1. HUMAN SUBJECT INCENTIVES PROGRAM Presentation to the Financial Unit Liaisons September 23, 2009

2. Human Subject Incentives Project: Background and History
A number of issues existed with current subject fee processes.
August 2005 – SPA Team Recommendations
October 2007 – Charge to group from Marvin Parnes and Peggy Norgren
December 2007 – 3-day LEAN workshop
October 2008 – Proposed concept to Leadership Team; received approval to proceed with pilot

3. Human Subject Incentives Project: Background and History
October 2008-May 2009 – Developed system to automate requests, info. capture and reporting
May 2009 – Began pilot implementations to test the process and system
June 2009 – Began conducting focus groups with units not participating in pilot
August Presented results of pilot / focus groups to Leadership Team; received approval to proceed with full implementation

4. Human Subject Incentive Project: Current Team Members
Yvonne Barber (Public Health)
Judy Birk (IRB)
Sherry Cogswell (Audit)
Chris De Vries (Medical School)
Doreen Graden (Dental)
Brent Haase (Internal Controls)
Jan Hewett (IRBMED)
Jennifer Ptak (FinOps)
Kurt Rigg (ISR)
Kathy Crawford (Treasury)
James Gorman (Treasury
Joann Marcoux (Social Work)
Sherry Mason (LSA Psychology)
Sally Sivrais (Ross School)
Deb Tatchin (Medical School)
Bryan Van Sickle (FinOps / Sponsored Programs)
Nancy Hobbs (Procurement)
Nancy Stock (Kinesiology)
Pam Fons (ITS / MAIS)
Jim Middlemas (Central Campus Teller Services)
Craig Peterson (Hospital Cashier)

5. Human Subject Incentive Project: Past Team Members
Tasha Allan (FinOps)
Jackie Creager (ITS / MAIS)
Tammy Gay (Medical School)
Eve Bernos (Nursing)
Ed Jennings (Tax)
Lois Brako (OVPR)
Cathy Thibault (ISR)
Carolyn Batts (ISR)
Ann Verhey-Henke (School of Information)
Various individuals from Dearborn, Flint Campuses

6. Human Subject Incentive Project: Leadership Team
Steven Heeringa (ISR)
Ray Hutchinson (Medical School)
Judith Nowack (AVP Research)
Marvin Parnes (AVP Research, DRDA)
Jeanne Strickland (UMHS)
Robert Joseph Taylor (School of Social Work)
Greg Tewksbury (Finance)
Pat Ward (Medical School)
Peggy Westrick (LSA Research)

7. Human Subject Incentive Project: Stakeholder Groups
Human Subject Incentive Project: Stakeholder Groups FY2008, $7M in Incentives

8. Human Subject Incentive Project: Pilot Participants
Medical School
Behavioral & Decision Sciences (1 PI)
Internal Medicine (9 PI’s)
Psychiatry (10 PI’s)
School of Public Health – Epidemiology (2 PI’s)
Ross School of Business (2 PI’s)
School of Social Work (2 PI’s)
School of Dentistry (1 PI)
School of Nursing (2 PI’s)
School of Information (2 PI’s)
LS&A Psychology (2 PI’s)

9. Human Subject Incentive Project: Pilot User Feedback
“[Checks] were easy to get. Checks were sent out the day after I requested them. This was amazing.”
“This system has saved me time in every way possible. I LOVE IT!”
“It is fantastic not to have to complete paperwork for imprest cash funds. It's great not to have to complete a non-PO voucher. I didn't have to complete paperwork for an SLA. I didn't have to wait days/weeks for an imprest cash number or SLA.”
“An electronic process was definitely needed. this system has been well thought out, easy to use, flexible and staff easy to work with.”
“Being able to take all aspects of human subject payment OUT of the Pcard process has been helpful.”
“The system is now very transparent; in particular the individual control number assigned to each disbursement helps to clarify (on our end) which of our funds are to be paid to which of our subjects.”

10. Human Subject Incentive Project: Key Goals – “Three C’s”
Customer Service: Provide a central point of subject incentive management that facilitates efficient distribution, data collection, and reconciliation.
Compliance: Provide appropriate thresholds for capturing human subject information for tax reporting purposes while also ensuring compliance with IRB regulations. Integrate appropriate cash handling controls and accountability.
Confidentiality: Protect human subjects’ personal information by centralizing storage of, restricting access to confidential records. Enhance trust of the University from the subject population.

11. Human Subject Incentive Project: Quick Highlights
Customer Service
Central Hub
Single point of contact for incentive-related questions, issues
Quick Turnaround
Online management of incentive requests
Incentives are available within 2 business days of request approval
Multiple payment methods
Cash, Checks, Subject Payment Coupons, Visa Gift Cards
Compliance
Better accounting controls, manage risk
Reasonable Tax Compliance
Multiple Tiers / Reporting thresholds
Employee subjects treated as independent contractors
Confidentiality: Central repository for subject information (highly secure)

12. Human Subject Incentive Project: Process Overview

13. Human Subject Incentives Project: Current Activities
Finalizing Campus Implementation Plan
Prioritizing units who utilize Pcard, Imprest, SLA’s
Complete full implementation by December 2010
Writing new SPG’s (an interim for the implementation phase and a final version, planned for post-implementation).
Working to ensure continued participation of various units – ISR, Dearborn, Flint, etc.
Working with ITS on Phase 2 system development
Integration of HSIP with eResearch
Automated accounting
Imaging / data capture

14. Human Subject Incentives Project: Future Considerations
Internal Controls Certification for Human Subject Incentives (late 2010)
Evaluating Staffing Model
Funding Model
Currently using one-time money to fund HSIP through the implementation phase
We will track costs and evaluate options for funding this program long-term

15. Human Subject Incentives Project: Resources
Website - –
Kathy Crawford – Program Manager
James Gorman – Project Manager

16. THANK YOU!