Ethical Approval Form: Human Research Projects This form must be completed for each piece of research activity whether conducted by academic staff, graduate students or undergraduates. The completed form must be approved by the designated authority within the Faculty/Institute.

Name of applicant Karin Crawford

University of Lincoln

International Institute for Education Leadership

Position in the University

Doctor of Education – Education Leadership and Management (EdD) Student (Enrolment Number 93025410) (Please note that I am also an employee of the university, a Senior Lecturer in the Faculty of Health, Life and Social Sciences. However, this research is being undertaken in my capacity as an EdD student)

Role in relation to research

Researcher and EdD student

Project title

Continuing Professional Development in Higher Education: Academics as teachers, learners, members of learning communities

Brief description of project with approximate start and completion dates This project is planned to span over a three-year period (see outline project plan –

Appendix 1). This is a qualitative research project that is set within the context of

national policy in Higher Education. This project focuses on research and analysis of

CPD of academics in Higher Education. The overall purpose of this project is to develop

an understanding of the influences on CPD practices in academia. The investigation will

explore the potential influences on how academic staff continue to develop and learn. Principal investigator or supervisor, including phone number and e-mail address Karin Crawford – 01482 311234 – kcrawford@lincoln.ac.uk Supervisor – Professor David Scott – dscott@lincoln.ac.uk Other researchers or student investigators There are no other researchers involved in this project

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Type/number of subjects involved and how de-briefing will be carried out The sample will include academics and managers from a minimum of four universities, of which the University of Lincoln is one. The other sample case-studies have not yet been identified and confirmed, as this ethical approval needs to precede that process. An outline sampling strategy is attached (Appendix 2). The sample of academics from each case-study department will include all major subcategories of this group, namely; men; women; those who are new to academia; those who have been employed as academics in HE for a number of years; academics working in vocational, professional subject areas; and academics working in pure subject areas. When working with academics, the project will use initial questionnaires, followed by in-depth, narrative, biographical interviews. When collecting data from managers or other key informants, the project will use semi-structured interviews and documentary analysis. Location(s) at which project is to be carried out There will be a minimum of four universities which will form the sites for the data collection processes – it is anticipated that two departments within each will be the research case-studies. The University of Lincoln is to be one of the sites, the others are to be identified and confirmed once evidence of ethical approval can be provided. The ethical issues involved and how they are to be addressed, including a risk assessment of the project based on the vulnerability of participants, the extent to which it is likely to be harmful and whether there will be significant discomfort. Whilst none of the participants are considered to be ‘vulnerable’ and there is no indication that the research processes will result in any harm or discomfort, the research does raise a number of ethical issues purely because it is research with people. The following bullet points provide details of the issues identified and the plans that have been put in place to address them. A ‘Permission and Information Sheet’ has been prepared (See Appendix 3) and this will be used with all research participants. It will also be available electronically for all participants, in advance of meetings with the researcher. - Confidentiality and Consent – all participants will be required to formally, through

signature on the ‘Permission and Information Sheet’, indicate their consent to participating in the research process. They will be given the opportunity to withdraw from the research at any time prior to the publication of the research findings. The matter of how data will be collected and stored, with reference to the Data Protection legislation will be clarified for participants, with information being stored in locked cabinets or on IT hardware protected with the highest security software. The final thesis and possible significant elements of the project will be published and therefore openly accessible, however, no individual respondents will be identified or identifiable. It will also be clear, that the information provided by individual academics will not be made available to their employers or managers. Where key themes or ideas are drawn out, they will not be attributed to individuals. Similarly, individual case-study institutions or departments will not be named.

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- Rights and Responsibilities – The ‘Permission and Information Sheet’ will clarify the

researcher’s role, both in the context of this research project and in own employment and practice context. It will also provide participants with a very brief overview of the project and where they can access further information. This document will also give participants an indication of the time commitment required from them and clarity about what they can expect from the researcher and the project, for example, no expenses for participation can be paid, updates on progress will be available and copies of a summary final report will be provided.

- Addressing concerns or further enquiries – the researcher will ensure, again through

the ‘Permission and Information Sheet’, that all participants have an alternative contact (other than the researcher) should they wish to raise any concerns about the ethical conduct of the researcher.

Note: This will normally cover such issues as whether the risks/adverse effects associated with the project have been identified and dealt with, whether the benefits of the research outweigh the risks, whether the information and consent arrangements are adequate, and whether the level of any inducements to participate are appropriate.

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Signature of applicant I certify that I have read the University’s ETHICAL PRINCIPLES FOR CONDUCTING RESEARCH WITH HUMANS AND OTHER ANIMALS Signed by the lead applicant (with date) --------------------------------------------------------------------- then print name KARIN CRAWFORD Approval Does this research require the approval of an external body? NO external approval is required. Signed on behalf of the Faculty/Institute Research Committee (with date)