POLICY 2.12
RESEARCH IN CATHOLIC SCHOOLS
RATIONALE
This policy provides information for individuals or organisations who are seeking:
i. access to Catholic schools for the purpose of undertaking research; or
ii. access to data related to Catholic schools held by the Catholic Education Office,
Diocese of Sale.
It is expected that when researchers conduct research in Catholic schools, they do so on the
basis that the findings may assist to improve student outcomes and increase school
effectiveness. Research in areas beyond the immediate concerns of schools should be
conducted only when it can be demonstrated that the findings may have a potential benefit for the
participants themselves.
The data held by the Catholic Education Office are collected from Catholic schools for
accountability requirements of governments and for the purpose of providing leadership and
support services to schools. Individuals and organisations seeking access to Catholic education
Office data collections will need to demonstrate that release of the data will have potential benefit
for students in Catholic schools.
PRINCIPLES
Capacity building
The Catholic Education Office is a learning organisation which values the sharing of knowledge
across the education sector in order to encourage creativity, innovation and collaboration.
Adding value
Research findings and access to information should provide a potential contribution to existing
knowledge and a balance between short-term and long-term benefits.
Maintaining propriety
In order to protect the welfare and rights of individuals, access to information and exchange of
knowledge must conform to legal and ethical requirements. This policy reflects the obligations on
researchers outlined in the National Health and Medical Research Council (NHMRC) documents:
National Statement on Ethical Conduct in Human Research (2007) and Australian Code for the
Responsible Conduct of Research (2007). The NHMRC statements can be viewed at
www.nhmrc.gov.au.
PROCEDURES
A. Seeking access to Catholic schools for the purpose of research
Catholic Education Office Approval
All non school-based researchers, and school personnel wanting to conduct research related to
their postgraduate studies, need to seek approval through the Catholic Education Office to
conduct research in a Catholic school.
Procedures to be followed for obtaining approval from the Catholic Education Office and an
application form are appendices to this policy.
Ethics Approval
The NHMRC sets out guidelines for the review of research proposals by a Human Research
Ethics Committee (HREC). Since research conducted in schools falls within the requirements of
the NHMRC, approval from an Ethics Committee is normally required. Appendix 1 –
Procedures for Obtaining Approval to Conduct Research in a Catholic School provides
details about the categories of researchers required to seek the approval of an Ethics Committee.
School Approval
As collection of data can be time consuming for schools and may divert attention away from
higher priority tasks, the ultimate decision to allow the research to proceed within a particular
school rests fully with the principal. Appendix 1 – Procedures for Obtaining Approval to
Conduct Research in a Catholic School provides detail about the information to be provided to
schools when seeking their participation.
B. Seeking access to data related to Catholic schools held by the Catholic Education
Office
Requests for access to data held by the Catholic Education Office must be in writing (post, email
or fax) and specify what data are being sought and for what purpose.
When considering requests for access to data, the Catholic Education Office will comply with
confidentiality and privacy requirements and take into account other areas of sensitivity related to
Catholic schools, the Catholic Education Office and the Catholic Education Commission of
Victoria Ltd (CECV).
The Catholic Education Office will not normally provide data to commercial or marketing
organisations, including those offering educational services.
In cases where the data are already publicly available, the person making the request will be
referred to their location.
Data are provided by the Catholic Education Office on the condition that it is used only for the
purposes stated in the request for access.
All requests for access to data held by the Catholic Education Office must be made in writing to
the Director by
post:
or email
Attachments:
Appendix 1
Appendix 2
Appendix 3
Director of Catholic Education
Catholic Education Office
PO Box 322
WARRAGUL VIC 3820
director@ceosale.catholic.edu.au
Procedures for Obtaining Approval to Conduct Research in a Catholic
School
Application to Conduct Research in Catholic Schools
Catholic Education Office Requirements for Ethics Approval of Research
Proposals
Draft Review: July, 2009
Implementation Date: September, 2009
Review Date: September, 2012
APPENDIX 1
PROCEDURES FOR OBTAINING APPROVAL
TO CONDUCT RESEARCH IN A CATHOLIC SCHOOL
Step 1: Seeking Catholic Education Office Approval
The Catholic Education Office assesses applications to conduct research in Catholic schools to
ensure that proposals are in keeping with the mission of Catholic education. The Catholic
Education Office will not approve applications from researchers where:
a) the content of the research proposal may raise issues contrary to the ethos of the Catholic
Church;
b) the potential benefits of the research to Catholic education or the broader community are not
demonstrated; or the research is for commercial, journalistic or marketing purposes;
c) benefits of the research are outweighed by the demands placed on school resources;
d) required documentation is incomplete or inadequate;
e) the study method is inappropriate;
f) the researcher lacks the experience or qualifications to conduct research on:
– the private affairs of participants e.g. focus on the body, body image, family relations; or
– negative risk-taking behaviour e.g. under-age drinking, promiscuity, illicit drug-taking,
violence, stealing, carrying weapons, suicide;
g) the research focuses on behaviour outside the experience and age range of the participants;
h) there is an unacceptable level of risk to the wellbeing of the participants;
i) additional support is not provided in relation to matters that may be disturbing to participants;
j) confidentiality and privacy of participants are not adequately protected;
k) inappropriate inducements are offered to participants or schools.
To seek approval to conduct research in schools from the Catholic Education Office,
researchers must submit Appendix 2 – Application to Conduct Research in Catholic
Schools and include appropriate documentation.
Any modifications to the research proposal will require submission of an amended application to
the Catholic Education Office.
Catholic Education Office approval is given on the understanding that any report or summary of
the research findings will be made available to the participating schools and the Catholic
Education Office, preferably in an electronic format emailed to director@ceosale.catholic.edu.au
Step 2: Seeking Ethics Approval
Researchers will need to determine whether they are required to seek approval from an Ethics
Committee by identifying which of the following categories 1–4, applies to them.
Category 1. Non school-based researchers
These researchers are typically:
• professional researchers working in an institution with a research function; or
• government departments or Catholic organisations; or
• students carrying out honours and postgraduate degrees; or
• undergraduate students (other than student-teachers engaged in a practicum).
Researchers in Category 1 are required to obtain approval from an Ethics Committee unless
they can demonstrate that the nature of the research is not subject to review by a Human
Research Ethics Committee (HREC). See Appendix 3 – Catholic Education Office
Requirements for Ethics Approval of Research Proposals.
Private consultants or market researchers will generally not be granted approval to conduct
research in Catholic schools. Any exception to this would require the researcher to enter into a
collaborative arrangement with an institution which has access to an Ethics Committee.
Category 1 researchers may apply for Catholic Education Office approval while their HREC
application is being processed. If all other Catholic Education Office requirements have been
met, provisional approval will be given by the Catholic Education Office. However the research
may not be commenced in a Catholic school until the Catholic Education Office has received a
copy of the notification of HREC approval, together with any modifications sought by the Ethics
Committee.
Category 2. School-based researchers: school personnel conducting individual
research as part of their studies
These researchers are typically teachers conducting a research project as part of an honours or
postgraduate study seeking to involve students from their own classroom, school or other
Catholic school.
The same requirements for ethics approval as required for Category 1 researchers apply.
Category 3. School-based researchers: Catholic schools undertaking their own
Research
This category applies to school personnel who seek to survey students, parents or staff
regarding school-initiated projects such as curriculum or policy development, evaluation of
programs and pastoral care matters.
Principals have responsibility for determining whether ethics approval is necessary for internal
research, based on the nature of the data being collected. Generally, ethics approval should be
sought for research where, for example, the data being collected is of a personal or sensitive
nature;or individuals would be upset by the questions; or participants could be identified.
Principals should refer to Appendix 3 – Catholic Education Office Requirements for Ethics
Approval of Research Proposals for further information on the type of research needing the
approval of an Ethics Committee.
If ethics approval needs to be obtained, and the project is being undertaken in partnership with
an external institution, approval by that institution’s Ethics Committee could be sought.
Alternatively, the school should contact the Catholic Education Office for advice, email
director@ceosale.catholic.edu.au
Category 4. School-based researchers: student-teachers engaged in research
during their practicum
These researchers are typically undergraduate students who as part of their teacher training
may seek to conduct small-scale research projects that involve collecting and analysing data
from school students.
The same requirements for ethics approval as required for Category 3 researchers apply.
Step 3: Seeking Approval from the School
Once approval for a research proposal is obtained from the Catholic Education Office and ethics
approval has been obtained where applicable, researchers need to contact the principal of the
school. It should be noted that gaining Catholic Education Office approval in no way
commits the principal to allow the research to be conducted in the school.
In determining whether to accept a research proposal, the principal will consider the potential
benefits of the research to the school and to the wider community, weighed up against any
disruption and the level of commitment of school resources likely to occur.
The following documentation must be provided by the researcher to assist the principal in
deciding whether to allow the research to be conducted in the school:
• a cover letter to the principal inviting participation and providing details about the level of
involvement expected of the school;
• a Plain Language Statement (PLS) for the principal describing the research;
• documents to be used in the project e.g. PLS for participants/parents, consent forms etc;
• a copy of the Catholic Education Office letter of approval which may include conditions placed
on the approval;
• a copy of notification of Ethics Committee approval, if applicable;
• a Working with Children check, if the researcher is visiting the school.
For further information regarding these procedures, email the Catholic Education Office
director@ceosale.catholic.edu.au
Draft Review: 23 July, 2009
Implementation Date: August, 2009
Review Date: August, 2012
APPENDIX 2
APPLICATION TO CONDUCT RESEARCH IN CATHOLIC SCHOOLS
1. Name of Applicant(s):
Title:
Given Name:
Phone:
Surname:
Fax:
Email:
Address:
Suburb / Town:
State:
Postcode:
This is the address to which a letter of approval (if granted) will be sent
Names of other applicants:
2. Title of proposal:
3. Details if proposal is part of a tertiary course:
Qualification:
Supervisor's name: Title:
Given Name:
Surname:
School/Faculty:
Institution:
Address of institution:
4. Category of Researcher:
(
one category)
1
2
3
4
Refer to categories of researchers outlined in Appendix 1 – Procedure for Obtaining Approval to Conduct Research in a Catholic School.
5. Name of Human Research Ethics Committee (HREC) which is reviewing the
proposal:
(If no approval has been sought, please give reasons)
6. Proposed date for starting the research:
Start date:
Month
Year
Anticipated end date:
Month
Year
7. Reasons for wanting to involve Catholic schools in the proposal:
8. Contribution of proposal to education or broader community:
9. Number of schools to be approached:
No. of Primary Schools:
No. of Secondary Schools:
Other:
Researchers wishing to approach schools outside the Diocese of Sale will need to seek approval from the Directors of Catholic Education
of the dioceses involved (Ballarat/Sandhurst/Melbourne).
10. Approximate number of participants sought:
Students (indicate year level and number):
Parents:
Teachers:
Principals:
Others (specify):
11a. Demands on participants:
Include time allocation and other commitments for students, schools and other participants.
Students:
Parents:
Teachers:
Principals:
Others (specify):
11b. Inducements:
Are participants or schools to be offered any inducements to participate in the research?
Yes
No
If 'Yes', please give details:
12. Consent of participants:
Indicate how consent will be sought.
13a. Intrusiveness:
Identify any parts of the research that are potentially intrusive, upsetting or incriminating to participants.
13b. Follow-up Support:
Indicate what support will be made available for students, if required.
14. Confidentiality:
Provide outline of arrangements for protecting confidentiality of data and ensuring privacy of participants.*
*Refer to NHMRC Australian Code for the Responsible Conduct of Research 2007.
15. Agreement to provide reports and to grant the Catholic Education Office the
right to publish a summary of the report:
I agree to provide the Catholic Education Office with a full copy or summary of the findings
of the research described in this application.
I further agree to provide participating schools with a suitable report.
I grant the Catholic Education Office the right to publish an edited summary of the research
findings using either the print or electronic media.
I agree to protect the confidentiality of data collected during this project and to ensure
privacy of all participants.
Signature of Applicant
/
/
/
/
Date:
(If emailing this form, please type your name and date here)
16. Declaration:
I declare that the above information is true and correct.
Signature of Applicant
Date
(If emailing this form, please type your name and date here)
Please attach copies of the following documents with this application:
Letter of request to principal
Plain Language Statement (PLS) describing the research – for principal
PLS – for participants (written in a style appropriate to their age)
PLS – for parents (if applicable)
Copy of all research instruments (e.g. surveys, interview questions)
Consent Form for participants
Consent Form for parents (if students are participants)
Notification of approval from the HREC (if available*)
Any additional information to support the application (optional)
if attached
*If HREC notification is not yet available, it must be sent to the CEOM before schools are approached.
Send this application and attachments by
post:
Director
Catholic Education Office
PO Box 322
WARRAGUL VIC 3820
Draft Review: 23 July, 2009
Implementation Date: August, 2009
Review Date: August, 2012
or email:
director@ceosale.catholic.edu.au
or fax: (03) 5623 4258
APPENDIX 3
REQUIREMENTS FOR ETHICS APPROVAL OF
RESEARCH PROPOSALS
The following two sections outline the types of research proposal which the Catholic Education
Office believes do or do not need to be reviewed by a Human Research Ethics Committee
(HREC).
Section A. HREC Approval Not Required
The Catholic Education Office will determine that approval from an Ethics Committee is not
required for research proposals that involve negligible risk, such as:
1. research that uses data already freely available in the public domain;
2. observation of students and their actions in an educational setting that does not involve
identification of individuals or interactions with individuals for the purpose of obtaining data;
3. audit, review or surveys that do not involve the collection of personal or sensitive data;
4. testing as an aspect of normal educational requirements and conducted according to a
school’s normal policies and practices;
5. collection of student coursework, assignments and essays.
Section B. HREC Approval Required
The Catholic Education Office will determine that HREC approval is required for research
proposals that involve more than negligible risk, such as those that would elicit a ‘YES’
response to any of the following questions. The questions are based on the National Health and
Medical Research Council (NHMRC) National Statement on Ethical Conduct in Human
Research (2007), which is available at <http://www.nhmrc.gov.au>.
1. RESPECT FOR HUMAN SUBJECTS
Research involving humans is subject to the guiding ethical principle of respect for persons with
regard to their welfare, rights, beliefs, perceptions, customs and cultural heritage – both
individual and collective.
e.g. Does the proposed research involve any of the following topics?
YES NO
• Parenting
• Sensitive personal issues
• Sensitive cultural issues
• Religious beliefs
• Grief, death or serious/traumatic loss
• Depression, mood states, anxiety
• Psychological disorder
• Suicide/self harm
• Gender identity
• Sexuality
• Race or ethnic identity
• Gambling
• Eating disorders
•
•
•
•
•
Illicit drug taking
Criminal behaviour
Disease or health problem
Fertility/pregnancy
Drug trials
2. POTENTIAL HARM TO THE WELLBEING OF PARTICIPANTS
In research involving humans, it is the researcher’s responsibility to minimise risks of harm or
discomfort to participants.
e.g. Does the proposed research involve any of the following potential risks?
YES
NO
• Stress to participants
• Physical discomfort
• Mental discomfort
• Withholding an advantage from one group from
which members could derive ‘benefit’
3. POTENTIAL FOR INFRINGEMENT OF PRIVACY OR OF CONFIDENTIALITY
Subjects of research should be assured that their participation is confidential and that any data
derived from their participation will be treated in a secure and confidential manner.
e.g. Does the proposed research involve any of the following?
YES
•
•
•
•
•
•
NO
Collection of personal or sensitive data
Recruitment of participants by a third party
Concealing the purpose of the research
Covert observation
Audio or visual recording without consent
Potential conflict of interest (e.g. a relationship
exists with the researcher such as between teacher and pupil)
4. BENEFIT AND BURDEN OF RESEARCH ON SUBJECTS
A researcher is responsible for defining the importance and benefits of the proposed research
and balancing these against the burdens placed upon those participating in the research.
e.g. Does the proposed research involve any of the following?
YES
NO
• Involvement of particular groups likely to be subject to over-researching
• An absence of intended benefits to any of the participants
• An inducement being offered to participate in the research
In the case of schools conducting their own research, if the principal determines that ethics
approval needs to be obtained, and the project is being undertaken in partnership with an
external institution, HREC approval could be sought there. Alternatively, the school should
contact the Catholic Education Office for advice.
For further information regarding these procedures, email the Catholic Education Office
director@ceosale.catholic.edu.au
Draft Review: 23 July, 2009
Implementation Date: August, 2009
Review Date: August, 2012