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Overview, Training & Security Roles

Directive Statement

Effective July 14, 2014, anyone who pays research participants (other than in-kind payments or mechanical turk payments) will need to use the HSP System.  The Human Subject Payment (HSP) system is divided into two main sections with associated training and roles:

  1. Study Fund Request (SFR) has data about the study
  2. Payment Log has data about the participants and details of payments required

Each department/college must have a department approver(s) to review SFRs.  At least two people must have this security to ensure backup and timely processing.

Each study must have a Custodian, who is the SFR Initiator and is responsible for safeguarding the payments provided against theft and misuse, as well as ensuring the payments are spent appropriately and in accordance with University of Florida policy.  The Payment Processor registers participants to the study and records the participant payments in the HSP module.

The department contact is usually the fiscal person who is familiar with the study protocol and funding source ChartField information.

More information about roles and training is detailed below.

Reason for Directive

Staff associated with HSP must have appropriate training, and all HSP transactions must have appropriate review and approval to ensure they are spent in accordance with UF policy.

Who Must Comply?

All University departments.

Overview

The Human Subject Payments (HSP) system is a myUFL module that enables researchers or their study team members to request payments for research participants (such as prepaid VISA debit cards, gift cards, or cash) and provides a secure method of recording those payments.

Benefits of the HSP system include:

  • A central location for obtaining all payment types for research participants
  • A secure database to house payment and participant information, reducing or eliminating data that departments must store
  • Elimination of the need to accumulate and transmit payment information to Disbursements (Accounts Payable) at the calendar year-end
  • Quick turnaround on payment requests
  • Improved University compliance for required reporting
  • In certain circumstances, the ability to return unused cards to Treasury Management for a refund

Custodian

The Custodian serves as the primary administrator for the study and the Principal Investigator (PI).  They must be a current UF employee, complete the required trainings, and obtain the proper security roles.  They must sign the Custodian Agreement & Acknowledgement, accepting responsibility for:

  • Securing payments
  • Managing and recording payments
  • Maintaining appropriate records
  • Reconciling HSP reports to departmental study records

The Study Fund Custodian is expected to:

  • Be knowledgeable about the study protocol, funding levels, ChartFields, Contracts & Grants and IRB rules
  • Follow all UF policies/procedures regarding cash handling and disbursements
  • Adhere to HSP record keeping requirements
  • Handle distributions of payments to study participants
  • Reconcile payment tender types to HSP reports
  • Handle requests for SFR modifications and gift/debit card replenishment process
  • Request to close out the study when the research protocol has expired

Trainings & Security Roles

The following roles are related to the Study Fund Request section of HSP, which has data about the study.

UF_FI_HSP_INITIATOR

This person must also be a Study Team Member on the SFR page and must be a UF employee.

Required Trainings: RSH320 and PRV800

Note: The person designated as Custodian of payments on the Study Fund Request MUST have this role.

This is an end-user role granting access to the HSP module’s Study Fund Request (SFR) page to:

  • Create, update, modify, and submit for approval
  • Add/edit specific Institutional Review Board (IRB) related data and Team Members
  • Request replenishments to an approved SFR
  • View access to Research Participants and Payments pages
  • View Replenishment History
  • Run reports for Study Fund Request (SFR) and Payment Log information

UF_FI_HSP_PAYMENT_PROCESSOR

This person must also be Study Team Member on the SFR page and must be a UF employee.

Required Trainings: RSH320, PRV800 and PRV804

This is an end-user role granting access to the HSP module’s Payment Log page to:

  • Create, update, and modify Research Participant information
  • Create, update, and modify payments to Research Participants
  • View SFR and Team Member pages
  • View Bank Activity Inquiry
  • Run reports for Study Fund Request (SFR) and Payment Log information

This person is typically a person with fiscal processing experience and is familiar with UF policies and procedures regarding disbursements, as well as privacy rules surrounding Social Security Numbers and HIPAA.

UF_FI_HSP_SFR_APPROVER

This person does NOT need to be a Study Team Member on the SFR but must be a UF employee.

No training required for this role

This is an end-user role granting access to the HSP module’s Study Fund Request page to:

  • Approve or deny Study Fund Requests
  • View Study Fund Request including Team Members
  • Run reports for Study Fund Request (SFR) and Payment Log information

The individual with this role should be authorized to review and approve or deny SFR based on the information submitted in the SFR.  Information submitted in the SFR that people with this role can see includes:

  • Contact information of Principal Investigator (PI)
  • Department Contact, Custodian, and Study Team Members
  • IRB Protocol information such as protocol #, title, expiration date, total dollar amount of payments authorized, total anticipated participant count, and maximum amount paid to each participant in a calendar year
  • Payment tender type details
  • Funding source information (ChartField)

It is best practice to have at least two individuals with this role and the associated authorization to be SFR approver to ensure timely approval/denial in case one is not available.

Many times, these individuals are finance leaders/managers for a department or college, although this is not a requirement.  The individual(s) with this role should be familiar with:

  • Budget
  • ChartFields
  • UF policies and procedures
  • Department reports and general ledger activity
  • Disbursements, C&G and IRB policies and procedures

UF_FI_HSP_SFR_VIEWER

This person must also be Study Team Member on SFR.

No training required for this role

This is an end-user role granting access to the HSP module’s Study Fund Request (SFR) page to:

  • View SFR, Replenishment and Team Member pages
  • Run reports for Study Fund Request (SFR) and Payment Log information

It is appropriate for people who need to view but not create/update SFR’s, such as faculty or researchers who will not be the custodian of the payments.

UF_FI_HSP_PMT_VIEWER

This person must also be a Study Team Member on the SFR page and must be a UF employee.

Required Trainings: PRV800 and PRV804

This is an end-user role granting access to the HSP module’s Payment Log page to:

  • View access to Research Participants and Payments pages
  • Run reports for Study Fund Request (SFR) and Payment Log information

It is appropriate for people who need to view summary data but not enter or view detail pages, such as faculty or researchers who will not be the custodian of the payments.

Definitions

Human Subject

According to federal regulations, 45 CFR 46 102.f, a human subject means a living individual about whom an investigator conducting research obtains:

  • Data through intervention or interaction with the individual
  • Identifiable private information

Examples of human subjects are a person who becomes a participant in research, data obtained through medical records, data obtained through surveys and data obtained from observation. [Back to Top]

Institutional Review Board (IRB)

The UF Institutional Review Boards (IRBs) are charged with protecting the rights and welfare of participants in clinical trials and other human subjects research studies.  UF IRBs review all research involving human subjects to ensure the welfare and rights of research participants are protected as mandated by federal and state laws, local policies, and ethical principles. [Back to Top]

Last Revised

6/20/2019: reviewed content

Resources

Institutional Review Boards (IRB)

Division of Sponsored Programs (DSP)

Contracts & Grants (C&G)

Training

PRV800 – HIPAA General Awareness

PRV804 – Protecting Social Security Numbers

RSH320 – Human Subject Payment

Contacts

Treasury Management: (352) 392-9057

treasury-HSP@admin.ufl.edu