GUIDELINES FOR RESEARCH REQUESTS AND AR1326.1

RESEARCHER DATA COLLECTION October 2014

  1. Introduction. According to Board policy 1326, the Board grants the Superintendent the authority to set out the standards and procedures for submitting and evaluating requests to conduct research in the WS/FCS or to receive data for research or other purposes and generally for implementing the requirements of this Policy. The definitions set out in Board policy 1326 apply herein.
  1. Overview. The Department of Research and Evaluation (“DRE”) acts on behalf of the Superintendent to review research proposed by external and board contracted researchers. These guidelines are meant to provide researchers with a clear understanding of the research encouraged within the Winston-Salem/Forsyth County Schools (“WS/FCS”) and procedures for submitting a research proposal for review. There is no right to access WS/FCS students, staff or data for research or other purposes. Access may be granted when determined to be in the best interests of the Board. If access is granted, Researcher may only access schools, students, staff and data relevant to the research as approved by the DRE.
  1. Criteria for Evaluating Research Proposals. Research proposals will be reviewed according to a quarterly review cycle only after an applicant has submitted all required information and documentation requested by the DRE. Studies judged as poorly designed or justified may be rejected by the committee. All research requests will be reviewed with emphasis on meeting the criteria listed below.
  1. Preventing the undue disruption of the educational process.
  2. Protecting the privacy of students and staff and ensuring compliance with state and federal law. The Federal Educational Rights and Privacy Act (FERPA) and Article 29 of Chapter 115C of the North Carolina General Statutes are based on the idea that information about an individual student is private and confidential and generally may only be accessed with parent consent. Board policy 5125 protects the confidentiality of student records consistent with state and federal law.
  3. Demonstrating educational value and/or advancing public education, particularly programs and learning within the WS/FCS.
  4. Manifesting a sound research methodology using valid and reliable techniques and the research capacity and experience to successfully complete the project.
  1. Types of Research. Research includes various evaluation, measurement and inquiry activities that include, but are not limited to: (1) the systematic investigation, including research development, testing and/or evaluation, designed to develop or contribute to general knowledge; (2) collecting and analyzing of information aimed at discovering new facts and their correct interpretation to draw conclusions; and (3) quantitative and qualitative study activities such as observations, interviews, case studies, ethnographic analysis, analysis of written materials, secondary analysis of data, achievement testing, surveys, experimental designs to examine causal relationships, product testing and analysis of cost and management records.
  1. Internal Research. Internal research involves board employees who plan to conduct research on how to improve Board services and programs within their area of supervision or contract as part of a work assignment or as part of their general job duties. Internal researchers must obtain the prior approval of their supervisor prior tocommencement of research activities. This explicitly excludes research towards a master’s thesis or dissertation. While research to improve Board services and programs does not require the approval of the DRE, student level data must be requested through a formal data request.
  1. Board Contracted Research. Research conducted by Board contractors in accordance with their contract with the Board or a memorandum of understanding with a WS/FCS department or school. All such contracts and MOUs must be properly approved according to Board Policy 3330. As part of the contract approval process, Board Contracted Researchers may also be required to submit a full proposal to the DRE if they propose to conduct research.
  1. External Research. External research includes (1) independent research conducted by individuals, organizations, or agencies not affiliated with the Board; (2) research conducted by Board employees for personal purposes outside of their work duties and/or work hours, (e.g. research for the completion of a master’s thesis or doctoral dissertation or for any other personal purposes); or (3) product research conducted by company or entity to study a product’s effectiveness for potential sale to the WS/FCS. External researchers must submit a full research proposal if they propose to conduct research.
  1. Research Review Process for External Research. The DRE will meet quarterly to evaluate all forms of requests (i.e. new proposals for research, resubmissions and continuing projects) to conduct research. Decisions resulting from the research review process will be emailed to the applicant of the request as well as appropriate WS/FCS staff after the monthly meetings. External researchers may not begin any research activities or obtain data for research purposes without first following the procedures outlined in this policy and securing the necessary approvals. In cases where the researcher’s institution requires district approval prior to IRB approval, the researcher must provide a written statement from the institution to that effect.
  1. Research Restrictions. The following are important restrictions to consider in designing research studies, selecting participating schools, and in determining recruitment and data collection procedures.
  1. There must be minimal interference with school instruction and operations and relationships between students, parents and school and district staff.
  1. Personal, social, psychological or medical research that may be in conflict with the rights of individuals or groups will not be approved.
  1. Researchers may not request data directly from schools or departments. All data requests must be submitted to central office (DRE) for handling.
  1. Researchers may not receive personally-identifiable student level data unless the Researcher also provides central office (DRE) with written evidence that the parent or student, as appropriate, has consented to the release of student records.
  1. Research conducted by a WS/FCS employee:
  2. Must occur outside of normal work requirements including for the completion of a master’s thesis or dissertation, and data collection cannot occur in the same school in which the employee has authority.
  3. May not include research on individuals known to the researcher. Researchers must use independent research subjects in their studies. For example, principals cannot collect data from staff in their schools because this would present a conflict of interest. Similarly, teachers cannot collect data from their current or former students.
  4. The DRE may place additional conditions on an external researcher as deemed necessary including but not limited to requirements related to insurance and criminal background checks.
  5. The DRE’s approval of an external research project may be withdrawn for any reason at any time.
  1. Research Proposal Requirements. All requests to conduct research within the WS/FCS must be submitted online by the final submission date each quarter in order to be reviewed at the following quarterly meeting. We strongly encourage submission of requests 60 days in advance of proposed research commencement. A list of quarterly meetings and the submission deadline for each is provided on the Department of Research and Evaluation’s website. The online WS/FCS application form and WS/FCS continuing review and modification application form can also be accessed through the Department of Research and Evaluation’s website. All research proposals must include the following:
  1. Executive Summary or Abstract. Synopsis of the proposed research including research purpose, individuals (i.e.: students, teachers, etc.) included in research and length of time data collection is to take place.
  1. Researcher Status and Title. Statement naming primary investigator, title and status (i.e.: student, professor, director, etc.) within institution or organization. WS/FCS employees must disclose employment status and position in this section.
  1. Research Question, Hypothesis and Methodology. A brief summary of the research questions to be addressed and a description of the hypothesis must be provided. Appropriate research methods must be used.
  1. Purpose of the Research and Literature Review/Justification of Research. A brief (1-2 pages) summary of literature supporting the proposed research must be provided.
  1. Description of the Direct Benefit to the WS/FCS and/or to the Profession. Clearly describe why research is valuable to the WS/FCS and how it would contribute to the profession of education.
  1. Description of Research Activities and School/Student/Staff Involvement. A thorough description of the research protocol including how data is to be collected and by whom, from whom will data be collected and any involvement that WS/FCS staff may have in the actual collection of data. Time needed to participate in each research activity must be detailed. This also includes a detailed description of who is to be recruited to participate and how recruitment will take place.
  1. Research Timeline. Timeline of research must include start and end date of all research activities and data collection. Researcher should also clearly outline the amount of time necessary to complete data collection. Research proposals should be submitted at least 60 days in advance of the start of data collection to allow for proposal review and revisions. Please note that if research activities exceed one year beyond date of proposal approval, an extension must be submitted using the Modified & Continuing Review Checklist (see Appendix C). Unless compelling extenuating circumstances exist, no external research shall take place in schools after March 31 of each calendar year.
  1. Evidence of Support within WS/FCS. A letter of support must be obtained from the appropriate central office administrator. The DRE has discretion as to which department(s) should provide a letter of support. The letter to the DRE must include the name of the researcher, statement of support and some indication of understanding what participation in the research study would entail, particularly of student and staff time. WS/FCS departments may withhold letters of support pending DRE review. If the researcher is unclear which department or office should provide a letter of support, please contact the DRE for guidance.
  1. Surveys and Other Instruments. Copies of any assessments administered to students must be provided for review. For online surveys, a listing of the items and a link to the online survey is required.
  1. Institutional Review Board Approval. If the research includes an intervention or interaction with a living person (i.e., student, teacher or parent) that would not occur but for the research, or if the researcher will obtain identifiable private data or information, then the researcher must get advance approval from an Institutional Review Board (IRB). Surveys, interviews, videotaped observations, questionnaires and reviews of student files are all interventions or interactions that would require IRB review. An IRB is generally associated with colleges or universities. The IRB evaluates whether the risk to the subjects of the research is reasonable in relation to the potential benefit [21 CFR 56.111(a)(2)] and, if the research is approved, will specify whether the researcher needs to obtain informed consent from the subjects of the research. The fact that an IRB has approved a proposal for research does not mean that the DRE must approve it. IRB approval only means that the proposed research design is in compliance with the federal regulations regarding human subject research. The DRE may determine that IRB-approved research does not warrant WS/FCS support for the reasons previously described. Researchers requesting student-level data must be affiliated with an IRB. Research that is exempted from IRB review must include a statement that the research is exempt from IRB review.
  1. Informed Parent Consent Forms. All external research surveys, assessments, analyses or evaluations require the prior written and active informed consent of a parent or legal guardian on behalf of a minor student before data collection commences. The parent consent form must be written in easily understood language and should provide the following information:
  2. Title of the study and identification of the researcher(s) conducting the study (e.g., doctoral candidate at Loyola University);
  3. The purpose(s) for collecting data (e.g., to learn about foreign language acquisition in primary school students);
  4. Description of what participants will be asked to do (e.g., complete a written survey, respond to a group interview with eight other students);
  5. Amount of time required of participants;
  6. Notice that participants will be audio- or videotaped (if applicable) with an explanation of how the recordings will be used and what happens to the tapes after the research is completed;
  7. Description of any individually-identifiable student data to which the researcher seeks access (e.g., test scores, attendance records, address and phone number) and how and when data will be destroyed. There must also be a separate yes/no check box referring to the release of student level data;
  8. Notice that all information will remain confidential;
  9. Notice that participation is entirely voluntary and participants may withdraw from the study at any time, without negative consequences;
  10. Notice of any reasonably foreseeable risks or benefits to the participant;
  11. A local or toll free telephone number of researcher(s), so that the parent or participant may call if there are questions or concerns;
  12. Space and lines for the student’s name and parent/guardian signature.
  13. There must be a check-off for either consent or refusal to participate and the parent signature must refer to “Yes, I agree to have my child participate” or “No, I do not give consent for my child to participate.” Active consent, i.e., signature approving participation, is required under the federal Protection of Human Subjects regulations. Passive consent, failure to object after notice, is not sufficient.
  14. If the consent form is longer than one page, a summary of what participants will be asked to do and/or the student level data to be requested from WS/FCS must appear immediately above the parent’s signature.
  15. The Protection of Pupil Rights Amendment (PPRA) passed under the No Child Left Behind Legislation requires that parents/guardians have access to the materials that will be used in school with their children. Therefore, researchers must have a plan to provide parents/guardians access to the surveys or materials that does not utilize WS/FCS staff or resources.
  1. Informed Student Consent Forms. If students will be required to sign a consent form, this form should include many of the elements described above and the text of the form should be at an appropriate reading level to ensure students understand their participation in the research project. A copy of the form must be provided.
  1. Informed Staff Consent Forms. A copy of a proposed staff consent form must be provided. Active informed consent forms must be signed by any WS/FCS staff asked to participate in research. Consent forms are to include all of the relevant elements described above.
  1. Special notes on consent forms:
  2. If there is the possibility that parents and/or students do not understand English, forms in appropriate alternative languages must be provided.
  3. The researcher must retain all consent forms, and must be prepared to make them available if a parent, teacher or school official questions a student's or staff member’s participation.
  4. To avoid any perceived coercion, the invitation to participate in research is to be printed on the researcher's stationery, and not on that of any office or school of the WS/FCS. Consent forms may not indicate WS/FCS support or approval of the research study.
  5. In some cases, a student who has reached age 18 and who is emancipated from his or her parents may provide informed consent on his or her own behalf.
  1. Notice of Approval or Limited Approval
  1. Approval. If a research proposal is approved, the DRE will issue a research approval letter to the Researcher. For Board Contracted Researchers, a fully-executed contract is evidence of approval. Approval of a research proposal is limited to the study scope and methods outlined in the proposal or Board contract. Researcher must provide a copy of the research approval letter or fully-executed contract to principals whose schools will be affected by the research project to notify them of project approval.
  1. Limited Approval. The DRE may give limited approval to researchers subject to further approval by the school principal(s) and research subject(s) that form the basis for the proposed study. A principal may place restrictions on an External Researcher’s access to students and staff to minimize disruption to school activities. If the DRE is giving limited approval, a limited approval letter will be issued notifying the Researcher of what further steps need to be taken before full approval is granted.
  1. Approval Non-Binding on School. Approval or limited approval of a research study (other than research studies conducted by the WS/FCS or authorized in contracts approved by the Board of Education) is not binding on a school. A principal of a school may refuse to participate in a research study or survey which in the opinion of the Principal will place undue burdens on the instructional or clerical time of the school’s students and/or staff.
  1. Completion of Study or Research. When the research study is completed, the Researcher must timely provide a copy of the final research results to the DRE. The Board reserves the right to use the information in the research report and research findings for educational programming or services, planning, solicitation of grants, staff development, and any other purposes to improve instruction or services to students of the Winston-Salem/Forsyth County Schools. These reports must be e-mailed in PDF format to or submitted by mail to the Department of Research and Evaluation, Post Office Box 2513, Winston-Salem, NC, 27102.
  1. Rejected Proposals. Proposals that are rejected by the DRE are deemed to have serious issues that likely cannot be addressed with a resubmitted proposal. Because of this, researchers whose proposals are rejected are not encouraged to resubmit their proposals. Should a researcher insist on resubmitting a proposal, s/he cannot do so for two review cycles.
  1. Fees. The DRE is authorized under Board policy 1326, Research Study and Data Policy, to establish reasonable fees to charge researchers a processing fee for the review and evaluation of proposals and for the compilation of requested data.
  1. Rationale for Charging Fees. The WS/FCS makes available to the general public aggregate data on many test scores and metrics, and will also provide information as required by North Carolina public records law and the Freedom of Information Act. Requests for additional aggregate or student-level data often require an investment of staff time to define the parameters of the request and to write computer programs to pull the requested data. The WS/FCS receives multiple such requests each year. The Board is interested in facilitating new knowledge acquisition through educational research, but also must balance this interest with compliance with federal and state laws as well as ensuring the research will cause minimal disruption to the school environment. In order to help alleviate the financial burden that these activities (reviewing and responding to research proposals and data requests)create,reasonable fees will be charged.
  1. Research Request Processing Fee. Effective November 1, 2014,a $25.00 processing fee will be charged for each research proposal application that is submitted. Applications will not be reviewed until the processing fee is paid. If the DRE requests that the proposal be resubmitted with revisions, no new fee will be assessed upon resubmission. However, if the DRE rejects a proposal and the researcher submits the rejected proposal again, then the researcher will be assessed a new processing fee. The processing fee will be waived for WS/FCS employees who agree to provide a summary of their findings to the DRE.
  1. Fee for Data Requests. Upon receipt of the formal data request and processing fee (if the request is related to research), a staff member will contact the requestor and discuss the details of the request. During this process, the DRE will generate an estimate of the number of staff hours and the total cost of filling the request. Staff time is billed at $35 per hour. Data requests may take as few as two hours to as many as eighty hours to fill, depending on the scope and complexity of the task. During this process, the WS/FCS and the requestor will also agree upon a timeline for filling the request.
  1. Expedited Data Requests. Generally, data requests can be filled in four to six weeks depending on the current workload of WS/FCS staff. Expedited requests are subject to an additional fee and are not always possible. The fee is charged at WS/FCS staff’s time-and-a-half rate (i.e., $52.50/hr). The average turnaround time for an expedited request would be 2 weeks, subject to approval of request for expedited handling and the size of the request.

Adopted:October 2014