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Research Guidelines
Document title Research GuidelinesContact details Department of EducationApproved by Research SubcommitteeDate approved December 2019Document review Due for review in 2023TRM number 50:D19:35340
Version Date Author Changes made
1.0 December 2019 Research Subcommittee First version
Research Guidelines
Contents1. Introduction...................................................................................................4
1.1. Research Subcommittee................................................................................................41.2. Research team...............................................................................................................4
2. When is an application required......................................................................42.1. Departmental staff conducting private research............................................................42.2. Internal departmental evaluations and reviews.............................................................52.3. Research involving non-government schools.................................................................52.4. Departmental data.........................................................................................................5
3. Research application process..........................................................................63.1. Supporting documents...................................................................................................63.2. Assessment process.......................................................................................................73.3. Educational benefit and impact on learning...................................................................73.4. Letter and conditions of support....................................................................................73.5. Variations, extensions and amendments.......................................................................8
4. Key Assessment criteria.................................................................................84.1. Quality research design.................................................................................................9
4.1.1. Risk mitigation.........................................................................................................94.2. Ethics........................................................................................................................... 104.3. Data, privacy and security...........................................................................................104.4. Consent........................................................................................................................ 12
4.4.1. Participant Information Statements.......................................................................124.4.2. Consent forms........................................................................................................12
5. Working with culturally diverse communities.................................................135.1. Cultural intellectual property.......................................................................................14
6. Obligations to report....................................................................................146.1. Appropriate Supervision...............................................................................................146.2. Working with Children Clearance.................................................................................14
7. Dissemination of findings.............................................................................15
Research Guidelines
1. IntroductionThe Northern Territory Department of Education (the department) values evidence informed practice, driven by high quality educational research and analysis. The department is committed to the benefits which quality research can deliver to students, schools and the education system more broadly. These guidelines provide information for anyone seeking to conduct research in or with Northern Territory government schools, departmental staff, or utilising data held by the department. They outline the department’s approval processes and policy positions in regards to research, and provide guidance material for researchers developing their application.
1.1. Research Subcommittee The department’s Research Subcommittee considers all applications to conduct research in government schools and education sites, including participation of corporate staff and data requests. The Research Subcommittee is responsible for providing strategic leadership regarding education research and evaluation, supporting sustained excellence in research and knowledge transfer within the department, its learning centres, schools and workplaces in alignment with the Education NT Strategic Plan 2018-2022. The Research Subcommittee meets monthly to consider applications to conduct research.
1.2. Research teamThe department’s Research team provides secretariat support to the Research Subcommittee and is the main point of contact for research applications and process advice. The department’s Research team can be contacted via email on [email protected] or telephone (08) 8999 3535.
2. When is an application requiredAll researchers who wish to conduct research or an evaluation in the NT must submit an application to the Department of Education Research Subcommittee if their project involves:
NT government school students Children, parents, caregivers or community members recruited via the school Departmental employees (including teachers, support staff and corporate staff) Data held by the department that is not already publically available, and/or
departmental intellectual property.Following support from the Research Subcommittee, the final decision on whether a school participates in a research project sits with the relevant school principal, and each individual for whom participation remains voluntary.
2.1. Departmental staff conducting private research
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Departmental staff, including teachers conducting independent research within their school, for example as part of post-graduate studies, must also submit an application to conduct research. The application must clearly state that the research is being conducted in a private capacity (e.g. post graduate studies) and is not affiliated with the researcher’s role in the department. This must then be clearly articulated in all communication and recruitment material, including information statements and consent forms. Teachers applying to conduct research in their own school/community must be cognisant of addressing power imbalances (refer page 9 for further information, or contact the Research team to discuss).
2.2. Internal departmental evaluations and reviewsCorporate staff members undertaking internal evaluations or program reviews should liaise with the department’s Research team in the design and planning of evaluations.An application to the Research Subcommittee may be required, depending on the nature and scope of the evaluation/review.
2.3. Research involving non-government schoolsResearch in non-government schools is outside the remit of the Research Subcommittee.Researchers who seek to include NT catholic and/or independent schools are required to apply individually to the NT Catholic Education Office, or the Association of Independent Schools NT (AISNT) as relevant.
2.4. Departmental data Significant data holdings are available publically on the NTG Open Data Portal and Education NT website. National websites such as MySchool , ACECQA , ABS, AEDC , ANR Data Portal , SANT Data Link and NDIS also publish useful education data.In addition, the department is the data custodian for a range of government education data not published publically. The department supports data requests as part of supported research, as long as the appropriate ethics, privacy and consent protocols are followed.Identifiable data cannot be disclosed for research without the active informed consent of the individual/s concerned, and their parent/carer if under the age of 18. Refer to the Data Access Policy for more information. To discuss the department’s data holdings, please contact the Data team at [email protected]. Non-government school data
The department is the data custodian for a range of non-government school data. Individual permission from each non-government school must be provided to enable data provision. If your data request concerns only non-government schools, Research Subcommittee support is not required and you may approach the Data team directly at [email protected].
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3. Research application processStep 1: Apply to conduct research (allow a minimum of 6 weeks)
Step 2: Outcome communicated within 5 days of the Subcommittee making a decision
Step 3: Obtain consent from the relevant principal and individual participants
Step 4: Undertake research
Step 5: Provide a summary of research findings to the department
Application formsApplication forms are available on the NTG About Education Research webpage. Research proposals involving several jurisdictions may also use the National Application form, which is accepted by all state education departments and many catholic and independent schools. This is available on the Australian Association for Research in Education AARE website. All applications are expected to demonstrate a clear consideration of the Northern Territory context.
Consultation with principals and key contactsThe department supports preliminary consultation, prior to an application being submitted, between schools and researchers to discuss research proposals, school context and priorities. This consultation could include seeking in-principle support and/or letters of support from specific schools.
In-principle support from principals does not guarantee Research Subcommittee support. Research must not commence prior to obtaining a Letter of Support from the Research Subcommittee.
3.1. Supporting documentsWhen submitting your completed application form to the department, via [email protected] , please ensure the following documents are also attached: Research instruments (for example, survey questions or interview guides) Information statements and consent forms for each discrete cohort of participants Letters to principals (if relevant) explaining the research and the time/resources
requested of school staff Completed application to a Human Research Ethics Committee (HREC) Approval letter from HREC (NB: this can be in parallel with HREC processes) Working with Children Clearance notice Insurance documentation to confirm appropriate indemnity cover Letters of support from principals, school councils etc., if relevant.
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3.2. Assessment processThe department’s Research team will confirm receipt of applications and provide a reference number. The reference number should be used in all subsequent correspondence about the project.In assessing applications, the department’s Research team may consult internally and seek further information and/or clarifications from the nominated contact person as appropriate to inform advice for the Research Subcommittee. Please allow a minimum of 6 weeks for your application to be processed, assessed and considered by the Research Subcommittee.
3.3. Educational benefit and impact on learningThe Research Subcommittee considers applications with a strategic lens. A quality check and a risk/benefit assessment will be undertaken, to ensure that supported research aligns with the department’s strategic focus, has educational benefit, provides value and minimises risk and burden.The department does not encourage research conducted during class time, however this may be negotiated with the relevant principal if there is an clear benefit to students. Student learning outcomes and staff work should not be compromised as a result of participation.
3.4. Letter and conditions of supportAll applicants will be advised of the Research Subcommittee’s determination in writing.Once support from the Research Subcommittee has been obtained, researchers can approach school principals with their Letter of Support to discuss the school’s participation.
The final decision on whether or not to participate is at the discretion of each school principal and each consenting participant
Researchers are required to send the department’s Research team a list of participating schools once consent has been obtained
Researchers must advise the department’s Research team of any anticipated media resulting from the research and/or its publication. If necessary you may be directed to liaise with the department’s corporate communications team.
Letters of support are valid for six months after the report due date stated on the application form. If research has not commenced in this time a variation will be required.
Data provision
On receipt of a formal Letter of Support from the Research Subcommittee, researchers must email the Data team at [email protected], attaching the letter, with a brief overview of requirements including:
What has been supported/scope of data Completed participant consent forms (if applicable) A copy of your application form.
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The Data team will then work with the researcher regarding data provision. To enable a timely response, please include the application reference number in the email subject line.
Requested adjustments
The Research Subcommittee may also work with researchers to support a proposal with amendments or adjustments, for example to:
Reduce the burden on over-sampled schools Ensure consent forms align with NT privacy requirements Obtain informed consent from Territorians for whom English is an additional language
or dialect.
3.5. Variations, extensions and amendmentsResearchers must advise the department as soon as possible of any changes to supported research.Extensions, minor amendments and variations can be sent to the department’s Research team on [email protected] for processing. Please include a description of amendments or reason for extension and any associated documentation that has been updated including ethics approval (if required). Examples include, but are not limited to:
Change or addition of school/s Additional survey questions/changes to information statement Additional data year or a change to a data request.
In most instances minor amendments are noted by the Research Subcommittee and no further action is required. Significant changes may require an amended application. Please contact the department’s Research team to discuss any changes to your supported research.Please note that any changes will likely require re-approval from your Human Research Ethics Committee. Once amendments are re-approved, you are required to send a copy of the approval letter to the department’s Research team.
4. Key Assessment criteriaAssessment criteria overview
The Research Subcommittee applies the following criteria in making its determinations: High quality, robust research proposals that demonstrate appropriate research design
and methodologies Research that is ethical, with high quality privacy, security and storage protocols Research that will contribute new knowledge and/or build on prior research, and aligns
with the department’s strategic plan Research that is likely to be of benefit or value to students, schools and/or the
department, with an appropriate dissemination plan for sharing research findings
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Research design that minimises risk and disruption to schools and students, with appropriate supports in place where required
Research that demonstrates consideration of the NT’s unique context, and (for multi-jurisdictional applications) the value of the NT’s participation.
Further information on the essential components of research applications is outlined below.
4.1. Quality research design A well-constructed research design provides confidence in research findings. Research applications should be feasible and focused, and must clearly identify the theoretical context of the research and its intended contribution. The choice of research methodology and data collection method(s) should be justified and designed in a way that enables confidence in the findings. This includes incorporating or accounting for all important influences, variables and/or limitations of the research. The Research Subcommittee considers that high quality research proposals include:
Clearly articulated research question(s) A robust methodology that will likely result in conclusive evidence Validated tools, measures and assessments, where appropriate Acknowledgement and remediation of any structural bias Demonstrated consideration of the Northern Territory’s unique context A list of potential risks and appropriate risk mitigations (e.g. perceived power
imbalances and de-escalation protocols).
4.1.1. Risk mitigationResearchers are expected to adequately anticipate any potential risk(s) the research may cause to participants, and have appropriate high-quality mitigation processes in place.
Managing Potential Distress
Where research includes sensitive topics it is expected that researchers have appropriate training, for example in mental health or first aid, and de-escalation protocols are in place to manage any distress incidents. Contact details for appropriate support organisations are expected to be included at the end of the survey, and/or on information provided to participants. Support organisations should be relevant to the research topic, but may include Lifeline, KidsLine or BeyondBlue.
Perceived power imbalances
Researchers can sometimes seek to conduct research with participants over which they could be viewed to hold a position of perceived power. For example, teachers conducting research on their students as part of private research, or a local health worker conducting research in their community. Research proposals must be designed in such a way to ensure that a position of perceived authority does not make participants feel obliged to participate, compromise the voluntary nature of the research, or impact responses/data.
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4.2. EthicsThe department expects researchers to consider and align proposals with:
National Statement on Ethical Conduct in Human Research Australian Code for the Responsible Conduct of Research Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research
When is ethics approval required?1. If research involves students, including identifiable/re-identifiable student data, then
ethics approval is required.
2. If research proposals do not involve students and are low risk and of a non-sensitive nature, then ethics approval is recommended but not essential. If ethics approval is not sought, researchers must provide a letter of ethical conduct outlining how their proposal aligns with the relevant national guidelines outlined above.
Seeking Human Research Ethics ApprovalThe Research Subcommittee is not a Human Research Ethics Committee. In addition to Research Subcommittee support, it is expected that researchers also apply for ethics approval from an NT based, NHMRC-registered Human Research Ethics Committee, as outlined below. This can be in parallel with the Research Subcommittee application process to reduce wait times.In the Northern Territory there are three registered Human Research Ethics Committees:
HREC of the NT Department of Health and Menzies School of Health Research Central Australian Human Research Ethics Committee (CAHREC) Charles Darwin University HREC (for CDU researchers only).
Menzies School of Health Research and CAHREC are willing to review and, if approved, provide reciprocal ethical approval for projects considered in other jurisdictions. Charles Darwin University’s ethics committee is able to review applications where a key investigator is affiliated with the university.
4.3. Data, privacy and securityMaintaining privacy and the secure storage of data is of paramount importance. Researchers are responsible for ensuring data is collected, stored, and disposed of in compliance with relevant legislation and ethical standards, including:
The department’s Data Access Policy and Protocol Information Privacy Principles Information Act 2002 Education Act 2015 Care and Protection of Children Act 2007
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Commonwealth Privacy Act 1988
Research applications must have clearly articulated privacy and security processes. This includes, but is not limited to: Strategies for secure storage of data (digital and paper based) Protection of privacy in publication of data Separate storage of identification keys for de-identified data Restricted data access Secure destruction methods and schedule Data linkages privacy protocols.
Additional considerations: If culturally restricted information is involved, ensure clear agreements regarding
protocols for use and publication are in place If student work is collected, ensure appropriate consents are in place, including consent
to publish.
‘Data’ includes, but is not limited to, quantitative data, work samples, recordings and photographs.Data can only be used for the purpose for which it is collected. Researchers must not seek consent for future unspecified use of data. School participation must remain anonymous unless they explicitly agree to be identified.
Cloud platforms/servers
The use of cloud servers carries significant risk. Researchers should use cloud services certified by the Australian Cyber Security Centre (ACSC) and listed on the ACSC Certified Cloud Services List (CCSL). Please note that third-party solutions built on ACSC Certified Cloud Services do not automatically inherit the certification.Where researchers intend to use a cloud service not on this list, for example Survey Monkey or Qualtrics, additional privacy and security assessments will be required. Please contact the department’s Research team at [email protected] to discuss further. If using a cloud platform, researchers are urged to consider what personal information is essential to the research. The less identifying information collected, the easier it will be to mitigate identification risks.
Data-linkage
Researchers must provide details of any data-linkage, and the procedures they will use to ensure that individuals’ data remains anonymous and protected.
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4.4. ConsentResearchers must seek active informed consent for all participants, including parents/guardians of those under the age of 18. Active opt-in consent processes are required for all research proposals submitted to the Research Subcommittee, and information sheets and consent forms must be provided with research applications. When working with culturally diverse communities you may consider using alternative ways to ensure that informed consent is achieved, including DVD’s, books and flipcharts/images. Researchers should also be aware that a longer time period may be required to discuss, consult, and obtain consent when conducting research with remote Indigenous communities.The Research Subcommittee will not support opt-out, implied or passive consent processes.
The department recommends seeking children’s assent to participate, with age-appropriate information and assent/consent forms for older children.
4.4.1. Participant Information Statements Information statements are a vital tool in ensuring the informed consent of research participants, by communicating the aims of your research, and the requirements of participants. To ensure informed consent, the Research Subcommittee expects that Participant Information Statements:
Are in plain language suitable for the participant’s age, capacity and language background
Clearly state what participation entails (tasks and timeframes) Clearly state that participation is voluntary and participants may withdraw at any
stage without penalty Include any risks of participation Include information on confidentiality and privacy May need to be accompanied by a translator.
4.4.2. Consent formsIn addition to Participant Information Statements, the Research Subcommittee also reviews consent forms for all projects. Consent forms must:
Be in plain language and be appropriate for the participant’s age, capacity and language background
Confirm participants understand the purpose of the research, what their participation involves, and have had the opportunity to ask questions
Confirm confidentiality will be maintained and data stored securely Allow participants to choose not to be video recorded or photographed Allow participants to choose if work samples will be collected.
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Guidance on what should be included in Participant Information Statements and consent forms is available on the Menzies School of Health Research website. Charles Darwin University also have Plain Language Statement guideline document that may assist.If proposed research involves video, photographic or audio recordings, a separate consent form, or a clear optional check box on the consent form, should be included for both student participants and their parents. Incentives
The Research Subcommittee does not support incentives that influence participation and/or responses.
5. Working with culturally diverse communitiesThe NT’s large expanse, dispersed and remote population and diverse communities means that conducting research in the NT involves many unique considerations.The Research Subcommittee expects that any researchers seeking to conduct research in the NT give appropriate consideration to the NT context. If research includes Indigenous Territorians, researchers are expected to be familiar, and align their research approach with:
Guidelines for Ethical Research in Australian Indigenous Studies published by The Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)
Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities: Guidelines for researchers and stakeholders, published by the National Health and Medical Research Council (NHMRC)
Australian Code for Responsible Conduct of Research, also published by NHMRC.
Points to consider when working with culturally diverse communities:
Take the time to build relationships and understand the context of the areas you wish to conduct research in, including any cultural restrictions on information sharing
Be respectful of cultural, religious and other differences Promote Indigenous participation, methodologies and control in research design and
delivery Make certain appropriate measures are in place to ensure participants are fully
informed and comfortable participating in the research. This may require: Translating plain language statements and consent forms, the presence of an
interpreter or support person, or including verbal consent processes in HREC ethics applications
Holding community based consultation and information sessions prior to seeking consent and/or hiring local research assistants to ensure understanding and to assist with gaining community consent.
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Translators
If necessary, researchers should source translators to ensure appropriate engagement and informed consent. The Interpreting and Translating Service NT and the Aboriginal Interpreter Service are available to assist with interpretation services at the cost of the researcher. Please note that it is not appropriate to approach educators to work as translators.
5.1. Cultural intellectual propertyAppropriate use of Indigenous Cultural Intellectual Property should be negotiated with the relevant community representatives, including use and storage of culturally restricted information, publication of findings, and copyright.
Working safely with culturally restricted information
Some research may include access to culturally restricted information for a particular purpose. Clear open communication regarding protocols and laws that apply to culturally restricted information should form part of your research planning, including how to collect and store this data appropriately.
Further information
Further information on Cultural Intellectual Property is available at: Lowitja Institutes Research webpage Researching Indigenous Heath: a practical guide for researchers . Arts Law Centre of Australia’s website .
6. Obligations to reportAll research projects must consider the department’s Mandatory reporting of harm and exploitation of children guidelines. Under the Care and Protection of Children Act 2007, the wellbeing of a child includes the child’s physical, psychological and emotional wellbeing. Researchers must advise the principal if they recognise that a child under 18 years has suffered, or is likely to suffer harm or exploitation (physical, emotional, psychological or sexual). Surveys with questions on topics that involve mental health, wellbeing, and alcohol or drug related content must be re-identifiable in case a report is required.Information statements and consent forms should clearly identify the responsibility of the researcher to report such incidents. Any potential negative impacts and other effects the research project may have on participants should also be noted.
6.1. Appropriate SupervisionThe department recommends that a suitable school or community representative is present when researchers conduct interviews/focus groups with students. However, it is at the discretion of the school principal to determine appropriate supervision required in different circumstances.
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6.2. Working with Children Clearance Working with Children Clearances are required by any researcher coming into contact, or potential contact, with children. This includes face to face research, remote research, or access to identified data. These researchers are required to obtain an NT Ochre Card (Working with Children Clearance).
Interstate cards are not accepted - Apply for an NT Ochre Card through Safe NT.
7. Dissemination of findingsResearch applications are expected to include an appropriate dissemination strategy for research findings. When appropriate, a copy of the summary findings and/or a school level report should be provided to participants and the director/principal of participating sites.To enable research findings to contribute to school and system improvements, and the national education evidence base more broadly, the Research Subcommittee plans to develop a searchable repository. It is intended for this repository to include all supported projects, with a summary and link to reports where applicable.The department also welcomes presentations, which can be arranged with the department’s Research team at [email protected] When conducting research with remote communities, some additional considerations may be required when developing a dissemination strategy.Points to consider:
Ensure permissions are in place to publish outside the community Allow guardians of cultural knowledge adequate time to review publications and raise
any questions or concerns Shared authorship should be considered, if appropriate Ensure findings are returned to the community in an appropriate format Discuss how best to cite knowledge that is owned collectively Discuss how to appropriately use and publish culturally restricted information.
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