159.00.03 Ark. Code R. § 003 - AR 1.9 - Research and Evaluation
AR
1.9
RESEARCH AND EVALUATION
I.
APPLICABILITY. This policy
applies to all Department of Community Correction (DCC) employees and people
outside the agency who request and conduct research.
II.
POLICY. The DCC encourages
programs of research, evaluation, statistics, audit, and planning, including
studies and evaluation of the performance of various functions and activities
of the department and studies addressing treatment of offenders and programs.
Researchers must protect the privacy of individual employees, offenders, and
other involved parties and their records.
III.
DEFINITIONS.
A.
Recidivism. Incarceration of
an offender in a prison due to a new felony conviction or revocation for
technical violations.
B.
Recidivism Study. The collection, analysis, evaluation, and report
of recidivism in a particular group of current or former DCC offenders for a
period of 3 to 5 years. This does not preclude reports of preliminary results
for shorter periods of time.
IV.
GUIDELINES. The DCC
Management Team should encourage research and evaluation activities and
cooperate with qualified outside groups such as colleges and universities or
qualified individuals. Researchers will follow approved plans. Employees should
cooperate with approved research efforts and bring to the attention of
management any research activity that may adversely affect offenders. Research
results may be used to analyze the department's present activities and as a
guideline for future decision making and policy development. Research plans
will require that results be published in a manner that protects the privacy of
offenders and staff. Evaluation activities will be based on
management-determined needs driven by measuring progress toward
goals/objectives and desired outcomes. The process for the submission of
research proposals, standards for research, research related activities, and
dissemination of research results is as follows:
A.
Research Requests.
1.
Internal.
Research proposals are not required when employees perform research activities
within the normal scope of their job duties. However, research projects outside
of normal job duties require a formal written proposal processed as described
in this policy. Internal research proposals require prior approval of the
supervisory chain.
2.
Internal and External.
a. The DCC Deputy and Assistant Directors and
other designated staff may participate with researchers in deciding what
questions should be addressed, what data should be gathered, and how the data
should be presented.
b. All
research proposals are to be submitted to the Chief Deputy Director using Form
1, Request to Conduct Research. The Chief Deputy Director will request approval
by the appropriate Deputy/Assistant Director. The Deputy Director of
Residential Services must consider comments from Center Supervisors at affected
community correction centers. Proposals will be reviewed and evaluated
considering the following:
1) Soundness of
research design and methodology.
2)
Duplication with other projects currently proposed or underway.
3) Relevance of the proposal in relation to
the goals and objectives of the department.
4) Amount and type of assistance required
from departmental personnel.
5)
Impact on offenders or clients.
c. The Chief Deputy Director will consider
comments/approvals, negotiate appropriate revisions, and has final approval
authority.
B.
Protection of Offenders Involved in Research Projects.
1.
Participation.
Offender participation in research will be voluntary. Prior to participation in
any research activity, Form 2, Informed Consent to Participate in Research,
will be completed and signed by the offender. This form is not required when
research is limited to review of offender records or general observations are
made of offender activities where no record is made of a specific offender's
activity.
2.
Restrictions.
a. The
department will not conduct nor allow others to conduct medical,
pharmacological, or cosmetic experiments involving offenders, excluding
individual treatment of an offender (based on need) by means of a specific
medical procedure not generally available. If an offender's physician
determines there is a need to treat the offender with a new medical procedure,
it will be through an agreement between the offender and the physician with a
full explanation of the positive and negative aspects of the
treatment.
b. Offenders may
participate in other research activities only when the research does not place
the participant at undue risk.
3.
Confidentiality.
Researchers must safeguard the confidentiality of offenders and offender
records used in research projects and guarantee the anonymity of subjects in
published findings. Researchers must follow State and federal guidelines for
the use and dissemination of research findings and comply with legally
acceptable practices concerning consent and release of information. Researchers
must complete Form 1, Request to Conduct Research and Form 3, Non-disclosure
Agreement, and be in receipt of signed approval prior to initiating
research.
4.
Review of
Research Results. Prior to publication or dissemination a draft of
internal and external research results must be forwarded to the Chief Deputy
Director. The Chief Deputy Director will ensure that all research project
results are reviewed by the appropriate division Deputy/Assistant Director and
the Deputy/Assistant Director will ensure review by appropriate Area
Managers/Center Supervisors. This review is to allow comment, to ensure that
the privacy of offenders and other parties is protected, and to recommend
corrections. Department staff involved in research activities who desire to
have findings published in a journal or presented to a professional
organization must submit the research findings to the DCC Director through the
appropriate divisional Deputy/Assistant Directors for review and approval prior
to submission.
5.
Dissemination of Research Results. The Chief Deputy
Director will ensure results of a significant research projects are provided to
the appropriate staff and others. Additionally, copies will be made available
to the public upon request.
6.
Evaluation.
a. The
Chief Deputy Director will coordinate data gathering, studies, and evaluations
with planning and budgeting activities. Agency information needs will be
determined prior to collecting data. DCC will use the recidivism definition for
routine recidivism studies. In conducting recidivism studies, it will be as
defined in the policy.
b. The
Information Technology Administrator will work with staff and researchers to
develop and implement appropriate computerized data gathering systems to
facilitate data collection, analysis, and control data gathering
costs.
V.
STANDARDS. American
Correctional Association (ACA) Performance-Based Standards for Adult Community
Residential Services, 4th edition, standards
4-ACRS-4C-20, 4-ACRS-7D-05[P], 4-ACRS-7D-12; and ACA Standards for Adult
Probation/Parole Field Services, 3rd edition,
standards 3-3116, 3-3114, 3-3110, 3-3112, and 3-3113.
VI.
FORMS.
AR 1.9 Form 1 Request to Conduct Research
AR 1.9 Form 2 Informed Consent to Participate in Research
AR 1.9 Form 3 Non-Disclosure Agreement
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