TITLE 6. CRIMINAL JUSTICE AND CORRECTIONS

BOARD OF JUVENILE JUSTICE

Proposed Regulation

Title of Regulation: 6VAC35-170. Regulation Governing Juvenile Data Requests and Research Involving Human Subjects (amending 6VAC35-170-10, 6VAC35-170-20, 6VAC35-170-40, 6VAC35-170-50, 6VAC35-170-60 through 6VAC35-170-100, 6VAC35-170-130 through 6VAC35-170-200, 6VAC35-170-220, 6VAC35-170-230; adding 6VAC35-170-15, 6VAC35-170-17, 6VAC35-170-125; repealing 6VAC35-170-30, 6VAC35-170-55, 6VAC35-170-110, 6VAC35-170-210).

Statutory Authority: § 66-10.1 of the Code of Virginia.

Public Hearing Information: No public hearing is currently scheduled.

Public Comment Deadline: January 2, 2026.

Agency Contact: Kristen Peterson, Regulatory Affairs Coordinator, Department of Juvenile Justice, P.O. Box 1110, Richmond, VA 23218, telephone (804) 773-0180, or email kristen.peterson@djj.virginia.gov.

Basis: Section 66-10 of the Code of Virginia authorizes the Board of Juvenile Justice to promulgate regulations necessary to carry out the provisions of Title 66 of the Code of Virginia and other laws of the Commonwealth. Section 66-10.1 of the Code of Virginia specifically authorizes the board to promulgate regulations to effectuate the provisions of Chapter 5.1 of Title 32.1 of the Code of Virginia for human research to be conducted or authorized by the Department of Juvenile Justice.

Purpose: The Regulation Governing Juvenile Data Requests and Research Involving Human Subjects (6VAC35-170) establishes the process for external entities to submit requests for data or to conduct research on human subjects who are under the care or supervision of department or other board-regulated programs or facilities. The proposed amendments are necessary to protect the health, welfare, and safety of citizens because they (i) enhance existing provisions to ensure the confidentiality of juvenile data maintained by the department and (ii) ensure that the department has the necessary information and access to scrutinize research projects involving juveniles and other human subjects and ensure the protection, safety, and privacy of those human subjects.

Substance: The proposed amendments (i) consolidate sections; (ii) clarify requirements that would apply for research authorized by the Department of Juvenile Justice (DJJ) or other state criminal justice agencies; (iii) clarify which forms are required for which requests and proposals; (iv) clarify what steps are necessary for requests submitted through the Virginia Longitudinal Data System (VLDS) or data trusts; (v) clarify what criteria are necessary for the approval of quality or process improvement projects; (vi) clarify the criteria for expediting the review of approved projects that have been modified; (vii) eliminate language discouraging researchers from offering incentives for subjects to participate in human research; (viii) clarify that all research with human subjects requires an endorsement from an Institutional Review Board, unless specifically exempted; (ix) remove certain internal deadlines and an annual reporting requirement and add transparency by specifying other internal deadlines; (x) add certain requirements regarding the security of data maintained by the department and the protection of juveniles under department monitoring, supervision, or care who serve as human subjects for research projects that are currently in a guidance document, which will make the requirements legally enforceable; (xi) authorize the department to consider additional identifiers as sensitive, including admission and release dates, location information more specific than the locality, state, and zip code, record numbers, and other combinations a reasonable person could use to determine an individual's identity based on the details of the project; and (xii) require the external project lead to report all protocol violations to the coordinator of external research within five business days of learning of the incident.

Issues: The primary advantages of the proposed amendments is the continued preservation and protection of the confidentiality and security of data maintained by the department and the protection of juveniles under the department's monitoring, supervision, or care who serve as human subjects for research projects. By removing specified deadlines for the internal committee tasked with reviewing case-specific data requests and the HRRC responsible for reviewing human research proposals, the proposed amendments also allow the department greater flexibility to schedule meetings and additional time, if needed, for the committees to conduct their work. Expressly limiting the director's current discretion to release information with a limited number of sensitive data elements within the confines of state confidentiality laws ensures that agency directors will not exceed their statutory authority in responding to requests from external entities, thereby providing greater protection to the department. Enhancing the department's discretion to solicit routine progress reports and other information on the status of research projects allows the department to track and monitor such projects and requests. Finally, including references to the human research statute rather than retaining regulatory language that duplicates these statutes eliminates the need to update the regulation each time the legislature enacts a statutory change and informs the regulated entity of the source of the regulatory requirement. The department does not anticipate any disadvantages to the public. While the proposed amendments remove the authority for student researchers who lack the requisite standing and qualifications to serve as external project leads when directly supervised by a person with the required credentials, this change operationalizes the department's current practice and, therefore, is not expected to have additional impact.

Department of Planning and Budget Economic Impact Analysis:

The Department of Planning and Budget (DPB) has analyzed the economic impact of this proposed regulation in accordance with § 2.2-4007.04 of the Code of Virginia and Executive Order 19. The analysis presented represents DPB's best estimate of the potential economic impacts as of the date of this analysis.¹

Summary of the Proposed Amendments to Regulation. In response to Executive Order 19 (2022) and Executive Directive 1 (2022), the Board of Juvenile Justice (board) proposes discretionary amendments to reduce requirements and also add data request processes to the regulation that are currently found in a guidance document.

Background. Executive Directive 1 (2022) directs executive branch entities under the authority of the Governor to initiate regulatory processes to reduce by at least 25% the number of regulations not mandated by federal or state statute, in consultation with the Office of the Attorney General, and in a manner consistent with the laws of the Commonwealth.² Accordingly, the board proposes a number of clarifying changes that are intended to improve transparency and compliance with the regulation without creating new requirements. The most substantive changes are as follows. The board seeks to clarify certain requirements to enhance compliance: requirements that would apply for research authorized by the Department of Juvenile Justice (DJJ) or by other state criminal justice agencies (6VAC35-170-17); which forms are required for which requests and proposals (6VAC35-170-60), what steps are necessary for requests submitted through VLDS or data trusts (6VAC35-170-67); what criteria are necessary for the approval of quality or process improvement projects (6VAC35-170-125); and the criteria for expediting the review of approved projects that have been modified (6VAC35-170-69). The proposed changes in these sections reflect current practice, thus clarifying these requirements in the regulation is intended to enhance compliance and not to add new requirements. The board also seeks to eliminate language discouraging researchers from offering incentives for subjects to participate in human research (6VAC35-170-70) and instead maintain current requirements that such incentives be appropriate to the juvenile custodial status and proportionate to the situation. This section would also clarify that all research with human subjects requires an endorsement from an Institutional Review Board unless specifically exempted by § 32.1-162.17 of the Code of Virginia. The board seeks to add flexibility for DJJ by removing certain internal deadlines (6VAC35-170-140) and add transparency by specifying other internal deadlines (6VAC35-170-170). Similarly, the board seeks to remove an annual reporting requirement and instead allow DJJ greater discretion in soliciting progress reports (6VAC35-170-200). Lastly, the board proposes to add certain requirements that would enhance the security of data maintained by the DJJ and the protection of juveniles under department monitoring, supervision, or care who serve as human subjects for research projects. These changes would reflect current practice as these requirements are in a guidance document; adding these provisions in the regulation would not increase requirements that apply in practice but would make them legally enforceable.³ These requirements would be added to 6VAC35-170-65, the board proposes to add a new subsection authorizing the department to consider additional identifiers as sensitive, based on the details of the project, and in such cases require the removal of such information from the data set before releasing it to researchers. These identifiers include (i) admission and release dates; (ii) location information more specific than the locality, state, and zip code; (iii) record numbers; and (iv) other combinations a reasonable person could use to determine an individual's identity. In 6VAC35-170-185, the board seeks to add that, the external project lead shall report all protocol violations to the coordinator of external research within five business days of learning of the incident.

Estimated Benefits and Costs. The proposed amendments would benefit researchers who submit data and research proposals to DJJ, both from other state criminal justice agencies or from external research institutions, by clarifying the requirements for submitting a proposal and maintaining authorization to conduct ongoing research. The table summarizes the number of research proposals submitted by fiscal year and the number of studies that were active during each fiscal year, including those that had been previously authorized.⁴

Fiscal Year	Proposals Submitted	Active Research Studies (Approved Proposals)
2019	7	24
2020	6	16
2021	4	15
2022	4	8
2023	6	10
2024	2	12

The proposed amendments would also benefit staff at DJJ who may not have to answer as many questions about the application and approval process and would also have legal authority to enforce certain requirements that would better protect the juvenile research subjects. Thus, these changes would also indirectly benefit the individuals who are subjects of these research studies, which includes court-involved juveniles, juveniles committed to DJJ, juveniles under custody of a DJJ-regulated facility, or under supervision of a court service unit, as well as their family members. DJJ reports that the proposed amendments may result in additional administrative tasks for researchers, but only to the extent that it would enhance compliance with existing standards.

Businesses and Other Entities Affected. The proposed amendments affect other state criminal justice agencies and researchers at universities or private research institutions. The Code of Virginia requires DPB to assess whether an adverse impact may result from the proposed regulation.⁵ An adverse impact is indicated if there is any increase in net cost or reduction in net benefit for any entity, even if the benefits exceed the costs for all entities combined.⁶ Since the proposed changes do not create any new costs or reduce benefits, an adverse impact is not indicated.

Small Businesses⁷ Affected.⁸ This regulation does not affect any small business.

Localities⁹ Affected.¹⁰ The proposed amendments do not disproportionately affect particular localities or affect costs for local governments.

Projected Impact on Employment. The proposed amendments do not affect total employment.

Effects on the Use and Value of Private Property. The proposed amendments affect neither the use and value of private property nor real estate development costs.

_____________________________

¹ Section 2.2-4007.04 of the Code of Virginia requires that such economic impact analyses determine the public benefits and costs of the proposed amendments. Further the analysis should include but not be limited to: (1) the projected number of businesses or other entities to whom the proposed regulatory action would apply, (2) the identity of any localities and types of businesses or other entities particularly affected, (3) the projected number of persons and employment positions to be affected, (4) the projected costs to affected businesses or entities to implement or comply with the regulation, and (5) the impact on the use and value of private property.

² See https://www.governor.virginia.gov/media/governorvirginiagov/governor-of-virginia/pdf/ed/ED-1-Regulatory-Reduction.pdf.

³ See https://townhall.virginia.gov/L/ViewGDoc.cfm?gdid=7017.

⁴ Data Source: DJJ, see Agency Background Document.

⁵ Pursuant to § 2.2-4007.04 D: In the event this economic impact analysis reveals that the proposed regulation would have an adverse economic impact on businesses or would impose a significant adverse economic impact on a locality, business, or entity particularly affected, the Department of Planning and Budget shall advise the Joint Commission on Administrative Rules, the House Committee on Appropriations, and the Senate Committee on Finance. Statute does not define "adverse impact," state whether only Virginia entities should be considered, nor indicate whether an adverse impact results from regulatory requirements mandated by legislation.

⁶ Statute does not define "adverse impact," state whether only Virginia entities should be considered, nor indicate whether an adverse impact results from regulatory requirements mandated by legislation. As a result, DPB has adopted a definition of adverse impact that assesses changes in net costs and benefits for each affected Virginia entity that directly results from discretionary changes to the regulation.

⁷ Pursuant to § 2.2-4007.04, small business is defined as "a business entity, including its affiliates, that (i) is independently owned and operated and (ii) employs fewer than 500 full-time employees or has gross annual sales of less than $6 million."

⁸ If the proposed regulatory action may have an adverse effect on small businesses, § 2.2-4007.04 requires that such economic impact analyses include: (1) an identification and estimate of the number of small businesses subject to the proposed regulation, (2) the projected reporting, recordkeeping, and other administrative costs required for small businesses to comply with the proposed regulation, including the type of professional skills necessary for preparing required reports and other documents, (3) a statement of the probable effect of the proposed regulation on affected small businesses, and (4) a description of any less intrusive or less costly alternative methods of achieving the purpose of the proposed regulation. Additionally, pursuant to § 2.2-4007.1 of the Code of Virginia, if there is a finding that a proposed regulation may have an adverse impact on small business, the Joint Commission on Administrative Rules shall be notified.

⁹ "Locality" can refer to either local governments or the locations in the Commonwealth where the activities relevant to the regulatory change are most likely to occur.

¹⁰ Section 2.2-4007.04 defines "particularly affected" as bearing disproportionate material impact.

Agency Response to Economic Impact Analysis: The Board of Juvenile Justice is in agreement with the economic impact analysis prepared by the Department of Planning and Budget.

Summary:

As a result of a periodic review, the proposed amendments (i) simplify the chapter; (ii) clarify processes for submitting, reviewing, and approving external data requests and research proposals; (iii) eliminate certain requirements; (iv) add requirements that were previously only contained in a guidance document; and (v) establish processes for various data requests and research proposals.

Chapter 170

Minimum Standards for Regulation Governing Juvenile Data Requests and Research Involving Human Subjects or Records of the Department of Juvenile Justice

6VAC35-170-10. Definitions.

The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:

"Aggregate data" means statistics that relate to broad classes, groups, or categories so that it is not possible to distinguish the properties of individuals within those classes, groups, or categories.

"Case-specific data" means nonaggregated data that provides information about specific individuals within a group or cases.

"Coordinator of external research" means the department employee designated by whom the director designates to receive research proposals and data requests from external entities and to ensure that the proposals and requests are reviewed in accordance with this chapter and related department procedures.

"Data trust" means a secure information-sharing environment that the department has joined via a memorandum of understanding or other written agreement. For purposes of this definition, "data trust" is limited to the Commonwealth Data Trust authorized in § 2.2-203.2:4 of the Code of Virginia and the Virginia Workforce Data Trust authorized in § 2.2-2041 of the Code of Virginia.

"De-identified data" means data with common identifiers, such as names, phone numbers, and social security numbers, and addresses removed in order to eliminate the ability of prevent an individual viewing the data to determine from determining the subject's identity of an individual.

"Department" means the Department of Juvenile Justice.

"Director" means the director of the department or the director's designee.

"External project lead" means the individual responsible for the research and data analysis design, implementation, supervision of staff, and findings, and who is not employed by or under contract to perform research for the department.

"External research or evaluation project" means research a project conducted at or using the resources of a facility, program, or organization that is owned, operated, or regulated by the department or the Board of Juvenile Justice by researchers individuals who are not part of the department employed by or under contract with to perform data analysis, quality improvement projects, or research for the department, or who are not employees of another state agency conducting a study at the direction of the General Assembly.

"Human research" means a systematic investigation, including research development, testing, and evaluation, utilizing human subjects that is designed to develop or contribute to generalized knowledge. Human research shall not be deemed to include includes neither research exempt from federal research regulation pursuant to 45 CFR 46.101(b) 46.104(d) nor quality or process improvement projects.

"Human Research Review Committee" or "HRRC" means the committee established by the department to oversee human research proposals and activities in accordance with 6VAC35-170-130 and § 32.1-162.19 of the Code of Virginia and 6VAC35-170-130.

"Human subject" means an individual who is under the department's care, custody, or supervision; under the care, custody, or supervision of a facility or program regulated by recruited for research due to the individual's contact with the department or facilities or programs regulated by the Board of Juvenile Justice; or a member of the family or guardian of such an the individual and who is, or who is proposed to be, a subject of human research. For purposes of this definition, human subject also means; or an individual who is employed in by or provides providing contractual services to a juvenile correctional center or other facility or program regulated by the department or facilities or programs regulated by the Board of Juvenile Justice and who is or who is proposed to be a subject of human research.

"Informed consent" means the knowing and voluntary agreement without undue inducement or any element of force, fraud, deceit, duress, or other form of constraint or coercion of a person who is capable of exercising free choice. The basic elements necessary for informed consent regarding human research include:

1. A reasonable and comprehensible explanation to the person of the proposed procedures and protocols to be followed; their purposes the purpose of the procedures and protocols, including descriptions of attendant discomforts; and the risks and benefits reasonably to be expected;

2. A disclosure of alternative procedures or therapies that might be helpful to the person;

3. An instruction that the person may withdraw his consent and stop participating in the human research at any time without prejudice to him;

4. An explanation of costs or compensation that may accrue to the person and whether third party third-party reimbursement is available for the proposed procedures or protocols; and

5. An offer to answer, and answers to, questions by the person about the procedures and protocols.

"Internal committee" means the committee established by the department pursuant to 6VAC35-170-65 to oversee de-identified case specific case-specific data.

"Legally authorized representative" means the parent having custody of a prospective subject; the legal guardian of a prospective subject; or any person or judicial or other body authorized by law to consent on behalf of a prospective subject to such subject's participation in the particular human research, including an attorney in fact appointed under a durable power of attorney, provided the power grants the authority to make such a decision . For purposes of this chapter, "legally authorized representative" shall not include an official or employee of the institution or agency conducting or authorizing the research.

"Minimal risk" means that the risks of harm anticipated in the proposed research are not greater, considering probability and magnitude, than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests.

"Nontherapeutic research" means human research in which there is no reasonable expectation of direct benefit to the physical or mental condition of the human subject.

"Organizational unit head" means the person in charge of a juvenile correctional center, court service unit, or other an organizational unit of the department or a Board of Juvenile Justice-regulated facility, program, or service.

"Principal researcher" means the individual who is responsible for the research design, research implementation, supervision of research staff, and research findings.

"Quality or process improvement project" means a project designed to monitor, analyze, or improve the indicators of quality in service of a specific program without intentions to publish or share findings beyond the researcher, provider, and other groups at the discretion of the department. For purposes of this chapter, a quality or process improvement project is not a human research project. A quality or process improvement project may not include case-specific data requests.

"Research" means the systematic development of knowledge essential to effective planning and rational decision-making. It involves the assessment of current knowledge on conceptual problems selected, the statement of those problems in researchable format, the design of methodologies appropriate to the problems, and the application of statistical techniques to organize and analyze data investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge.

"Researcher" means an individual conducting research.

"Research project" means the systematic collection of information, analysis of the data, and the preparation of a report of findings.

"Sensitive data" means data, the compromise of which, with respect to confidentiality, integrity, or availability, could have a material adverse effect on agency programs or the privacy to which individuals are entitled.

"Virginia Longitudinal Data System" or "VLDS" means a data system that provides allows qualified individuals to access de-identified case-specific data from participating agencies to qualified researchers through a process that involves involving submission of requests and approval or denial by each sponsoring agency from which data are sought in an effort to create usable information for policy and generate cross-agency research.

"Written," "writing," or "in writing", as defined in § 1-257 of the Code of Virginia, means the required information is communicated in writing either in hard copy or electronic form any representation of words, letters, symbols, numbers, or figures, whether (i) printed or inscribed on a tangible medium or (ii) stored in an electronic or other medium and retrievable in a perceivable form.

6VAC35-170-15. Applicability.

A. Except as otherwise provided, this chapter applies to external requests for case-specific data maintained by the department, including requests for case-specific data submitted through the VLDS or through a data trust. The chapter also applies to external research or evaluation project proposals and external requests submitted to the department for quality or process improvement projects.

B. Except as otherwise provided, this chapter shall not apply to:

1. Research or evaluation projects conducted by employees of another stage agency at the direction of the General Assembly; or

2. Requests for juvenile records and reports in accordance with § 16.1-300 of the Code of Virginia.

6VAC35-170-17. Department requests for research; research conducted by state criminal justice agencies.

A. Whenever a person, agency, organization, or institution outside the department agrees, at the department's request, to conduct research on or evaluation of the department or its divisions, the department shall have the discretion to impose any or all requirements in this chapter.

B. State criminal justice agencies seeking juvenile data in accordance with § 16.1-300 of the Code of Virginia shall complete and submit to the department the Data and Research Proposal form and Confidentiality Agreement form to verify the agency's authority to receive the requested information and to comply with the provisions in § 16.1-300. For purposes of this section, state criminal justice agencies shall include only state governmental entities that are identified in the definition of "criminal justice agency" in § 9.1-101 of the Code of Virginia.

6VAC35-170-20. General requirements of external researchers project leads.

A. The principal researcher external project lead shall have academic or professional standing in the pertinent field or job-related experience in the areas of study or be directly supervised by such a person.

B. The principal researcher external project lead shall be responsible for (i) the conduct of the research staff, (ii) the protection of the rights of subjects involved in the project, and (iii) the provision of information required by the coordinator of external research, organizational unit heads, and the HRRC ensuring that all applicable requirements in this chapter are met.

6VAC35-170-30. Professional ethics. (Repealed.)

All research shall conform to the standards of ethics of professional societies such as the American Correctional Association, the American Psychological Association, the American Sociological Association, the National Association of Social Workers, the American Evaluation Association, or their equivalent.

6VAC35-170-40. Confidentiality requirements of all research.

A. Research findings shall not identify individual subjects.

B. All records and all information given by research human subjects or employees of the department shall be kept confidential in accordance with § 16.1-300 of the Code of Virginia and applicable rules laws and regulations regarding confidentiality of juvenile records.

C. Persons who breach confidentiality shall be subject to sanctions in accordance with applicable laws, regulations, policies, and procedures.

D. C. Confidentiality does not preclude reporting results utilizing de-identified data or giving raw data to the department for possible further analysis.

6VAC35-170-50. Conditions for department approval of external research or evaluation projects and data requests.

The department may approve research and data requests only when it determines upon determining, in its sole discretion, that the following conditions have been met:

1. The department has sufficient financial and staff resources to support the request and that, on balance, the benefits of the request justify the department's involvement; and

2. The request will not interfere significantly with department programs or operations, particularly those of the operating units that would participate in the proposed research; and 3. The request is compatible with the purposes and goals of the juvenile justice system and with the department's organization, operations, and resources.

6VAC35-170-55. Review and approval of aggregate data requests. (Repealed.)

A. The department shall determine the following prior to approving aggregate data requests:

1. That the request meets the conditions for department approval of research identified in 6VAC35-170-30 and 6VAC35-170-50;

2. That the data requested is accessible;

3. An estimate of the time required to process the data request; and

4. Based on staff workload, whether staff resources are available to process the request.

B. The department may approve and coordinate the provision of data.

C. The department shall provide the principal researcher with a written notification of the approval or denial of the data request within 20 business days of the department’s receipt of the proposal.

1. If the department denies the data request, documentation of the rationale for the denial shall accompany the proposal.

2. If the department approves the data request, it shall provide the principal researcher with a written estimated timeline for receipt of the data.

6VAC35-170-60. Formal Submissions requiring department forms; formal agreement required for certain requests and proposals.

No A. To initiate the process for departmental review, external case-specific data requests, external research or evaluation project proposals, and quality or process improvement project requests shall be submitted to the department by completing and providing all required signatures and attachments on the Confidentiality Agreement, the Data and Research Proposal, and the Data and Research Agreement forms.

B. External case-specific data requests submitted through the VLDS or through a data trust portal shall require submission of the forms outlined in subsection A of this section only if the department will serve as the sponsoring agency for the VLDS request or the department's contribution to the data trust was not mandated by the Code of Virginia.

C. The Confidentiality Agreement form shall be signed by every individual who may access the data.

D. The Data and Research Agreement form shall outline the responsibilities of the parties and shall specify the following:

1. That any external articles, reports, presentations, and publications generated from the data collected shall be submitted electronically to the department no later than 30 days after the publication or presentation date and shall include the statement, "The findings of this study are the responsibility of the researchers, and cooperation by the Virginia Department of Juvenile Justice in facilitating this research should not be construed as an endorsement of the conclusions drawn by the researchers";

2. That the director shall have the discretion to waive the statement mandated in subdivision 1 of this subsection, in which case, all external articles, reports, presentations, and publications shall be submitted to the department for review and approval at least 30 days before the anticipated submission date;

3. That the Data and Research Agreement shall not be effective until signed by both the external project lead and the director;

4. That the requester agrees to provide the department with annual progress reports and any additional progress reports in an electronic format and according to the schedule set by the department. If the data request also involves human research, this schedule of progress reports shall be developed in consultation with the HRRC; and

5. That the requester agrees to provide a final presentation and an electronic report of the requester's findings that include goals for improvement and an actionable plan for implementing changes.

E. Except as provided in subsection B of this section, no case-specific data request or, human research request, or quality or process improvement project shall begin until all applicable reviews required by this chapter have been completed and the principal researcher external project lead receives a an electronic copy of the research agreement Data and Research Agreement form signed by the director.

6VAC35-170-65. External de-identified case-specific data requests.

A. External case-specific data requests shall be submitted to the department using the Confidentiality Agreement Form, the Research Proposal Form, and the Research Agreement Form.

B. The Research Agreement Form shall be signed by the principal researcher and the student researcher, if applicable, at the time of submission.

C. The A. Within 10 business days of receiving the completed forms to initiate the data request, the coordinator of external research shall determine the following within 10 business days of receiving the data request:

1. That the request meets the conditions for department approval of research identified in 6VAC35-170-30 and 6VAC35-170-50;

2. That the proposal request is not a human research proposal and is not required to be reviewed by the does not require HRRC review; however, requests that include sensitive data shall be reviewed by the HRRC;

3. That the principal researcher external project lead has appropriate academic or professional standing or job-related experience in the area to be studied;

4. That the proposal is in the required format and includes all required information;

5. 4. That the proposal complies with basic research standards and applicable laws;

6. 5. That the data requested is accessible;

7. That department resources are available to process the data request; and

8. 6. An estimate of the time required to compile the data request.

D. Except as provided in subsection E of this section, the B. The following identifiers are considered sensitive data and shall be removed from the data provided to data requesters or researchers:

1. Names;

2. Dates of birth;

3. Postal street addresses;

4. Telephone numbers;

5. Email addresses;

6. Social security numbers;

7. Medical record numbers;

8. Biometric identifiers, including finger and voice prints; and

9. Full face photographic images and any comparable image.

E. C. The director, department may consider the following identifiers as sensitive data based on the details of the project and other information included in the data set, and shall remove such identifiers from the data provided to data requesters if deemed sensitive:

1. Dates relevant to the juvenile's offense or placement, such as dates of admission or release;

2. Location information more detailed than town or city, state, and zip code;

3. Record numbers, such as juvenile numbers or direct care numbers; and

4. Any other combination of fields that would enable a reasonable person to identify individuals.

D. On a case-by-case basis, the director may approve the dissemination of data containing a limited number of the identifiers listed in subsection D B of this section for research benefiting the department, provided that (i) the provision of data does not violate any confidentiality provisions in Title 16.1 of the Code of Virginia and (ii) the data requester or researcher agrees that any such to keep the information shall be kept confidential in accordance with 6VAC35-170-40 or released release or published publish the information only in aggregate form.

F. E. The human research review process shall be followed when the data requested by a researcher are such that a reasonable person could identify the research participants.

G. F. Industry standard levels of encryption shall be required to protect all juvenile record information provided to data requesters and researchers.

H. G. Upon determining the requirements in subsection C A of this section are met, the director shall designate an internal committee, which shall meet within 20 business days of receiving the proposal. The internal committee shall:

1. Verify that the request meets the conditions for department approval of research identified in 6VAC35-170-50;

2. Review the data requested and determine if it is necessary to restrict the scope of the information provided. The scope of information may be restricted for any reason.;

2. Determine the research is beneficial to the department.

3. Ensure juvenile confidential information will be protected adequately.; and

4. Make a written recommendation to the director to approve or disapprove the request.

I. H. The director shall approve or deny the proposal request within 10 business days of receiving the recommendation.

J. The I. Within five business days of receiving the director's decision, the department shall notify provide the data requester or researcher of the director's decision within five business days of the director making the decision written notification that the request has been denied or a signed electronic copy of the Data and Research Agreement form if the request is approved.

1. If the director denies the proposal, the notification shall include a written rationale for the denial.

2. If the director approves the proposal, the notification shall include the research agreement containing the director's signature. The agreement shall outline the respective responsibilities of the parties and shall specify:

a. When progress reports shall be required. If the external research request also involves human research, this schedule of progress reports shall be developed in consultation with the HRRC;

b. That the department shall have unrestricted permission to use the research findings in accordance with professional standards of research;

c. That a final report shall be submitted electronically to the department;

d. That unless waived by the director or the director's designee, all external articles, reports, and presentations made from the data collected shall be submitted electronically to the department and shall include the statement "The findings of this study are the responsibility of the researchers, and cooperation by the Virginia Department of Juvenile Justice in facilitating this research should not be construed as an endorsement of the conclusions drawn by the researchers;" and

e. That the research agreement shall not be effective until signed by both the principal researcher and the director.

K. The department shall provide the principal researcher, by first class mail, electronic mail, or facsimile, a final copy of the research agreement containing the director's signature.

L. J. External de-identified case-specific data requests submitted through the VLDS or a data trust shall not be subject to the requirements of this section only if the department will serve as the sponsoring agency for the VLDS request or the department's contribution to the data trust was not mandated by the Code of Virginia. All VLDS and data trust requests shall comply with 6VAC35-170-67, regardless of whether the department serves as the sponsoring agency or whether the contribution to the data trust was mandated by statute. Researchers submitting such requests shall adhere to the provisions of 6VAC35-170-67.

6VAC35-170-67. Requests submitted through the VLDS requests or a data trust.

A. External case-specific data requests submitted through the VLDS shall be submitted to the department using the VLDS portal.

B. The researcher shall comply with all VLDS procedures in order to access data through the VLDS.

C. The chair of the HRRC shall have primary responsibility for reviewing and approving requests submitted through the VLDS portal. The chair of the HRRC or data trust portals and may not approve an external case-specific data a request unless the request meets the following requirements:

1. The request satisfies the conditions for department approval of research identified in 6VAC35-170-30 and 6VAC35-170-50;

2. The request is not a human research proposal and does not require the HRRC's review;

3. The request is in the required format and includes all required information;

4. 1. The research aim and the requested data are appropriate in content and scope;

2. The request complies with basic research standards and applicable laws; and

5. 3. The data requested are accessible and available in the VLDS requester agrees to provide the department with annual progress reports and a final report of the requester's findings that include goals for improvement and an actionable plan for implementing changes.

D. Upon reviewing the data request, the chair of the HRRC may restrict the scope of the data, provided the data requested are unrelated to the purpose of the research study.

6VAC35-170-69. Minor amendments to data requests.

If the researcher data requester offers a minor, nonsubstantive amendment to an external data request that the director previously approved in accordance with the provisions of this chapter, the chair of the HRRC may conduct an expedited review of the amendment in writing, provided the amendment does not alter the scope of the request. Additional review or approval by the internal committee or director shall not be required.

6VAC35-170-70. Requirements specific to human research.

A. All human research shall comply with Chapter 5.1 (§ 32.1-162.16 et seq.) of Title 32.1 of the Code of Virginia and all other applicable laws regarding human research.

B. Human research involving known and substantive physical, mental, or emotional risk to subjects, including the withholding of any prescribed program programs of treatment, and all experimental medical, pharmaceutical, or cosmetic research, are specifically prohibited forbidden.

C. Offering Researchers may offer incentives to participate in research is discouraged but not prohibited. Incentives shall be, provided the incentive is appropriate to the juveniles' juvenile's custodial status and proportionate to the situation.

D. If sensitive data are provided, the researchers must comply with appropriate security and non-disclosure nondisclosure requirements.

E. No human research shall be conducted without the review and approval of the HRRC and the department.

F. Human research that is not exempted by § 32.1-162.17 of the Code of Virginia requires endorsement from an Institutional Review Board.

6VAC35-170-80. Informed consent required for human research.

A. Except as provided elsewhere in this chapter, no researcher may involve a human subject in human research without first obtaining the All researchers shall get informed consent in accordance with § 32.1-162.18 of the Code of Virginia before conducting human subject or his legally authorized representative. A researcher shall seek such consent only under circumstances that provide the human subject or the legally authorized representative sufficient opportunity to consider whether to participate and that minimize the possibility of coercion or undue influence research.

B. If a human subject is competent, informed consent shall be given in writing by the subject and witnessed.

C. If a human subject is not competent, informed consent shall be given in writing by the subject's legally authorized representative and witnessed.

D. If a human subject is a minor who is otherwise capable of giving informed consent, informed consent shall be given in writing by both the minor and his legally authorized representative.

E. If two or more persons who qualify as legally authorized representatives with decision-making authority inform the researcher that they disagree as to the participation of the human subject, the subject shall not be enrolled in the human research that is the subject of the consent.

F. Notwithstanding consent by a legally authorized representative, no person who is otherwise capable of giving informed consent shall be forced to participate in human research.

G. A legally authorized representative may not consent to nontherapeutic research unless the HRRC determines that the research will present no more than a minimal risk to the human subject.

H. The informed consent form shall not include any language through which the human subject waives or appears to waive any legal right, including the release of an individual, institution, or agency or any agent thereof from liability for negligence.

6VAC35-170-90. Exemptions from the requirements governing human research.

A. The following Except as provided in subsections B and C of this section, the categories of human research identified in § 32.1-162.17 of the Code of Virginia are not subject to this chapter's provisions governing requirements for human research. Except as otherwise provided by law or regulation, these activities shall be subject to the nonhuman research review and approval process established by the department.

1. Activities of the Virginia Department of Health conducted pursuant to § 32.1-39 of the Code of Virginia.

2. Research or student learning outcomes assessments conducted in educational settings involving regular or special education instructional strategies; the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods; or the use of educational tests, whether cognitive, diagnostic, aptitude, or achievement, if the data from such tests are recorded in a manner so that subjects cannot be identified, directly or through identifiers linked to the subject.

3. Research involving solely the observation of public behavior, including observation by participants, or research involving survey or interview procedures unless subjects can be identified from the data either directly or through identifiers linked to the subjects, and either:

a. The information about the subject, if it became known outside the research, reasonably could place the subject at risk of criminal or civil liability or be damaging to the subject's financial standing or employability; or

b. The research deals with sensitive aspects of the subject's own behavior, such as sexual behavior, drug or alcohol use, or illegal conduct.

4. The collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens, if these sources are publicly available or if the subjects cannot be identified from the information either directly or through identifiers linked to the subjects.

5. Medical treatment of an experimental nature intended to save or prolong the life of the subject in danger of death, to prevent the subject from becoming disfigured or physically or mentally incapacitated, or to improve the quality of the subject's life.

B. Pursuant to 45 CFR 46.101 46.104, the exemptions outlined in this section § 32.1-162.17 of the Code of Virginia shall not apply to research conducted upon individuals involuntarily confined in a penal institution, including individuals committed to a juvenile correctional center or juvenile secure detention center, unless the research is aimed at involving a broader subject population that only incidentally includes these individuals.

C. Pursuant to 45 CFR 46.101, the The exemptions outlined in subdivision A 3 of this section § 32.1-162.17 of the Code of Virginia shall not apply to research conducted on children who have not attained age younger than 18 years of age unless permitted under 45 CFR 46.104.

6VAC35-170-100. Proposal for external research.

A. If the external research is proposed to take place in a particular organizational unit, the principal researcher external project lead shall present a preliminary research proposal to the organizational unit head and get the organizational unit head's endorsement.

B. The principal researcher completed Data and Research Proposal shall submit to the coordinator of external research a complete research proposal describing describe the research project and containing include the following information:

1. Name, address, telephone number, email address contact information, title, and affiliation of the principal researcher external project lead;

2. Name, telephone number, and email address and contact information of the person who will coordinate the project, if different from the principal researcher external project lead;

3. Funding source, if any;

4. Date of the proposal's submission to the department;

5. Title or descriptive name of the proposed research project;

6. Statement of the specific purpose of the proposed research project with anticipated results, including benefit to the department;

7. A concise description of the research design and techniques for data collection and analysis and of the likely effects of the research methodology on existing programs and institutional operations;

8. Timeframes indicating proposed beginning and ending dates for (i) data collection, (ii) analysis, (iii) preliminary report, and (iv) final report;

9. A list of resources the researcher will require from the department or its the department's units, such as staff, supplies, materials, equipment, work spaces, or access to clients and files;

10. The written endorsement from the organizational unit head in accordance with subsection A of this section;

11. A written endorsement from the institutional review board of the institution or organization with which the researcher is affiliated; and

12. A copy of the resume or curriculum vitae of the external project lead and student, if applicable; and

13. A signed and dated statement that the principal researcher external project lead and research staff have read, understand, and agree to abide by these regulations.

C. The coordinator of external research shall receive all research proposals and confirm that the proposal complies with basic research standards and applicable laws.

6VAC35-170-110. Initial review by coordinator of external research. (Repealed.)

The coordinator of external research shall receive all research proposals from external researchers and shall:

1. Ensure that the proposals are in the required format and include all required information;

2. Confirm that the proposal complies with basic research standards and applicable laws; and

3. Refer the proposals to appropriate department personnel for review, which , for all proposed human research shall include the department's HRRC.

6VAC35-170-125. Quality or process improvement projects.

A. The chair of the HRRC shall have primary responsibility for reviewing and approving quality or process improvement project requests and may not approve a request unless the request meets the following requirements:

1. The quality or process improvement aim and the requested data are appropriate in content and scope;

2. The requesters may not share information outside of the department and approved groups and may not give presentations or publish research findings using information or data from the quality or process improvement project;

3. The request complies with basic research standards and applicable laws; and

4. The request includes safeguards to ensure the adequate protection of juvenile confidential information.

B. The requester shall provide the department with annual progress reports and a final presentation and report of the requester's findings that include goals for improvement and an actionable plan for implementing changes.

6VAC35-170-130. Human Research Review Committee.

A. The department shall establish an HRRC composed of persons of various backgrounds to ensure the competent, complete, and professional review of human research activities conducted or proposed to be conducted or authorized by the department. No member of the HRRC shall be directly involved in the proposed human research or have administrative approval authority over the proposed research except in connection with his role on the HRRC in accordance with § 32.1-162.19 A of the Code of Virginia.

B. The HRRC may ask persons with pertinent expertise and competence to assist in the review of any research proposal or ongoing human research activities.

C. The HRRC may require additional information from the researcher before making a recommendation to the director.

6VAC35-170-140. Timeline for review of human research proposals.

A. The HRRC shall review proposals involving human research within 30 business days of receiving a complete research proposal.

B. A. At the request of the researcher and upon written approval by the chair, the HRRC may conduct an expedited review when the proposed research involves no more than minimal risk to the human subjects and: 1. The proposal has been reviewed and, the changes occur during the approved by another agency's HRRC; or 2. The project period, and the review involves only minor changes to a previously approved research project.

C. B. A proposal that undergoes expedited review pursuant to subdivision B 2 of this section shall be approved in writing by the chair of the HRRC before the researcher may proceed. Additional require no additional review or approval by the director shall not be required.

6VAC35-170-150. HRRC review of human research proposals.

In reviewing the human research proposal, the HRRC shall consider the potential benefits and risks to the human subjects and shall recommend approval only when:1. The benefits to the human subjects outweigh the risks; 2. The methodology is adequate for the proposed research; 3. The research, if nontherapeutic, presents no more than a minimal risk to the human subjects; 4. The rights and welfare of the human subjects are adequately protected; 5. Appropriate provisions have been made to get informed consent from the human subjects, as detailed in 6VAC35-170-160; 6. The researchers are appropriately qualified; 7. The criteria and means for selecting human subjects are valid and equitable; and 8. The research complies with the requirements set out in this chapter as well as each element outlined in § 32.1-162.19 B of the Code of Virginia.

6VAC35-170-160. HRRC review of informed consent provisions.

A. The HRRC shall review and approve the consent process and all required consent forms for each proposed human research project before recommending approval to the director.

B. The committee may approve a consent procedure that omits or alters some or all of the basic elements of informed consent or waives the requirement to get informed consent if the HRRC finds and documents that: 1. The research involves no more than a minimal risk to the subjects; 2. The omission, alteration, or waiver will not adversely affect the rights and welfare of the subjects; 3. The research could not be performed practicably without the omission, alteration, or waiver; and 4. After participation, the subjects will be given additional pertinent information when appropriate complies with the requirements in § 32.1-162.18 D of the Code of Virginia.

C. The HRRC may waive the requirement that the researcher get written informed consent for some or all subjects, if the principal risk would be potential harm resulting from a breach of confidentiality, and the only record linking the subject and the research would be the consent document. The HRRC may require the researcher to give the subjects and legally authorized representatives a written statement explaining the research. Further, the researcher shall ask each subject whether he wants documentation linking him to the research, and the subject's wishes shall govern provided the conditions in § 32.1-162.18 E of the Code of Virginia are satisfied.

6VAC35-170-170. Recommendation to director and final action.

A. The HRRC shall make a recommendation to the director to deny, or approve, or conditionally approve the proposed human research or defer a recommendation pending receipt of additional information or modification of the proposal.

B. The director shall approve or deny the proposal within 10 business days of receiving the committee's recommendation.

C. The research agreement Data and Research Agreement shall become effective only after all reviews required by this chapter are completed and the director signs the agreement on behalf of the department. The coordinator of external research shall send notify the external project lead of the director's final decision within five business days of receipt, and if approved, provide a copy of the signed research agreement to the principal researcher Data and Research Agreement form before the project may begin.

D. The coordinator of external research shall notify the principal researcher of the director's final decision.

6VAC35-170-180. Annual review of human research activities.

The HRRC shall review all human research ongoing activities at least annually to ensure that they the activities are conducted in conformance with the proposals as approved by the director.

6VAC35-170-185. Researcher noncompliance.

A. The researcher external project lead shall report noncompliance with the approved research proposal to the HRRC and the institutional review board.

B. The external project lead shall report all protocol violations to the coordinator of external research within five business days of learning of the incident.

C. If the HRRC determines that the research activities fail to comply with the approved proposal or violate the Code of Virginia or the Virginia Administrative Code, the department may (i) restrict or terminate further research, (ii) prohibit forbid the researcher from presenting or publishing the research results, or and (iii) bar the researcher from conducting future studies.

6VAC35-170-190. Committee reports required.

A. In accordance with § §§ 66-10.1 and 32.1-162.19 of the Code of Virginia, the HRRC shall:

1. submit Submit to the Governor, the General Assembly, and the director at least annually a report on human research projects reviewed and approved by the HRRC and the status of such the research, including any significant deviation from the proposals as approved.; and

2. Ensure that an overview of the required report containing a summary of approved human research projects and the results of such projects is posted on the department's website, unless otherwise exempt from disclosure under the Virginia Freedom of Information Act (§ 2.2-3700 et. seq. of the Code of Virginia).

B. The HRRC also shall submit annually to the Board of Juvenile Justice the same report as required by subsection subdivision A 1 of this section.

C. The HRRC shall ensure that an overview of the report required in subsection A of this section, containing a summary of approved human research projects and the results of such projects, is posted on the department's website unless otherwise exempt from disclosure under the Virginia Freedom of Information Act (§ 2.2-3700 et seq. of the Code of Virginia).

6VAC35-170-200. Progress reports.

A. The department may require periodic reports on the progress of any research project in accordance with this chapter. The principal researcher external project lead shall be responsible for providing such reports an annual progress report addressing the progress of all pending research and any additional periodic progress reports or supplementary information requested by the department requests in a timely manner.

B. The researcher shall submit an annual progress report to the coordinator of external research when the research is not completed within one year of approval Upon review of the progress reports or the failure to timely file a progress report, approvals may be reconsidered, reassessed, or rescinded for good cause at the director's discretion.

6VAC35-170-210. Department permission to use research findings. (Repealed.)

The research agreement shall specify that the department has unrestricted permission to use, as they are published, all data, summaries, charts, graphs or other illustrations resulting from the research project.

6VAC35-170-220. Final report Research findings.

A. The department shall require the principal researcher external project lead to submit a formal final report to the coordinator of external research and may require up to 10 copies of the report.

B. The final report and all external articles, reports, presentations, and publications generated from the data and research shall contain, unless waived by the director or designee, be submitted electronically to the coordinator of external research no later than 30 days after the publication or presentation date and shall include the following statement:

"The findings of this study are the responsibility of the researchers, and cooperation by the Virginia Department of Juvenile Justice in facilitating this research should not be construed as an endorsement of the conclusions drawn by the researchers."

C. The director may waive the statement required in subsection B of this section, in which case applicable materials shall be submitted to the coordinator of external research at least 30 days before the anticipated submission date.

6VAC35-170-230. Written procedures Guidance.

A. The department shall establish written procedures regarding the process for obtaining the organizational unit head's endorsement for any external research proposal, as required in 6VAC35-170-100.

B. A. The department may establish written procedures provide guidance that outline additional requirements outlines processes for the submission, approval, and review of research projects and, data requests, and quality or process improvement projects authorized in this chapter. The written procedures also may identify additional data elements that the department deems to be sensitive data.

C. B. The department shall ensure that any written procedures guidance established pursuant to this chapter are is posted on the agency website.