Standards for private organizations

2020 Edition

Client Rights (CR) 3: Research Protections

An organization that participates in or permits research involving service recipients establishes the right of individuals to refuse to participate without penalty and guarantees participants’ confidentiality.

Interpretation

For purposes of CR 3, research includes all forms of internal or external research involving service recipients except internal program evaluation and outcomes research, and educational projects carried out by students and interns as part of their professional training.
NA The organization does not permit research involving service recipients.
2020 Edition

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Purpose

The rights and dignity of clients are respected throughout the organization.
1
The organization's practices fully meet the standard as indicated by full implementation of the practices outlined in the CR 3 Practice standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the CR 3 Practice Standards.
3
Practice requires significant improvement, as noted in the ratings for the CR 3 standards.
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the CR 3 standards.
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
  • Human subject research policy
  • Human subject research procedures
  • Informed consent form template
  • Minutes from research proposal meetings for the previous six months
  • Signed consent forms for research activities
  • Interviews may include:
    1. CEO
    2. Governing body
    3. Relevant personnel
    4. Persons served

Fundamental Practice

CR 3.01

The identity and privacy of participants is safeguarded in all phases of research conducted by, or with the cooperation of, the organization including, but not limited to, masking the individual identity of research participants in all statistical analyses, reports, summaries, and case examples.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • Procedures are somewhat general; or
  • Safeguards when working with external researchers need strengthening.
3
Practice requires significant improvement, e.g.,
  • In a few cases the names of persons served or other identifying data were not redacted from research materials.
4
Implementation of the standard is minimal or there is no evidence of implementation at all.

CR 3.02

The organization has a mechanism to review research proposals involving service recipients, such as a human subjects committee or an internal review board that reports to the chief executive officer or governing body.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • Proposals are not always reviewed in a timely manner.
3
Practice requires significant improvement; e.g.,
  • No committee exists and the governing body responds to proposal requests on a case-by-case basis with few established guidelines.
4
Implementation of the standard is minimal or there is no evidence of implementation at all.

Fundamental Practice

CR 3.03

Research participants, or a parent or legal guardian, sign a consent form that includes:
  1. a statement that he or she voluntarily agrees to participate;
  2. a statement that the organization will continue to provide services regardless of whether he or she agrees to participate;
  3. an explanation of the nature and purpose of the research;
  4. a clear description of possible risks or discomfort, as applicable; and
  5. a guarantee of confidentiality.
Note: Please see the Case Record Checklist for additional guidance on this standard.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • In a few cases one of the elements is not fully addressed; or
  • Consent is obtained, but the organization uses consent forms provided by external researchers which do not always contain the elements of the standard.
3
Practice requires significant improvement; e.g.,
  • In a few cases, consents are not obtained and forms are not signed; or
  • One elements is not addressed at all; or
  • Consent forms are overly broad or lack specificity.
4
Implementation of the standard is minimal or there is no evidence of implementation at all.