ERC Guidelines for the Use of Video/Audio Recording and Photography by External Researchers
Any applicant seeking to conduct external research at MMSD that proposes including video recording, audio recording or photography as part of a research protocol must review and respond to the following guidelines and requirements.
In these guidelines and requirements, the terms “image” and “recording” refers to any video recordings, audio recordings, and photographs.
MATRIX – INTENDED SUBJECT VS. INTENDED USE. The level of required consent/assent depends on the intended subject of the recording and the intended use of the captured images.
|Ref#||Intended subject||Broadest intended use||Level of consent/assent|
|1a||MMSD staff||Personal improvement use||None|
|1b||MMSD staff||Professional development use||None|
|1c||MMSD staff||Immediate use by research team||Staff consent|
|1d||MMSD staff||Protected distribution||Staff consent|
|1e||MMSD staff||Broad distribution||Staff consent|
|2a||MMSD staff while students are present||Personal improvement use||None|
|2b||MMSD staff while students are present||Professional development use||None|
|2c||MMSD staff while students are present||Immediate use by research team||Staff consent;
Notification letter to families
|2d||MMSD staff while students are present||Protected distribution||Staff consent;
|2e||MMSD staff while students are present||Broad distribution||Staff consent;
|3a||MMSD staff interacting with students||Personal improvement use||None|
|3b||MMSD staff interacting with students||Professional development use||Notification letter to families|
|3c||MMSD staff interacting with students||Immediate use by research team||Staff consent;
|3d||MMSD staff interacting with students||Protected distribution||Staff consent;
|3e||MMSD staff interacting with students||Broad distribution||Staff consent;
|4a||MMSD student||Personal improvement use||None|
|4b||MMSD student||Professional development use||Notification letter to families|
|4c||MMSD student||Immediate use by research team||Parental consent;
|4d||MMSD student||Protected distribution||Parental consent;
|4e||MMSD student||Broad distribution||Parental consent;
|5a||Parent of an MMSD student||Personal improvement use||None|
|5b||Parent of an MMSD student||Professional development use||Parental consent|
|5c||Parent of an MMSD student||Immediate use by research team||Parental consent|
|5d||Parent of an MMSD student||Protected distribution||Parental consent|
|5e||Parent of an MMSD student||Broad distribution||Parental consent|
Examples of “MMSD staff” include recording an interview of a teacher before or after hours or the capturing of a preparation routine before the arrival of students into a classroom. Students are not in the room during the recording.
An example of “MMSD staff while students are present” is a case where a video camera is trained on a teacher at the front of a classroom while it is in session. The intended subject of the recording is the teacher. Students are in the room and the teacher is interacting with them but images of students are not purposefully captured during the class.
An example of “MMSD staff interacting with students” is a case where a video camera is used to capture the interaction of a teacher with a small group of students while checking on their progress in an assigned task. The intended subject is the interaction of teacher and student. The images of both are purposefully captured. Another example is a video camera trained on a teacher at the front of the classroom while students are called to the front to present to the rest of the class.
An example of “MMSD student” is a case where interviews of individual students are conducted using a tape recorder or video camera. Another example is the use of a video camera during a focus group discussion of students after school hours in a library media center.
An example of “Parent of an MMSD student” is a case where the interview or focus group of only parents is captured using a tape recorder or video camera.
BROADEST INTENDED USE.
An example of “Personal improvement use” includes recordings being reviewed by a teacher to improve his or her own practices. Most often, such recordings are made during routine classroom activities or as part of classroom action research. In these cases, the teacher or staff member is typically both the subject of and an active participant in the research.
An example of “Professional development use” includes recordings being shared among MMSD peers to improve their practices. Most often, such recordings are made during routine classroom activities or as part of classroom action research. In these cases, the teacher or staff member is typically both the subject of and an active participant in the research.
Examples of “Immediate use by research team” include recordings or photos being reviewed by the research team for the purpose of transcription or verbal description. Note: To be considered “Immediate use by research team” all captured images must be destroyed no later than one year after their original capture.
Examples of “Protected distribution” include recordings being reviewed by college students in a school of education program, viewed by teaching staff at another district during professional development, shared between research teams, and retention longer than one year in a password protected archive.
Examples of “Broad distribution” include recordings being posted to the Internet, presented at conferences or seminars, featured in television programming, included in a dissertation or peer publication.
LEVEL OF CONSENT/ASSENT.
Note: All consent forms, assent forms/scripts and notification letters for projects that include recordings must include a description of:
Intended subject of the recording;
Broadest intended use of the recording;
Steps to be taken to avoid capturing the images of unintended subjects;
Steps to be taken should the images of unintended subjects are captured; and
Measures to be taken to protect and destroy captured images.
The language used in all consent and assent documents must be appropriate for the persons providing consent and assent.
“Staff consent” means a formal written document that satisfies all requirements of informed consent specific to the research project. This allows a staff member to be considered a research subject.
This requirement applies to any teacher, principal, administrator, support staff or other position currently employed by MMSD and participating in an approved research project.
“Parental consent” means a formal written document that satisfies all requirements of informed consent specific to the research project. For children between the ages of 5 and 18, parental consent is the first of two parts needed for the child to be considered a research subject.
“Student assent/consent” depends on the age of the student being studied. Formal written student consent is required for all students age 18 and older. Formal written student assent is required for all students between the ages of 11 and 18 years. Oral assent is required for students younger between the ages of 5 and 11 years. Students younger than 5 years are generally subject to the consent provided by their parent. However, a student younger than 5 years may express a reasonable refusal to participate in the research, which must be honored by the researcher.
When a student passes one of the above age milestones while participating in a research project, he or she must be re-assented or provide consent as appropriate. For example, a student who begins participating in a literacy study at age 10 and turns 11 while the study is still being conducted must be presented with a written assent form that he or she may or may not choose to sign.
Note: Minors' assent is the second step. Parental consent must be granted first. Student assent without parental consent does not provide proper consent for a student to be the subject of any research. Students older than 18 years can provide student consent without parental assent.
“Notification letter to families” means a document has been prepared for families that outlines the reason for the research and what will be happening while it is being conducted. The letter must include contact information of the principal investigator or a research team member that can answer any questions parents may have. Parents do not sign and return a notification letter. While not a consent form per se, researchers should be prepared to respond to parents who do not want the research to be conducted in their child’s presence.
AVOIDANCE AND REMEDIATION OF CAPTURING IMAGES OF UNINTENDED SUBJECTS. Consent forms, assent forms/scripts and notification letters must outline in detail how the researcher plans to capture the images and sounds of only the intended subject. An example would include a video camera trained on the teacher at the front of the room with the camera being switched off before a student enters the frame. Another example would be the deletion of a student’s voice from a digital recording before the researcher leaves the site.
PROTECTION AND DESTRUCTION OF CAPTURED IMAGES. Consent forms, assent forms/scripts and notification letters must outline in detail how captured images will be protected from parties not identified as an intended audience (i.e., people not a party covered by the “Broadest intended use”). Examples include password protected files, encryption, images being kept on a computer without Internet access, and flash drives stored in locked file cabinet in a locked office.
Consent forms, assent forms/scripts and notification letters must also outline the steps taken to destroy captured images. This discussion must also include the length of time a captured image is retained. The description of the steps taken to destroy images applies regardless of whether the image is of an intended or unintended subject.
MEDIA AND NON-RESEARCH ACTIVITIES. These guidelines apply only to projects reviewed and approved by the MMSD External Research Committee. They do not apply to images and voices captured as part of media-related coverage or non-research activities. For these cases, please contact Elizabeth Merfeld at firstname.lastname@example.org.