Guideline 10
Legal and ethical frameworks, usage rights
Researchers adopt a responsible approach to the constitutionally guar- anteed freedom of research. They comply with rights and obligations, particularly those arising from legal requirements and contracts with third parties, and where necessary seek approvals and ethics statements and present these when required. With regard to research projects, the potential consequences of the research should be evaluated in detail and the ethical aspects should be assessed. The legal framework of a research project includes documented agreements on usage rights relating to data and results generated by the project.
Explanation
Researchers maintain a continual awareness of the risks associated with the misuse of research results. Their responsibility is not limited to compliance with legal requirements but also includes an obligation to use their knowledge, experience and skills such that risks can be recognised, assessed and evaluated. They pay particular attention to the aspects associated with security-relevant research (dual use). HEIs and non-HEI research institutions are responsible for ensuring that their members’ and employees’ actions comply with regulations and promote this through suitable organisational structures. They develop binding ethical guidance and policies and define procedures to assess ethical issues relating to research projects.
Where possible and practicable, researchers conclude documented agreements on usage rights at the earliest possible point in a research project. Documented agreements are especially useful when multiple academic and/or non-academic institutions are involved in a research project or when it is likely that a researcher will move to a different institution and continue using the data he or she generated for his or her own research purposes. In particular, the researcher who collected the data is entitled to use them. During a research project, those entitled to use the data decide whether third parties should have access to them (subject to data protection regulations).
Comments
- Advisory offices
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Animal experimentation in research
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Compliance management systems
CMS as a way to mitigate risk for higher education institutions and non-HEI research institutions
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Contracts with third parties and usage rights
Exploitation of intellectual property is an important element of application-oriented research.
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Data transfer when moving to a different institution
If a researcher wishes to continue using research data they have collected when they move to a different institution, this may be prohibited by former superiors such as the group leader or institute management.
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Recommendations for handling security-relevant research / dual use research of concern
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Reflection on the ethical aspects of research projects
Research ethics aspects are fundamentally relevant to the planning and implementation of research projects and require the appropriate reflection.
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Research consequences and dual use
Wherever research results are directly applicable, researchers have a particular responsibility.
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Research freedom and responsibility / dual use
In many areas of research, the results gained can be used in other contexts (dual use). The DFG has developed several statements on this, partly in cooperation with other organisations.
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Scope and completeness of documentation
It is important to distinguish between documentation within a research institution and published documentation.
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The word “use” in the sentence “In particular, the researcher who collected the data is entitled to use them.”
The person who collected the data, in particular, is entitled to use the data.
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Constitutionally guaranteed freedom of research
Paragraph 3 of Article 5 of the Basic Law (the German constitution) guarantees the freedom of all research.
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Statement by the DFG’s Permanent Senate Commission on Fundamental Issues of Biodiversity (SKBV)
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Further links relating to legal and ethical frameworks, usage rights
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Approval procedure for animal experiments
The statement was prepared by the DFG’s Permanent Senate Commission on Animal Protection and Experimentation. It presents the results of a nationwide survey and a round table discussion on the approval procedure for animal experiments.
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Commitment to responsible marine research
German marine research has issued a voluntary commitment in which it sets out key principles of responsible marine research
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Ethical aspects of research in the humanities and social sciences
Virtually every research project has the potential to raise questions of research ethics. It is therefore important that researchers actively engage with ethical issues.
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Ethical principles and guidelines in the engineering sciences
In the field of engineering sciences, some organisations have defined ethical standards.
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Ethical requirements applicable to clinical research projects
Ethics committees are bodies established by universities, professional associations or countries to provide ethical and legal advice, control and oversight for researchers who are planning to carry out investigations involving living and deceased human subjects, identifiable human material or identifiable data.
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Handling samples in the geosciences
Samples should be archived and stored for future use whenever possible so as to ensure that the material can be used as widely as possible by the scientific community.
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Legal and ethical framework, usage rights in the life sciences
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Stakeholders, roles and responsibilities in the life sciences
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Statements by ethics committees in engineering research
Statements by ethics committees are often indispensable in the engineering sciences.
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Statements by ethics committees in medical research
Relevance of statements by ethics committees in medical research
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Statutory requirements
In addition to legal requirements, occupational health and safety regulations and certifications also have to be observed.
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The dual use problem in mathematics
In many cases, basic research in both theoretical and applied mathematics has the potential to be significant to security-related research as well.
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The Nagoya Protocol in biophysics
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The Nagoya Protocol in the geosciences
The extraction of geoscientific sample material can also fall under the regulations of the Nagoya Protocol.
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Utilisation of existing data sets in medicine/the life sciences
In order to strengthen autonomous action in research ethics