Research with Schools

If you are planning to conduct research in K–12 schools, additional requirements apply. K–12 schools are autonomous institutions and retain the right to approve or reject any human subjects research conducted on their campus, in their facilities, or involving their teachers, staff, or students.

The SMU IRB requires researchers to obtain and submit written documentation of permission from an appropriate school administrator or the relevant school district before initiating any research activities in a school setting.

School Permission Requirements for Human Subjects Research

Each site may have different procedures for approving external research and different individuals who can grant permission for the research (e.g., a superintendent, principal, or review committee). As the Principal Investigator, you are responsible for contacting each school or district to obtain this permission and meet the requirements at each site. If review by a separate committee is required, you will need to plan additional time for this approval process as well as IRB review. Since some committees meet infrequently, it is especially important that you plan accordingly.

The SMU IRB requires documentation that the schools involved in the project support the research, such as a letter of support from the appropriate authority at each school or district.

Letters of support should include the following information:

  • Study title
  • A scope of the research and/or activities to be conducted at the site
  • Person or entity providing permission (including title, contact information, and confirmation of appropriate authority to provide permission)

All documentation of permission must:

  • Be attached to the Cayuse Human Ethics IRB application
  • Be reviewed and approved by the IRB
  • Be approved before any research activities begin

Researchers are responsible for contacting the relevant school district to determine who has authority to grant permission.  Depending on the district, approval may be required from:

  • The district superintendent
  • A school principal
  • An internal research review committee

For example, the Dallas Independent School District (ISD) requires research requests to be approved by its Research Review Board (RRB).

Final IRB approval to conduct research in a preschool, daycare, or K-12 school will not be granted until documentation of school permission has been received and approved by the IRB.

If a school requires IRB approval before granting its own permission, researchers may request a conditional approval letter from the IRB stating that final approval is contingent upon receipt of school permission.

Documentation of Permission

Researchers may submit either:

  • A signed letter of permission from a school administrator, or
  • An email from a school administrator authorized to grant permission

Option 1:  Signed Letter

Letters must:

  • Be printed on official school or district letterhead
  • Include the name(s) of the researcher(s), including the Principal Investigator
  • State that the administrator understands the scope and duration of the study
  • Include the administrator’s signature, printed name, title, and contact information.

When describing your research methodology:

Clearly distinguish activities that fall outside normal classroom instruction.

  • If the study involves an activity intended for the entire class, provide alternative activities for:
    • Children who do not assent
    • Children whose parents do not provide consent

Option 2:  Email Permission

Email permission must:

  • Be sent directly from the authorized administrator
  • Come from an email address verifiable on the school’s official website
  • Include the administrator’s email signature (name, title, contact information)
  • Include the name(s) of the researcher(s), including the Principal Investigator
  • Confirm that the administrator understands the scope and duration of the study, or document that the full scope and duration were explained in a prior email

The email should be sent to the researcher so a copy can be attached to the Cayuse Human Ethics IRB Application.

Parent Consent and Child Assent

Parents or legal guardians must provide parental permission (i.e., consent) for their children who are under the age of 18 to take part in research studies at school. As part of the SMU IRB Application, investigators are required to attach a copy of the parental permission form that will be used for obtaining consent for student participants and include a detailed plan outlining how the forms will be distributed, collected and managed to confirm proper consent has been achieved.  When appropriate, children under the age of 18 should also provide assent.  For students who are 18 years of age or older, parental permission is not required but a separate informed consent document must be used these potential participants.  All consent documents, including assents, must be submitted to the SMU IRB for review and approval.

Please refer to the following:

Guidance & Procedure: Child Assent and Permission by Parents or Guardians

Other important items to keep in mind:

  • If teachers/school staff are engaged in human research for studies that do not qualify for exemption (involved in administering consent, conducting study interventions, etc.), they must complete human subjects training, and be listed in the IRB application. If SMU IRB will be serving as their reviewing IRB, an individual investigator agreement may be required. For assistance with such agreements contact researchcompliance@smu.edu.
  • Some schools require research personnel to undergo background checks. If required, you are responsible for completing any background checks prior to starting your research.
  • Many school districts will not allow research activities to take place during normal class time.
  • Many schools place limitations on the use of video or audio recording in classrooms. The school will want to see your video/audio recording procedure, and the IRB requires that it is included as part of your description of the scope of research to potential sites.
  • Parental consent is required for minors to be included as research subjects. You must provide an appropriate method to obtain consent from parents (i.e., send the study information and consent forms to parents for review, etc.). You will also need to plan for a method of collecting the forms from the parents, without engaging staff. You will need to describe these processes in your protocol or application.
  • Minor assent is also required prior to including minors as research subjects. Once parental consent has been obtained, their child(ren) can be asked to provide assent. The assent process should be similar to the consent process. Assent documents should be appropriate for the subject population (reading level, assent procedures, etc.).

For more information, refer to the Topic Based Guidance Library for resources on:

  • FERPA
  • PPRA
  • Using Children in Research,
  • Obtaining Assent and Parental Permission
  • Letters of Support/Approval

Obtaining Data from a School

Obtaining data from schools for research often requires navigating a complex landscape of regulations and permissions. Researchers must prioritize student privacy and data security while adhering to ethical guidelines and legal frameworks. Key considerations include obtaining informed consent, adhering to FERPA (Family Educational Rights and Privacy Act) and IRB (Institutional Review Board) approval, and ensuring data is anonymized or de-identified when appropriate.

Steps for Obtaining Data from Schools:

  •  

    IRB Approval: Secure approval from the SMU Institutional Review Board (IRB) before collecting any data. The IRB will require that adequate information is provided in the IRB application that outlines what data will be obtained, how permission will be authorized and a clear plan on how the information will be managed and stored securely. This ensures the research is ethical and protects the rights of participants. 

  • School District/Institutional Approval: Contact the school district(s) or individual school(s) to request permission to access data. This often involves submitting a research proposal and adhering to their specific procedures. 

     

    Data Collection Methods:

    • Existing Data: Utilize publicly available datasets like those from Data.gov or IPEDS (Integrated Postsecondary Education Data System). 
    • Surveys and Questionnaires: Design and administer surveys or questionnaires to gather data from students, teachers, or parents. 
    • Interviews: Conduct individual or group interviews to gather qualitative data and gain deeper insights. 
    • Observations: Observe classroom activities, school events, or student interactions to collect data on behaviors and interactions. 
    • Tests and Assessments: Utilize existing standardized tests or create custom assessments to measure student learning and performance. 

    Data Management and Security:

    • Anonymization/De-identification: Protect student privacy by anonymizing or de-identifying data as much as possible. This may involve removing or encrypting personally identifiable information. 
    • Secure Storage: Store data securely in a manner that prevents unauthorized access or disclosure. Utilize secure databases or encrypted storage. 
    • Limited Access: Restrict access to the data to authorized personnel only.
    • School District/Institutional Approval: Contact the school district(s) or individual school(s) to request permission to access data. This often involves submitting a research proposal and adhering to their specific procedures. 
    • Consent from Participants: If the research involves direct interaction with students or teachers, obtain informed consent from participants, or assent from students, ensuring they understand the purpose of the research, how their data will be used, and their right to withdraw. 

Ethical Considerations:

  • Minimize Harm: Ensure the research does not cause any harm to students, teachers, or the school community. 
  • Respect Privacy: Treat all data with respect and protect the privacy of individuals. 
  • Transparency: Be transparent about the research purpose, data collection methods, and how the data will be used. 

Data Analysis and Reporting:

  • Use appropriate statistical methods: to analyze the data and draw meaningful conclusions. 
  • Report findings accurately and ethically, avoiding any misrepresentation or distortion of the data.