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DEPARTMENT OF CORRECTIONS

 

DIVISION 35

RESEARCH PROPOSALS

291-035-0005

Authority, Purpose and Policy

(1) Authority: The authority for this rule is granted to the Director of the Department of Corrections in accordance with ORS 179.040, 423.020, 423.030, and 423.075.

(2) Purpose: The purpose of this rule is to establish a uniform process for review and approval of proposals for research conducted within the Department of Corrections.

(3) Policy: It is the policy of the Department of Corrections to conduct research that will yield information to help the department improve its effectiveness. Research may be conducted by department staff, contract services, or by students and others with interest in correctional services.

Stat. Auth.: ORS 179.040, 423.020, 423.030 & 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030 & 423.075
Hist.: CD 27-1978, f. 9-13-78, ef. 9-15-78; CD 29-1983(Temp), f. & ef. 9-1-83; CD 35-1983, f. & ef. 10-14-83; CD 12-1985, f. & ef. 7-31-85; CD 14-1986, f. & ef. 6-30-86; CD 2-1994, f. 1-13-94, cert. ef. 2-1-94; DOC 14-2011, f. & cert. ef. 7-15-11

291-035-0010

Definitions

(1) Institutional Review Board: As defined and discussed in 45 CFR Part 46, an independent body whose purpose is to review research proposals that involve human subjects to assure that the rights, safety, and well-being of research subjects are protected, that informed consent for their participation is obtained, and that all benefits of the research are commensurate with or outweigh the risks involved. Institutional review boards are usually associated with universities, colleges, or other agencies that are not affiliated with the department or any of its institutions.

(2) Research: The systematic design and implementation of appropriate methods to collect, analyze, and disseminate data to answer to specific questions or test scientific theory.

(a) Internal Research: Internal research includes, but is not limited to, research that is initiated or conducted by the department’s Research and Evaluation Unit or other functional units or department staff.

(b) External Research: External research includes, but is not limited, to research that is initiated or conducted by colleges, universities, government or private agencies and organizations, or other researchers outside the department.

(3) Research Committee: A committee comprised of two or more Department of Corrections employees selected by the Director of Research and Evaluation and one rotating member from the department’s Policy Group. The purpose of the Research Committee is to promote, recruit, screen and monitor external research, and guide researchers through the process of conducting research with inmates or department staff.

(4) Researcher(s): Any person or persons who submit one or more proposals to the Research Committee to conduct research with inmates or department staff.

Stat. Auth.: ORS 179.040, 423.020, 423.030 & 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030 & 423.075
Hist.: CD 27-1978, f. 9-13-78, ef. 9-15-78; CD 12-1985, f. & ef. 7-31-85; CD 2-1994, f. 1-13-94, cert. ef. 2-1-94; DOC 14-2011, f. & cert. ef. 7-15-11

291-035-0011

General

(1) The Department of Corrections will consider proposals to conduct research with inmates, community corrections, or department staff. All research proposals must be reviewed by the Research Committee before they begin.

(2) The purpose of the Research Committee is to promote, screen, and monitor external research, and guide investigators through the process of conducting research with inmates, community corrections, or department staff.

(a) Note that the Research Committee does not function as an institutional review board for the protection of human subjects.

(b) The role of the Research Committee is to determine whether the goals and design of research proposals are appropriate for a correctional setting and whether they meet the needs of the department.

(c) Researchers should provide evidence of human subjects review from their university or organization institutional review board. Any research involving incarcerated individuals must pass before an institutional review board that includes an inmate representative to insure that the use of inmates as research subjects meets federal guidelines.

(3) The Research Committee is comprised of two or more Department of Corrections employees selected by the Director of Research and Evaluation and one rotating member from the department’s Policy Group.

(a) Permanent Research Committee members are trained in research design and methods, as well as ethical issues regarding the inclusion of human subjects in research.

(b) The Research Committee recruits other appropriate stakeholders, content experts, administrators, or functional units within the department on a case-by-case basis to serve as temporary Research Committee advisors depending on the content of each research proposal.

(4) The Research Committee will, if necessary, review research proposals within four weeks of the department's receiving the proposal.

(5) The Research Committee, after consultation with administrators whose units are affected by the research, may directly approve the proposal when all parties have reached mutual understanding regarding the purpose and design of the research as well as the timeline, responsibilities, expectations, data sharing requirements, and dissemination of results.

Stat. Auth.: ORS 179.040, 423.020, 423.030 & 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030 & 423.075
Hist.: DOC 14-2011, f. & cert. ef. 7-15-11

291-035-0015

Procedures for Submitting a Research Proposal

(1) The Research Committee will:

(a) Review all external research proposals conducted with inmates, department staff, inmate families, or community corrections where department resources are required, ensuring that:

(A) The proposed research benefits inmates, community corrections, department staff, the Department of Corrections, or the State of Oregon;

(B) The research design is sufficient to test stated hypotheses;

(C) Disruptions to institutions are minimized;

(D) The department’s research interests are integrated and considered as enhancements to the proposed research where appropriate; and

(E) The proposed research has been reviewed and approved by an institutional review board including an inmate representative if applicable.

(b) Coordinate research activities conducted within the department and research conducted in cooperation with government or private agencies, individuals, or institutions.

(2) Ordinarily, the Research Committee will be amenable to proposals that:

(a) Cause minimal disruption in department tasks;

(b) Require minimal department resources;

(c) Are of short duration;

(d) Are proposed by a college or university student who is under the supervision of a faculty advisor;

(e) Are proposed by government or private agencies, institutions, and individuals who have training and knowledge in research methods, statistical analysis, and the dissemination of findings;

(f) Benefit inmates, community corrections, the department, the State of Oregon, or adds to the general knowledge; and

(g) Propose a research design that is sufficient to test stated hypotheses.

(3) In its review of each research proposal, the Research Committee will consider:

(a) If the research question is relevant and of importance to inmates, community corrections, department staff, the Department of Corrections, the State of Oregon, or the field of corrections;

(b) If the research is in line with the goals and mission of the department;

(c) If the research proposal presents an adequate background and review of relevant literature;

(d) If the research proposal presents reasonable goals and measurable objectives;

(e) If the research proposal presents an understandable and adequate methodology, including participant selection, identification of experimental variables, data collection, data analysis, and data presentation; and

(f) What expenses or utilization of resources, if any, will be borne by the department; and

(g) If the department resources required to implement the research are balanced with its potential benefits.

(4) Researchers may be asked to make formal presentations to the Research Committee.

(5) Administrators whose units are directly affected by the proposed research will be consulted by the Research Committee before approval of the research proposal.

(6) Functional unit managers will ordinarily arrange for implementation of approved research proposals.

(7) Proposals requiring department policy decisions will be referred to the department Assistant Directors, as appropriate.

(8) Records shall be kept documenting each proposal review, committee decision, and the conditions of proposal acceptance.

(9) Researchers are required to return all data collected as part of the research to the Research Committee in format acceptable to the department unless an exemption is made by the Research Committee. Exemptions must be discussed and finalized prior to the approval of research proposals.

(10) All sensitive data concerning inmates, department staff, inmate families, or community corrections must be protected while in the possession of the researchers. Researchers will be responsible for complying with statutory requirements regarding information security in accordance with ORS 182.122 and 646A.600, and other applicable statutes and laws.

(11) Researchers are required to provide a copy of all research reports and related manuscripts to the Research Committee for their records.

(12) Data collected may be used only for the proposed purpose(s) of the approved proposal. Additional use of the data, including but not limited to additional analyses, reporting, and dissemination must be preapproved by the Research Committee.

(13) While the department does not forbid the researcher from distributing accurate data, the department may insist on including a disclaimer if it believes assumptions about the data or conclusions drawn by the researcher(s) are flawed.

(14) A research proposal may be denied if the proposed research:

(a) Exposes any inmate, offender, or staff member, with or without informed consent, to involvement in medical, genetic, psychiatric, or psychological experimentation or research within the meaning of ORS 421.085 or other applicable statutes and laws;

(b) Requires the disclosure of information protected by the provisions of ORS 192.502, 179.505, or other applicable statutes and laws;

(c) Poses appreciable hazard to the life or health of any human being, to state property, to the security, sound order, or discipline of any institution, or to the mission of the Department of Corrections or any of its functional units;

(d) Is not approved by an institutional review board;

(e) Does not benefit inmates, community corrections, department staff, the Department of Corrections, or the State of Oregon;

(f) Does not consider the integration of the department’s research needs where appropriate;

(g) Does not include a research design which is sufficient to test stated hypotheses;

(h) Poses more than minimal disruption to the operation of institutions or offices;

(i) Does not provide a balance between required department resources and the potential benefits of the research; or

(j) Does not align with the goals and mission of the department.

Stat. Auth.: ORS 179.040, 423.020, 423.030 & 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030 & 423.075
Hist.: CD 27-1978, f. 9-13-78, ef. 9-15-78; CD 29-1983(Temp), f. & ef. 9-1-83; CD 35-1983, f. & ef. 10-14-83; CD 12-1985, f. & ef. 7-31-85; CD 14-1986, f. & ef. 6-30-86; CD 2-1994, f. 1-13-94, cert. ef. 2-1-94; DOC 14-2011, f. & cert. ef. 7-15-11

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