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113 Appendix A: Participant Consent Form You are invited to take part in a research study on successful small business owners in Denver, Colorado to determine what strategies small business owners use to achieve profitability by the end of the first 5 years of opening their business. The researcher is inviting small business owners that have sustained and been profitable for 5 years or longer in Denver, Colorado. This form is part of a process called “informed consent” to allow you to understand this study before deciding whether to take part. A researcher named Denise Gandy, who is a doctoral student and faculty member at Walden University, is conducting this study. Background Information: The purpose of this study is to explore what key factors contribute to small business owners achieving profitability by the end of the first 5 years of being in business. Procedures: If you agree to be in this study, you will be asked to participate in one, approximately 25 minute audio recorded interview, supply company documentations (profit & loss and cash flow statements) for collection, and perform member checking of the results. You will be provided the results and findings via e-mail. Here are some sample interview questions: • What strategies have you used to be profitable? • What are the key strategies you have used to sustain your business past the first 5 years? • What has the profitability of your business brought to you, your employees, your family, and the community? • What else would you like to share about your experiences of becoming a successful small business owner? Voluntary Nature of the Study: This study is voluntary. Everyone will respect your decision of whether or not you choose to be in the study. No one at Walden University will treat you differently if you decide not to be in the study. If you decide to join the study now, you can still change your mind later. You may stop at any time. Risks and Benefits of Being in the Study: Being in this type of study will not involve any risks of discomforts. Being in this study would not pose risk to your safety or well-being..

114 Potential benefits of this study include providing new insights and better preparing small business owners in starting and achieving profitability of their small business past the first 5 years. Payment: There is no compensation or gifts associated with participating in this voluntary study. Privacy: Any information you provide will be kept confidential. The researcher will not use your personal information for any purposes outside of this research project. Also, the researcher will not include your name, organizations name, or anything else that could identify you in the study reports. Written data will be kept secure in a locked cabinet drawer and electronic data will be kept secure on a personal, password-protected, external hard drive. Data will be kept for a period of at least, but no longer than 5 years, as required by the university. Contacts and Questions: You may ask any questions you have now. Or if you have questions later, you may contact the researcher via e-mail at [email protected]. If you want to talk privately about your rights as a participant, you can call Dr. Leilani Endicott. She is the Walden University representative who can discuss this with you. Her phone number is 612-312-1210. Walden University’s approval number for this study is 01-28-15-0246512 and it expires on January 27, 2016. Please print or save this consent form for your records. Statement of Consent: I have read the above information and I feel I understand the study well enough to make a decision about my involvement. By replying to this email with the words, “I consent”, I understand that I am agreeing to the terms described above..

115 Appendix B: Permission to Utilize Interview Questions From: Frauke Schorr, PhD ([email protected]) Sent: Tue 6/17/14 9:21 AM To: Denise Gandy ([email protected]) Hi Denise -­‐ Sure, have my permission to use the interview questions. Are you using Moustakas' transcendental phenomenological approach or are you selecting another one? Let me know when you can share findings. I am very interested in your insights! Frauke Frauke Schorr, Ph.D. Centered Leadership Institute™ W: +1 650.539.5553 | C: +1 650.430.1332 | www.centeredleadershipinstitute.com From: Denise Gandy ([email protected]) Sent: Tue 6/17/14 7:48 AM To: Frauke Schorr, PhD ([email protected]) Hi Frauke, Nice to meet you as well! Thanks for your quick response. I am conducting a qualitative phenomenological study, in which I will complete interviews with small business entrepreneurs and wanted to ask permission to use your instrument (interview questions) for my doctoral research study from your dissertation (2008) titled: Becoming A Successful Entrepreneur - A Phenomenological Study. Your interview questions align with my proposed study and central research question. I am exploring key success factors that contribute to small business.

116 entrepreneurs sustaining beyond their first 5 years of being in business in Central Colorado. Regards, Denise Gandy, MBA; DBA Candidate [email protected] From: Frauke Schorr, PhD ([email protected]) Sent: Mon 6/16/14 8:42 AM To: [email protected]; [email protected] Hi Denise - Nice to (virtually) meet you. Always exciting to meet a fellow entrepreneurship researcher! Would love to hear more about your research focus and approach. To clarify: The research instrument I used is by Clark Moustakas. I did adjust the frame a bit - is that what you are seeking permission for? Or are you interested in using the questionnaire? I did develop that myself. Thanks, Frauke Frauke Schorr, Ph.D. Centered Leadership Institute™ W: +1 650.539.5553 | C: +1 650.430.1332 | www.centeredleadershipinstitute.com From: LinkedIn Connections ([email protected]) Sent: Fri 6/13/14 3:44 PM To: Denise Gandy, MBA, DBA Candidate ([email protected]) Hello Dr. Schorr, I've read your dissertation on entrepreneurship, excellent! I'm currently working on my doctorate and my proposed research study topic involves small business entrepreneurs in Central Colorado. I wanted to send you an official e-mail asking your permission to use your instrument. I noted your [email protected] e-mail.

117 in the dissertation, but know that is from 2008 and may not be your preferred e- mail now. Would you kindly provide me with your e-mail address you would like me to write you for permission to use your instrument and I can tell you a little more about my topic! Thanks, Denise Gandy, MBA, DBA Candidate [email protected].

118 Appendix C: Interview Protocol and Questions I. Introduce self to participant(s). II. Present consent form, go over contents, answer questions and concerns of participant(s). III. Give participant copy of consent form. IV. Turn on recording device. V. Follow procedure to introduce participant(s) with pseudonym/coded identification; note the date and time. VI. Begin interview with question #1; follow through to final question. VII. Follow up with additional questions. VIII. End interview sequence; discuss member-checking with participant(s). IX. Thank the participant(s) for their part in the study. Reiterate contact numbers for follow up questions and concerns from participants. X. End protocol. Interview Questions The following interview questions by Schorr (2008) were modified with permission (Appendix B) for this descriptive qualitative case study. Question 1 was an initial probe question, Questions 2-4 were concept questions, and Question 5 was a wrap- up question..

119 1. Tell me about your professional and educational background and do you believe your professional and educational background prepared you for ownership of a small business? 2. What strategies have you used to be profitable? 3. What are the key strategies you have used to sustain your business past the first 5 years? 4. What do you believe the profitability of your business has brought to you, your employees, your family, and the community? 5. What else would you like to share about your experiences of becoming a successful small business owner?.