Chapter 1 – General Administration

A research section has been established to facilitate review and evaluation of programs and basic operational procedures for the purpose of promoting greater effectiveness and efficiency in achieving departmental goals.

This section outlines the scope of the Department’s research operations and specifies the procedures used in submitting research proposals.

Research

• Research is the application of the scientific meth od for the extension of knowledge. The objective of this method is to prove the validity and reliability of any statement at the highest possible level of certainty in accordance with the rules of mathematics, statistics and logic.

Biomedical Research

• Biomedical research is research relating to or involving biological, medical, or physical science.

Behavioral Research

• Behavioral research involves, but is not limited to, investigation of human behavior, emotion, adaptation, conditioning, and response in a program designed to test certain hypotheses through the collection of objective data.

• Specifically excluded from the definition of behavioral research is the accumulation of statistical data in the assessment of the effectiveness of programs to which inmates are routinely assigned such as, but not limited to, education, vocational training, productive work, counseling, recognized therapies, and programs which are not experimental in nature. This type of research may be carried out in the Department.

No biomedical research shall be conducted on any inmate under the jurisdiction of the Department.

Specific kinds of behavioral research on inmates are permitted and governed by the Penal Code. The kinds of behavioral research that may be conducted on inmates are limited to:

• Studies of prisons as institutional structures.

• Studies of prisoners as incarcerated persons who present minimal or no risk and no more than mere inconvenience to the subjects of the research.

• Studies of the possible causes, effects, and processes of incarceration.

The use of behavioral modification techniques in research on inmates is authorized by the Penal Code only if such techniques are a medically and socially acceptable means by which to modify behavior and if such techniques do not inflict permanent physical and psychological injury on inmates.

A Research Advisory Committee has been established to provide routine review and oversight of behavioral and other research activities in the Department.

Membership of the Research Advisory Committee may be comprised of CDCRCalifornia Department of Corrections and Rehabilitation departmental representatives, as well as other research and evaluation professionals as determined by the Director of Internal Oversight and Research such as:

• Deputy Director, Office of Research (chairperson).

• Deputy Director, Division of Adult Institutions.

• Deputy Director, Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)).

• Chief of the Research and Evaluation Branch.

• Academic community representatives engaged in criminal justice research.

The Department is held accountable for the conduct of all research on inmates. This accountability is ensured through the Research Advisory Committee in that its functions include overseeing behavioral and other research activities within the Department. No behavioral or other research shall be conducted on inmates without review by this committee. General functions of this committee shall include:

• Reviewing proposed research projects and recommending approval or disapproval to the Director.

• Overseeing research projects in progress, ensuring adherence to State laws, departmental policies and standards for research on human subjects.

• Preparing the biannual report to the Legislature as required by PCPenal Code. This report shall include a review of each research project approved and conducted during the time period covered by the report.

Specific functions of this committee shall include ensuring that:

• Any risks to inmates consenting to research are outweighed by the benefits they shall receive and the knowledge that will be gained from the research.

• The rights and welfare of inmates are adequately protected and the security of any exempt personal information is maintained.

• Procedures for the selection of inmates for research projects are equitable and that they are not unjustly deprived of the opportunity to participate. A means is established for adequately compensating research related injuries.

• Legally effective informed consent is obtained from all participating inmates.

• The rate of remuneration is comparable to that received by non-prisoner volunteers in similar research.

• The conduct of research projects is reviewed at timely intervals.

An inmate shall be deemed to have given their informed consent only if the following conditions are met:

• Consent is given without duress, coercion, fraud, or undue influence.

• Inmate is informed in writing of the potential risks and benefits of the proposed research.

Language

• Inmate is informed both orally and in writing, in a language in which subject is fluent, of each of the following:

• An explanation of the behavioral or other research procedures to be followed and their purpose, including identification of any procedures which are experimental.

• A description of all known attendant discomforts and risks reasonably to be expected.

• A disclosure of any appropriate alternative behavioral or other research procedures that might be advantageous for the subject.

• The nature of the information sought to be gained by the experiment.

• The expected recovery time of the subject after completion of the experiment (if applicable).

• Amount of remuneration to be received.

• Manner in which the prisoner may obtain treatment if research related injuries occur.

• An offer to answer any inquiries concerning the applicable behavioral or other research procedures.

• An instruction that the person is free to withdraw his consent and to discontinue participation in the research at any time without prejudice.

All research activities and proposals involving departmental facilities, employees, or inmates shall be submitted, in the format described in the DOMDepartment Operations Manual 14020.8, to the Chief of the Research and Evaluation Branch, who shall coordinate the process of departmental review and approval. Review of research proposals shall be carried out by the Research Advisory Committee. For each proposal, the committee shall recommend that it be approved, approved with qualifications, or disapproved. The recommendation shall be submitted to the Director for final approval/disapproval.

Projects

• Projects requiring this approval process include:

  • Departmental research conducted by employees of the Department.

  • Research conducted jointly by outside agencies and departmental employees.

  • Outside agency research conducted with the Department.

  • Research conducted by students in conjunction with their academic studies or recognized apprenticeship service.

Agreement

• Persons/agencies outside the Department, prior to project approval, shall sign an agreement to adhere to the requirements established herein.

Reports

• Agencies/persons conducting research in the Department shall be required to submit progress reports on their projects at the request of the Chief of the Research and Evaluation Branch. Information from these reports shall be included in the biannual report transmitted to the Legislature.

All research proposals submitted for departmental approval shall contain:

• Introduction

  • Brief statement of the objectives of the proposed study; what questions are being asked or what hypotheses tested.

  • Specific values of the project with particular focus on administrative decisions to which the findings might be pertinent.

• Methodology

  • A description of the research methods to be used (e.g., experimental-control group, matched comparisons, exploratory interviews) and the approach to be taken (e.g., descriptive, experimental hypotheses testing, or participant observation).

  • A description of the measuring devices to be used, (e.g., scales, tests, questionnaires). If measuring instruments are other than those routinely administered in the Department, a copy of the instruments shall be forwarded with the proposal. If they are to be developed as part of the project, a statement of their intended character and rationale shall be included.

  • The institution where the proponents intend to collect data.

• Resources Required

  • Names and working titles of personnel involved (both employees of the Department and of other agencies), and their responsibilities in the project.

  • An estimate of departmental staff time to be devoted to the project.

  • Beginning and ending dates of the study.

  • Additional operating or equipment costs to the State, including alterations to or additions of space.

  • Demands on the time of inmate subjects and a plan for the compensation of the inmates.

  • Source of funding.

• Other Required Documents

  • A copy of the informed consent form that shall be used in the project which shall include as a minimum those items listed in DOMDepartment Operations Manual 14020.6.

  • An up-to-date curriculum vitae (resume) for each professional staff member of the proposed project.

  • For student research projects, a letter from the student’s faculty advisor stating that the student will be working on the project under his/her supervision and that the project has the approval of the student’s college or university.

  • A privacy certification signed by the principal investigator of the project outlining procedures for protecting exempt personal information and certifying that these procedures shall be carried out.

  • For any proposal previously reviewed by a human subjects committee in a university or outside research organization, a copy of the record of the committee’s approval.

Any inmate who has a grievance concerning the operation of any particular research program conducted under the authority of the Department may appeal using established appeal procedures (see DOMDepartment Operations Manual 54100).

Any physical or mental injury of an inmate resulting from participation in behavioral research, irrespective of the causation of such injury, shall be treated by the Department promptly and on a continuing basis until such injury is cured.

The Deputy Director, Office of Research, or designee shall ensure that the contents of this Article are accurate and current.

PCPenal Code §§ 3500 – 3524.

ACAAmerican Correctional Association Standards: 4-4108 through 4-4113.