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