Financial Affairs Policies


UMB Research Study Participant Payments

Financial Affairs   |   Approved February 1, 2014

Responsible VP/AVP

Dawn M. Rhodes, DBA, MBA

Applies to Staff, Faculty

Revision History

Policy Effective: February 1, 2014

Required By: USM Internal Audit

Policy is: Revision of A&F Policy 3706


This policy is necessary to ensure that department personnel take reasonable precautions to safeguard and document all payments made to research study participants.

Policy Statement

UMB will properly safeguard University assets and comply with all University regulations, as well as federal, state, and local laws, and terms and conditions of sponsored work agreements regarding compensation to human subjects who are research study participants and the confidentiality of study participants.  Study participant logs and/or other appropriate documentation of compensation to participants must be maintained by the departments and used for reconciliations, and are subject to internal audits.


Study Participant - A living individual about whom a Principal Investigator conducting research obtains: 1) Data through intervention or interaction with the individual or 2) Identifiable private information.

Study Participant Log- The official record of payments to study participants.  The information on the log should include, but need not be limited to:

1.The total amount and date of each Working Fund or Accounts Payable request related to participant compensation and the initials of the payment verifier.

2.The date of each payment.

3.Participant signature or initials for receipt of each payment.

4.The amount of each payment.

5.For any check delivered to a participant by mail,  either a copy of the check or a record of the check number, amount and date, and a record of the address to which the check was sent.

Scope and Exceptions


This policy covers all compensation to research study participants made by cash or check or in the form of gift cards.

Exceptions Request Process:

Exceptions to this policy must be approved in writing by the CAFO.  All requests should be in the form of a memo to the CAFO signed by the Dean/Vice President or the Dean/Vice President’s designee (e.g., an appropriate Associate Dean or Associate Vice President). 

Roles and Responsibilities


The Department of Financial Services under the direction of the Chief Administrative and Finance Officer (CAFO) is responsible for establishing procedures to promote compliance with this policy.

Department Principal Investigators, Administrators, and other personnel who request payments for the purpose of compensating study participants are required to follow the rules set forth in the UMB A&F Financial Services Standard Operating Procedures No. 3706- Research Study Participant Payments.

Employees who improperly submit and approvers who improperly authorize the use of University funds may be subject to disciplinary and/or criminal action.


See UMB Financial Services Procedure – Research Study Participant Payments

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