This example was adapted from a protocol submitted to the SBSIRB by Christine Wang and
posted with her permission. While the investigator retains the rights to the conduct of this
research project, the text may be used and/or copied for creating substantive materials to submit
to the University at Buffalo SBSIRB without further authorization.
IRB ISSUES PRESENTED IN THIS PROTOCOL: This study uses multiple methodologies with
different participant groups (minor students, their parents, and their teachers) to achieve its goal.
The protocol is a good example of how to structure a submittal when using more than one
research methodology or more than one participant group. Methodology one includes
observation, interviews and collection of school records. Methodology two is tutoring sessions
done outside of school. This study is unique because the group of children being studied is in
first grade. Young children often do not have the ability to read and comprehend an assent form,
therefore the PI has elected to use a verbal assent form to ensure the children understand to the
best of their ability the study they are participating in. The PI has included the assent script in
place of a written form in this example. Their caregivers on the other hand should be able to read
and understand a consent form. Therefore, both the parental permission form and the consent
form for parents own participation in the interviews are separate written forms.
Project Title
Cultural Capital and School Literacy Success
Purpose
The purpose of this ethnographic study is to understand the relationship between cultural capital
and school literacy success. Cultural capital is defined by Bourdieu (1986) as knowledge within
a cultural context. Bourdieu specifies three states of this knowledge: embodied, objectified, and
institutionalized. By adopting the theory of cultural capital, this project is designed to investigate
how students and their teachers use cultural capital in a school literacy setting. This classroombased study will specifically focus on literacy activities. Observation notes, videos, interviews,
school records, and parent-child tutoring sessions will be our main data sources. This project will
provide insight into and suggestions for cultural capital’s role in literacy instruction and literacy
acquisition.
Participants
Phase I:
The participants will be students, their parents, and their teachers from a first-grade classroom in
one of the Buffalo public schools (School X. We have met the classroom teacher and talked to
the school principal. Both of them have given us verbal permission for this project. Participation
in this project is completely voluntary. This will be made clear in the consent letter to the parents
and the teachers. Consent will cover the permission to observe and videotape classroom literacy
activities, access students’ school records, interview students, parents, and teachers, and use the
data for research purposes, publications or presentations. In addition to parental permission,
children will also be asked to give their verbal agreement to be included in this research. Prior to
data collection, we will ask the students whether they wish to participate in the project (see
“Verbal Script for Students’ Assent”) and record the students’ responses. Only those children
who want to participate will do so. Participants may withdraw their permission for their
participation at any time and for any reason. Students for whom researchers have not obtained
consent will participate in their classroom literacy activities as normal and will be excluded in
videotaping and observational notes.
Phase II:
Based on our observations and the classroom teacher’s recommendations, we will select a small
number (3-5) of students to whom we will offer reading tutoring. Students who are struggling
readers and have a parent that is willing to participate will be targeted. A parent will need to be
present and actively participating during tutoring, so they will be able to practice the modeled
reading strategy over the week before the next tutoring session. Separate consent forms will be
signed by parents participating in this phase of the project, and separate verbal assent from the
students will be obtained as well.
Recruitment
Consent Process
Phase I:
Consent letters will be sent home to parents by the classroom teacher via their homework folders,
and will be returned in the same way. We will then collect the consent letters from the
classroom teacher.
Phase II:
Consent letters will be presented to parents at the beginning of the first tutoring session. The consent
form will be explained, the parent’s questions answered If the parent consents, the tutoring session will
continue; if the parent dissents the reading tutor will leave.
Assent from each child will obtained by individually calling each child to the back table in the
classroom and following the script found in Appendix D. The reading of the script and the
children’s answers will be tape recorded.
Research Procedures
Phase I:
This data will mostly be collected during regular literacy activities in the classroom, bi-weekly
during the literacy instruction block, over the course of the 2004-2005 school year. We will not
alter any ongoing classroom activities, and the students’ participation in the class activities won’t
be affected by their involvement in our project either. Observation and videotaping will be the
major means to collect data. To minimize the intrusiveness, we will not take any notes at the
beginning of the project and the video camera will be introduced later when the class is used to
our presence.
Students’ interviews will take place at the teacher’s desk in the classroom during free choice
activities, teacher interviews will take place before the school day begins, and parent interviews
will take place over the telephone. Each interview will be audio taped and approximately last 1520 minutes. General interview questions are listed later in this proposal. More specific and/or
additional interview questions may be developed later based on issues that emerge through the
observation data. If changes are made to the interview questions presented in this proposal, we
will submit the new interview protocols to the SBSIRB as an amendment for approval before
being used. In general, student interviews focus on students’ views of literacy activities, books
they are reading and their reading habits at home and school. Parents interviews will concentrate
on books or other reading materials available at home, reading and other literacy activities at
home, their view of their child’s school success, and the parents’ educational background.
Teacher interviews will focus on their perceptions of students’ literacy acquisition and issues of
instructional planning.
School records to be collected include ability and achievement test results, background
information about family composition, record of all schools attended and the dates of attendance,
retention records, and report cards.
Phase II:
The second phrase of this project will mostly be carried out in spring 2005 semester. We will
provide tutoring services to selected students in their homes after school or on weekends as
selected by their parent. Tutoring sessions will be based on each student’s individual needs, will
focus on teaching a reading strategy, and will involve the parent in practicing this strategy with
their child. Suggestions for practicing the strategy between tutoring sessions will also be
provided. Each tutoring session will be video or audio taped.
Compensation
There is no compensation for participation in this project.
Confidentiality
Access to original data files will be restricted to members of the research team. Only the research
team members will view and transcribe the video and audio tapes. Once the original transcripts
are created, students’ real names will be replaced by pseudonyms and faces will be blurred.
When describing students or student activities in written publications or presentations, student
identity will be preserved through the use of pseudonyms. Video or still shots of students in the
classroom, which are presented in professional conferences, will contain only those students for
whom we have consent; or in cases of a large group shot, images of students without consent will
be blurred using digital photo-alteration techniques. When we collect the school records, we will
assign pseudonyms to each student’s records and black out their real name. The pseudonyms will
be consistent with the ones we assign to videos.
Observation notes, copies of school records, and video/audio tapes will be locked in the file
cabinet in the principal investigator’s office (XXX Baldy). The principal investigator will be the
only person to have the key. Without the permission from the PI, the team members cannot
access the records. We plan to keep the records for one year, which will give us enough time to
finish data analysis and prepare for conference presentation and journal manuscript. In the case
of move and personnel change, the principal investigator will be solely responsible for the safety
of the records. After one year, the records will be destroyed to protect confidentiality.
Risks and Benefits
The participants will experience no known physical, psychological, or social risks due to their
participation.
Direct benefits: Students and parents participating in Phase II will receive free tutoring lessons
from a qualified teacher.
Indirect benefits: Knowledge gained from this project will broaden and deepen our
understanding of the relationship between cultural capital and school literacy. Specific
suggestions for teachers and parents to will benefit the students directly for their school literacy
success. In addition, this project will promote a non-deficit oriented framework for examining
school literacy, especially for inner city students.
Deception
No deception will be used in this project.
Appendices
A. Parental Consent (Phase I)
B. Parental Consent (Phase II)
C. Consent Letter to Teacher
D. Verbal Script for Students’ Assent (Phase I)
E. Verbal Script for Students’ Assent (Phase II)
F. Interview Questions for Students, Parents and Teachers
Parental Permission (Phase I)
Permission Letter to Parent
September 27, 2004
Dear Parent:
INTRODUCTION
We are from the Department of Learning and Instruction at the University at Buffalo, and we would like to include
your child, along with his or her classmates, in a research project on children’s school reading.
PROCEDURE
If your child takes part in this project, he/she will be observed and videotaped during their normal classroom reading
lessons. This will not affect their normal participation in classroom activities. Your child may also be asked if he/she
would like to be interviewed about things having to do with what goes on during the reading lessons. You will be
asked to complete a short phone interview about your family’s background and reading habits.
BENEFIT
Aiming to understand how the students and the teacher use their cultural knowledge to achieve literacy
success in the classroom, this project may benefit your children and future students by highlighting their
literacy strengths and promoting teaching strategies that utilize their existing knowledge.
VOLUNTARY STATUS
Your child's participation in this project is completely voluntary. In addition to your permission, your child will also
be asked to give his or her agreement to be included in this research. Only those children who want to participate
will do so. You are free to withdraw your permission for your child's participation at any time and for any reason.
Any children who do not participate in this project will not be videotaped or interviewed.
CONFIDENTIALITY
The videotapes and all other information that is gathered during this research project will not become a part of your
child's school record. When presenting the information from this project through conferences (professional
meetings) or publications (articles, books, etc.), the real names of students, their teacher, and the school will not be
used. Pseudonyms will be used instead.
CONSENT
In the space below, please indicate whether you do or do not give permission for your child to participate in this
project. Finally, we would like your permission to look at your child’s school records.
Ask your child to bring this completed form to his or her teacher by Friday, October 8. If you have any questions
about this research project, please feel free to contact us either by mail, e-mail, or telephone. We look forward to
working with your child.
Sincerely,
Jane Doe 2, Research Assistant
xxx@buffalo.edu 555-1234
University at Buffalo
Buffalo, NY 14260
X. Jane Doe, Professor
xxx@buffalo.edu 555-1234
******************************************************************************
I do give permission for my child ____________(name) to participate in the research project described above.
Parent’s signature: _______________________Date: ___________________
I do not give permission for my child ___________(name) to participate in the research project described above.
Parent’s signature: __________________Date: ___________________
Parental Consent (Phase II)
Consent Letter to Parent
January 15, 2005
Dear Parent:
INTRODUCTION
We are from the Department of Learning and Instruction at the University at Buffalo, and we would like
to include you and your child in a research project on children’s school reading.
BENEFIT
Aiming to understand how the students and the teacher use their cultural knowledge to achieve literacy
success in the classroom, this project will benefit you and your child by teaching you and your child
reading strategies that successful readers use.
BENEFIT
If you and your child take part in this project, a qualified teacher will come to your home on an agreed
upon weekday or weekend for one hour per session for six to ten sessions as determined by the tutor.
VOLUNTARY STATUS
You and your child's participation in this project are completely voluntary. In addition to your permission,
your child will also be asked to give his or her agreement to be included in this research.
CONFIDENTIALITY
These sessions will be audio or video recorded by the tutor. The videotapes and all other information
that is gathered during this research project will not become a part of your child's school record, though
the information about your child’s progress will be shared with the classroom teacher to coordinate efforts
to best serve your child’s reading needs. When presenting the information from this project through
conferences (professional meetings) or publications (articles, books, etc.), the real names of students, their
teacher, and the school will not be used. Pseudonyms will be used instead.
CONSENT
In the space below, please indicate whether you do or do not agree to participate in this project and
whether or not you are going to allow your child to be audio and video taped.
AUDIO TAPED _____YES
_____NO
VIDEO TAPED ____ YES
_____NO
Sincerely,
Jane Doe, Research Assistant
xxx@buffalo.edu 555-1234
University at Buffalo
Buffalo, NY 14260
Jane Doe, Professor
xxx@buffalo.edu 555-1234
******************************************************************************
I ____________(name) do agree to participate in the research project described above.
Parent’s signature: _______________________Date: ___________________
I ___________(name) do not agree to participate in the research project described above.
Parent’s signature: __________________Date: ___________________
Consent Letter to Teacher
Verbal consent has already been received from classroom teachers, therefore we will bring the
consent letters to their classroom for them to sign.
September 27, 2004
Dear Teacher,
INTRODUCTION
You are invited to participate in a research project throughout this school year (2004-2005).
The project aims to gain a better understanding of how children’s cultural capital relates to their
reading success. Cultural capital is a person’s view of how the world around him/her works.
BENEFIT
This project may benefit your students and future students through a better understanding of how
these views may help students successfully learn to read.
PROCEDURE
If you take part in this project, your reading lessons will be observed and videotaped throughout
the school year. This will not affect your normal classroom activities and your students’
participation. You will be asked to participate in three to five interviews over the course of the
school year regarding your views on students and the reading lessons. You will be asked to help
select students and parents who will receive free tutoring, share information about these students
current reading abilities, and will be updated on these students’ progress over the course of
tutoring sessions.
CONFIDENTIALITY
The videotapes and all other information that is obtained during this research project will be
presented using pseudonyms. When the data, including the videotapes, are presented in
professional conferences and publications, pseudonyms will be used to protect you, your
students’ and your school’s anonymity.
VOLUNTARY STATUS
Your participation in this project is completely voluntary, and you are free to withdraw at any
time and for any reason. You are also free to decline to answer any questions you do not wish to
answer. You will receive a copy of the research results after this project is completed.
If you have any questions about this research project, please contact Jane Doe 2t
<xxx@buffalo.edu> at 555-1234 or Jane Doexxx@buffalo.edu 555-1234
CONSENT
I have read and understand the above information and voluntarily agree to participate in the
research project described above. I have been offered a copy of this consent form.
Signature
Date
Verbal Script for Students’ Assent (Phase I)
Hello, my name is Jane Doe. I have been watching your class when your teacher teaches reading
because I am interested in learning about ways to help boys and girls learn to read more easily.
Pretty soon, I will be audio and video taping your class. You don’t need to be part of the video
tape if you don’t want, and you may change your mind about being video taped any time and for
any reason. Would you like to be part of the audio and video tape?
Also, I will want to talk to some students about their reading. These talks will be audio and
video recorded. You don’t have to talk to me at all if you don’t want to, and you can tell me you
don’t want to answer any of my questions. You may also change your mind about talking with
me at any time and for any reason. Would you like to talk to me about your reading?
Verbal Script for Students’ Assent (Phase II)
The reading of the script and the child’s answer will be audio and video recorded.
I would like to work with you and your mom/dad on some reading strategies to help you become
a better reader. If you agree, we’ll meet for one hour, once a week at your house for six to ten
weeks. Would you like to do this?
Interview Questions for Student: Regarding reading, when, where, why, with whom, ect.
Interview Questions for Parent: Regarding the parent’s education, priorities, and personal
reading.
Interview Questions for Teacher: Regarding students home lives, success, and obstacles.
The above questions were omitted from this protocol to protect the ongoing research of
Christine Wang. Under normal circumstances all materials would be submitted in full.