Purpose and scope
This protocol outlines the process by which applications for research projects involving the Courts are received, assessed and approved. It ensures transparency, consistency and integrity in the Courts’ engagement with external researchers.
Principles
The Courts value involvement in research that contributes to improved access to justice, public understanding of the legal system, and evidence-based policy and practice. The Courts’ involvement in such research must never compromise judicial independence, the administration of justice, the privacy and safety of court users, or the independence of the research.
Applications for the Courts’ involvement in relevant research projects are welcomed. Involvement may range from informal consultation to collaboration, and may include in-kind assistance, participation and access to data. The Courts do not provide direct funding for external research projects but may collaborate in externally funded research (for example, Australian Research Linkage Projects) where significant alignment with the Courts’ research priorities and resources is demonstrated.
The Courts’ Joint Research and Ethics Committee is responsible for considering applications for the Courts’ involvement in research. The Chief Justice has delegated to the Committee responsibility to assess and approve such applications. This Protocol sets out the process, criteria and conditions guiding those decisions.
The Committee is comprised of judicial officers and senior staff from across the Courts who collectively bring expertise in law, social science, research, ethics, First Nations peoples, family violence, equity, diversity and inclusion, and court operations. Community members may be included on the Committee from time to time or for the purposes of considering particular applications.
Process
Researchers seeking to consult informally with the Courts in relation to proposed research are encouraged to contact the Committee for that purpose. The Courts welcome such consultation even if the proposed research is not yet at the stage of a formal application or if a formal application is not being contemplated. Those considering making a formal application are encouraged to contact the Committee before applying to discuss the project’s scope and potential alignment with the Courts’ priorities. Such consultation may start with a brief written ‘concept plan’.
Where external funding is being sought for the research, a formal application should normally be made after such funding has been secured. Where consultation has been had with the Courts, the Courts may be in a position to indicate “in principle” approval for the purposes of a funding application.
Applications are submitted using the Research Project Proposal Application Form, along with the documentation listed in that form.
The Committee will ordinarily consider applications at its next scheduled meeting. Meetings are convened quarterly or as required by the Chair. Researchers can expect an acknowledgement of their application within 7 days, and then an initial substantive response within 3 months. Final approval may take longer if further information is required. If further information is required, the Committee may request written clarification or invite the researcher to meet with one or more members of the Committee. Preliminary consultations will be dealt with on a more ‘ad hoc’ basis.
By applying, the researcher consents to the Committee making reasonable and confidential inquiries with relevant individuals, institutions or funding bodies regarding the proposal. Such inquiries are one of the ways in which the Committee expands the perspectives which are brought to bear in assessing the merits of the project.
Ethics approval
Where research is human research (that is with or about people or their data), applicants based in Australian research institutions will be required to obtain and provide evidence of ethics approval from an Australian Human Research Ethics Committee registered by the National Health and Medical Research Council (NHMRC) and undertake to comply with the conditions of that approval. Where such approval has not been obtained prior to consideration of the application, the Courts’ involvement will be conditional upon it being obtained.
Applications from researchers based at overseas research institutions or not subject to the requirements of ethics approval will be considered, but, where such research is human research, the researcher will need to satisfy the Committee that the research project complies with the NHMRC’s National Statement on Ethical Conduct in Human Research.
Assessment criteria
The Committee will assess the benefits, risks and resource implications of each proposal to determine whether the project warrants Court participation.
In assessing the benefits of the proposed research, the Committee will consider the following matters:
- Is the research project likely to be of value to the Courts and court users?
- Is the research project likely to be of value to the community?
- Is any potential criticism of an aspect of the Courts or the broader legal system arising from the research likely to be based in data which has integrity and to be otherwise well-grounded and fair?
- Is the research project consistent with the Courts’ key public commitments and principles as outlined in documents such as FCFCOA General Practice Directions, Children’s Charter, Reconciliation Action Plan and Family Violence Best Practice Principles?
- Has the researcher considered issues of diversity and the appropriate representation of First Nations perspectives and those of other marginalised cohorts in the design of the research project?
In assessing the risks of the proposed research, the Committee will consider the following matters, noting that it is expected that issues such as impact on participants, confidentiality, integrity of data, data storage and the like will usually be dealt with through an ethics approval process at the researchers’ home institution:
- What is the risk (if any) that the research project could have an impact on litigation in the Courts and how will that risk be managed? (for example, the risk of data being the subject of a subpoena)
- Is there a risk that the Courts’ involvement with the research project could have an impact on judicial independence or impartiality, or the perception of those attributes?
- How will the researcher ensure compliance with relevant legislation and rules? (for example, restrictions on publication in family law matters)
- What are the particular risks (if any) to First Nations people, and other marginalised cohorts, associated with the research project and how will they be managed?
Resource considerations
In considering the resource implications of the proposed research, the Committee will assess the following:
- Can the resources sought be provided without compromising the work of the Courts and the health and well-being of staff and judicial officers?
- Is the application of those resources warranted, given the benefits and risks of the research project and those of competing proposed research projects?
- Where significant resources are required, does the project align with the Courts’ research priorities or otherwise have very significant merit.
In certain circumstances and depending on the extent of any costs to the Courts, it may be appropriate for the Courts to recoup their costs. There may also be broader resourcing implications on shared registry services provided to the Courts, which will require consultation with those services.
The Committee may determine not to proceed where, despite the merits of the proposal, available resources are better directed elsewhere.
Applications must clearly specify the nature of the involvement and the resources sought from the Courts. Researchers will be aware that requests to interview staff of the Courts or judicial officers involve the allocation of scarce and valuable resources.
Researchers whose applications involve significant administrative work within the Courts (for example, deidentifying data) are encouraged to seek funding for such work from their research funder.
Required documentation
To enable consideration of the proposal, researchers must provide a completed application form as well as the documents referred to there, covering the following:
- any ethics approval application and approval from the researcher’s home institution;
- a brief resume for the lead researcher;
- a list of any other members of the research team and their qualifications;
- a summary of the research proposal which identifies clearly the benefits of the research;
- a summary of the methodology/ies;
- details of what the Courts are being asked to do and/or provide and any external funding available to reimburse the Courts for staff time and disbursements;
- details of any external support that has been provided for the project (for example, whether the project has received Australian Research Council funding and of what kind);
- a statement addressing the risk issues.
Conditions of approval
Where approval is granted, it will be subject to the following standard conditions:
- the researcher obtains and complies with conditions upon which ethics approval was granted;
- the researcher updates the Committee in relation to any changes to the conditions applicable to the ethics approval from time to time;
- the researcher notifies the Committee if they become aware of any adverse event associated with the research project;
- the researcher consults the Committee before acknowledging the Courts’ support or participation in any publication or presentation;
- a draft of any publication of the research is provided to the Committee for comment prior to submission for publication;
- the researcher gives consideration to providing a copy of the text of any presentation on the research to the Committee for comment prior to delivery of the presentation;
- where a research project establishes an advisory or reference group, consideration is given to inviting the Courts to participate on that body; and
- the Committee is provided with access to any publication and the authority to make any such publication available to the Courts’ staff and judicial officers.
Contact
All enquiries and applications should be directed to:
Research and Ethics Committee Secretariat
Federal Circuit and Family Court of Australia
Email: research@fcfcoa.gov.au
