Paying
Human Subjects UPPS No. 02.02.06 (NEW)
Issue
No. 1
Effective
Date: 08/14/2008
Review:
November 1 E4Y
01.01 The
purpose of this policy is to prescribe the policies and procedures for paying
human subjects involved in external and internal sponsored programs at Texas
State University-San Marcos. This policy applies to all sponsored programs,
regardless of the source of funds.
03.01 Federal regulations which deal with human
subjects are applicable only to sponsored programs funded with federal monies,
in accordance with the Code of
Federal Regulations, Title 45 (Public Welfare), Part 46 (Protection of Human
Subjects). This federal regulation applies
to all research involving human subjects conducted, supported or otherwise
subject to regulation by any federal department or agency which takes
appropriate administrative action to make the policy applicable to such
research. Texas State has elected
to apply this federal regulation to all sponsored programs so as to assure
protection of human subjects in all sponsored programs.
03.02
Research activities in which the only involvement of human subjects will be in
one or more of the following categories are exempt from the confidentiality
aspects of this policy:
a. Research conducted in established or commonly
accepted educational settings, involving normal educational practices, such as:
1) research on regular and special education instructional strategies, or 2)
research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods.
b. Research involving the use of educational
tests (cognitive, diagnostic, aptitude, achievement), survey procedures,
interview procedures or observation of public behavior, unless: 1) information
obtained is recorded in such a manner that human subjects can be identified,
directly or through identifiers linked to the subjects; and 2) any disclosure
of the human subjects' responses outside the research could reasonably place
the subjects at risk of criminal or civil liability or be damaging to the
subjects' financial standing, employability, or reputation.
c. Research involving the use of educational
tests (cognitive, diagnostic, aptitude, achievement), survey procedures,
interview procedures, or observation of public behavior that is not exempt
under paragraph b. 2) of this section, if: 1) the human subjects are elected or
appointed public officials or candidates for public office; or 2) federal
statute requires without exception that the confidentiality of the personally
identifiable information will be maintained throughout the research and thereafter.
d. Research involving the collection or study of
existing data, documents, records, pathological specimens, or diagnostic
specimens, if these sources are publicly available or if the information is
recorded by the investigator in such a manner that subjects cannot be
identified, directly or through identifiers linked to the subjects.
e. Research and demonstration projects which are
conducted by or subject to the approval of department or agency heads, and
which are designed to study, evaluate, or otherwise examine: 1) Public benefit
or service programs; 2) procedures for obtaining benefits or services under
those programs; 3) possible changes in or alternatives to those programs or
procedures; or 4) possible changes in methods or levels of payment for benefits
or services under those programs.
f. Taste and food quality evaluation and
consumer acceptance studies, 1) if wholesome foods without additives are
consumed or 2) if a food is consumed that contains a food ingredient at or
below the level and for a use found to be safe, or agricultural chemical or
environmental contaminant at or below the level found to be safe, by the Food
and Drug Administration or approved by the Environmental Protection Agency or
the Food Safety and Inspection Service of the U.S. Department of Agriculture.
03.03 The
University may pay human subjects participating in any sponsored program by
check, electronic deposit, gift certificate, or cash. When a department or school
handles cash in providing payments to human subjects and participants, funds
must be secured and handled in accordance with the principles established for
cash custodians.
03.04 A
Principal Investigator (PI) or other university employee may not pay human
subjects from personal or other funds and later request reimbursement.
03.05 Payments
will not be made without adequate documentation and approval, as described
later in this policy.
03.06 The
University will maintain the names of human subjects in confidence unless
exempted under section 03.02 of this policy. The only explanation that is
required on the payment document is: "Details are on file and available
for audit in the department". Attachments identifying the name or nature of
the study should NOT accompany the payment document.
03.07 Prohibited
Payments Certain payments are prohibited from being made for human subjects
participating in a university-sponsored research program. These are:
a. International
Participants Payments cannot be made to research participants who are
international visitors (such as F-1 or J-1 students) because these individuals
cannot work as independent contractors in the United States. Also, many
international visitors are prohibited from receiving compensation from any
entity other than their sponsor.
b. Employees,
graduate students, or undergraduate students who are funded by the research
grant to which the cost of the human subject payments will be charged. The
University cannot pay these employees as independent contractors because of the
possible conflict of interest and internal control issues.
03.08 Texas
State Employees To obtain payment to human subjects who are Texas State
employees, an individual personnel action (PCR) form must be processed in
accordance with regular university procedures for compensating employees. Any
payment to an employee is subject to employee deductions, such as federal tax
withholding and retirement deduction.
When
subjects are university employees, payments for work as human subjects are made
through the University's Payroll Office. Payments are included in the next
regularly scheduled paycheck for the employee who has served as a human subject
in a research project. All applicable taxes will be withheld at the time of
payment in accordance with Internal Revenue Service regulations.
03.09 Payment
Requests.
a. Payments
as Contractors Individuals who are not Texas State employees being paid as
human subjects are regarded as independent contractors. To obtain payment by
check or direct deposit to individual human subjects who are not employees of
Texas State, follow the steps detailed below:
1) Complete
a Vendor Maintenance form (Form FS-01) to set the individual up as a vendor in
the system.
2) Complete
a Payment Request. [The form can be accessed via the web at http://www.txstate.edu/gao/ap/forms.html.]
b. To
obtain a single payment for multiple human subjects, a single Payment Request
form may be utilized. A list must be attached to the Payment Request form, with
the following information for each individual to be paid:
1) Printed
name of human subject;
2) Dollar
amount of funds to be paid to each human subject;
3) Social
Security Number of each human subject is needed if the amount to be paid
exceeds $100.00; and
4) Mailing
address of human subject.
c. Approvals
1) The
preparer of the Payment Request must obtain written approval of the account
manager (or designee) on the form.
2) Externally
Sponsored Programs The approved Payment Request should be forwarded to the Assistant
Vice President for Research for their review, to assure that the expenditure is
being made in accordance with sponsor requirements.
3) Internal
Research Enhancement Program (REP) grants The approved Payment Request should
be forwarded to the Assistant Vice President for Research for their
review. The PI (or account manager) must
assure that the expenditure to the human subjects is being made in accordance
with provisions of the REP award.
d. The
completed and approved Payment Request should be forwarded to Accounts Payable
for processing of the payments. All payments will be mailed or sent via
electronic means in accordance with standard university procedures. Allow 10
working days for processing.
e. Request
for purchase of gift cards or certificates should follow the Purchasing
guidelines by processing a Purchase Requisition. University employees may not use P-cards to
purchase gift cards or certificates.
f. Requests
for cash advances must come from the PI of the grant, even if the request is
for another person working on the research project. Texas State requires a three week lead time
to process a cash advance request and PIs are required to return any unspent
funds. The PI will maintain a log of
payments to study participants.
Administrative personnel for the department conducting the research or
study must reconcile the research payments and verify that all appropriate
information has been collected. To obtain a cash advance for payment to human
subjects who are not employees of Texas State, follow the steps detailed below:
1) In
addition to a Payment Request form, a Cash Advance Application must be
submitted containing the following information:
(a) purpose of the advance;
(b) date advance needed;
(c) person
responsible for funds;
(d) security to be provided for funds;
(e) approval of unit administrator
(chair, director);
(f) approval
of the principal investigator, where sponsored project funds are involved;
(g) externally sponsored programs approval
of the Assistant Vice President for Research.
(h) internal Research Enhancement
Program grants approval of the Assistant Vice President for Research
05.01 Reviewers
of this UPPS include the following:
Position Date
Assistant Vice President for Research Nov. 1 E4Y& Director of Federal Relations Associate Vice President, Nov. 1 E4YFinancial Services 06. CERTIFICATION STATEMENT
This
UPPS has been approved by the following individuals in their official
capacities and represents Texas State policy and procedure from the date of
this document until superseded.
Assistant
Vice President for Research & Director of Federal Relations; senior
reviewer of this UPPS
Associate
Vice President for Research & Federal Relations
Provost
and Vice President for Academic Affairs
President