research environments and the research report card brenda recchia jeffers, phd, rn associate...
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Research Environments and the Research Report Card
Brenda Recchia Jeffers, PhD, RNAssociate ProfessorDirector Graduate Program and ResearchMennonite College of Nursing at Illinois State University
Jeffers, B.R. (2005) Research Environments that Promote IntegrityNursing Research, 54 (1), 63-70
Aims & Objectives
To present a method for assessment and public reporting of research integrity practices within research environments
Illustrate a sample report card
Assessment of Research Practices
Institute of Medicine (2002; 2003) Overlap of reports Integrated approach needed Models few
Internal Control Model
Used for system design within many types of organizations
Goal: To decrease risk for low occurrence but
high impact breaches in integrity
COSO Model (1994)
Development processes Focuses on identifying & controlling
risk Promotion of integrity
Model Components
Control Environment Risk Assessment Control Activities Monitoring Information and Communication
Control Environment
Factors in place to accomplish organizational goals
Integrity tone Consciousness of integrity Philosophy, management style, and
ethical values and competence
Model Applied
Articulated Research Mission Expected standards of ethical
research behavior to promote integrity
Developed research integrity infrastructure
Risk Assessment
Risks that interfere ability to achieve objectives
Risks are unique, dynamic, and subject to change
Model Applied
Processes in place to identify relevant research integrity risks
Discipline unique Research methods dependent
Internal Control Activities
Address assessed risks Greatest emphasis
Model Applied
Research Practices relevant to risks
Monitoring
Least emphasis Top of pyramid Builds on all other internal control
processes
Model Applied
Quality initiatives Institutional Assessment Compliance with Federal Regulations
Information and Communication
Emphasized throughout implementation of internal control processes
Use of Report Cards
Health Care Industry Education
Application to Nursing College Environment
Use model components to assess processes that promote Research Integrity
Publicly communicate via Research Report Card
Control Environment Assessment
Research Mission Strategic Plan Socialization Non-punitive
atmosphere
Report Card Elements
Mission tied to professional standards
Goals stated
Risk Assessment Assessment
Vulnerable Pop. Nature of
Research Teams Multiple Sites Auditing Promotion &
Tenure
Report Card Elements
Current Research Populations; types of
research; methods used
Process for Recognizing Conflicts of Interest
Control Activities Assessment
Infrastructure RCR education Consenting
standards Quality initiatives
Report Card Elements
Number & Qualification of Staff
Value added Education Discipline/Method
standards Ongoing Quality
initiatives
Monitoring Assessment
Compliance level External peer
review IRB prescreening IRB accreditation
Report Card Elements
College audits Results of quality
initiatives Status of
accreditation
Communication Assessment
College/University Constituent Website Use
Report Card Elements
Examples of Communication
Report Card postings
Advantages of Integrated Framework
Consistency & Comprehensiveness Common language Benchmarking Framework for Reporting
Report Card
Organizational commitment to Research Integrity
Reasonable Assurance and Public Trust
Control ActivitiesResearch practices
relevant to identified
integrity risks
Risk AssessmentProcesses to identify relevant
research integrity risks
Control EnvironmentArticulated research mission
Expected standards of ethical research behavior to promote integrity
Developed research integrity infrastructure
Information andCommunicationInternal and public communication related to research integrity
Figure CaptionsFigure 1. Internal control model to promote research integrity11From Internal Control: Integrated framework, by COSO: Committee of Sponsoring Organizations of the Treadway Commission, 1994, p. 17. Copyright 1994 by the Committee of Sponsoring Organizations of the Treadway Commission. Adapted with permission of the
MonitoringQuality
initiativesCompliance with Federal Regulations