Cal Poly Pomona - Human Research Protections Program
Institutional Review Board (IRB)
Protocol Approval Application (version: November 7, 2007)
IRB principles: respect for persons, beneficence, justice
Cal Poly Pomona (CPP) is committed both to research in advancement of teaching and science and to the protection of the individuals involved. As part of the assurance filed with regulatory agencies including the Department of Health and Human Services and policies from others like the State of California, the University has designated a human subjects’ committee, called the Institutional Review Board or IRB, to review proposals for research involving living persons. This application, when submitted to the IRB, will be evaluated in terms of its compliance with ethical standards regarding the treatment of subjects. The type of review – full, expedited, or exempt – will be determined by the IRB. While individual researchers are ultimately responsible for their practices, the IRB’s review is designed to provide objective input as additional protection for the subjects. Further, it is of benefit to those who could be held accountable for the research practices – the researchers and the University. All research conducted by students, faculty, and individuals sponsored by faculty must have prior IRB approval.
Hints and help:
n Complete all sections of this application pertaining to your research proposal. There are highlighted links (in blue) to additional information.
n Submit your completed application to the Office of Research and Graduate Studies (ORGS). E-mail it and any attachments such as surveys and recruiting flyers to . To facilitate tracking, please include in the file name 1) your last name and 2) one or two key words describing its subject.
n Print off, sign, and mail this front page to the ORGS, Building 1, room 229.
n Training in the conduct of human subject research is critical and investigators must demonstrate their knowledge and awareness through the completion of appropriate coursework. As of January 1, 2007, the IRB adopted the CITI “Course in The Protection of Human Research Subjects” (https://www.citiprogram.org) as the primary means of training and as a condition of protocol approval. Please provide documentation of your training with this application; you may be asked to pursue additional training appropriate to your proposal.
n More information about the IRB at Cal Poly Pomona is available at the ORGS web page, http://www.csupomona.edu/~research/irb/. There are sample consent forms, links to training materials, policies and procedures, etc.
n For other assistance, contact the Compliance Associate within ORGS, Bruce W. Kennedy MS RLATG CMAR, at 909-869-4215 and .
Investigator information / Primary investigator (faculty, student, etc.) / Others (faculty advisor, co-investigators, etc.)Name: / I M Student / IM Faculty
Affiliation (college/dept): / Cal Poly Pomona/CEIS / CEIS
Phone contact (office or cell): / ###### / ######
Email contact: / I M Student@ / IM
Title of protocol: Best Practices for Alternative Educational Programs
Date submitted: 2/13/2008 / __X_new ___amendment ___renewal; previous number:
Vulnerable subjects (risks)?: _X__minors ___pregnant women ___medically sensitive ___other:
DECLARATION BY ALL PARTICIPANTS: This proposal is guided by the ethical principles regarding research involving human subjects as set forth in the Belmont Report. I/We agree to abide by the policies and procedures of the IRB at CPP, including obtaining appropriate training in human subject research for myself and those involved in its conduct. I/We will not initiate any research associated with this proposal on or off campus until authorized by the IRB. I/We will inform the IRB of any adverse events that occur or of a need to modify the study design. I/We understand that approval, when granted, is valid for up to one year and will submit a renewal for its continuation if needed.
Signature Dateprimary investigator: / signed
all others, including advisors: / signed
IRB office use review type: full IRB (risk involved) expedited/designated review (minimum risk/harm) exempt NA
date rc’d: revised / assigned to: / training: PI others / approval date:
protocol #: / renewal date:
copies: chair file / final: signed ICF appr-memo e-mailed
This protocol has been reviewed and approved for conduct by the IRB, California State Polytechnic University, Pomona.
Jeffery Scott Mio PhD
Interim Chair, IRB Date
I. DESCRIPTION OF THE RESEARCH PROJECT
Research is defined as “a systematic investigation including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.” (45 CFR 46.102(d))
A. Purpose -- Why are you conducting this study? What are the objective(s) and goal(s)?
The purpose of this study is to investigate best practices of successful alternative education and continuation high school programs and to analyze the school climate of a continuation high school in terms of the best practices found in the literature, so that a comprehensive plan for school improvement may be devised.
B. State specifically the relationship of your proposed research to other previous scientific investigations in the field. Provide full citations (APA style is a good format).
The National Dropout Prevention Center has identified alternative schooling as one of the fifteen most effective strategies for school improvement and dropout prevention (Reimer & Cash, 2003). In the current education climate of high accountability and high-stakes testing, the demand for more and better alternative education options is becoming increasingly important. In order to improve alternative education, research in the field will need to include raising awareness about the need for and benefits of high quality alternative education options and demonstrating and improving on the effectiveness of high quality programs (Aron, 2003). Current research demonstrates that at-risk students served in comprehensive, well-designed alternative programs do better than predicted than if they had not attended them (Tobin & Sprague, 1999). This study will build upon previous studies by drawing from the research body of proven best practices to design a comprehensive school improvement plan for a specific school. This plan can serve as a model for other programs wishing to improve school climate and effectiveness based on proven best practices.
Resources:
· Aron, L. Y. (2003). Towards a typology of alternative education programs: A compilation of elements from the literature. The Urban
Institute
· Tobin, T. & Sprague, J. (1999). Alternative education programs for at-risk youth: Issues, best practice, and recommendations. Oregon
School Study Council Bulletin, 42(4)
· Reimer, M. S., & Cash, T. (2003). Alternative schools: Best practices for development and evaluation. Clemson, SC: National Dropout
Prevention Center.
· Schargel, F. P. (2005). Best practices to help at-risk learners. Larchmont, NY: Eye on Education.
C. Methods -- Summarize the study design. Describe in detail all procedures to be performed with human subjects. What will be done? Include when and where the research will occur and who will conduct it. Define terms, abbreviations, and procedures for the understanding of the IRB reviewer.
The Effective School Battery (Gottfredson Associates, Inc.) will be administered school-wide to the teachers and students at the High School in March, 2008.
The Effective School Battery (ESB) is a scientifically developed instrument for assessing the climates of secondary schools. In assessing school climate, teachers and students answer questions about their school, and these answers are analyzed by a computer. The computer analysis produces a profile of the school that describes the school using a set of scales that summarize information about the school’s climate in an organized manner. The student survey contains 118 items. The teacher survey contains 115 items. The surveys are presented in booklet form. Respondents mark their answers on a separate answer sheet.
Students and teachers will take part in these surveys voluntarily. Participants will have the right to refuse to answer any or all of the questions asked. To assure the privacy of each person’s responses, students and teachers will not write their name on the booklets or the answer sheets. The survey will be administered according to the directions and procedures in the ESB Survey Coordinator’s Manual.
A. Procedures for administering the teachers survey:
1. An independent district proctor will be designated to administer the survey.
2. The teacher survey will be self-administered, via teacher mailbox.
3. Every full-time school employee who teaches at least one student will be included in the survey.
4. The purpose and importance of the survey, along with procedures and informed consent, will be discussed at a staff meeting prior to the survey administration.
5. After the staff meeting, a survey booklet and answer document will be placed in sealed manila envelopes and put in each participant’s office mailbox. A message from the researcher will be included in the envelope which explains the purpose of the survey, emphasizes that the responses are anonymous, explains that cooperation is important, and tells the method and place for returning answer sheets.
6. The completed questionnaires will be mailed via interdistrict mail to the independent district proctor, who will place them in a pre-addressed shipping box and send them to Gottfredson Associates for scoring.
B. Procedures for administering the student survey
1. The student survey will be administered during the second period of a single school day.
2. The survey administrator will be the teacher in each second period classroom. Each teacher will be given a copy of the ESB Survey Administrator’s Instructions, which tells them specifically what to say and how to administer the survey. The instructions describe how to handle refusals, what to do with students who finish early, how to safeguard confidentiality, and what to do with disorderly students. A copy of the administrator instructions is included with this application.
3. Students will be instructed not to share or discuss answers with each other. The anonymity and confidentiality of their answers will be emphasized. Students will be given an informed assent form prior to taking the survey. Students who do not wish to participate will be allowed to go to the library to read or do study hall. Students who need more time than one period may go to a designated quiet room during third period until they are finished. A proctor will be assigned to the quiet room.
4. Students will place their completed answer sheets in a sealed ballot box with an opening cut just large enough to insert the answer sheet. The booklets will be collected by the teachers.
5. An independent district proctor will collect all ballot boxes at the end of the period and transport them to the district office.
6. The district proctor will remove the answer sheets from the ballot boxes and place them in a pre-addressed shipping box to send to Gottfredson Associates for scoring.
II. AFFILIATIONS
These questions ask about how you are related to the institution and subjects where the research project is to be conducted. For example, you are a teacher using your students in a classroom setting as your subjects, or you work for the company where a marketing survey is to be conducted, or you have a financial interest in a product being tested.
A. Are you collaborating with another group such as a school, community association, government agency, etc.? Is the project being sponsored or supported through a grant, contract, or other financial arrangement? Describe as appropriate.
No
B. Financial interest – Do you, as an investigator involved with the project, or any family member (spouse or dependent child) have a financial interest in this study? If yes, describe.
No
C. Are you a student? Is this project part of a classroom experience or a graduate program? Has your advisor/mentor reviewed your IRB application? Describe as appropriate.
I am a graduate student in the educational leadership program at Cal Poly Pomona. My advisor has completely reviewed this application.
D. Do you have any pre-existing relationships of any kind with the subjects (participants) or institutions involved in conducting this study? If so, please describe them.
I am the principal of the High School. The teachers and students of this school (the subjects/participants) are known to me.
E. If you are not affiliated with Cal Poly Pomona, who is your sponsor on campus?
_X__not applicable name and phone number of sponsor:
F. Though there may not be one, could there be the perception of a conflict of interest for either you, as the investigator, or for the subjects in this study? If so, how will you manage that?
It will be important that neither the teachers nor the students feel coerced into participating in this survey administration. I will emphasize that participation is voluntary and not tied to compensation of any kind, including grades, or evaluations. I will emphasize that the responses will be completely anonymous and will not be read by me. I will nor have any contact with any of the answer documents. Proctors will handle the ballot boxes and shipping boxes.
III. DATA COLLECTION
Collection methodologies include, but are not limited to: surveys, interviews, focus groups, oral histories, participant observation, observations of public behavior, research in public schools, and the analysis of existing data. Data include: survey sheets and questionnaires, biological samples, audio and video tapes, transcripts of verbal communication, photographs, paper and electronic records, previously collected (existing) information, etc.
A. What data about the subjects will be collected? How will it be coded or identified? Will social security numbers be used? What will become of the data at the end of the study (returned, destroyed, archived)?
Some background information will be collected:
For teachers: gender, ethnicity, level of education, position, and years of experience.
For students: gender, age, ethnicity, grade, parent education level, future plans, self perception of work habits, and school satisfaction.
Teachers will be asked for their opinion on parent involvement, classroom management and teaching practices, school resources, job satisfaction, training and other activities, interaction with students, school rules and discipline, tolerance, student characteristics, personal safety, and school climate.
Students will be asked for their opinion about friends, school, and self.
The information will not be coded or identified. No identification numbers of any kind, such as Social Security Numbers, Drivers License Number, or school ID numbers, will be used. At the end of the study the answer sheets will become the property of Gottfredson Associates. The researcher will receive the responses as averages only.