specialization chair’s approval after section...
TRANSCRIPT
STATEMENT OF ORIGINAL WORK
I understand that Capella University’s Academic Honesty Policy (3.01.01) holds learners accountable for the integrity of work they submit, which includes, but is not limited to, discussion postings, assignments, comprehensive exams, and the dissertation. Learners are expected to understand the Policy and know that it is their responsibility to learn about instructor and general academic expectations with regard to proper citation of sources in written work as specified in the APA Publication Manual, 6th Ed. Serious sanctions can result from violations of any type of the Academic Honesty Policy including dismissal from the university.
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LEARNER NAME: Lester Lurie
LEARNER ID: 1323361
Capella email address:[email protected]
MENTOR NAME: Dr. Robert Pohl
Date:12/11/13 (Draft # 8)
School of EducationResearch Plan: QUALITATIVE
This Research Plan (RP), version 2.O, must be completed and reviewed before taking steps to collect data and write the dissertation. In the School of Education, its satisfactory completion satisfies dissertation milestone 5, indicating that the RP proposal has passed the “scientific merit review,” part of the IRB process.
Specialization Chair’s Approval after Section 1When you have completed Section 1 along with initial references in section 5, send the RP to
your mentor for review. When your mentor considers it is ready, he or she sends it to Dissertation Support to forward to your specialization Chair. The Chair approves the topic as appropriate within your specialization. You then go on to complete the remaining sections of the RP.
Do’s and Don’ts Do use the correct form! This RP is for QUALITATIVE designs. Do prepare your answers in a separate Word document. Editing and revising will be easier.
o Set font formatting to Times New Roman, 11 point, regular style font Do set paragraph indentation (“Format” menu) for no indentation, no spacing.
Do copy/paste items into the right-hand fields when they are ready. Don’t delete the descriptions in the left column! Don’t lock the form. That will stop you from editing and revising within the form. Do complete the “Learner Information” (A.) of the first table, and Section 1 first. Don’t skip items or sections. If an item does not apply to your study, type “NA” in its field. Do read the item descriptions and their respective Instructions carefully. Items request very
specific information. Be sure you understand what is asked. (Good practice for IRB!) Do use primary sources to the greatest extent possible as references. Textbooks are not
acceptable as the only references supporting methodological and design choices. Do submit a revised RP if, after approval, you change your design elements. It may not need a
second review, but should be on file before your IRB application is submitted.
Scientific Merit
The following criteria will be used to establish scientific merit. The purpose of the review will be to evaluate if the study:
Advances the scientific knowledge base. Makes a contribution to research theory. Demonstrates understanding of theories and approaches related to the selected research
methodology.
GENERAL INSTRUCTIONS
Complete the following steps to request research plan approval for your dissertation:
Topic Approval
1. Develop topic and methodological approach: Talk with your mentor about your ideas for your dissertation topic and a possible methodological
approach. Collaborate with your mentor to refine your topic into a specific educational research project that
will add to the existing literature on your topic.2. Complete Section 1 of the RP form.
Complete Section 1 addressing the topic and basic methodology and e-mail the form to your mentor for approval. Follow the instructions carefully.
Collaborate with your mentor until you have mentor approval for the topic. After you have received mentor approval for Section 1, your mentor will submit these sections to your specialization chair for topic approval via [email protected].
The specialization chair will notify you and your mentor of their approval and will send a copy of the approval to [email protected].
Milestones 3 and 4
3. Complete Remaining RP Sections. After your specialization chair approves the topic and basic methodology, continue to collaborate
with your mentor to plan the details of your methodological approach. Once you and your mentor have agreed on clear plans for the details of the methodology,
complete the remainder of the RP form and submit the completed RP form to your mentor for approval.
Expect that you will go through several revisions. Collaborate with your mentor until you have their approval of your RP plan.
After you have a polished version, you and your mentor should both review the Research Plan criteria for each section, to ensure you have provided the requisite information to demonstrate you have met each of the scientific merit criteria.
4. After your mentor has approved your RP (Milestone 3), s/he will forward your RP to your Committee for their approval (Milestone 4).
Mentor and committee approval does not guarantee research plan approval. Each review is independent and serves to ensure your research plan demonstrates research competency.
Milestone 5
After you have obtained mentor (Milestone 3) AND committee (Milestone 4) approvals of the completed RP form, your mentor will submit the completed RP via [email protected] to have your form reviewed for Scientific Merit.
5 (a). RP form in review: The scientific merit reviewer will review each item to determine whether you have met each of the criteria. You must meet all the criteria to obtain reviewer approval. The reviewer will designate your RP as one of the following: Approved Deferred for minor or major revisions Not approved Not ready for review Other
5 (b). If the RP has been deferred: The SMR reviewer will provide feedback on any criteria that you have not met. You are required to make the necessary revisions and obtain approval for the revisions from your
mentor. Once you have mentor approval for your revisions, your mentor will submit your RP for a second
review.
You will be notified if your RP has been approved, deferred for major or minor revisions, or not approved.
Up to three attempts to obtain research plan approval are allowed. Researchers, mentors, and reviewers should make every possible attempt to resolve issues before the RP is failed for the third time. If a researcher does not pass the scientific merit review on the third attempt, then the case will be referred to the research specialists in the School of Education for review, evaluation, and intervention.
While you await approval of your RP, you should be working to complete your IRB application and supporting documents.
Once you have gained Research Plan approval (Milestone 5), you are ready to submit your IRB application and supporting documents for review by the IRB team.
Milestone 6
6. Submit the Approved RP to the IRB: Once you obtain research plan approval, write your IRB application and accompanying
materials. Consult the Research at Capella area within iGuide for IRB forms and detailed process directions. You are required to obtain research plan approval before you may receive IRB approval.
Obtaining research plan approval does not guarantee that IRB approval will follow.Milestone 7
7. Complete the Research Plan Conference call: Once you have gained approval by the IRB, you are ready to schedule your Proposed Research
Conference Call. You may not proceed to data collection until you have completed this set. Work with your mentor and committee to set a date for the conference call. Upon successful completion of the Proposed Research Conference Call, your mentor will
complete the corresponding Milestone Report and you are ready for data collection.
Researchers, please insert your answers directly into the expandable boxes that have been provided!
A. Learner and Program Information(to be completed by Researcher)
Researcher Name Lester LurieResearcher Email [email protected] ID Number
1323361
Mentor Name Dr. Robert PohlMentor Email [email protected] Leadership in Educational AdministrationSpec Chair EmailCommittee Member Dr. Lisa GarciaEmail [email protected] Member Dr. Stephen O’BrienEmail [email protected]
Section 1. Research Problem, Significance, Question(s), Title: Qualitative
1.1 Proposed Dissertation Title
(Usually a statement based on the research question--short and to the point.)
Opportunities for Transformational Leadership Practices in New Principal Standards and Evaluations: Discoveries from the Field (No Principal Left Behind)
1.2 Research Topic
Describe the specific topic to be studied in a paragraph. (Be certain that the research question relates to the topic.)
The researcher will study 12 principals to discover how the newly developed principal standards and evaluations in the state of Colorado, recently released from the encumbrances of No Child Left Behind (NCLB), are used as a vehicle for inspiring transformational leadership (TL) practices and critical pedagogy (CP). The role of the school principal in the era of NCLB has had inherent limitations. The notion of principal success has typically rested disproportionately on standardized test results. The centralization of educational policy in the NCLB era has set a restrictive and authoritative tone. In Colorado, throughout this era, principal evaluations have been inconsistently applied or not applied at all. This reality has made it difficult to coach principals to realize transformational leadership practices. New principal standards and evaluations have been implemented for the first time across Colorado for the 2013-14 school years providing a great opportunity to learn from principals as this new era unfolds. Lodico, Spaulding, and Voegtle (as cited in the Capella School of Education Handbook, 2012) suggest that a setting and study may be chosen because of a “recent event” (p. 48). The passing of Colorado Senate Bill 191 and the implementation of these new standards and evaluations, as a result of this legislation, is what inspires this study.
1.3 Research ProblemThe researcher will study 12 principals to discover how they use the new
Write a brief statement that fully describes the problem being addressed. Present this in one sentence or no more than one clear concise paragraph.
standards and evaluations as meaningful measurements to enable them to fulfill their transformational leadership potential. During the era of NCLB principal performance has largely, if not entirely, been based on standardized test results. Colorado’s new principal evaluations take in to account many new variables in what are being referred to as, “Effective Quality Standards.” Subset standards are “Strategic Leadership,” “Culture and Equity Leadership,” “Human Resources,” “Managerial Leadership,” and “External Development Leadership.” Subsumed under these standards are 23 “elements.” With the new evaluation, test scores are to account for no more than 50% of how a principal’s performance is measured. This new paradigm leaves half of a principal’s performance to be measured by wide range of qualitative elements. This study is especially important given years of inconsistent use of principal evaluations, across Colorado and the nation, combined with what has been a relatively unchanged gap in student achievement despite NCLB and emphasis on measuring instructional and leadership success on standardized test scores
1.4 Research Purpose
Write a brief statement that fully describes the intent of the study or the reason for conducting the study. Present this in one sentence or no more than one clear concise paragraph.
The purpose of the study is to discover how newly implemented principal standards and evaluations in one of twelve states recently released from the regulations of NCLB (Colorado) presents opportunities for principals to realize their transformational and critical pedagogical leadership potential. The purpose of the study is to contribute to the very limited body of knowledge on positive principal practices since the inception of Colorado Senate Bill 191that prescribed the new standards and evaluations. As the achievement gap between minority populations and majority populations is significant and stable, combined with population trends projecting a growing number of special populations entering our schools in the future, it is very important to shape policy and practices that encourage critical and transformational leadership practices. A study on the successes of implementing the new standards and evaluation system would be a step in this direction. Furthermore, the study would incorporate the voice of principal experience to help further promote transformational and critical pedagogy leadership practices in the context of this new era in state educational policy. The use of new state developed principal standards and evaluations will serve as a framework to begin the process of data collection and listening to the voices of principals through a series of interviews.
1.5 Research Question(s)
(What do you really want to know? The rest of this form derives from and should constantly be guided by your research question. Always consider your research question in addressing all following components of this design form.)
How do the new Principal Quality Standards positively impact leadership practices according to principals in the field?
1.6 Literature Review Section
Provide a brief overview of the
Transformational Leadership (TL) theory encourages leadership to bring out the best, even moral motivations of followers (Burns, 1978). Humanistic/Positivist Psychology suggests that people are motivated to become self-actualized, to realize their full potential (Maslow, 1970).
conceptual framework upon which your study is based. Identify the seminal research and theories that inform your study. Discuss the topics and themes that you will use to organize your literature review. Attach the most current list of references with the Research Plan.
Constructivist Theory is based on the notion that learning must originate from the past experiences of learners and that learning is a socially mediated process (Dewey, 1938; Vygotsky, 1978). Critical theory suggests that socio-economic realities place material limitations on people seeking to reach their full potential (Friere, 1970). However, there can be times when these socio-economic realities can be challenged and changed for the good of those being held back, the moment referred to by Friere (1970) as “Praxis.” Change for the good of those being held back, or Praxis, is a moral and transformational undertaking. Social Psychology theory suggests change occurs once a critical mass has been reached; there then occurs an “unfreezing-change-freezing” of the phenomena (Lewin, 1947). Years of top-down educational policy, combined with a trend toward growing number of special populations in our schools, suggest time for change has begun and principal’s need to be evaluated more on their transformational leadership practices than in years past. The decades of emphasis on test scores and transactional policies of the federal government have not sufficiently closed the achievement gap. Public educational policy is slowly shifting, unfreezing. New “Principal Quality Standards” are to be examined with the goal of promoting transformational and critical leadership practices.
1.7 Need for the Study
Describe the need for the study. Provide a rationale or need for studying a particular issue or phenomenon. Describe how the study is relevant to your specialization area.
Garnering advice from principals in the field is relevant to examining recent policy changes that are intended to promote favorable conditions for transformational and critical leadership. The study is also relevant to identifying best transformational leadership practices that can then be expressly articulated through the new principal evaluations as they take shape the initial years of implementation. New educator standards and evaluations, as stipulated in Colorado Senate Bill 191, are symptomatic of stakeholder’s demand for greater leadership accountability and desire for improvement in the achievement gap. The new Principal Quality Standards and corresponding evaluation system are a response to this demand. There is a need to study both the standards and evaluation instruments to see how they promote the processes that promote research proven transformational leadership practices. Prior to recent public policy initiatives such as Colorado SB 191, principal standards and evaluations were inconsistent at best and performance was largely judged by standardized achievement test scores. Therefore, research around principal effectiveness is quite limited. Research around transformational leadership and critical pedagogical practices to improve school culture and student achievement, however, helps to guide what researchers and studies such as this one should be investigating (DuFour & Marzano, 2011; Benis & Nanus, 1985; Bass, 1981; Burns, 1978; Friere, 1970,).
With a relatively unchanged achievement gap and a demographic transition toward many more special student populations projected to attend public schools over the next 30 years, the role of school leadership must be re-examined. According to the National Center for Educational Statistics (2010), of the ELL populations, Latino students have the lowest high school graduation rate at 71 percent. Furthermore, Department of Education (2013) data projects that by the year 2040 first and second generation children of
immigrant families will make up 50 percent of public school youth. The majority of these students will be Latino ELL populations. This growing population needs to be better served and transformational change arguably begins with the school principal.
Hence, there is a clear need to study and evaluate the implementation of these new standards and evaluations as they are actually deployed across the entire state. To research and discover the processes that positively impact the work of principals under the new standards and evaluations will provide valuable data to the body of knowledge where little data presently exists. Additionally, as the National Association of Elementary and Secondary Principals suggest in their treatise Rethinking Principal Evaluation (2013) that, “without the inclusion of the expertise of school and instructional leaders, the new evaluation systems created across the country may not necessarily be improved or attain the desired results, and, as a result, principals may not view feedback from these new evaluation systems as informative for improvement of their practice or their schools” (p. 1).
1.8 Methodology
Describe the qualitative methodology and research model you propose to use; e.g., Merriam for a basic qualitative study, Yin for a case study, or Moustakas for a phenomenological study.
Briefly identify the method(s) will you use to collect the data, such as: semi-structured interviews, open-ended conversational interviews, journaling, letters, pictures, observations, field notes, focus groups.
A basic qualitative methodology is the most appropriate research design to identify how school leaders use the new standards and evaluation system to find opportunities for them to improve their practice in the field and to become transformational leaders (M. Worthington, personal communication, November 1, 2013). Data will be collected through semi-structured interviews of twelve principals from the largest district in the Denver metropolitan area. Principal interviews will be taped and then transcribed. Open coding and then axial coding will occur as each interview unfolds and is transcribed and coded. Coding will be constant comparative and inductive. Themes will emerge with the constant comparative coding process. The data analysis software ATLAS ti will be used to facilitate coding. Lodico, Spaulding, and Voegtl (as cited in the Capella School of Education Handbook, 2012, p. 49) have suggested that recent events can create a rare opportunity to study an issue. The passing of Colorado Senate Bill 191and the first year of implementation of the new principal effectiveness standards and evaluation seems to provide just such an opportunity.
DISSERTATION RESEARCHERS: STOP!!!
Forward completed Section 1 plus your references gathered so far to your Mentor for review and for Specialization Chairs’ Approval. (Work on your full Literature Review while waiting for topic approval)
Section 2. Advancing Scientific KnowledgeDISSERTATION RESEARCHERS: Do not complete remaining sections until you have received topic approval.
Your study should advance the scientific knowledge base in your field by meeting one or more of these four criteria:
1. The study should address something that is not known or has not been studied before.2. The study should be new or different from other studies in some way.3. The study should extend prior research on the topic in some way.4. The study should fill a gap in the existing literature.
Specifically describe how your research will advance scientific knowledge on your topic by answering all of these questions. Include in-text citations as needed.
2.1 Advancing Scientific Knowledge
Demonstrate how the study (a) will advance the scientific knowledge base; (b) is grounded in the field of education; and (c) addresses something that is not known, something that is new or different from prior research, something that extends prior research, or something that fills a gap in the existing literature. Describe precisely how your study will add to the existing body of literature on your topic. It can be a small step forward in a line of current research but it must add to the body of scientific knowledge in your specialization area and on the topic.
1.
Research suggests that transformational leadership can have significant and positive outcomes on school culture, instruction, student achievement, teacher satisfaction, parent involvement and daily operations of a school (Owens & Valesky, 2011). Critical theory asserts that it is difficult for marginalized populations to gain a voice in a socioeconomic system that is perpetuated by those it favors. The loosening of NCLB restrictions seem to point towards a new juncture or “unfreezing” (Lewin, 1947) in educational policy that may lend itself to systemic change. The changing demographics of our public schools and the stalemate in efforts to close the achievement gap necessitate a reexamination of the status-quo. Recent national initiatives such as Race to the Top and state initiatives such as Colorado Senate Bill 191 suggest this as well.
This study will build on existing knowledge of transformational leadership and critical pedagogical practices to advance what we know about these in the context of recent turn of events in Colorado educational policy. Change is happening. Discovering opportunities to improve their practice as principals are guided by new standards and evaluations will help facilitate policy discourse and implementation. This work will also add qualitative information for school leadership that seeks to undertake professional development around the new effectiveness standards and evaluations. Because principal standards and evaluations have been inconsistently applied or even surprisingly absent in school accountability initiatives up to present, research in this area will begin to add qualitative data where little
exists today.
2.2 Theoretical Implications
Describe any theoretical implications that the proposed study may have for understanding the phenomena to be investigated. For example, will the study generate new substantive theory, provide a description of the lived experiences of the participants, illuminate a process or practice, or provide a description of a cultural phenomenon?
Transformational Leadership (TL) theory encourages leadership to bring out the best, even moral motivations of followers (Burns, 1978). Humanistic/Positivist Psychology suggests that people are motivated to become self-actualized, to realize their full potential (Maslow, 1970). Constructivist Theory is based on the notion that learning must originate from the past experiences of learners and that learning is a socially mediated process (Dewey, 1938; Vygotsky, 1978). Critical theory suggests that socio-economic realities place material limitations on people seeking to reach their full potential (Friere, 1970). However, there can be times when these socio-economic realities can be challenged and changed for the good of those being held back, the moment referred to by Friere (1970) as “Praxis.” Change for the good of those being held back, or Praxis, is a moral and transformational undertaking. Social Psychology theory suggests change occurs once a critical mass has been reached; there then occurs an “unfreezing-change-freezing” of the phenomena (Lewin, 1947). Years of top-down educational policy, combined with a trend toward growing number of special populations in public schools, suggest time for change has arrived and principal’s need more than ever to be free to realize their transformational leadership potential. New principal quality standards and evaluations, as they promote transformational and critical leadership, developed in response to Colorado Senate Bill 191, will be better understood when studied through the perceptions of principals in the field.
2.3 Practical Implications
Describe any practical implications that may result from your research. Specifically, describe any implications the research may have for understanding phenomena for practitioners, the population being studied, or a particular type of work, educational, community, stakeholders or other setting.
Critical analysis of NCLB, Race to the Top, and common core standards needs to be reinvigorated, especially in light of projected demographic trends and recent initiatives toward the decentralization of education policy. Practically, the hope is that the study will foster a healthy discourse on the new principal quality standards and evaluations that ultimately will lead to opportunities for transformational and critical leadership practices. Colorado is one of 12 states recently released from NCLB and could lead this change. Principal standards and evaluations have never been consistently applied across the country or within individual states. Typically, most principal performance has been measured by standardized test results. This disproportionate emphasis on standardized test results is counter to what educational research claims as best practice. The one dimensional emphasis of this form of accountability is counter to the pluralistic foundations of our democratic traditions. Based on a unacceptably stable achievement gap and a projected increase in special populations in our public schools in the near future, principals must not only be held accountable but also must be inspired by more comprehensive measures to evaluate their performance. They must be given real opportunities to undertake transformational and critical pedagogical practices. Discovering how principals actually demonstrate transformational leadership practices within the context of the new standards and evaluation will be a practical contribution to the profession. Finally, as the National Association of Elementary and Secondary
Principals suggests in their treatise Rethinking Principal Evaluation (2013), “without the inclusion of the expertise of school and instructional leaders, the new evaluation systems created across the country may not necessarily be improved or attain the desired results, and, as a result, principals may not view feedback from these new evaluation systems as informative for improvement of their practice or their schools” (p. 1).
Review of Section 2. Advancing Scientific Knowledge
Does the study advance scientific knowledge in the field and the specialization area by meeting one or more of these four criteria?
Does the study address something that is not known or has not been studied before?
Is this study new or different from other studies in some way?
Does the study extend prior research on the topic in some way?
Does the study fill a gap in the existing literature?
__x___YES ____ NO
Reviewer Comments:
Section 3. Contributions to the Field
Your study should make a contribution to your field based on the approach used to conduct the research:
A. Basic Qualitative Research that explores education related experiences, how participants make sense and ascribe meaning to those experiences or illuminates educational processes or practices.
B. Case Study - The study should develop an educational lesson to be learned.
A basic qualitative methodology is the most appropriate research design from which to identify how school leaders reconcile the new standards and evaluation system with opportunities for them to improve their practice in the field and to become transformational leaders (M. Worthington, personal communication, November 1, 2013). Data will be collected through semi-structured interviews of twelve principals from the largest district in the Denver metropolitan area. Principal interviews will be taped and then transcribed. Open and axial coding will occur as each interview unfolds and is transcribed and coded. Coding will be constant comparative and inductive. Themes will emerge with the constant comparative coding process. The data analysis software ATLAS ti will be used to facilitate coding. Lodico, Spaulding, and Voegtl (as cited in the Capella School of Education Handbook, 2012, p. 49) suggest that recent events can create a rare opportunity to study an issue. The passing of Colorado Senate Bill 191and the first year of implementation of the new principal quality
C. Grounded theory - The study should generate new educational theory or an emergent theory.
D. Phenomenology - The study should yield a description of the lived experience of the participants..E. Ethnography – The study should produce a description of some educationaldimensions of a culture.
F. Other (e.g., action research, narrative analysis, analysis of secondary qualitative data, critical research, or other SOE acceptable qualitative research methods.)
Describe how your study is grounded in and/or adds to knowledge in the field.
standards and evaluation seems to provide just such an opportunity.
This study will build on existing knowledge of transformational leadership and critical pedagogical practices to advance what we know about these in the context of recent turn of events in Colorado educational policy. Discovering opportunities to improve their practice as principals are guided by new standards and evaluations will help facilitate policy discourse and implementation, not just in Colorado but across the nation. The study will also build on the professional development opportunities for school leadership that seeks to embrace the study’s findings. Because principal evaluations have been inconsistently applied, and in some cases even absent, in school accountability initiatives up to present, research in this area will begin to add qualitative data where little exists today. This study will take up the call of the United States Department of Education’s Blueprint for Reform (2010) “to develop and implement systems of…principal evaluation and support, and to identify effective and highly effective…principals on the basis of student growth and other factors” (p. 4). “Without the inclusion of the expertise of school and instructional leaders, the new evaluation systems created across the country may not necessarily be improved or attain the desired results, and, as a result, principals may not view feedback from these new evaluation systems as informative for improvement of their practice or their schools” (Clifford & Ross, 2013, p. 1).
Review of Section 3. Contributions to the Field
Does the Research make a contribution to the field based on the approach used to conduct the research?
___x__YES ____ NO
Reviewer Comments:
Section 4. Methodology Details4.1 Purpose of the Study
Describe the purpose of the study.Why are you doing it? (The answer must be grounded in the
White, Makkonen, Vince, Bailey and Regional Educational (2012) cite research to state that there “are fewer published empirical studies of evaluation practices for principals than for teachers. One recent large-scale study of national principal evaluation practices found that most lacked usefulness, psychometric strength, and instrument accuracy” (p. 11). White
literature in what has been done--hasn’t been done or needs to be done.)
How will the methods to be used actually answer the research question?
et al. (2012) also add that “another recent study found that assistant superintendents tended to serve as primary evaluators for principals; the study also highlighted problems in training [principal] evaluators [other than superintendents]...” (p. 11).
Therefore, the purpose of this study will be to take up the call of the United States Department of Education’s Blueprint for Reform (2010) “to develop and implement systems of…principal evaluation and support, and to identify effective and highly effective…principals on the basis of student growth and other factors” (p. 4). Furthermore, the study will seek the “expertise of school and instructional leaders…[who] may not view feedback from these new evaluation systems as informative for improvement of their practice or their schools” (Clifford & Ross, 2013, p. 1) if their voices are not heard in the implementation of the standards and evaluations. A basic qualitative research method will be used to understand how principals interpret their experiences under the standards and evaluations, how they construct their worlds under the new standards and evaluations and how they discover meaning they attribute to their experiences (Merriam, 2009).
Review of 4.1 Purpose of the Study
Is the purpose of the study clearly stated?
__x___YES ____ NO
Reviewer comments:
4.2 Research Methodology
The qualitative methodologies accepted for education are ethnography, case study, grounded theory, phenomenology, basic qualitative research or other. Describe the qualitative methodology (for example phenomenology) and research model you propose to use, supported and referenced by primary sources. Describe in detail the method(s) will you use to collect the data, such as: open-ended conversational interviews, journaling, letters, pictures, observations, field notes, focus groups – focus groups are only used for ethnography and generic qualitative research.
Briefly describe how the study will be conducted. (Describe how you are going to carry out the study.)
A basic qualitative methodological approach will be taken for this study. The researcher is “Interested in understanding the meaning a phenomenon has for those involved” (Merriam, 2009, p. 22). In this instance, the researcher wants to understand how principals discover their transformational leadership potential under the new policy paradigm of the Principal Quality Standards and evaluations.
Twelve principals in the Denver Public School District will be interviewed. The “grand tour” (Lodico et al, 2010) question will be:
What positive impact has the new Principal Quality Standards had?
Sub-questions will be:
What opportunities have arisen to improve school leadership practices under the new Principal Quality Standards?
What standard and elements in the new Principal Quality Standards encourage transformational and critical leadership practices?
Each interview is expected to forty-five minutes and an hour, depending on principal availability. Each interview will be digitally voice and video taped, transcribed and coded. The transcription and coding will likely get done professionally for the sake of research integrity. The researcher will
also keep a log simultaneous to the interview process. This “audit trail” (Merriam, 2009, p. 222) will help ensure that the results are consistent with the data. Furthermore, member checks will be used to enhance credibility.
Review of 4.2 Research Methodology
Does the research design proposed seem appropriate for the research question? Is the research design clearly and accurately described? Can the design answer the research proposed sample, design and analysis?
_____YES __x__ NO
Researcher Comments: Research questions need work and need to be aligned to the method
4.3 Population and Sample to Selection of the Research Site
Describe the characteristics of the larger population from which the sample (study participants) will be drawn. Next describe the sample that will participate in the study and the sample size. Justify the sample size with support from the literature.
Note:
In qualitative research, the setting of the study is selected because the purpose of the study and the research questions can best be answered in that setting particular setting.
Qualitative research makes use of what is known as purposive sampling. That is, the study will take place in a carefully selected setting and using participants that have been chosen for specific reasons or characteristics. For example, the setting may be representative of the phenomenon or problem for study (what is typically found), or one where the phenomenon exists in the extreme (making it easier to identify critical concepts, variables or themes). The setting may represent a critical event where the phenomenon may suddenly emerge. However, the site is not randomly selected as is frequently done in quantitative research.
The larger population to which the sample of 12 principals belongs is that of all principals in Colorado having gone through the first year of new principal evaluations and new principal quality standards. Selection will be purposeful and made based upon the director of human resources knowledge of principals in the field who have risen to the call for improved performance under the new standards and evaluations.
Merriam (2009) states that small, nonrandom, purposeful sample is selected precisely because the researcher wishes to understand the particular in depth, not to find out what is generally true of the many” (p. 224). However, Merriam (2009) also suggests that the general resides in the particular and providing thick rich descriptions “enables readers to compare the fit with their situations” (p. 226). Given that there have not yet been qualitative studies about the implementation of the new principal standards and evaluations, this study will serve as one of the first contributions to the body of research related to the new paradigm and practice.
(The learner may want to locate and review resources on “purposive sampling” in qualitative research.)
Review of 4.3 Population and Sample to Selection of the Research Site
Are the population and the sample adequately and accurately described? Is the sample size appropriate?
_____YES _x___ No
Reviewer CommentsMore depth needed
4.4 Sampling Procedures to Selection of Participants
Describe how you plan to select the sample. Be sure to list the name of the specific sampling strategy you will use. Describe each of the steps from recruitment through contact and screening to consenting to participate in the study.
Note:
What criteria will you use to select the participants for your study? What is the process you will use to select them? How many participants do you intend to include in the study and why?
Sampling will be purposeful in that the central administration of the largest school district in the state, The Denver Public School District, will be asked to recommend 12 principals to participate in the study. The administration will be encouraged to select 12 principals believed to be knowledgeable of transformational leadership and critical pedagogy, as well as who embody transformational leadership practices and are highly engaged in the new principal quality standards and evaluation process. Lodico et al., (2010) state that “the goal of purposeful sampling is not to obtain a large representative sample; the goal is to select persons, places…that can provide the richest and most detailed information to help us answer our research questions” (p. 134).
The 12 principals will be sent an exploratory letter with the intent to explain the purpose of the study, why they were selected as participants and they will be asked as to whether or not the wish to participate. Emphasis will be placed on the importance of their advice from the field for the greater good of the profession or, as the by line of the study’s title indicates, to close the principal achievement gap and to Leave No Principal Behind. Three more principals, for a total of fifteen, will be identified and will be asked to serve as alternate participants. One, two, or all three may be employed in the case of attrition from the original sample of twelve as the study unfolds. All documentation to these participants will reflect their alternate status.
Review of 4.4 Sampling Procedures to Selection of Participants
Is participant involvement and participant selection fully described and appropriate for the study?
__x___YES ____ NO
Reviewer Comments:
4.5 Data Collection Procedures
Describe where and how will you get the data and describe the exact
From the moment the research plan has been completely approved, the IRB process completed, the principal selection process will proceed as described above in section 4.4. All consent forms and necessary documentation should be on file no later than the end of summer of 2014, but will hopefully be complete and on file by the end of the 2014 school year.
procedure(s) that will be used to collect the data. This is a step-by-step description of exactly how the research will be conducted. This should read like a recipe for the data collection procedures to be followed in your study. Be sure to include all the necessary details so that someone else will be able to clearly understand how you will obtain your data.
No later than the first day of the 2014-15 school year, but ideally several weeks before teachers return from summer break, principal participants will be given a calendar of visitations with a summary of what to expect from the interview. They will be given a preview of interview questions and interview protocol to allow them time to prepare for the interviews.These interviews will last between forty-five minutes and an hour. They will be digitally video and audio taped for easier transcription and coding.Principals may be interviewed a second time should coding reveal data that merits a return for clarification or elaboration.
Review of 4.5 Data Collection Procedures
Does the researcher describe in detail the procedure to be followed in a step-by- step way so that it is completely clear how the research will be conducted? Is the data collection appropriate for the proposed study?
_____YES __x__ NO
Reviewer Comments: More depth again. Step by step.
4.6 Guiding Interview Questions
Describe the interview method will you use and how you will conduct the interviews. List the guiding interview questions to be used to guide the semi-structured qualitative interviews with the participants. Provide a rationale for how and why you are using the interview technique you will use to address the primary research question. Be sure to discuss the results of any field test with content experts that were conducted as a part of the process of developing the final version of the guiding interview questions.
The researcher will undertake semi-structured interviews. As Lodico et al., (2010) clarify, a semi-structured interview, “helps to ensure a degree of standardization during the data collection process” (p. 125). As twelve interviews will be conducted over a several month period, this standardization will help the novice researcher keep the data more easily comprehensible and should facilitate the coding process. Similarly, as Merriam (2009) points out, with a semi-structured format, “usually specific information is desired from all respondents” (p. 90). Therefore, the semi-structured framework allows for some flexibility in the order of questions, ultimately the format will serve to optimize the finite amount of time principals give to sharing how they have benefited and have improved their practice as a transformational leader from the new standards and evaluations. Interviews will last from forty-five minutes to an hour, depending on principal preference. The grand tour and sub-questions are:
What positive impact has the new Principal Quality Standards had?
Sub-questions will be:
What opportunities have arisen to improve school leadership practices under the new Principal Quality Standards?
What standard and elements in the new Principal Quality Standards encourage transformational and critical leadership practices?
Follow-up questions will depend on individual answers and context. Follow-up interviews may be arranged depending on the need for clarification or elaboration as the coding process unfolds.
Review of 4.6 Guiding Interview Questions
Are the guiding questions appropriate to be used to facilitate the interviews? Are the guiding questions appropriate given the research question and the proposed methodology and model to be used in this proposed study?
_____YES __x__ NO
Reviewer Comments: Expand and show more detail and how these are developed in terms of real research questions. Right now you have no flow from topic to RQ to interview etc.
4.7 Other Data Collection Procedures
For those studies in which alternative data will be collected and used such as: archival data, pre-recorded data, sent or unsent letters, journaling, poems, passages from literature, descriptive essences, objects or images, etc., describe the methods you will use to collect and analyze this alternative data. Provide a rationale for how and why you are using this alternative data.
If you use observations for data collection:
What will be your role in the setting? How will you record your observations? Provide an observation protocol or guide that reflects the behaviors that you plan to observe.
A log or “audit trail” by the researcher will be used to ensure the results of the study are consistent with the process (Merriam, 2009).
Review of 4.7 Other Data Collection Procedures
For studies in which alternative data will be collected, did the researcher describe the alternative data that will be used, describe the methods that will be used to collect the data, analyze the data and provide a rationale for how and why the alternative data will be used?
_____YES ___x_ NO
Reviewer Comments: One sentence does not adequately describe this!
4.8 Proposed Data Analyses
Provide a step-by-step description of the procedures to be used to conduct the data analysis. Support this process by identification and reference to primary descriptive sources. Check that the data analysis process is consistent with
As Merriam (2009) states, “the practical goal of data analysis is to find answers to [the] research questions” (p. 176). Preparation and organization of data will be continuous and iterative through the completion of the dissertation beginning with transcribing and coding the first interview. Subsequent interviews will be transcribed and coded in succession using a constant comparative approach. “Data that have been analyzed while being collected are both parsimonious and illuminating” (Merriam, 2009, p. 171). Bogdan and Biklen (2007) suggest using a “family” of codes of initially up
the accepted analytical steps for the specific qualitative methodology chosen to conduct this study. If you plan to use Qualitative data analysis software, list the software you will use and describe how it will be used.
to 50 categories (pp. 173-180). Lodico et al., suggest simpler coding categories (p. 183). Consensus seems to be that ultimately 10-20 codes should be used in data analysis. Atlas.ti software will be used to facilitate the coding process. Beginning with the first interview, themes will be developed. Data analysis will culminate in the completion of the dissertation. The dissertation should be submitted for final approval by the summer or fall of 2015.
Review of 4.8 Proposed Data Analyses
Is the data analysis that is proposed appropriate? Is there alignment between the research questions, proposed methodology, type or types of data to be collected and proposed data analysis? Is the language used to describe the type of design and data analysis plans consistent throughout?
_____YES ___x_ NO
Reviewer Comments: It’s not a bad start but show more depth here. Really convince us you know exactly what you will be doing.
4.9 Role of the Researcher
Provide a description of the researcher’s pre-understandings, preconceptions and biases about the topic and about how the researcher will set them aside?
If doing observational data collection, explain your role as either a participant observer, observer, or fully immersed.
Patton (1990) states convincingly that qualitative research is meant to “provide perspective rather than truth…. theories of action rather than generalization and verification of universal theories and context bound extrapolations rather than generalizations” (p. 491). The researcher has 25 years of teaching experience in public schools in the Denver Metro area. Bias is unavoidable. Arguably, researcher bias will have its advantages as long as it is not hidden or obscured. That is, bias or the presence of the “other,” upon researcher acknowledgement, will serve as what poet Antonio Machado referred to as the “Hard bone on which reason bites its teeth.” The researcher has been a teacher for 25 years and has experienced many educational initiatives. The most recent initiative that has colored much of educational policy for more than a decade, NCLB, has had mixed success at best. The researcher, as a classroom teacher as well as scholar, is receptive to new initiatives designed to affect worthwhile change in principal practice and, by association, student achievement. Primarily, the researcher has witnessed many school leaders saddled by managerial and “transactional” tasks, versus transformational tasks (Burns, 1978). The hope is that this new standards and evaluation paradigm may be the start of re-orienting leadership toward the importance of undertaking transformational practices. Bias, once made explicit, will serve to invite the reader and academic establishment to think critically about the credibility, dependability and transferability of the study. As the data are collected and analyzed, the researcher will reflect upon and make apparent their own subjective experience and voice. Bias will be addressed in both chapter 3 and chapter 5, respectively. In the case of the former, this should improve the credibility of the research. In the case of the latter, this should highlight some of the study’s limitations.
Review of 4.9 Role of the Researcher
Does the researcher describe the process by which he/she will identify and set aside pre-understandings, pre-conceived ideas and biases that could interfere with conducting the proposed study?
__x___YES ____ NO
Reviewer Comments:
4.10 Credibility, Dependability and Transferability
Present a strategy to ensure credibility, dependability, and transferability in the proposed study. Because the researcher is the primary instrument of research in qualitative studies, describe how you will establish credibility for the research. Describe the training and experience you have in regards to your methods for collecting and for analyzing your data. Credibility refers to confidence in the accuracy of the data as reported as well as a systematic and thorough interpretation by the researcher. Credibility involves carrying out the study in a way that enhances the believability of the findings of the data over time and over conditions. Credibility is assessed by how well you demonstrate your understanding of your research methodology and how well you apply the methodology to data collection and data analysis. Credibility is assessed by how well you demonstrate your understanding of your research methodology and how well you apply the methodology to data collection and data analysis. Describe how you will demonstrate your expertise in regards to your research design. Transferability is demonstrated by showing that the sample fairly represents the target population, as well as by showing that the sample participants have the knowledge, experience, or expertise necessary to provide information that the discipline or field and the target population would find meaningful in regard to the topic. Dependability is demonstrated by providing clear,
In order to account for issues around credibility, dependability and transferability the researcher will use a log or “audit trail,” member checks, peer and mentor evaluation, as well as acknowledge the limitations of the study. Member checks will occur by requesting principal participants to read the data analysis and interpretations. The ultimate purpose of the study is to seek the voice of principals, which will be a particularly critical component to the credibility of the study.
Dependability will be addressed by a thorough description of methodology and process by which the researcher follows to arrive at the interpretation of data. A log or “audit trail” will serve to increase dependability. Peer and/or mentor evaluation will be requested to also help with concerns around dependability and credibility. Last, what Merriam (2009) refers to as “adequate engagement in data collection” (p. 219) up to what the researcher feels is point of saturation, whereby no new information seems to emerge, will also serve to improve dependability and credibility of the study.
Transferability will be more a reflection of how deep and thorough the research is rather than whether or not the interviews have the power of speaking on behalf of principals in the state of Colorado, if not the country. As mentioned earlier, Patton (1990) states convincingly that qualitative research is meant to “provide perspective rather than truth….theories of action rather than generalization and verification of universal theories and context bound extrapolations rather than generalizations” (p. 491).
Finally, Merriam reminds us that, “every study, every case, every situation is theoretically an example of something else. The general lies in the particular; that is what we learn in a particular situation we can transfer or generalize to similar situations subsequently encountered” (p. 225). Discovering the processes by which 12 principals are positively impacted and step up to the opportunities inherent in the new principal standards and evaluations to perform as a transformational leader should be of value to all principals seeking lessons from the field.
detailed, and sequential descriptions of all procedures and methods, such that another researcher could repeat each of them faithfully.
Review of 4.10 Credibility, Dependability and Transferability
Does the researcher present a strategy to ensure credibility, dependability and transferability in the proposed study?
___x__YES ____ NO
Reviewer Comments: Very weak but OK
Section 5. ReferencesProvide references for all citations in APA style. Submit your reference list below.
Bass, B. (1981). Stodgill’s Handbook of leadership: A survey of theory and research.
New York: The Free Press
Bennis, W. & Nanus, B. (1985). Leaders: The strategies for taking charge.
New York: Harper & Row
Bogdan, R., & Biklen, S. K., (2007) Qualitative research for education: An introduction to
theories and methods (5th ed.). Boston: Pearson
Burns, J.M. (1978) Leadership. New York: Harper & Row
Clifford, M.,. & Ross, S. (2013). Rethinking principal evaluation: A new paradigm informed by
research and practice. National Association of Elementary and Secondary School
Principals. Retrieved [May 1, 2013] from
http://www.naesp.org/sites/default/files/PrincipalEvaluationReport.pdf
Dewey, J. (1938). Experience and education. New York: Collier Books
Dufour, R., & Marzano, R. (2011). Leaders of learning: How district, school, and classroom
leaders improve student achievement. Bloomington, IN: Solution Tree Press.
Friere, P. (1970). Pedagogy of the oppressed. New York: Continuum
Janesick, V., (2011). Stretching exercises for qualitative researcher (3rd ed.). Los Angeles: Sage
Lodico, M., Spaulding, D., & Voegtle, K. (2010). Methods in educational research: From theory
to practice. San Francisco, CA: Jossey-Bass
Maslow, A.H. (1970). Motivation and personality. New York: Harper & Row
Merriam, S.B. (2009). Qualitative Research: A guide to design and implementation (2nd ed.)
San Francisco, CA: Jossey-Bass.
Patton, M.Q. (1990). Qualitative evaluation and research methods (2nd ed.). Thousand Oaks,
CA: Sage.
U.S. Department of Education, National Center for Education Statistics. (2013). Public School
Graduates and Dropouts from the Common Core Data: School Year 2009-10. Retrieved
from http://nces.ed.gov/pubs2013/2013309rev.pdf
U.S. Department of Education. (2010). A blueprint for reform: The reauthorization or the
Elementary and Secondary Education Act. Washington, D.C.: U.S. Department of
Education
White, M. E., Makkonen, R., Vince, S., Bailey, J., & Regional Educational, L. W. (2012). How
California’s local education agencies evaluate teachers and principals. REL technical
brief. REL 2012-no. 023. ().Regional Educational Laboratory West. Retrieved [September
9, 2013] from
http://ezproxy.library.capella.edu/login?url=http://search.ebscohost.com/login.aspx?
direct=true&db=eric&AN=ED531498&site=ehost-live&scope=site
Yin, R.K. (2009). Case study research: Design and methods (4th ed.). Thousand Oaks, CA:
Sage.
Vygotsky, M. J. (1978). Mind in society. Cambridge, MA: Harvard University Press
Review of Section 5 References
Has the Researcher presented appropriate citations and references in APA style?
___X__YES ____ NO
Reviewer Comments
Very limited list
Review of Scholarly Writing
Does the Researcher communicate in a scholarly, professional manner that is consistent with the expectations of academia and of the field of education?
__x___YES ____ NO
Reviewer Comments:
Learner: Stop here and submit to your Mentor for final approval. Continue working on your final literature review while you wait for Research Plan approval.
Mentor: This form must be approved by all committee members prior to submission for Research Plan review. Please send completed and approved RP to [email protected] for Research Plan review.
Directions for Reviewers
Please indicate your decision for this review in the correct place (First Review, Second Review, Third Review) and insert your electronic signature and the date below. If the Research Plan has a Final Status of “Approved” “Not approved”, or other please be sure to indicate this Research Plan Review status below as well. Return your completed form with substantive comments to [email protected]
Research Plan Information (to be completed by Reviewer only)Reviewer Name:
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Second Review(if needed) Date Approved
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Sent to Research Chair for Review and Consultation (if needed)
Date: Research Chair Process Review Outcome (see attachments if needed)
Conference Call Notes(if applicable): Date Approved
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Further Reviewer Comments
This section is not part of determining Research Plan approval. This is an optional space for the Research Plan Reviewer to make note of any practical or ethical concerns. Reviewers are not expected to comment on these issues but they can make comments or recommendations if they believe these may be helpful. It is recommended that mentors and researchers carefully consider any comments made here as it may help flag issues or problems that need to be addressed before the researcher moves forward or before the study is submitted for ethical review which will be conducted by the IRB.
Optional Reviewer Comments:
Please see notes made above. It’s a good start and almost there but you just need to expand in places. Thanks
This has been a Scientific Merit Review. Obtaining Scientific Merit approval does not mean you will obtain IRB approval.
Once you have obtained scientific merit approval move forward to write your dissertation proposal. It should be easy because the methodology section of the Research Plan corresponds directly to the sections included in the School of Education’s Dissertation Chapter 3 Guide.
If a researcher does not pass the scientific merit review on the 3rd attempt, then the case will be referred to the Research Specialist in the School of Education and/or the Research Chair for review, evaluation and intervention. Mentees, mentors and reviewers should make every attempt possible to resolve issues before the SMR is failed on a 3 rd attempt.