Research Requests: External

Idaho
Department of
Correction Standard
Operating
Procedure
Title:
Research Requests: External

1 of 8
134.001
Version:
1
Adopted:
04/28/2026

IDOC Data Sensitivity Classification - L3 Restricted
Whitney Ascuena-Bolt, Chief of Staff, approved this document and it was
published on 04/28/2026.
Open to the public: Yes
SCOPE
This standard operating procedure (SOP) applies to all those involved in research
involving human subjects and/or archival data extraction and manipulation conducted
or supported by the department. Research approved prior to the implementation of
this SOP is exempt from new or revised regulations hereby set forth.
Version Summary
Version 1: This is a new SOP which incorporates and replaces Policy Manual 134,
Research Requests.
TABLE OF CONTENTS
Scope ......................................................................................................... 1
Table of Contents .......................................................................................... 1
A. Statutory Authority ................................................................................... 2
B. Board of Correction IDAPA Rule ................................................................... 2
C. Governing Policy Statement ........................................................................ 2
D. Responsibility ........................................................................................... 2
E. Definitions ............................................................................................... 3
F. Standard Procedures .................................................................................. 4
1. General Statement .................................................................................... 4
2. Confidentiality of Research Data .................................................................. 4
3. External Research Applications .................................................................... 5
4. Approval of Research Requests .................................................................... 5
5. Access to Premises & Background Checks ..................................................... 6
6. Memorandum of Understanding ................................................................... 6
7. IDOC Oversight ........................................................................................ 6
8. Research Termination ................................................................................ 6
9. Reporting Process and Dissemination of Findings ............................................ 7
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G. References .............................................................................................. 7

A. STATUTORY AUTHORITY
Idaho Code § 20-244, Government and Discipline of the Correctional Facility –
Rules and Regulations
B. BOARD OF CORRECTION IDAPA RULE
IDAPA 06.01.01.134, Research Requests
C. GOVERNING POLICY STATEMENT
It is the policy of the Board of Correction that the Idaho Department of Correction
(IDOC) establish procedures governing all research activities involving IDOC
records, facilities, programs, staff, and those under IDOC jurisdiction.
Research projects must be designed in alignment with the department’s objectives,
to include improving public safety, contributing to more efficient and effective
practices, conserving resources, and/or furthering the department’s strategic goals
and programs. Medical and pharmaceutical experimentation are not permitted.
D. RESPONSIBILITY
1. Data Innovation Group
The Data Innovation Group (DIG) is responsible for the initial review, pre-
approval, and coordination of research projects, including surveys, evaluations,
data collection, and observational studies. DIG responsibilities include:
a. Ensuring research is structured and effective.
b. Ensuring research does not disrupt IDOC operations.
c. Communicating requests to the Research Oversight Committee (ROC).
d. Presenting non-pre-approved requests to ROC for full review.
e. Tracking all research requests, approvals/denials, timelines, completions, and
outcomes (e.g. publications, conferences).
2. Director
The director or designee has final approval authority over all research projects
and may suspend or terminate research for any reason, including but not limited
to, emergencies, impact to IDOC resources or operations, or violations of IDOC
policy.
3. IDOC facility heads
a. Assist DIG in assessing potential operational disruptions.
b. Assist DIG in assessing potential risks to residents, clients, or staff.
c. Report impacts to the DIG supervisor or designee.
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4. Research Oversight Committee
a. Provide a broader review of proposed research, as determined by the director
or designee including evaluating risks and benefits of the proposed research,
ensuring safeguards, reviewing protocols for human subject protections, and
determining meaningful collaboration with stakeholders.
b. The ROC may include the DIG supervisor, the IDOC chief psychologist or
designee, health services advisor, facility head (or designee), and other staff
as needed for expertise.
E. DEFINITIONS
1. Archival data: Historical administrative data collected for IDOC operations
(excluding medical/mental health records).
2. Client: A person who has been convicted of a crime against the laws of the state
and ordered into the care and custody of the Board of Correction. The term client
includes any use in Idaho law, Board of Correction rule, or IDOC policy or
procedure of the terms “offender(s),” or any other term referring to a person on
probation or parole supervision under the custody of the Board of Correction.
3. Data Innovation Group (DIG): IDOC research group providing analyses for
internal and external stakeholders.
4. De-identified Data: Records with identifying details removed to reduce risk of
re-identification.
5. External Researcher: Any individual or entity outside IDOC conducting research
involving residents, clients, or staff.
6. Facility: A building or residence—including the property and land where the
building or residence is located—owned, leased, operated, or managed by the
Board of Correction or IDOC.
7. Full Review: Review of a research project by the Research Oversight Committee
and subject-matter experts in addition to any external review.
8. Human Subject: A living individual about whom research is conducted.
Sometimes referred to as human research participants.
9. Informed Consent: Consent given after disclosure of purpose, risks, benefits,
and confidentiality. May be written or verbal, with considerations for reading &
comprehension level of potential participants.
10. Institutional Review Board (IRB): External body protecting human subjects.
11. Public Record: A public record, as defined in Idaho Code Title 74-
101, “includes, but is not limited to, any writing containing information relating to
the conduct or administration of the public’s business prepared, owned, used or
retained by any state agency, independent public body corporate and politic or
local agency regardless of physical form or characteristics.”
12. Research: Systematic inquiry generating or validating knowledge using
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quantitative or qualitative methods.
13. Resident: A person who has been convicted of a crime against the laws of the
state and ordered into the care and custody of the Board of Correction. Resident
includes any use in Idaho law, Board of Correction rule, or IDOC policy or
procedure of the terms “offender(s),” “prisoner(s)”, “inmate(s)”, “incarcerated
person(s)”, or any other term referring to a person residing in a correctional
facility in the care and custody of the Board of Correction.
14. Survey: Method of collecting information via questions; may use quantitative,
qualitative, or mixed methods.
15. Staff: Any employee, volunteer, intern, contractor, or other authorized person
who provides specific services, as assigned or requested by a superior, to meet
department tasks.
16. Vulnerable Population Member: An individual confined in penal institutions,
per 45 CFR § 46, Subpart C, with added protections as human subjects.
F. STANDARD PROCEDURES
1. General Statement
a. IDOC must protect the rights of residents, clients, and staff involved in human
research. When applicable, IDOC complies with the Protection of Human
Subjects, Common Rule (45 CFR § 46, Subpart C), and the Belmont Report
principles: Respect for Persons, Beneficence, and Justice.
b. Incarcerated residents may not receive monetary compensation for
participation. Consumables or any other non-monetary compensation must be
approved by facility leadership in advance.
c. All research, including behavioral, biomedical, survey, and archival studies, is
governed by this SOP. This SOP and other relevant IDOC policies or SOPs take
precedence over external agency policies.
d. Archival research involving historical, de-identified, or public records data does
not require individual consent.
2. Confidentiality of Research Data
a. Research protocols must safeguard confidentiality and prohibit dissemination
of identifying data.
b. Data collection tools must limit personal identifiers to those essential to the
project.
c. Access to identifiable data is restricted to DIG staff unless ROC approval is
obtained.
d. Data collected by an approved researcher are the property of the researcher
and must follow their entity’s policies, including data destruction and limits on
analysis.
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3. External Research Applications
a. Applicants must submit a completed Research Request Form.
b. Applicants must address:
i. Alignment with IDOC’s mission, vision, values, and strategic goals
ii. Intended use and description of finished product
iii. Resources required
iv. Staff involvement
v. Data elements
vi. Cost-benefit analysis
vii. Anticipated benefits to IDOC and the criminal justice system
c. Applications must include:
i. IRB approval or pending submission
ii. Applicant background and Curriculum Vitae (CV)
iii. List of all personnel involved
iv. Informed consent forms
v. Survey instruments
vi. Population of interest
vii. Timeline
viii. Funding source details
d. Archival research requests must specify objectives, data request, and intended
use or publication.
4. Approval of Research Requests
a. DIG will review research requests and make decisions based on the research
application, including alignment with IDOC’s mission, vision, values, and
strategic goals; intended use; contribution to IDOC and the criminal justice
system/literature; and impact to IDOC’s operations and resources.
b. DIG will respond within 30 days with one of four statuses: Approved, Denied,
Conditional Approval, or Continued Review.
i. Conditional Approval is provided while awaiting additional approval from an
external entity, such as an IRB. Once external approval is received, the
application will be reconsidered for final approval. If external approval is
not received, the research request is denied.
ii. Continued Review allows applicants to continue working with DIG to make
revisions until the project can be approved.
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c. Any revisions to approved research must be submitted in writing to DIG for
approval prior to implementation.
5. Access to Premises & Background Checks
a. External researchers must comply with all facility rules, regulations, and visitor
guidelines (See SOP 604.02.01.001, Visiting and SOP 510.02.01.001, Facility
Access).
b. Additional restrictions may be imposed anytime by IDOC in writing.
c. External researchers may be required throughout the research process to
submit background checks, including fingerprinting, drug testing, and criminal
history. Costs for background checks are borne by the external researcher.
Failure to comply or pass an IDOC-approved background check will prevent
the external researcher from receiving access to IDOC facilities.
6. Memorandum of Understanding
IDOC reserves the right to require a Memorandum of Understanding (MOU) with
an approved external researcher. The MOU should outline:
a. Identification of the research and objectives
b. Names and descriptions of the organizations or individuals involved
c. Detailed description of research activities, responsibilities, and deliverables
d. Roles and responsibilities, such as resource contributions, data management,
and reporting
e. Funding sources and payment terms, if applicable
f. Data use, ownership, outputs, sharing findings, and confidentiality
g. Duration, renewal conditions, and termination clauses
7. IDOC Oversight
IDOC reserves the right to observe external researcher interactions with
participants to ensure rights are preserved.
8. Research Termination
a. Violation of any IDOC policy, data use/sharing agreement, or MOU/agreement,
whether formal or informal, will result in the termination of the project or
study. This includes, but is not limited to, misuse of IDOC data for purposes
outside the scope of work, transferring the data to an entity not party to the
agreement, or linking personally identifiable information or protected health
information to additional data sets outside of the original agreement/scope of
work.
i. Violations may impact future ability to engage in research with IDOC and
may involve legal action or other sanctions depending on the
egregiousness of the breach of the agreement or policy.
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b. IDOC may terminate research if methodologies or scope change without
approval, if participant safety or operations are jeopardized, if policies are
violated, or if the researcher engages in misconduct. In such cases, IDOC
may require destruction of collected data within 10 days, confirmed in writing.
c. IDOC may terminate research due to internal changes in resources,
unanticipated impact to a facility, and/or at the Director’s discretion.
9. Reporting Process and Dissemination of Findings
a. Draft findings must be provided to DIG and the IDOC Public Information
Officer for review 30 days in advance of publication.
b. The final report must be reviewed by the ROC or designee within 30 days.
c. Unless IDOC requests confidentiality, all publications or presentations of
research must include a disclaimer that conclusions are those of the author(s)
and do not reflect IDOC policy.
G. REFERENCES
1. Forms
a. Research Request Form
2. Cited Documents
a. 45 CFR § 46, Subpart C, Additional Protections Pertaining to Biomedical and
Behavioral Research Involving Prisoners as Subjects |
https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-
46/common-rule-subpart-c/index.html
b. Belmont Report, Ethical Principles and Guidelines for the Protection of Human
Subjects of Research | https://www.hhs.gov/ohrp/regulations-and-
policy/belmont-report/read-the-belmont-report/index.html
c. SOP 510.02.01.001, Facility Access
d. SOP 604.02.01.001, Visiting
3. Other Significant Documents
a. 42 U.S.C. § 289, Institutional review boards; ethics guidance program |
https://uscode.house.gov/view.xhtml?req=(title:42%20section:289%20editio
n:prelim)
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