Compliance management systems

Related guidelines:

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.

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).

Like private companies, HEIs (both private and public) and non-HEI research institutions are liable for breaches of regulations committed by their members. Due to the large number of legal requirements that have to be observed in the context of research and teaching, it can be helpful to introduce a Compliance Management System (CMS) for organising and keeping track of rule compliance.

On this topic see also

Compliance in universities – risk management in academic activities(externer Link) (in German only)

Compliance management systems

Legal and ethical frameworks, usage rights

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Compliance management systems

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