Final Agreement Form (School MOU)

School Roles and Responsibilities: 

Early Warning and Intervention Monitoring System Study

Dear <principal name>,

On behalf of American Institutes for Research (AIR) (www.air.org) and its partners, we welcome 

you to the Early Warning and Intervention Monitoring System (EWIMS) study. We are excited 

about this project. Its purpose is to examine the impact of EWIMS on (1) student outcomes 

including student risk status for dropout, scores on state assessments, persistence and progress in 

school and likelihood of on-time graduation; and (2) school outcomes including how schools 

allocate dropout prevention interventions for students and their data-use culture. This document 

contains an overview of the study and a brief description of the intervention, followed by a 

description of the roles and responsibilities for your school and for the study team, including the 

benefits of participation, and the project timeline. Please review the contents of this document 

and sign the last page to indicate your agreement to participate. Return the signed last page to Dr. 

Nicholas Sorensen (nsorensen@air.org, fax 312-288-7601).

Overview

The primary goal of the EWIMS study is to evaluate whether implementing an early warning and 

intervention monitoring system for identifying students at-risk of dropping out and using this 

system to assign students to dropout prevention interventions will improve student outcomes 

including student risk status for dropout, scores on graduation tests, persistence and progress in 

school and likelihood of on-time graduation. In addition, this study will also examine the impact 

of implementing EWIMS on school outcomes including how schools allocate dropout prevention 

resources for students and their data-use culture. Study results will yield valuable information for 

the state of <state name> and for districts and schools across the country about the viability and 

benefits of using an early warning system to prevent high school dropout and help struggling 

students get back on track for eventual graduation. The study is being funded by the U.S. 

Department of Education, Institute of Education Sciences, and will January 2014 through the 

spring of 2016.

We look forward to working with <High School> as a partner in this project! 

The EWIMS Model

The EWIMS model, developed by the National High School Center at AIR, is a multistep 

process intended to encourage systematic and comprehensive implementation within schools. 

The process is based on a combination of research on data use in schools and National High 

School Center’s experience working with states, districts, and schools implementing early 

warning systems. 

At the heart of the EWIMS process is an early warning data tool used to flag students as “at risk” 

based on attendance, course performance (grades, credits, grade point average [GPA]), and 
behavior indicators. The tool enables schools to identify students who are at risk of dropping out 

of school, record assignments to available interventions, and monitor students’ response to those 

interventions.

Beyond the development of the data tools, the National High School Center has devised a sevenstep EWIMS implementation process to support implementation. The process guides users to 

make informed decisions about how to use data to support at-risk students and how to continue 

to monitor their progress over time. In addition to focusing on individual students, the process 

guides users to examine the success of specific supports or interventions and to examine possible 

systemic issues (e.g., school climate) that may relate to dropout trends.

Figure A-1. Early Warning Intervention Monitoring System Implementation Process

As shown in Figure 1, the steps are intended to be cyclical. At the core of this data-driven 

decision-making process, the steps focus users on key indicators that identify which students are 

showing signs of risk of dropping out of high school and guide users to go beyond the indicator 

data and other relevant information to connect at-risk students to dropout prevention or academic 

support interventions. The EWIMS model does not prescribe specific interventions for 

schools to implement. Instead, the model is designed to allow schools flexibility to decide 

which interventions they believe are most effective for their students’ needs. Ideally, the EWIMS 

model allows users to identify students with accuracy and provide supports and intervention of 

your school’s choosing to at-risk students, resulting in improved outcomes for students, 

including higher attendance rates and improvement in academic performance leading toward 

successful graduation. 

This Study

Despite increasingly widespread implementation of early warning systems by states, districts, 

and schools, there have been no rigorous studies testing the impact of using an early warning 

system to improve student outcomes such as staying in school, progressing in school, and 

graduating. There is also little research examining how using an early warning system can shape 

STEP 1—Establish 

Roles & Process

STEP 2—Use the 

EWS tool

STEP 3—Analyze 

EWS data

STEP 4—Interpret 

EWS data 

STEP 5—Assign & 

Provide 

Interventions

STEP 6—Monitor 

Students

STEP 7—Evaluate 

& Refine EWIMS
a school’s culture for data use—increased data-driven decision making (assigning interventions 

to students) and processes and professional development to support using data to improve 

teaching and learning. This study will address these gaps and provide the first rigorous test of the 

impact of an early warning system. The study will:

 Identify a sample of eligible and interested schools in <state name>. The study team 

will conduct outreach to schools that meet initial eligibility criteria to confirm eligibility 

and discuss interest in participating in the EWIMS study. The study will include 

approximately 70 high schools in the Midwest. To qualify, schools must (1) have at least 

150 ninth-grade students; (2) a graduation rate between 25 and 95 percent and (3) not 

already be implementing an early warning system tool for using data to flag at-risk 

students.

 Use a lottery to randomly assign half of the participating schools to implement

EWIMS in February of 2014 and the other half to implement in fall of 2015. Half of 

participating schools will be randomly assigned to receive access to the EWIMS model in 

February 2014 (including the tool and technical support for implementation) and the 

other half of participating schools will be randomly assigned to conduct “business as 

usual” for identifying at-risk students until the fall of 2015 when they will receive the 

same resources and supports.

 Implement EWIMS. All schools will implement the seven-step EWIMS process either 

in February 2014 or the fall of 2015 (depending on random assignment by lottery). The 

seven steps for implementation are as follows:

o Step 1—Establish Roles and Process. In this step, the composition of the EWIMS 

team is established;1team members then determine frequency and duration of 

meetings and develop a shared vision or focus of the team’s work.

o Step 2—Use the EWS tool. In this step, the school-based EWIMS teams are 

trained on the use and purpose of the tool itself. This step also includes first 

customizing the tool settings and importing the student demographic and initial 

administrative data and also ongoing refreshing of the administrative data in the 

tool and the running of automated and custom lists and reports available within 

the tool. 

o Step 3—Analyze EWS data. In Step 3, EWIMS teams focus their attention on 

student- and school-level data, based on the indicators available in the tool. This 

data review process is intended to identify areas of focus and further 

investigation. 

o Step 4—Interpret EWS data. Step 4 guides teams to bring in additional data 

(external to the tool) to provide more context and a fuller picture to inform the 

EWIMS team’s consideration of specific needs of individuals or groups of 

flagged students. Unlike Step 3, which is focused on the indicator flags 

themselves (i.e., the data in the tool), this step addresses root causes of why 

students might be identified as at risk for one or more indicators. The 

 

1

The goal is not to create yet another “team” with functions that may or may not overlap with functions of other 

already existing teams. Rather, integration with existing team structures (if functionally operational) is optimal.
implementation team will provide training to identify root causes that focus on 

acquiring additional formal (e.g., administrative records) and informal (e.g., from 

teacher, family, and student) input. This training will occur face to face and will 

last for one hour. 

o Step 5—Assign and Provide Interventions. In this step, EWIMS team members 

make informed decisions about the allocation of available resources and strategies 

to support students identified as at risk of dropping out of high school. The 

EWIMS team matches individual students to specific interventions after having 

gathered information about (1) potential root causes for individual flagged 

students (Step 4) and (2) the available dropout prevention and academic and 

behavioral support programs in the school, district, and community, which are 

locally determined. 

o Step 6—Monitor Students. In this step, EWIMS teams continue to examine 

student indicators at regular intervals to continually identify students who show 

signs of being at risk. The teams will use the same indicators to closely monitor 

already-identified students who were assigned to interventions for progress in 

school and risk status. This step provides critical ongoing feedback about 

additional student- and school-level needs and apparent successes. 

o Step 7—Evaluate and Refine the EWIMS. Through active and structured 

reflection, EWIMS team members assess whether students are responding to 

assigned interventions, revise their specific strategies or general approach as 

needed, and determine how resources are allocated to improve support for 

students. This step encourages EWIMS teams to make course corrections to all 

parts of the EWIMS implementation. As implied by the cyclical depiction of the 

seven-step process, this step (as well as the other six) reflects an ongoing process 

of continual improvement. 

Evaluate the effects of EWIMS on student and school outcomes. The study will 

examine student outcomes for all students in grades 9 and 10 during the 2013–14 school 

year and all students in grades 9 through 11 during the 2014–15 school year. All student 

outcome data will be collected from school or district administrative data, the EWS tool

or the <State Department of Education>. In addition, all participating schools will be 

asked to complete an annual Web-based survey about data use practices and schools 

randomly assigned to implement EWIMS in February 2014 may be asked to participate 

in interviews about their experiences using the tool.

School Roles and Responsibilities

We look forward to partnering with <High School Name> for this exciting project! More 

detailed information on the responsibilities of participating schools follows. Final determination 

of school eligibility requires willingness to adhere to the study guidelines and responsibilities.

 Maintain a sustained commitment to participate in the study. To evaluate the impact 

of EWIMS, it is critical that schools agree to adhere to the study guidelines and timelines 

associated with random assignment by lottery to implement EWIMS in February 2014 or 
fall of 2015. All schools are expected to implement the EWIMS model as designed 

(including all seven steps of the implementation cycle). 

 Adhere to the results of the lottery/random assignment process. It is essential that the 

groupings that result from the lottery remain intact over the course of the study. Schools 

assigned by lottery to implement the EWIMS model in February 2014 will serve as the 

treatment group. Their counterparts assigned to implement EWIMS in fall of 2015 will 

serve as a control group from February 2014 through the spring of 2015. Students in 

control schools should continue to receive any services that would be offered to them in 

the absence of the study. As for students in the “treatment” group, no “typical” services 

should be withheld. Please refer any questions or concerns from parents or school staff 

about this to the study team.

o Schools randomly assigned to the control group agree to delayed 

implementation of any EWIMS including one funded from other sources. 

Schools randomly assigned to the control group must continue with “business as 

usual” practices for identifying at-risk students and assigning dropout prevention 

interventions until EWIMS implementation begins in the fall of 2015. 

 Participate in all data collection activities. Participating schools should provide schoollevel information including high school graduation rates, average state achievement 

scores in reading and mathematics and demographics (e.g., percentage of students 

receiving free or reduced-price lunch). 

Administrative student-level data collection in participating schools will focus on all 

students in grades 9 and 10 during the 2013–14 school year and all students in grades 9, 

10 and 11 during the 2014–15 school year. The study team will obtain as much 

administrative data as possible from the <State Department of Education (DOE)> and the 

school district. However, all participating schools should provide the study team access to 

the following administrative data for students should this data be unavailable through 

other sources:

o Demographic information (e.g., race/ethnicity, gender, free or reduced-price lunch 

[FRPL], individualized education program [IEP], and English language learner 

[ELL] status, and parents’ education)

o Grade point average (GPA)

o State test scores 

o Attendance rates

o Course grades in core academic courses by semester

o Credits earned by semester

o Disciplinary information (e.g., suspensions)

o Enrollment information (e.g. whether students are enrolled or have left school for 

reasons other than transfer to another district, including dropping out)

o Grade promotion
In addition to administrative records, one administrator at all schools should complete an 

annual Web-based survey assessing how schools use data to allocate dropout prevention 

resources to students.

Finally, all schools assigned by lottery to the treatment group (implementing EWIMS in 

February 2014) should participate in data collection efforts focused on implementation. 

Specifically, the project team will collect data on attendance and satisfaction with 

EWIMS training sessions and meetings. EWIMS teams at schools assigned to the 

treatment group will be required to submit their EWS tool securely to the study team and 

may be asked to participate in interviews about their implementation experience.

EWIMS implementation (either in February 2014 or fall of 2015) will require the following:

 Develop an EWIMS team within your school. A diverse, well-informed, EWIMS team 

within your school is essential to the success of this process. The EWIMS team may be 

established as a new team or may build on or be integrated into existing teams (school 

improvement team, response to intervention team, student support team). It is not 

necessary to create an entirely new team for EWIMS work, but an existing team that 

takes on the responsibility to use the tool for dropout prevention efforts should include a 

broad representation of staff within the school (e.g., principals, representatives from 

feeder elementary/middle schools, guidance counselors, teachers, specialists). The 

EWIMS team is responsible for identifying students who are at risk and ensuring that 

their individual needs are met through school-based interventions. In most cases, this 

team is not directly responsible for applying interventions for students but their focus 

should be on helping students navigate the school systems to access appropriate and 

needed services. 

 Participate in EWIMS professional development. The EWIMS team will receive 

professional development on the EWIMS process and tool capabilities, and subsequently 

be given adequate time to implement the EWIMS process. The professional development 

activities include the following:

o One two-hour training on how to use the tool (e.g., uploading data) for the 

individual who will manage data entry (also a member of the EWIMS data team). 

The project team anticipates that these training sessions will be held on site at 

each participating school.

o Full-day in-person regional training (estimate no more than 100 miles maximum 

from any participating school) on seven-step EWIMS process and model. Project 

will cover mileage for up to five building faculty/staff and potentially $500 for 

substitute teachers if the school elects for one or two teachers to join the EWIMS 

data team.

o Two two-hour webinars

 Reviewing data and monitoring progress over time (all five team 

members)

 Evaluating and refining the EWIMS process (all five team members)

o Monthly one-hour conference calls for a community of practice of all 

participating schools (minimum one person per team must participate)
 Import student data into the EWS tool. A member of the EWIMS team is responsible 

for entering, or importing, data into the EWS tool, which facilitates the EWIMS team’s 

use of the tool to use the data to initially flag students as at risk. Participating schools 

should upload attendance data at the 20- or 30-day mark and after every grading period. 

Course performance, GPA and behavioral data (optional) should be uploaded after every 

marking period.

 Produce reports of at-risk students and assign students to appropriate interventions 

or services. The tool houses information about interventions assigned to each student and 

documents students’ transition in and out of each intervention and their ultimate response 

to the intervention(s) (i.e., for each student flagged, did the assigned intervention(s) have 

a positive influence on the number of flags as calculated during subsequent grading 

periods?). The EWS tool does not prescribe specific interventions for students based on 

the type or number of indicators, but rather relies on EWIMS teams to make data-driven 

decisions within their own local context of potential interventions available, to match 

students with interventions. 

 Conduct EWIMS monthly team meetings that are organized and documented. An 

agenda for each meeting should be prepared at the end of the prior meeting, and at least 

some agenda items should be routine, such as a review of the data from the tool, actions 

taken for individual or groups of students, a review of previous meetings’ action items 

(ongoing or completed), new action items, and communication with staff and leadership. 

Notes should be taken at each meeting and include action items assigned to specified 

individuals to accomplish. Agenda, meeting notes, and a faculty/staff sign-in sheet should 

be kept on file to provide a record of the team’s work.

 Communicate with individuals and groups outside of the EWIMS team. Information 

on flagged students, intervention effectiveness, and team-identified needs to support 

students should be routinely reported to and discussed with school and district leadership. 

Teachers should receive regular updates about students in their classes who are 

displaying indicators of risk, as well as input about supports available to them to use with 

these students. Last, students and their parents should be engaged in the conversation 

about their risk status and the plans to ensure that they are able to get back on track for 

graduation. Although the EWIMS team may not be directly responsible for meetings with 

individual students and their parents (i.e., delivering the individual interventions), the 

team should be in a position to prompt such meetings or to share information routinely 

about student progress and the early warning signs of risk. Of critical note, the team 

should share the knowledge of students’ risk with sensitivity, ensuring that identification 

is used to prompt action and support, not to assign labels that carry stigma.

 Solicit feedback from stakeholders. Feedback from administrators, teachers, staff, 

students, and parents can help the EWIMS team uncover underlying causes for students 

displaying indicators of risk. This information may help the EWIMS team match students 

to appropriate interventions and supports. 

 Monitor progress. The EWIMS team should monitor progress as it strives to improve 

educational outcomes for students during a single school year and over the course of 

multiple school years. The team should be responsible for presenting progress reports to 
key stakeholders, including principals, staff, district leadership, the local board of 

education, and parents.

Study Team Role and Responsibilities 

The project team is composed of researchers from the Midwest Regional Educational Laboratory 

at AIR. The major responsibilities for the study team are as follows: 

 Obtain necessary approvals from review boards (federal, district, and organizational 

Internal Review Boards) and comply with the research protocols in place.

 Provide access to the EWS tool and training and technical support for implementation.

 Collect data for the study. The majority of the data for this study will be administrative 

records transmitted from the district, thus minimizing the data collection burden on 

participating schools. The study team also will conduct an annual Web-based survey of 

all schools and collect all implementation data from schools assigned to the treatment 

group (EWS tool data, interviews with EWIMS team members).

 Assure confidentiality. The study team will collect data only for the purposes of this 

study and will not use or allow the use of the data for evaluating individual participants, 

schools, or districts.

 Each participant will be assigned a study-specific identification number, in place of 

their names. A data file that links each participant with their identification number 

will be kept in a password-protected file that only the study team can access.

 The published analysis of the results will aggregate results across all schools and will 

not include results that have been disaggregated by school or district.

 All members of the study team are required to complete a comprehensive training 

course that addresses current federal government standards and sign federal data 

confidentiality agreements.

 Analyze data and produce reports. The study team will be responsible for aggregating 

information about the effectiveness of EWIMS on student and school outcomes. The 

study team expects that the final report will be released in 2016, pending the federal 

review process, and will ensure that participating schools receive this report.

Timeline 

Table A-1 presents the major tasks of the project as they were described previously.

Table A-1. Major Tasks of the Project

Tasks Dates

EWIMS Implementation

Treatment schools implement EWIMS with Grades 9 and 10 Feb 2014–June 2014
Tasks Dates

Treatment schools implement EWIMS with Grades 9, 10, and 11 August 2014–June 2015

Control schools implement EWIMS August 2015–June 2016

Data Collection

Collect administrative records from the state and district Jan 2014–June 2015

Collect EWS tool data from treatment schools Jan 2014–June 2015

Conduct annual Web-based survey May 2014 and May 2015

Conduct interviews with EWIMS team members in treatment 

schools

June 2014 and June 2015

Analysis and Reporting 

Draft and submit final report. December 2015

EWIMS implementation is aligned with the academic calendar. The school-based EWIMS teams 

meet monthly, with other critical activities occurring prior to school beginning, after the first 20 

or 30 days of school, shortly after the end of each grading period, and at the end of the academic 

year. Table A-2 details expected key activities of EWIMS implementation over the course of an 

academic year.

Table A-2. Schedule and Key Activities for Early Warning Intervention and 

Monitoring System Implementation

Year 1 Activities 

Schedule Key Activities (aligned to the Early Warning Intervention and Monitoring System 

[EWIMS] implementation steps) 

February 

2014

 Forming/designating an EWIMS team (Step 1)

 Setting up the early warning system (EWS) Tool (Step 2)

 Begin convening monthly EWIMS team meetings (Step 1)

After the 

midyear 

grading 

period 

(~February 

2014)

 Importing or entering students’ absences, course failures, and behavior information 

(e.g., referrals and suspensions, by grading period) (Step 2)

 Reviewing and interpreting student- and school-level reports (Steps 3 and 4)

 Identifying and implementing student interventions (Step 5)

 Monitoring students’ responses to existing interventions in which they are 

participating (Step 6)

 Revising students’ intervention assignments, as needed (Steps 5 and 6)
Year 1 Activities 

Schedule

Key Activities (aligned to the Early Warning Intervention and Monitoring System 

[EWIMS] implementation steps) 

At the end 

of the school 

year (~June 

2014)

 Updating student roster to reflect new enrollees, transfers in and out, and so forth 

(Step 2)

 Importing or entering students’ absences, course failures, and behavior information 

(e.g., referrals and suspensions), by grading period, if applicable (Step 2)

 Reviewing and interpreting student- and school-level data (Steps 3 and 4)

 Identifying and implementing new student interventions (Step 5)

 Monitoring students’ responses to existing interventions in which they are 

participating (Step 6)

 Revising students’ intervention assignments for summer and for the next academic 

year, if needed (Steps 5 and 6)

 Evaluating the EWIMS process, using student- and school-level reports, and revise as 

necessary (Step 7)

 Exporting student data to (1) prepare the EWS tool for the next school year and/or 

(2) for those students who are transitioning to high school, share data with students’ 

high school(s).

Year 2 Activities 

Schedule Key Activities (aligned to the Early Warning Intervention and Monitoring System 

[EWIMS] implementation steps) 

At the 

beginning of 

the school 

year 

(~August 

2014)

 Reconvening the EWIMS team meetings (Step 1)

 Importing or entering student information and, if available, incoming risk indicator 

data into the EWS Tool (Step 2)

 Reviewing and interpreting student needs based on data from the previous year (e.g., 

review the Overage Student Report) (Steps 3 and 4)

 Verifying student information, especially enrollment status, and updating student 

roster to reflect new enrollees, transfers in and out, and so forth (Step 2)

 Reviewing incoming risk indicators or previous year data, including any additional 

information (e.g., bridge program participation, summer school participation, prior 

course performance), to review and interpret student needs (Steps 3 and 4)

 Identifying and implementing student interventions or supports based on incoming 

risk indicator information, if available (Step 5)

After the 

first 20 or 30 

days of the 

school year 

(~October 

 Updating student roster to reflect new enrollees, transfers in and out, and so forth 

(Step 2)

 Importing students’ absences (Step 2)

 Reviewing and interpreting student- and school-level reports (Steps 3 and 4)

 Identifying and implementing student interventions (Step 5)
2014)  Monitoring students’ initial response to interventions (Step 6)

 Revising students’ intervention assignments, as needed (Steps 5 and 6)

After the 

midyear 

grading 

period 

(~February

2015)

 Updating student roster to reflect new enrollees, transfers in and out, and so forth 

(Step 2)

 Importing or entering students’ absences, course failures, and behavior information 

(e.g., referrals and suspensions, by grading period) (Step 2)

 Reviewing and interpreting student- and school-level reports (Steps 3 and 4)

 Identifying and implementing student interventions (Step 5)

 Monitoring students’ responses to existing interventions in which they are 

participating (Step 6)

 Revising students’ intervention assignments, as needed (Steps 5 and 6)

At the end of 

the school 

year (~June 

2015)

 Updating student roster to reflect new enrollees, transfers in and out, and so forth 

(Step 2)

 Importing or entering students’ absences, course failures, and behavior information 

(e.g., referrals and suspensions), by grading period, if applicable (Step 2)

 Reviewing and interpreting student- and school-level data (Steps 3 and 4)

 Identifying and implementing new student interventions (Step 5)

 Monitoring students’ responses to existing interventions in which they are 

participating (Step 6)

 Revising students’ intervention assignments for summer and for the next academic 

year, if needed (Steps 5 and 6)

 Evaluating the EWIMS process, using student- and school-level reports, and revise as 

necessary (Step 7)

 Exporting student data to (1) prepare the EWS tool for the next school year and/or 

(2) for those students who are transitioning to high school, share data with students’ 

high school(s).

Benefits to Participation

There are many benefits of participation for your high school. Critical indicators in ninth and 

tenth grade that powerfully predict whether students are “on track” for high school graduation 

can be used as part of an early warning system to flag at-risk students early, assign appropriate 

interventions, and get students back on track. Participating in this high-profile, large-scale study 

will give your school and district an opportunity to access the Early Warning and Intervention 

Monitoring System (developed by the National High School Center at AIR) at no cost. The 

EWIMS model, currently in use in 67 districts in six states, includes both an excel-based tool and 

training and technical support for implementation. Your participation in this study will also play 

an important role in informing educational policy focused on dropout prevention in <state name> 

and at the federal level.
Questions or Comments

If you have any questions or comments about the study or the opportunity it provides for your 

school, please feel free to contact Dr. Nicholas Sorensen (nsorensen@air.org or 312-283-2318) 

or Dr. Mindee O’Cummings (mocummings@air.org or 202-403-5254).
Signatures of Commitment

Return via fax (312-288-7601) or e-mail (nsorensen@air.org)

The following people have read this document detailing the study and agree to the roles, 

responsibilities, and conditions of participation on behalf of <High School Name> and the study team.

<insert name> <insert title>

District Representative Signature Printed Name Title Date

Principal

Principal Signature Printed Name Title Date

Jessica Heppen Co-Principal Investigator

Principal-Investigator Printed Name Title Date

Mindee O’Cummings Co-Principal Investigator

Principal-Investigator Printed Name Title Date

Ann-Marie Faria Project Director 

Project Director Printed Name Title Date

Nicholas Sorensen Deputy Project Director 

Project Director Printed Name Title Date

Per the policies and procedures required by the Education Sciences Reform Act of 2002, Title I, 

Part E, Section 183, responses to this data collection will be used only for statistical purposes. 

The reports prepared for this study will summarize findings across the sample and will not 

associate responses with a specific district or individual. Any willful disclosure of such 

information for nonstatistical purposes, except as required by law, is a class E felony.