Research in K-12 Educational Settings
A significant amount of the research undertaken at UNI happens in educational settings. In research, a bedrock principle is that all potential participants, including those of any age with less maturity or functional competency, be informed to the best of their understanding about the study and be allowed to make their own decisions about whether or not they wish to participate. This principle, based on a foundation of respect and dignity for all persons, extends to the parents or guardians of those who are the subjects of the research.
Research studies in educational settings can take various forms, depending on the research purpose and the participant type. In addition to the general guidance provided in this section, please take note of the special considerations concerning:
- Action Research by Graduate Students in K-12 Classrooms
- Addressing Recruitment and Undue Influence
- Scholarship of Teaching and Learning Studies
Action Research by Graduate Students in K-12 Classrooms
If you are a Graduate Student conducting K-12 action research in your own classroom, your study may qualify to complete an abbreviated IRB application for research involving normal educational practices.
"Normal educational activities" are those that are the same or very similar to those already undertaken by that instructor. If the experimental activities involve unusual or completely new teaching methods or topics, socio-behavioral interventions, or other activities that would not typically occur in the classroom (e.g., interviews), then the project does not qualify for the K-12 Action Research activity and the "Standard Application" must be completed. The IRB has determined that third party recruitment procedures are not required for K-12 "action research."
Studies Considered Normal Educational Practice
- Assessment of student attitudes about learning
- Evaluation of instructional methods for an online course
- Comparison among instructional techniques
- Development and testing of a math curriculum that meets state standards, but is presented in a new way
Studies NOT Considered Normal Educational Practice
- A pre and post-intervention survey about a students mental health or home environment
- Implementing a curriculum that has not been tested or is inconsistent with a required curriculum
- Studies that collect privileged information such as socio-economic status and social-behavioral interventions
- Interviewing or surveying students about their mental health
Parent Permission in Classroom Studies involving Normal Activities
- In minimal risk studies involving normal educational practice, the IRB may approve parental notification procedures with an opt-out process, rather than parental permission. Investigators must follow all school policies regarding parental notification and permission.
- Use of Parental Notification ("passive permission or "opt-out") will be considered on a case-by-case basis by the IRB for minimal risk studies. The notification process must be in alignment with school policies and directives.
- Parental Written Permission is required if data to be collected involves the student's educational record - in accordance with the Family Educational Rights and Privacy Act (FERPA)
Child Assent in Classroom Studies involving Normal Activities
- In minimal risk studies involving normal educational practice, the IRB may waive the requirement for assent for children up to 6th grade.
- With older adolescents, the assent form should be as detailed as the parental permission form and use every day language that students will understand.
- In some cases, it may be advisable and convenient for the parental permission form and child assent form to be combined into one document.
- Sample assent, parental permission, and consent forms are available at IRB Forms and Samples. These are template forms with example language. It is the responsibility of the Investigator to modify these forms as they pertain to your study.
Audio and Video Recording
- When audio and video recording, researchers should obtain parental permission and consult school policy and procedure for this purpose.
- When permission is not given for recordings, those children should not be in view, or their images should be obscured on the recording.
Letters of Cooperation
- A signed Letter of Cooperation (LOC) must be included with your IRB application in order for the study to be considered. Please refer to the letter of cooperation guidance and make sure you have included all required elements.
FERPA
- If your study includes the use of an educational record then you must have written permission from the parent or, student who is 18 or older.
- Examples include: use of identifiable student grades or test scores; use of identifiable student writing; identifiable audio or video recordings.
Resources to Complete your K-12 Application
Addressing Recruitment and Undue Influence
A common issue that arises in educational research is the possibility of undue influence on the decision to participate. In order for assent, consent, and parental permission to be fully informed and voluntary, potential participants must perceive that they are free to decide either way to participate in a study.
When there is a power differential, such as when teachers are conducting research in their own classrooms, the potential for undue influence exists. Undue influence can occur even when the teacher does not exert overt pressure and/or imply that lack of consent will lead to negative consequences. This is because undue influence is based in the perception of the students and parents, not the intentions of the researcher. If the student or parents worry that they need to please the teacher in order to maintain a good relationship with the person who has the power to assign grades, etc., undue influence has occurred without the teacher intending for that to be the case.
Below are approaches to mitigate the potential for undue influence in education studies. These approaches should be considered and incorporated in to your protocol, as applicable:
Test new teaching methods in classrooms other than one's own or use a third party to recruit. A research design that involves more than one classroom with other teachers is a stronger design that produces more valid results in any case. When that is not possible, another strategy is to have a third party conduct recruitment (issue the invitations to participate).
When using third party recruitment, another teacher, secretary, or any other adult can follow a script to inform the students about the study, and collect the assent and permission forms. The assent and parental permission forms can be sent home with the children and returned to the third party, with or without a cover letter from the teacher-researcher.
The teacher-researcher could present the study to the children and/or parents at a meeting, and ask that they return permission forms to the third party (e.g., to the school office).
If the permission form includes both a "yes" and a "no" option, then reminders can be conveyed to the students and parents to return the forms, and rewards can be offered for doing so. (If the form is only to be returned if the student is planning to participate, then reminders must be limited in order to avoid undue influence, and rewards would be inappropriate.)
Since third parties are not typically as invested in making sure the forms come back as the researcher is (e.g., school secretaries are very busy people), a combined form with both parent and child signatures that has both "yes" and "no" check boxes, including the use of reminders, can often be the most effective procedure for obtaining a sufficient sample of participants.
When indirect recruitment is necessary to avoid undue influence, additional measures are typically needed to ensure the teacher-researcher will not know who participates until the end of the course and grades are in. A useful procedure in this circumstance is to proceed with the experimental activities with all students in the class (provided they are normal classroom activities for the teacher-researcher), including recording of scores and collection of common artifacts to assess their effectiveness. Then at the end of the semester, the third party can turn over the assent/permission forms to the teacher-researcher, and they can analyze and write up the results, using only the data and information from the students with permission.
When the project has time pressures, such as when the teacher-researcher is conducting the research for a graduate research project, thesis, or dissertation, the faculty advisor may be the person who serves as the third party who receives the permission forms and data from the class. Assent and/or permission forms are collected in a sealed envelope and transferred to the advisor, as well as data for all of the students. The advisor then deletes the data for those who do not have permission, and provides the de-identified dataset back to the researcher. Another option is to have the third party (advisor or otherwise) select a subsample of the students who have permission to study or interview, and the researcher thus remains unaware of which parents/students declined.
When the project has time pressures and the research design requires that the teacher-researcher know who the participants are, the IRB will work with the researcher to develop the best procedures and/or texts for minimizing undue influence. The goal is to reduce the likelihood of undue influence as much as possible and then fully inform the students and parents of the procedures to be used.
Additional Considerations in K-12 Settings
- Research Involving Audio or Video Recording. Researchers are responsible for complying with any additional requirements of the school or district.
- Training Requirements for Third Parties - When individuals in the school or community are assisting with research procedures, the IRB may require that they obtain training in human subjects research. Typically training is required for anyone who has a leading role in the research, will have contact with participants, or will be managing or analyzing identifiable datasets. However, training is not usually required for those who are reading a recruitment or consent script only, or would already have the authority to see the research data through their own professional position (see Key Personnel).
- Research with Children and Youth for more information.
Scholarship of Teaching and Learning (SoTL) Studies
SoTL studies involve investigators who are engaging in a systematic inquiry about their teaching and student learning, and sharing findings publicly. Visit the SoTL resource page to learn more about preparing an application for IRB review.