Teaching & Research
at the UW/H
Teaching & Research
at the UW/H
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Research ethics and legal aspects of research data management
Research ethics
Digital technologies have profoundly changed the research process. Researchers are required to deal with questions of research ethics as early as possible. The requirements of the ethics standards in the professional societies, which must be met, play an important role. All scientific quality criteria and the principles of "good scientific practice" (DFG) in relation to the scientific community must be adhered to in every research project.
The DFG's guidelines for safeguarding good scientific practice state: "Scientists and academics treat the constitutionally granted freedom of research responsibly. They take into account rights and obligations, in particular those resulting from legal requirements, but also from contracts with third parties, and obtain and submit approvals and ethics votes where necessary. With regard to research projects, a thorough assessment of the research consequences and the evaluation of the respective ethical aspects should be carried out. The legal framework of a research project also includes documented agreements on the rights of use of the resulting research data and research results." (Guideline 10)
The protection of particularly vulnerable groups is especially important here (e.g. in medical research/health and care). Researchers are always called upon to reduce the risks associated with projects for others and to give careful consideration to this in advance. Standards and regulations on research ethics should ensure that harm is avoided and that freedom of research can be guaranteed at the same time. The aim is always to handle scientific freedom responsibly.
Research ethics in projects must therefore be taken into account as early as the application stage or when writing the data management plan (DMP).
Other topics in research data management relating to research ethics are often
- the voluntary nature of participation as a prerequisite of a study,
- the principle of informed consent in educational and social science studies
- the protection of participants by ensuring anonymity,
- privacy,
- the avoidance of risks and
- legal issues, in particular personal rights (of third parties).
Informed consent must be obtained before conducting field research. It should also be ensured that no comparable data is available that could be used secondarily.
Legal aspects of research data management
In the course of a research project, all legal questions must be answered, in particular
- Under what conditions may research data be reused?
- What must be observed when sharing and archiving data?
The rules on data protection and copyright provide answers to these questions.
- Copyright (e.g. protectability: § 2 UrhG, § 3 Satz 1 UrhG; Co-authorship: § 8 UrhG; Expiry of the protection period: § 64 UrhG, § 72 Abs. 3 UrhG)
- Personal rights (e.g. right to one's own image: § 22 KunstUrhG)
- Data protection (e.g. lawfulness of processing: inter alia § 27 BDSG, Art. 6 DSGVO, Art. 17 Abs. 3 lit. d DSGVO; Informed consent: inter alia Art. 13 DSGVO)
- Data security (including § 64 BDSG)
- Database guidelines (e.g. protectability: EU-Richtlinie 96/9/EG, § 4 Abs. 2 UrhG, § 87a UrhG; Expiry of the protection period: § 87d UrhG)
- Software law (UrhG Abschnitt 8)
- Licensing (inter alia § 31 UrhG, e.g. Creative Commons Licenses)
- Labour and employment law (e.g. rights of use and exploitation, which are regulated in the employment contract: e.g. §43 UrhG)
- Contract law (inter alia BGB Part 3, e.g. cooperation agreements or non-disclosure agreements)
- Patent law (PatG)
- Competition Law (UWG, e.g. for collaborations with companies)
- International law (e.g. validity of national regulations for research with foreign co-operation partners)
- Fundamental rights (e.g. academic freedom: Art. 5 Abs. 3 Satz 1 GG)
- Clarify whether data must remain personal and therefore subject to data protection
- Obtain a declaration of consent from the data subjects
- Create a ‘directory of procedures’ in collaboration with the data protection officer
- Conclude user agreements with the users
- Delete personal data as soon as the purpose of use has been fulfilled or implement anonymisation/pseudonymisation measures
- Obtain declarations of data confidentiality from project staff
The consent of the interviewees is almost always required in order to process interview data. If you would like to develop your own declaration of consent for your project, the legally checked declaration templates from the Qualiservice research data centre can provide additional suggestions.
You can also find information on informed consent
- in the series forschungsdaten bildung informiert from VerbundFDB and at
- Schaar, K. (2017). Informed consent as a prerequisite for the (re-)use of research data: Contribution to the standardisation of consent forms in the research area including the requirements of the GDPR and ethics requirements. (RatSWD Working Paper Series, 264). Berlin: German Data Forum (Rat für Sozial- und Wirtschaftsdaten, RatSWD). https://doi.org/10.17620/02671.12.
Obtaining written consent is not always necessary. Sometimes it is sufficient to hand out information sheets.
Examples of data protection information sheets for surveys:
- infas, survey Private households and their finances: Declaration on data protection and the absolute confidentiality of your data
- GESIS and TNS Infratest, PIACC survey: Declaration on data protection and the absolute confidentiality of your details in personal interviews.