Policy and Procedure updates - Jan. 10, 2023

The following policy documents, which previously completed their full review and approval process, are now published and effective. Please discuss the documents with the appropriate people in your department and send any questions to controllers.office@yale.edu.

Documents:

• Procedure 3417 PR.01 Human Research Study Participant Remuneration Process – Revised
• Form 3417 FR.01 Study Participant Disbursement Request Form – New
• Form 3417 FR.02 Participant Research Record Log – New
• Form 3417 FR.03 Monthly Reconciliation Form – New
• Form 3417 FR.04 Reloadable Debit Card Tracker ­ – New
• Form 3417 FR.05 Study Participant Remuneration Methods Summary Matrix ­ – New

This substantially revised procedure and new set of forms come from the Controller’s Office (the policy sponsor). These documents are the result of significant work stemming from the Financial Review Enhancement project under the OneFinance initiative. The purpose of this effort, and the intention of the documents, is to enhance and clarify the available options for remunerating and reimbursing study participants. Specifically, the team greatly expanded upon the guidance related to remuneration methods that rely upon spend authorizations (i.e., advances).

The procedure is designed to clearly articulate the relevant principles that govern the topic of study participant remuneration. It is also intended to more concisely describe the relevant roles and responsibilities. It is enhanced with detailed process steps and guidance. It presents a robust description of the available remuneration methods and an outline of the expectations and responsibilities associated with those options.

The set of forms is entirely New. Each form is intended to provide a tool for users to more easily follow the remuneration processes and adhere to the expectations for those methods. The forms were created to provide a standardized tool departments may choose to leverage to facilitate parts of the process. The forms are strongly recommended and contain the minimum requirements established to meet the standards. One form, the study participant disbursement request form (3417 FR.01), is required.

Always check the Policies & Procedures web page for the latest revisions of all documents. This will ensure you that are utilizing the most up-to-date version.

If you have any questions, please contact Policy & Compliance Services at controllers.office@yale.edu.