The above Substantive Policy Statement is advisory only. A Substantive Policy Statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made in accordance with the Arizona Administrative Procedure Act. If you believe that this Substantive Policy Statement does impose additional requirements or penalties on regulated parties you may petition the agency under Arizona Revised Statues section 41-1033 for a review of the statement.

Deputy Directors and Assistant Directors may approve projects as outlined in this Department Order and shall have responsibility for monitoring all research projects in their area of operations.

The Deputy Director for Prison Operations is responsible for coordinating access to inmates when such contact has been approved by the Director.

The Policy and Research Bureau Administrator is responsible for coordinating research project applications and reviewing final reports on behalf of the Director.

1.1 Requirements for Research Proposals - Any person(s) requesting approval to conduct a research project shall submit a proposal to the Policy and Research Bureau at least 90 days prior to the anticipated start date of the project. Proposals shall include the following:

1.1.1 The resume and credentials of the Project Director and the names and credentials of all other research staff.

1.1.2 The number of staff and inmates that will be involved in the project and the type and amount of any proposed use of Department resources. Access to individual inmates is subject to the conditions outlined in section 203.04.

1.1.3 The principal research location(s) and the source of the project's funding.

1.1.4 The project title, purpose statement and needs statement, and the proposed methodology and/or design to be used.

1.1.5 The projected research activity schedule and the projected length of the project.

1.1.6 When applicable, justification of the need to access data with specific staff and/or inmate identifiers.

1.1.7 When applicable, justification of the need to disseminate or reveal specific information with staff and/or inmate identifiers to other researchers or organizations.

1.1.8 The projected application of the research findings and the benefit(s) the Department should derive from the completed project, including the final distribution, publication and/or use of the findings from the research project.

1.2 Prohibitions - The Department forbids any human medical, pharmaceutical or cosmetic research or experimentation. Requests for this type of research shall be immediately denied.

1.3 Recommendation - The Policy and Research Bureau Administrator shall:

1.3.1 Review each research proposal for:

1.3.1.1 Purpose, method and originality.

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1.3.1.2 Credibility of the method to be used and essential need for the research.

1.3.1.3 Availability of outside resources, including equipment, funding, space and personnel.

1.3.1.4 Availability of requested Department resources, including equipment, funding, space and personnel.

1.3.1.5 Requests for an exception to criteria prohibiting face-to-face access to inmates.

1.3.2 Ensure all the required information is contained in the research proposal and prepare written recommendations to approve or disapprove each research proposal, detailing specific reasons for each recommendation.

1.3.3 Provide assistance to a requestor when incomplete proposals are received, including providing copies of this Department Order, necessary forms and an explanation of the requirements to the requestor. If appropriate, a requestor may be referred to public electronic records for information.

1.3.4 Within 15 work days after receipt of the proposal, prepare research proposal packets for involved Deputy Directors or Assistant Directors including a copy of the research proposal; the recommendation; and an approve, disapprove or approve with revisions letter for signature.

1.3.5 Forward research proposal packets to the appropriate Deputy Director or Assistant Director for review and approval.

1.4 Review - The Deputy Director or Assistant Director shall, within ten work days of receipt, review research proposals and recommendations, sign the applicable letter to approve, disapprove or approve with revisions for each proposal, and return the packet to the Policy and Research Bureau. The Deputy Director or Assistant Director shall certify that the prospective project does not:

1.4.1  Subjects participants to potential mental, physical or emotional trauma.

1.4.2  Jeopardize security .

1.1.1 When a proposal is disapproved by a Deputy Director or Assistant Director, notify the Project Director of the disapproval, within five work days of receipt.

1.1.2 When a proposal is approved, prepare research proposal packets for the Director's signature, which include a copy of the research proposal, the recommendation and an approval or denial letter for the Director's signature, within 15 work days after receipt of the returned packets.

1.2 Research projects shall not be initiated without the express written consent of the Director or his designee. The Director:

1.3 Provides written approval prior to any research project being initiated, or disapproves any research project when it is not in the best interest of the Department and/or participants, and forwards research packets with attached approvals or disapprovals to the Policy and Research Bureau Administrator.

1.3.1 Provides written approvals prior to dissemination or publication of any research findings and manuscripts, or disapproves dissemination or publication of research findings and manuscripts when they are not in the best interest of the Department and/or participants.

1.3.2 When applicable, provides written approvals for the dissemination of data or information with staff or inmate identifiers.

1.4 Monitor the progress of projects and ensure compliance with this Department Order.

1.5 Serve as the liaison between the organizational unit involved in the research project and the Policy and Research Bureau while a project is being conducted and arrange initial contacts between the researchers and the institutions/facilities involved.

1.3 Researchers shall not have access to inmates for the purpose of interviewing them face-to-face. However, unusual circumstances may arise where a correctional, law enforcement or public safety need can best be served by allowing researchers to have face-to-face contact with the inmates. In these instances, the Director may approve an exception to this rule.

1.3.1 Requests for special access to inmates shall be included in the original project request. Sufficient detail shall be included to allow for an informed decision. The Policy and Research Bureau Administrator shall make note of the request in the cover memorandum for the research proposal packet.

1.3.2 If face-to-face interviews or other access is approved, the Research Coordinator for the project shall coordinate access to the inmate(s) with the appropriate Prison Operations staff.

1.3.3 No access to secure facilities is permitted until the person(s) needing access meet appropriate security and training requirements.

1.1 The researcher shall obtain a completed Inmate Research Participant Consent, Form 203-2P, or an Employee Research Participant Consent, Form 203-1P, from each participant prior to the beginning of the project.

1.2 The original completed form(s) shall be retained by the researcher, and a copy of each form shall be forwarded to Personnel Files for employee forms or to Offender Records for inmate forms.

1.3 Researchers may pay inmates for participating in research projects, but shall not pay employees participating in research projects.

1.4 Confidentiality - To ensure the participant's right to privacy, the researcher shall sign the Non-Disclosure Agreement for Non-Criminal Justice Agencies/Individuals, Form 203-4P, and Non-Disclosure of Personnel Information Agreement, Form 203-5P, agreeing to maintain the confidentiality of information that could identify an employee or inmate.

1.2 The Policy and Research Bureau Administrator shall prepare and submit a recommendation to the Director within ten work days after receipt.

1.3 Publication and/or dissemination of research findings shall not be permitted until the Director has approved such release.

1.4 At the discretion of the Director, researchers may be required to submit periodic progress reports.

1.5 One copy of the final report and any manuscripts shall be submitted to the Policy and Research Bureau Administrator to be maintained in a research activity file.