Research Environments and the Research Report Card Brenda Recchia Jeffers, PhD, RN Associate Professor Director Graduate Program and Research Mennonite College of Nursing at Illinois State University Jeffers, B.R. (2005) Research Environments that Promote Integrity Nursing 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 Activities Research practices relevant to identified integrity risks Risk Assessment Processes to identify relevant research integrity risks Control Environment Articulated research mission Expected standards of ethical research behavior to promote integrity Developed research integrity infrastructure Information and Communication Internal and public communication related to research integrity Figure Captions Figure 1. Internal control model to promote research integrity1 1From 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 Monitoring Quality initiatives Compliance with Federal Regulations