Areas of the Tobacco-, Smoke-, and Nicotine-Free Policy

6.1   The TSN-Free policy applies to all University of New Hampshire facilities, property, and vehicles, owned, or leased, regardless of location. Smoking and the use of tobacco products shall be prohibited in any enclosed place, including, but not limited to, all offices, classrooms, hallways, waiting rooms, restrooms, meeting rooms, community areas, performance venues and private residential space within UNH housing. TSN products shall also be prohibited outdoors on all UNH campus property, including, but not limited to, parking lots, paths, fields, sports/recreational areas, and stadiums, as well as in all personal vehicles while on campus. This policy applies to all students, faculty, staff, and other persons on campus, regardless of the purpose for their visit.

7.   Sales and Marketing

7.1   Advertisement of all tobacco products or their use shall be prohibited in all University of New Hampshire publications and on all University owned, occupied, or leased properties.

7.2   Any sale or free sampling of tobacco products on campus shall be prohibited.

8.   Implementation

8.1   The cultivation of a TSN-Free public health environment is a social process that cultivates shared public health norms over time. This policy relies on the consideration and cooperation of individuals who consume tobacco products and those who do not. All members of the UNH community, including visitors, are asked to observe this policy that begins and remains centered on communication, education, and cessation as the community adapts to the policy.

9.   Compliance

9.1   The policy will operate through educational communication and the cultivating of public health norms within a community-inclusive framework with the primary goal of voluntary compliance. Implementation focuses on communication, education, and cessation as the community adapts to the policy over time. The Tobacco, Smoke, Nicotine-Free Task Force will work with campus stakeholders in an ongoing way to address compliance. Oversight is the shared responsibility of all UNH community members who are expected to execute that responsibility in good faith.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.J.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   The University of New Hampshire, Durham, Concord, and Manchester campuses, is committed to providing a safe and secure learning and working environment for students, faculty, staff, and visitors.

2.   The use and possession of all firearms, other dangerous weapons intended to inflict injury, or explosives are prohibited on the Durham, Concord, and Manchester core campuses of the University of New Hampshire. Law enforcement officers duly authorized to carry such instruments are excepted.

3.   Weapons may be stored on campus under the control or direction of the Chief of the University Police Department and in accordance with the policy and procedures of the University Police Department.

4.   The Chief of Police may grant permission in writing to an individual, academic or research department, or operational department to possess a weapon or ammunition on campus for instructional or other qualified purposes and in other special circumstances and conditions as approved by the Chief of Police.

5.   Any person violating this policy will be subject to appropriate legal and administrative action, provisions of state laws and be subjected to sanctions under applicable process for just cause.

 

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.K.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.  Responsibility

1.1  The Dean of Students and Director of Community Standards are responsible for monitoring and updating this policy as needed.

2.   Guidelines

2.1  The University is committed to establishing and maintaining an environment that fosters mutually beneficial interpersonal relations and a shared responsibility for the welfare and safety of others. Because alcohol can have a significant effect on that environment, the University has adopted this policy for governing alcohol use by students, staff, faculty, visitors, and guests. The focus of University alcohol policy is to comply with local ordinances, state laws and federal laws that protect the health and welfare of individuals and the community. The possession, consumption, and transportation of alcohol by persons under the age of twenty-one is illegal in New Hampshire. While University policy permits responsible consumption of alcohol at some places and times, the consumption of alcohol should never be the primary purpose or focus of an event. Alcohol-free social events are encouraged.

2.2  All students are prohibited from engaging in any of the alcohol-related behaviors described in the Prohibited Conduct section of the Code of Conduct within the Student Rights, Rules, and Responsibilities handbook.

2.3  Whenever alcoholic beverages are to be served at a University event, the acquisition, distribution, possession, or consumption of alcohol by members of the UNH community must be in compliance with all local, state, and federal laws.

2.4  Non-alcoholic beverages must be provided at events where alcoholic beverages are served.

2.5  UNH has an interest in off-premises events held in its name. If alcohol is used illegally or inappropriately at such events, the University may take steps to protect its interests.

2.6  Additional provisions regarding Residential Alcohol Policy and Regulations and procedures related to service of alcoholic beverages at university events, may be found in the Alcohol policy within the Student Policies and Regulations section of the Student Rights, Rules, and Responsibilities handbook.

3.  This policy is effective as of July 1, 2023.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.M.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Purpose

1.1   Provide opportunity to the University community and groups external to the University to promote and advertise their names, logos, products, services and activities while preserving the educational purposes of the University.

2.   Intent

2.1   Provide and preserve a quality educational environment for the enjoyment of the University community and general public.

2.2   Maintain appropriate standards in appearance and message of advertisements and promotions befitting an educational environment and in support of University policies

2.3   Generate revenue to support the operations and maintenance of the institution through the sale of advertisement and promotional opportunities

2.4   Prohibit the advertisement of the manufacturer, brand names and logos of tobacco and alcohol and other products that represent a significant risk to health or safety and/or the promotion of the use of such products.

3.   Procedure

3.1   Vice Presidents and/or RCM Unit Heads shall designate and allocate the inventory of available advertisement and promotional opportunities within facilities and on the grounds of the University.

3.2   The RCM Unit Heads and their respective staff shall solicit interest in advertising and promotional opportunities from businesses and organizations, and shall receive all inquiries from the same.

3.3   The RCM Unit Heads and their respective staff require all parties interested in advertisement and promotion to submit sketches, copies and/or descriptions of proposed advertisements and promotions for evaluation as to appropriateness and adherence to University policies.

3.4   In the event sketches, copies, and/or descriptions of proposed advertisements and promotions are found to be in appropriate and a violation of policy, the RCM Unit Heads will forward such findings to the appropriate vice president or their designee for review and final decision.

3.5   The RCM Unit Heads and their respective staff shall develop and execute written advertisement and promotion agreements, consistent with USNH policy and procedure, receive monies and manage accounts receivables related to the same.

3.6   The RCM Unit Heads and their respective staff shall coordinate the design, production and installation of signage, banners, etc., for the purpose of advertisement and promotions.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.N.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Definitions

1.1   A University of New Hampshire ("UNH") Industrial Consortium is a formal association between UNH and the commercial entities party to executed Industrial Consortium Agreements.

1.2   An "Agreement" is a legally binding document that specifies the rights and responsibilities of the parties.

1.3   The commercial entities are commonly called "members."

2.   Policy. UNH may enter into a UNH Industrial Consortium Agreement ("Agreement") with commercial entities where all parties have a mutual interest in the advancement of science and technology in a specific field. A UNH Industrial Consortium must be headed by a UNH status employee, typically a faculty member, who serves as the program or project director of the consortium.

2.1   A program or project director wishing to establish a UNH Industrial Consortium must present a proposal with budget and justification to his/her Responsibility Center ("RC") unit head (normally a dean, institute director, or vice president). Written approval by the RC unit head is required to establish a new UNH Industrial Consortium. Such approval must be in place before any agreements are negotiated and executed. A UNH Industrial Consortium is based organizationally and financially in the program or project director's UNH college/school/institute/other relevant unit.

2.2   UNH's Sponsored Program Administration ("SPA") is authorized and responsible for creating, negotiating, and executing Industrial Consortium Agreements, and ensuring that those agreements are in the best interest of UNH. Prior to executing any Industrial Consortium Agreement, SPA will coordinate resolution of all relevant intellectual property issues with the program or project director and with the Director of the UNH Office of Intellectual Property Management ("OIPM").

2.3   Each UNH Industrial Consortium member pays an annual fee to belong to the Consortium. For each agreement and/or new member, the fee is due from the member(s) upon signing the agreement. Payment of a UNH-issued annual invoice for the fee by a Consortium member constitutes acceptance by the member of the terms and conditions of the existing agreement for the upcoming year.

2.4   SPA will establish an account in the University System of New Hampshire ("USNH") financial accounting system for each newly-approved UNH Industrial Consortium. Unless the RC unit head has authorized a Not-Fully-Executed ("NFE") account budget, the budget will reflect only those revenues received from member fees. The program or project director is not authorized to incur expenses in excess of budget.

2.5   The UNH Industrial Consortium program or project director is responsible for charging to Consortium revenues the direct costs for administering the Consortium including, but not limited to, the portion of salaries and wages for the program or project director and UNH personnel (e.g., technicians, graduate students) working directly on Consortium activities. For UNH Industrial Consortia established on or after the effective date of this policy, the Facilities and Administrative ("F&A") costs rate assessed on Consortium revenues is 20% of total direct costs less equipment. The F&A costs rate for UNH Industrial Consortia established before the effective date is grandfathered.

2.6   If a UNH Industrial Consortium program or project director terminates employment with UNH, the RC unit head will appoint another UNH employee as the replacement program or project director, with the consent of Consortium members. If consensus about a replacement project director cannot be achieved, either the Consortium will be disbanded, or the original program or project director may move the Consortium to a non-UNH organization. In the latter case, the RC unit head will decide on the disposition of any remaining Consortium direct and F&A fund balances within the boundaries of the executed Agreements.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.O.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Purpose and Scope

The University's International Travel Policy is intended to promote the health, safety and security of all members of the University community while traveling abroad. The university supports and promotes travel on its behalf by individuals whose business or scholarly activities involve international travel while encouraging sound business practices and security measures that minimize risks to the traveler and the institution.

The International Travel Policy applies to all faculty, staff and students traveling outside of the United States of America, including travel to off-shore United States territories and possessions, on University-related activities, which may comprise but are not limited to study, research, internships, service, conferences, presentations, teaching, performances or athletic competitions.

The International Travel Policy outlines the University's requirements with regard to: (2) the University International Travel Registry, (3) the International Travel Assistance & Insurance Program and (4) International Travel Risk Review.

2.   International Travel Registry

2.1   Definition

2.1.1   The UNH International Travel Registry is a database for maintaining critical travel information for faculty, staff and students traveling abroad on University-related activities. The UNH International Travel Registry is the official and authoritative source of traveler information that forms the basis for the University’s emergency response protocols and communications strategy (e.g. alerts, warnings, evacuation notices) when responding to an emergency or critical incident abroad.

2.1.2   The Center for International Education (CIE) is responsible for the management of the UNH International Travel Registry.

2.2   Policy

2.2.1   All faculty, staff and students traveling abroad for University-related purposes shall register their international travel in the UNH International Travel Registry a minimum of two weeks before the expected departure date and shall update the Travel Registry as additional information becomes available or changes occur throughout the duration of the trip.

2.2.2   Completing the International Travel Registry process ensures enrollment of UNH travelers in the UNH International Travel Assistance & Insurance Program. Without registration, UNH travelers are not insured for any emergency assistance services.

2.2.3   All students participating in UNH-Managed, UNH-Exchange, or UNH-Approved study abroad programs who fail to sign up for and complete the International Travel Registry according to their program's deadline will not be registered for Study Abroad and thus will not receive academic credit, will not be eligible for financial aid (if applicable) and will not be enrolled in the UNH International Travel Assistance & Insurance Program.

2.2.4   Among other data, the International Travel Registry shall establish and collect two distinct date types—UNH activity dates and travel dates.

2.2.4.1   UNH activity dates comprise the start and end dates of the University-related experience as defined by, including but not limited to: an activity supervised, led, arranged, or sponsored by an UNH department or faculty or staff member; activity supervised, led, arranged, or sponsored by a University office, organization (band, athletic team, etc.) or by a University recognized student organization; research sponsored or supported by a University research office unit or committee; presentation at a conference about University programs, activities, or research; work that falls within the scope of an employee’s official duties or association with the University.

2.2.4.2   Travel dates are defined by the individual's dates of travel, which may or may not match the University-related activity dates. For example, individuals may engage in personal travel before or after the UNH-related activity. The specific and accurate travel details should also be completed in the International Travel Registry, regardless of how they coincide with the UNH-related activity dates.

2.2.4.3   Refer to International Travel Policy Section 3.2, the International Travel Assistance and Insurance Program, for the policy on how these dates impact insurance coverage.

2.3   In accordance to FERPA, information contained in the International Travel Registry is confidential and access is limited to the purposes contained in the statute and regulations.

2.4   UNH International Travel Registry data is secured by The ANVIL Group, an internationally renowned risk management consultancy, accredited with ISO 9001, the International Quality Management and Control Standard, and ISO 27001, the Information Security Systems Management Standard.

2.4.1   The accreditation demonstrates the independence of ANVIL's internal controls and that their organizational risks are properly identified, assessed and managed. ANVIL’s systems are designed to meet Corporate Governance, Data Protection and Business Continuity requirements. The ANVIL Group is Safe Harbour Certified and registered under the United Kingdom’s Data Protection Act.

3.   International Travel Assistance & Insurance Program

3.1   Definition

3.1.1   The University of New Hampshire provides an international travel assistance service and emergency travel insurance program to students, faculty and staff traveling abroad on University-related activities. The definition of a University-related activity can be found in Section 2.2.4.1 of the International Travel Policy.

3.1.2   There are 2 components to this program:

3.1.2.1   Travel assistance services — Provides resources to travelers to help with medical, security and logistical questions, concerns and situations.

3.1.2.2   International travelers’ accident/sickness/disaster insurance — Provides insurance benefits to cover emergency accident/sickness/disaster services costs in the event of an incident abroad.

3.1.2.3   Details of the Program, including Evidence of Benefits and policy exclusions, are on the CIE website  http://www.unh.edu/cie/unh-intl-travel-policies-resources.

3.2   Policy

3.2.1   All faculty, staff and students traveling abroad on University-related activities, as defined in Section 2.2.4.1 of the International Travel Policy, shall be covered by the UNH International Travel Assistance and Insurance Program to provide risk management and emergency support and services for travelers on UNH business.

3.2.2   Completion of the International Travel Registry process enrolls the UNH traveler in the University's International Travel Assistance & Insurance program.

3.2.3   Failure to register in the University’s International Travel Registry precludes the traveler from coverage by the University's International Travel Assistance and Insurance program.

3.2.4   For properly registered UNH international travelers, the Program provides defined benefits between the official UNH activity start and end dates.

3.2.4.1   The Program provides UNH international travelers the opportunity to purchase additional optional coverage if the traveler is adding personal travel or travelers in conjunction with the UNH-related activity.

4.   International Travel Risk Review

4.1   Definition

4.1.1   It is a goal of the University of New Hampshire strategic plan to ensure that students will have maximum exposure to international experiences. To minimize health hazards and safety risks, UNH established the International Travel Risk Review Committee (ITRRC) to evaluate UNH-sponsored education abroad activities when a significant health or safety concern is raised and to decide whether to suspend that activity.

4.1.2   This health or safety concern may arise from a number of sources. Examples of such sources may include but are not limited to: the U.S. State Department, governmental/NGO health organizations, travel assistance providers, UNH faculty and staff with an expertise in the area, on-site staff officials or other indicators of potential health or safety threats.

4.2   Policy

4.2.1   UNH policy prohibits student activities in countries for which a U.S. State Department Travel Warning is in effect and in other potentially high risk destinations.

4.2.2   There may be instances when an individual UNH student or a UNH-sponsored group considers that there is a compelling educational interest to conducting an activity in a country on the U.S. State Department Travel Warning list or in other potentially high risk destinations and that it is possible to mitigate the risks. In these cases an individual student or a unit may petition to the International Travel Risk Review Committee (ITRCC) for prior approval.

4.2.3   The International Travel Risk Review Committee (ITRRC) is the responsible body for deciding whether or not to suspend an international student activity due to health or safety issues. ITRRC may decide to suspend an education abroad activity before it starts or while it is in process.

4.2.4   Information, guidelines, and forms are available on the Center for International Education website: http://www.unh.edu/cie/unh-intl-travel-policies-resources.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.III.P.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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Spanish version

1.   Preamble

1.1   The Health Insurance Portability and Accountability Act of 1996 (Public Law 104-191 as amended) (HIPAA) regulates organizations that electronically maintain or transmit protected health information in connection with a covered transaction. HIPAA requires each organization to maintain reasonable and appropriate administrative, technical and physical safeguards for privacy and security. Entities or individuals who contract to perform services for such an organization and who have access to protected health information are also required to comply with the HIPAA privacy and security standards. The University of New Hampshire (UNH) recognizes its responsibility to comply with HIPAA to ensure reasonable protection of protected health information. Accordingly, UNH maintains a policy for HIPAA compliance. UNH strives to ensure that all members of its workforce understand and adhere to this policy. The Health Insurance Portability and Accountability Act of 1996 (Public Law 104-191 as amended) (HIPAA) regulates organizations that electronically maintain or transmit protected health information in connection with a covered transaction. HIPAA requires each organization to maintain reasonable and appropriate administrative, technical and physical safeguards for privacy and security. Entities or individuals who contract to perform services for such an organization and who have access to protected health information are also required to comply with the HIPAA privacy and security standards. The University of New Hampshire (UNH) recognizes its responsibility to comply with HIPAA to ensure reasonable protection of protected health information. Accordingly, UNH maintains a policy for HIPAA compliance. UNH strives to ensure that all members of its workforce understand and adhere to this policy.

2.   Definitions

2.1   Business Associate: A person or entity that performs certain functions or activities that involve the use or disclosure of protected health information on behalf of, or provides services to, UNH. A member of UNH's workforce is not a business associate of UNH. UNH, through its covered units, also may act as a business associate of other entities outside of UNH.

2.2   Covered Unit: A UNH department/unit is designated as a covered unit only to the extent that it performs HIPAA covered functions, or engages in activities that would make it a business associate of another UNH covered unit or a business associate of an entity outside of UNH. The UNH HIPAA Advisory Committee is responsible for designating and identifying the UNH departments/units that are covered units and thus subject to HIPAA, based on performance of covered functions, and these shall be listed in the UNH HIPAA procedures.

2.3   Electronic Protected Health Information (PHI): Individually identifiable health information that is transmitted by or maintained in electronic media. Examples include, but are not limited to internet, extranet, leased lines, dial-up lines, private networks, hard drives, flash drives, magnetic tape/disk, CD, digital memory card.

2.4   Health Insurance Portability and Accountability Act of 1996 (HIPAA): The federal law that establishes national standards for the privacy and security of health information and electronic health care transactions, which are found in 45 CFR Parts 160, 162 and 164.

2.5   HIPAA Advisory Committee: The UNH committee providing oversight of UNH's compliance with HIPAA and applicable state laws governing the use, storage and disclosure of Protected Health Information (PHI).

2.6   Health Information Technology for Economic and Clinical Health Act (HITECH): Part of the American Recovery and Reinvestment Act of 2009. It is a federal law that affects the health care industry that provides expanded reach of HIPAA. Section 13400-13423 Subtitle D-Privacy.

2.7   Hybrid Entity: For purposes of HIPAA, UNH has designated itself a hybrid entity. This means that UNH performs functions covered by HIPAA and functions not covered by HIPAA. The UNH HIPAA Advisory Committee is responsible for designating and identifying the UNH departments/units subject to HIPAA (covered units), based on performance of covered functions, and these shall be listed in the UNH HIPAA procedures and on the UNH website.¹

2.8   Notice of Privacy Practices: HIPAA provides that an individual has a right to adequate notice of how a covered entity may use and disclose protected health information about the individual, as well as his or her rights and the covered entity’s obligations with respect to that information. The document containing this information is UNH's Notice of Privacy Practices.

2.9   Privacy Officer: The individual responsible for overseeing compliance with the privacy provisions of HIPAA (Standards for Privacy of Individually Identifiable Health Information, 45 CFR Parts 160 and 164) and applicable state laws.

2.10   Protected Health Information (PHI): Individually identifiable health information created, maintained or transmitted by UNH or any other covered entity in any form or medium, including information transmitted orally, or in written or electronic form.

2.11   Security Officer: The individual responsible for overseeing compliance with the security provisions of HIPAA (Security Standards for the Protection of Electronic Protected Information, 45 CFR Parts 160, 162 and 164) and applicable state laws.

2.12   Workforce Member: UNH workforce member means employees, students, trainees, volunteers and other persons whose conduct, in performance of work for UNH, is under the direct control of UNH, whether or not they are paid by UNH. It does not include business associates or their employees and agents.

3.   Policy Statements

3.1   It is the policy of the University of New Hampshire (UNH) to comply with the Health Insurance Portability and Accountability Act of 1996 and its federal regulations (collectively, "HIPAA") to the extent that HIPAA is applicable to UNH.

3.2   UNH’s designated covered units shall maintain the security and privacy of PHI in accordance with the requirements of the HIPAA statute and regulations.

3.3   UNH’s workforce members are expected to follow federal and state laws, as well as UNH's policies and procedures regarding the privacy and security of PHI.

4.   Status and Designations

4.1   UNH's activities include both HIPAA covered and non-covered functions. Accordingly, UNH has determined that it is a hybrid entity for HIPAA compliance purposes.

4.2   UNH has designated certain departments/units as covered units. Covered units must comply with UNH HIPAA procedures. The UNH Privacy Officer may amend UNH's designation of covered units as appropriate. UNH's covered units shall be listed in the UNH HIPAA procedures and on the UNH website.²

4.3   Other UNH departments/units that perform health care functions that are not covered by HIPAA may voluntarily choose to comply with or participate in some or all HIPAA requirements, policies or procedures. Such voluntary compliance or participation shall not affect a unit’s status as a non-covered unit.

5.   Privacy Officer, Security Officer, and Privacy Coordinators

5.1   UNH has designated a Privacy Officer for HIPAA compliance purposes. The HIPAA Privacy Officer designation and contact information are posted on the UNH website.³ The designation of the Privacy Officer is subject to change by the UNH President.

5.1.1   The Privacy Officer is responsible for the development and implementation of general operating procedures as required by HIPAA and approved by the UNH HIPAA Advisory Committee.

5.1.2   The Privacy Officer is designated to receive complaints concerning UNH's HIPAA related policies, procedures and HIPAA compliance, and to provide further information about matters covered by UNH's Notice of Privacy Practices.

5.1.3   The Privacy Officer is responsible for initial and on-going HIPAA privacy training, monitoring use and disclosure of PHI and investigating HIPAA privacy concerns/complaints. The Privacy Officer may delegate tasks as needed, but shall retain overall responsibility for these activities.

5.2   UNH has designated a Security Officer who is responsible for developing and implementing HIPAA security policies, providing initial and on-going HIPAA security training, monitoring security of UNH electronic PHI and investigating of HIPAA security breaches, concerns, and complaints.

5.3   Each covered unit shall designate a Privacy Coordinator to interact with the Privacy Officer and coordinate HIPAA compliance within the unit. Documentation of each Privacy Coordinator designation shall be provided to and maintained by the Privacy Officer.

6.   Procedures

6.1   UNH's Privacy Officer is responsible for adopting and implementing general operating procedures governing HIPAA compliance by all covered units. Such procedures shall be distributed to all covered units and posted on UNH's website.

6.2   Each covered unit is responsible for complying with UNH's HIPAA general operating procedures, as applicable, and for developing procedures and forms as needed to implement and comply with such procedures and HIPAA including, but not limited to, appropriate administrative, technical and physical safeguards to protect the privacy of protected health information.

6.3   Each covered unit is responsible for providing the Privacy Officer with current copies of its procedures and any forms or other HIPAA compliance related documents in use by such covered unit.

6.4    Each covered unit shall have in place and operational procedures and forms to comply with UNH's HIPAA general operating policies. Each covered unit shall provide to the Privacy Officer copies of its procedures and forms. The Privacy Coordinator and the administrative head of each covered unit shall work with the Privacy Officer and the Security Officer to ensure appropriate implementation of UNH's HIPAA general operating policies by the covered unit. Once approved by the Privacy Officer, copies of any material changes to a covered unit’s HIPAA procedures and forms shall be provided to the Privacy Officer for review and approval in writing prior to such revised procedures taking effect.

6.5   The Privacy Officer may require a covered unit to change its procedures, forms or related compliance documents if those procedures, forms or documents are deemed inconsistent with or contrary to the HIPAA general operating policies.

7.   HIPAA Advisory Committee

7.1   UNH has established a HIPAA Advisory Committee to assist the Privacy Officer and oversee UNH's HIPAA compliance. The Privacy Officer shall chair the committee. The advisory committee shall have representation from each covered unit, as well as other UNH department/units as appropriate. UNH's Security Officer will also serve on the committee. Additional members may be appointed by the Privacy Officer. A representative of the USNH General Counsel's Office shall provide advice to the committee.

8.   Training

8.1   UNH will train its workforce members in each covered unit on the UNH HIPAA policy and operating procedures with respect to protected health information as required by HIPAA. Such training will be as necessary and appropriate for the workforce members to carry out their function within the covered unit. The Privacy Officer, in conjunction with each covered unit's Privacy Coordinator, is responsible for developing training materials and implementing, updating and overseeing workforce training.

8.2   Training for covered units shall be completed within a reasonable time, not to exceed 60 days, after the department/unit is identified as a covered unit. Thereafter, each new member of a covered unit's workforce shall be trained within a reasonable time (within 30 days) after joining the workforce. Additional training will be provided to each member of a covered unit's workforce whose functions are materially affected by a change in HIPAA related policies or procedures. Such training will be provided within a reasonable time (within 30 days) after the material change becomes effective.

8.3   The Privacy Officer and the covered units' Privacy Coordinators shall maintain copies of the training materials and document that the required training has been provided.

9.   Enforcement

9.1  The Privacy Officer is responsible for implementation of this policy and overall responsibility for UNH's compliance with the HIPAA regulations.

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^1,2,3http://www.unh.edu/research/health-insurance-portability-accountability-act-hipaa

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.IV.B.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Sponsored Programs

1.1   Definition: Sponsored Programs are externally-funded activities in which a formal written agreement, i.e. a grant, contract, or cooperative agreement is entered into the University of New Hampshire (UNH) and by the sponsor. A Sponsored Program may be thought of as representing the voluntary transfer of money or property by a sponsor in exchange for the specifically enumerated performance of services, often including rights and access to results of this performance, and always including some formal financial and/or technical reporting by the recipient as to the actual use of money or property provided. The agreement is enforceable by law, and performance is usually to be accomplished under time and fund use constraints with the transfer of support revocable for cause.

1.2   Policy: If any one of the following indicators exists, the Sponsored Program Administration (SPA) shall have responsibility for solicitation, negotiation, receipt, and administration of the grant, contract, or cooperative agreement (hereinafter referred to as "award") on behalf of the University of New Hampshire (University), with the exception of student financial aid awards.

1.2.1   The original source of the award is a governmental or quasi-governmental entity, the exception being the State of New Hampshire for the University's biennial and capital budgets.

1.2.2   The award is from a private sector sponsor and is characterized as follows:

1.2.2.1   The award will support the work of a specific faculty or staff member(s) and requires the use of University facilities or other resources.

1.2.2.2   The work scope and programmatic goals are defined in the proposal and/or award document.

1.2.2.3   The work is to be accomplished within a specific time and budget framework.

1.2.3   The award is a fellowship or quasi-fellowship, resulting from a competitive proposal process, for which compensation to the "fellow" is made through the University's payroll system.

1.2.4   The award is for equipment resulting from a competitive proposal process and requiring a financial, performance, or use/disposition report.

1.2.5   The sponsor places restrictions on the use of funds or property and/or retains the right to revoke the award in part or in total. Examples of restrictions include disallowance of pre-award costs, requirement of sponsor's prior approval for deviation from originally approved budget items, return of any unexpended funds to the sponsor at project period end, or restrictions on publication of data from studies supported by the award.

1.2.6   A detailed fiscal or activity report or external audit is required at intervals during and/or at the end of the project period.

1.2.7   The award supports studies to be conducted on substances, products, processes, etc., owned by the sponsor.

1.2.8   The agreement provides for either the transfer or disposition of tangible property (e.g. biological materials, equipment records, technical reports, theses or dissertations), and/or intangible property (e.g. rights in data, copyrights, inventions) which may result from the activities being sponsored. (Refer to the University's "Intellectual Property" policy.)

1.2.9   The sponsor expects to gain direct economic benefit as a result of the activity to be conducted under the agreement, and the expense is perceived by the company as a "cost of doing business" rather than a charitable gift. The award and related documents, if any, reflect this intent. (Refer to UNH Foundation, Inc., policy on "Gifts or Donations" appended for informational purposes to UNH III.C)

1.3   Procedures

1.3.1   Any proposal that would result in an award as specified above must be routed with a completed "University of New Hampshire Request for Internal Approval of Grant or Contract application to External Sponsor" form for endorsement by the appropriate department or unit head and approval by the appropriate institute/center director, college/school dean, vice president, or Provost.

1.3.2   The completed proposal and form are then routed to SPA.

1.3.3   Prior to submission to an external sponsor, the completed proposal is reviewed by SPA for compliance with University policies, prospective sponsor requirements, and all applicable laws and regulations.

1.3.4   For each proposal approved for submission to a prospective sponsor, the authorized SPA individual or the Senior Vice Provost for Research signs the routing form and all required sponsor forms on behalf of the University.

1.3.5   SPA submits the proposal package to the prospective sponsor.

1.3.6   SPA negotiates the award terms and conditions on behalf of the University.

1.3.7   If appropriate, SPA or its designee provides the sponsor with acknowledgement of the award.

1.3.8   SPA and the Principal Investigator have joint responsibility for financial and administrative aspects of the award, while the project director is solely responsible for the technical requirements of the award. SPA interacts with the sponsor on behalf of the University.

1.3.9   SPA provides stewardship functions and maintains records that can be audited.

2.   Cost Transfers on Externally Sponsored Programs [ Changed. See UNH VIII.R ]

3.   Supplies Charged to Federally Sponsored Agreements [ Changed. See UNH VIII.Q ]

4.   Not-fully-executed Spending Accounts on Externally Sponsored Programs [ Changed. See UNH VIII.O ]

5.   Salaries, Wages, and Fringe Benefits Charged to Federally Sponsored Agreements

5.1  Background. This policy reflects the requirements of the Federal cost principles contained in 2 CFR 200, which establish the rule that salaries of clerical and administrative personnel should normally be treated as Facilities and Administrative (F&A) or indirect costs. The policy also describes those particular circumstances where it is appropriate to charge administrative and clerical salaries directly to sponsored agreements. Salaries of Principal Investigators and technical staff shall be treated as direct costs wherever identifiable to a particular sponsored agreement.

5.2   Definitions:

5.2.1 Salaries, wages, and fringe benefits are compensation paid currently or accrued by the University for employee services rendered. Fringe benefits also include University contributions or expenses for social security, retirement plans, health and life insurance, workers' compensation, tuition, benefits administration costs, and other staff benefits.

5.2.2 Integral means essential to the project's goals and objectives, rather than necessary for the overall operation of the institution.

5.3   Policy

5.3.1   In accordance with OMB Circulars A-21 and A-110, all salaries, wages, and related fringe benefits charged to a federally sponsored^* agreement (including federal pass-through) must meet all four of the following criteria in order to be allowable as direct charges:

5.3.1.1   Reasonable. The employee services must be necessary for the performance of the sponsored agreement. The cost must conform to all applicable government requirements and be consistent with institutional policies.

5.3.1.2   Allocable. The employee services are solely to advance the work of the particular sponsored agreement during its performance period. If the personal services benefit more than one program or activity, the compensation must be allocated proportionately to each one according to the degree of benefit. However, if the benefit to an individual program or activity cannot be determined due to the interrelationship of the work involved, the cost may be allocated to benefited projects on reasonable bases.

5.3.1.3   Consistent. The compensation must be treated consistently as either a direct or indirect cost in like circumstances throughout the institution.

5.3.1.4   Limitations. The compensation must conform to limitations imposed by the sponsor's policies and the agreement itself.

5.3.2   Salaries, wages, and related fringe benefits are normally charged directly to a sponsored agreement for those employees performing the research, scholarly, or outreach activities for that agreement.

5.3.3   Charges follow the level of effort on the project and include reasonable amounts for activities contributing and closely related to work under the agreement such as conducting laboratory research, delivering special lectures about specific aspects of the ongoing activity, writing reports and articles, participating in appropriate seminars, consulting with colleagues and graduate students, and attending meetings and conferences.

5.4   Administrative and clerical compensation (business and financial staff)

5.4.1   Is normally charged indirectly to sponsored agreements through the institution's federally negotiated facilities and administrative (F&A) cost rate. However, under appropriate circumstances, such compensation and associated fringe benefits may be charged directly to the sponsored agreement if:

5.4.1.1   Administrative or clerical services are Integral services to a project or activity;

5.4.1.2   Individuals involved can be specifically identified with the project or activity;

5.4.1.3   The costs are not also recovered as indirect costs; and

5.4.1.4   Such costs are explicitly included in the budget or have the prior written approval of the Federal awarding agency.

5.5   Examples: It may be allowable to directly charge a sponsored agreement for a program assistant or program support assistant whose function is directly related to the purpose of the agreement, such as assisting with a conference or staffing a program administrative office.

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References:

For awards made prior to 12/26/14

OMB Circular

A-21: C.2 Factors affecting allowability of costs

C.3 Reasonable costs

C.4 Allocable costs

C.7 Limitations on allowance of costs

C.11 Consistency in allocating costs incurred for the same purpose

D.1 Direct Costs, General

D.2 Application to sponsored agreements

F.6.b Departmental administration expenses

J.8 Compensation for personal services

A-21 Appendix A, CAS 9905.502 Consistency in Allocating Costs Incurred for the Same Purpose by Educational Institutions

OMB Circular A-110: Subpart C,   .27 Allowable costs

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For awards made prior to 12/26/14

2 CFR § 200.413
2 CFR § 200.430

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Administrative Responsibility: UNH Vice President for Research and Public Service

Effective date: July 1, 1995

Issue date: October 21, 1994, in "UNH Financial Management Compliance Policies and Procedures for Federally Funded Grants and Contracts"

Current revision issued and effective on December 26, 2014

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6.   Cost Sharing on Externally Sponsored Programs [ Changed. See UNH VIII.M ]

7.   Facilities and Administrative Costs Waivers on Externally Sponsored Programs

7.1   Background. UNH applies its federally-negotiated Facilities & Administrative (aka, indirect or overhead) cost rates to all externally-sponsored programs. These negotiated rates should be accepted by all Federal awarding agencies. However, some Federal agencies may use a rate different from the negotiated rate when required by Federal statute or regulation, or when approved by a Federal awarding agency based on a documented justification. UNH also recognizes that many non-profit foundations have policies either limiting or precluding the use of their funds for overhead expenses.

7.2    Definitions.

7.2.1   Facilities and Administrative ("F&A") costs are actual costs incurred for common or joint objectives which cannot be identified readily and specifically with a particular sponsored program. (See OMB Circular A-21 or 2 CFR 200 for awards made after 12/26/14). F&A costs include library use, student services, building operations and maintenance, building and equipment depreciation, departmental administrative assistance, general office supplies, and administration.

7.2.2   Waived F&A costs on a specific University of New Hampshire ("UNH") sponsored program represents an agreement that UNH will charge F&A Costs at a lower rate than the applicable negotiated rate. A lower rate than official sponsor-imposed limitations, or a smaller base against which to apply the applicable rate.

7.3  Policy

7.3.1   It is UNH policy to recover full costs on its sponsored programs, both direct and indirect (F&A). It is the program's Principal Investigator's responsibility to structure each proposal budget fully recover total costs. However, UNH recognizes that there are circumstances in which it is not possible to fully recover all costs.

7.3.2   A Federal awarding agency may use a rate different from the negotiated rate when required by Federal statute or regulation, or when approved by an agency based on documented justification. In these cases, UNH does not consider the foregone F&A costs to be waived. Information substantiating the allowable sponsor rate, amount, and/or base must be submitted to SPA as part of the completed proposal package.

7.3.3   Many non-profit foundations have policies that either limit or preclude the use of their funds for F&A expenses. Where a foundation has an official written and publicly disclosed policy in this regard that is applied on a consistent basis, or where they publicly solicit proposals subject to a defined limit on indirect cost recovery as a condition of the program, UNH will normally accept these requirements and not consider the foregone F&A costs to be waived. The foundation's policy statement or program solicitation must be submitted to SPA as part of the completed proposal package.

7.3.4   An F&A waiver must be approved prior to the submission of a proposal (1) when there is no published, sponsor-imposed policy or regulation limiting the F&A rate, amount, and/or base; or (2) when published policies exist, but UNH decides its interests are best served by foregoing part or all of the applicable F&A costs on a specific program or project. For example, a sponsor might require that UNH contribute some of its own funds to the program.

7.3.4.1   The authority to negotiate and approve waivers of F&A costs on individual programs or classes of programs rests with the Senior Vice Provost for Research ("SVPR"). The SVPR may delegate this authority in writing in part or in full to other UNH officers.

Approval of a F&A costs waiver in no way negates the prerogative of the principal investigator's dean/institute director/other authorized Yellow Sheet signatory from declining to approve submission to a prospective sponsor of a proposal that fails to meet other institutional criteria.

7.3.4.2  Waiver requests are initiated by the Principal Investigator and must be endorsed by their department chair and approved by the appropriate institute/center director or dean's office before being sent for approval to the SVPR. The decision whether to grant or deny a waiver is at the sole discretion of the SVPR. In determining the merits of such requests, the SVPR may take any or all of the following into consideration:

• The equity of granting the waiver when the projects of other Principal Investigators faculty carry full overhead;
• The total cost to UNH;
• The likelihood that an award would be seriously jeopardized without a waiver, and the potential effect of the loss on the principal investigator's overall research program;
• The benefit of the waiver to new principal investigators or in support of research efforts in new directions which otherwise might not be sufficiently developed to attract peer-reviewed awards; and
• The effect of a waiver to increase direct costs available for student support.

7.3.5   Approved F&A waiver forms become part of the official awarded proposal files maintained by the SPA for UNH and are available to auditors and other examiners of UNH sponsored programs records. The SVPR will maintain annual records of the amount of F&A foregone for those awarded proposals in which the F&A is waived in part or in full.

7.3.6   A residual balance left at the end of a fixed-price agreement will be used first to repay the F&A waiver if a waiver had been granted for the pertinent project.

7.3.7   When the F&A rate has increased between the submission of a proposal and the issuance of an award by a Federal agency, the F&A rate at the time of proposal, i.e. the lower rate, shall be used. When the F&A rate has decreased between the submission of a proposal and the issuance of an award by a Federal agency, the F&A rate at the time of award, i.e. the lower rate, shall be used.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.IV.C.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   This policy is intended to supplement and be consistent with USNH Financial and Administrative Procedure 8-007 which stipulates that expenses for spouses, partners, and families of USNH employees are generally not paid or reimbursed by USNH unless there is a "compelling business reason," the expense is reasonable and prudent, and prior written approval has been obtained from the campus CFO.

2.   UNH Defines a "compelling business reason" for spousal/partner reimbursement to encompass:

2.1   Official University events (held on or off campus) designed to honor one or more UNH employees on the occasion of a service milestone, retirement, promotion, or special award. In such cases, the costs associated with the spouse(s)/partner(s) of the invitee(s)/honoree(s) would be a legitimate University expense. An official event is one hosted by a person who is in a supervisory capacity relative to the invitee(s)/honoree(s).

2.2   Meals customarily associated with recruitment efforts where finalists are accompanied by their spouses/partners in the final stages of the process.

2.3   Travel and meals associated with advancement/alumni relations activities where the spouse/partner of the UNH employee is expected to perform as a co-host.

2.4   Travel and meals associated with a professional meeting that a UNH employee must attend and where the spouse/partner has an independent role on the meeting agenda. In this case, the spouse/partner should submit a separate travel expense report.

2.5   Meals hosted by the President for the purpose of advancement and alumni relations, town-gown relations, USNH relations, government relations, and/or faculty/staff/student morale.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.IV.D.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction. In the course of events a research university may be presented with new and varied opportunities to fulfill its mission to transfer the results of its research to the public. In the area of intellectual property advances, such opportunities may take the form of patents and copyrights and their transfer to external entities through research and development ("R&D") agreements, licenses, and sometimes new ventures known as "start-up" or "spin-out" companies.

This policy pertains to the decision making processes required during consideration of a new start-up company based on intellectual property held by the University; the transfer of intellectual property ownership to such a company in exchange for equity value; interactions with start-up companies during their formative phases; and finally, the decision by the University to divest itself of equity holdings in such companies.

2.   Policy Statement. New start-up companies may be formed by university faculty/staff inventors, members of the UNH administration, or by an independent party in consultation and agreement with the University. Resulting conflicts of interest and commitment presented to the faculty/staff inventor will be managed through stringent application of the USNH and UNH policies on conflict of interest. An oversight committee, appointed by the UNH President, will make business decisions regarding this technology transfer process. The oversight committee will also make recommendations to the UNH President regarding the timing of divestiture. Divestiture will occur when the earlier of the following occurs: a) the earliest date on or following the initial public offering (IPO) date in which the trading of the equity is not restricted by law or underwriting agreement; or b) the date that the company is acquired through merger, acquisition, or other tendered offer for UNH equity. Distribution of divestiture proceeds will follow the UNH Intellectual Property Policy.

3.   Administrative Infrastructure and Processes. Exhibit A depicts the sequence of events and decision criteria leading to a recommendation from the UNH Office of Intellectual Property Management (OIPM) to the UNH Vice President for Research and Public Service to form a new company based upon intellectual property held by the University. Any such recommendation will be based upon a carefully considered judgment that formation of a start-up company will provide the highest public benefit and the most timely transfer of the technology. Because a start-up company’s survival is tied to the development of the licensed technology, its effort is focused on that technology. As a result, a start-up company may represent the best opportunity for the development of the technology.

Receiving such a recommendation, the UNH Vice President for Research and Public Service will convene the Oversight Committee for Start-up Companies.

The Oversight Committee is a standing committee of the University comprised of the UNH Provost, the Vice President for Finance and Administration, the Vice President for Research and Public Service, and the Dean of the Whittemore School of Business and Economics; with the Director, OIPM, and the USNH General Counsel serving in advisory roles. The Committee will seek advice and counsel from the external community as appropriate.

The Oversight Committee will have responsibility for business decisions focused on promoting the success of the venture, and, with the relevant dean or director, personnel-related decisions designed to manage the likely conflicts of interest and commitment presented to the inventor. The UNH Policy on Financial Conflict of Interest in Research (UNH II.D) and the USNH Policy on Conflict of Interest (USY.V.D.7.1) shall apply to the relationship between the faculty/staff inventor, the University, and the potential new business venture, and all other aspects of this project, as set forth in those policies.

The Oversight Committee will use the same criteria depicted in Exhibit A to confirm the decision to license the technology to a start-up company. Following this review a recommendation will be made to the UNH President who will authorize the next appropriate action.

4.   Equity Received When Licensing Technology. Equity that represents a fair valuation of the technology may be accepted as a substitute for cash value when licensing UNH technologies. Equity serves as compensation to UNH when the start-up company has limited cash. The equity is viewed as a reasonable business solution to enhance the overall financial arrangement - acceptable to the company and its investors, while providing an opportunity for UNH to increase its potential return. The University's ownership percentage in the start-up company will be negotiated by the Director, OIPM, as directed by the Oversight Committee. The faculty/staff inventor may also be permitted to hold a separate equity position in a start-up venture, as recommended by the Oversight Committee and guided by the USNH/UNH policies on conflict of interest. Inventor(s) are responsible for all financial, tax, and legal consequences related to the equity they receive.

The equity will be held by the USNH Treasurer.

5.   Interactions with Start-up Company. UNH may hold a voting or non-voting membership on the start-up company's board of directors, as recommended by the Oversight Committee and agreed to by the company. Criteria for this decision will include the University's percentage of equity ownership and the relationship of the technology to the University's strategic directions. The faculty/staff inventor may serve as an officer, board member, or employee of the start-up company, as recommended by the Oversight Committee and under stringent adherence to the USNH/UNH conflict of interest policies.

6.   The Divestiture and Sale of Equity. UNH will strive to maximize its potential return on the technology. Liquidation of stock will be recommended to the UNH President by the Oversight Committee at the earlier of: a) the earliest date on or following the initial public offering date in which the trading of the equity is not restricted by law or underwriting agreement; or b) the date that the company is acquired through merger, acquisition, or other tendered offer for UNH equity.

7.   Distribution of the Proceeds of Divestiture. When stock in the start-up company is sold, the proceeds of the sale will be distributed according to the royalty sharing guidelines in the UNH Intellectual Property Policy (formerly VI-B-2.1). Before this distribution occurs, UNH will recover all costs directly associated with development of the technology, including patent protection, prosecution, and commercialization.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.V.B.5.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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5.   Discrimination and Discriminatory Harassment Policy, Interpretation, and Implementation Procedures

5.1   Preamble

5.1.1   The University of New Hampshire is committed to supporting and affirming the dignity of its members. Discrimination and discriminatory harassment (including sexual harassment) dishonor the academic community and create a circumstance in which full access to education and work is diminished or denied.

5.1.2   The University is committed to academic freedom as a value of the University, and is committed as well to the free and open exchange of ideas, active discourse, and critical debate. Accordingly, all members of the University of New Hampshire community have the right to hold and vigorously defend and promote their opinions. The exercise of this right may result in members of the community being exposed to ideas that they consider to be unorthodox, controversial, or even repugnant.

5.1.3   To enable members of the University community to act in ways consistent with these two commitments, this document sets forth three important components of the University of New Hampshire's position with regard to discrimination and discriminatory harassment: (1) a concise statement of policy; (2) assistance in interpreting that policy; and (3) procedures for implementing the policy.

5.2   Statement of Policy

5.2.1   It is the policy of the University of New Hampshire to uphold the constitutional rights of all members of the University community and to abide by all United States and New Hampshire State laws and University System of New Hampshire and University of New Hampshire policies applicable to discrimination and harassment.¹ In accordance with those laws and policies, all members of the UNH community will be responsible for maintaining a university environment that is free of discrimination and harassment based on race, color, religion, sex, age, national origin, sexual orientation, gender identity or expression, disability, genetic information, veteran status, marital status², or protective hairstyles.³ Therefore, no member of UNH may engage in discriminatory or harassing behavior within the jurisdiction of the university that unjustly interferes with any individual's required tasks, career opportunities, learning, or participation in university life.

5.3   Application of Policy

5.3.1   The University of New Hampshire Policy on Discrimination and Discriminatory Harassment covers all members of the UNH community, faculty, staff, and students. It applies to applicants for employment and admission to the extent provided by law. Regardless of the process used to investigate and adjudicate complaints, any complaint may be filed with the Civil Rights and Equity Office, and in many cases, complaints must be monitored by that office.

5.3.2   This policy covers the process for investigating and adjudicating complaints of discrimination or discriminatory harassment by any employee: faculty, staff, or administrator.

5.3.3   The process for adjudicating complaints of discrimination or discriminatory harassment where the responding party is a student is detailed in Article V: Discrimination and Discriminatory Harassment of the Student Code of Conduct.

5.3.4.  The process for responding to, investigating, and resolving reports and formal complaints of sexual misconduct where the responding party is a student is detailed in Article VI: Sexual Misconduct and Sexual Exploitation Policy of the Student Code of Conduct.

5.3.5   Complaints of discrimination or discriminatory harassment by graduate assistants in their role as instructors follow the process outlined in this policy, while complaints against them in their role as students follow the judicial process set forth in UNH Student Rights, Rules, and Responsibilities.

5.4   Interpretation of Policy

5.4.1   This policy covers acts of discrimination and discriminatory harassment (including sexual harassment) as established by cited federal and state laws or by USNH and University policy.

5.4.2   Discrimination refers to actions which may deny a member (or in some cases, a potential member) of the community employment, promotion, transfers, access to academic courses, housing, or other University benefits and entitlements due to a member’s protected class status.

5.4.3   Harassment may take the form of unwelcome sexual advances or other verbal or physical conduct of a sexual nature, graffiti, jokes, pranks, slurs, insults, threats, remarks made in the person's presence, interference with the person's work or academic life, vandalism, assignment of unpleasant duties, or even physical assault directed against any member of a protected class. Behavior is considered to be harassment when: (1) submission to or rejection of such behavior by an individual is used as a basis for employment or academic decisions affecting that individual; or (2) submission to such behavior is made either explicitly or implicitly a term or condition of an individual's employment or academic work; or (3) such behavior has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile or offensive environment.

5.4.4   Verbal or physical conduct directed at the complainant's protected class status is a consideration in the determination of discriminatory harassment. The University will consider the totality of the complaint and its circumstances, the private or public environment of the behavior, the intensity or severity of the actions, the pattern of behavior and the power relationship, if any, between the parties.

5.4.5   A single incident that creates a distractingly uncomfortable atmosphere on a given day may not constitute discriminatory harassment. However, even isolated or sporadic acts may constitute severe harassment. It is possible for a series of individual incidents, each minor in itself, to have the cumulative effect of becoming pervasively harassing behavior.

5.4.6   Discriminatory harassment does not include comments that are made in the classroom that are germane to the curriculum and a part of the exchange of competing ideas.

5.4.7   Factors to be weighed in the determination of discriminatory harassment include conduct that purposefully places or threatens to place another in fear of imminent bodily injury, and threatens to commit any crime against a person with a purpose to terrorize.

5.4.8   Unreasonable interference with an individual's participation in university life may be signified by responses such as (1) avoiding areas of the campus where the behavior in question typically takes place; (2) academic performance or work assignments becoming more difficult because of the behavior in question, including absenteeism; or (3) leaving a job, a class, or the University itself because of the behavior in question.

5.4.9   In determining whether discriminatory harassment exists, the University will evaluate the evidence from the standpoint of a reasonable person's reaction and perspective under the circumstances presented. The standard of evidence to be used to determine responsibility is the preponderance of the evidence standard. If there are any questions, the Director of the Civil Rights and Equity Office should be consulted to assist in determining whether the behavior may fit the legal proscription.

5.5   Illustrations of Discrimination and Discriminatory Harassment.

5.5.1   Discrimination may take many forms, and can include (among a very few examples): (1) in the hiring process, failure to consider a candidate because he is too old, or because she has a partner, or because he is transgender, or because of her religion, or because he is disabled yet can do the job, with or without an accommodation; (2) in the academic realm, failure to take students seriously in particular academic classes because of their gender, race, or national origin; or assignment of a lower grade to a qualified student with a learning disability because the student received academic adjustments or modifications; or (3) on the job, lack of acceptance by a supervisor of a woman in a construction trades position, or failure to promote a gay employee because of his sexual orientation.

5.5.2   Discriminatory Harassment. Every instance of alleged discriminatory harassment must be considered in the context of its specific and unique circumstances; however, the following are examples of behaviors that are likely to be judged to be harassing: Repeatedly directing racial, homophobic, or sexual epithets at an individual; hanging a noose in an African-American's work place or residence hall; painting a Nazi swastika on the door of a Jewish student, professor, or staff member; repeatedly sending unwelcome, sexually-explicit e-mail messages to another; surrounding with a group and taunting another student about his or her sexual orientation or religion; making unwelcome sexual propositions, especially by a person in a supervisory or instructor relationship; repeatedly telling derogatory gender- or ethnic-based jokes; displaying sexually suggestive objects or pictures in the workplace except as those items may be part of legitimate pedagogical pursuits; giving unwelcome hugs or repeatedly brushing or touching another's body; mimicking the manner of speech or movement of an individual with a disability, or interfering with that person’s necessary auxiliary aids or services  (e.g., interpreter, assistive service animal).

5.6   Procedures for Implementing Policy

5.6.1   Responsibilities. The Director of the Civil Rights and Equity Office is responsible for the monitoring of the policy, and has oversight of all processes that are covered by the policy (including the process for student misconduct involving discriminatory harassment). The Director is the Title IX Coordinator, and has special responsibility for actions regarding sex discrimination and sexual harassment in an institution of higher learning; pursuant to this Policy and in accordance with UNH Student Rights, Rules and Responsibilities, the Director has designated the Director of the UNH Community Standards Office to conduct specified functions of the Title IX Coordinator in addressing allegations of sexual harassment between UNH students. The Director of the Civil Rights and Equity Office (Title IX Coordinator) may also designate other appropriate administrators to perform duties that are described in this policy as responsibilities of the Title IX Coordinator. In addition, there are state legal requirements that any instance of sexual harassment of a student by an employee (faculty, administrator or staff) that comes to the attention of another employee must be reported; at UNH, reporting will be to the Director of the Civil Rights and Equity Office. The ADA Compliance Officer, whose position is located in the Civil Rights and Equity Office, is directly responsible for disability compliance, and monitors all such complaints and issues.

5.6.2   Support Resources. Members of the UNH community who believe they are being subjected to discriminatory practices or discriminatory harassment may want to seek advice and support from certain on-campus resources. These individuals/departments can provide complainants with information on the many options available. UNH may provide information and support whether or not a complainant chooses to seek formal or informal resolution. Any University community member, whether student, faculty, or staff, may always contact the Director of the Civil Rights and Equity Office with a discrimination or harassment complaint, including sexual harassment. The Sexual Harassment and Rape Prevention Program (SHARPP) offers assistance and confidential support 24 hours a day. Complainants are encouraged to seek support where they feel most comfortable. Other resources include:

• Academic Department Chair, or any College/School Dean or Associate Dean
• Chief Diversity Officer/Community, Equity, Diversity
• Community Standards Office
• Directors of Academic Counseling
  • UNH Durham
  • UNH Manchester
  • UNH Franklin Pierce School of Law
• Human Resources
• International Students and Scholars Office
• Psychological and Counseling Services (PACS)
• Student Accessibility Services (support services for students with disabilities)
• The Beauregard Center (working closely with underrepresented and ally students)
• University Police

The Director of the Civil Rights and Equity Office will offer supportive measures to both complainants and respondents. Supportive measures are non-disciplinary, non-punitive individualized services offered as appropriate, as reasonably available, and without fee or charge to the complainant or the respondent before or after the filing of a formal complaint⁴ or Title IX Formal Complaint or where no formal complaint or Title IX Formal Complaint has been filed. Such measures are designed to restore or preserve equal access to the university’s education program or activity without unreasonably burdening the other party, including measures designed to protect the safety of all parties or the university’s educational environment, or deter discriminatory harassment.

5.6.3   External Resources. At any time during the process, a complainant may also choose to consult with one or more of these external agencies: Equal Employment Opportunity Commission, the Office for Civil Rights, or the New Hampshire Commission for Human Rights. Since they have differing time limits for filing, which are in some cases dependent on filing with another agency, complainants are urged to obtain that information early in the process. The time limits for filing claims with these agencies generally run from the last date of unlawful harassment, not from the date that the complaint to UNH is resolved.

5.7   Filing and Resolution of Complaints Within UNH

5.7.1   The University not only has a strong commitment to maintaining learning and work environments free from discrimination and discriminatory harassment, it has a legal obligation to do so. Any members of the University community who believe that they are being discriminated against, or subjected to discriminatory harassment, and who want to take action, may address the complaint informally or through the formal process. In complaints in which a student is the respondent the process for adjudicating a complaint is detailed in UNH Student Rights, Rules & Responsibilities, but a complaint may always be filed initially with the Civil Rights and Equity Office. In any case, complainants are encouraged to seek advice and assistance from the Director of the Civil Rights and Equity Office, ADA Compliance Officer, or other resource person, and to tell a trusted friend, peer, or colleague about the behavior. It is always useful to document concerns, especially if a pattern of behavior exists. If the behavior poses a threat to safety or may be criminal, assistance should be sought immediately.

5.7.2   A support person who is a UNH employee or student (not an attorney) may accompany the complainant and the respondent in any of the complaint processes described. The support person should not be someone who may have a direct or indirect role in investigating a complaint, or in implementing or monitoring any proposed solution to the complaint. For example, a co-worker might be appropriate, but not a supervisor if the complainant or respondent is in that supervisor’s reporting chain.

5.7.3   Procedures for Responding to Sexual Violence, Sexual Harassment and Related Offenses. Legal requirements dictate special procedures that must be applied when UNH receives reports of violations of this policy that states a colorable claim of sexual harassment under Title IX. The Title IX procedures are detailed in UNH.V.B.6 of this policy.

5.8   Informal Complaint Process

5.8.1   This process, while not "formal" in terms of this policy, is not casual or taken less seriously. It is normally utilized when a complainant just wants the behavior to stop, and where an objective analysis reveals that a matter may be taken care of through informal and direct steps. UNH will not require or encourage waiver of the right to an investigation and adjudication of formal complaints, or require the parties to participate in an informal resolution process.

5.8.2   Direct (unassisted) action: The complainant may be comfortable resolving the problem directly with the person whose behavior is in question. This may be accomplished either through a one-on-one meeting, phone call, letter, or email, stating the complainant’s concerns. Whichever method is used, complainant should state why the behavior is offensive or inappropriate, how it makes the complainant feel, and include a request asking the offender to stop the behavior. Before doing this, the complainant is encouraged to seek advice from the Director of the Civil Rights and Equity Office, ADA Compliance Officer, or other resource person, and to tell a trusted friend, peer, or colleague about the behavior. A complainant is never required to confront the person believed to be discriminating or harassing, or to seek an unassisted resolution. 

5.8.3   Assisted action: A complainant who desires assistance in resolving the complaint may seek the assistance of a supervisor, manager, academic department chair, director, or dean of the department/college, the Director of the Civil Rights and Equity Office, the ADA Compliance Officer, or similar responsible person. This person will not play the role of complainant’s advocate, but rather, will assist in resolving the complaint informally. (Complainant’s support person may be part of this process.) The complainant will need to provide this person with a description of the offending behavior, its impact, and a hoped-for course of action and resolution. With complainant’s cooperation, it is this person's responsibility to ensure that the complaint is followed through and resolved. Most complaints are, in fact, resolved in this manner. For example, an employee might go to her supervisor for assistance, or a student to his Residence Hall Director. The responsible person should seek the assistance of the Director of the Civil Rights and Equity Office (or the ADA Compliance Officer in disability cases) if the complainant has not already done so. The responsible person will normally collect information regarding the behavior, and work with the respondent’s supervisor, chair, dean, or senior administrator to seek a solution. If that person is not able to do so, the Director of the Civil Rights and Equity Office should be contacted to arrange for the assistance of another responsible person, or to assist directly. All actions taken should be documented. Complainant and respondent may each use the assistance of a support person during this process. The Director of the Civil Rights and Equity Office or ADA Compliance Officer is available to assist in any case, and to provide information about the process to the complainant, the respondent, and to the responsible person. They may take primary responsibility for the case in some instances; they normally work with the responsible persons, the complainant, and the respondent, in any cases they are involved in.

5.8.4   Timelines and Outcomes. An informal complaint proceeding ordinarily should be concluded within three weeks from the beginning of informal process. The complainant must be advised of the outcome, and of action taken against the respondent (or as much as may be appropriately disclosed under confidential personnel or comparable policies). The complainant and respondent may always contact the Director of the Civil Rights and Equity Office or ADA Compliance Officer for information and explanation. A complaint file will be maintained in the Civil Rights and Equity Office.

5.9   Formal Complaint Process

5.9.1   Selecting Process. If an informal resolution is unsuccessful in stopping the discriminatory, harassing, or offensive behavior, or in reaching an appropriate solution, complainant may choose to pursue the complaint through the formal process. Information that is part of the informal resolution may become part of the University’s formal investigation of the complaint. Complainants are not required to first pursue complaints informally before filing formal complaints, and they may terminate the informal process and file a formal complaint at any time during the informal process.

5.9.2   Time Limits. Faculty and staff have up to sixty (60) calendar days following an incident to file a complaint with the Civil Rights and Equity Office. Student complaints must be submitted within twelve (12) months of the incident. In special circumstances, time limits may be waived by the Director of the Civil Rights and Equity Office, where doing so will best serve the purposes of this policy. The Director of the Civil Rights and Equity Office’s reasons for allowing the waiver will be conveyed in writing to both parties.

5.9.3   Step One: Intake. Complainant should meet directly with the Director of the Civil Rights and Equity Office, the ADA Compliance Officer, or with any resource person or department. Once contact has been made, the Civil Rights and Equity Office must be notified of the complaint. A support person may accompany the complainant.

5.9.4   Step Two: Preliminary Assessment. The Director of the Civil Rights and Equity Office will make a preliminary assessment about the behavior in question.

• If it is the assessment of the Director of the Civil Rights and Equity Office that the behavior does not meet the criteria defining discrimination and/or discriminatory harassment, and the complainant disputes that judgment, then the complainant should contact the President's Office. The President, or the President's designee, will review the complaint and determine whether or not the Director of the Civil Rights and Equity Office should conduct an investigation.
• If it is determined that discrimination and/or discriminatory harassment may have occurred, but the complainant does not wish to pursue the complaint further, the Director of the Civil Rights and Equity Office will take necessary action to protect the interests of the university and in accord with the respondent’s rights to due process. Any immediate measures that are needed to protect the complainant will be taken.
• If the assessment is that discrimination and/or discriminatory harassment may have occurred, and the complainant wishes to proceed with the complaint, the Director of the Civil Rights and Equity Office will oversee an investigation of the complaint.

5.9.5   Step Three: Investigation. The investigation will begin with the complainant submitting to the Civil Rights and Equity Office a written, signed formal complaint. Before informing the respondent of the complaint, the Director of the Civil Rights and Equity Office will notify the appropriate administrator who will be the decision-maker in the case; the decision-maker will be an employee at or above dean or director level who has supervisory responsibility for the respondent. The decision-maker must be free of bias or conflict of interest. The Director of the Civil Rights and Equity Office will provide both parties with a Notice of Allegations that includes a copy of the complainant's signed complaint. The Notice of Allegations will include a summary of available resources, the contact information for the Title IX Director, a link to this policy and a caution against retaliation. The Director of the Civil Rights and Equity Office or their designated investigator will then promptly interview the respondent. A support person may accompany the respondent. Thereafter, a reasonable effort will be made to investigate disputed facts of the case, using corroborating sources of information (including witnesses) identified by the complainant and the respondent. The Director of the Civil Rights and Equity Office will complete the investigation as promptly as is reasonably possible; while the amount of time that it will take to complete the investigation will depend on the particular circumstances, in most cases it will be completed within twenty (20) working days. Written, dated, confidential records will be maintained throughout the investigation.

5.9.6   Step Four: Agreed Resolution. Through discussion with the complainant and the respondent separately or together, the Director of the Civil Rights and Equity Office may be able to resolve the matter to the satisfaction of all persons involved. UNH will not require or encourage waiver of the right to an investigation and adjudication of formal complaints, or require the parties to agree to a resolution. If a resolution is reached, dated, written copies of the terms of the resolution shall be given to the complainant, the respondent, and the administrator at or above dean or director level who has supervisory responsibility for the respondent. A copy of the resolution should be kept in a file to be located in the Civil Rights and Equity Office, unless the resolution specifies otherwise.

5.9.7   Step Five: Adjudication. If a resolution is not possible, the Director of the Civil Rights and Equity Office must convey to both parties  a copy of the investigative report, prior to forwarding it to the appropriate administrator for action. The Director of the Civil Rights and Equity Office will provide investigative findings, a conclusion regarding the extent to which the complaint meets the criteria for discriminatory harassment, and a recommendation for action, to the administrator at or above dean or director level who has supervisory responsibility for the respondent. The administrator will then render judgment in the case. This judgment should be reached as promptly as is reasonably possible, and in most cases within ten (10) working days. The administrator must communicate the judgment in writing to the complainant, the respondent and the Director of the Civil Rights and Equity Office. The judgment will fall into one of two categories:  (1) Unfounded, i.e., in the informed judgment of the administrator, the offense did not meet the criteria of discriminatory harassment and/or the respondent did not commit the offense; or, (2) Founded, i.e., in the informed judgment of the administrator, the offense did meet the criteria for discriminatory harassment and was committed by the respondent. In this case, the administrator, with advice from the Director of the Civil Rights and Equity Office, will impose appropriate disciplinary sanctions, which may include but are not limited to an oral reprimand, a written reprimand, reassignment of duties, suspension with pay, suspension without pay, or termination.⁵

5.9.8   Step Six: Appeals. Appeals and actions on appeals. A respondent who is unsatisfied with the administrator's judgment and/or the imposed sanctions may grieve through the appropriate faculty or staff grievance procedures. A complainant who is unsatisfied with the administrator's judgment and/or imposed sanctions may, within ten (10) working days of receiving that judgment, appeal in writing to the next highest administrator. The administrator or designee will review all materials and make the final determination. That final determination will be made as promptly as is reasonably possible, in most cases within twenty (20) working days. The administrator must communicate the determination in writing to the complainant, the respondent and the Director of the Civil Rights and Equity Office.

5.10   Record Keeping, Reports and Confidentiality

5.10.1   Keeping and Destruction of Records. A confidential record of any complaint, informal or formal, including any resolution or sanctions, will be filed in the Civil Rights and Equity Office and retained for seven years, at which time it will be destroyed, providing there are not recurring incidents. Records include any audio or audiovisual recording or transcript, any appeal and the results therefrom, all supportive measures (and basis for denying any requested supportive measures).

5.10.2   Public Reports. All cases, including both founded and unfounded judgments [excluding information that would identify the parties involved] should be reported in summative, annual, public releases about the incidence of and institutional response to discriminatory harassment.

5.10.3   UNH will protect the confidentiality of harassment allegations to the extent possible, as required by law. An employer cannot guarantee complete confidentiality, since it cannot conduct an effective investigation without revealing certain information to the alleged harasser and potential witnesses. However, information about the allegation of harassment will be shared only with those who need to know about it.

5.11   Retaliation and False Complaints.

5.11.1   Reprisals or Retaliation. Any such action directed against any person bringing a complaint through this process, or against any person assisting or participating in an investigation, will not be tolerated, whether or not the complaint is ultimately judged to be consistent with the criteria determining discrimination or discriminatory harassment. Examples of retaliation include, but are not limited, to, assigning of inappropriately low grades, punitive change in work assignment, giving a lowered performance evaluation, or withholding of deserved support for promotion.

5.11.2   False Complaints or Statements. The bringing of capricious or reckless complaints, or providing any false statements or evidence will also not be tolerated.

5.11.3   Process. The university will pursue administrative action against both those found to have retaliated against any individual participating in the complaint process, and those who have made a false complaint or presented false statements or evidence.

5.12   Education

The Civil Rights and Equity Office, with the assistance of the Human Resources Office, the Community Standards Office, SHARPP and other University offices which may be designated, is responsible for ongoing educational efforts in the form of presentations, workshops, and focused discussions for students, faculty, and staff. This effort seeks to ensure that all parties in a potential complaint are aware of their rights, all members of the university community are aware of behavior that is proscribed by the policy, and all administrators are aware of the proper procedures for addressing complaints of violations of the policy.

6. Title IX Procedures

The Civil Rights and Equity Office, in collaboration with appropriate administrators, will apply the procedures in this Section 6 to address allegations that an employee of the university engaged in sexual harassment in violation of Title IX (34 C.F.R. 106), or that a graduate student engaged in such conduct in the course of performing an instructional role at UNH. Sexual harassment claims that are outside of the jurisdiction of Title IX (including claims that may fall under Title VII (29 C.F.R. 1606) will be addressed using the protocols otherwise set forth in the policy.

6.1   Protocols: The Title IX Coordinator may establish public protocols to guide the Civil Rights & Equity Office as it implements these procedures. The protocols will include rules of decorum and rules of evidence for hearings. The Title IX Coordinator may assign a designee to perform any of the duties that are ascribed to the Coordinator by this policy.

6.2   University Response and Definitions:

The University will respond promptly under Title IX when it has actual knowledge of sexual harassment in its education programs or activities against a person in the United States.

Educational Programs or Activities under Title IX includes locations, events, or circumstances over which the University exercises substantial control over both the respondent and the context in which the sexual harassment occurs, and also includes any building owned or controlled by a student organization that is officially recognized by a postsecondary institution.

Sexual harassment under Title IX means conduct on the basis of sex that satisfies one or more of the following:

(a)  An employee or graduate student conditioning the provision of an aid, benefit, or service of the university on an individual’s participation in unwelcome sexual conduct;

(b) Unwelcome conduct determined by a reasonable person to be so severe, pervasive, and objectively offensive that it effectively denies a person equal access to the university’s education program or activity; or

(c) ‘‘Sexual assault’’ as defined in 20 U.S.C. 1092(f)(6)(A)(v), ‘‘dating violence’’ as defined in 34 U.S.C. 12291(a)(10), ‘‘domestic violence’’ as defined in 34 U.S.C. 12291(a)(8), or ‘‘stalking’’ as defined in 34 U.S.C. 12291(a)(30).

6.3   Report and Disclosure: Any member of the University community and any person may report or disclose incidents of sexual discrimination or sexual harassment at any time in person, by mail, by telephone, or by electronic mail. The report or disclosure may be made to the Title IX Coordinator. Mandatory Reporters are required to report to the Title IX Coordinator all disclosures made to them alleging sexual harassment. Individuals are encouraged to report sexual harassment as soon as possible after the incident occurs to maximize the University’s ability to respond promptly and effectively. Prompt reporting allows the University to obtain the most reliable information, be able to contact relevant witnesses (if any), and provide reasonable assistance and supportive measures for affected parties. The University does not limit the time for reporting sexual harassment incidents or filing a report of violation, however, and in all cases, a decision will be made on existing facts to determine if an investigation and hearings are necessary to comply with the law and to serve the University community.

6.4   Outreach, Supportive Services, and Intake: When the Title IX Coordinator receives a report of sexual harassment they will offer information to the impacted individual about the right to make a Title IX Formal Complaint for a violation of the policy, to receive supportive services and to participate in an intake. If the reporting person is not the impacted individual, only the impacted individual may make a Title IX Formal Complaint; provided that in limited circumstances the Title IX Coordinator can sign a Title IX Formal Complaint as well. The Title IX Coordinator will notify other administrators and UNH police as required and to the extent permitted by law.

6.5   Title IX Formal Complaint: The Title IX Formal Complaint is a document filed and signed by the complainant (physical or digital signature, or signed by Title IX Coordinator) alleging sexual harassment against a respondent and requesting that UNH investigate the allegations of sexual harassment.

6.5.1   The Title IX Coordinator will review the Title IX Formal Complaint to determine whether the conduct alleged would constitute sexual harassment as defined in 34 C.F.R. §106.30. If the alleged conduct meets those requirements, it shall be processed as provided in this Section 6. If the conduct does not constitute sexual harassment under Title IX but otherwise alleges misconduct that would violate the policy (including alleged sexual harassment under Title VII), the complaint will be processed as otherwise provided in the policy under the Informal Process detailed in Section 5.8 or the Formal Processes detailed in Section 5.9.

6.5.2   The Title IX Coordinator will notify the complainant and the respondent of the results of the review conducted under section 6.5.1. The complainant or respondent may appeal the finding that the conduct alleged does not meet the requirements of 34 C.F.R §106.

6.6   Notice of Allegations: The Title IX Coordinator will provide all parties who are known with a notice of allegations that will include a copy of the Title IX Formal Complaint. The notice will state that the respondent is presumed not responsible for the alleged conduct until a determination regarding responsibility is made at the conclusion of the hearing process, and will include a summary of available resources, the contact information for the Title IX Coordinator, a link to this policy and a caution against retaliation or knowingly making false statements or submitting false information. The notice of allegations will provide the respondent with sufficient details known at the time and with sufficient time to prepare a response before any initial interview. Sufficient details include the identities of the parties involved in the incident, if known, the conduct allegedly constituting sexual harassment, and the date and location of the alleged incident, if known. The notice of allegations will inform the parties that they may have an advisor of their choice (who may be, but is not required to be, an attorney), and that they will be able to inspect and review evidence as provided in this Title IX process. The university will not limit the presence or choice of an advisor for either the complainant or respondent in any meeting or hearing, except: 1) only one advisor and one support person may accompany a party; and 2) the advisor and support person may not participate in any way except as specifically permitted in this policy or as required by law.

6.7   Investigation and Investigation Report: After completion of any appeal of the determination under section 6.5, the Title IX Coordinator will  appoint an investigator, who shall work under the direction of the Title IX Coordinator to complete a thorough, prompt, and impartial investigation. The investigator will be trained in their responsibilities under Title IX and this policy, and be free from conflicts of interest or bias.

6.7.1   Draft Investigative Report: The investigator shall prepare a written report of the investigation that fairly summarizes relevant evidence. The investigator shall provide an initial draft of the report to the Title IX Coordinator, who shall review the report for thoroughness and fairness. This draft shall be treated as a confidential document, subject to the governmental decision maker and other available legal privileges.

6.7.2   Review of Evidence and Comment Draft: The Title IX Coordinator shall provide a comment draft of the report to both the complainant and the respondent, and at the same time provide both parties with access to (or copies of) any evidence obtained as part of the investigation that is directly related to the allegations raised in a Title IX Formal Complaint. The parties will be provided with ten days to submit a written response containing suggestions to make the report more accurate. The investigator shall consider the written response(s) but is not required to accept any proposed change from either party.

6.7.3   Final Report: The investigator shall prepare a final investigative report and submit it to the Title IX Coordinator.

6.8   Report of Policy Violation: The Title IX Coordinator shall prepare a report of violation to be used to guide the parties to prepare for the hearing and to assist the decision-maker to understand the evidence presented at the hearing. The report of violation shall provide fair notice of the alleged facts and shall specify the provisions of this policy or other UNH or USNH policy that are alleged to have been violated. The report of violation, together with a copy of the final investigative report, shall be conveyed to the parties at least 10 days before the hearing. The report of violation will state that the respondent is presumed not responsible for the alleged conduct until a determination regarding responsibility is made at the conclusion of the hearing process.

6.9   Permissive Dismissal: UNH may dismiss the Title IX Formal Complaint or any allegations therein, if at any time during the investigation or hearing:

6.9.1   A complainant notifies the Title IX Coordinator in writing that the complainant would like to withdraw the Title IX Formal Complaint or any allegations therein;

6.9.2   The respondent is no longer enrolled or employed by UNH; or

6.9.3   Specific circumstances prevent UNH from gathering evidence sufficient to reach a determination as to the Title IX Formal Complaint or allegations therein.

6.10   Hearing Procedures: UNH will provide for a live hearing with the decision-maker to adjudicate policy violation involving sexual harassment as provided by Title IX. The decision-maker will be free of conflicts of interest or bias. Such violations shall be decided as other offenses under this policy, subject to the following adjustments.

6.10.1   The Title IX Coordinator will assign an advisor, free of charge, to both parties, although either party may at their own cost select a different advisor of their choice. Each advisor shall be aligned with one party and responsible for advising that party on preparing for the hearing, reviewing evidence, and conducting cross examination. The complainant and the respondent have a right to choose to bring their own legal counsel as an advisor; advisors may be present at any meeting or hearing. Legal counsel shall provide the Title IX Coordinator with 24 hours’ notice that counsel will be present at any hearing or meeting. University counsel may be present at any meeting or hearing as well. Advisors shall abide by the rules of decorum at every meeting or hearing and shall not disrupt any meeting or hearing.

6.10.2   The decision-maker will have been trained in their responsibilities under Title IX and this policy. The decision-maker will not be the same person as the Title IX Coordinator or the investigator.

6.10.3   The decision-maker will have an advisor to assist them to rule on the admissibility of evidence.

6.10.4   The complainant and the respondent have a right to have an advisor present at any meeting or hearing and to have access to appropriate advice about the hearing process. The parties must speak on their own behalf at hearings, except that only advisors (and not the parties themselves) may conduct cross examination of witnesses and the other party.

6.10.5   The Title IX Coordinator and the decision-maker shall assure that the complainant and respondent have the opportunity to present witnesses and argument, either in writing or in person as required, to reach a fair and accurate determination of the matter.

6.10.6   The Title IX Coordinator may conduct preliminary meetings separately with the complainant and respondent. The Title IX Coordinator may permit or require the parties to be in separate rooms or behind a screen during the hearing itself, and hearings may be held virtually, provided, however, that the respondent’s right of confrontation shall be given appropriate weight and protection in fashioning protections for the complainant.

6.10.7   The decision-maker will issue a written determination regarding responsibility The Title IX Coordinator will provide the written determination to the parties simultaneously. The determination regarding responsibility becomes final either on the date that UNH provides the parties with the written determination of the result of the appeal, if an appeal is filed, or if an appeal is not filed, the date on which an appeal would no longer be considered timely.

6.11   Appeal

6.11.1   Either party may appeal 1) a decision by the Title IX Coordinator to dismiss a Title IX Formal Complaint under section 6.5 or section 6.9; or 2) a responsibility determination by the decision-maker. Parties have ten (10) working days in which to file such an appeal. Both parties will have ten (10) working days following receipt of notice of appeal in which to submit a written statement in support of, or challenging, the outcome. Subject to extension for good cause, appeals will be decided within twenty (20) working days thereafter.

6.11.2   The Title IX Coordinator will notify both parties in writing when an appeal is filed and implement appeal procedures equally for both parties.

6.11.3   The decision-maker(s) for the appeal may not be 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 appellate decision-maker will issue a written decision describing the result of the appeal and the rational for the result. The Title IX Coordinator will provide the written decision simultaneously to both parties.

6.11.4   Basis for Appeal: An appeal can only be based on one or more of the following purposes:

6.11.4.1   Procedural Error: To determine whether the original hearing was conducted in conformity with the procedures contained in this policy.

6.11.4.2   Newly Available Evidence: To consider whether there is new evidence, sufficient to alter a decision, provided, however, that the evidence was not reasonably known to the person appealing at the time of the original hearing.

6.11.4.3   Legal error: To determine whether there was bias, conflict of interest or other legal error in the investigative or adjudicative process that a court would likely recognize as requiring a new hearing.

6.12   Informal Resolutions of Sexual Harassment Allegations

Informal resolution cannot be utilized when a student alleges sexual harassment by an employee. UNH may not offer an informal resolution process unless a Title IX Formal Complaint is filed. Subject to these limitations, at any time prior to reaching a determination regarding responsibility the Title IX Coordinator may facilitate an informal resolution process, such as mediation, that does not involve a full investigation and adjudication, provided that UNH:

(i) Provides to the parties 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 Title IX 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 Title IX Formal Complaint); and any consequences resulting from participating in the informal resolution process, including the records that will be maintained or could be shared; and

(ii) Obtains the parties’ voluntary, written consent to the informal resolution process.

6.13   Time Frames for Resolution: Any Title IX Formal Complaint will be investigated and adjudicated in a reasonably prompt time, generally 180 working days. Informal resolutions must be concluded in the same time frame as would apply to investigation and adjudication of a Title IX Formal Complaint. Temporary delay of the grievance process or the limited extension of time frames is permitted for good cause with written notice to the complainant and the respondent of the delay or extension and the reasons for the action. Just cause may include considerations such as the absence or unavailability of a party, a party’s advisor, or a witness; concurrent law enforcement activity; the need for language assistance or accommodation of disabilities.

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¹ This body of law incorporates federal and state statutes, agency regulations and guidelines, and any judicial opinions interpreting or applying those laws. Generally, discrimination and harassment complaints related to race, color, religion, age, sex, national origin, or sexual orientation, are addressed by Title VI and Title VII of the Civil Rights Act of 1964 and/or New Hampshire's Law Against Discrimination (RSA 354-A). Equal Employment Opportunity Commission (EEOC) regulations under Title VII and the Office for Civil Rights (OCR) regulations under Title IX of the Education Amendment of 1972 deal with sex discrimination and sexual harassment. EEOC and OCR also regulate Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990 to address complaints of physical, mental and learning disabilities. Discrimination complaints related to age are addressed by the Age Discrimination in Employment Act of 1967 and/or the Age Discrimination Act of 1975. Some categories are limited to employment, others to education, and still others are not included under Federal or State law or USNH policy. Any categories included in University policy are treated as protected categories.

² Familial status is subject to NH law, but only in regard to housing.

³ NH 275:37-e Discrimination Based on Protective Hairstyle (effective September 1, 2024):  “No person shall be subjected to discrimination in employment because he or she wears a protective hairstyle. In this section, “protective hairstyles” means hairstyles or hair type, including braids, locs, tight coils or curls, corn rows, Bantu knots, Afros, twists, and head wraps.”

⁴ “formal complaint” applies to section 5 of this policy and only addresses NON-Title IX Formal Complaints (see Section 6 for Title IX Formal Complaints and Title IX Procedures).

⁵ Special procedures are required if suspension without pay or termination is contemplated for a respondent who is a member of the faculty collective bargaining unit (see collective bargaining agreement).

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.V.C.5.16.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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5.16   Postdoctoral Appointments

5.16.1   Definition. Postdoctoral appointees are pre-professionals who hold the Ph.D., M.D., or equivalent degree and come to the University for a limited period under the guidance of a University faculty mentor to further their professional development by engaging in independent or original research or teaching, or an advanced training program. The University uses three types of postdoctoral appointments: Postdoctoral Research or Teaching Associate, NIH Postdoctoral Trainee, and Postdoctoral Fellow.

5.16.1.1   Postdoctoral Research or Teaching Associates conduct research or teaching as University employees on grants from external sponsors to the University based on proposals from the University faculty mentor. Typically, the grant is charged for the postdoctoral appointee's salary and health benefits.

5.16.1.2   NIH Postdoctoral Trainees are recruited by the University faculty mentor who has written a proposal resulting in a National Research Service Award (NRSA) institutional training grant award from NIH to the University. The grant is charged directly for the trainee's stipend and a sponsor-determined percentage of related training costs and allowable health benefits. NIH policy mandates that trainees must not be considered University employees.

5.16.1.3   Postdoctoral Fellows are recipients of their own research or teaching awards from an external sponsor after having secured a University faculty mentor. Fellows' stipends are typically paid directly to the fellows. When sponsor financial allowances are provided to the host institution, such allowances cover costs related to the research or teaching, such as equipment, supplies, and administrative support. Fellows are not University employees. However, if a fellow elects to receive his/her stipend through the University, he/she will be appointed as a postdoctoral research or teaching associate.

5.16.2   Advertising. For postdoctoral appointees who will receive salary or stipend through the University, the hiring unit in consultation with the Human Resources Office will post the position in the recruiting system for the purpose of formal tracking, EEO reporting and increasing the potential of diverse applicants.

5.16.3   Appointment Process. The University college/school dean makes the postdoctoral appointments based on recommendations of the faculty mentor. Appointment letters must include the basic appointment terms such as appointment period (see below), salary or stipend level, benefits information, and other applicable information pertaining to the specific appointment. An appointment extension is documented by a new letter from the dean to the appointee, with the pertinent information included. The faculty mentor must co-sign all appointment correspondence.

5.16.4   Appointment period. Postdoctoral appointments are full time and are made for a minimum of the equivalent of one academic or fiscal year up to a maximum of three years. At the recommendation of the faculty mentor and with the dean's concurrence, appointments can be extended under special circumstances to a maximum total of five years.

5.16.5   Salary/Stipend, Initial. There is no University wage scale for postdoctoral appointees. The University faculty mentor is expected to recommend an initial salary that is competitive for the appointee's discipline and, where applicable, appropriate for the grant to be charged. For postdoctoral trainees, the NIH NRSA stipend schedule must be followed. The initial salary/stipend must be specified in the appointment letter. (See Appointment Process above)

5.16.5.1   Salary Increase Process. Postdoctoral research and teaching associates are eligible to participate in the University's annual salary increase process. The faculty mentor recommends the amount of the salary increases consistent with UNH salary increase and external sponsor guidelines.

5.16.5.2   Years of Service. If a postdoctoral research or teaching associate converts to a USNH faculty or staff position, years served during the postdoctoral appointment period will be counted towards USNH years of status service for purposes of employee benefits, recognition programs, and other similar employee programs.

5.16.6   Benefits

5.16.6.1   Postdoctoral Research or Teaching Associate

5.16.6.1.1   Benefits – Postdoctoral Research and Teaching Associates are provided the same benefits as status, non-union employees found at USY.V.A.4. The employer share of benefits costs is provided through charging the grant supporting the postdoctoral appointee’s salary.

5.16.6.2.   NIH Postdoctoral Trainee. Ineligible to participate in the USNH health benefits program, trainees nevertheless are required to have medical coverage during their appointment periods. Medical insurance costs from private carriers will be reimbursed by the applicable NIH training grant to the University to the extent such costs are allowable by the NIH. Trainees are responsible for their own dental costs.

5.16.6.3   Postdoctoral Fellows. Ineligible to participate in the USNH health benefits program, fellows are personally responsible for medical insurance coverage. Costs for private carrier medical coverage may be reimbursed by the applicable grant to the extent such costs are allowable by the sponsor. Fellows are responsible for their own dental costs.

5.16.7   Complaint Process. Appointees should contact the Human Resources Office for alleged violations of USNH Board of Trustees, USNH, or University policies and/or federal or state laws.

5.16.8   Performance Review. Annual written performance reviews will be conducted by each appointee's University faculty mentor. Copies of the reviews will be provided to the appointee and to the dean.

5.16.9   Privileges. All postdoctoral appointees are provided with a University identification card that entitles the appointees to use the library and other facilities; obtain a parking permit at the employee staff rate; receive University employee discounts on equipment/supplies to be used in connection with the research, teaching, or training program; and other privileges generally available to University identification cardholders.

5.16.10   Responsibilities. Postdoctoral appointee responsibilities include but are not limited to conscientious discharge of research and/or teaching responsibilities; conformity with ethical standards in research or teaching; compliance with good laboratory practice, where applicable, including maintenance of adequate research records; where applicable, observation of University standards for use of sensitive/hazardous materials or involvement of vertebrate animals or human subjects; open and timely discussion, when applicable, with the University faculty mentor regarding possession or distribution of materials, reagents, or records belonging to the mentor's laboratory, and any proposed disclosure of findings or techniques privately or in publications; collegial conduct; and compliance with all applicable University policies.

5.16.11   Termination. The postdoctoral appointee's University faculty mentor may recommend termination of appointment during the appointment period for reasons of performance, unexpected cessation of funding by sponsor, or other reasons specified in USY V.C.9 Termination. A notice of 60 days must be provided to the appointee. Notice of termination must be in writing by the dean and co-signed by the faculty mentor, and specify the termination period. Salary/stipend and benefits will cease at termination.

6.   Appointment of Clinical Faculty

6.1   Definition: Clinical faculty have specialized training and experience in a professional field. It is expected that clinical faculty have expertise in three areas: direct services to clients, supervision and teaching in a clinical or practice setting, and service.

6.2   Appointment procedure: Individuals with recognized excellence as clinicians and teachers are eligible for appointments in the clinical faculty track. Appointments are made at three faculty levels: Clinical Assistant Professor, Clinical Associate Professor, and Clinical Professor.

6.2.1   UNH Advertising and Affirmative Action policies must be followed in appointing Clinical Faculty. Appointments may be full-time or part-time and are always made to an existing academic department or program. Appointments require approval based on the by-laws in that department or program and a positive recommendation from the appropriate dean(s). Such individuals are granted academic rank within the department or program by the Provost. Appointments are for a one to five-year term, renewable.

6.2.2   The Dean recommending an appointment will forward the following materials to the Provost:

6.2.2.1   A letter signed by the department chairperson or program director indicating that the candidate meets the criteria outlined below and favor the appointment at the rank specified, and appointment period; and

6.2.2.2   A written recommendation by the appropriate college dean(s)

6.3   Criteria

6.3.1   A Clinical Assistant Professor shall have completed a terminal degree appropriate for his/her field and shall have successful teaching or other relevant experience. A Clinical Assistant Professor will hold current licensure/certification as appropriate to the field and have significant professional experience post master's degree in the appropriate field.

6.3.2   A Clinical Associate Professor shall have attained a terminal degree, have had several years of successful teaching or other relevant experience, and shall have shown evidence of professional leadership and scholarly activity. A Clinical Associate Professor will hold current licensure/certification as appropriate to the field.

6.3.3   A Clinical Professor shall have a background of successful teaching, marked by the perspective of maturity and experience, and some outstanding creative attribute recognizable in the professional and academic world as a special asset to the University. A Clinical Professor will hold current licensure/certification as appropriate to the field.

6.4   Responsibilities and Privileges

6.4.1   Clinical faculty are responsible for providing direct service to patients or clients, training and supervising students, and/or coordinating student field experiences/internships. Their primary function is to help baccalaureate and/or graduate students acquire clinical skills needed in a professional environment. Clinical Faculty are considered to be faculty, but they do not occupy tenure-track faculty positions. Clinical faculty may be eligible for appointment to the Graduate Faculty.

6.4.2   Clinical Faculty are not eligible for sabbatical leave or tenure. Voting rights of Clinical Faculty within a department or program are determined by the by-laws of that unit. Clinical Faculty otherwise have ordinary faculty privileges (library, parking, etc.). They are eligible for benefits in keeping with established Board of Trustees policy.

6.4.3   Promotion recommendation for Clinical Faculty follow University Promotion and Tenure policy except that the evaluation of the candidate is limited to accomplishments in direct services to clients, supervision and teaching in a clinical or practice setting, and service as defined in this policy statement.

6.5   Review

6.5.1   Annual written reviews are prepared by the department chair or program director. It is expected that the review will justify the need for reappointment, and will summarize the candidate's strengths and accomplishments in her/his current position in relation to clinical contributions, teaching, and service.

7.   Appointment of Extension Faculty

7.1   Definition: Extension Faculty have specialized training and experience in an academic discipline. These individuals are responsible for providing disciplinary expertise and educational curriculum for Cooperative Extension outreach programs. In addition to disciplinary expertise, Extension Faculty have proficiency in program development and evaluation, group process and facilitation and leadership development.

7.2   Appointment Procedure: Individuals are eligible for appointments in the extension faculty track when the appointment is within an academic department/program. Appointments are made at four faculty levels: Extension Instructor and Extension Specialist, Extension Assistant Professor and Extension Specialist, Extension Associate Professor and Extension Specialist, and Extension Professor and Extension Specialist. Appointments without an academic affiliation will be classified as Extension Specialists.

7.2.1   UNH advertising and Affirmative Action policies are consistently followed in the appointment of Extension Faculty. Appointments may be full-time or part-time and are always made to an existing academic department or program. Appointments require approval based on the by-laws in that department or program and a positive recommendation from the appropriate dean and the Dean and Director of Cooperative Extension. Such individuals are granted academic rank within the department or program by the Provost. Appointments are for a one to five year term, renewable. All appointments will follow an extensive search and interview process led by a search committee. Search committee membership and candidate interviews include department chairs and faculty as appropriate.

7.2.2   The Dean and Director of Cooperative Extension shall forward the following materials to the Provost when recommending an appointment:

7.2.2.1   A letter signed by the department chairperson or program director indicating that the candidate meets the criteria outlined below and favor the appointment at the rank specified and appointment period

7.2.2.2   A written recommendation by the appropriate college dean

7.2.2.3   A written recommendation by the Dean and Director of Cooperative Extension

7.3   Criteria

7.3.1   A master's degree and extensive training and experience are minimum requirements for Extension Faculty. A doctorate is preferred. Also required is evidence of a high level of ability to identify needs, establish program priorities and educational objectives, and to design, conduct and evaluate both disciplinary and interdisciplinary programs. Extension Faculty must also have acquired recognition for their disciplinary leadership and competence, and maintain expertise through appropriate professional development and professional association activities.

7.4   Responsibilities and Privileges

7.4.1   Extension Faculty are responsible for providing the disciplinary expertise and statewide leadership for educational outreach programs conducted by Cooperative Extension staff located in all ten New Hampshire counties. Some have direct contact with clientele through group teaching or individual consultation to address specific needs or problems. Other responsibilities include conducting training for both paid and volunteer staff; producing educational curricula, publications and teaching materials; and working collaboratively with colleagues in other states to address problems or needs of the region.

7.4.2   Extension Faculty are not eligible for sabbatical leave or tenure. Voting rights of Extension Faculty in a department or program are determined by the bylaws of the department/program. Extension Faculty otherwise have ordinary faculty privileges (library, parking, etc.). They are eligible for benefits in keeping with established Board of Trustees policy.

7.4.3   Promotion recommendations and procedures for Extension Faculty follow the Extension Educator Ranking System promotion guidelines, overseen by the Extension Educator Promotion Committee. Promotion is based on program planning and implementation accomplishments, disciplinary competence, professional development, and leadership achievements.

7.5   Review

7.5.1   Annual written performance reviews are conducted annually by the appropriate Cooperative Extension Program Leader and the Dean and Director of Cooperative Extension. This is done in consultation with the appropriate department chair and college/school dean. These annual reviews highlight strengths and accomplishments, justification for reappointment, and performance enhancement or professional development.

8.   Appointment of Research Faculty

8.1   Definition: Research Faculty (Research Assistant Professor, Research Associate Professor, Research Professor) are those who have research as their principal assignment. Research faculty are typically supported by a variety of mechanisms (internal and external sources); however, the majority of salary support is derived from grant and contract funds obtained by the research faculty member. Research Faculty are not eligible for tenure.

8.2   Appointment Procedure. Affirmative Action policies are followed in appointing Research Faculty. Unless the person to be appointed is either a prominent scientist who will be the project director of the external grant or contract, or already an employee of the University, advertising and competitive selection is required.

8.2.1   Appointments may be full-time or part-time for a 9 month academic year (AY) or 12 month fiscal year (FY) and are normally made to an existing department. They require the approval of the faculty in that department in accordance with their bylaws and the concurrence of the appropriate dean(s), the Senior Vice Provost for Research and the Provost. Such individuals are granted academic rank within the department or program by the President upon recommendation of the Provost.

8.2.1.1   Appointment Options. In consultation with and approval from the Dean and/or Director of University Institute, Research Faculty may select an appointment period once every three (3) years. This limitation lends stability to both the faculty member and to his/her department or center, and reduces the administrative overhead involved in changing appointments. Research faculty who choose a fiscal year appointment will follow PAT guidelines for accrual, use, and tracking of annual and sick leave. Accrued vacation time must be used prior to the end of the Fiscal Year appointment.

8.2.2   When recommending an appointment, the following materials are to be forwarded to the Provost:

8.2.2.1   A letter signed by the department chairperson (or other unit director in the event that the appointment is not proposed within an academic department) indicating that a majority of the faculty in the department agree that the candidate meets the criteria outlined below and favor the appointment at the rank specified;

8.2.2.2   Specific recommendations by the appropriate college dean(s) and the Vice Provost for Research.

8.2.3   Appointments are renewed annually for Research Assistant Professors and may be renewed up to five years for senior faculty. They may be renewed only if continued external funding is assured.

8.3   Criteria

8.3.1   The three ranks of Research Assistant Professor, Research Associate Professor, and Research Professor parallel their tenure-track counterparts. However, research is the primary focus of the candidate.

8.3.1.1   A Research Assistant Professor shall have completed formal advanced study appropriate to his/her field and shall have demonstrated success in carrying out externally funded research, be capable of advising graduate students, and provide some service to the University and profession.

8.3.1.2   A Research Associate Professor shall have completed formal advanced study, had several years of successful research experience, and have shown clear evidence of his/her ability to conceive and perform independent research and to obtain external funding for his/her research, supported and advised graduate students, and provide some service to the University and profession.

8.3.1.3   A Research Professor shall have a background of successful research, marked by maturity and experience that has earned him/her a national/international reputation in the field. The candidate will have supported and advised graduate students and provided some service to the University and profession.

8.4   Responsibilities and Privileges

8.4.1   Research Faculty may fulfill some teaching and/or service responsibilities. However, research must remain the principal duty of the faculty member. Research Faculty may serve as directors of graduate student research and may serve on thesis committees.

8.4.2   Research Faculty are not eligible for service in the Faculty Senate, nor are they eligible for sabbatical leave or tenure. Voting rights of Research Faculty within a department or program are determined by the bylaws of the department, institute, or center. Research Faculty otherwise have ordinary faculty privileges (library, parking, etc.). They are eligible for benefits in keeping with established Board of Trustees policy.

8.4.3   Annual written reviews are prepared by the department chairperson, program director, institute or center director who also makes the initial recommendation for salary adjustment. Promotion recommendations for Research Faculty follow University Promotion and Tenure policy except that evaluation of the candidate is limited to accomplishments in research and scholarly activity. An appropriate format for promotion recommendations is provided by the Provost in consultation with the Vice Provost for Research.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.V.D.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Fast and Impartial Resolution (FAIR) Complaint and Grievance Process

1.1   Overview: The Fast and Impartial Resolution (FAIR) procedures represent two distinct but related processes established for the purpose of resolving work-related problems and/or misunderstandings. A complaint is an expression of dissatisfaction or concern related to a workplace situation whereas a grievance is a written statement alleging a violation of University, University System or Board of Trustees policy.  The FAIR Complaint and Grievance policy is intended to assist with the prompt consideration and resolution of issues brought forth under this policy.

1.2   Common Attributes of FAIR

1.2.1   Eligibility: A complaint or grievance may be filed by any status faculty or staff member who is not part of a bargaining unit or an Executive Officer. Staff members in the initial introductory period of employment are excluded from using the grievance procedure to appeal termination of employment for inability to meet the requirements of the position.

1.2.2   Definition:

1.2.2.1   A complaint is an expression of dissatisfaction or concern related to a workplace situation. It does not encompass appeals to administrative processes such as classification, salary increases, issues of merit, nor does it apply to discrimination, harassment or termination of employment, as other processes are available for such issues. A complaint may be filed with Human Resources to address inappropriate workplace behavior, whether by verbal or physical behavior or electronic means, which is conducted by one or more persons against another or others that is harmful or inhibits their accomplishment of work or inclusion as members of the university community. It may include abuse of power. These behaviors may result in disciplinary actions, including termination. Examples of such conduct, which may, if continued or repeated, constitute inappropriate workplace behavior may include, but are not limited to:

• Spreading rumors, hurtful gossip or innuendo
• Yelling, public reprimands, name-calling, mocking, insulting or ridiculing
• Unwanted physical contact or physical gestures that intimidate or threaten
• Taking credit for another’s work
• Withholding information and/or resources essential to perform one’s job
• Ignoring a coworker such that the coworker is unable to perform their job
• Ostracism, isolation, humiliation, dissociation or exclusion from others

1.2.2.2   A grievance is a written statement alleging a violation of University, University System or Board of Trustees policy. The grievance procedure shall not be used to review the substantive merits of an administrative judgment, evaluation, or other discretionary act of decision, except as may be necessary when a violation of a nondiscrimination policy is alleged.

1.2.3   Time Requirements: Employees shall complete a FAIR Notice Form and file it with Human Resources by 4:30 p.m. of the 10th calendar day from the day on which the employee became aware of the action which caused the complaint or the alleged policy violation. Human Resources shall acknowledge receipt of a complaint or grievance within 5 work days.

1.2.4   Employee Rights: The filing of a complaint or grievance shall not affect the employee's rights to seek any remedy which may be available in an external forum and does not postpone any deadlines for pursuing such remedies.

1.2.5   Third Party: The employee may be assisted by a third party that is a status employee of the University and not an attorney.

1.2.6   Witnesses: The employee may invite participation of witnesses who have direct knowledge or have participated in the issue. Participation of character witnesses is usually not appropriate in this process.

1.2.7   Coordination: Human Resources will coordinate the FAIR process and act as a resource to all parties involved.

1.2.8   Records: The documentation resulting from the formal process, including each step of the grievance process, shall be kept in confidential Human Resources files, separate from the employee's personnel file. Such files will be kept for at least three years after the termination or retirement of the employee.

1.2.9   Remedies: Any complaint remedy, which conforms to the intent of the policy and has been reviewed by Human Resources, is possible. Grievance remedies are limited to those necessary to bring the grieved action into compliance with the violated policy.

1.3   Step I FAIR Process

1.3.1   Employees should first meet with their supervisor or the individual with whom they have a complaint and try to resolve the issue informally. If the issue remains unresolved, or if the employee believes it is inappropriate to address the complaint informally, he/she should contact Human Resources.

1.3.2   Human Resources will consider the nature of the issue and provide information and guidance on FAIR options. The University encourages the use of the facilitation option to resolve issues. The facilitation meeting brings together the people involved in the complaint in a neutral environment and seeks a mutually agreed upon resolution. Other options include, but are not limited to, discussion with supervisor, investigation of the facts and mediation.

1.3.3   Human Resources will seek to implement the option selected by the employee within five calendar days of receiving the completed FAIR Notice Form within the established time frame stated in UNH V.D.1.2.3. Completion of the FAIR Notice Form helps to define the issue or issues of concern to the employee and facilitates communication between those involved with the complaint or grievance.

1.3.4   Human Resources will act as a resource to all parties involved. This assistance may include providing mediation, conflict resolution services, information gathering, document collection, copying, release time for witnesses, or other assistance deemed appropriate.

1.3.5   All meetings, as part of this procedure, shall be non-adversarial, and all parties will extend serious consideration to the views of all involved in an attempt to reach a mutually acceptable resolution. Resolution will be in written form, non-precedent setting and as confidential as appropriate to the circumstances as determined by the University.

1.3.6   If the issue remains unresolved at the end of Step I, it may proceed to Step II if Human Resources determines that the issue is grievable and the employee decides to continue the process. Human Resources will notify the employee of the option to proceed to Step II and the time requirements to do so.

1.4   Step II FAIR Process

1.4.1   The Step II process is available to employees who are grieving termination, continuing their complaint after completion of Step I, or grieving through the harassment policy. Identifying the harassment policy will first be forwarded to the Affirmative Action and Equity Office for a preliminary investigation and those results will be submitted into any grievance hearing. The employee may continue complaint to Step II, or grievance of termination of employment with written notification to Human Resources. A FAIR notice form for Step II must be completed by the employee and must be received by 4:30 p.m. of the fifth calendar day after the end of Step I. Time requirements for termination of employment are as stated in UNH V.D.1.2.3.

1.4.2   The Step II grievance will be heard by a Peer Review Panel unless the employee requests that the President (or President's designee) hear the grievance directly and the President agrees to the request. The employee can indicate their preference for who hears the grievance on the FAIR form or communicate it to Human Resources within 5 days of submitting the form. If the employee requests a hearing by the President and the President agrees to the request, he/she will notify the employee.

1.4.3   Hearing: The Step II hearing will be scheduled within 10 calendar days from receipt of the employee's completed FAIR notice form unless there are unavoidable delays approved by Human Resources or agreed to by mutual consent of the grievant and the University.

1.4.4   President/Designee: The employee will present the grievance directly to the President or designee who will in turn determine the hearing procedures, time limits and overall format. If hearing the grievance directly, the President's decision is final.

1.4.5   Peer Review Panel: The Peer Review Panel consists of three status University employees, one of whom may be the same occupational type as the grievant, and one may be the same occupational type as the respondent. Each party to the grievance may waive the occupational type option for themselves. If the respondent is an Executive Officer or Academic Administrator, the panel member need only have a supervisory responsibility.

1.4.5.1   The Peer Review Panel will be chosen from a list of employees administered by Human Resources. Human Resources oversees the hearing procedures including, but not limited to, training the panel, method of hearing witnesses, time limits and overall format.

1.4.5.2   The Peer Review Panel will determine whether or not a policy violation occurred.

1.4.5.3   Within five calendar days of hearing the grievance, the panel will make a recommendation to the President. The decision will be by majority vote.

1.5   Decision of the President. When the President has not personally heard the grievance, the President shall receive the recommendation of the Peer Review Panel or designee and make a decision on the employee grievance. The President may accept or reject the recommendation in whole or in part or request additional information. Normally within five calendar days of the President receiving the recommendation or hearing the grievance, the President will make a decision and notify the grievant and other parties involved of the decision. The President's decision is final.

1.5.1   Exception. If the President is named as a party in a grievance see USY V.D.12.4.1.7.1.

1.6   An employee who is grieving a termination may be placed on leave of absence without pay during the time involved in processing the grievance if necessary time exceeds notice period. Under such circumstances, USNH shall continue its benefits contributions for up to ninety (90) days for a member of the Operating Staff and for up to one hundred and twenty (120) days for a member of the PAT, Extension Educator or Academic Administrator unless otherwise stated by collective bargaining contract or Faculty Handbook. Normal notice periods shall apply in cases of termination. See USY V.C.9.8.5.

3.   Safety

3.5   Excessive heat guidelines. When it has been determined by the UNH Department of Environmental Health and Safety that the Wet Bulb Globe Temperature has exceeded the Permissible Heat Exposure Threshold Limit Value (TLV), the Director of EHS will inform the President or his/her designee, and the following guidelines will be in effect. All faculty, staff, students and guests attending University of New Hampshire sponsored camps and/or other outdoor activities as well as those sponsoring such programs are advised to use caution.

3.5.1   Outdoor activities. Activity should be modified to either be inside or in a shaded area, and schedules may also be modified. If this is not possible, staff and others should be required to take frequent breaks and remain well hydrated. The American Conference of Governmental Industrial Hygienists has made the following recommendations: For activity requiring heavy or moderate exertion individuals should be on a 25% work/75% rest regimen each hour and for work requiring light exertion individuals should be on a 50% work/50% rest regimen each hour.

3.5.2   Indoor activities. For staff and others active in areas without air conditioning, the temperature and humidity in individual offices will vary as will individual tolerances for heat. Supervisors may consider relocation to an air conditioned area if available such as Dimond Library; staff may work from home if practical or may be released for the remainder of the day.

3.5.3   General information. In both of the above instances supervisors are free and encouraged to send staff home with pay if their work environment has reached intolerable and unhealthy levels due to excessive heat. Staff will not be required to use leave time/earned time in this instance.

3.5.3.1   If excessive heat is declared, it will be communicated through the UNH Alert System.

4.   UNH Tobacco-,Smoke-, & Nicotine-Free Policy

4.1   Preamble. The University of New Hampshire (UNH) joins with the American College Health Association (ACHA) and more than 2000 institutions of higher education in supporting the findings of the Surgeon General that tobacco use in any form, active and passive, is a significant health hazard. UNH further recognizes that environmental tobacco has been classified as a Group A carcinogen by the United States Environmental Protection Agency. Considering these health risks, UNH hereby adopts a tobacco policy that is committed to a tobacco, smoking, and nicotine-free campus and prevention, reduction, and cessation actions as they pertain to tobacco, smoking, and nicotine (TSN) use issues.

UNH supports the health goals of the U.S. Public Health Service (USPHS) to reduce the proportion of adults who consume TSN products, and to positively influence our community by helping people remain or become TSN-free. Efforts to promote a TSN-free environment have led to substantial reductions in the number of people who consume these products, the amount of these products consumed, and the number of people exposed to environmental harms associated with use. At the same time, the simple message of “smoke-free” can sometimes be misinterpreted to mean “smoker-free” or “anti-smoker.” Our intent is to institute a policy that respects the rights of people who smoke and who do not. We acknowledge the Centers for Disease Control and Prevention (CDC) statistics that an estimated 32 million people who smoke (about 70% of all people who smoke) report that they want to quit smoking completely. We recognize that the implementation of a 100% TSN-free policy will have an immediate effect on our campuses, and therefore have included prevention, education, and cessation initiatives to support the non-use of tobacco products.

4.2   Policy. In order to protect the health, safety and comfort of University students, faculty and other academic appointees, staff, and visitors, and consistent with state law (RSA 155:64-77), the University of New Hampshire is committed to a policy of prohibiting the use of tobacco products, including, but not limited to: cigarettes (clove cigarettes, bidis, kreteks), electronic nicotine delivery system (ENDS, vaping), cigars and cigarillos, hookah-smoked products or any lighted or heated tobacco and nicotine products, and non-combustible tobacco products (dip, chew, tobacco substitutes) in facilities and on grounds owned and occupied or leased and occupied by the University (including UNH Manchester & UNH Law). In addition, UNH supports education programs to provide prevention and cessation initiatives to our students, faculty and other academic appointees and staff. This policy supersedes all other TSN policies at UNH.

4.2.1   Definitions

4.2.1.1   “Tobacco Product” means any substance containing tobacco leaf, including but not limited to, cigarettes, cigars, pipe tobacco, hookah tobacco, snuff, chewing tobacco, dipping tobacco, bidis, blunts, clove cigarettes, or any other preparation of tobacco; and any product or formulation of matter containing biologically active amounts of nicotine that is manufactured, sold, offered for sale, or otherwise distributed with the expectation that the product or matter will be introduced into the human body by inhalation, ingestion, or absorption; but does not include any cessation product specifically approved by the U.S. Food and Drug Administration for use in treating nicotine or tobacco dependence.

4.2.1.2   “Smoking” means inhaling, exhaling, burning, or carrying any lighted or heated cigar, cigarette, pipe, hookah, or any other lighted or heated tobacco or plant product intended for inhalation, including cannabis (recreational and medicinal), whether natural or synthetic, in any manner or in any form. “Smoking” also includes the use of an electronic smoking device which creates an aerosol or vapor, in any manner or in any form, or the use of any oral smoking device for the purpose of circumventing the prohibition of smoking in this Article.

4.2.1.3   “Electronic Smoking Device” means any product containing or delivering nicotine or any other substance intended for human consumption that can be used by a person in any manner for the purpose of inhaling vapor or aerosol from the product. The term includes any such device, whether manufactured, distributed, marketed, or sold as an e-cigarette, e-cigar, e-pipe, e-hookah, or vape pen, or under any other product name or descriptor.

4.2.1.4   “Tobacco Substitutes” means nicotine pods and juices, electronic cigarettes or other electronic or battery-powered devices that contain and are designed to deliver nicotine or other substances into the body through the inhalation of vapor and that have not been approved by the U.S. Food and Drug Administration for tobacco cessation or other medical purposes. Products that have been approved by the U.S. Food and Drug Administration for tobacco cessation or other medical purposes shall not be considered tobacco substitutes as defined in this Article.

4.2.1.5   “Hookah” means a water pipe and any associated products and devices which are used to produce fumes, smoke, and/or vapor from the burning of material including, but not limited to, tobacco, shisha, or other plant matter.

4.3   Procedures

4.3.1   Education

4.3.1.1   The UNH TSN policy shall be included in the new employee and student orientation program, in the Student Rights, Rules, and Responsibilities, Room & Board Agreement, in admissions application materials and other campus documents where appropriate.

4.3.1.2   UNH encourages employees and students not to use tobacco products by offering educational information and providing information about TSN cessation resources offered through university departments or offices, health care providers, nonprofit organizations, or other groups.

4.3.1.3   UNH Health & Wellness, Living Well Services, will provide prevention and cessation programs to students upon request and offer other prevention and education initiatives that support non-use and address the risks of exposure to second and thirdhand exposure.

4.3.1.4   USNH health and wellness programs and services will offer prevention and cessation programs to faculty and staff.

4.4   Affected Areas of the Tobacco, Smoke, and Nicotine-Free Policy

The TSN-Free policy applies to all University of New Hampshire facilities, property, and vehicles, owned, or leased, regardless of location. Smoking and the use of tobacco products shall be prohibited in any enclosed place, including, but not limited to, all offices, classrooms, hallways, waiting rooms, restrooms, meeting rooms, community areas, performance venues and private residential space within UNH housing. TSN products shall also be prohibited outdoors on all UNH campus property, including, but not limited to, parking lots, paths, fields, sports/recreational areas, and stadiums, as well as in all personal vehicles while on campus. This policy applies to all students, faculty, staff, and other persons on campus, regardless of the purpose for their visit.

4.5   Sales and Marketing

4.5.1   Advertisement of all tobacco products or their use shall be prohibited in all University of New Hampshire publications and on all University owned, occupied, or leased properties.

4.5.2   Any sale or free sampling of tobacco products on campus shall be prohibited.

4.6   Implementation

The cultivation of a TSN-Free public health environment is a social process that cultivates shared public health norms over time. This policy relies on the consideration and cooperation of individuals who consume tobacco products and those who do not. All members of the UNH community, including visitors, are asked to observe this policy that begins and remains centered on communication, education, and cessation as the community adapts to the policy.

4.7   Compliance

The policy will operate through educational communication and the cultivating of public health norms within a community-inclusive framework with the primary goal of voluntary compliance. Implementation focuses on communication, education, and cessation as the community adapts to the policy over time. The Tobacco, Smoke, Nicotine-Free Task Force will work with campus stakeholders in an ongoing way to address compliance. Oversight is the shared responsibility of all UNH community members who are expected to execute that responsibility in good faith.

7.   Conflict of Interest and Commitment¹    Spanish version

7.1   Preamble

7.1.1   University of New Hampshire (UNH) faculty, extension educators, and staff are encouraged to participate in external activities as a means of improving not only their own competence and prestige, but the prestige of UNH as well. These activities also provide external organizations, institutions, corporations, and industries with expertise and resources that might not otherwise be available to them.

7.1.2   While engaging in these activities, faculty, extension educators, and staff have an obligation to avoid ethical, legal, financial, and other conflicts of interest and commitment to ensure that their outside activities and interests do not conflict with their primary employment responsibilities at UNH and that they do not misuse UNH resources.

7.1.3   This policy is intended to establish guidelines for UNH faculty, extension educators, and staff for recognizing and managing conflicts of interest and commitment, and whenever possible, to prevent even the appearance of a conflict. Financial conflicts of interest in research are addressed by the UNH policies on financial conflict of interest in research²

7.2   Definitions

7.2.1   Conflict of Commitment: When time or effort devoted to external activities by faculty, extension educators, or staff interferes with fulfillment of their assigned UNH responsibilities.

7.2.2   Conflict of Interest: When professional actions or decisions are determined by personal considerations, financial or otherwise. It also includes unauthorized use or misuse of UNH resources in the course of an external activity.

7.2.3   External Activity: Involvement by an employee with any person, trust, organization, enterprise, government agency, or other entity not a part of UNH. This definition of external activity does not include activities to which faculty, extension educators, or staff have been assigned by UNH, such as appointment to an external board or committee or license maintenance requirements.

7.2.4   UNH Resources: These include, but are not limited to: facilities, personnel (including students and postdoctoral scholars), equipment, supplies, letterhead, name, services, information, and information technology including the UNH network.

7.2.5   UNH Responsibilities: Responsibilities of faculty, extension educators, and staff to perform UNH activities as defined by UNH management, contract, or collective bargaining agreement.

7.3   Statements of the Policy

7.3.1   UNH faculty, extension educators, and staff must carry out their responsibilities in accordance with ethical and legal standards.

7.3.2   UNH faculty, extension educators, and staff shall commit their time and effort to fulfilling responsibilities described in their appointment letter/position description during the time that UNH is compensating them for such duties, and shall use UNH resources only in the interest of UNH.

7.3.3   UNH faculty, extension educators, and staff must be sensitive to the potential for conflict of interest and commitment when engaging in external activities. The fact that UNH is a public institution must always be kept in mind.

7.3.4   UNH faculty, extension educators, and staff may not commit UNH resources to external activities without prior approval of the institution.

7.4   Roles

7.4.1   Faculty

7.4.1.1   The faculty member is responsible for avoiding conflict with his/her UNH obligations and UNH and USNH policies.

7.4.1.2   Any full-time faculty member may engage in compensated external activities, and is encouraged to do so, to the extent that the activities involve the faculty member's professional expertise, further the status of his or her profession, and contribute to his or her own professional competence. All such activities should meet the criteria of balance, appropriateness, and the avoidance of conflict of interest and commitment.

7.4.1.2.1   The activities should sustain or improve the faculty member's professional prestige.

7.4.1.2.2   The activities should be within the professional competence of the faculty member.

7.4.1.2.3   On average, the total commitment to the activities must not exceed a time equivalent of one day during each five-day academic week during the appointment period unless specifically authorized by 7.4.1.2.4.

7.4.1.2.4   If such activities are expected to require more time in a given situation, arrangements must be made in advance with the department chairperson and/or dean.

7.4.1.2.5   The academic administrator of the college, through the chairperson of the faculty member's department, must be informed of the activities. Agreement should be reached between the chairperson and faculty member that the activities satisfy (7.4.1.2.3 and 7.4.1.2.4 above). When required, the confidentiality of a client will be honored.

7.4.1.3   Some faculty are involved with outside entities, including spin-off companies, in which they have a financial interest, such as through salary, consulting fees, honoraria, equity, or intellectual property². In such situations, faculty must:

7.4.1.3.1   Keep the external activities separate and distinct from their UNH responsibilities.

7.4.1.3.2   Avoid direct academic oversight of UNH students or UNH postdoctoral scholars hired to work in the outside entity.

7.4.1.3.3   Only use UNH resources for the benefit of the outside entity when that use is covered by a formal, written agreement.

7.4.1.4   Faculty may also engage in uncompensated external activities.

7.4.1.4.1   It is understood that faculty regularly engage in normally uncompensated external activities such as holding office in a scholarly or professional organization or editorial office, performing duties for a learned journal, writing books or articles, attending professional meetings, colloquia, symposia, site visits, and similar gatherings, and the ad hoc refereeing of manuscripts. These scholarly activities advance the mission of UNH by facilitating the development and dissemination of knowledge. All such activities should meet the criteria of balance, appropriateness, and the avoidance of conflict of interest and commitment.

7.4.1.4.2   Further, faculty may engage in uncompensated external activities that are not related to their UNH position. Such duties and activities are not specifically governed by this policy and do not require notice or approval, but should meet the criteria of appropriateness and the avoidance of conflict of interest and commitment.

7.4.1.5   External activities of part-time faculty and lecturers. At the time of and during employment at UNH, part-time faculty must not engage in activities that interfere with their UNH responsibilities, conflict with either UNH or USNH policies, abuse the association with UNH for personal financial gain, or bring discredit on UNH.

7.4.2   Cooperative Extension

7.4.2.1   The nature of Cooperative Extension work requires considerable direct public contact and Cooperative Extension employees are generally viewed as one of the primary educational outreach components of the institution. Based on this role, it is critical that Cooperative Extension employees be particularly sensitive to potential conflicts of interest and commitment. The Cooperative Extension Dean and Director is responsible for administering policy in this area.

7.4.2.2   Consulting. Cooperative Extension employees should not engage in contract services or consulting activities where personal gain is substituted for normal Cooperative Extension obligations consistent with his/her job description. In addition to UNH consulting policies, Extension employees must abide by the following guidelines:

7.4.2.2.1   Cooperative Extension employees are to obtain advance approval of the Dean and Director or his/her designees for consulting activities.

7.4.2.2.2   Consulting in the areas of an employee's job responsibility is not permitted within the state.

7.4.2.2.3   Consulting should be allowed to occur within the state if it is not part of the employee's UNH responsibilities, and is not normally provided through UNH Cooperative Extension or other UNH component.

7.4.2.2.4   Each Cooperative Extension employee must ensure that consulting is done by him/herself as a private citizen and not as a Cooperative Extension employee. This includes avoidance of the use of his/her official position in media solicitations for commercial or group activities, such as overseas tours, etc.

7.4.2.2.5   UNH's name, facilities, materials, supplies, etc. cannot be used without prearranged approval of the appropriate department chairperson, dean, or director, and arranging for payment of the total cost for such use. Such prior approval is not necessary, however, when the facilities, supplies, materials, equipment, and services are generally available to University System faculty and staff members upon the payment of an established fee.

7.4.2.2.6   Each Cooperative Extension employee must ensure that the consulting is done on his/her own time and accomplished without interference with assigned duties.

7.4.2.2.7   UNH faculty who have a joint appointment with Cooperative Extension may be able to consult (for a fee) within the state as long as the consulting activity is not in conflict with the faculty member's Extension responsibilities.

7.4.2.3   Review (Appeal) Process. In the event a Cooperative Extension employee disagrees with the Cooperative Extension Administration decision, the employee may request the decision be reviewed by a board of peers which should include Cooperative Extension employees who are similarly affected by these guidelines.

7.4.2.4   Private sector support for Cooperative Extension Activities. Each employee must exercise extreme caution and sound professional judgment when identifying any product, service, or program brand name while performing the responsibilities of their Cooperative Extension appointment. As a general rule, promoting or endorsing brands of commercial products is prohibited.

7.4.2.4.1   Cooperative Extension employees are required to be objective in dealing with topics that are controversial or an issue of public debate, and employees have a responsibility to provide the facts of the issue equally to all interested members of the public regardless of their views concerning the issue. Employees primarily involved with one client group are governed by the same requirements of objectivity as those with varied clientele.

7.4.2.4.2   Outside monies from the private sector may support the major programs and objectives of Cooperative Extension. An organization's contributions may be recognized, but acknowledgment of acceptance of support is not an endorsement of the contributor's products/services by UNH. Educational foundations may be used as a method of receiving private funds rather than by direct transfer.

7.4.2.4.3   If it appears there may be a potential conflict regarding private sector support, the employee must seek clarification from the Dean and Director or his/her designee.

7.4.2.5   Ownership or operation of a personal/private business. Cooperative Extension employees may occasionally own or operate a business. This may or may not present a potential conflict of interest with the employee's Cooperative Extension appointment. Approval of the Dean and Director or his/her designee is required for all outside employment/business ventures.

7.4.2.5.1   The employee must inform the Dean and Director or his/her designee regarding the time commitment to manage, operate, or be involved in such a business. If appreciable time is required away from the employee's Extension job, suitable arrangements must be made (i.e., time arrangements, business divestiture, or employee termination). The arrangements must ensure that time spent on such business is during the employee's personal time (i.e., vacation or other approved leave). The employee's business cannot unfairly compete with similar private businesses. Approval cannot be granted if the employee has an unfair advantage over private business because of knowledge gained as a result of Cooperative Extension employment.

7.4.2.5.2   Buying, selling, and/or trading in commodities and related contracts. Employees may become involved in trading commodities or contracts closely related to their Cooperative Extension appointments. When this occurs, the employee must inform the Dean and Director or his/her designee, who will determine whether the employee's involvement presents unfair competition to others trading such commodities. If the activity appears to conflict with the employee's job time or job assignment, the approval of the Director or his/her designee is required before further activity is undertaken. Personal investing (stocks and bond, etc.) would not normally fall into this category, unless the activity required too great a time commitment away from work.

7.4.3   Executive Officers, Academic Administrators, and Professional, Administrative, and Technical (PAT) Staff

7.4.3.1   External activities include work for a non-UNH entity for which staff members receive remuneration other than their UNH salary.

7.4.3.2   When these external activities involve a staff member's professional expertise, further and contribute to the development of his/her own profession, and contribute to the development of his/her own professional competence, these activities are permitted.

7.4.3.2.1   The staff member's immediate supervisor must be made aware of such activities, and the activities must not interfere with the staff member's UNH obligations and must not involve duplication of payment by UNH for the staff member's responsibilities.

7.4.3.2.2   If it appears there may be a potential conflict of interest or commitment regarding a proposed external activity, the staff member must seek clarification from his/her supervisor.

7.4.3.2.3   If a staff member wishes to engage in outside activity to such an extent that the employee cannot fulfill his/her UNH obligations to the satisfaction of their supervisor, he/she shall request a reduction in his/her percentage of appointment. Such requests will be considered in relation to the demands of the staff member's position. Other alternatives, such as professional development leaves, may also be appropriate.

7.4.3.3   When these external activities are not related to a staff member's responsibilities for which he/she receives salary from UNH, these activities are permitted as long as the activities do not interfere with the staff member's UNH obligations. Such activities should meet the criteria of balance, appropriateness, and the avoidance of conflict of interest and commitment. If these criteria are met, unrelated external activities do not require notice or approval of the employee's supervisor.

7.4.3.4   Staff may also engage in uncompensated external activities.

7.4.3.4.1   It is understood that staff regularly engage in normally unpaid activities related to their UNH position such as holding office in a scholarly or professional organization or editorial office, performing duties for a learned journal, writing books or articles, attending professional meetings, colloquia, symposia, site visits, and similar gatherings, and the ad hoc refereeing of manuscripts. These scholarly activities further the mission of UNH by facilitating the development and dissemination of knowledge. Such activities should meet the criteria of balance, appropriateness, and the avoidance of conflict of interest and commitment. If these criteria are met, uncompensated related external activities do not require notice or approval of the employee's supervisor.

7.4.3.4.2   Further, staff may engage in uncompensated external activities that are not related to their UNH position. Such duties and activities are not specifically governed by this policy and do not require notice or approval, but should meet the criteria of appropriateness and the avoidance of conflict of interest and commitment.

7.4.4   Operating Staff

7.4.4.1   This policy is intended to establish guidelines for external activity by Operating Staff members. Such activity includes:

7.4.4.1.1   Work for a non-UNH entity for which staff members receive remuneration other than their UNH salary.

7.4.4.1.2   Normally unpaid activities, such as holding office in a professional organization, attending professional meetings and conferences, or serving as a representative of the institution.

7.4.4.2   Operating Staff members may carry out such activities to the extent that the activities do not interfere with their primary UNH responsibilities, and do not involve conflicts of interest.

7.4.4.3   If it appears there may be a potential conflict of interest or commitment regarding a proposed external activity, the Operating Staff member must seek clarification from his/her supervisor.

7.5   Use of UNH Resources

7.5.1   Faculty, extension educators, and staff shall not use UNH facilities, supplies, materials, equipment, or services for external activities, without first obtaining approval of the appropriate department chairperson, dean, or director, and arranging for the payment of the total cost of such use. Such prior approval is not necessary, however, when the facilities, supplies, materials, equipment, and services are generally available to UNH faculty, extension educators, and staff upon the payment of an established fee.

7.5.2   The UNH name may be used in connection with external activities where necessary to identify the faculty/staff member or extension educator, but may not be used to imply that UNH officially supports, endorses, ensures or guarantees the results of the external activity. When the potential for confusion about official endorsement exists, an appropriate disclaimer should be used, such as "This report was written by ______________________ in his/her private capacity. No official support or endorsement by the University of New Hampshire is intended or should be inferred."

7.6   Supply of Goods and Services

7.6.1   Faculty, extension educators, or staff who would benefit financially from the supplying of goods or services to UNH by any prospective supplier may not participate in the decision process leading to the choice of supplier.

7.6.2   Faculty, extension educators, or staff who have or who reasonably anticipate having either an ownership interest, a significant executive position in, or a consulting or other remunerative relationship with a prospective supplier may not participate in the recommendation of, drafting of specifications for, or the decision to purchase the goods or services involved.

7.6.3   Faculty, extension educators, or staff who know that a member of their family (or any person with whom they have a personal or financial relationship) has an ownership interest or a significant executive position in a prospective supplier are also disqualified from participating in the process of purchasing goods and services.

7.6.4   Faculty, extension educators, or staff whose sole ownership interest in a potential supplier is held by a fiduciary that has the power to acquire or dispose of the interest without consultation with the faculty/staff member or extension educator are not disqualified from participation in the purchase decision.

7.6.5   When a faculty/staff member or extension educator is disqualified from participating in a procurement decision, the fact of the disqualification and the reason for it must be reported to those involved in the decision. If necessary, a substitute may take the individual’s place under procedures established by the appropriate administrative official.

7.7   Appropriation of Institutional Services or Business Opportunities

7.7.1   As part of its mission of public education, UNH may become involved in activities that may be competitive in nature. In areas where UNH is providing goods or services that are also available outside UNH, faculty, extension educators, staff, and administrators are prohibited from appropriating business opportunities from UNH.

7.7.2   Appropriation in this context means: to take or make use of without authority or right and is intended to prohibit the taking, through use of the UNH name, equipment, facilities or supplies, or by action of a faculty/staff member, administrator, or extension educator of those service or business opportunities that ordinarily would have been contracted or supplied by UNH, except in areas of business or service where no specific advantage is gained by virtue of one's employment duties or responsibilities.

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¹This policy is based on the University System of New Hampshire Conflict of Interest policy (USY V.D.7)

²For financial conflicts of interest in research, see the UNH policies at UNH VIII.E and UNH VIII.T.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.V.F.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Regular Pay

1.1   Definitions

1.1.1   Regular Pay. Pay from USNH-administered funds for services rendered to USNH by an employee for work associated with the individual's regular time commitment and Regular Duties. Regular Pay excludes all forms of Additional Pay. (See USY V.C.6 for Appointments and UNH V.F.7 for Additional Pay policy.)

1.1.2   Academic Year. Approximately 39 weeks beginning with fall semester and ending after spring semester. UNH designates actual dates each year.

1.1.3   Additional Pay. Pay from USNH-administered funds to a UNH employee that exceeds the Regular Pay he/she receives for Regular Duties and/or that does not contribute permanently to the employee's Institutional Base Salary or Rate. (See UNH V.F.7 for Additional Pay policy and types of pay, UNH V.F.1.1.13 for Regular Duties, UNH V.F.1.1.10 for Institutional Base Salary, and UNH V.F.1.1.9 for Institutional Base Rate.)

1.1.4   Adjunct Appointment. Temporary salary- or hourly-based appointment at 75%-100% time with a three-year limit, or short-term (can be renewable) at less than 75% time. Each adjunct employee is appointed to perform defined services for a specified appointment period at a specified rate that conforms to USNH and UNH policies, with limited fringe benefits other than those required by law. (See USY V.A.3 and USY V.C.6.2.4.2)

1.1.5   Exempt (Salary-Based) Employment. Employment designated as not eligible for overtime pay in accordance with the FLSA. (See also Salary-Based Employment definition.)

1.1.6   Fiscal Year. The USNH fiscal year is July 1 through June 30.

1.1.7   FLSA. Fair Labor Standards Act: Federal legislation that governs such areas as minimum wage, overtime and exemptions from overtime pay, record keeping, and youth employment.

1.1.8   Hourly-Based Employment. Employment for which the employee is paid at an hourly rate and which is eligible for overtime pay in accordance with the FLSA and UNH V.F.7.4.6. [See also Non-exempt (Hourly-Based) Employment.]

1.1.9   Institutional Base Rate (IBR). Hourly-based employee's rate for performing Regular Duties during the regular, specified appointment period. IBR excludes all forms of Additional Pay and any pay earned outside the employee's Regular Duties, regardless of whether the work is internal or external to USNH.

1.1.10   Institutional Base Salary (IBS). Salary-based employee's regular salary for the applicable base salary period1 for performing Regular Duties for any of the USNH component institutions. IBS excludes all forms of Additional Pay and any pay earned outside the employee's Regular Duties, regardless of whether the work is internal or external to USNH.

1.1.11   Institutional Base Salary (IBS) or Institutional Base Rate (IBR) Period. Time period during which an employee is under obligation to USNH for performing Regular Duties for the IBS/IBR.

1.1.12   Non-exempt (Hourly-Based) Employment. Employment designated as eligible for overtime pay in accordance with the FLSA and UNH V.F.7.4.6. (See also Hourly Based Employment definition.)

1.1.13   Regular Duties. Characteristic duties and responsibilities associated with the employee's occupational type and/or classification, as described in the initial appointment letter, subsequent communications, and/or job description. (See USY V.C.6.3 for types of employment relationships.)

1.1.14   Salary-Based Employment. Employment for which the employee is paid an annual or academic year salary and which is not eligible for overtime pay in accordance with the FLSA. [See also Exempt (Salary-Based) Employment.]

1.1.15   Status Employee. Normally reserved for employees with continued employment expectations; status employees are those eligible for full USNH fringe benefits consistent with USNH policies.

1.1.16   Summer Period. Approximately 13 weeks between academic years.

1.1.17   USNH-Administered Funds. All sources of revenue available to USNH to pay for USNH expenses such as pay to employees. USNH-administered funds include those derived from state appropriations, tuition, externally-sponsored awards, facilities and administrative cost reimbursements, license fees, gifts, endowments, sales of goods and services, and any other revenues.

¹Exempt academic-year employees may choose to have the IBS paid out over a period longer than the base period. However, this does not change the total IBS or the IBS period.

1.2   Policy

1.2.1   Establishing and Revising Regular Duties, Institutional Base Salary (IBS), IBS Period, and % Time

Conditions of employment stipulate a salary or hourly wage that represents full compensation for the performance of Regular Duties as defined by the employee's appointment. Each occupational type has an applicable wage schedule, with the exception of faculty appointments, which are determined by UNH policies or the prevailing Collective Bargaining Agreement. The employee's IBS, IBS Period, and % time are established at the time of initial employment by the supervisor or dean in accordance with USNH and UNH policies, and the prevailing Collective Bargaining Agreement as applicable. IBS, IBS Period, and % time may be revised subsequently in accordance with these policies or collective bargaining agreements. IBS may not be increased solely because sponsored programs funds have been received.

See USY V.C.6 for detailed information on establishing position appointments and employment relationships for all exempt, non-exempt, status, and adjunct appointment types. For postdoctoral appointments, see UNH V.C.5.16.

1.2.1.1   Status Faculty. Regular Duties normally include some components of teaching, scholarship, internally- or externally-sponsored research, service, engagement, clinical activity and/or administration. Initial Regular Duties, associated pay (IBS) and IBS Period, and % time are communicated in appointment letters. Changes are communicated in subsequent letters. Each faculty member's workload is determined by the department chair, subject to approval by the dean, within the requirements of USNH and UNH policies, and the Collective Bargaining Agreement where applicable.

1.2.1.2   Postdoctoral Employees (Exempt, Status). Regular duties are independent or original research, teaching, or work in an advanced training program. On recommendation by the postdoctoral employee's faculty mentor, the dean makes postdoctoral appointments. Appointment and subsequent letters, as appropriate, include the appointment period, salary or stipend level (IBS), % time, and general description of Regular Duties.

1.2.1.3   Staff, Extension Educators, Academic Administrators, Executive Officers). Regular Duties are described in the position description for each employee's position. The IBS/IBR, IBS/IBR Period, and % time are communicated in writing to the employee. Appointments must be at least 75% time.

1.2.1.4   Adjunct Appointments, Including Student Employees. Regular Duties, appointment period, associated compensation (IBS/IBR), and % time are described in appointment and subsequent letters, as appropriate, and communicated to the employee by the supervisor.

7.   Additional Pay

7.1   Definitions

7.1.1   Additional Pay. Pay from USNH-administered funds to a UNH employee that exceeds the Regular Pay he/she receives for Regular Duties and/or that does not contribute permanently to the employee's Institutional Base Salary or Rate. (See USY V.C.6 for Appointments and UNH V.F.1 for Regular Pay, Regular Duties, and Institutional Base Salary or Rate.)

Types of Additional Pay applicable only to salary-based employees include Administrative Stipend, Employee Transition Allowance, January Term Pay, Summer Pay, and Supplemental Pay. Types of Additional Pay applicable only to hourly-based employees include Call-Back, Compensatory Time, Holiday, Longevity, Overtime, Shift and Weekend Differential, and Stand-By Pay. Types of Additional Pay applicable to both hourly- and salary-based employees include Adjunct Appointment Pay for Status Employees; Award; Bonus for Additional Duties; Bonus, in Lieu of Continuing Increase; Bonus for Performance; Bonus for Referral and Research Subject Pay.

7.1.2   Academic Year. Approximately 39 weeks beginning with fall semester and ending after spring semester. UNH designates actual dates each year.

7.1.3   Adjunct Appointment. Temporary salary- or hourly-based appointment at 75%-100% time with a three-year limit, or short-term (can be renewable) at less than 75% time. Each adjunct employee is appointed to perform defined services for a specified appointment period at a specified rate that conforms to USNH and UNH policies, with limited fringe benefits other than those required by law. (See USY V.A.3 and USY V.C.6.2.4.2.)

7.1.4   Administrative Stipend. Pay to an employee beyond the Institutional Base Salary/Rate for a limited temporary (typically less than one year, can be renewable) or long-term assignment for additional administrative responsibilities. Examples include an acting appointment (no longer than six months), department/program chair, center/program director, and special projects assigned as overload by UNH administrators.

7.1.5   Award. Pay to an employee in recognition of a past professional achievement, such as a UNH distinguished teaching or professional service excellence award.

7.1.6   Bonus for Additional Duties. Pay to an employee for having performed temporary additional duties that clearly exceeded the established regular duties of the employee's position.

7.1.7   Bonus in Lieu of Continuing Increase. Pay to an employee at the top of his/her salary range at the time of the annual, continuing increase process. (Continuing increases include across-the-board, merit, equity, range change, general, and other such increases as authorized by the USNH Board of Trustees.)

7.1.8   Bonus for Performance. Pay to an employee for outstanding job performance.

7.1.9   Bonus for Referral. Pay to an employee provided by some departments for referring an individual subsequently hired by USNH.

7.1.10   Call-Back Pay. Pay to an employee called back to work after leaving for the day.

7.1.11   Compensatory Time. In lieu of payment, time off requested by a status hourly employee.

7.1.12   Employee Transition Allowance. Pay to a new employee for personal moving, relocation, and employment transition costs.

7.1.13   Exempt (Salary-Based) Employment. Employment designated as not eligible for overtime pay in accordance with the FLSA. (See also Salary-Based Employment definition.)

7.1.14   Fiscal Year. The USNH fiscal year is July 1 through June 30.

7.1.15   FLSA. Fair Labor Standards Act: Federal legislation that governs such areas as minimum wage, overtime and exemptions from overtime pay, record keeping, and youth employment.

7.1.16   Holiday Pay. Pay for status employees who work on a USNH- or UNH-designated holiday.

7.1.17   Honorarium. A monetary token of appreciation when the primary intent is to confer distinction upon or symbolize respect, esteem, or admiration for the recipient. Honorarium payments are generally not allowable charges to federal funds unless a contract or grant specifically authorizes such payments. Honorarium charges should be specified as direct cost items at the time a contract or grant proposal is prepared.

7.1.18   Hourly-Based Employment. Employment for which the employee is paid at an hourly rate and which is eligible for overtime pay in accordance with the FLSA and UNH V.F.7.4.6. [See also Non-exempt (Hourly-Based) Employment definition.]

7.1.19   Institutional Base Rate (IBR). Hourly-based employee's rate for performing Regular Duties during the regular, specified appointment period. IBR excludes all forms of Additional Pay and any pay earned outside the employee's regular duties, regardless of whether the work is internal or external to USNH.

7.1.20   Institutional Base Salary (IBS). Salary-based employee's regular salary for the applicable base salary period for performing Regular Duties for any of the USNH component institutions. IBS excludes all forms of Additional Pay and any pay earned outside an employee's Regular Duties regardless of whether the work is internal or external to USNH.

7.1.21   Institutional Base Salary (IBS) or Institutional Base Rate (IBR) Period. Time period during which an employee is under obligation to USNH for performing Regular Duties for the IBS/IBR.

7.1.22   Intra-USNH Professional Work. Consulting, participating in scholarly activities of colleagues, and other professional services provided to or for organizational units within the administrative control of USNH.

7.1.23   January Term Pay. Pay for teaching for-credit courses at UNH during the winter break period between academic-year semesters.

7.1.24   Longevity Pay. Pay to status hourly employees with at least 10 calendar years of USNH service.

7.1.25   Non-exempt (Hourly-Based) Employment. Employment designated as eligible for overtime pay in accordance with the FLSA and UNH V.F.7.4.6. (See also Hourly-Based Employment definition.)

7.1.26   Overtime Pay. Pay to hourly employees for performing regular duties in excess of 40 hours in any week.

7.1.27   Regular Duties. Characteristic duties and responsibilities associated with the employee's occupational type and/or classification, as described in the initial appointment letter, subsequent communications, and/or job description. (See USY.V.C.6.3 for types of employment relationships.)

7.1.28   Regular Pay. Pay from USNH-administered funds for services rendered to USNH by an employee for work associated with the individual's regular time commitment and Regular Duties. Regular Pay excludes all forms of Additional Pay. (See USY V.C.6 for Appointments and UNH V.F.1 for Regular Pay policy.)

7.1.29   Regular Rate (FLSA). Hourly employee's IBR plus shift and weekend differential, longevity, call-back, and/or stand-by pay, as applicable.

7.1.30   Research Subject. An employee who voluntarily participates as a subject in a research project under the auspices of USNH.

7.1.31   Salary-Based Employment. Employment for which the employee is paid an annual or academic year salary and which is not eligible for overtime pay in accordance with the FLSA. [See also Exempt (Salary-Based) Employment definition.]

7.1.32   Shift and Weekend Differential Pay. Pay to hourly status employees who work second, third, and/or weekend shifts as part of the employee's work schedule.

7.1.33   Stand-By Pay. Pay to hourly employees to limit activities in order to be available to provide "essential services" as required by USNH.

7.1.34   Status Employee. Normally reserved for employees with continued employment expectations; status employees are those eligible for full USNH fringe benefits consistent with USNH policies.

7.1.35   Summer Pay. Applicable only to academic year faculty, pay for USNH-administered summer period activities, including teaching, effort on internally and externally sponsored projects, and administrative work.

7.1.36   Summer Period. Approximately 13 weeks between academic years.

7.1.37   Supplemental Pay. Applicable only to faculty, pay for approved additional temporary professional responsibilities or assignments outside the faculty member's regular duties.

7.1.38   Temporary Additional Duties, Responsibilities, or Assignments. Temporary activities (typically less than one year, can be renewable) including the following:

Consultation or other specialized activities performed in connection with an operation, project, or activity taking place at a site physically remote from UNH, or for a department or area other than the employee's home department or area;
Specially-approved work on a USNH-administered sponsored project; and/or
Teaching overload assignments.

7.1.39   USNH-Administered Funds. Revenue from all sources available to USNH to pay for USNH expenses such as pay to employees. USNH-administered funds include those derived from state appropriations, tuition, externally-sponsored awards, facilities and administrative cost reimbursements, license fees, gifts, endowments, sales of goods and services, and any other revenues.

7.2   Overarching Policy Statement. USNH employment responsibilities are either duty-based (salaried) or time-based (hourly). Conditions of employment stipulate an Institutional Base Salary (IBS) or Rate (IBR) that represents full compensation for the performance of Regular Duties as defined by the employee's appointment. Pay from USNH-administered funds (including monies provided to USNH by external sponsors) over and above the employee's IBS/IBR for a given base employment period normally is not allowed for the performance of Regular Duties. In rare situations, however, pay from USNH-administered funds in excess of the IBS/IBR may be justified. This policy establishes criteria, by pay category (Salary-Based, Hourly-Based, and Other) for documentation/justification, approval, and payment for the various forms of Additional Pay.

7.3   Salary-Based Additional Pay (Administrative Stipend, Employee Transition Allowance, January Term Pay, Summer Pay, Supplemental Pay)

7.3.1   Approval. All types of salary-based Additional Pay require written approval by the supervisor and the unit head prior to the work being performed. Additional Pay: for Professional, Administrative, and Technical staff also requires Human Resources Offices written approval; Additional Pay for Executive Officers also requires prior approval from the USNH Board of Trustees' Executive Committee; Additional Pay involving externally-sponsored agreements may require prior written approval from the Senior Vice Provost for Research or his/her designee. See below for any further approvals required by Additional Pay type.

7.3.1.1   Exceptions

7.3.1.1.1   If an employee's appointment is less than full-time, additional pay outside the appointment period up to the employee's full-time equivalent IBS requires only the supervisor's approval. [See also UNH V.F.1.2.1, Establishing and Revising Regular Duties, Institutional Base Salary (IBS), IBS Period, and % Time.]

7.3.1.1.2   If a faculty member's appointment is less than full-time, additional pay inside the appointment period up to the full-time equivalent IBS requires approval by the dean (director) of the appropriate college/school (institute, for faculty not appointed to a college/school). See also UNH V.F.1.2.1.

7.3.2   Administrative Stipend

7.3.2.1   Policy. Pay during the IBS period for performing additional administrative responsibilities and/or assignments may be made in excess of the UNH full-time IBS for all or part of the period, if approval for such work and pay is obtained in accordance with UNH V.F.7.3.1 above. Pay to academic year faculty during the summer period for additional administrative responsibilities performed during the summer period is subject to Summer Pay Policy and Pay Limitations. (See UNH V.F.7.3.5.)

7.3.2.2   Additional Approval. None. (See UNH V.F.7.3.1.)

7.3.2.3   Documentation. Letter with appropriate justification from the unit head requesting that additional administrative duties be performed constitutes documentation.

7.3.2.4   Payment. Amount is determined by the appropriate UNH administrator, is without fringe benefits except those required by state and Federal law (including FICA), and is included in the employee's bi-weekly paycheck.

7.3.3   Employee Transition Allowance (Also see USNH Financial and Administrative Procedures 8-010)

7.3.3.1   Policy

7.3.3.1.1   If considered necessary by the supervisor and with appropriate campus approvals, a UNH department may pay a new employee a reasonable transition allowance. The allowance must be authorized in advance, documented in writing to the employee and for UNH files, and directly related to the commencement of employment at UNH. Approvals must be obtained as per UNH V.F.7.3.1 above and UNH V.F.7.3.3.2 below, and pay limitations below must be observed.

7.3.3.1.2   A transition allowance is the total amount authorized by UNH to be paid for the employee’s transition costs and must be paid directly to the employee. UNH shall not pay a vendor nor reimburse the employee for the specific costs associated with moving, temporary storage or housing, travel, meals, or other personal or family relocation expenses.

7.3.3.1.3   The transition allowance does not apply to special situations involving the establishment or relocation of professional labs, libraries, or supplies and equipment of faculty and researchers. Payments for such, if any, will be made directly to vendors through normal purchasing and accounts payable procedures.

7.3.3.1.4   The hiring department is responsible for securing, in advance, the funding source(s) to support the authorized payment and the related USNH fringe benefits charge thereon.

7.3.3.1.5   The transition allowance will generally be paid within the first month after the employee has begun employment, although the department can choose to defer payment for up to one year after employment. In rare exceptions, with advanced written approval by the appropriate campus official, all or a portion of the transition allowance may be advanced to the employee prior to commencement of employment. All employees receiving such an advance will be required to sign a promissory note payable to USNH. (See USNH Financial and Administrative Procedures, #8-010, I., Forms, USNH Transition Allowance Promissory Note.) In the event the employee does not commence employment, UNH will pursue formal collection efforts and the hiring department will be responsible for funding the full amount of the advance, including fringe benefit charges thereon, if the advance is not repaid. If sponsored program funds were used, any portion of the advance that is not repaid must be funded promptly from an unrestricted funding source in the department or otherwise at UNH.

7.3.3.1.6   Pay Limitations

7.3.3.1.6.1   The amount of a transition allowance is determined for each prospective employee on a case-by-case basis. While there is no standard or maximum (other than for sponsored programs – see below), employment negotiations should result in a reasonable amount necessary to recruit the employee to UNH, giving due consideration to UNH budgetary and funding constraints.

7.3.3.1.6.2   For sponsored programs, the amount of the transition allowance must:

• Be "reasonable" based on comparable industry or survey data collected by the hiring department as related to the prospective employee, and;
• Be allocable for proportional benefit, according to the terms of the employee's appointment (e.g., if appointment is 50% research and 50% teaching, the sponsored program can be charged no more than 50% of the allowance); and
• Be consistently applied such that the average transition allowance charged to Federal funds is not materially and substantially higher than the allowances charged to other UNH funds; and
• Adhere to pertinent sponsor rules and regulations and to specific OMB circulars for awards made prior to 12/26/14, and 2 CFR 200 for awards made after 12/26/14, when Federal funds are involved.

7.3.3.1.6.3   The hiring department may consider the transition allowance to be earned ratably over the first six months of employment and, therefore, may require repayment of some or all of the allowance upon termination before 6 months of completed employee service.

7.3.3.2   Additional Approval

7.3.3.2.1   Prior approval by the appropriate Dean, or by another unit head and Vice President or Vice Provost, or by the UNH President is required. Any offer of a transition allowance for an Executive Officer requires approval by the USNH Board of Trustees' Executive Committee. (See also UNH V.F.7.3.1.)

7.3.3.2.2   Transition allowances in excess of 10% of the employee's regular starting IBS require approval by the UNH President. In addition, if UNH sponsored programs funds will be charged for a transition allowance, approval by the Senior Vice Provost for Research or his/her designee is necessary before approval by the UNH President.

7.3.3.3   Documentation

7.3.3.3.1   The hiring department is responsible for maintaining written records that justify the amount and necessity of the transition allowance.

7.3.3.3.2   The hiring department is responsible for communicating information regarding payment and taxability to each employee who will receive a transition allowance. This is accomplished by including a "disclosure" paragraph (see USNH Financial and Administrative Procedures, #8-010, F.) in the employment agreement or offer letter.

7.3.3.4   Payment. In accordance with Pay Limitations at UNH V.F.7.3.3.1.6, pay is a one-time, lump sum payment, and is taxable and subject to applicable tax withholding.

7.3.4   January Term Pay

7.3.4.1   Policy. Pay may be received for teaching at UNH during the January Term, subject to approvals and pay limitations below. For purposes of effort on sponsored programs, January Term pay is treated as a form of Supplemental Pay for faculty. (See Supplemental Pay at UNH V.F.7.3.6.) January Term pay on federally-sourced sponsored programs is allowed only in rare instances. UNH staff members paid to teach January Term courses are paid as adjunct salaried staff.

7.3.4.1.1   Pay Limitations. Pay rates for January Term teaching are subject to USNH and UNH policies and/or to the prevailing Collective Bargaining Agreement.

7.3.4.2   Additional Approval. Prior written approval by the department chair and dean (director for research institute) for faculty, or by the supervisor and UNH Human Resources Office for staff, is required. (See also UNH V.F.7.3.1.) For January Term Pay from a sponsored program, regardless of source, approval by the Senior Vice Provost for Research or his/her designee is also required.

7.3.4.3   Documentation. For faculty, the signature of the faculty member's dean (or research institute director) on a relevant document describing the course(s) to be taught during the January Term constitutes documentation of approval. For staff, the signature of the staff member's supervisor and UNH Human Resources Office on a relevant document suffices.

7.3.4.4   Payment. Pay is made in accordance with pay limitations at UNH V.F.7.3.4.1.1, is without fringe benefits except those required by state and Federal law (including FICA), and is included in the employee’s bi-weekly paycheck.

7.3.5   Summer Pay (Applicable Only to Academic-Year Faculty)

7.3.5.1   Policy. Pay may be received for effort up to a maximum of full time for the entire summer period, subject to approvals and pay limitations below. Full-time effort is the combination of effort on all USNH-administered activities for which the faculty member receives summer pay. Individual work load assignments are made by the department chairperson (director), subject to approval by the dean (director) of the appropriate college/school (institute, for faculty not appointed to a college/school).

7.3.5.1.1   Pay Limitations

7.3.5.1.1.1   Pay for activities not externally sponsored is subject to USNH and UNH policies and/or to the prevailing Collective Bargaining Agreement.

7.3.5.1.1.2   Pay from sponsored projects may not be used during the summer period to pay for work performed during the academic year, nor to pay for summer period activities unrelated to the sponsored project(s).

7.3.5.1.1.3   Pay for effort on non-federally sponsored projects is subject to sponsor policies and/or the specific sponsored agreement terms.

7.3.5.1.1.4   Pay for effort on federally-sponsored projects is based on the employee’s prior academic year 39-week IBS, calculated as a daily rate based on 195 days, and prorated according to the percent time and duration of the summer appointment. Pay for effort may not exceed three months. Salary funded by the National Science Foundation, inclusive of Academic Year salary, may not normally exceed two months for tenure track faculty, prior NSF approval. Sponsor limitations, such as salary caps, must be observed. Maximum full time summer effort and pay on federally-sponsored projects generally precludes compensation for effort on other sponsored or USNH-administered activities during the summer period.

7.3.5.2   Additional Approval. Prior written endorsement by the department chair (director, for institute) and written approval by the dean (institute director) are required. (See also UNH V.F.7.3.1.)

7.3.5.3   Documentation. The signature of the faculty member's dean on a relevant document describing the work to be performed by the faculty member over the specified summer period constitutes documentation of approval. If the faculty member's appointment is within a UNH research institute rather than college/school, the institute director's approval serves as documentation.

7.3.5.4   Payment. Pay is made in accordance with pay limitations at UNH V.F.7.3.5.1.1, is without fringe benefits except those required by state and Federal law (including FICA), and is included in the employee’s bi-weekly paycheck.

7.3.6   Supplemental Pay (Applicable Only to Faculty)

7.3.6.1   Policy. Occasional or sporadic intra-USNH professional work is considered to be within the regular responsibilities of the faculty member for which supplemental pay normally is not appropriate. However, certain situations may occur when it is necessary to make additional contributions to special programs, activities, symposia, or sponsored programs, e.g., which exceed what is normally expected. Pay in excess of the UNH IBS* (or full-time summer salary) during the IBS period (or summer period for AY faculty only) for temporary additional responsibilities or assignments may be allowed if approval is obtained as specified in UNH V.F.7.3.1 and time, pay, other, and additional approval limitations below are met.

*If an employee is paid less than the equivalent of 100% IBS, additional compensation up to the 100% equivalent IBS for additional duties does not require external sponsor approval. However, approval from the appropriate UNH administrator is required.

7.3.6.1.1   Time Limitations (one day per week average)

Consistent with the USNH Policy on Conflict of Interest (USY.V.D.7), the total time spent on additional professional responsibilities or assignments for which the faculty member may receive approved supplemental pay shall not exceed the equivalent on average of one day during each five-day academic-year week. For purposes of this additional pay policy, the average one day per week standard applies to faculty during their IBS period and to AY faculty exceeding full-time commitment during the summer period. If a sponsored project is involved, the additional work must be temporary, i.e., short term in nature, typically no more than one year, although can be renewable.

7.3.6.1.2   Pay Limitations

7.3.6.1.2.1   The pay rate for activities not externally sponsored is subject to approval by the appropriate UNH administrator.

7.3.6.1.2.2   Pay from a sponsored project may not be used during the IBS period to pay for work performed during the summer period, nor to pay for IBS period activities unrelated to the sponsored project.

7.3.6.1.2.3   The pay rate for effort on non-federally-sponsored projects is subject to sponsor policies and/or the specific sponsored agreement terms.

7.3.6.1.2.4   Pay from federally-sponsored projects during the faculty member's IBS period or during the summer period for AY faculty is based on and limited to the faculty member's IBS rate, calculated as a daily rate based on 195 days for AY faculty or for FY faculty, the number of work days in the fiscal year (260-262). Sponsor limitations, such as salary caps, must be observed.

7.3.6.1.3   Other Limitations

UNH adheres to Federal OMB Circular A-21for awards received prior to 12/26/14, and 2 CFR 200 for awards made after 12/26/14, which prohibits supplemental pay on federally-sponsored projects unless a) the work is for a project director in a USNH department other than the faculty member's department and the work is clearly in addition to the faculty member's regular workload; or b) the work involves a separate or remote operation (e.g., a faculty member is assigned to work overseas or in some other location remote to UNH) and the work is clearly in addition to the faculty member's regular workload.

7.3.6.2   Additional Approval. Pay on federally-sponsored projects must be specifically provided for in the sponsored agreement or otherwise approved in writing by the sponsor, and approved by the Senior Vice Provost for Research. (See also UNH V.F.7.3.1.)

7.3.6.3   Documentation. Completed Human Resource Office form with justification serves as documentation.

7.3.6.4   Payment. Pay is made in accordance with limitations in UNH V.F.7.3.6.1.2, is without fringe benefits except those required by state and Federal law (including FICA), and is included in the employee’s bi-weekly paycheck.

7.4   Hourly-Based Additional Pay (Call-Back, Compensatory, Holiday, Longevity, Overtime, Shift and Weekend Differential, Stand-by)

7.4.1   Approval. All types of hourly-based additional pay, except longevity, require prior approval by the supervisor. Pay involving externally sponsored agreements also may require approval by the UNH sponsored programs administration office. See below for any additional approvals required by pay type.

7.4.2   Call-Back Pay (See also, USY V.F.7.3.3, Callback Pay)

7.4.2.1   Policy. When the supervisor calls an employee to return to work after the employee has left for the day and at a time that precedes the start of the next regular working day, the employee will receive call-back pay.

7.4.2.2   Additional Approval. The supervisor's approval of the employee's biweekly record of time worked constitutes approval. (See also UNH V.F.7.4.1)

7.4.2.3   Documentation. The employee's approved bi-weekly record of time worked serves as documentation of hours worked after being called back.

7.4.2.4   Payment. Pay is at 1.5 times the IBR for hours worked after being called back (2 times the IBR if work is on a holiday), with a guaranteed three hour minimum; is without fringe benefits except those required by state and Federal law (including FICA); and is included in the employee's bi-weekly paycheck.

7.4.3   Compensatory Time

7.4.3.1   Policy

7.4.3.1.1   With the supervisor's written approval prior to working in excess of the employee's regular schedule of hours in any week, a status employee may request compensatory time off in lieu of payment. If the overtime is the result of the employee holding both a status and an adjunct appointment contemporaneously, compensatory time does not apply. Employees with only an adjunct appointment are not eligible for compensatory time.

7.4.3.1.2   If compensatory time is taken, it must be the result of mutual written agreement between the supervisor and the employee prior to the performance of the work, without any coercion or pressure by the supervisor.

7.4.3.1.3   Compensatory time will be earned at straight time for overtime worked up to and including 40 hours in the week and earned at 1.5 hours for each hour of overtime worked in excess of 40 hours a week. (See UNH V.F.7.4.3.4 for Compensatory Time Payment.) Employees may accumulate up to 240 hours of compensatory time in the fiscal year with the exception of those engaged in public safety work, who may accumulate 480 hours. Compensatory time may not be carried from one USNH fiscal year to another.

7.4.3.2   Additional Approval. The supervisor's approval of the employee's biweekly record of time worked constitutes approval. (See also UNH V.F.7.4.1)

7.4.3.3   Documentation. The supervisor is responsible for maintaining and preserving written compensatory time records which must include compensatory hours earned, used, and paid each week for each employee. For law enforcement personnel, an indication of the work week period for each employee is also required.

7.4.3.4   Payment. Accumulated compensatory time not taken will be paid on or before June 30 of each year. If an employee terminates USNH employment or transfers to another USNH department, payment will be made for accumulated compensatory time based either on the average Regular Rate (FLSA) over the last three years or the final Regular Rate (FLSA), whichever is higher. Payment is without fringe benefits other than those required by state and Federal law, including FICA, and is included in the employee's bi-weekly paycheck.

7.4.4   Holiday Pay

7.4.4.1   Policy. Status employees scheduled prior to working on a holiday are paid at 1.5 times the IBR for holiday hours worked. Employees not scheduled prior to the holiday worked are compensated at 2 times the IBR for holiday hours worked, with a guaranteed 3-hour minimum. (See also Call-Back Pay Payment at UNH V.F.7.4.2.4.)

7.4.4.2   Additional Approval. The supervisor's approval is required prior to the employee working on the holiday. (See also UNH V.F.7.4.1.)

7.4.4.3   Documentation. The employee's approved bi-weekly record of time worked serves as documentation of work schedule and holiday hours worked. The supervisor must put the requirement in writing in order for the employee to receive holiday pay. This is in addition to the employee's regular paid holiday leave.

7.4.4.4   Payment. Pay is at either 1.5 or 2 times the IBR for holiday hours worked in accordance with policy. Payment is without fringe benefits other than those required by state and Federal law, including FICA, and is included in the employee's bi-weekly paycheck.

7.4.5   Longevity Pay

7.4.5.1   Policy. Longevity increments are effective on the status hourly employee's anniversary date of employment. Length of employment begins with the first day of status USNH employment. A year of service is equal to a calendar year of employment.

7.4.5.2   Approval. The campus Human Resources Office letter to the employee serves as the acknowledgement of length of service and pay increment. No other approvals are required.

7.4.5.3   Documentation. The employee's employment record as maintained by the Human Resources Office serves as the documentation for length of service.

7.4.5.4   Payment. Upon 10 (calendar) years of completed service by the employee, the longevity increment is calculated by multiplying the IBR for the pay period by the longevity percentage as follows:

• On completion of 10 years service -- 2%
• On completion of 15 years service -- 4%
• On completion of 20 years service -- 6%
• On completion of 25 years service -- 8%
• On completion of 30 years service -- 10%

Payment is without fringe benefits other than those required by state and Federal law, including FICA, and is included in the employee's bi-weekly paycheck.

7.4.6   Overtime Pay

7.4.6.1   Policy

7.4.6.1.1   Each status and adjunct employee who works up to and including 40 hours in any week will be paid for hours worked at his/her IBR. Prior approval from the supervisor is required for the employee to work hours in excess of the employee’s normal schedule. The FLSA mandates that an employee performing non-exempt work must be provided with overtime pay for hours worked in excess of 40 in each week, unless compensatory time is taken. (See UNH V.F.7.4.3, Compensatory Time.)

7.4.6.1.2   The hours worked by the employee in all USNH jobs must be paid by the hour and must be combined for calculation of overtime. The only exception is when the additional job is teaching a credit course, in which case the hours are not combined for overtime purposes. Paid holiday leave days for status employees are counted as days worked for the purpose of computing overtime pay. For work other than Regular Duties, see UNH V.F.7.5.2, Adjunct Appointment Pay for Status Employees.

7.4.6.2   Approval. The supervisor's approval of the employee's biweekly record of time worked constitutes approval. (See also UNH V.F.7.4.1.)

7.4.6.3   Documentation. The employee's approved bi-weekly record of time worked serves as documentation.

7.4.6.4   Payment. Overtime in excess of 40 hours in any week is paid at 1.5 times the employee's Regular Rate (FLSA) and is included in the employee's bi-weekly paycheck. Payment is without fringe benefits other than those required by state and federal law, including FICA.

7.4.7   Shift Differential. A shift differential is paid to compensate status nonexempt employees for working second, third, or weekend hours. The shift payment rate for the entire shift is determined by the beginning time of the shift. Job classifications eligible for shift differential are determined by HR Compensation.

7.4.7.1   Second Shift: Begins between the hours of 2:00 p.m. and 7:59 p.m. Employees will receive $0.60 per hour in addition to their base rate.

7.4.7.2   Third Shift: Begins between the hours of 8:00 p.m. and 3:59 a.m. Employees will receive $0.70 per hour in addition to their base rate.

7.4.7.3   Weekend Shift: Begins Saturday at 12:00 a.m. through Sunday at 11:59 p.m. Employees will receive $0.50 per hour in addition to their base rate. Employees will receive $1.10 per hour for Weekend Second Shift or $1.20 per hour for Weekend Third Shift.

7.4.7.4   Adjunct and student employees are not eligible for shift differential pay.

7.4.8   Stand-By Pay (See also, USY V.F.7.3.2, Stand-by Pay)

7.4.8.1   Policy. Receipt of stand-by pay is not contingent upon being asked to work, but on being available to work. Employees on stand-by are specifically required in writing by the supervisor to restrict travel and consumption of alcoholic beverages during non-work hours.

7.4.8.2   Approval. The supervisor's approval of the bi-weekly record of time worked constitutes approval and acknowledgement that the employee fulfilled the policy requirements.

7.4.8.3   Documentation. The employee's approved bi-weekly record of time worked serves as documentation of stand-by hours worked or not worked.

7.4.8.4   Payment. The supervisor determines the appropriate pay amount within a range of amounts published by the Human Resources Office. If requested to work while on stand-by, the employee shall be paid his/her IBR for the time actually worked, plus Overtime Pay when applicable at the Regular Rate (FLSA), with a guaranteed minimum of two hours. (See UNH V.F.7.4.6, Overtime Pay.) Payment is without fringe benefits other than those required by state and Federal law, including FICA, and is included in the employee's bi-weekly paycheck.

7.5   Salary-Based or Hourly-Based Additional Pay (Adjunct Appointment, Award, Bonus for Additional Duties, Bonus in Lieu of Continuing Increase, Bonus for Performance, Bonus for Referral, Honorarium, Research Subject)

7.5.1   Approval. Pay involving externally sponsored agreements requires written approval from the UNH sponsored programs administration office. See also approvals by pay type below.

7.5.2   Adjunct Appointment Pay for Status Employees

7.5.2.1   Policy. A status employee may receive Adjunct Appointment pay if the following conditions are met:

The Adjunct Appointment is solely at the initiation and option of the employee and does not involve performance of Regular Duties requested or directed by the employee's regular appointment supervisor, and
The Adjunct Appointment work is not permanent and normally occurs only occasionally or sporadically.

Normally, the Adjunct Appointment work does not occur during the employee's regular working hours. However, if the work does occur during the employee's regular working hours, the employee must charge vacation/earned time or take leave without pay for the designated time period.

For purposes of determining overtime pay for hourly-based employees, total hours worked in the regular and Adjunct Appointment positions are combined. The only exception is when the additional job is teaching a credit course, in which case the hours are not combined for overtime purposes.

An example of an Adjunct Appointment for a Status Employee: A UNH Admissions Officer who operates the time clock at a UNH athletic event.

7.5.2.2   Approval. Prior written approval by the hiring supervisor and the Human Resources Office are required. (See also UNH V.F.7.5.1.)

7.5.2.3   Documentation. The hiring supervisor must provide written justification for the Adjunct Appointment. The regular supervisor must provide written concurrence that the Adjunct Appointment involves work in a different capacity than is normal for the employee. (See UNH V.F.7.1.27 for definition of Regular Duties.)

7.5.2.4   Payment. Pay rate is determined by the type of Adjunct Appointment work. (Consult the USNH Extra-Help Wage Schedule.) Pay is included in a paycheck that may or may not coincide with the employee's regular bi-weekly paycheck, and is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.3   Award

7.5.3.1   Policy. Extraordinary contributions to the employee's professional field may be recognized in the form of a special monetary award. The award amount is unrelated to the employee's IBS or IBR.

7.5.3.2   Approval. Written approval by the President or relevant Vice President/Provost is required. (See also UNH V.F.7.5.1)

7.5.3.3   Documentation. Written justification must be provided by the USNH employee or group recommending the award.

7.5.3.4   Payment. Pay is a one-time, lump sum payment after recognition of the extraordinary contributions and is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.4   Bonus for Additional Duties

7.5.4.1   Policy. Pay for temporary additional duties performed at the supervisor's request during an employee's given IBS or IBR Period may be made as a bonus.

7.5.4.2   Approval. Based on written recommendation by the supervisor, prior written approvals by the unit head and Human Resources office are required. (See also UNH V.F.7.5.1.)

7.5.4.3   Documentation. Written justification for the additional temporary duties must be provided by the supervisor. The justification must describe the additional duties and indicate the time period during which the duties will be/were performed.

7.5.4.4   Payment. Pay is a one-time, lump sum payment at the conclusion of the assignment and is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.5   Bonus in Lieu of Continuing Increase

7.5.5.1   Policy. An employee whose IBS or IBR is at the top of the relevant pay range may receive a bonus in lieu of a continuing increase during the annual salary increase process. The bonus amount is not added to the employee's IBS or IBR.

7.5.5.2   Approval. The unit head's written approval during the salary increase process constitutes approval. (See also UNH V.F.7.5.1)

7.5.5.3   Documentation. Salary increase guidelines, provided by the Human Resources Office, specify required documentation. For a bonus in lieu of a merit increase, performance warranting the bonus must be justified in the employee's written job performance review completed by the supervisor.

7.5.5.4   Payment. Pay is a one-time, lump sum payment and is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.6   Bonus for Performance

7.5.6.1   Policy. Performance bonuses may be awarded at any time during the year to employees responsible for or instrumental in a significant body of work that transforms the institution or employing unit, or to employees who have successfully completed special and difficult assignments well beyond the basic job requirements. The bonus amount normally is limited to no more than 7.5% of the employee’s IBS/IBR. Amounts exceeding 7.5% can be awarded if prior written approval is obtained from the President. Funding is the responsibility of the employing unit, although, in exceptional circumstances, an appeal for financial assistance may be submitted to the President.

7.5.6.2   Approval. If the documentation is to be a letter by the supervisor, prior written approvals by the President or relevant Vice President/Vice Provost, and Human Resources officer are required. During the regular salary increase process, the unit head's endorsement constitutes approval. If the amount will exceed 7.5% of the employee's IBS/IBR, the President's written approval is required. (See also UNH V.F.7.5.1.)

7.5.6.3   Documentation. Performance warranting the bonus award must be justified in the employee's written job performance review completed by the supervisor or in a letter by the supervisor when occurring at times other than the annual salary increase process.

7.5.6.4   Payment. Pay is a one-time, lump sum payment given at the conclusion of the recognized performance and is without fringe benefits other than those required by state and Federal law, including FICA. (Contact the Human Resources Office for guidance on appropriate amounts.)

7.5.7   Bonus for Referral

7.5.7.1   Policy. An employee may receive a bonus for referring a non-employee subsequently hired by USNH if the home department has implemented a referral bonus program. Such programs must be approved by the Human Resources Office prior to implementation.

7.5.7.2   Approval. Written approval by the unit head is required prior to payment. (See also UNH V.F.7.5.1.)

7.5.7.3   Documentation. A department using a referral program must have established written procedures and criteria for the program and must maintain documentation for each referral instance.

7.5.7.4   Payment. The pay amount and timing are determined by the department's established procedures and criteria. Pay is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.8   Honorarium

7.5.8.1   Policy. An employee who serves as a distinguished or keynote speaker for a special USNH event, lecture, workshop, or symposium may receive an honorarium. The honorarium amount is non-negotiable and is unrelated to the activity or the employee's IBS/IBR.

7.5.8.2   Approval. Prior written approval by the President or relevant Vice President/ Vice Provost is required. (See also UNH V.F.7.5.1.)

7.5.8.2.1   Exception for Non-Resident Aliens: Due to applicable Federal regulations, any honorarium to a non-resident alien must be pre-approved in writing by the Human Resources Office.

7.5.8.3   Documentation. The administrator engaging the employee for the honored activity must provide written justification for the selection of the employee.

7.5.8.4   Payment. Pay is a one-time, lump sum payment after the activity for which the employee is being recognized and is without fringe benefits other than those required by state and Federal law, including FICA.

7.5.9   Research Subject Pay

7.5.9.1   Policy. An employee may receive pay if the employee voluntarily agrees to participate in a sponsored research project for a USNH component institution and is accepted as a research subject by the project director.

7.5.9.2   Approval. Because the employee's anonymity as a research subject must be maintained, approval by the supervisor is not appropriate. The project director's written approval is sufficient. (See also UNH V.F.7.5.1.)

7.5.9.3   Documentation. The project director's records serve as documentation for the employee's participation in the project.

7.5.9.4   Payment. The pay amount and timing are determined by the project director in advance of employee participation in the project. Payment may be made in cash in accordance with IRS regulations and USNH policies and procedures. Pay is without fringe benefits other than those required by state and Federal law, including FICA.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VI.F.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   The Space Allocation, Repairs and Renovations Committee Space Transfer Process

1.1   Introduction

1.1.1   According to the charter of the Space Allocation, Repairs and Renovation Committee (SARRC), this committee has "ultimate responsibility for" (among other things): (1) Approving the allocation of space in all University buildings, and (2) Approving changes in the use of University lands and buildings.

1.1.2   Transfer of space between "functional units" is an important mechanism for ensuring the efficient utilization of this resource. It has been the history of SARRC, and remains the expectation of the University, that most space transfers will result from plans that are agreeable to all parties. However, when contrasting proposals for the use of space arise, a well-defined and open process for reviewing and deciding among alternatives is essential to ensure fairness and full participation by all parties.

1.1.3   As stated in the Charter, "reassignments of space contained within a functional unit, and any attendant costs, are ordinarily the responsibility of the administrator of that unit." Thus the process described here pertains only to requests to transfer space between "functional units" on campus. Under the current decentralized financial system, (Responsibility Center Management, or RCM) functional units are equivalent to RC units.

1.2   Process. Proposals to reassign space on campus can be of two types:

1.2.1   (A) the two units involved may be in agreement about the transfer, or (B) the units may disagree.

1.2.1.1   Under the first condition (A), the proposal may be brought to SARRC as a simple listing of the spaces involved. SARRC will review the request and may ask for staff analysis of impacts, followed by committee decision.

1.2.1.2   Under the second condition (B), requests for transfer of space between RC units will begin with a proposal submitted to SARRC by the unit proposing to acquire the space in question. This proposal should contain:

1.2.1.2.1   A detailed description of the spaces involved (e.g. building name and room numbers)

1.2.1.2.2   A full description of the proposed uses for those spaces

1.2.1.2.3   A description of the relevance of the transfer to University goals, as described in the Academic Plan and the Campus Master Plan

1.2.1.2.4   A quantitative and programmatic justification that space is needed by the receiving unit, and that the transfer will increase the efficiency of utilization and quality of programs; this justification should reference the unit’s three-year space utilization and needs plan

1.2.1.2.5   A projected budget for the costs of occupying and renovating the space, including the source of funds to be used for such expenses and the estimated on-going facilities charges for the acquired space

1.2.2   Prior to submitting a proposal to SARRC, the proposing unit must share its proposal with the unit to which the space is currently assigned. The affected units are expected to engage in good faith discussions intended to resolve the issues, resulting in a voluntary agreement. If a voluntary agreement is still not possible, the affected unit has the right to submit its request to maintain the status quo (or to submit a counter-proposal) to SARRC. This response should be submitted to SARRC within 45 days of receiving initial notification from the proposing unit.

1.2.3   Upon receipt of a proposal and any response from the affected unit, SARRC will commission an independent analysis of the utilization of the spaces described and the financial and programmatic impact of the transfer on both units.

1.2.4   Upon completion of this analysis, the Vice President(s) responsible for the units involved will meet with the Deans and/or Directors and attempt to resolve any disagreements arising from the proposed transfer. If agreement is reached, the process described for condition A) above will be followed

1.2.5   If agreement cannot be reached, SARRC will review all available information relating to the current and proposed use of the spaces involved. Voting members of the committee will decide, by simple majority, whether all, some, or none of the spaces will be transferred.

1.2.6   If a contested transfer is approved by SARRC, any change in space assignment will take place no sooner than 6 months, and normally no later than 9 months, after the date of approval.

1.2.7   All contested transfers will be reviewed for renewal or reassignment by SAARC three years after the date of the move.

8.   Special Events Property Management

8.1   Applicability: This procedure applies to all University property during the entire academic year beginning with the first day of classes and extending through Commencement weekend.

8.2   Definitions:

8.2.1   Core mission activities are those provided by and restricted to University employees (faculty, staff and administrators), students and alumni, the cost of which is paid in full by University funds.

8.2.2   Property Managers are University employees who have direct managerial responsibility for the oversight, operation and scheduling of University buildings and grounds.

8.2.3   An Event Manager is the individual who contacts Property Managers for the purpose of scheduling the use of University properties.

8.2.4   Special events are non-core mission activities which require the use of University buildings and/or grounds.

8.3   Intent

8.3.1   Ensure that core mission activities receive priority use of University facilities without limitations caused by special events;

8.3.2   Maximize the use of University facilities without exceeding the reasonable capacity of University parking facilities;

8.3.3   Minimize the negative impact of special events at the University on the Town of Durham;

8.3.4   Provide effective internal communications between property managers and the Department of Transportation and UNH Police;

8.3.5   Increase sensitivity to the parking needs of special event participants prior to confirming special event schedules.

8.4   Responsibility

8.4.1   Property Managers will be responsible for maintaining on-going communications with the Event Manager, Director of Transportation and Chief of UNH Police regarding the parking needs and schedule of special events.

8.4.2   Director of Transportation will maintain a master calendar of the demands placed on parking facilities and advise Property Managers and the Vice President for Finance and Administration when reasonable parking capacity will be exceeded.

8.4.3   The Chief of UNH Police will determine safety and security coverage, and the logistics of vehicular and pedestrian traffic in support of special events.

8.4.4   Event Managers shall work with the Property Manager, Director of Transportation and Chief of UNH Police in order to receive all necessary directions and instructions for their special event participants and communicate the same to the participants.

8.5   Procedure

8.5.1   Property Managers will maintain the schedule of events for the properties under their management. Prior to confirming a special event schedule, the Property Manager shall communicate with the Director of Transportation in order to confirm availability of parking.

8.5.2   The Property Manager shall provide to the Director of Transportation the name of the special event group, the number of participants, the time-date-place(s) of the group's on-campus activities, and the name of the Event Manager.

8.5.3   The Director of Transportation will specify time, date and place of available parking for the special event. If reasonable parking is not available, the Director of Transportation shall communicate to the Property Manager and the Vice President for Finance and Administration the impending over-subscription of parking capacity.

8.5.4   In such cases when reasonable parking is not available, confirmation of the special event by the Property Manager will be suspended pending review by the Vice Presidents and President.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.A.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction

1.1   A core value of the University of New Hampshire (University) is the open exchange of research and scholarly information both within the University and between the University and the public. This policy addresses the circumstances under which University research and scholarship are conducted in an open environment, regardless of whether or not a sponsored program is involved.

2.   Authority and Responsibility

2.1   The Senior Vice Provost for Research holds the responsibility to uphold the University's policy on openness, access, and participation in research and scholarly activities.

3.   Applicability and Scope

3.1   This Policy applies to all members of the University community including, but not limited to, faculty, staff, and students; visiting scholars, scientists, and postdoctoral fellows; and any other persons engaged in research at or under the auspices of the University.

3.2   This policy does not apply to consulting or other activities conducted in an individual capacity and without the use of University facilities or resources.

4.   Policy

4.1   Research and scholarship will be accomplished openly for the exchange of ideas and information and without prohibitions on the dissemination of the results of these activities. The University will not accept restrictions that limit the access of any interested parties, including foreign nationals, to the University's research and scholarly activities. This is essential to the progress of research and scholarship in all disciplines across the University.

4.2   There can be no fundamental limitation on the freedom to disseminate the results of research and scholarship conducted on the part of the University. Therefore:

4.2.1   The University will enter into no agreement that bars any University researcher or scholar from publishing or otherwise disclosing his/her findings publicly. However, the University may agree to delay a publication or other form of disclosure for no more than 30 days to allow a sponsor to determine whether a) sponsor proprietary information may be revealed or b) the sponsor will exercise rights under patent clauses in agreements with the University. With the researcher’s written consent, the University may extend such delay for a maximum of an additional 60 days to allow for the filing of appropriate patent protection. All publication or other disclosure delays agreed to by the University must be detailed in the written sponsored project agreement.

4.2.2   The University may accept a sponsor's proprietary materials or information when the materials or information convey(s) important background information for a specific research project. Requirements regarding access, use, and protection of such materials or information must be agreed to in a written Non-Disclosure Agreement (NDA) or other confidentiality agreement and must not restrict the dissemination of research results. Sponsor requirements should not proscribe citation of the sponsor name in publications.

4.2.3   Proprietary materials or information must be labeled as such by the sponsor before release to the University researcher. The researcher’s use of such materials or information must comply with the terms of the NDA as negotiated between the sponsor and the University.

4.3   Projects conducted at a government or sponsor site may require sponsor approval of a foreign national's access to their facilities. The University will agree to such conditions provided there is no expectation that the dissemination of research or scholarly results would also be subject to restrictions or require approval.

4.4   Under circumstances where it is clear and demonstrable that the objectives of the University will be served (using the University's Academic Plan or, where applicable, a Unit’s Academic or Strategic Plans as guides), rare exceptions to this Policy may be granted by the Senior Vice Provost for Research. Researchers wanting an exception should forward a written request (endorsed by the relevant Dean or Unit Director) that describes:

4.4.1   How the request is consistent with the University's objectives (Academic Plan, Strategic Plan, or other); and

4.4.2   How the researcher and others in their lab/research group will comply with the specific requirements and limit the impact of the requirements to the particular sponsored project under consideration.

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Related University Policies and Guidelines:

Policy on Classified Work
Policy on Ownership and Management of Research Data
Policy on Conflict of Interest: Professional Consulting Activities
Guidelines on Export Controls and Embargoes Management Systems

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.B.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction

    1.1   A core value of the University of New Hampshire (University) is the open discovery and exchange of knowledge through publication, education, and public outreach. Because of this core value, the University does not endorse or support the conduct of classified work on campus.

2.   Definitions

    2.1   Classified information or material. Information or material determined by the U.S. government to require protection against unauthorized disclosure for reasons of national security or any restricted data as defined in paragraph r or section 11 of the Atomic Energy Act of 1954. Classified information or material is categorized at one of three levels: top secret, secret, or confidential.

    2.2   Classified work. Any activity that uses classified information or material.

3.   Authority and Responsibility

    3.1   The President of the University holds the authority and responsibility to uphold the University's core value of free and open exchange of scholarly information.

4.   Applicability and Scope

    4.1   This Policy applies to all members of the University community including, but not limited to, faculty, staff, and students; visiting scholars, scientists, and postdoctoral fellows; and any other persons engaged in scholarly activity at or under the auspices of the University.

    4.2   This policy does not apply to consulting or other activities conducted in an individual capacity and without the use of University facilities or resources. Consulting activities must conform to the separate University System of New Hampshire policy on conflict of interest (https://www.usnh.edu/policy/usy/v-personnel-policies/d-employee-relatio…) and, if applicable, the AAUP-UNH/University System of New Hampshire Collective Bargaining Agreement.

5.   Policy Statement

    5.1   It is the policy of the University that instruction, scholarship, and service will be accomplished openly and without prohibitions on the publication and dissemination of the results of scholarly and research activities. Specifically:

        5.1.1   The University neither conducts classified work on campus nor permits use of University facilities for such work.

        5.1.2   Classified information will not be stored or maintained on campus, and the University will not provide the campus-based facilities required to assure the security of such information.

        5.1.3   If a change in security requirements places a research project in conflict with this policy, the University shall endeavor to (1) have the change in security requirements withdrawn; (2) negotiate the University's continued performance of work not affected by changes to the security requirements; or (3) terminate the project in whole or in part, as may be appropriate.

        5.1.4   No restrictions are placed by this policy on the pursuit of funding for, or participation in, collaborative research that uses classified information, as long as that information is used and secured off-campus. Obtaining the clearances required for such off-campus work is the responsibility of the researcher. If the basis for the researcher's work is classified information, related on-campus activity must remain open.

    5.2   This policy does not require disclosure of the identity of human research subjects whose participation in research projects is secured through pledges of anonymity. Further, this policy does not require disclosure of confidential student, patient, or employee records protected by Federal, state or University policies or of information protected by professional ethics.

 

Related University Policy:

Openness, Access, and Participation in Research and Scholarly Activity (https://www.usnh.edu/policy/unh/viii-research-policies/openness-access-…)

Related Federal Requirements:

PL 96-456, Classified Information Procedures Act
EO 12356, National Security Information
42 USC 2014(y), Atomic Energy Act of 1954 or section 11

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.C.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction

1.1  Collection and generation of research data are integral aspects of research activity at the University of New Hampshire (UNH), whether the data are primary in nature or compiled, assembled, or otherwise derived. These data have several purposes: to serve as a record of the investigation, to form the basis on which conclusions are made, and to enable the reconstruction of procedures and protocols. In keeping with its commitment to promote integrity in the scholarly process, UNH's research data management practices should ensure open and timely access to and sharing of research data. Access, sharing, and retention are especially vital with respect to questions about compliance with legal or regulatory requirements governing the conduct of research, accuracy or authenticity of data, primacy of findings, and reproducibility of results.

1.2  UNH has developed this policy to protect UNH investigators and the integrity of research data generated under the auspices of UNH. Investigators have the right to choose the nature and the direction of their investigations, to use research data generated to pursue future research, to publish their results, and to share their findings with scientific and academic communities. The exercise of these rights, however, is subject to compliance with aws and regulations, as well as contractual obligations, governing the conduct of research. In conducting research as part of the UNH community, investigators are obligated to assist UNH in fulfilling its responsibilities of complying with applicable federal, state, and local laws, and sponsor requirements governing the conduct of research, including the management and sharing of research data.

1.3  UNH’s responsibility for stewardship of research data, including access to data, derives from the Office of Management and Budget (OMB) Circular A-110, Subpart C.53 for awards with a start date prior to December 26, 2014 or Uniform Guidance, Section 200.333 for awards with a start date on or after December 26, 2014. While this regulatory authority applies specifically to federally funded activities, the principle that it espouses informs good management practices with respect to all research activities undertaken at UNH. Further an increasing number of sponsors (e.g., National Science Foundation [NSF], National Institutes of Health [NIH]) have requirements for sharing research data and disseminating research results.

2.   Definitions

2.1   Investigator.

2.1.1   Faculty or Staff Principal Investigator (PI): A faculty or staff employee of UNH who holds primary responsibility for the research project/activity for which data will be collected.

2.1.2   Student Investigator: A graduate or undergraduate student involved in the design, conduct, data collection, or reporting of a research project/activity at or under the auspices of UNH.

2.1.3   Other Investigator: A visiting scholar, scientist, postdoctoral fellow¹, or other visiting person who holds primary responsibility for a research project/activity for which data will be collected at or under the auspices of UNH.

2.1.4   Sponsoring Principal Investigator (Sponsoring PI). The UNH faculty or staff advisor, instructor, or mentor on a student-initiated research project/activity serves as the Sponsoring PI for purposes of this policy. (See also footnote 1.)

2.2   Research. Investigation undertaken to gain knowledge and understanding, including that conducted in the classroom setting. An investigation may be conducted without any particular application or generalization in mind, for possible future application or generalization, or to address an immediate need.

2.3   Research Data. The recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scientific papers, plans for future research, peer views, or communications with colleagues. Research data may be in hard-copy form (including research notes, laboratory notebooks, or photographs) or in electronic form, such as computer software, computer storage/backup, or digital images.

2.3.1   Research data are not limited to raw experimental results and instrument outputs; they encompass associated protocols, numbers, graphs, tables, and charts used to collect and reconstruct the data. Research data include numbers, field notes or observations, procedures for data analysis and/or reduction, data obtained from interviews, or surveys, computer files and databases, research notebooks or laboratory journals, slides, audio/video recordings, and/or photographs.

2.3.2   Research materials are tangible physical objects from which data are obtained such as, environmental samples, biological specimens, cell lines, derived reagents, drilling core samples, or genetically-altered microorganisms. While these are not considered to be research data, they should be retained consistent with disciplinary standards.

2.3.3   Research data do not include: unreported preliminary analyses of data, drafts of scientific papers, future research plans, peer reviews, or communications with colleagues; trade secrets, commercial information, or materials necessary to be held confidential by a researcher until they are published, or similar information protected under law; personnel, medical, and similar information, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. (See OMB Circular A-110 Subpart C.36(d)(2)(i) for awards with a start date prior to December 26, 2014 or Uniform Guidance, Section 200.315 for awards with a start date on or after December 26, 2014.)

2.4   Ownership. Ownership is that condition under which an organization, individual(s), or any combination of the foregoing has (have) all rights and title to specific property owned.

2.5   Custodianship. For purposes of this policy, Custodianship is the physical possession of and direct responsibility for protecting research data, including accurate recording and proper retention, maintenance, access, sharing, and disposition of the data.

2.6   Stewardship. For purposes of this policy, Stewardship is the UNH's overarching responsibility to develop, maintain, and ensure adherence to appropriate policies for data ownership and management.

3.   Authority and Responsibilities

3.1   The Senior Vice Provost for Research (SVPR). The SVPR has the authority and responsibility for administering and enforcing this policy for UNH, including, but not limited to, the following:

3.1.1   Communicating this policy to all members of the UNH community;

3.1.2   Ensuring UNH complies with terms of sponsored agreements, including requirements to share research data;

3.1.3   Protecting rights of faculty, staff, students, and other investigators to access data from projects/activities in which they participated as researchers at or under the auspices of UNH²;

3.1.4   Securing UNH’s intellectual property rights³; and

3.1.5   Facilitating investigation of charges, such as scientific misconduct or financial conflict of interest in research⁴.

3.2   Faculty or Staff Principal Investigator (PI), Other Investigator, or Sponsoring Principal Investigator (Sponsoring PI).

3.2.1   Each PI, Other Investigator, or Sponsoring PI and each member of the research group is responsible for following this policy and the PI's, Other Investigator's, or Sponsoring PI's established practices for the research project/activity.

3.2.2   The PI, Other Investigator, or Sponsoring PI for a research project/activity is responsible for all aspects of:  (1) procuring and maintaining research data, including collection and/or recording, and providing adequate accompanying documentation; (2) security during collection, maintenance, and retention phases; (3) timely access to data, materials, and essential records; (4) sharing research data and results as required; and (5) retention. The PI, Other Investigator, or Sponsoring PI for a research project/activity is responsible for carrying out these responsibilities in a manner consistent with the standard practices for her/his discipline and/or the terms of a governing sponsored agreement. They are also responsible for educating those supervised about these practices and associated rationale.

3.3   Student Investigator. Each Student Investigator is responsible for following this policy and the direction of her/his Sponsoring PI. (See also footnote 1.)

4.   Applicability and Scope

4.1   This policy applies to all members of the UNH community including, but not limited to, faculty, staff, students; visiting scholars, scientists, and postdoctoral fellows; and any other persons at the UNH involved in the design, conduct, or reporting of research at or under the auspices of UNH.

4.2   This policy applies regardless of the source of support for the research project/activity and therefore does not distinguish between funded and unfunded efforts, except where specific sponsor requirements prevail.

4.3   This policy should not be construed to limit the right of any member of the UNH community who is an Investigator on a project/activity to have access to and to work with the research data generated in that project/activity, nor should this policy be construed to constrain the practices that are particular to the field of inquiry of which the data are a part.

5.   Ownership⁵ and Custody (See also section 10.)

5.1   Faculty or Staff Principal Investigator (PI) or Other Investigator. UNH shall own all research data generated for research projects/activities initiated by a PI or Other Investigator in each of the following instances:

5.1.1   The Investigator performed the research project/activity while supported by UNH-administered funds in the form of salary, wages, or stipend, including externally-sponsored funds; or

5.1.2   The Investigator used UNH-owned facilities or equipment for the research project/activity (other than UNH libraries and similar facilities available to the general public, or occasional use of equipment and office space); or

5.1.3   There is a legal obligation that otherwise restricts ownership of the research data by virtue of a prevailing sponsored research, material transfer, confidential disclosure, or other legally binding written agreement accepted in the UNH’s name on behalf of the Investigator.

5.2   Student Investigator. UNH shall own all research data generated by a Student Investigator for research projects/activities in each of the following instances:

5.2.1   The Student Investigator performed the research project/activity while supported by University-administered funds in the form of salary, wages, or stipend, including externally-sponsored funds.

5.2.2   The Student Investigator used UNH-owned facilities or equipment for the research project/ activity (other than UNH libraries and similar facilities available to the general public).

5.2.3   The Student Investigator received course credit or conducted the research project/activity for her/his thesis or dissertation.

5.2.4   UNH is the legal owner of the research data by virtue of a prevailing sponsored research, material transfer, confidential disclosure, or other legally binding written agreement accepted in the UNH's name on behalf of the Student or Sponsoring PI.

5.3   Custody. Through this policy, UNH automatically assigns custody of all UNH-owned research data to the PI, Other Investigator, or Sponsoring PI (for students), as applicable, who carries out her/his custodial responsibilities in accordance with this policy.

5.3.1   For research studies initiated by UNH where data about the institution are collected for purposes of institutional decision making, UNH assigns custody of the research data to an UNH Academic Administrator who carries out her/his custodial responsibilities in accordance with this policy.

6.   Recording Research Data

6.1   Investigators shall record research data consistent with the standard practices of their discipline. In the absence of such standards, UNH's minimum standard is that research records are written/recorded, dated, and identified by the project title and name(s) of the individual(s) conducting the activity, experiment(s), or other investigation(s). Whatever the organizational system used, the Investigator should ensure that all personnel involved with the research project/activity, including any key administrative personnel, understand and adhere to the system.

7.   Maintaining/Retaining Research Data

7.1   General principles:

7.1.1   Research data and associated materials/correspondence must be retained in sufficient detail and duration to allow appropriate response to questions about research accuracy, authenticity, primacy, and compliance with laws and regulations governing the conduct of research.

7.1.2   The recordkeeping systems/practices used by Investigators should allow unmediated access by UNH over their entire retention period. Of particular importance are instances in which an Investigator leaves UNH.

7.1.3   Investigators are responsible for the physical storage and security of research data during collection and retention periods, consistent with the standard practices of their discipline and/or the terms of a sponsored agreement. Of particular importance are issues involving confidentiality and general management of data obtained from human subjects, security of research data against theft or loss, and maintenance of backup or archival copies of research data that may be needed in the event of a disaster, as well as any software.

7.2   Data Retention Period. Except as noted below, UNH requires a data retention period of at least: (a) three years from the date of data collection, (b) three years from the termination of a sponsored agreement under which the data were collected (or longer if the agreement mandates), or (c) three years from the publication of a paper based on the data. The longest term of the three options cited shall be the controlling period.

7.2.1   Exceptions:

7.2.1.1   For Student Investigators, research data must be retained in an authorized manner until the pertinent three year controlling period (above) has elapsed, the student's degree is awarded, or the research project/activity is closed or completed, whichever is longer. In addition, if the student’s department requires a longer retention period, the latter would prevail.

7.2.1.2   When existing research data are relevant to an allegation of misconduct in scholarly activity or of financial conflict of interest, or to an open case of litigation, claim, or audit, the retention period must extend at least to the resolution of the case and final action taken, comply with the retention requirements of the policy/regulation/law governing the case (e.g., seven years for cases adjudicated under the UNH policy on Misconduct in Scholarly Activity), or the three year controlling period (above) has elapsed, whichever is longer.

7.2.1.3   Data relevant to intellectual property interests must be retained for as long as may be necessary to protect those interests, at minimum for the (above) three year controlling period. (For example, data relevant to patent applications must be retained in accordance with US Patent and Trademark Office guidelines). (http://www.uspto.gov)

7.2.1.4   Data subject to specific federal, state, or local regulation must be retained for the period indicated by the regulation, or the three year controlling period (above), whichever is longer. (For example, most records of radioactive material use must be retained for as long as UNH is granted a license by the New Hampshire Bureau of Radiological Health. Consult the UNH Office of Environmental Health and Safety (OEHS) for guidance.

7.2.1.5   When records are transferred to or maintained by the federal awarding agency, the three year retention requirement is not applicable to the award recipient (UNH).

7.3   Destruction of Data. At the discretion of the PI, Other Investigator, or Sponsoring PI, research data may be destroyed or otherwise disposed of after retention period requirements have been met. (See section 7.2) In some cases it may be advisable to document the manner of destruction if, for example, animals, human subjects, or hazardous materials were involved.

8.   Accessing Research Data

8.1   Members of Research Groups. Reasonable access to research data should normally be available to any member of the research group in which the data were collected, when such access is not limited otherwise by written agreement, policy, or regulation. Prior to the initiation of a research project/activity, the PI, Other Investigator, or Sponsoring PI should come to a written understanding with each Student Investigator and/or member of the research group, specifying who has access to what research data and when. For unique materials prepared in the course of the research, such as intermediates in chemical synthesis, cell lines, or reagents, items that can be proportioned should be divided among members of a research group at different locations under negotiated terms of a written Material Transfer Agreement. If there is any possibility that a copyright or patent application might emerge from a group project or other collaborative effort, the PI, Other Investigator, or Sponsoring PI should promptly contact UNHInnovation for guidance.

8.2   UNH. There may be instances in which it is necessary for UNH to access research data in situations including, but not limited to, sponsor requests, patent disputes, allegations of data misuse, subpoena, or Freedom of Information Act/Right to Know Law requests. To facilitate necessary, timely, and appropriate access to research data, UNH reserves the right to take physical possession of such data. This responsibility lies with the SVPR.

8.2.1   With Prior Notification. Where there exists a legitimate official need to take physical possession of research data in situations not covered by existing UNH policies such as those on Intellectual Property, Misconduct in Scholarly Activity, Financial Conflict of Interest in Research, or Privacy and Security of Technological Resources, the SVPR will notify the Investigator in writing of such need. The SVPR's request will describe the data sought and set forth the legitimate official need(s) sufficient to justify the request. The Investigator may appeal the request to the UNH President. Any such appeal must be in writing and submitted to the President within 5 days of the SVPR's request. The President shall review the appeal, make any further inquiry deemed appropriate, determine whether there is sufficient legitimate official need, and inform the Investigator of the decision in writing within 5 working days of receipt of the appeal. The President's decision shall be final.

8.2.2   Without Prior Notification. If the SVPR determines it would be impractical (e.g., deceased Investigator) or would be contrary to UNH's interests (e.g., Investigator has violated a UNH contractual obligation) to notify the Investigator that the SVPR intends to take physical possession of the research data, the SVPR will present the written request and justification to the UNH President. The President will determine whether to grant the request, and her/his decision shall be final. If the request is granted, the President will communicate this decision to the Investigator after the research data have been secured by the SVPR.

9.   Sharing Research Data

9.1   UNH recognizes the importance of data sharing in the advancement of knowledge and education.

9.2   Research data created by Investigators may be shared for research or scholarly purposes consistent with standard practices of their discipline with other individuals when such sharing is not limited by written agreement, policy, or regulation. Investigators shall make every effort to protect intellectual property rights as defined and governed by the UNH Intellectual Property policy.

9.3   Certain external sponsors (e.g., the National Science Foundation and the U.S. Public Health Service) require that data gathered in the course of research supported with their funds be shared broadly in a timely manner after the associated research results have been published or provided to the sponsor. When data sharing is not governed otherwise by another written agreement or an applicable policy or regulation, research data created by Investigators may be shared in a manner consistent with standard practices of their discipline. Tangible research materials (e.g., cell lines, technical data, manufactures of matter, or any unique material) shall be shared only by specific agreement with persons or entities outside UNH (or vice-versa). Such specific agreements may include but are not limited to Material Transfer Agreements, Uniform Biological Material Transfer Agreements, License Agreements, Grants, and Contracts.

10.   UNH Use of Research Data

10.1   UNH retains a non-exclusive, irrevocable, royalty-free license to use all research data for purposes of internal research, education, and/or protection of intellectual property when the data are generated at or under the auspices of UNH.

11.   Disposition of UNH-owned Research Data when Investigator Permanently Leaves UNH and/or Ceases Involvement in Project or Activity

11.1   Faculty or Staff Principal Investigator (PI), Other Investigator, or Sponsoring PI.

11.1.1   The PI, Other Investigator, or Sponsoring PI should come to a written understanding with each Student Investigator and/or member of the research group, specifying which parts of the research data may be copied and taken by the individual when s/he leaves the group or ceases involvement in the research project/activity. The written understanding should address research data generated both before and after the individual's departure from the research group or cessation of her/his involvement in the research project/activity. The original data must remain in the custody of the PI, Other Investigator, or Sponsoring PI.

11.1.2   If/when the PI, Other Investigator, or Sponsoring PI permanently leaves UNH, s/he may normally take original research data for which s/he is custodian. In doing so, s/he must notify her/his Dean/Director of the location of such data. However, original research data must remain at UNH when (a) the data have been used for a patent application filed or pending filing by UNH , (b) the research data are relevant to an ongoing inquiry/investigation under UNH's policy on Misconduct in Scholarly Activity or (c) the funding sponsor of the project/activity specifically requires UNH retain original data. Departing PIs, Other Investigators, and Sponsoring PIs are obligated to hold the data in trust for UNH and return the data when requested to do so. The data must not be disposed of within the controlling retention period (see section 7.2) without written permission of UNH’s SVPR.

11.2   Student Investigators. Upon departure from UNH, a Student Investigator may take a copy of UNH-owned data related to her/his research project/activity (including thesis or dissertation). (See section 5.2) However, s/he must leave the original research data, including laboratory notebooks, with the Sponsoring PI.

12.   Appeal of Determination of Ownership

12.1   Faculty or Staff Principal Investigator or Other Investigator. In cases where assertions of UNH ownership of research data are in dispute, the individual with the dispute should initiate a written appeal to the SVPR. Within 30 days of receipt of the appeal, the SVPR shall appoint an ad hoc review committee consisting of three persons. One person shall be selected by the individual(s) to be represented, one by the SVPR, and one by the Provost. The review committee shall make the ownership determination which shall take effect unless a further appeal is made by the individual(s) involved, or by the SVPR. Within 30 days of appointment of the review committee, the committee's decision will be communicated in writing by the SVPR to the individual who initiated the appeal. If a further appeal is indicated, the review committee will present the case to the UNH President, whose written decision shall be issued within 15 days of her/his receipt of appeal, and shall be final and binding upon all parties.

12.2   Student Investigators. A student wishing to appeal UNH ownership of research data generated in the student’s research project/activity conducted at or under the auspices of UNH should initiate a written appeal to the Dean of the Graduate School, if a graduate student, or to the undergraduate college/school Dean if an undergraduate student. Within 30 days of receipt of the appeal, the Dean, in consultation with the Sponsoring PI and the SVPR (or her/his representative), shall make a determination as to whether an exception to this policy shall be granted and ownership of the research data assigned to the student. The Dean's decision will be communicated promptly in writing to the student. If a further appeal is indicated, the Dean will present the case to the Provost and Executive Vice President for Academic Affairs whose written decision shall be issued within 15 days of her/his receipt of appeal and shall be final and binding upon all parties.

13.   Enforcement

13.1   Failure to comply with the requirements of this policy will be considered a deviation from accepted standards of conducting research at UNH.

13.2   The SVPR will investigate alleged violations of this policy and will make recommendations for action to the UNH President. Breaches of policy include, but are not limited to: Failure to maintain/retain research data as stipulated; and failure to provide to UNH research data as outlined in Section 8. If the President determines that the policy has been violated, he/she may impose sanctions including, but not limited to: Formal admonition; a letter to the individual’s personnel file; notification to the study sponsor; or withholding of degree.

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Footnotes
¹For purposes of this Policy, individuals appointed to positions at UNH as Postdoctoral Research or Teaching Associates and NIH Postdoctoral Trainees - as distinct from Postdoctoral Fellows - are considered to have the same rights and responsibilities as Student Investigators.
²See the Faculty Handbook and Students' Rights, Rules and Responsibilities.
³See the UNH Intellectual Property policy.
⁴See University policies on Financial Conflict of Interest in Research and Misconduct in Scholarly Activity.
⁵Issues involving potential financial gain or commercial value of intellectual property based on or derived from research data are covered by the UNH Intellectual Property policy.

 

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.D.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   References

     UNH Policy on Ownership and Management of Research Data – UNH VIII.C

     UNH Policy on Misconduct in Scholarly Activity - UNH II.C

     UNH Policy on Financial Conflict of Interest in Research – UNH VIII.E

     UNH Policy on Management of Equity Interests in Start-up Companies - UNH IV.D

     UNH Guidelines on Material Transfer Agreements

     UNH Primer on Copyright Law and Recommended Procedures

     Acknowledgement of Intellectual Property Policy and Assignment

2.   Preamble

2.1   The University of New Hampshire (University) recognizes its responsibility to produce and disseminate knowledge. Inherent in this responsibility is the need to encourage the production of creative and scholarly works and the development of new and useful materials, devices, processes, and other Intellectual Property. The creation of this Intellectual Property may have potential for commercialization, which thereby contributes to the professional development of the individuals involved, enhances the reputation of the University, provides expanded educational opportunities for students, and promotes public welfare.

2.2   Intellectual Property that has commercial potential may be protected under a variety of legal mechanisms. Most commonly these are legal protections covering Copyrights, Patents, Plant Variety Protection, Trademarks, and Trade Secrets. The incentive to the creators of Intellectual Property must be preserved so that their creative abilities and the creative abilities of others are encouraged and stimulated. The benefits derived from Intellectual Property should be used to further the teaching and/or research programs of the University.

2.3   The University has a responsibility to use all available resources to ensure utilization of Intellectual Property and materials for the public good and to expedite their development and transfer. Concurrently, the rights and privileges of Innovators must be preserved so that their initiatives and entrepreneurship may be encouraged, stimulated, and rewarded.

2.4   To foster such activities, the University shall maintain an Intellectual Property policy that is balanced with the University’s mission and is fair to all parties.

3.   Intellectual Property Administration

3.1   On behalf of the Office of the Senior Vice Provost for Research (OSVPR), UNHInnovation (UNHI) is responsible for managing the University's Intellectual Property. Administration of the principles and policy set forth herein shall be the responsibility of UNHI. This responsibility includes, but is not limited to, the following:

3.1.1   To act in accordance with the policy herein set forth;

3.1.2   To make recommendations to the Senior Vice Provost for Research (SVPR) and the President with respect to any changes in the Intellectual Property policy of the University as, from time to time, may be deemed appropriate;

3.1.3   To maintain files and records of Intellectual Property activities including the institutional expenses related to protection of the Intellectual Property and commercialization;

3.1.4   To submit an annual report to the President concerning the University's Intellectual Property activities;

3.1.5   To publicize and promote the University’s Intellectual Property policy and to vigorously pursue opportunities arising therefrom;

3.1.6   To comply with Federal regulations regarding the reporting, licensing, and maintenance of Inventions;

3.1.7   To allocate appropriate resources to manage the University’s Intellectual Property; and

3.1.8   To offer information and assistance to the University community concerning the procedures that should be followed in order to gain adequate protection between the time of conception of an Invention, discovery, Trademark or Copyrightable Work and the processing of a formal application for a patent or registration.

4.   Applicability

4.1   This policy applies to all members of the University community (hereinafter referred to as Covered Individuals) including, but not limited to, all faculty, administrators, staff, students; visiting scholars, scientists, and postdoctoral fellows; and any other persons at the University involved in carrying out the University's mission at or under the auspices of the University.

4.2   This policy applies regardless of the source of support for the research/scholarly activity and therefore does not distinguish between funded and unfunded efforts, except where specific sponsor requirements prevail.

4.3   This policy should not be construed to limit the right of any member of the University community to conduct his/her research/scholarly work.

5.   Definitions. Throughout this policy statement, terms related to development, transfer, and commercialization of Intellectual Property are used. These terms are briefly described below.

5.1   Assignment. The process of transferring ownership of the Intellectual Property from the Innovator to another individual or entity, such as another educational institution or corporation. For purposes of this policy, assignment is to the University of New Hampshire.

5.2   Copyright and Copyrightable Work(s). As defined in 17 US Code, copyright is granted by the United States government to the author of "original works of authorship fixed in a tangible form of medium." As often found in academia, these works include the following:

5.2.1   Scholarly works (e.g., textbooks, class notes, research monographs and articles, journal publications, classroom and research instructional materials);

5.2.2   Creative/artistic works (e.g., music, art, dance, poetry, fiction, photography, audio-visual works, and film);

5.2.3   Copyrightable software (academic, research, and commercial);

5.2.4   Mask Work(s) (semiconductor chip designs protected under a Federal law administered by the U.S. Copyright Office);

5.2.5   Other developing areas, including but not limited to multimedia works and electronic communications (including media used for distance learning).

5.3   Covered Individual. Any faculty member, staff member, student, visiting scholar, or any other person at the University involved in carrying out the University’s mission at or under the auspices of the University.

5.4   Disclosure. The act of reporting a creation of Intellectual Property as required under this policy.

5.5   Exempted Scholarly Work. This applies to Copyrightable Works where the University waives its ownership interest in favor of the author. See Section 8 of this policy.

5.6   Innovator(s). The person(s) who devises, creates, and produces Intellectual Property.

5.7   Intellectual Property. As used in this policy, includes not only Inventions, authored works, Trademarks, or other knowledge products which may be protected legally (such as with Patents and Copyrights), but also physical or tangible embodiments, such as biological organisms, unpatented plant varieties, or other Tangible Research Properties. See Section 5.21 of this policy. Intellectual Property is also known as Innovation(s) in this policy.

5.8   Invention. Any invention or discovery which is or may be patentable or otherwise protectable in regards to ownership. Examples: new fluorescence optics instrument, new algorithm for data compression, new chemical process, new plant variety, or new monoclonal antibody.

5.9   Inventor(s). The person(s) who devises, creates, and produces something not previously known or existing and who is determined to be an inventor under applicable patent law. Inventor(s) is a specific category of Innovator.

5.10   Intellectual Property Disclosure. The process of disclosing Intellectual Property to UNHI.

5.11   Know-How. Often associated with Tangible Research Property, Know-How may include detailed and specific information regarding how to manipulate specific biological materials or create and maintain specific devices. Know-How may add value to Intellectual Property Licenses.

5.12   License. A legal contract that grants to others certain legally protected rights of use in Intellectual Property. The License establishes the rights and obligations of each party and sets Royalties. It also identifies whether the License is exclusive or non-exclusive, the field of use, and the territory.

5.13   Material Transfer Agreement (MTA). A legal document that governs the transfer of Tangible Research Property between the University and a potential partner for purposes including testing and evaluation.

5.14   Net Income. As used in this policy, Net Income is the amount of money received by UNH from licensing after deduction of certain expenses connected with developing, securing, maintaining, and commercializing the Intellectual Property. For example: UNH receives a royalty payment of $100,000 and incurs Patent-related expenses of $15,000 and licensing expenses of $3,000. The Net Income is $100,000 minus $18,000, leaving $82,000. Net Income does not include research funding provided by a licensee, equipment, gifts, or other non-Royalty-based items of value.

5.15   Owner(s). The individual(s) or entity holding the rights and title to the property. Property can be either tangible or intangible.

5.16   Patent. As defined in 35 US Code, a Patent is a grant of a property right by the U.S. Patent and Trademark Office to the Inventor for an Invention. The USPTO grants three types of Patents: utility Patents for novel, useful, and non-obvious Inventions; plant Patents for any distinct and new variety of plant that is asexually reproduced; and design Patents for a new, original, and ornamental design for an article of manufacture.

5.17   Plant Variety Protection Certificates. These certificates are issued by the U. S. Department of Agriculture for sexually produced plants.

5.18   Research Data. Data generated through research, including lab notebooks, research notes, research data reports, notebooks, survey data, etc. See UNH Policy on Ownership and Management of Research Data.

5.19   Royalty. The value paid by a commercial partner, other university, or other entity for the right to use Intellectual Property. Royalties are often expressed as a percentage of the licensee's sales revenue earned through use of the Intellectual Property.

5.20   Start-Up. For purposes of this policy, any company started as a result of licensing the University’s Intellectual Property.

5.21   Tangible Research Property. Perceptible items produced in the course of research including such items as biological materials, engineering drawings, integrated circuit chips, computer databases, prototype devices, circuit diagrams, and equipment. Individual items of Tangible Research Property may be associated with one or more intangible properties, such as Inventions, Copyrightable Works, Trademarks, and Know-How. An item of Tangible Research Property may be the product of a single individual or a group of individuals who have collaborated on a project.

5.22   Trademark. As recognized by Federal and state laws, a Trademark is any word, name, symbol, or device adopted and used by an individual or a corporation to distinguish its goods or services from the goods or services of others.

5.23   Trade Secret. Technical or business information, including formulae, processes, and devices used or usable to achieve a competitive advantage in a trade or business and not publicly available. Trade Secret protection may be available under state law. Trade Secrets may be retained by the University for a brief period of time for specific purposes, such as to allow for the preservation of rights to file a Patent application. (See Uniform Trade Secrets Act for further information.) As an academic institution, the University does not accept Trade Secrets.

5.24   Use of University Resources. The use of University facilities and services not available to the general public. Examples include special resources, use of special instrumentation, or special financial assistance.

6.   Intellectual Property Ownership

6.1   UNHI shall determine the appropriate ownership classification for each Intellectual Property case reviewed.

6.2   A Covered Individual shall own Intellectual Property discovered, created, or developed by the individual, unless one or more of the following prevails, in which case the Intellectual Property is hereby assigned to the University:

6.2.1   The Covered Individual discovered, created, or developed the Intellectual Property while conducting the University duties, responsibilities, and/or assignments for which the individual was or is employed (received/s salary, wages, stipend, or grant funds) by the University.

6.2.2   Intellectual Property resulted from a Covered Individual making significant Use of University Resources or equipment beyond what is considered normal usage.

6.2.3   The Covered Individual discovered, created, or developed the Intellectual Property for which there is a legal obligation that designates ownership by virtue of a Sponsored Research, Material Transfer, Confidential Disclosure, or other legally binding agreement. Intellectual Property in these instances shall be governed by the contract or other agreement between the University and the other legal entity. Federally-sponsored projects shall also follow 37 CFR 401.

6.2.4   The Intellectual Property is a “work made for hire” under the U.S. Copyright Act of 1976 (17 USC 101), in which case the University is the author and owner.

7.   Student Intellectual Property

7.1   Undergraduate students: Undergraduate students shall own any Intellectual Property they make, discover, or create unless one or more of the following applies, in which case the Intellectual Property is hereby assigned to the University:

7.1.1   The student developed the Intellectual Property while receiving financial support from the University in the form of wages, salary, stipend, or grant funds;

7.1.2   The student made significant Use of University Resources (including University-administered funds, facilities, or equipment);

7.1.3   The student developed the Intellectual Property in the course of research funded by a sponsor pursuant to a grant or Sponsored Research Agreement or is subject to a Material Transfer Agreement, Confidential Disclosure Agreement, or other legal obligation that designates ownership of Intellectual Property;

7.1.4   In all instances of Assignment to the University by undergraduate students, the student will share in the distribution of Royalties. See Section 12 of this policy.

7.2   Graduate Students: Graduate students shall own any Intellectual Property they make, discover, or create unless one or more of the following applies, in which case the Intellectual Property is hereby assigned to the University:

7.2.1   Intellectual Property was developed by graduate students in the course of employment at the University or research carried out in University laboratories as part of a post-baccalaureate or postdoctoral degree or non-degree program;

7.2.2   Intellectual Property was developed from work directly related to the graduate student’s employment or research responsibilities at the University;

7.2.3   Intellectual Property was developed from work performed under a grant or other sponsorship, or undertaken with other Covered Individuals who have a duty to make Assignment to the University.

7.3   Intellectual Property arising from a dissertation submitted as a part of the requirements for a degree shall be subject to this Intellectual Property policy. In instances where graduate students are required to make Assignment to the University, such students will share in the distribution of Royalties. See Section 12 of this policy.

7.4   Theses and Dissertations. All student theses and dissertations and derivatives of these works are considered Exempted Scholarly Works (see Section 8 of this policy) and the student will own the Copyright unless the work was commissioned by the University or is under legal obligation. The University, however, retains a non-exclusive, irrevocable, Royalty-free License to reproduce and publish the works with appropriate attribution.

8.   Copyrightable Works

8.1   Copyrightable Works developed in the course of completing an individual's University duties are assigned per Section 6 and/or Section 7 of this policy. However, where not contrary to the terms of legal agreements, the University waives its ownership in the interest to the author for Exempted Scholarly Works, subject to the retained license prescribed by Section 8.2 of this policy. Examples of Copyrightable Work considered Exempted Scholarly Works include the following:

8.1.1   Traditional publications in academia regardless of their medium of expression, such as textbooks, course material, case studies, peer-reviewed manuscripts, syllabi, tests, study-guides, glossaries;

8.1.2   Academic software (not for commercial use);

8.1.3   Electronic publications such as websites, course descriptions/notes published electronically;

8.1.4   Photographs, films, charts, transparencies, video and audio recordings;

8.1.5   Graphic and sculptural works, works of art, architectural plans and structures;

8.1.6   Dress and fabric designs;

8.1.7   Theses and dissertations;

8.1.8   Music;

8.1.9   Furniture design.

8.2   If a Covered Individual is granted, pursuant to this section, Copyrights that would otherwise be owned by the University in instructional materials, such as class notes, curriculum guides, theses, or dissertations, the University retains a non-exclusive, irrevocable, Royalty-free License to use, display, duplicate, create derivative works from and/or distribute the materials with appropriate attribution for University educational and/or research purposes.

9.   Intellectual Property Records and Reporting

9.1   Covered Individuals engaged in any projects from which any Intellectual Property is likely to arise shall keep records consistent with the UNH Policy on Ownership and Management of Research Data and witnessed where necessary, and shall report promptly to UNHI any Intellectual Property, whether or not the Covered Individual believes the University has a direct interest, by completing an Intellectual Property Disclosure.

9.2   If an Invention was funded wholly or in part by the Federal government, the Intellectual Property Disclosure form must be filed promptly as required by Federal law 37 CFR 401.

9.3   Property rights shall depend upon the classification of the Intellectual Property. (Refer to Section 6 and/or Section 7 of this policy.)

9.4   Disclosure to UNHI is highly recommended before any other disclosure, presentation, display, performance, or publication of the work to any sizable audience. Failure to do so may result in loss of rights and subsequent commercial potential.

10.   Protection of Intellectual Property Rights

10.1   Patents and Trademarks. The opportunity to patent an Invention and/or file for a Trademark registration is brought to the attention of UNHI when the Innovator documents the Invention or Trademark using the Intellectual Property Disclosure. UNHI will then consider whether the Invention or Trademark should be protected through filing an application or registration with the USPTO. In making this decision, UNHI may call upon other persons, associated or not associated with the University, for technical or other advice. To reach a decision, UNHI will consider not only the importance of the Invention or Trademark, but also whether or not the interests of the Innovator, the University, and the public would be served best by a Patent or Trademark registration. When the Invention/Trademark is assigned to the University under Section 6 and/or Section 7 of this policy, UNHI will respond to the Innovator(s) within a reasonable time from its receipt of the Intellectual Property Disclosure with a decision on patentability or trademarking, taking into consideration the nature of the disclosure, stage of development of the Intellectual Property, any legal obligations, and commercial potential.

10.1.1   When the Invention/Trademark is assigned to the University under Section 6 and/or Section 7 of this policy, UNHI shall make a determination about patenting or trademarking based upon the commercial potential or other legal obligations.

10.1.1.1   If UNHI decides to file a Patent or Trademark application, the Innovator will be expected to provide all reasonable assistance in preparing the application. For Inventions developed under Federal sponsorship, the Patent process must also conform to grant and contract terms and conditions, with particular attention to 37 CFR 401.

10.1.1.2   If UNHI decides not to file a Patent or Trademark application, UNHI may, upon request and to the extent possible under the terms of any agreements that supported the work, reassign ownership to the Innovator(s). In such cases, the Invention/Trademark will be released to the Innovator(s) and the University will waive its rights to Assignment in a formal Release Agreement that clarifies title in the Intellectual Property. The Innovator(s) shall be free to make a Patent or Trademark application on his/her own responsibility but understands that any future work or improvement which utilizes any released Innovation will require a new Intellectual Property Disclosure and UNHI will evaluate and may elect title to the new use/improvement (this will not affect title of the original Innovation). When an Invention results from Federal funding, the right to patent is held by the Federal sponsor. In such cases, the Inventor(s) may request that the sponsor grant rights in the Invention directly to the Inventor(s). Once the University waives its interest in an Intellectual Property, the Innovator must assume all liabilities connected with the exploitation and defense of the Intellectual Property or discovery and must acknowledge any rights held by research sponsors. The Innovator(s) must not use the name of the University in advertising or otherwise promoting the development, manufacture, or use of the Intellectual Property. In the event the Intellectual Property was the subject of a Patent or Patent application or Trademark or Trademark application paid for by the University, the Innovator(s) agree to reimburse the University for all out-of-pocket Intellectual Property-related expenses out of future revenues generated through exploitation of said Patent or Patent application or Trademark or Trademark application.

10.2   Copyrights and Mask Works Protection.

10.2.1   Notices.

10.2.1.1   If materials are published (i.e., distributed to any sizable audience) without a proper notice as described below, full protection against infringement is jeopardized. Prior to any publication, the Covered Individual should place the following notice on all materials in which the University owns the Copyright:

Copyright © [year] University of New Hampshire. All rights reserved.

10.2.1.2   To protect Mask Work rights, the Covered Individual should apply the following notice on all University-owned semi-conductor chip products, which incorporate Mask Works:

Mask Work *M* [year] University of New Hampshire

10.2.1.3   No other institutional or departmental name is to be used in the notice, although the name and address of the department to which readers can direct inquiries may be listed below it. The date in the Copyright or Mask Work notice should be the year in which the work was first published.

10.2.2   Registration. Additional rights and protection for Copyrightable Works and Mask Works require registration with the U.S. Copyright Office, which will be coordinated through UNHI after Disclosure.

11.   Commercialization of University-Owned Intellectual Property

The commercialization of the University’s Intellectual Property can be a lengthy process and requires relationships with businesses that have the ability and desire to utilize the Intellectual Property. The benefits of transferring the Intellectual Property include increased recognition of the University’s quality of research and scholarship as well as the potential for financial rewards. The University will seek to license all Intellectual Property assigned to the University. The typical means to transfer the Intellectual Property to a commercial partner is through legal agreements. These agreements can take a variety of forms: Cooperative Research Agreements, License Agreements, Option Agreements, and/or Contract Research Agreements. Successful commercialization also requires the Innovator(s)' participation and cooperation.

12.   Income Received from Intellectual Property

12.1   The University will distribute Royalties and other Net Income received from the licensing of Intellectual Property according to the following schedule:

30% of Net Income to the Innovator(s)/author(s)/developer(s), hereinafter called Innovator;

30% of Net Income to the Innovator's college or school (or program, if the Innovator is not associated with a college or school);

30% of Net Income to a University-wide Research and Development Fund administered by the SVPR; and

10% of Net Income to UNHI.

12.2   Where Intellectual Property is conceived jointly by two or more Innovators, each of the co-Innovators shall share in the Innovator's distribution equally unless another distribution is desired and included in the original Intellectual Property Diclosure Form.

12.3   For administrative efficiencies, UNHI shall make annual Net Income payments per the above schedule in the instances when any individual Net Income payment is less than $25.

13.   Equity

The University strives to achieve a creative and entrepreneurial environment for commercializing its Innovations. As such, the University recognizes that the Innovations may result in a new company, as earlier defined as a Start-Up. See Section 5.20 of this policy. The University in these instances may accept equity in the Start-Up company as a portion of its consideration for the License.

14.   Participation Agreement

All University faculty (including but not limited to tenured, tenure-track, research, clinical, adjunct, and emeriti faculty); visiting faculty or other visitors using research facilities; postdoctoral employees or fellows; graduate students and undergraduate students participating in sponsored research as employees or otherwise; and all salaried employees shall execute an Acknowledgement of Intellectual Property Policy and Assignment as a condition of employment, participation in sponsored research, or Use of University Resources. Notwithstanding the above, an individual acknowledges that he or she is bound by the University Intellectual Property policy by accepting or continuing University employment or by using University resources or facilities. All students shall be advised of the University Intellectual Property policy and procedures through its publication and dissemination in the UNH Student Rights, Rules and Responsibilities.

15.   Appeal

In cases where rights and/or equities are in dispute, UNHI shall report in writing such dispute to the SVPR. Within 30 days of receipt of the notice, the SVPR shall appoint an ad hoc review committee consisting of four persons: one person selected by the Innovator(s), the Executive Director of UNHI, one person selected by the SVPR, and one by the Provost. This committee shall recommend an agreement which shall take effect unless a further appeal is made by the individual or individuals involved, or by the SVPR. In this event, the review committee will present the case to the University President, whose decision shall be final and binding upon all parties, except for faculty who are members of the UNH American Association of University Professors collective bargaining unit, who retain the right to grieve the decision via the grievance procedure outlined in Article 9 of the AAUP-UNH/ University System of New Hampshire Collective Bargaining Agreement.

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.E.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Statement of Need and Purpose

1.1   Externally sponsored research is a vital part of the University of New Hampshire (UNH) mission. As this activity grows in sophistication and complexity, it intersects increasingly with industrial explorations and entrepreneurial ventures creating for investigators the potential for conflicting interests.

1.2   A conflict of interest exists when it can be reasonably determined that an investigator's personal financial concerns could directly and significantly influence the design, conduct, or reporting of sponsored research activities. Faculty and staff of the University have an obligation to scrupulously maintain the objectivity of their research so as to avoid any conflict of interest.

1.3   UNH has developed this policy to protect the integrity of sponsored research and to comply with federal regulations1. It is the intent and policy of the University, as an institution of higher education in receipt of federal research support, to comply with present and future regulations. To that end, this policy is subject to further refinements as other rules are published.

1.4   Specifically, the intent of this policy is to identify and eliminate or manage any possible threat to research objectivity at the University. The main components are disclosure of investigators' financial interests that might be affected by the research, and application of methods to minimize or eliminate the risks associated with such connections. It is not meant to discourage, but rather to safeguard the pursuit and dissemination of knowledge.

1.5   Some conflicts of interest could affect the rights and welfare of human subjects in research. This policy intends to identify and eliminate or manage financial conflicts of interest in research that could lead to the unethical treatment of research subjects.

2.   Applicability

2.1   This policy applies to any UNH employee responsible for the design, conduct, or reporting of research activities funded or proposed for funding at the University by external sources other than the Public Health Service (PHS)². The policy also applies to the investigator's immediate family, which is defined as his/her spouse or domestic partner and dependent children.

2.2   Project directors are responsible for ensuring that all participants in a project who are responsible for the design, conduct, or reporting of the research disclose any significant financial interests that would reasonably appear to be affected by the research. Individuals who begin work on an established project through reallocation of effort, hiring, transfer, promotion, etc., and thereby take on a responsible position in a project, must also disclose any such significant financial interests.

2.3   Collaborators, sub-contractors, sub-recipients, and visiting scientists must either comply with this policy or provide a certification to the UNH Director of Sponsored Programs Administration (SPA) that their institutions are in compliance with pertinent federal policies and that they in turn are in compliance with their own institutional policies.

3.   Definitions

3.1   Disclosure of Significant Financial Interests: An investigator's disclosure of significant financial interests to UNH.

3.2   Disclosure Review Committee (DRC): The UNH committee charged with protecting the integrity of UNH's externally-funded research enterprise, and UNH employees who engage in externally-funded research, by identifying and resolving financial conflicts of interest in research. The DRC conducts its duties in a manner intended to promote, not hinder, research relationships. (See sections 5 and 8 of this policy for DRC membership and responsibilities.)

3.3   Financial Conflict of Interest (FCOI): A significant financial interest that could directly and significantly affect the design, conduct, or reporting of research.

3.4   FCOI Report: UNH's report of a financial conflict of interest to a sponsor.

3.5   Financial Interest: Anything of monetary value, whether or not the value is readily ascertainable.

3.6   Investigator: The project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by external sources, or proposed for such funding, which may include, for example, collaborators or consultants.

3.7   Manage: Taking action to address a financial conflict of interest, which can include reducing or eliminating the financial conflict of interest, to ensure, to the extent possible, that the design, conduct, and reporting of research will be free from bias.

3.8   Research: A systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge relating broadly to public health, including behavioral and social-sciences research. The term encompasses basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test or drug).

3.9   Significant Financial Interest:

3.9.1   A financial interest consisting of one or more of the following interests of the investigator (and those of the investigator's spouse or domestic partner, and dependent children) that could reasonably appear to be affected by the activities proposed for funding:

3.9.1.1   Any current financial interest of the investigator (and his/her spouse or domestic partner, and dependent children) that could reasonably appear to be affected by the activities proposed for funding; or

3.9.1.2   Any financial interest held by the investigator (and his/her spouse or domestic partner, and dependent children) in a business entity (company, corporation, or other enterprise) whose financial interests might reasonably appear to be affected by such activities.

3.9.2   Specifically, significant financial interests might include, but are not limited to, any of the following:

3.9.2.1   Anything of significant monetary value, including salary or other payments for services such as consulting fees or honoraria;

3.9.2.2   Direct equity interests such as stock, stock options, or ownership interests;

3.9.2.3   Intellectual property rights and interests owned by the investigator such as patents, copyrights, and royalties from such rights and interests. As further described in 3.9.3.2 this does not include intellectual property rights and interests assigned to UNH nor royalty income received from UNH per the UNH Intellectual Property policy (UNH VIII.D).

3.9.3   Significant financial interests do not include:

3.9.3.1   Financial interests in business enterprises or entities that, when aggregated for the investigator and his/her immediate family, meet both of the following tests:

3.9.3.1.1   The financial interest does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and

3.9.3.1.2   The financial interest does not represent more than a five percent ownership interest in any single entity.

3.9.3.2   Salary, royalties, or other remuneration from UNH;

3.9.3.3   Salary, royalties, or other payments that, when aggregated for the investigator and his/her immediate family, are not expected to exceed $10,000 during the preceding 12 month period;

3.9.3.4   Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities;

 3.9.3.5   Income from service on advisory committees or review panels for public or non-profit entities.

4.   Disclosure Process

4.1   Any employee responsible for the design, conduct, or reporting of research activities (investigator) funded or proposed for funding at UNH by external sources must disclose all current significant financial interests that would reasonably appear to be affected by the research.

4.2   Each investigator who has significant financial interests possibly affected by the research must complete a UNH Financial Disclosure Statement and attach any requested supporting documentation. The form and supporting documentation should be submitted in a sealed envelope marked "Confidential" to the Senior Vice Provost for Research (SVPR). If the disclosure statement indicates involvement of human subjects in the research, the SVPR will notify the chairperson of the Institutional Review Board for the Protection of Human Subjects in Research (IRB) so the situation may be considered, and, if appropriate, addressed by the IRB.

4.3   All significant financial interests must be disclosed prior to the time a proposal is submitted to an external sponsor. Investigators must update within thirty (30) days all financial disclosures during the period of the award as new reportable significant financial interests are obtained.

4.4   An investigator may choose to disclose any other financial or related interest that might present an actual, potential, or perceived conflict of interest. Disclosure can be a key factor in protecting an individual's reputation and career from potentially harmful allegations of misconduct.

4.5   All Disclosure Statements and related documents are considered sensitive information. As such, they will be treated as confidential and will not be disclosed outside the DRC and its staff without the investigator's consent except: In response to a request from a sponsor; or pursuant to a judicial order or lawfully issued subpoena. UNH will make reasonable efforts to notify the investigator of any judicial order or lawfully issued subpoena in advance of disclosure of this information, unless the order is from a federal grand jury or is for law enforcement purposes and its terms prohibit UNH from disclosing its existence or contents.

5.   Review of Disclosures

5.1   A Disclosure Review Committee (DRC) will review all disclosure statements. The DRC will consist of a minimum of five (5) members, appointed by the SVPR, at least three of whom will be faculty members representing the diverse colleges, schools, and programs of UNH. Members will serve three-year staggered terms.

5.2   The DRC will be responsible for determining whether the significant financial interests of the investigator could reasonably be expected to affect the design, schedule, conduct, or reporting of the activities funded or proposed for funding, and, if so related, whether the significant financial interest represents a financial conflict of interest. An investigator's significant financial interest is related to the research when the DRC reasonably determines that the significant financial interest could be affected by the research; or is in an entity whose financial interest could be affected by the research. The DRC may involve the investigator in its determination of whether a significant financial interest is related to the research. A financial conflict of interest exists when the DRC reasonably determines that the significant financial interest could directly and significantly affect the design, conduct, or reporting of the research. The DRC may request additional clarifying information from the individual which will be treated as non-public information to the extent allowed by law.

5.3   If a financial conflict of interest exists, the DRC shall request the investigator submit a proposed conflict management plan that details steps that could be taken to manage, reduce, or eliminate the financial conflict of interest. The DRC shall review the proposed conflict management plan and approve it or add conditions or restrictions to ensure that any conflict is managed, reduced, or eliminated. Such conditions or restrictions may include, but are not limited to, the following:

5.3.1   Public disclosure of financial conflicts of interest (e.g., when presenting or publishing the research);

5.3.2   Monitoring of the research by independent reviewers;

5.3.3   Modification of the planned activities (possibly subject to sponsor approval);

5.3.4   Disqualification from participation in all or part of the project;

5.3.5   Divestiture of significant financial interests;

5.3.6   Severance of relationships creating conflict;

5.3.7   For research involving human subjects, disclosure of financial conflicts of interest directly to research subjects.

5.4   In all cases, resolution of the conflict or establishment of an acceptable conflict management plan must be achieved before expenditure of any funds under an award to UNH.

6.   Appeals

6.1   Appeal of the DRC's decision may be made to the UNH President who will consult with the investigator the DRC, and the SVPR. The UNH President will make a final determination, which shall be final and binding upon all parties, except for faculty who are members of the UNH American Association of University Professors collective bargaining unit, who retain the right to grieve the decision via the grievance procedure outlined in Article 9 of the AAUP-UNH/University System of New Hampshire Collective Bargaining Agreement.

7.   Compliance

7.1   As part of the Financial Disclosure Statement, each investigator must certify that if the DRC determines a conflict exists, the investigator will adhere to all conditions or restrictions imposed upon the project and will cooperate fully with the individual(s) assigned to monitor compliance.

8.   Enforcement

8.1   Failure to properly disclose relevant financial interests or to adhere to conditions or restrictions imposed by the DRC will be considered a deviation from accepted standards of conducting research at UNH.

8.2   The DRC will investigate alleged violations of this policy, and will make recommendations for action to the UNH President. Breaches of policy include failure to file the necessary disclosure statements; knowingly filing incomplete, erroneous or misleading disclosure forms; or failure to comply with procedures prescribed by the DRC. If the President determines that the policy has been violated, he/she may impose sanctions including, but not limited to, notification of sponsor and termination of award; formal admonition; a letter to the investigator's personnel file; and suspension of the privilege to apply for external funding.

9.   Records

9.1   The Office of the SVPR will maintain records of all disclosures and associated activities securely and confidentially (see section 4.5 of this policy for exceptions).

9.2   All records will be maintained for three years following termination or completion of the project or resolution of any government action involving the records.

9.3   Records will not be routinely provided to sponsors unless such is an agency requirement, the agency submits a written request, or UNH is unable to satisfactorily manage an actual or potential conflict of interest. The Director of SPA will be responsible for communications with sponsors.

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Footnotes

¹National Science Foundation. Investigator Financial Disclosure Policy. July 11, 1995. 60 FR 35810, Part III

²See UNH Policy on Financial Conflicts of Interest in Research for PHS-Funded Projects http://www.usnh.edu/policy/unh/viii-research-policies/t-financial-confl…

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.F.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Preamble

1.1   The University of New Hampshire (UNH) recognizes its responsibility to produce and disseminate knowledge in accordance with its mission of research, teaching, and public service. When non-human models are insufficient, use of human subjects in research is an integral aspect of scholarly activity at UNH. UNH recognizes its ethical and legal responsibilities to provide a mechanism to protect individuals involved as subjects in research conducted under the auspices of UNH. Accordingly, to protect the rights and welfare of every human subject involved in research activities, UNH maintains a policy on the use of human subjects in research. UNH strives to ensure that all members of its community understand and adhere to this policy.

2.   Definitions

2.1   Assurance: Federalwide Assurance of Protection for Human Subjects.

2.2   Human Subject: A living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.

2.3   Institutional Official: The individual designated by the UNH President to ensure that research involving human subjects conducted under the auspices of UNH is in compliance with all applicable laws and regulations. This individual is the Senior Vice Provost for Research.

2.4   Institutional Review Board for the Protection of Human Subjects in Research (IRB): The committee established by the UNH President to oversee the use of human subjects in research conducted under the auspices of UNH.

2.5   Research: A systematic investigation (including research development, testing, or evaluation), designed to develop or contribute to generalizable knowledge.

2.6   The Belmont Report: The National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research report titled Ethical Principles and Guidelines for the Protection of Human Subjects of Research.

3.   Statement of the Policy

3.1   All UNH research activities proposing to involve human subjects must be reviewed and receive written, unconditional approval from the IRB before commencing. This applies to all research activities conducted under the auspices of UNH involving human subjects regardless of discipline or whether or not the activities are funded. In addition, all research activities involving human subjects must be conducted in accordance with:

3.1.1   Federal, state, and local laws and regulations applicable to use of human subjects in research. These include, but are not limited to, Federal Policy for the Protection of Human Subjects, Title 45 Code of Federal Regulations Part 46; Food and Drug Administration (FDA) Regulations for Human Subjects Protections, Title 21 Code of Federal Regulations Parts 50 and 56; and, the principles set forth in "The Belmont Report"; and

3.1.2   UNH policy as set forth in the Assurance.

4.   Applicability. This policy is applicable to any research activity:

4.1   Sponsored by UNH, or

4.2   Conducted by or under the direction of any employee, student, or agent of UNH in connection with his or her UNH responsibilities, or

4.3   Conducted by or under the direction of any employee, student, or agent of UNH involving the use of any UNH property or facility, or

4.4   Conducted by or involving any individual or institution working with UNH as part of a collaboration, subgrant, or subcontract.

5.   Examples. Examples of activities involving the use of human subjects covered by this policy include, but are not limited to:

5.1   Research involving surveys or questionnaires, administered in person, by mail, or via the telephone or electronically, designed to elicit information about individuals, including behaviors, experiences, attitudes, or beliefs.

5.2   Research involving interviews or focus groups designed to elicit information about individuals, including behaviors, experiences, attitudes, or beliefs.

5.3   Educational practices or tests conducted for research purposes.

5.4   Research involving program evaluation.

5.5   Research involving observation of public behavior.

5.6   Research involving the collection and/or study of data, documents, records, or biological, pathological, or diagnostic specimens, including voice or image recordings, medical, academic, or court records, and, invasive and noninvasive clinical procedures.

5.7   Clinical studies of drugs and medical devices.

6.   Effective Date

6.1   The requirements of this policy have been in effect since the execution of UNH's first Assurance on April 21, 1980.

7.   Administration of Policy

7.1   The Institutional Official is responsible for the administration of this policy and its procedures as set forth in the Assurance. Approval by the UNH President is required to amend this policy.

8.   Enforcement

8.1   The Institutional Official is responsible for enforcing this policy. Violations of this policy fall under the purview of the Assurance.

 

Reference:

UNH Federalwide Assurance of Compliance for the Protection of Human Research Subjects at https://www.usnh.edu/sites/www.usnh.edu/files/media/olpm/docs/unh/fwa-update-190118.pdf

 

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.G.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Preamble

1.1   The University of New Hampshire (UNH) recognizes its responsibility to produce and disseminate knowledge in accordance with its mission of research, teaching, and public service. Some activities conducted at UNH necessitate the use of live vertebrate animals. Recognizing the importance of using live animals for these purposes, UNH, for both ethical and scientific reasons, insists upon the highest standards for the care and use of such animals. Accordingly, UNH maintains a policy for the care and use of live vertebrate animals at the institution that is balanced with UNH's mission. UNH strives to ensure that all members of its community understand and adhere to this policy.

2.   Definitions

2.1   Activities: Include, but are not limited to, research, research training, biological testing, instruction of students, and maintenance of animal collections, exhibits, flocks, or herds.

2.2   Animal Welfare Act: Public Law 89-544, 1966, as amended, (P.L. 91-579, P.L. 94-279 and P.L. 99-198) 7 U.S.C. 2131 et. Seq. Implementing regulations are published in the Code of Federal Regulations (CFR, Title 9, Chapter 1, Subchapter A, parts 1, 2, and 3), and are administered by the U.S. Department of Agriculture.

2.3   Assurance: UNH Assurance of Compliance with U.S. Public Health Service Policy on Humane Care and Use of Laboratory Animals.

2.4   Care and Use: Petting, feeding, watering, cleaning, manipulating, loading, crating, shifting, transferring, immobilizing, restraining, treating, training, working and moving, or any similar activity with respect to any animal.

2.5   Guide: The Guide for the Care and Use of Laboratory Animals, National Academy Press, 1996, Washington, D.C., or succeeding revised editions.

2.6   Institutional Animal Care and Use Committee (IACUC): The committee established by the UNH President to oversee UNH's animal program, facilities, and procedures.

2.7   Institutional Official: The individual designated by the UNH President to ensure that activities involving the care and use of animals at UNH are humane and in compliance with all applicable regulations and internal policies. This individual is the Senior Vice Provost for Research.

3.   Statement of the Policy

3.1   At UNH, all activities proposed to involve the care and use of live vertebrate animals must be reviewed and receive written, unconditional approval from the IACUC before commencing. In addition, all activities involving vertebrate animals must be in accordance with:

3.1.1   Federal, state, and local laws and regulations applicable to the care and/or use of animals. These include, but are not limited to, the Animal Welfare Act; federal regulations implementing the Animal Welfare Act; the Health Research Extension Act of 1985; the Public Health Service Policy on the Humane Care and Use of Laboratory Animals; the provisions and principles set forth in the most recent editions of the Guide; the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching; and,

3.1.2   UNH policy as set forth in the Assurance.

4.   Applicability. This policy is applicable to any activity involving the care and use of vertebrate animals:

4.1   Sponsored by UNH, or

4.2   Conducted by or under the direction of any employee, student, or agent of UNH in connection with his or her individual UNH responsibilities, or

4.3   Conducted by or under the direction of any employee, student, or agent of UNH involving the use of any UNH property or facility, or

4.4   Involving any collaborating, sub granting, or subcontracting individual or institution working with UNH.

5.   Effective Date

5.1   The requirements of this policy have been in effect since the execution of UNH's first Assurance on November 4, 1987.

6.   Administration of Policy

6.1   The Institutional Official is responsible for the administration of this policy and its procedures as set forth in the Assurance. Approval by the UNH President is required to amend this policy.

7.   Enforcement

7.1   The Institutional Official is responsible for establishing and enforcing this policy. Violations of this policy fall under the purview of the Assurance.

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Reference:

UNH Assurance of Compliance with PHS Policy on Humane Care and Use of Laboratory Animals

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.I.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Preamble

1.1   The University of New Hampshire (UNH) recognizes its ethical and legal responsibilities to comply with pertinent regulations regarding the use, storage, and disposal of controlled substances in scholarly and teaching activities conducted under the auspices of UNH. Accordingly, UNH maintains a policy on the use of controlled substances in scholarly and teaching activities. UNH strives to ensure that all members of its community understand and adhere to this policy.

1.2   UNH developed this policy to comply with federal and state laws regarding controlled substances, including U.S. Drug Enforcement Administration (DEA) requirements at 21 CFR 1300-1308 and with New Hampshire Department of Health and Human Services (DHHS), Title XXX, Occupations and Professions, Chapter 318-B, Controlled Drug Act.

2.   Definitions

2.1   Controlled substance: A substance listed on the five (5) DEA Controlled Substance Schedules (Schedules I-V).

2.2   Use: Includes, but is not limited to: manufacture, distribution, importation, exportation, conduct of research, or performance of chemical analysis.

3.   Statement of the Policy

3.1   Use of controlled substances at UNH in scholarly and teaching activities is restricted to authorized persons working under the direct supervision of a DEA registrant in accordance with the DEA registration, and in compliance with all applicable federal and state requirements, and the UNH Controlled Substances Management Plan. This applies to all scholarly and teaching activities conducted under the auspices of UNH involving controlled substances, regardless of discipline or whether the activities are funded.

4.   Applicability. This policy is applicable to any scholarly and teaching activities:

4.1   Sponsored by UNH, or

4.2   Conducted by or under the direction of any employee, student, or agent of UNH in connection with his or her UNH responsibilities, or

4.3   Conducted by or under the direction of any employee, student, or agent of UNH involving the use of any UNH property or facility, or

4.4   Conducted by or involving any individual or institution working with UNH as part of a collaboration, subgrant, or subcontract.

5.   Effective Date

5.1   The requirements of this policy are effective May 8, 2012.

6.   Administration of Policy

6.1   The Senior Vice Provost for Research (SVPR) is responsible for the administration of this policy and its procedures as set forth in the UNH Controlled Substances Management Plan. Approval by the UNH President is required to amend this policy.

7.   Enforcement

7.1   The SVPR is responsible for enforcing this policy. Failure to comply with this policy may be grounds for employee disciplinary action or termination of the scholarly or teaching activity.

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.M.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Preamble

This University of New Hampshire (UNH) policy was created in order to provide guidance to faculty and staff concerning cost sharing commitments in externally funded programs, including:

1.1   Requirements for including cost sharing in proposals;

1.2   The management of cost sharing according to Federal requirements; and

1.3   The procedures to record cost-shared expenditures in UNH's financial system.

UNH is committed to supporting the sponsored activities of its faculty and staff but, in order to ensure that its cost sharing commitments do not overburden its resources, cost sharing should be limited to those situations where it is an eligibility requirement for a proposal submission or when the program description identifies it as a review criterion.

This policy addresses federal requirements for cost sharing. However, all cost sharing is subject to this policy, regardless of the project sponsor.

2.   Definitions

2.1   Cost sharing or matching means the portion of project costs not paid by a sponsor

2.1.1   Mandated cost sharing means cost sharing which is explicitly required, as reflected in the sponsor's notice of funding opportunity.

2.1.2   Voluntary cost sharing means cost sharing pledged on a voluntary basis in the proposal's budget that becomes a binding requirement of award.

2.1.3 Voluntary uncommitted cost sharing means faculty/senior researcher effort that is over and above that which is committed and budgeted for in a sponsored agreement.

2.2   Companion cost sharing funds are UNH account funds established for the purpose of budgeting, accumulating, and tracking the cost shared expenses associated with a particular sponsored program.

3.   Policy

3.1   Cost sharing must be proposed, managed, and accounted for in a correct and consistent manner. This includes understanding when cost sharing is appropriate, and accurately charging and reporting cost shared expenses.

3.2   Prior to submitting a proposal to a prospective sponsor, UNH formally reviews each potential offer of cost sharing and determines whether or not to approve the offer for inclusion in the proposal to the sponsor. To be proposed as cost sharing, costs generally must be

(1) be verifiable within UNH's accounting system and dated;

(2) be necessary and reasonable for proper and efficient accomplishment of program objectives;

(3) be allowable under a sponsor's terms and conditions, and cost principles, if applicable;

(4) be provided for in the sponsor approved budget;

(5) not be included as a contribution under another federal award; and

(6) not be paid using federal funds (except where the federal statue authorizing a program specificially provides that federal funds made available for such program can be applied to matching or cost sharing requirements of other federal programs).

3.3   Non-cash donations and contributions (i.e., services, materials, and equipments) must be valued according to federal requirements.

3.4   Companion UNH account funds for budgeting, accumulating, and tracking expenses cost shared on UNH awards, must be established contemporaneously with the award and funded promptly and regularly through the award project period.

4.   Cost Sharing Sources. Cost sharing sources may include:

4.1   Expenses funded from UNH accounts (e.g., educational and general funds);

4.2   Expenses funded from non-federal sponsored program accounts;

4.3   Program income related to the particular sponsored program when approved in advance by the sponsor;

4.4   Unrecovered F&A costs for the particular sponsored program, with UNH and sponsor prior approval;

4.5   Federally sponsored awards where authorized by Federal statute (very rare)

4.6   Cash and in-kind contributions from sources external to UNH, including volunteer services by professional and technical personnel, consultants, and other skilled and unskilled labor; and donated supplies and equipment.

5. Cost Sharing vs Institutional Support

The terms "cost sharing" and institutional support" are commonly used interchangeably even though their meanings are very different. Cost sharing as applied in a grant application is generally a documented, auditable commitment of funds to a specific project. Institutional support, on the other hand, is a description of the multiple ways in which the institution provides resources and infrastructure which make the proposed work feasible. Institutional support can be a very powerful tool in providing the desired “commitment” of the University to an investigator’s research plans without a formal cost sharing obligation. Institutional support may include the description of items such as

a) specialized core facilities (e.g., microscopy, imaging, research, computing,

b)  laboratory speace,

c) clinical resources, and

d) library resources

 

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Administrative Responsibility:    UNH Senior Vice Provost for Research
Effective Date: 7/1/95; revised 5/30/07 and 12/26/14

 

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.N.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.    Preamble

1.1   This University of New Hampshire (UNH) policy was created in order to provide guidance to faculty and staff concerning program income generated under sponsored programs, including:

• Requirements for including program income in proposals for sponsored programs;
• The management of program income according to federal requirements; and
• The procedures to record program income expenditures in UNH's financial system

1.2   This policy applies to all externally sponsored grants at UNH regardless of the source of sponsorship. That said, income generated through non-federal awards will be administered on a case-by-case basis according to the terms and conditions in the award document. If the sponsor does not address the issue of program income, the income is not reportable and therefore not considered program income. In these instances, income is handled according to the USNH Administrative Procedures for Revenue and Cash Receipts. This policy does not apply to externally sponsored contracts unless required by the terms and conditions of a specific contract.

2.   Definitions

2.1   Program income is the gross income directly generated by a sponsored activity or earned as a result of an externally funded award during the period of performance. Examples of program income include, but are not limited to:

• Fees earned from services performed under the project, such as laboratory tests;
• Funds generated from sales of commodities and research materials, such as tissue cultures, cell lines and research animals;
• Conference fees charged when a grant funds a conference;
• Income from registration fees, consulting, and sales of educational materials; and
• Sale, rental, or usage fees, such as fees charged for the use of computing or laboratory equipment purchased with grant funds

2.2   "Project performance" means the time during which UNH may incur new obligations to carry out the work authorized under an externally sponsored program.

3.   Policy

3.1   Anticipated program income must be declared in the proposal or application to the prospective sponsor. Unanticipated program income realized during the project period must be reported promptly to the sponsor with a request for disposition instructions as noted below.

3.2   Program income earned during the sponsored program project period is administered according to one of the following methods as specified by sponsor policies and/or the terms of the award:

• Additive Method: Program income will be added to funds committed to the project by the sponsor and UNH, and used to further eligible program or project objectives.
• Cost-sharing Method: Program income will be used to finance in part or in total any required non-sponsor share of the program or project.
• Deductive Method: Program income will be deducted from the total project allowable costs in determining the net allowable costs on which the sponsor's share is based.

3.3   Salaries and wages paid from a program income account are assessed fringe benefits charges at UNH's federally-approved rate for externally sponsored programs. Similarly, all direct costs are subject to Facilities & Administrative (F&A) cost charges at the same rate charged to the sponsored award itself.

3.4   To ensure proper reporting and record keeping for audit purposes, program income must be accounted for separately but in conjunction with the sponsored program award it supports. Expenses to program income accounts must not exceed budgets. Any deficit of program income expenses against program income revenues at the end of the project period must be resolved with UNH non-restricted funds by mutual agreement of the principal investigator and the relevant Responsibility Center (RC) unit head or designee.

3.5   The RC unit is responsible for maintaining all documentation on how program income is generated and how it is spent. Deposit slips, copies of checks, and registration forms are acceptable forms of documentation. This information will be required as supporting material in the event of an audit.

3.6   Unless otherwise provided by a sponsor's regulations or the terms and conditions of a specific award, the University has no obligation to the sponsor regarding program income earned after the period of performance. Accounting for such program income is the responsibility of the relevant Responsibility Center (RC) unit.

3.7   Unless required by federal statute or the terms and conditions of a specific non-federal award, the University has no obligation to the sponsor for program income earned from license fees and royalties for copyrighted material, patents, etc.

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References:    
For awards made prior to 12/26/14

  
For awards made after 12/26/14

2 CFR §200.307

Administrative Responsibility: UNH Senior Vice Provost for Research

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.O.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Background

NFE accounts, also known as "at risk" accounts, provide principal investigators the opportunity to initiate work under an externally sponsored program and begin incurring associated expenses prior to the conclusion of negotiations and the institutional acceptance of an award by an Authorized official. NFE accounts allow investigators an opportunity to:

• Begin a seasonally-dependent project;
• Place an advanced order for long lead time items (i.e., equipment);
• Provide continuity of funding for students and research staff;
• Record and track expenditures and eliminate the need to charge other unrelated accounts as well as the need to transfer expenses once an award is executed

2.   Definitions

2.1   A not-fully-executed (NFE) account: is a budgeted account established in the University System of New Hampshire (USNH) financial accounting system for the purpose of permitting expenses in anticipation of receiving externally-sponsored funds for a University of New Hampshire (UNH) program.

2.2   Pre-award costs are those costs incurred prior to the start date of the period of performance and in anticipation of an award where such costs are necessary for efficient and timely performance of the scope of work.

3.   Policy

3.1   Sponsored Program Administration (SPA) may establish a unique NFE spending account on the authority of a principle investigator's UNH Responsibility Center (RC) unit head (normally a dean, institute director, vice president, or officially-named designee).

3.2   SPA will ordinarily establish an NFE upon request because UNH has an established history and previous dealings with a sponsor, and the issues to be resolved prior to executing an agreement are routine. There are cases, however, where terms and conditions that are of significant concern to the PI, the RC, and the University may have to be negotiated. In these instances, prior to establishing the NFE, SPA will identify known areas of concern and the associated financial and/or non-financial risks to ensure the investigator and his/her RC are aware of the risks they are accepting. Examples of negotiation issues include, but are not limited to: publication restrictions and confidentiality requirements; intellectual property; and indemnification.

3.3   In making the decision to approve an NFE spending account for a specific program, the RC unit head must have received reasonable assurance that the externally-funded award will be made to UNH and must evaluate the level of financial risk to his/her unit budget. Any expenses charged to the NFE spending account that are not reimbursed ultimately by the externally-funded award must be reimbursed from the RC unit operating budget or some other non-restricted UNH funding source under the RC unit head's purview.

3.4   The RC unit head will make the final determination about whether to approve or deny the request to establish an NFE. When an RC unit head approves an NFE for $500,000 or more, s/he must notify the Senior Vice Provost for Research, the Vice President for Finance and Administration, the Provost and the Executive Vice President for Academic Affairs.

3.5   All parties, including principal investigator, the RC unit head, and SPA, will endeavor to minimize the expenses against NFE spending accounts and minimize the time between establishing an NFE spending account and fully executed award. All expenses to NFE spending accounts must be allowable under the applicable regulations and terms and conditions of the award and must be incurred within the period of performance.

3.6   UNH will normally not assume the risk of guaranteeing a subrecipient’s costs under an NFE account, and requests for sub-recipient costs under an NFE must provide compelling justification.

3.7   Establishing an NFE account does not create the ability to incur pre-award costs. Before incurring pre-award expenses, the investigator should consult with SPA to confirm that pre-award spending is permissible under the applicable regulations and terms and conditions of the award.

4.    Procedures

4.1   Requesting an NFE account: A principal investigator initiates an NFE request (form) and submits it to his/her department chair and RC unit head for approval, which in turn requests an account from SPA on the investigator's behalf. This same procedure will be repeated to either increase the budget and/or extend the term of an NFE.

4.2   SPA will inform the RC if it has any concerns about the terms in the award and will establish the NFE account if the RC remains willing to bear the risk.

4.3   Period. The recommended period of a NFE is 90 days. Longer periods may be anticipated for awards being transferred into UNH (i.e., awards new faculty bring with them from another institution). SPA will request that RC’s review NFE accounts that have not been converted to active status within 2090 days of the start date of the budget period.

4.4   Upon acceptance of an award by UNH, the account will be converted from NFE to Active status by SPA. The RC is responsible for removing expenditures from the NFE account if the award is not made, not accepted, or if the terms of the award deem expenditures to be unallowable.

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.Q.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Definitions

"Supplies" means all tangible personal property that fall below the cost or useful life thresholds for equipment. A computing device is a supply if the acquisition cost is less than the UNH capitalization threshold of $5,000, regardless of the length of its useful life. Other examples of supplies include calculators, books, computer software and peripherals (when not purchased as part of a system whose total purchase price is $5,000 or more), paper, pencils, notebooks, markers, and laboratory chemicals.

"Federally sponsored" refers to all federal funds, including those received through the State of New Hampshire, other educational institutions, private industry, or other entities.

2.   Policy

2.1   Any supply charged to a federally sponsored program must meet all four of the following criteria in order to be allowable as a direct charge:

2.1.1   Reasonable. The supply must be necessary for the performance of the sponsored agreement. The cost must conform to all applicable government requirements and be consistent with institutional policies.

2.1.2   Allocable. The supply must be used solely to advance the work of the particular sponsored agreement during its performance period. If the supply benefits more than one project or activity, the cost must be allocated proportionately to each project or activity according to the degree of benefit.

2.1.3   Consistent. The supply cost must be treated consistently as either a direct or indirect cost in like circumstances throughout the institution.

2.1.4   Limitations. The supply item must conform to limitations imposed by the sponsor's policies and the agreement itself.

2.2   The cost of supplies from stock or services rendered by specialized institutional facilities or other operations (such as departmental copiers) may be charged directly to sponsored agreements provided the above criteria are met and the costs conform to USNH policy on "Establishing a Recharge Center Rate."

2.3   Items typically considered to be office, administrative, departmental, or general lab supplies (such as paper, pencils, notebooks, file cabinets, paper towels, gloves) are normally charged indirectly to sponsored agreements through the institution's federally negotiated Facilities and Administrative (F&A) cost rate. However, under appropriate circumstances, such special needs items may be charged directly to the sponsored agreement if they are:

• Essential to the project's programmatic or technical purpose,
• Explicitly identified with the project,
• Explicitly approved or not specifically disapproved by the sponsor as reflected in the award budget.

2.4   Examples.

• It is allowable to directly charge a sponsored agreement for the cost of paper and envelopes for a project requiring data collection through a mail survey.
• Paper, pencils, and similar supplies may be allowable direct charges to a workshop or conference grant.
• Supplies for an administrative office specifically funded as such by the sponsor may be allowable direct charges.

2.5   If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate value upon termination or completion of a federally-funded project and the supplies are not needed for any other Federal award, UNH must retain the supplies for use on other activities or sell them, but must, in either case, compensate the Federal government an amount calculated by multiplying the current market value or proceeds from sale by the Federal awarding agency's percentage of participation in the cost of the original purchase. If the supplies are sold, the sponsoring agency may allow UNH to retain $500 or ten percent of the proceeds, whichever is less, for its selling and handling expenses.

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References:

For awards made prior to December 26, 2014:

 

A-21 Appendix A, CAS 9905.502        Consistency in allocating costs incurred for the same purpose by educational institutions.

OMB Circular A-110:     Subpart C, _.27        Allowable costs.

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For awards made after December 26, 2014

2 CFR § 200    Subpart E – Cost Principles

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For all awards

USNH Policy on Unallowable Costs, Financial and Administrative Procedure 2-060

USNH Policy on Establishing a Recharge Center Rate, Financial and Administrative Procedure 2-073

Administrative Responsibility: UNH Senior Vice Provost for Research
Effective date: 7/1/95; revised 12/14/98, 5/23/07

 

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.R.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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1.   Introduction In accordance with the Office of Management and Budget (OMB),  it is necessary to explain and justify transfers of charges onto federally funded sponsored awards, when the original charge was previously recorded elsewhere on USNH’s General Ledger (GL). Timeliness and completeness of the explanation of the transfer are important factors in supporting allowability and allocability in accordance with federal requirements.

2.   Definition

Cost Transfer
A cost transfer is a journal entry that transfers an expense onto a federally-funded sponsored award that was previously recorded elsewhere on the University’s General Ledger (GL) and identified by USNH as requiring institutional approval before it can be posted to the GL.

Late Cost Transfer
A cost transfer that is requested more than 90 days after the monthly accounting period of the original transaction posting date is considered late. For example, if an original cost posted on 6/15/XX, then the 90 days would begin on 7/1/XX and end on 9/28/XX. Therefore, any cost transfer made on or after 9/29/XX would be considered late.

3.   Policy USNH has established the following policy for the processing of cost transfers to comply with the requirements of OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Uniform Guidance”) and federal agency policies and procedures. Cost transfers are for correcting errors and are not to be used as a means of managing available balances. Project funds are not interchangeable, and the integrity of each grant account must be maintained.

4.   Cost Transfer Requirements Cost transfers are for correcting errors and are not to be used as a means of managing available balances. Project funds are not interchangeable, and the integrity of each grant account must be maintained.

The following are unallowable cost transfers:

• Cost transfers solely for the purpose of utilizing unexpended funds of a sponsored award
• Cost transfers used as a cost management strategy
• Cost transfers between unrelated sponsored projects to avoid or eliminate cost overruns
• Cost transfers that circumvent pre- and/or post-award restrictions
• Cost transfers for any other reasons of convenience

With the exception of the below criteria, all cost transfers onto federally-funded sponsored projects require the completion of a Cost Transfer Justification Form approved by the Support Team for the Administration of Research (STAR), the Principal Investigator (PI) and Accounting and Financial Compliance (AFC) before entering the cost transfer into the USNH financial accounting system.

The following items do not require a cost transfer and should be processed as a journal (JEGR):

1. A single direct cost of $1,000 or less

2. A debit made within the same accounting period (same month) regardless of the original transaction amount

3. A debit made to a non-federal funding source

The following transaction types do not require the completion of a Cost Transfer Justification Form:

A. Transfers of true overdrafts (off sponsored awards to unrestricted accounts). These transfers may be made in lump sum entries rather than identifying individual transactions.

B. Transfers of expenditures between funds or GL accounts under the same award, in cases where there are no sponsor restrictions on the funds set aside in a particular fund.

C. Reallocation of salaries and fringe to reflect actual effort when the following apply:

i. When processed within 90 days of the month the charge originally posted; and

ii. Before the annual effort has been certified in the effort reporting system; and

iii. The effort certification due date has not passed.

D. Reallocation of Procurement Card (PCard) expense from a non-sponsored default fund when processed within 90 days of the month the charge originally posted.

E. Transfers of allowable and allocable expenditures incurred within the period of performance of an award but charged to a departmental, unrestricted, or other non-sponsored account while awaiting the fully executed sponsored agreement (transferred within 90 days of the end of the monthly accounting period of the original transaction posting date).

F. Reallocation of recurring expenses, or expenses that must otherwise default to non-sponsored FOAPAL for administrative reasons. All such expenses should have documentation of the allocation methodology.

G. Correction of administrative errors such as transposition/typos.

5. Roles and Responsibilities

Principal Investigator

• Ensures that expenditures are allocable, allowable, and reasonable to a specific sponsored project.
• Ensures that expenditures are allocated in accordance with award budget, sponsor guidelines, and Institutional policy.
• Ensures that individuals have appropriate authority to incur and allocate expenditures.
• Ensures monitoring of expenditures, timely correction of errors, and reallocation of expenses, including personnel effort, occurs.
• Ensures compliance with USNH Cost Transfer Policy.
• Initiates and/or authorizes requests for cost transfers.
• Provides complete, clear and reasonable justification for transfers as required by this policy.
• Manages project to minimize the need for cost transfers.

Sponsored Programs Administration: STAR

• Ensures that personnel responsible for financial administration of sponsored projects are familiar with USNH Cost Transfer Policy.
• Provides oversight and advice on sponsored post-award administration including cost transfers and effort reports.
• Provides support to answer questions and concerns from PI’s, research staff and administrative staff regarding cost transfer issues.
• Prepares cost transfer forms under direction of PI or designee and obtains approvals.
• Ensures compliance with USNH Cost Transfer Policy.
• Processes JV/JCST in Banner and uploads documentation to Xtender once all approvals are obtained.

Sponsored Programs Administration: AFC

• Exercises stewardship over sponsored projects in accordance with specific award terms and conditions and sponsor policy.
• Advises the research community, in particular the PI, designee and STAR on processing cost transfer adjustments and procedures.
• Reviews and approves cost transfers and supporting documentation in accordance with Institutional policy and sponsor guidelines.
• Provides training on Cost Transfer Policy and principles of sponsored project administration.

6. Notes

1. Agencies that fall under the Department of Health and Human Services e.g., Agency for Healthcare Research and Quality (AHRQ), Centers for Disease Control and Prevention (CDC), Food and Drug Administration (FDA), Health Resources and Services Administration (HRSA), Substance Abuse and Mental Health Services Administration (SAMHSA), Administration on Aging (AoA) as well as other HHS agencies (excluding the National Institutes of Health)] have the following condition in the HHS Grants Policy Statement, “Permissible cost transfers should be made promptly after the error occurs but no later than 90 days following occurrence unless a longer period is approved in advance by the GMO.” Cost transfers requiring sponsor prior approval must be routed to Sponsored Programs Administration for institutional approval and submission to the sponsor.

2. *To avoid unnecessary cost transfers, a Not Fully Executed (NFE) account STAR.

3. An account for an existing sponsored agreement must never be used as a holding account for another award’s pre-award expenses, including labor.

4. Expenditures must be transferred to an unrestricted account if the cost transfer is not approved by SPA.

5. Email is an acceptable form of approval.

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1.   Definitions

1.1   Administration. Services that benefit common or joint university or department activities in organized research units, academic departments or programs, and in the offices of the deans, vice presidents, provost, and president. For purposes of this policy, "Administration" also includes proposal preparation for competing renewal and new applications.

1.2   Departmental/University Research. Research, development, scholarly, and creative activities conducted under University of New Hampshire (UNH) auspices but not funded by an externally-sponsored project.

1.3   Effort. Time spent by a UNH employee on any USNH activity, including Sponsored Programs.

1.3.1   Committed Effort. Total projected amount of time the UNH employee has agreed to work on a sponsored project or other USNH activity.

1.3.2   Cost Shared (Contributed) Effort. Percentage of committed Effort not funded by the sponsor, i.e., to be paid for and contributed as cost sharing by UNH.

1.3.2.1   Mandatory Cost Sharing of Effort. Funding that, either due to award terms/ conditions or by federal statute, requires UNH to contribute personnel costs and corresponding Effort to the project as a condition of receiving the award.

1.3.2.2   Voluntary Committed Cost Sharing of Effort. Personnel costs and corresponding Effort associated with a sponsored project, which were identified in the proposal, but not required or funded by the sponsor.

1.3.2.3   Voluntary Uncommitted Cost Sharing of Effort. Personnel costs and corresponding Effort associated with a sponsored project and not funded by the sponsor, which were not committed in the proposal or in any other communication to the sponsor.

1.3.3   De minimis Effort. Infrequent, irregular activity that normally would be considered "so small" that it cannot (and should not) be accounted for. Activities can be considered de minimis in amount when, in the aggregate, they represent one percent or less of the individual's Total University Effort. (See UNH VIII.S.1.3.4.)

1.3.4   Total University Effort (TUE)

All activities for which the employee is compensated with USNH-administered funds for performing Regular Duties and for work for which the employee receives Additional Pay. (See UNH V.F.1.1.13 for definition of Regular Duties and UNH V.F.7 for the Additional Pay policy.) Types of Additional Pay unrelated to Effort (e.g., Employee Transition Allowance or monetary awards for recognition) are excluded from consideration for TUE. TUE is 100% regardless of FTE %.

TUE includes all USNH Effort-based activities regardless of when during the daytime, evening, weekend, or year, or where (e.g., on campus, at home, while traveling) the activities take place. TUE is not based on a 40-hour work week, but rather on the total USNH hours the employee spends on the combination of Regular Duties and Effort expended for Additional Pay. For example, if a person averages 60 hours per week on USNH activities and spends an average of 15 of the 60 hours per week on a Sponsored Program, that person is spending 25% Effort on the Sponsored Program and 75% on other duties.

See UNH VIII.S.3.8 – "Table on Total University Effort" – for examples of activities allowable as direct charges on Sponsored Programs.

1.4   Effort Certification. Process by which the UNH Principal Investigator (PI),  or persons having first-hand knowledge of employee effort on sponsored programs affirm that the percentages of received pay reflected on the Effort Report are a reasonable reflection of the percentages of Effort that the paid individual expended on each Sponsored Program and other work activities.

1.5   Effort Report. Listing of USNH accounts from which the UNH employee has been paid for Effort expended during a specified period; used for Effort Certification.

1.6   Instruction. Preparation, evaluation, and delivery of the university’s teaching and training activities, regardless of whether offered on a credit or non-credit basis. Also includes Instruction-related activities, such as thesis advice, student mentoring, and similar activities. Student mentoring directly related to a faculty member’s sponsored research is considered a research activity that may be allocated to the Sponsored Program.

1.7   Service. Membership in a standing committee (e.g., admissions committee, governance body, Human Subjects Review Board) or an ad hoc committee such as a search committee or task force. Service may qualify as de minimis Effort, depending on the extent of the individual’s involvement. (See UNH VIII.S.1.3.3 above.)

1.8   Sponsored Program. Project funded by an award from a grant, contract, or cooperative agreement under which UNH agrees to perform a certain scope of work, according to specific terms and conditions, and which requires detailed financial accountability and compliance with sponsor terms and conditions.

1.9   Sponsor Salary Cap

In some cases, sponsors impose limitations on the amount of Institutional Base Salary (IBS) or Rate (IBR) that may be used as the basis for charging salary to their projects. (See UNH Regular Pay policy at V.F.1.1.9 and V.F.1.1.10 for IBR and IBS definitions.) This is known as the "Sponsor Salary Cap." This does not affect the employee’s actual pay, just the source.

2.   Scope, Applicability, and Purpose

2.1   This policy sets forth requirements for proposing, managing, and certifying Effort on externally-Sponsored Program awards administered by UNH. The policy applies to all employees whose pay is charged to UNH-administered sponsored projects, in whole or in part, and to all UNH employees who have committed Effort to a sponsor but are not receiving salary support from the sponsor, also known as cost sharing. The policy applies regardless of whether or not the sponsor is Federal.

2.2   In requesting external funding for projects and programs, UNH must ensure that the proposed commitments of Effort are reasonable and conform to UNH’s and the sponsor’s expectations of the employees involved. If external funding is awarded, UNH must assure the sponsor that the proposed Effort will be effectively managed within the parameters of the sponsor’s requirements and UNH policy.

2.3   In addition to complying with the sponsor's expectations and requirements for allowable and appropriate charges to Sponsored Programs for Effort expended, UNH must comply with federal regulations regarding Compensation for Personal Services.

3.   Policy

3.1   Proposals: Proposing Effort Commitments and Requesting Related Salary/Wage Support on Sponsored Programs

3.1.1   General

3.1.1.1   In preparing proposals, Principal Investigators (PIs) must propose some level of activity (1% or the minimum required by the program) unless specifically exempted by the sponsor. PIs are expected by UNH to provide reasonable estimates of the percentage of Effort for themselves and all other key personnel necessary to carry out the proposed project. Proposed levels of Effort should be consistent with the actual Effort each employee is expected to expend on the project during the relevant project period(s). The amount of salary support requested normally should be determined by multiplying the proposed level of Effort percent by the employee's IBS or IBR. Salary support that is not requested normally should be stated as cost shared (contributed) Effort. (See UNH VIII.S.3.1.2 below.) In no event, should the requested salary support exceed the amount determined by multiplying the proposed level of effort by IBS or IBR.

3.1.1.2   Regardless of the amount of Effort provided and ultimately certified, the total amount of effort may not exceed 100%. Reductions of Committed Effort on a sponsored program should be appropriately justified and documented and reductions on federally sponsored program of 25% or more, from the proposed and awarded level, require prior approval from the sponsor.

3.1.2   Cost Shared (Contributed) Effort (See also UNH VIII.S.1.3.2.)

3.1.2.1   If the sponsor requires Mandatory Cost Sharing for the program, this requirement can be met through cost sharing of PI or key personnel Effort, with approval prior to proposal submission by the Responsibility Center unit head (normally the dean or institute director) and the UNH sponsored programs administration (SPA).

3.1.2.2   UNH typically does not cost share/ contribute Effort on a voluntary basis (see UNH VIII.M, Cost Sharing on Externally Sponsored Programs). Approval for Voluntary Committed Cost Sharing of Effort must be obtained prior to proposal submission from the Responsibility Center unit head and SPA. This type of cost sharing is agreed to as part of the award and is required to be documented, tracked, and reported. Voluntary Uncommitted Cost Sharing of Effort is not required to be documented, tracked, or reported.

3.1.3   Sponsor Salary Caps (See also UNH VIII.S.1.9.)

3.1.3.1   Where Sponsor Salary Cap limitations apply, the requested salary support is determined by multiplying the proposed level of Effort percent by the maximum IBS allowed by the sponsor.

Such limitations result in an automatic situation of cost shared (contributed) Effort, where the total Effort is split between Effort allowed to be charged to the sponsor and Effort funded by UNH. There may be other circumstances in which UNH may elect to request salary support at a lesser amount than the salary that could be requested based on proposed level of Effort.

3.1.4   Maximum Proposed Salary

3.1.4.1   Normally, a PI may not request in a single proposal to receive externally-sponsored salary support for more than 95% of his/her IBS. Faculty with 9-month appointments normally may not request in a single proposal to receive externally-sponsored summer salary support for a full 3 months. (See also UNH V.F.7.1.35, V.F.7.3.5, and UNH VIII.S.3.3 for additional information on Summer Pay and Effort.)

3.1.4.2   It is understood that the sum of active + proposed percentage commitments for a given period may exceed 100%, because proposals may not result in awards. However, to the extent that a proposal results in an award, reductions must be made to existing commitments (and the sponsors notified when required and/or appropriate) to ensure that the total Effort percentage committed to Sponsored Programs does not exceed 95% during the regular appointment period (or 100% during the Summer Period for academic-year faculty) for each UNH employee who will receive pay from the award. ("Summer Period" is defined as the approximately 13 weeks between academic years.)

3.1.4.3   In rare situations, Additional Pay for Effort beyond the employee’s Regular Duties (see UNH V.F.1.1.13 for definition of Regular Duties) may be proposed to the sponsor. (See UNH V.F.7 for Additional Pay types and policy for requesting and obtaining UNH approval.)

3.2   Awards: Establishing Salaries on Sponsored Project Award Accounts

3.2.1   Sponsors generally consider estimates of Effort (and corresponding salary requests) in proposals to be commitments if such proposals are awarded. If an award is accepted by UNH, the PI and key personnel are committed to provide this level of Effort over the award budget period unless sponsor policies permit otherwise. As a recipient of sponsored funds, UNH must assure sponsors that the Effort expended on the projects is at least commensurate with the salaries charged to those projects. In addition, sponsors require assurance that any Effort committed to a project, even Effort not compensated by the sponsor, is provided. PIs are responsible for ensuring that all Effort commitments are met for the program and ultimately certified.

3.2.2   UNH uses two methods for effort reporting, Plan Confirmation and After-The-Fact Effort Certification. (See UNH VIII.S.3.5.5 and UNH VIII.S.3.5.6.) Under Plan Confirmation, the distribution of salaries and wages of professorial staff applicable to sponsored agreements is based on budgeted, planned, or assigned work activity, periodically updated to reflect any significant changes in work distribution when those occur. Non-Instructional sponsored staff and other operating staff utilize After-The-Fact Effort Certification. In either method, salary/labor distribution consistent with committed Effort should begin on sponsored program award accounts (and cost sharing accounts, if applicable) concurrently with actual project Effort. It is the PI's responsibility to be aware of committed Effort for himself/herself and all project staff, and to promptly communicate via a written work plan with his/her UNH Business Service Center (BSC) to assign salary charges to the award and adjust charges to other USNH accounts as appropriate.

3.2.3   Maximum Allowed Regular Pay from Externally-Sponsored Programs

An employee's pay may not be charged directly to an externally-Sponsored Program for activities that are not identified in that specific program. Pay for Administration, Instruction, Service, clinical activity, institutional governance, and new or competitive proposal preparation must not be charged directly to externally-Sponsored Programs unless the activities are specifically approved activities of those Sponsored Programs. 

(See UNH VIIII.S.3.8, Table on Total University Effort, for examples of activities allowable for directly charging Sponsored Programs.)

Some sponsors may impose a cap on the amount they will reimburse for individual salaries in awards. For example, the National Institutes of Health will not reimburse at an annual rate that exceeds the cap it publishes each year. Also, the National Science Foundation normally limits compensation it will provide to two months in a one year period. For the purposes of this policy the year is defined as the beginning of the academic year plus the following summer session, e.g., August 25th through August 24th. Any request for salary greater than two months that was not specifically approved by NSF in the award notice budget, that would not cause the objective or scope of the project to change, should be submitted to the appropriate Grants and Contracts Administrator (GCA) in SPA with supporting documentation.

3.2.3.1   Academic Year Faculty during the Regular Appointment Period

Normally, faculty members have responsibilities during the academic year that preclude them from devoting 100% of their time to externally-sponsored activities. Deans and department chairs or their designees, and faculty should review proposed sponsored activity to assure that, if other activities required of the faculty member reduce the available Effort to devote to sponsored activities, payroll distribution adjustments are made consistent with sponsor terms and conditions.

3.2.3.2   Fiscal Year Faculty and Staff during the Regular Appointment Period

Fiscal year faculty and full-time staff members with teaching, research, service, and/or administrative responsibilities normally are precluded from devoting 100% of their time to and receiving 100% of their UNH pay from USNH-administered externally-Sponsored Programs. With written approval from the UNH Senior Vice Provost for Research (SVPR) or designee exceptions can be made up to 100% if the employee is working exclusively on the Sponsored Program(s) (See UNH VIIII.S.3.8, Table on Total University Effort, for examples of activities allowable for directly charging Sponsored Programs.)

Some fiscal year full-time staff members in certain classifications (e.g., research scientists and research technicians) are expected to devote 100% time to Sponsored Programs; these positions are given categorical approval by the SVPR to charge 100% of their pay to Sponsored Programs.

3.2.3.3   Adjunct Appointees

The employee's related pay may be charged directly to USNH-administered externally-Sponsored Programs in accordance with UNH VIII.S.3.2.3 above.

3.3   Summer Effort/Salary for Faculty with 9-Month Academic Appointments

For purposes of this policy, the definition of a Summer Period (see UNH V.F.1.1.16) workweek is consistent with the definition of an Academic Year workweek (see prevailing Collective Bargaining Agreement). It is expected that faculty engaging in externally-sponsored projects during the Summer Period will not allow other activities (e.g., teaching, proposal writing) performed during the Summer Period to interfere with or reduce the faculty member's ability to expend summer Effort on externally-sponsored projects, as that Effort is committed to sponsors and for which he/she is earning summer salary. If the Effort associated with any such other activities could not be conducted reasonably along with externally-sponsored commitments, the faculty member has the obligation to adjust, and likely decrease, summer commitments and salary on externally-sponsored projects.

A request for summer salary indicates a commitment to put forth the comparable Effort on the particular project during the Summer Period. Effort expended during the Academic Year does not satisfy a commitment related to receipt of summer salary. Faculty members receiving 3/9th of their salary are expected to forego vacation during the period coinciding with the work effort.

3.4   Post-Award: Revising and Monitoring Effort and/or Salary Commitments on Sponsored Project Awards

3.4.1   With each new award received, changes in other USNH commitments, and/or other changes in activity that could impact the level of effort proposed/awarded for sponsored projects, the PI is responsible for reviewing the Effort commitments for each activity to ensure there is sufficient time available to meet all obligations. PIs must ensure that with each new award or additional assignment (such as for Service on a UNH committee), he/she adjusts the percentage of Effort and associated compensation plan for each activity accordingly. It is the PI's responsibility to communicate promptly with his/her Business Service Center (BSC) to assign labor distributions to the new awards/activities and adjust for future charges to other UNH accounts as appropriate.

3.4.1.1   Retroactive salary/labor adjustments to Sponsored Programs are discouraged. If an error has occurred, the PI must provide written documentation to the BSC to explain the reason for the error. Except for UNH-mandated adjustments such as retroactive salary increases, no retroactive salary/labor adjustments greater than 90 days from end of month original transaction was posted may be made to Sponsored Programs without approval from the BSC and SPA. All adjustments are subject to after-the-fact review and possible disallowance by SPA.

3.4.2   When sponsor approval is required for reductions in Effort on awarded projects, PIs must obtain UNH and sponsor approval prior to reducing their Effort. If an Effort reduction is indicated for a sponsored project award, the salary charged to the sponsor must be reduced commensurate with the Effort reduction.

3.4.3   The PI must communicate significant changes in level of Sponsored Programs effort to his/her BSC such that salary distribution adjustments are made on a timely basis.

3.4.4   It is recommended that PIs monitor salary/labor charges to their Sponsored Programs on a monthly basis, but no less frequently than quarterly. Salary distribution adjustments should be communicated to his/her BSC in a timely manner.

3.5   Certifying Effort

3.5.1   Each UNH employee (or other responsible person with specific knowledge of the employee's Effort) must certify his/her TUE if all or part of the related compensation was funded by UNH Sponsored Programs during the period covered by the Effort Certification. Graduate student effort is certified by PI(s) or designee(s).

3.5.2   If the individual certifying the Effort is other than the employee, the certifier must use "suitable means of verification" that the work was performed and that the associated pay was reasonable in relation to the Effort. It is the PI's responsibility to ensure that appropriate records (e.g., calendars, teaching schedules, lab log books) are up-to-date and available for review or audit to substantiate that the work was performed. Such records may be considered suitable means of verification. Other means of verification might include e-mail messages attesting to Effort devoted, based on firsthand knowledge. Oral verification alone will not suffice.

3.5.3   If the percentages of actual TUE differ from the percentages of actual pay on Sponsored Programs by more than 5% for the certification period, the PI must promptly communicate to the BSC the details such that corrections can be made to the payroll system. Differences of 5% or less do not require payroll system adjustments unless the associated costs are unallowable. An example of an unallowable cost is time spent on competitive proposal writing.

3.5.4   De minimis activity (1% or less of TUE) devoted to non-sponsored university activities is not required to be identified on the Effort Report, but may be allocated to Sponsored Programs and non-sponsored activities consistently and equitably. Examples of de minimis activities may include attending departmental meetings, completing performance reviews for supervisees, and enrolling in employee benefit programs. Proposal writing for new and competitive renewal projects, and well-defined, regular Administration (see UNH VIII.S.1.1) and Service (see UNH VIII.S.1.7) activities cannot be considered "small", therefore must not be treated as de minimis.

3.5.5   Utilizing either Plan Confirmation or the After-the-Fact Confirmation Method, Effort Certification must be completed annually by or for each salaried employee who received pay from one or more UNH Sponsored Programs during the Effort Certification period. Effort Certifications are to be provided to UNH SPA no later than October 15 each year for the preceding UNH fiscal year reporting period.

3.5.6   Hourly-based employees use Web Time Entry (WTE) as part of the UNH bi-weekly payroll process. When certified by the employee and approved by his/her supervisor, or an individual with first-hand knowledge of the employees’ activity, WTEs reflecting TUE meet the requirements of After-the-Fact Effort Certification for hourly-based employees receiving wages from UNH Sponsored Programs.

3.5.7  Because it is expected that the PI will promptly initiate future labor distributions and correct errors to prior salary/labor charges to his/her Sponsored Programs, instances of re-certification of Effort after the original certification is filed should be rare. Approval by the UNH Senior Director for Research and Sponsored Programs or designee is required in order for UNH to accept a correction of a previously-filed Effort Certification.

3.6   Training

3.6.1   UNH effort certification training is available at https://www.unh.edu/research/effort-reporting-and-certification-training. Principal Investigators of UNH externally-Sponsored Programs should complete the Effort Certification training made available by UNH, or receive training at a kickoff meeting prior to allocating salaries to a sponsored project. It is the responsibility of the PI to explain effort certification to research staff paid on their grants and/or to direct them to UNH effort certification training.

3.6.2   Each PI should complete the UNH Effort Certification training module even if s/he does not receive pay but supervises employees who are paid by the PI's-Sponsored Program.

3.6.3   The PI's BSC and local business/administrative staff supporting UNH Sponsored Programs are encouraged to complete this training.

3.7   Consequences of Non-Compliance

3.7.1   If a PI does not complete the specified training, the PI's next award may not be accepted by UNH until such time as s/he successfully completes the training.

3.7.2   If an employee fails to return his/her Effort Certification within the required period, no further proposals may be submitted nor awards accepted by UNH for the employee/PI until such time as the certification is completed and submitted to SPA.

3.7.3   Sponsored Programs funds expended for employees who violate this policy may be disallowed by the sponsor and/or UNH. In such cases, the PI and his/her college/school/department must provide unrestricted UNH funds to reimburse the sponsor.

3.7.4   Other violations of this policy will be addressed under the USNH Employee Code of Ethics and other policies as appropriate.

3.8   Total University Effort Table

 (Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.T.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

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Spanish version

1.   Statement of Need and Purpose

1.1   Externally sponsored research is a vital part of the University of New Hampshire's (UNH) mission. As this activity grows in sophistication and complexity, it intersects increasingly with industrial explorations and entrepreneurial ventures creating for investigators the potential for conflicting interests.

1.2   A conflict of interest exists when it can be reasonably determined that an investigator's personal financial concerns could directly and significantly influence the design, conduct, or reporting of sponsored research activities. Further, some financial conflicts of interest could affect the rights and welfare of human subjects participating in research. UNH faculty and staff have an obligation to scrupulously maintain the objectivity of their research avoiding any conflict of interest.

1.3   UNH has developed this policy to protect the integrity of sponsored research and to comply with Public Health Service (PHS) federal regulations1. It is the intent and policy of UNH, as an institution of higher education in receipt of federal research support, to comply with present and future regulations. To that end, this policy is subject to further refinements as other rules are published.

1.4   Specifically, the intent of this policy is to identify and eliminate or manage any possible threat to research objectivity in PHS-funded research at UNH, including those that could lead to the unethical treatment of research subjects. It is not meant to discourage, but rather to safeguard the pursuit and dissemination of knowledge.

2.   Applicability

2.1   This policy became effective August 24, 2012, and applies to any investigator who is responsible for the design, conduct, or reporting of research activities in projects: (1) funded by PHS (see footnote #2) with Notice of Award issue date on, or subsequent to, the effective date; or (2) proposed for funding by PHS in applications submitted to PHS (see footnote #2) on or after the effective date. The policy also applies to the investigator's immediate family, which is defined as his/her spouse or domestic partner and dependent children.

2.2   Principal investigators are responsible for ensuring that all participants in a PHS –funded research project who are responsible for the design, conduct, or reporting of the research disclose any significant financial interests related to their institutional responsibilities. Individuals who come to work on an established project through reallocation of effort, hiring, transfer, promotion, etc., and thereby take on a responsible position in a project, must also disclose any such significant financial interests.

2.3   Collaborators, subcontractors, sub-recipients, and visiting scientists must either comply with this policy or provide a certification to the UNH Director of Sponsored Programs Administration (SPA) that their institutions are in compliance with pertinent federal policies and that they in turn are in compliance with their own institutional policies.

2.4   This policy applies to PHS research funding by means of a grant or cooperative agreement. It does not apply to Small Business Innovation Research (SBIR) Program Phase I applications.

3.   Definitions

3.1   Disclosure of Significant Financial Interests: An investigator's disclosure of significant financial interests to UNH.

3.2   Disclosure Review Committee (DRC): The UNH committee charged with protecting the integrity of UNH's externally-funded research enterprise, and UNH employees who engage in externally-funded research, by identifying and resolving financial conflicts of interest in research. The DRC conducts its duties in a manner intended to promote, not hinder, research relationships (see sections 5 and 8 of the UNH Policy on Financial Conflict of Interest in Research³ for DRC membership and responsibilities).

3.3   Financial Conflict of Interest (FCOI): A significant financial interest that could directly and significantly affect the design, conduct, or reporting of PHS-funded research.

3.4   FCOI Report: UNH's report of a financial conflict of interest to a PHS Awarding Component.

3.5   Financial Interest: Anything of monetary value, whether or not the value is readily ascertainable.

3.6   HHS: United States Department of Health and Human Services, and any components of the Department to which the authority involved may be delegated.

3.7   Institutional Responsibilities: An investigator's professional responsibilities on behalf of UNH as defined by UNH as follows:

3.7.1   Faculty: An individual's appointment letter and/or the Collective Bargaining Agreement, whichever is more specific with regard to the definition of institutional responsibilities.

3.7.2   Staff: Position description.

3.8   Institutional Official (IO): The Senior Vice Provost for Research (SVPR).

3.9   Investigator: The project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by PHS, or proposed for such funding, which may include, for example, collaborators or consultants.

3.10   Manage: Taking action to address a financial conflict of interest, which can include reducing or eliminating the financial conflict of interest, to ensure, to the extent possible, that the design, conduct, and reporting of research will be free from bias.

3.11   PD/PI: A project director or principal Investigator of a PHS-funded research project; the PD/PI is included in the definitions of senior/key personnel and investigator in this policy.

3.12   PHS: The Public Health Service of the U.S. Department of Health and Human Services, and any components of the PHS to which the authority involved may be delegated, including the National Institutes of Health (NIH).

3.13   PHS Awarding Component: The organizational unit of the PHS that funds the research that is subject to 42 CFR 50 subpart F.

3.14   Public Health Service Act or PHS Act: The statute codified at 42 U.S.C. 201 et seq.

3.15   Research: A systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge relating broadly to public health, including behavioral and social-sciences research. The term encompasses basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test or drug). The term includes any such activity for which research funding is available from a PHS Awarding Component through a grant or cooperative agreement, whether authorized under the PHS Act or other statutory authority, such as a research grant, career development award, center grant, individual fellowship award, infrastructure award, institutional training grant, program project, or research resources award.

3.16   Senior/Key Personnel: The PD/PI and any other person identified as senior/key personnel by UNH in the grant application, progress report, or any other report submitted to the PHS by UNH.

3.17   Significant Financial Interest:

3.17.1   A financial interest consisting of one or more of the following interests of the investigator (and those of the investigator's spouse or domestic partner, and dependent children) that reasonably appears to be related to the investigator's institutional responsibilities:

3.17.1.1   With regard to any publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000. Remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship); equity interest includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value;

3.17.1.2   With regard to any non-publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the investigator (or the investigator's spouse or domestic partner or dependent children) holds any equity interest (e.g., stock, stock option, or other ownership interest); or

3.17.1.3   Intellectual property rights and interests (e.g., patents, copyrights), upon receipt of income related to such rights and interests. As further described in 3.17.3, this does not include intellectual property rights and interests assigned to UNH nor royalty income received from UNH per the UNH Intellectual Property policy (UNH VIII.D).

3.17.2   Investigators also must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of the investigator and the investigator's spouse or domestic partner, and dependent children, and not reimbursed to the investigator so that the exact monetary value may not be readily available), related to their institutional responsibilities that occurred in the twelve months preceding the disclosure.

3.17.2.1   This disclosure requirement does not apply to travel that is reimbursed or sponsored by a Federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education.

3.17.2.2   This disclosure will include, at a minimum, the purpose of the trip, the identity of the sponsor/organizer, the destination, and the duration.

3.17.2.3   The institutional official(s) will determine if further information is needed, including a determination or disclosure of monetary value, in order to determine whether the travel constitutes an FCOI with the PHS-funded research.

3.17.3   The term significant financial interest does not include the following types of financial interests:

3.17.3.1   Salary, royalties, or other remuneration paid by UNH to the investigator if the investigator is currently employed or otherwise appointed by UNH, including intellectual property rights assigned to UNH and agreements to share in royalties related to such rights;

3.17.3.2   Income from investment vehicles, such as mutual funds and retirement accounts, as long as the investigator does not directly control the investment decisions made in these vehicles;

3.17.3.3   Income from seminars, lectures, or teaching engagements sponsored by a Federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education; or

3.17.3.4   Income from service on advisory committees or review panels for a Federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education.

3.18   Small Business Innovation Research (SBIR) Program: The extramural research program for small businesses that is established by the Awarding Components of PHS and certain other Federal agencies under Public Law 97–219, the Small Business Innovation Development Act, as amended. SBIR Program also includes the Small Business Technology Transfer (STTR) Program, which was established by Public Law 102–564.

4.   Disclosure and Review Processes

4.1   Disclosure Process

4.1.1   Each investigator responsible for the design, conduct, or reporting of research activities funded or proposed for funding by PHS must disclose to UNH all his/her significant financial interests and those of his/her spouse or domestic partner and dependent children related to his/her institutional responsibilities no later than the time of application by UNH for PHS-funded research.

4.1.2   Each investigator who has significant financial interests related to his/her institutional responsibilities must complete a UNH Financial Conflict of Interest in Research Disclosure Statement and attach all required supporting documentation. The form and supporting documentation should be submitted in a sealed envelope marked confidential to the Office of the Senior Vice Provost for Research (OSVPR). If the disclosure statement indicates involvement of human subjects in the research, the OSVPR will notify the chairperson of the UNH Institutional Review Board for the Protection of Human Subjects in Research (IRB) so the situation may be considered, and if appropriate, addressed, by the IRB. If UNH determines that a financial conflict of interest exists (see 4.2.1) UNH shall request the investigator submit a proposed conflict management plan that details steps that could be taken to manage, reduce, or eliminate the financial conflict of interest. Resolution of the conflict or establishment of an acceptable conflict management plan must be achieved before expenditure of any funds under a PHS award.

4.1.3   Each investigator who is participating in PHS-funded research must submit to UNH an updated disclosure of significant financial interests at least annually (fiscal year [July 1 – June 30]) during the period of the award. Such disclosure shall include any information that was not disclosed initially to UNH or in a subsequent disclosure of significant financial interests (e.g., any financial conflict of interest identified on a PHS-funded project that was transferred from another institution), and shall include updated information regarding any previously disclosed significant financial interest (e.g., the updated value of a previously disclosed equity interest).

4.1.4   Each investigator who is participating in PHS-funded research must submit an updated disclosure of significant financial interests within thirty (30) business days of discovering or acquiring (e.g., through purchase, marriage, or inheritance) a new significant financial interest.

4.1.5   All disclosure statements and related documents are considered sensitive information. As such, they will be treated as confidential and will not be disclosed outside the DRC and its staff without the investigator’s consent except: In response to a request from HHS; or pursuant to a judicial order or lawfully issued subpoena. UNH will make reasonable efforts to notify the investigator of any judicial order or lawfully issued subpoena in advance of disclosure of this information, unless the order is from a federal grand jury or is for law enforcement purposes and its terms prohibit UNH from disclosing its existence or contents.

4.2   Review of Disclosures

4.2.1   Prior to UNH's expenditure of any funds under a PHS-funded research project, UNH shall review all disclosure statements and accompanying documentation, and shall determine whether an investigator's significant financial interest is related to the PHS-funded research and, if so related, whether the significant financial interest represents a financial conflict of interest. An investigator's significant financial interest is related to the PHS-funded research when UNH reasonably determines that the significant financial interest could be affected by the PHS-funded research; or is in an entity whose financial interest could be affected by the research. UNH may involve the investigator in its determination of whether a significant financial interest is related to PHS-funded research. UNH may request additional clarifying information from the investigator which will be treated as non-public information to the extent allowed by law. A financial conflict of interest exists when UNH reasonably determines that the significant financial interest could directly and significantly affect the design, conduct, or reporting of the PHS-funded research.

4.2.2   If a financial conflict of interest exists, UNH shall request the investigator submit a proposed conflict management plan that details steps that could be taken to manage, reduce, or eliminate the financial conflict of interest. UNH shall review the proposed conflict management plan and approve it or add conditions or restrictions to ensure that any conflict is managed, reduced, or eliminated. Such conditions or restrictions may include, but are not limited to, the following:

4.2.2.1   Public disclosure of financial conflicts of interest (e.g., when presenting or publishing the research);

4.2.2.2   Monitoring of the research by independent reviewers;

4.2.2.3   Modification of the planned activities (possibly subject to sponsor approval);

4.2.2.4   Disqualification from participation in all or part of the project;

4.2.2.5   Divestiture of significant financial interests;

4.2.2.6   Severance of relationships creating conflict;

4.2.2.7   For research involving human subjects, disclosure of financial conflicts of interest directly to research subjects.

4.2.3   In all cases, resolution of the conflict or establishment of an acceptable conflict management plan must be achieved before expenditure of any funds under a PHS award.

4.2.4   When an investigator who is new to participating in a PHS-funded research project discloses a significant financial interest or an existing investigator discloses a new significant financial interest to UNH, UNH shall: review the disclosure of the significant financial interest within sixty (60) business days; determine whether it is related to PHS-funded research; determine whether a financial conflict of interest exists; and, if so, implement, on at least an interim basis, a management plan that shall specify the actions that have been and will be taken to manage such financial conflict of interest. Depending on the nature of the significant financial interest, UNH may determine that additional interim measures are necessary with regard to the investigator's participation in the PHS-funded research project between the date of disclosure and the completion of its review.

4.2.5   Whenever UNH identifies a significant financial interest that was not disclosed in a timely manner by an investigator or, for whatever reason, was not previously reviewed by UNH during an ongoing PHS-funded research project (e.g., was not reviewed or reported timely by a sub-recipient), UNH shall: review the significant financial interest within sixty (60) business days; determine whether it is related to PHS-funded research; determine whether a financial conflict of interest exists; and, if so implement, on at least an interim basis, a management plan that shall specify the actions that have been, and will be, taken to manage such financial conflict of interest going forward.

4.2.5.1   In addition, whenever a financial conflict of interest is not identified or managed in a timely manner, including failure by the investigator to disclose a significant financial interest that is determined by UNH to constitute a financial conflict of interest; failure by UNH to review or manage such a financial conflict of interest; or failure by the investigator to comply with a financial conflict of interest management plan, within 120 business days of the its determination of noncompliance UNH shall complete a retrospective review of the investigator's activities and the PHS-funded research project to determine whether any PHS-funded research conducted during the period of the noncompliance was biased in the design, conduct, or reporting of such research.

4.2.5.2   UNH shall document the retrospective review. Such documentation shall include, but not necessarily be limited to, the following key elements: (1) Project number; (2) Project title; (3) PD/PI or contact PD/PI if a multiple PD/PI model is used; (4) Name of the investigator with the FCOI; (5) Name of the entity with which the investigator has a financial conflict of interest; (6) Reason(s) for the retrospective review; (7) Detailed methodology used for the retrospective review (e.g., methodology of the review process, composition of the review panel, documents reviewed); (8) Findings of the review; and (9) Conclusions of the review.

4.2.5.3   Based on the results of the retrospective review UNH shall update the previously submitted FCOI report if appropriate (see section 5 of this policy), specifying the actions that will be taken to manage the financial conflict of interest going forward. If bias is found, UNH is required to notify the PHS Awarding Component promptly and submit a mitigation report. The mitigation report must include, at a minimum, the key elements documented in the retrospective review above and a description of the impact of the bias on the research project and UNH's plan of action taken to eliminate or mitigate the effect of the bias (e.g., impact on the research project; extent of harm done, including any qualitative and quantitative data to support any claim of actual or future harm; analysis of whether the research project is salvageable). Thereafter, UNH must submit FCOI reports annually. Depending on the nature of the financial conflict of interest, UNH may determine that additional interim measures are necessary with regard to the investigator's participation in the PHS-funded research project between the date that the financial conflict of interest or the investigator’s noncompliance is determined and the completion of UNH's retrospective review.

4.3   Appeals

4.3.1   Appeal of UNH's decision may be made to the UNH President who will consult with the investigator, the SVPR, and the DRC, and make a final determination.

4.4   Compliance

4.4.1   As part of the Financial Conflict of Interest in Research Disclosure Statement, each investigator must certify that if UNH determines a financial conflict of interest exists, the investigator will adhere to all conditions or restrictions imposed upon the project and will cooperate fully with the individual(s) assigned to monitor compliance.

4.5   Enforcement

4.5.1   Failure to properly disclose relevant financial interests or to adhere to conditions or restrictions imposed by UNH will be considered a deviation from accepted standards of conducting research at UNH.

4.5.2   The DRC will investigate alleged violations of this policy, and will make recommendations for action to the UNH President. Breaches of policy include, but are not limited to: failure to file the necessary disclosure statements; knowingly filing incomplete, erroneous or misleading disclosure forms; or failure to comply with procedures prescribed by UNH. If the UNH President determines that the policy has been violated, he/she may impose sanctions including, but not limited to, notification to PHS and termination of the award; formal admonition; a letter to the investigator's personnel file; and suspension of the privilege to apply for external funding.

4.6   Records

4.6.1   The OSVPR will maintain records of all disclosures and associated activities securely and confidentially (see section 4.1.5 of this policy for exceptions).

4.6.2   All records will be maintained for three years following termination or completion of the project, submission of the final expenditures report to the PHS, or resolution of any government action involving the records, whichever is later.

4.6.3   Records will be provided to PHS as required in section 5 of this policy. The Director of SPA will be responsible for communications with PHS.

5.   Reporting to PHS and PHS Oversight

5.1   Prior to UNH's expenditure of any funds under a PHS-funded research project, UNH, via the Director of SPA, shall provide to the PHS Awarding Component an FCOI report regarding any investigator's significant financial interest found to be conflicting. In cases in which UNH identifies a financial conflict of interest and eliminates it prior to the expenditure of PHS-awarded funds, UNH shall not submit an FCOI report to the PHS Awarding Component.

5.2   For any significant financial interest that UNH identifies as conflicting subsequent to the UNH's initial FCOI report during an ongoing PHS-funded research project (e.g., upon the participation of an investigator who is new to the research project) UNH shall provide to the PHS Awarding Component an FCOI report regarding the financial conflict of interest within sixty (60) business days, and ensure that UNH has implemented a management plan in accordance with 42 CFR 50 subpart F.

5.3   Where a FCOI report involves a significant financial interest that was not disclosed in a timely manner by an investigator or, for whatever reason, was not previously reviewed or managed by UNH (e.g., was not reviewed or reported in a timely manner by a sub-recipient), UNH also is required to complete a retrospective review to determine whether any PHS-funded research conducted prior to the identification and management of the financial conflict of interest was biased in the design, conduct, or reporting of such research. Additionally, if bias is found, UNH is required to notify the PHS Awarding Component promptly and submit a mitigation report to the PHS Awarding Component.

5.4   In FCOI reports required in 5.1 and 5.2 of this policy, UNH shall include sufficient information to enable the PHS Awarding Component to understand the nature and extent of the financial conflict and to assess the appropriateness of UNH's management plan. Elements of the FCOI report shall include, but are not necessarily limited to, the following:

(i) Project number; (ii) PD/PI or Contact PD/PI if a multiple PD/PI model is used; (iii) Name of the investigator with the financial conflict of interest; (iv) Name of the entity with which the Investigator has a financial conflict of interest; (v) Nature of the financial interest (e.g., equity, consulting fee, travel reimbursement, honorarium); (vi) Value of the financial interest (using dollar ranges) or a statement that the interest is one whose value cannot be readily determined through reference to public prices or other reasonable measures of fair market value; (vii) A description of how the financial interest relates to the PHS-funded research and the basis for UNH's determination that the financial interest conflicts with such research; and (viii) A description of the key elements of UNH's management plan, including: (A) Role and principal duties of the conflicted investigator in the research project; (B) Conditions of the management plan; (C) How the management plan is designed to safeguard objectivity in the research project; (D) Confirmation of the investigator's agreement to the management plan; (E) How the management plan will be monitored to ensure investigator compliance; and (F) Other information as needed.

5.5   For any financial conflict of interest previously reported by UNH with regard to an ongoing PHS-funded research project, UNH shall provide to the PHS Awarding Component an annual FCOI report that addresses the status of the financial conflict of interest and any changes to the management plan for the duration of the PHS-funded research project. The annual FCOI report shall specify whether the financial conflict is still being managed or explain why the financial conflict of interest no longer exists. UNH shall provide annual FCOI reports to the PHS Awarding Component for the duration of the project period (including extensions with or without funds) in the time and manner specified by the PHS Awarding Component.

5.6   If the failure of an investigator to comply with this policy or a financial conflict of interest management plan appears to have biased the design, conduct, or reporting of the PHS-funded research, UNH shall promptly notify the PHS Awarding Component of the corrective action taken or to be taken. The PHS Awarding Component may consider the situation and take appropriate action or refer the matter to UNH for further action, which may include directions to UNH on how to maintain appropriate objectivity in the PHS-funded research project.

5.7   The PHS Awarding Component and/or HHS may inquire at any time before, during, or after award into any investigator disclosure of financial interests and UNH's review (including any retrospective review) of, and response to, such disclosure, regardless of whether the disclosure resulted in UNH's determination of a financial conflict of interest. UNH is required to submit, or permit on site review of, all records pertinent to compliance with 42 CFR 50 subpart F. To the extent permitted by law, HHS will maintain the confidentiality of all records of financial interests. On the basis of its review of records or other information that may be available, the PHS Awarding Component may decide that a particular financial conflict of interest will bias the objectivity of the PHS-funded research to such an extent that further corrective action is needed or that UNH has not managed the financial conflict of interest in accordance with 42 CFR 50 subpart F. The PHS Awarding Component may determine that imposition of special award conditions under 45 CFR 74.14 and 92.12, or suspension of funding or other enforcement action under 45 CFR 74.62 and 92.43, is necessary until the matter is resolved.

5.8   In any case in which the HHS determines that a PHS-funded project of clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment has been designed, conducted, or reported by an investigator with a financial conflict of interest that was not managed or reported by UNH as required by 42 CFR 50 subpart F, UNH shall require the investigator involved to disclose the financial conflict of interest in each public presentation of the results of the research and to request an addendum to previously published presentations.

5.9   UNH may require the reporting of other financial conflicts of interest to PHS as UNH deems appropriate.

6.   Public Accessibility

6.1   UNH shall ensure public accessibility via a written response to any requestor within five (5) business days of receipt of a request by the OSVPR for information concerning any significant financial interest disclosed to UNH that meets the following three (3) criteria:

6.1.1   The significant financial interest was disclosed and is still held by the senior/key personnel as defined by this policy;

6.1.2   UNH determines that the significant financial interest is related to PHS-funded research; and

6.1.3   UNH determines that the significant financial interest is a financial conflict of interest.

6.2   The information that UNH will make available via a written response to any requestor within five (5) business days of receipt of a request by the OSVPR, shall include, at a minimum, the following: (i) The investigator's name; (ii) The investigator's title and role with respect to the research project; (iii) The name of the entity in which the significant financial interest is held; (iv) The nature of the significant financial interest; and (v) The approximate dollar value of the significant financial interest using dollar ranges, or a statement that the interest is one whose value cannot be readily determined through reference to public prices or other reasonable measures of fair market value.

6.3   Information concerning the significant financial interests of an individual subject to section 6.1 of this policy shall remain available for responses to written requests for at least three (3) years from the date that the information was most recently updated.

7.   Training

7.1   Investigators must complete training regarding financial conflicts of interest, investigators' responsibilities regarding disclosure of significant financial interests, and the PHS regulations prior to engaging in research related to any PHS-funded grant and at least every four (4) years.

7.2   In addition, investigators must complete training within thirty (30) days in the following circumstances:

7.2.1   UNH revises its policy on Financial Conflict of Interest in Research for PHS-Funded Projects or procedures related to this policy in any manner that affects the requirements of investigators;

7.2.2   An investigator is new to UNH; or

7.2.3   UNH finds that an investigator is not in compliance with this policy or management plan.

 

Footnotes

¹Department of Health and Human Services. Responsibility of Applicants for Promoting Objectivity in Research for Which PHS Funding is Sought. 42 CFR 50 Subpart F (revised August 25, 2011).

²While this policy specifies throughout research funded, or proposed for funding, by the Public Health Services, it also applies to other organizations that require compliance with the PHS financial conflict of interest in research regulations).While this policy specifies throughout research funded, or proposed for funding, by the Public Health Services, it also applies to other organizations that require compliance with the PHS financial conflict of interest in research regulations).

³See UNH VIII.E.5.1

1.   Preamble

1.1   The University of New Hampshire (UNH) recognizes its legal responsibilities to comply with pertinent regulations regarding the use, release, and exporting of export-controlled technical data, information, materials, and equipment in all activities conducted under the auspices of UNH, including outreach, scholarly, research, and teaching activities. Accordingly, UNH maintains this policy and underlying procedures. UNH strives to ensure that all members of its community – whether staff, faculty, students, consultants, subcontractors or visitors – understand and adhere to this policy.

1.2   UNH developed this policy to comply with federal export regulations, including but not limited to the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the Office of Foreign Assets Control (OFAC) regulations. The EAR and the ITAR govern the shipment or transfer (directly or indirectly) of export ­controlled technical data, information, materials and equipment to destinations outside the United States, as well as the provision of services and access to certain export controlled technical data, information, materials or equipment to debarred persons or entities and to non-U.S. persons within or outside the United States. In addition, the OFAC regulations impose sanctions and embargoes on transactions or exchanges with designated countries, entities and individuals, which in turn restricts UNH’s ability to conduct certain activities with those subject to the sanctions.

1.3   UNH recognizes that these regulations support critical national-security, economic, and foreign policy interests of the United States.

2.   Definitions

2.1   Definitions related to export controls are codified in the Export Administration Regulations (EAR) at 15 CFR § 772, the International Traffic in Arms Regulations (ITAR) at 22 CFR § 120, and the Office of Foreign Assets Control (OFAC) regulations at 31 CFR Part 501.

2.2   “Activities” include, but are not limited to: research; research training; provision of services; payment for services; instruction of students; hosting visiting scholars and other official guests; foreign travel; attendance at conferences and meetings, and presentations made at such; procurement; approval or payment of invoices; shipping and mailing; and, international collaborations, whether formally sponsored or not.

2.3   “U.S. Person” means any U.S. citizen, lawful permanent resident (a/k/a “green card” holder) of the U.S., or an individual who has been granted asylum or refugee status in the U.S. This definition also includes any corporation, society, or other entity or group that is incorporated or organized to do business in the U.S., and any federal, state, or local government entity in the U.S.

3.   Statement of the Policy

All individuals affiliated with UNH who work with, or have access to, export­ controlled technical data, information, materials and equipment or who engage in Activities are required to be familiar with and fulfill the requirements of the U.S. export controls laws and regulations by following applicable UNH guidelines, procedures and related policies, and consulting with UNH’s Empowered Official (see Section 5.2) as needed.

4.   Applicability. This policy is applicable to any Activity involving the use of export-controlled technical data, information, materials and equipment, or involving a non-U.S. Person, that is:

4.1   Conducted by or under the direction of any employee, student, or agent of UNH in connection with his or her individual UNH responsibilities;

4.2   Conducted by or under the direction of any employee, student, or agent of UNH involving the use of any UNH equipment, property or facility;

4.3   Involving any collaborating, sub-granting, or subcontracting individual or institution working with UNH;

whether such Activity is unsponsored, or is sponsored by UNH or extramural funding from any source.

5.   Administration of Policy

5.1   The Senior Vice-Provost for Research is responsible for the administration of this policy and applicable UNH guidelines and procedures.  Approval by the UNH President is required to amend this policy.

5.2   The Senior Vice Provost for Research will designate Empowered Officials to facilitate compliance and assist the UNH community with training, guidance, and administration of applicable regulations.

6.   Enforcement

6.1   UNH’s workforce members are expected to follow federal and state laws and regulations, as well as UNH’s policies and procedures regarding information security and export controls and regulations.

6.2   Besides the possibility of incurring significant reputational damage, civil and criminal penalties for violations of export control regulations are substantial, including significant fines, debarment from participation in federal contracting, loss of export privileges, and in some cases imprisonment.  Such penalties can be imposed upon the individual(s) involved, as well as the institution.