Preamble
IAB strives to provide excellent scientific research. The institute supports good academic practice, the observance of regulations in terms of data protection as well as the adherence to ethic principles when performing empirical studies and handling the data used for this purpose. In every phase of the research process - from formulating the research questions and drafting the study concept up to the collection and evaluation of data and the interpretation, usage and publication of the research results - the institute strives to guarantee the dignity and rights of the study groups.
The present Ethics Codex states ethical principles that serve as a guideline and reflection source for the IAB researchers to develop their projects. The Codex is to raise their awareness for ethical issues during their work and encourage them to critically review their own actions.
This Ethics Codex depends on continuous reflection and application by the researchers and should continuously be updated as part of social and scientific development. The objective is - as a community of researchers - to react in a sensitive way to normative and ethical requirements and thus strengthen the social acceptance and legitimacy of independent and free research.
The application of the Ethics Codex by the researchers is supported by the IAB Ethics Committee.
Data protection-related issues and questions regarding good academic practice are not the subject of this Ethics Codex. There are separate legal and administrative regulations and supporting structures at IAB regarding these topics.
Section 1 Responsibility
- Every researcher bears responsibility as part of their sphere of influence. This responsibility involves the society, the people involved in research studies, the credit and success of their own scientific discipline and their own research institution as well as themselves.
- The dignity and rights of the study group must be maintained in every phase of the research process; this applies to study participants in particular. Study participants are (natural or legal) persons whose manifestations of life, behaviour, qualities or opinions are the subject of data collection or scientific evaluation, regardless of whether they are aware of this fact or not. People or organisations whose conducts of life or organisation are represented in process-produced administrative accounts of social security or comparable data collections are no study participants.
- The researchers are obliged to continuously update their knowledge on research ethics. The regularly offered qualifications at IAB can be used for this purpose.
Section 2 Informed consent
- An informed consent must be obtained from study participants, as far as this is possible and reasonable with regards to the scheduled research project.
- Information which is comprehensible by the respective group people about the research methodology, the research objective, the benefits and risks of the project as well as the usage of the data collected must be provided prior to obtaining the informed consent. The informed consent is given on a voluntary basis, i.e. without any pressure and constraints. It must be possible to withdraw the willingness to participate at a later point in time without negative consequences resulting thereof.
Section 3 Vulnerable groups
- The rights and interests of vulnerable groups must be protected in particular. Vulnerable groups are groups of people who are unprotected due to their physical, mental or emotional constitution or due to their special social situation. Their vulnerability generates hindrances in the realisation of their autonomy potentials and discretion to act as well as their self-protection resources. In the context of researching social security systems, emergency and extreme situations which are not or not effectively absorbed by the existing security systems (e.g. people currently affected by flight or people receiving no welfare state benefits at all or only in a limited way because they are drop-outs) should be considered as one particular trigger of vulnerability.
- Researchers may orient their research towards vulnerable groups only if the research objective cannot be reached in other ways.
Section 4 Physical, emotional and social well-being
The researchers must do their utmost to protect the study participants from unnecessary physical, emotional or social stress as part of the data collection. The study participants may not be exposed to any risks that are above the normal risk of life.
Section 5 Benefits and risks of research
- Benefits and risks of the research project must be clearly defined and weighted carefully prior to the project start (as far as already known). For foreseeable risks, researchers must make sufficient arrangements to keep the likelihood of occurrence and the resulting damages after such occurrence as low as possible.
- Researchers must regularly review the benefits and risks of their research project during its implementation and react to changes.
- The freedom of research and science (Para. 5, Section 3 German Basic Law) may be in competition with other basic rights. Researchers are aware of this charged relationship and must always review their targeted research project against this background.
Section 6 Statistical discrimination
If the data to be evaluated can discriminate people or groups of people (e.g. by drawing conclusions from certain characteristics of the sample about their manifestation in the population), any possible disadvantage for this person or group of people arising from the study must be weighted.
Section 7 Documentation
- Prior to any empirical study, the researchers must review and document it with regards to research ethics-related aspects according to the process established at IAB.
- The collection, retention and usage of particularly sensitive data (especially biomarkers and passive smartphone data) must be documented officially, if they contain information attributable to a specific person. This may be achieved by a methods report, for example. Clear and externally transparent rules must be formulated for the collection, storage, access to and usage of such datasets.
Section 8 Coming into effect, alterations
- This Ethics Codex will become effective as of 01 February 2021.
- Alterations of this Ethics Codex are decided by the IAB Directorate with the involvement of the Research Units.