DSRT-839: Advanced Research Methods : Week 1 - IRB/Research Proposal Draft - Part I

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IRB Example Application Qualitative Study

Study Title: A Narrative Inquiry into the Evolution of Leadership Styles and Perceived Leadership Impact Encountered by Higher Education Administrators

Estimated start data of study: January 15, 2028

CITI training certificate:

Background: (Why is this study important? What problem are you trying to solve?)

Research regarding leadership styles in higher education administration is nothing new. Smith (2023) stated that higher education leaders have tremendous impacts on enrollment and sustainability of universities. Moreover, experienced higher education administrators have experienced a variety of leadership styles during their tenure in higher education (Johnson, 2022). Therefore, it is essential to understand the lived experiences of seasoned higher education administrators to garner the characteristics and qualities that lead universities to prosper. Research Questions:

RQ1. How do experienced higher education administrators describe their experiences working with effective and ineffective executive higher education leadership?

RQ2. As explained by experienced higher education administrators, what stories of sustainability and effectiveness by executive higher education leadership have had lasting impacts on leadership development?

RQ3. What lessons can be learned from experienced higher education administrators about executive higher education leadership?

Provide a summary of your Research Procedures:

The study will involve interviewing experienced (20+ years’ experience) higher education

administrators (Director level or higher). LinkedIn permissions have been granted by the appropriate

Please note this is an example of a fabricated study, the information needed for your study may differ in each section.

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parties to elicit participants who meet the criteria for the sample. After successful expert panel review and field testing, study participants will be interviewed about their career experiences serving as a higher education administrator and the lessons in leadership that have emerged during their tenure. Once the study is approved by the UC IRB, the recruitment script will be posted on the respective LinkedIn groups that provided permission to post recruitment material.

The individuals meeting the study inclusion criteria who choose to participate in the study, will be complete the informed consent, and if they wish to participate in the study, they will be given a schedule with opportunities to sign up for a virtual interview lasting 45-90 minutes. The interview guide has been developed through the literature review with the intent to explore the research questions. The expert panel reviewed, and field tested the interview protocol to ensure that the proposed interview questions can be answered with the list of interview questions. The field test results are uploaded in the data collection instrument link. The interview window will be open for eight weeks, beginning January 15, 2028, and ending on March 15, with the possibility of an extension if the recruitment does not garner enough responses. The interviews will be transcribed and analyzed using open coding via NVIVO software. From the codes, themes will be determined to effectively answer the research questions. Potential Risks and Benefits: There is always at least minimal risk associated with participating in any research. Please describe the potential risks that the study poses to subjects, whether seen or unforeseen, including physical, social, psychological, legal, or other risks. Describe how these risks will be minimized or mitigated. Describe the individual or overall benefits the study may offer.

There is always a minimal risk associated with participating in any research. The risk is minimal in this study, as it is a virtual interview. In the event a participant experiences stress or anxiety during participation in the study, the participant may skip the question that causes stress or anxiety. A participant may terminate participation in the interview at any time by notifying the interviewer. While the interview participants will be known to the researcher, their names and identification will be disguised through pseudonyms There is no individual benefit to participation in the study; however, study findings may provide the overall benefit of informing leadership at higher education institutions. Population and Sampling Procedure: Describe the demographic characteristics of the study population, including the sampling method, minimum sample size, and how adequate sample size was determined.

In an effort to achieve saturation of data for thematic analysis, 20 participants will be recruited with the hopes of having a minimum of 12 successful interviews, which meets the minimum described in the doctoral research handbook. The sample size was determined based on the principle of saturation. As Saunders et al. (2018) stated, “We conclude that saturation should be operationalized in a way that is consistent with the research question(s), and the theoretical position and analytic framework adopted,

but also that there should be some limit to its scope, so as not to risk saturation losing its coherence and potency if its conceptualization and uses are stretched too widely” (p.1893). Inclusion Criteria: Participants should

▪ be at least 18 years of age, and ▪ have a minimum of 20+ years’ experience in the position of higher education administrator (Director

or higher). Saunders, B., Sim, J., Kingstone, T., Baker, S., Waterfield, J., Bartlam, B., Burroughs, H., & Jinks, C. (2018). Saturation in qualitative research: exploring its conceptualization and operationalization. Quality &

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quantity, 52(4), 1893–1907. https://doi.org/10.1007/s11135-017-0574-8

Subject Recruitment Materials and Procedure: Describe the process of identifying and recruiting subjects for the research activities. Upload a copy of any recruitment material, such as flyers, advertisements, cover letters, etc. Specify any inclusion and exclusion criteria. The recruitment materials must be in language understandable and comprehensible to the participant and/or the legally authorized representative. This is not required for secondary/archival data studies where no live subjects will be recruited.

The study will utilize purposive sampling. The researcher will contact participants who fit the

inclusion criteria using LinkedIn’s InMail. Also, within the LinkedIn-defined groups, the researcher will request assistance with finding participants, and post to LinkedIn both generally and in targeted groups with permission from the group administrator. To promote the privacy of prospective participants, interested parties will be asked to direct prospective participants to an online demographic questionnaire used to screen for participation and collect contact information for the purpose of scheduling an interview. The demographic questionnaire may be found at www.includelink.com. Snowball sampling will also be used to gain additional participants by asking participants for referrals to colleges that match the inclusion criteria.

Recruitment Materials LinkedIn

Recruitment Script Greetings!

I am a doctoral candidate in the PhD in Leadership program at the University of the Cumberlands. I’m conducting research for my dissertation—“ A Narrative Inquiry into the Evolution of Leadership Styles and Perceived Leadership Impact Encountered by Higher Education Administrators,”—and am looking for approximately 20 experienced higher education administrators (20+ years of experience) to participate in one interview lasting 45 to 90 minutes with the possibility of a second brief interview if needed for follow- up. If you might be interested in participating, please complete a brief information and demographic form found at link.to.form.com. Please contact me here, via direct message, or at [email protected], if you have any questions. You can also contact my research supervisor, Dr. Faculty, at [email protected]. Informed Consent Form and Procedure: Describe the process of obtaining informed consent from participants prior to data collection. The informed consent form must be in a language understandable and comprehensible to the participant and/or the legally authorized representative. If using an online survey, informed consent should be included on the introductory page. Upload a copy of your Informed Consent form here.

The Informed Consent template was used to draft my Informed Consent. When a prospective participant

clicks on the demographic survey link, the informed consent will be seen as the first page before they

proceed to schedule an interview. At the bottom of the page, the potential participant will click “Yes” to

consent to participate. The survey will then proceed to the first demographic question on the survey. If the

potential participant clicks “No” to the consent question, a “Thank you.” message will be displayed, and the

individual will exit the survey.

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Informed Consent

Informed Consent

My name is and I am a doctoral candidate at University of the Cumberlands. You are invited to participate in my research study, A Narrative Inquiry into the Evolution of Leadership Styles and Perceived Leadership Impact Encountered by Higher Education Administrators. The study has been approved by the UC Institutional Review Board (IRB). You were selected as a potential participant due to being at least 18 years of age and working as a higher education administrator with 20+ years of experience. Please read the information here and ask any questions you may have before acting on this invitation to participate in the study. Background Information: This study explores the lifelong narratives of experienced higher education administrators and their stories of effective leadership and sustainability in higher education institutions. The expert panel reviewed and field-tested interview guide will be employed. The study will involve approximately 20 participants.

Inclusion Criteria: You can participate in this study if you:

▪ are at least 18 years of age and ▪ Have a minimum of 20+ years’ experience in the position of higher education administrator

(Director or higher)

Procedures: If you agree to participate in this study, you will be asked to participate in a 45–90-minute virtual interview. The interview should take no more than 90 minutes to complete. The interviews will take place between January 15 and April 5, 2024.

Voluntary Nature of the Study: Your participation in this study is strictly voluntary. Your decision to participate will not affect your current or future relations with your school district or the University of the Cumberlands. If you initially decide to participate, you are free to withdraw at any time without affecting those relationships.

Risks and Benefits of Participation: There is always a minimal risk associated with participating in any research. Prior to conducting interviews participants are informed about the research objectives, the nature of their involvement, and how their data will be used. The risk is minimal in this study, it is the researcher’s intention to ensure only needed personal information is collected. Participants may worry about potential repercussions from their school administration or colleagues if their opinions or experiences are perceived negatively which could lead to self-censorship or biased responses. In the event a participant experiences stress or anxiety during participation in the study, the participant may skip the question that causes stress or anxiety. A participant may terminate participation in the interview at any time by notifying the interviewer. While the interview participants will be known to the researcher, their names and identification will be disguised through pseudonyms before the arranged interview so that all recordings and documents for storage do not use personal information. There is no individual benefit to participation in the study; however, study findings may provide the overall benefit of informing leadership at higher education institutions. This research can inform higher education administrators in the demonstration of the perceptions of applicability of leadership styles.

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Compensation: There will be no compensation provided for your participation in this study. Recording: There will be audio recording of the participant involved in the study, if you choose not to be recorded you will still be able to participate in the study if the researchers can provide alternative transcription during the interview. Confidentiality: Any data or records gathered from your participation will be kept private. Any identifiable data gathered will be coded to protect your identity. Insert a brief description of other protocols to be used to assure privacy and confidentiality. In any report of this study that might be published, the researcher will not include any information that will make it possible to identify you. Research records will be securely stored on a password- protected computer and only accessible to the researcher and the researcher’s faculty advisors. Research

records will be deleted three years after the study is completed.

Contacts and Questions: The researcher conducting this study is Insert student’s name. The researcher’s faculty advisor is Insert committee chair name and contact information. You may ask any questions you have related to the consent to participation. If you have questions later, you may contact them via Insert researcher contact information or the UC Institutional Review Board (IRB) office at [email protected]. Consent I have read the above information, been given adequate time to consider the information, and understand my participation is voluntary so I may stop participation at any point. I have asked questions and received answers. I consent to take part in this study. I can download a copy of the completed form.

☐ Yes

☐ No

Data Collection: Specify the data collection process that will be used. If a survey is sent, who sends it. If data are provided who provides it? If interviews will be conducted, where and when? This must be clear enough that someone else could follow your steps and replicate the study.

Each prospective participant will complete a short demographic form to collect contact information and gauge criteria for participation in the study. Interviews will be conducted one-to-one via Zoom with each participant using a semi-structured interview protocol (please see attached). The interviews will last approximately 45 to 90 minutes. Each participant will be provided with a transcript of the interview and will be given the opportunity to amend or add to their statements. If needed, the researcher may request an additional short interview (no more than 20 minutes) to clarify points or seek additional information. The interviews will take place between January 15 and April 15, 2028.

Data Collection Instrument and Permission to Use: Provide instrument to be used for data collection (i.e., survey, questionnaire, interview guide, focus group guide, etc.) and permission, if applicable. For use of pre-validated survey scales or other instruments, copyright release/permission to use must be provided. If the instrument is publicly available for research purposes, evidence of the public availability must be provided. For electronic surveys or questionnaires to be implemented, the live URL to the instrument must be provided and included in the recruitment notice. Your Informed Consent document must be page 1 of

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your survey or questionnaire. If using an existing survey, explain the reliability and validity of information from the original authors. If you are developing your own survey or questionnaire, you must complete the pilot-test application and complete that process before applying for IRB approval for your study. If you will be conducting interviews or focus groups, you must complete the field-test application and complete that process before applying for IRB approval for your study. An expert panel review was conducted by inviting the study methodologist and content expert to review the interview instrument. Both parties provided feedback. With the feedback, the wording of questions were changed to be more open-ended and focused on the content of leadership in higher education as it related to research question two. After the expert panel review was completed, the field test application was submitted and approved field test by the IRB. A field test was deployed using the interview instrument with two separate individuals who met the demographic requirements of the study. As a result of the field test, the determination was made that too many questions had similar answers. Therefore, the instrument was modfied to remove questions three and seven. Additionally, the responses to question nine were short and did not ask participants to elaborate. Therefore, the follow-up question “Why” was added to question nine. The field test results will not be used in the final study.

Data Collection URL: If using Survey Monkey (or other online platform) to collect the Informed Consent and complete the demographic questions, that link will go here.

Demographic questions and introduction to the survey link www.link.com Data Retention: Identify the sources of material that will be obtained from subjects, what information will be recorded, concerns relating to privacy and confidentiality of human subjects or identifiable data. (All research-related records must be securely maintained for three years after the study is completed and these records are subject to audit.)

Recordings and transcripts of those recordings will be encrypted and stored locally on the researcher’s personal computer. Each participant will be randomly assigned a different name, which will be used in reporting findings and discussing those findings. No data will be shared with other entities. Recordings will be destroyed at the end of the study. Transcripts will be retained for three years per policy.

There will be times when the IRB will want to know the platform of recording and ensure that the researcher will edit the transcripts and not a third party. Site Permission and/or Data Use Permission: Evidence of site permission for data collection is required. Site Permission may be an email, formal letter, or an IRB approval from the organization, depending upon their requirements. Data Use Permission/Agreement is used when an organization is providing/sharing an existing, non-public data set with the researcher. For publicly available data, provide evidence of the public availability of the dataset. If recruiting using social media closed-groups (Facebook, Linkedin, etc.), include permission from the group administrator.

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This should be a screenshot of a DM or Email to demonstrate the permission.

Dear Researcher,

You may post your recruitment script for your study on our closed LinkedIn page “Higher Education Admins Cadre”

Sincerely,

John Doe

LinkedIn Group Administrator

Site Permission and Data Use Agreement:

Data Analysis: How will you analyze your data? For example, how will you measure your independent and dependent variables? What survey items measure the construct and what statistical analysis (if applicable) will you use?

Interviews will be transcribed by the researcher. NVIVO qualitative software will be used to perform open coding to determine themes based on research questions.

Study Method:

☐ Quantitative

☒ Qualitative

☐ Mixed Methods (Requires program director approval.)

☐ Applied Research (Requires program director approval.)

Study Type: (Check the box and click on the title type of application you are selecting to complete the appropriate category) Expedited: (Exempt because survey link will be forwarded by superintendent and the researcher is not having contact with participants.)

☐ Research, conducted in established or commonly accepted educational settings, that specifically involves normal educational practices that are not likely to adversely impact students’ opportunity to learn required educational content or the assessment of educators who provide instruction. This includes most research on regular and special education instructional strategies, and research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods (§46.104(d)(1)).

☒ Research that only includes interactions involving educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior (including visual or auditory recording) when at least one of the following criteria is met (§46.104(d)(2)): See (i), (ii), (iii).

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Protected Groups Will your research involve one of the following protected groups?

• Children • Persons with impaired decision-making capacity • Prisoners

☐ Research involving benign behavioral interventions in conjunction with the collection of information from an adult subject through verbal or written responses (including data entry) or audiovisual recording if the subject prospectively agrees to the intervention and information collection and at least one of the following criteria is met: §46.104(d)(3)(i) and A, B, C.

☐ Secondary research for which consent is not required: Secondary research uses of identifiable private information or identifiable bio-specimens, if at least one of the following criteria is met §46.104(d)(4): See (i), (ii), (iii). (iv).

☐ Study involves no recruitment of human subjects and involves only de-identified data.)

☐ Yes

☒ No

Principal Investigator Statement I certify that this application fully discloses the involvement of human subjects, or any data gathered from human subjects in this research study, and that participants will not be involved in any other way. I agree to follow the approved protocol in the conduct of this study and to abide by the protection of human subjects in research.

I understand that I am responsible for maintaining IRB study records in a secure manner while the study is active and for a period of three (3) years following closure, termination, or expiration of IRB approval, then destroy using appropriate techniques based on the storage method, protecting participants’ confidentiality throughout the process.

I understand that changing any of these procedures will require an IRB modification submitted to the IRB for review prior to the implementation of any changes to study protocols.

I understand that I should complete the IRB Close-Out form after the research study is completed to notify the IRB that the study has concluded.

Typing your name below serves as your official signature.

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Please note this is an example of a fabricated quantitative study; the information needed for your study may differ. You should work with your Chair to determine appropriate responses for each question as it relates to your particular study.