Research and Survey Application Manual

Research and Survey Application Manual Updated: October 18, 2016

Table of Contents INTRODUCTION... 1 APPLICATIONS FOR RESEARCH APPLICATION REQUIREMENTS... 2 FEE STRUCTURE... 4 DATA... 4 ROLE OF RESEARCH REVIEW COMMITTEE... 4 TIMELINE... 5 GUIDELINES FOR CONDUCTING RESEARCH... 6 RESEARCH REQUIRING APPROVAL... 6 RESEARCH THAT WILL NOT BE REVIEWED... 6 OTHER DATA SOURCES... 7 DECISION OF THE RESEARCH REVIEW COMMITTEE... 7 WHEN RESEARCH CAN BEGIN... 7 AUDIO-OR VIDEO-TAPING... 7 CONSENT, ASSENT, AND NOTIFICATION LETTERS... 8 LETTER OF SUPPORT... 8 FEEDBACK TO THE DISTRICT... 9 CHANGES TO RESEARCH PROTOCOL... 9 APPLICATIONS FOR SURVEYS APPLICATION REQUIREMENTS... 10 DATA... 11 CONSENT, ASSENT, AND NOTIFICATION LETTERS... 11 FEEDBACK TO THE DISTRICT... 12 If you have any questions not outlined in this manual or would like to discuss your application prior to submission, please contact: Amy Nelson Christensen, PhD Division of Research & Evaluation Milwaukee Public Schools 5225 W. Vliet St. Milwaukee, WI 53208 (414) 475-8968 nelsona3@milwaukee.k12.wi.us Main Office Division of Research & Evaluation Milwaukee Public Schools 5225 W. Vliet St. Milwaukee, WI 53208 (414) 475-8520 mpsresearch@milwaukee.k12.wi.us

Introduction Thank you for your interest in conducting research and surveys with Milwaukee Public Schools (MPS). This manual serves as a guide to assist 1 with the MPS application process for conducting research or surveys, which is overseen by the Division of Research and Evaluation (R & E). R&E currently uses two separate procedures for reviewing applications depending on whether the application is for a research or survey project. Applications for research are reviewed by a committee of R&E and other MPS staff, while applications for surveys are reviewed by R&E staff. As such, this manual is divided in two sections: Applications for Research and Applications for Surveys. MPS and R & E ask that your work align with the district s mission and vision statements, while ultimately leading to improved student outcomes for all MPS students. Mission Statement Milwaukee Public Schools is a diverse district that welcomes all students, preparing them for success in higher education, post-educational opportunities, work, and citizenship. Vision Statement Milwaukee Public Schools will be among the highest student growth school systems in the country. All district staff will be committed to providing an educational environment that is child-centered, supports achievement, and respects diversity. Schools will be safe, welcoming, well-maintained and accessible community centers meeting the needs of all. Relevant, rigorous and successful instructional programs will be recognized and replicated. The district and its schools will collaborate with students, families and community for the benefit of all. 1 For the purposes of this document, an internal researcher is someone who is a current employee of MPS or who is employed full-time at an MPS school, which includes schools classified as traditional, year-round, International Baccalaureate, Instrumentality Charter, non-instrumentality Charter, Behavioral Reassignment, and/or Partnership. 1

APPLICATIONS FOR RESEARCH Application Requirements In order for an application to be considered for approval, applicants must complete the online application. The link to the application is available on the Conducting Research and Surveys in MPS webpage, under Resources in the right column. While the application does not allow for the applicant to save his/her work, your place in the application should be saved as long as the applicant returns to the same computer and browser. A progress bar will indicate how complete the application is. All documents that are uploaded must include the applicant s last name and page number. All required documents must be submitted at the time of the online submission. The online application may include the following: 1. Personal Information a. Contact information of researcher and affiliation 2. Details on Research a. Title of the study b. Abstract (maximum 1,000 characters) c. Contribution to literature 2 (maximum 1,500 characters) d. Proposed start and end dates e. Purpose of study (maximum 1,000 characters) f. Research questions (maximum 1,000 characters) g. Methodology (maximum 1,500 characters) h. Data collection procedures (maximum 1,500 characters) i. Implications or benefits to MPS i. Statement outlining how this study supports or aligns with MPS mission, strategic plan or existing district initiatives j. Expectations of participants (if applicable), including: i. Who, when, how many, site(s), etc. ii. Amount of time participants can anticipate with the project iii. What tasks participants are expected to complete, etc. iv. Any form of compensation 3 2 The contribution to literature is a shortened version of a literature review. The contribution to literature provides the committee with additional details and background information regarding your project, and it also allows the committee to see how the project aligns with previous research. 3 Researchers are prohibiting from offering or providing compensation, in any form, to students for participation in a study. Compensation, in this context, includes gift cards and money. To compensate students with a free item or other tangible item, approval must be granted by the Director of Research and Evaluation. MPS staff may be compensated for participation if said compensation complies with the District s policies; including, but not limited to: the compensation must take the form of incentives for actual participation as opposed to a gift or gratuity, (Admin. Policy 6.04(2) (a)); work 2

v. How participants will be identified and recruited for participation, how initial contact will be done, and whether a form of compensation will be used k. Data elements (if applicable) i. Population from whom data are requested ii. List of data elements iii. Timeframe of data request (e.g., school years) iv. Rationale for why the specific data elements are needed v. Data security plan (maximum 500 characters): 1. Computer security 2. Physical handling and storage of data 3. Transportation of data 4. Destruction of or return of data upon completion of the study vi. Statement that costs incurred by MPS in extracting the data will be paid for by the researcher l. All associated documents in support of the research design i. IRB approval letter from university or equivalent 4 ii. Letter of support/approval 5 iii. Consent/assent letters 1. If the researcher is proposing to use passive consent, a rationale as to why must be included 2. If the researcher plans to utilize students and/or families where English is the second language, consent and assent forms must be translated into the appropriate language. It is recommended that letters be translated once the research has been approved 3. Information letters to school staff, parents, students, etc. iv. Copies of data collection instruments, including (but not limited to): 1. Survey instruments 2. Interview questions 3. Focus group questions 4. Observational protocol 5. Assessment instruments 3. Plan for reporting results, including the audience(s) 4. Each individual on the research team that will be analyzing or having access to this data must sign the Statement of Non-Disclosure to Release Confidential Information. 5. Names and titles of (if applicable): a. Officials with authority to bind the requesting organization to the data agreement b. Officials in charge of the day-to-day operations involving the use and handling of the data performed must be provided on the employee s own time without the use of District resources, (6.04(3) (a)); and the participation cannot be inconsistent with the employee s duties to the District, (6.05(1)). 4 IRB approval may be waived in select circumstances. Please contact Research and Evaluation for additional information if you feel that IRB can be waived. 5 Beginning in February 2015, a letter of support or approval will be required of all applicants. 3

c. Professional and/or support staff who will have access to and/or be conducting the analysis of the data. 6. Upon receipt and approval of a Research Application requesting personally identifiable extant data, MPS will provide the researcher with an Agreement to Release Confidential Information (also known as the Part II Agreement ). Both the researcher and MPS must dually sign this Agreement before any of the requested data will be released. Fee Structure Application Fee Application fees will be required for all applicants starting February 16, 2014. Internal applicants, who are either employees of the district or work at one of the district s schools, must pay $25 with the submission of an application. External applicants, who are defined for this purpose as any non-internal applicant, must pay $100 with the submission of an application. The application fee is waived when the evaluation or research is funded by an MPS grant 6 or is part of a contractual agreement with MPS. Payment must be submitted prior to the application due date, and appropriate payment types include checks, money orders, or cash. Checks or money orders may be made out to Milwaukee Public Schools and sent to the address listed under contact information. Data Extract Fee 7 Data extraction costs will be billed to the applicant upon completion of the extract at the rate of $80 per hour. There is a minimum one hour charge for all data extracts. When requested, an estimate as to the cost of the data extract can be provided. Data Data must be stored on a secure, password-protected computer. Researchers who have access to identified data must have their computer(s) encrypted. Data will be transferred from MPS to the researcher via a secure file transfer protocol. Unless required by a grant or for some other extraneous reason, all data must be destroyed or returned to MPS within one year of completion of the study. Role of Research Review Committee The Research Review Committee is NOT an Institutional Review Board. The role of the Research Review Committee is to review applications to ensure that they meet the criteria outlined in MPS Administrative Policy 2.15 and 6.31. 6 MPS must be the fiscal agent of the grant in order for the application fee to be waived. 7 If the data can be readily accessed by the internal applicant as part of his or her normal job functions, there is no charge or need to submit for a data extract. 4

All applications are reviewed by the Committee, which is comprised of staff from R&E, the Chief Academic Office, and other departments as necessary. The Committee serves as the decision-making body and issues final written approval or denial of a research application. Determinations are made by placing applications in to one of three categories: Approved, Needs Revisions or Clarifications, or Denied. Approved Needs Revisions or Clarifications Denied Approved projects are those that align with Board policies, including appropriate methodology, alignment with district goals and strategies, and has district-level administrator support. Projects that require significant revisions in methods, procedures, or other important components, are given the designation of Needs Revisions or Clarifications. Research and Evaluation also agrees to work with applicants when revisions or clarifications are needed, in order for the applicant to receive approval. If a project does not align with the district goals and strategies, does not have district-level administrator support, does not have approval from an Institutional Review Board prior to the date of review, is missing significant documents (e.g. consent forms), or has significant flaws in the proposed methods or procedure, the project will be Denied. The criteria for each category is based on how the proposed project meets the expectations of Board policies (i.e. 2.15 and 6.31). Please note that even if the Research Review Committee approves a project, the school principal (if applicable) may decline to have his or her school participate, and all staff and students have the option to decline to participate. Timeline The review schedule for the 2016-17 school year is: Due Date Review Date 8 September 2, 2016 September 16, 2016 October 7, 2016 October 21, 2016 November 4, 2016 November 18, 2016 December 2, 2016 December 16, 2016 January 6, 2017 January 20, 2017 February 3, 2017 February 17, 2017 March 3, 2017 March 17, 2017 April 7, 2017 April 21, 2017 May 5, 2017 May 19, 2017 8 Review dates are tentative and may change depending on schedules of participating staff. 5

Applications are only accepted on the dates listed. Please note that applications will not be reviewed if the application fee is not received by the review date. Guidelines for Conducting Research Guidelines for conducting research projects in the district are as follows: 1. The project must have the potential to make a significant contribution to MPS and/or to the field of education. 2. The project must minimize disruption to teaching time and instructional learning time. 3. There must be reasonable proof that no student will suffer educationally as a result of the research. 4. The project must comply with all federal laws, state laws, and MPS Board Policies and Procedures. Particular attention will be paid to the protection of student education records under the Family Educational Rights and Privacy Act (FERPA). 5. All required documents (see Research Application Requirements) must be submitted by the appropriate due date. Priority will be given to: 1. Research and evaluation work that is requested by the district. 2. Research and evaluation work that is a component of a grant, where MPS is the lead fiscal agent or a partner. 3. Research and evaluation work that aligns directly with the district s Research Agenda. Research Requiring Approval Approval must be given by the Research Review Committee prior to beginning any research project that involves district staff, students, and facilities in: The recruitment of students or staff to participate in any research or evaluation project; The collection of data from students, parents, teachers, school staff, and/or district staff; The implementation of a new program or curriculum that will be evaluated; Observations, surveys, focus groups, interviews, evaluations, or other types of research; and The release of private data from district records. Any request for data must be affiliated with a previously approved application or be accompanied by a research application. Applications will be accepted for a degree requirement (Master s, Ph.D. or equivalent) and/or personal research study. Research that will not be Reviewed 9 9 If a researcher feels that his or her work, which is listed as a type that will not be reviewed, should be included in the review process, please contact the Director of Research and Evaluation. 6

Applications will not be accepted for the following types of research studies: Research that is for a class project 10 ; and The distribution of flyers or posters for the purposes of recruitment 11. Other Data Sources Data that is publically available (e.g., on the websites of MPS 12 or Wisconsin Department of Public Instruction 13 ) do not require a research application. Decision of the Research Review Committee The Research Review Committee may approve, deny, or table an application. All applicants will be notified via email as to the committee s decision. If an application is approved, the project may begin, including recruitment of participations and/or data collection. If an application is denied, you may submit an updated application for the next review period. Submitting the updated application guarantees that the application will be reviewed at the next review meeting, but it does not guarantee that it will be approved. If an application is tabled, the letter will contain details as to the changes that need to be made to the application in order to gain approval and when these changes can be submitted. When Research Can Begin No research activities may begin, including recruitment of participants, obtaining consent from any participants, or obtaining consent from the school principal, until written approval has been granted by the Research Review Committee. If the external researcher will be interacting with MPS students, the researcher must also complete a background check prior to data collection. The researcher will be notified by Research and Evaluation personnel if a background check is required. Audio-or Video-Taping 10 While MPS fully supports the local academic community, MPS lacks the resources necessary to support class assignments. 11 The district does not allow researchers to post or hang information in any district buildings in order for the researcher to recruit students or staff to participate in a research study. 12 http://mps.milwaukee.k12.wi.us/en/home.htm 13 http://wisedash.dpi.wi.gov/dashboard/portalhome.jsp 7

For researchers who are interested in audio- or video-taping participants, a reasonable case must be made to indicate why taping is important to the research and how the taping will improve educational outcomes for students. Any research using audio- or video-taping must include active consent. Parents/guardians must be informed that they have the option to have their child audio- or video-taped, and that if they decline, the student will still participate in class but will not be included in the taping process. The process as to how nonconsenting students will be protected from the taping must be included. When audio- or video-taping, the consent form must include the following: The purpose of the taping How the taping will be used How long the tape will be kept When and how the tape will be destroyed Who will have access to the tape Consent, Assent, and Notification Letters Separate consent/assent letters must be submitted for each group that the researcher is targeting (parents, students, staff, etc.). All expenses associated with receiving consent/assent are at the obligation of the researcher. Templates for both consent and assent letters are available on the Conducting Research in MPS webpage 14. Any student who is over the age of 18 can give his or her written consent to participate. Any student in grade 6 or higher must also give assent to participate. Any student in grade 5 or lower can have his or her parent provide written consent. However, any student who expresses a refusal to participate must have the statement honored by the researcher. The researcher must provide a clear and detailed plan as to how he or she will account for parents or students who do not give consent to participate. Notification letters to parents/guardians may be utilized in lieu of consent/assent when research is being conducted in the classroom. Notification letters are associated with minimally intrusive research focused solely on the teacher without any student observations or data being collected. Staff consent would still be required. Notification letters would inform the parent/guardian the reason for the research and what will be occurring in the classroom. The letter must also contain contact information of the researcher, who must be available to answer any questions of the parents/guardians. Letter of Support 14 http://mps.milwaukee.k12.wi.us/en/district/initiatives/research-development/conducting-research-in-mps.htm 8

A letter of support demonstrates that the research or evaluation project is something that the district is interested in and supports. For employees of Milwaukee Public Schools who are conducting action research projects using their own classrooms, this letter would be written by your school principal. For employees of Milwaukee Public Schools NOT conducting an action research project or anyone outside of the district, your letter of support should be written by a current employee of Milwaukee Public Schools who works at Central Office. Preferably, this letter will be drafted by an individual at the manager level or higher. Feedback to the District The researcher must provide a copy of the final report to the Department of Research and Evaluation within three months of completion of the study. For studies that last more than one year, researchers must submit an interim or progress report no more than two months after the end of each year of the study. Progress reports should not be more than five pages in length. Final and progress reports are to be submitted via email to Research and Evaluation. If the researcher is planning on presenting or publishing results, a copy of the presentation or publication must be submitted to Research and Evaluation with a minimum of 30 days notice for review of the presentation or publication. Failure to submit an interim report will place the project at-risk for continuation. Failure to submit a final report and/or presentation or publication (if applicable) may jeopardize approval of future research applications. Changes to Research Protocol If a researcher plans to make changes to a previously approved research application, the researcher must submit a research addendum. Research addendums will be reviewed within 30 days of submittal, and the researcher will be notified if the proposed changes have been approved. 9

APPLICATIONS FOR SURVEYS Application Requirements In order for an application to be considered for approval, applicants must complete the online application. The link to the application is available on the Conducting Research and Surveys in MPS webpage, under Resources in the right column. While the application does not allow for the applicant to save his/her work, your place in the application should be saved as long as the applicant returns to the same computer and browser. A progress bar will indicate how complete the application is. All documents that are uploaded must include the applicant s last name and page number. All required documents must be submitted at the time of the online submission. The online application may include the following: 1. Personal Information a. Contact information of applicant and affiliation 2. Details on the Survey a. Survey Title b. Summary of the Project (maximum 1,000 characters) c. Proposed start and end dates d. Survey Implementation Procedure i. How will participants be recruited? ii. How will initial contact be made? iii. Once consent is obtained, how will participants complete the survey? iv. How much time is needed to complete the survey? v. How will results be disseminated? 1. Include the audience for any reports explaining any analyses or results of the survey e. Consent and Assent forms and Informational Letters i. If the applicant is proposing to use passive consent, a rationale as to why must be included ii. If the applicant plans to utilize students and/or families where English is the second language, consent and assent forms must be translated into the appropriate language. It is recommended that letters be translated once the survey has been approved iii. Information letters to school staff, parents, students, etc. f. Implications or benefits to MPS i. Statement outlining how this study supports or aligns with MPS mission, strategic plan or existing district initiatives g. Data security plan (maximum 500 characters): 1. Computer security 10

2. Physical handling and storage of data 3. Transportation of data 4. Destruction of or return of data upon completion of the study ii. Statement that costs incurred by MPS in extracting the data will be paid for by the researcher h. Implications or Benefits to MPS i. All associated documents in support of the survey i. Non-disclosure agreement forms for all team members working with the applicant who would have access to survey data ii. MPS contract iii. Other documents, such as a logic model Timeline for Reviewing Surveys Any individual or organization interested in conducting a survey with MPS must submit an application. Applications for surveys will be reviewed by R&E staff. Applicants should allow 4-6 weeks for review of their application. R&E reserves the right to approve, deny, or request changes in any survey application. R&E also reserves the right to request a survey applicant to complete a research application if that is deemed more appropriate due to the extent of the survey project. Please note that even if R&E approves a survey, the school principal (if applicable) may decline to have his or her school participate, and all staff and students have the option to decline to participate. Data Data collected from surveys must be stored on a secure, password-protected computer. Unless required by a grant or for some other extraneous reason, all data must be destroyed or returned to MPS within one year of completion of the project. Consent, Assent, and Notification Letters Separate consent/assent letters must be submitted for each group that the applicant is targeting (parents, students, staff, etc.). All expenses associated with receiving consent/assent are at the obligation of the applicant. Templates for both consent and assent letters are available on the Conducting Research and Surveys in MPS webpage 15. Any student who is over the age of 18 can give his or her written consent to participate. Any student in grade 6 or higher must also give assent to participate. Any student in grade 5 or lower can have his or her parent provide written consent. However, any student who expresses a refusal to participate must have the statement honored by the applicant. 15 http://mps.milwaukee.k12.wi.us/en/district/initiatives/research-development/conducting-research-in-mps.htm 11

The applicant must provide a clear and detailed plan as to how he or she will account for parents or students who do not give consent to participate. Notification letters to parents/guardians may be utilized in lieu of consent/assent when a survey is being conducted in the classroom. Notification letters are associated with minimally intrusive projects focused solely on the teacher without any student observations or data being collected. Staff consent would still be required. Notification letters would inform the parent/guardian the reason for the survey and what will be occurring in the classroom. The letter must also contain contact information of the applicant, who must be available to answer any questions of the parents/guardians. Feedback to the District If the applicant plans to disseminate the results from the survey, he or she must provide a copy of the final report to R&E within three months of completion of the project. If the applicant is planning on presenting or publishing results, a copy of the presentation or publication must be submitted to R&E with a minimum of 30 days notice for review of the presentation or publication. Failure to submit any dissemination of results will place the project at-risk for continuation and may jeopardize approval of future applications. 12