Illinois State University Institutional Review Board IRB Number _____________

Research with Human Subjects (Number to be completed by REC)

Protocol Submission Form
Federal regulations and Illinois State University policy require that all research involving humans as subjects be reviewed and approved
by the University Institutional Review Board (IRB). Any person (ISU faculty member, staff member, student, or other person) wanting to
engage in human subject research at or through Illinois State University must receive written approval from the IRB before conducting
research. For more information, templates, and forms please go to www.rsp.ilstu.edu

Please complete and forward this form and all supporting documents to your Department/Unit IRB
representative. Handwritten applications will not be accepted. If you have any questions, please contact your
Departmental/Unit IRB representative or the Research Ethics & Compliance Office, (REC) 438-2520, Campus Box 3330

I. General Information
A. Protocol Information
Protocol Title:

Student perceptions on the novel as a means to develop 21st century literacy skills

Purpose of Project (Please check only one box) Dissertation Thesis

Class project (Please give course number) ____C & I 575_______ Other

Externally funded faculty/staff research (Complete Appendix B) Non-externally funded faculty/staff research

B. Principal Investigator Information (PI must be an ISU faculty or staff member)

Principal
Investigator Dr. Cheri Toledo Faculty Staff
Mail Telephone Email
Dept C&I
Co-Principal Investigator Information
Co- Principal
Investigator Tom Waterson Faculty Staff Grad. Student Undergrad. Student
Mail Telephone Email
Dept C&I Code Number 309.862.076 Address tmwaterson@gmail.com
Co-Principal Investigator Information
Co- Principal
Investigator Faculty Staff Grad. Student Undergrad. Student
Mail Telephone Email
Dept
Code Number Address

II. Principal Investigator Assurance

As Principal Investigator, I certify that to the best of my knowledge:

1. The information provided for this project is correct

2. No other procedures will be used in this protocol
3. I agree to conduct this research as described in the attached supporting documents
4. I will request and receive approval from the IRB for changes prior to implementing changes (including but not limited to
changes in cooperating investigators or any changes in procedures).
5. I will comply with IRB and ISU policies for conducting ethical research.
6. I will be responsible for ensuring that the work of my co-investigator(s)/student researcher(s) complies with this protocol.
7. Any unexpected or otherwise significant events in the course of this study will be promptly reported to the REC.
8. In the case of student research, I assume responsibility for ensuring that any student will comply with University and Federal
regulations regarding the use of human subjects in research.
9. In the case of externally funded research, I will request a modification to my approved protocol if any relative changes to the
project’s scope of work are requested by the agency.

Principal Investigator Signature Date

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III. Protocol Description
A. Provide a BRIEF description, in LAYPERSON'S TERMS, of the proposed research. State the goals and/or
hypotheses of this study and how these goals relate to previous research in this area.

The purpose of this study is to examine and compare the perceptions of secondary English teachers’,
teacher-education students, and teacher education professors towards using the novel as a primary tool for
literacy instruction in the secondary language arts classroom, and with this knowledge, the hope is to
develop a better understanding of how and why the novel dominates the secondary English literacy
curriculum.

Through this study, I hope to find answers to the following questions:

1.) What are the literacy-related perceptions of secondary English teachers, teacher-educators, and pre-

service student teachers towards the novel as an instructional tool?

2.) In what sense do the perceptions and expectations of all three groups in regards to the use of the novel

concur and in what sense do their perceptions oppose one another?

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 B. Methodology

Identify all participant groups in the study and indicate criteria for including or excluding
individuals from participation.
The study will involve students who have graduated from area high schools.

How many participants will be included in the study?

Number: Male __?__ Female __?___ Total 9

(N/A _____ if not targeting males/females specifically)

Age range: __20___ to _60____

Justify use of any protected populations (e.g., children, mentally disabled individuals,
prisoners, pregnant women). Complete whichever is appropriate, Appendix C-F, for that
population.

N/A

How will you identify potential participants and get access to contact information? Please
include documentation of permission to use any proprietary sources, i.e. listserv,
organization roster, etc.

Potential participants will be identified by their educational occupation (current

secondary teacher, teacher educator, or student teacher). Letters and surveys will be
handed to participants to complete on their own time. Participants who express interest
in the survey will be asked to volunteer to complete and return the survey anonymously.

How will participants be recruited? Attach all recruitment documentation, (i.e. e-mail
letters, flyers, telephone scripts, etc.) and indicate how they will be contacted and by
whom.

Through email by Tom Waterson.

Who will obtain informed consent/assent and what procedures will be used (and in what
order) to secure informed consent/assent?

Informed consent will be sought with consent letters by the co-PIs.

How will the risk of coercion be minimized?

Participants will be asked to complete and participate in the survey, interviews, and focus
group voluntarily. The participants will have had no prior relationship with most, if not all, of
the participants. Anonymity will be maintained at all times throughout the reporting of the
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 study’s results.

Where will the research take place? Please be as specific as possible. If research is
confidential in nature, please explain how location will help preserve confidentiality.

Surveys and interviews will be completed by participants in a place of their choosing. Focus
groups will take place in my office.

If consent, permission, and assent forms are being used, attach copies. If presented verbally, a copy of any
presentation script must be submitted. Examples of informed consent and parent permission can be
found at http://www.rsp.ilstu.edu/research/human_subjects/index.shtml

C. PROCEDURE

Who will collect data?

The co-PI will collect the surveys from the participants and conduct the interviews.

What are you asking the participants to do? In what order?

Complete a survey and return it to the Co-PI via mail. Sit down for a one-on-one
interview with me. Participate in a focus group with other educators of the same type
(secondary, professor, student-teacher).

Will you involve them in a psychological intervention, biomedical procedure, or

deception? If so, complete relevant Appendix G, H, or J.
N /A

If participants are receiving compensation for participation (e.g., payment, gifts, extra
credit, etc.) indicate type and amount of compensation, how it will be disbursed, and
identify the funding source.

N/A

d. Will you record audio __X___ , video ________, or still images_____ of participants whether
by film, tape, digital or other media? Please check and complete Appendix K.

D. INSTRUMENTS/APPARATUS

What forms, surveys, equipment, etc. will you use? (Attach copies of all forms,
surveys and instruments to be used.) If online surveys will be used, please identify the
system to be used and describe the system’s confidentiality protections.

A paper survey consisting of _____ four – point Likert Scale questions and ______ open ended
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 questions will be used in the study.

Interviews will be tape-recorded and transcribed.

Focus group sessions will be tape-recorded and transcribed.

E. DATA

How/where will the data be stored and kept secure? Please specify building and room
number.

The returned surveys will be entered into a statistical software program for descriptive
analysis. The paper surveys will be kept in a locked drawer in the Co-PI’s home office. The
data file for the statistical analysis will be kept on a laptop that can only be accessed with a
password. Only the Co-PI and his wife know the password to access this laptop.

Recordings of interviews and focus groups will be destroyed once they are transcribed. The
data file for the transcriptions will kept on the same password protected laptop.

Who will have access?

Only the Co-PI will have access.

How will the data be used (during and after the research)? Will it be disseminated through
publication, presentation or other means?

The culminating outcome of this research project is a dissertation for a doctoral degree.

How and when will the data be disposed of?

All data will be shredded and recycled. All computer files will be deleted after 2 years.

F. RISKS

What are the physical, psychological, or social (loss of reputation, privacy, or

employability) risks?
There will be minimal risk involved in the study. All participants will be kept
anonymous in the reporting of the data.

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 a. How will the risks be
minimized? By keeping participants anonymous in the reporting of the data.

Will the data be anonymous ____X_____ or confidential_________? (Please check one)

G. BENEFITS

What do you hope to learn?

Insight into whether key educational decision makers are consistent or contradictory in the
perceptions on the novel’s use as a literacy tool in secondary language arts classrooms. This
insight will be a potential starting point for determining the literacy needs for the 21st century
learner.

In other words – we hope to find out whether key educational decision makers are supportive and
consistent in their perceptions about the use of the novel in the secondary English Classroom.

Who might find these results useful?

Language Arts teachers at the middle school, high school, and college level.

How will the participants directly benefit? If they will not, please state that. Compensation is not a
benefit.

Hopefully this study will be the first step in improving the language arts curriculum to
meet the literacy needs of the 21st century student.

a. Explain how the benefits

justify the associated risks.
The risks for this study are minimal. The more we know about what keeps
students motivated and what literacy skills they feel are important for their future success, the
better we can design curriculum which meets the needs of all learners.

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IV. Checklist
This checklist must be completed and attached to all protocols or Department Representatives will
return them to the PI. Please note that for any items checked “yes” you must attach the designated,
completed appendices and relevant forms and instruments.

__X___ Yes _____ No Informed consent procedures/ documentation have been clearly explained.
(All protocols must have a completed Appendix A.)

_____ Yes ___X__ No Is your research being funded? (If yes, complete Appendix B.)

_____ Yes ____X_ No Are you recruiting and enrolling subjects 0-7 years old? (If yes, complete
and attach Appendix C.)

_____ Yes ___X__ No Are you recruiting and enrolling subjects 8-17 years old? (If yes, complete
and attach Appendix C.)

_____ Yes ___X__ No Are you recruiting and enrolling prisoners as subjects? (If yes, complete and
attach Appendix D.)

_____ Yes __X___ No Are you recruiting and enrolling pregnant women as subjects? (If yes, complete
and attach Appendix E.)

_____ Yes ___X__ No Are you recruiting and enrolling mentally incapacitated individuals as subjects? (If
yes, complete and attach Appendix F.)

_____ Yes __X___ No Will the subjects of this study be exposed to the possibility of harm, including
physiological, psychological, or social (e.g., loss of reputation, privacy, or
employability). (If yes, complete and attach Appendix G.)

_____ Yes __X___ No Will the subjects of this study be exposed to any psychological interventions such
as contrived social situations, manipulation of the subject's attitudes, opinions or
self-esteem, psychotherapeutic procedures, or other psychological influences. (If
yes, complete and attach Appendix H.)

_____ Yes __X___ No Will this study involve any elements of deception? (If yes, complete and attach
Appendix I.)

_____ Yes __X___ No Will the proposed research involve any biomedical procedures (e.g., the taking or
withholding of medication, ingestion of any food or other substances, injections,
blood drawing, or any other procedure which would normally be done under
medical supervision). (If yes, complete and attach Appendix J.)

_____ Yes __X___ No Will all or some of the subject(s) of the proposed research be audio or
videotaped or recorded in any other manner? (If yes, complete and attach
Appendix K.)

_____ Yes ___X__ No Will this proposed research involve any elements of technology? (i.e. web-based
subject recruitment, email recruitment, web survey, etc.)

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Appendix A: Elements of Informed Consent
Please ensure that all of these elements are included in the protocol and consent documents before
checking "Yes". The informed consent procedures and documents outlined in this protocol must contain all
of the following:

____X_ Yes 1. A statement that the study involves research

___X__ Yes 3. The duration of the participant’s participation

___X__ Yes 4. A description of procedures to be followed

___X__ Yes 5. A description of foreseeable risks or discomforts to the participant

___X__ Yes 6. A description of any benefits to the participants or any others that
may be expected from the research

__X___ Yes 7. A statement describing the extent, if any, that confidentiality will be
maintained

__X___ Yes 8. An explanation as to whom to contact concerning questions about

the research, research participants’ rights, and/or a research related
injury or adverse effect. This should include the Principal
Investigator’s name and contact information as well as the Research
Ethics & Compliance Office name and number: (309) 438-2520.

__X___ Yes 9. A statement that participation is voluntary

__X___ Yes 10. A statement that refusal to participate involves no penalty or loss of
benefits

_X____ Yes 11. A statement that the subject may discontinue participation at any
time without penalty or loss of benefits

Do the consent procedures and documents outlined in the protocol contain the following?

_____ Yes _____X_ N/A 1. Identification of any experimental procedures

_____ Yes ___X___ N/A 2. A disclosure of appropriate alternative procedures or courses of

treatment, if any that might be advantageous to the subject

_____ Yes _____X_ N/A 3. An explanation about any compensation or medical treatments that
may be available if injury occurs, what they may be, and where to
get further information

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Appendix K: VIDEO/AUDIO TAPING
1) If all or some of the subject(s) of the proposed research will be audio or videotaped, justify why the use of
audio or videotaping is necessary to the study.

This study is qualitative in nature. I need to produce transcripts to analyze our conversations and find patterns and
themes in what participants say.

2) Who will have access to the tapes and for what purposes?

Co-Pi and no one else.

3) Where will the tapes be stored and what security measures will be taken to prevent unauthorized persons from
accessing the tapes?

Tapes will be stored in a locked drawer in the home office of the Co-Pi

4) What are your plans for the ultimate use and disposal of the tapes?

Once transcripts are completed, the tapes will be melted down using a blow torch or the sun in conjunction with a
magnifying glass.

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To whom it may concern:

My name is Tom Waterson. I am a graduate student at Illinois State University conducting in the College of
Education, I am exploring the perceptions of various educators and future educators about the use of the
novel in secondary language arts classrooms. I am requesting that you take a few minutes to complete this
survey and, if willing, participate in a follow-up interview and focus group with other educators.. The survey
is designed to be completed within 10 – 15 minutes. The scheduled sit-down interview will take 20 – 30
minutes, and the focus group session will take 30 – 45 minutes.

Your participation is voluntary and completely anonymous. The information collected for this study will be
used for the sole purpose of this class project. The results of the research may be published.

Failure to participate is perfectly fine. Although there is no direct benefit to you, the possible indirect benefit
is to help improve language arts instruction at the secondary and college level.

Please indicate your willingness to participate in the study by completing the attached survey. Once I have
received your survey, I may be calling you to schedule a time for an interview. If you have any questions
concerning the research study, please contact me at (309)862-0763.

Sincerely,

Tom Waterson

tmwaterson@gmail.com

I consent to participating in the above study.

Signature __________________________________

Date ______________________

If you have any questions about your rights as a subject/participant in this research, or if you feel
you have been placed at risk, you can contact the Research Ethics & Compliance Office at
Illinois State University at (309) 438-2529.

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Gender: Male Female

Race: African American Asian Latin American / Hispanic White/Caucasian

Native American Other ____________________

Age: _________

Grade: ___________

How many novels have you read since January 2009? __________

Please Rate the following Statements:

1.) The use of novels in high school English courses is educationally worthwhile……… 4 3 2 1

2.) Students are better readers because of the novels I read in my high school English courses. 4 3 2 1

3.) Reading novels makes a person smarter……………………………………………………… .4 3 2 1

5.) The more novels students read the better prepared they will be for a future career………….4 3 2 1

6.) We spend too much time in high school reading novels …………………………………………….4 3 2 1

7.) For high school students, spending time online is more educational than reading a novel….4 3 2 1

8.) The novel is an effective teaching tool for developing 21st century literacy skills. …………. 4 3 2 1

9.)High school English courses should focus on developing literacy

skills related to the printed word ……………………………………………………………………. 4 3 2 1

10.) Reading novels in high school English courses takes up time that
could be spent in ways that are more educationally beneficial………………………………….. 4 3 2 1

11.) Developing literacy skills related to computers and digital technologies is more
important than reading, understanding, and analyzing complex novels………………………… 4 3 2 1

12.) Reading novels in high school English class helps prepare students for the
academic rigors of college ………………………………………………………… 4 3 2 1

13.) Reading novels in high school English class negatively affects

the level of motivation students experience during the course……………………4 3 2 1

Open-Ended Questions:

What portion of a high school language arts class should be devoted to reading, discussing, and/or writing
about novels?

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How many novels should a typical high school class use throughout a school year? (You may provide a
range.)

Rank the following activities in terms of their potential for providing an educational benefit. Number one should be the
activity that has the most potential to provide the most educational benefits; number five should have the least.

Television Watching 1.)

Surfing the internet 2.)
Reading Novels 3.)
Watching a movie 4.)
Playing a video game 5.)

How would you respond to this statement from MSNBC columnist Michael Roberts?

The obsessive measurement of long-form literacy is once more being used to flail an education trend
that is in fact going in just the right direction. Today’s young people are not able to read and
understand long stretches of text simply because in most cases they won’t ever need to do so. It’s
time to acknowledge that in a truly multimedia environment . . . most Americans don’t need to
understand more than a hundred or so words at a time, and certainly will never read anything
approaching the length of an old-fashioned book. We need a frank reassessment of where long-form
literacy itself lies in the spectrum of skills that a modern nation requires of its workers. (2005)

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