Code of

Good Practice
in Research

(Agreement of the Governing

<

< < Council on 30 January 2013)

Code of Good Practice

in Research
 < Índex

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Objectives and scope of this document . . . . . . . . . . . . . . . . . . . . . . . . 6

Basic research values and principles at the UAB . . . . . . . . . . . . . . . . . . 7

Freedom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Honesty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Rigour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Conflicts of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Responsability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Research organisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Research groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
< Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 <
Tutoring and supervision of trainee research staff . . . . . . . . . . . . . . . . . 9
Obligations of course directors or tutors . . . . . . . . . . . . . . . . . . . . . . . . 10
Obligations of trainee staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Research planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Research practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Working procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Research infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Research involving people . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Research involving animal experimentation . . . . . . . . . . . . . . . . . . . . . . 15
Research involving natural spaces and cultural heritage . . . . . . . . . . . . . 15
Potentially hazardous procedures and materials . . . . . . . . . . . . . . . . . . 15
Collection and storage of materials and data . . . . . . . . . . . . . . . . . . . . 17
Acquisition and recording . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Physical materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Computerised materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Data ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

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 Dissemination of results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Dissemination policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Institutional credits, acknowledgements and grants . . . . . . . . . . . . . . . 20
Disseminationin the media . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Authorship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Order of authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Authorship of reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Research projects sponsored by private companies and intellectual and
industrial property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Transparency and supremacy of interests . . . . . . . . . . . . . . . . . . . . . . . 23
Intellectual property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Industrial property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Error correction and retraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Curriculum vitae . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Evaluation, assessment and review activities . . . . . . . . . . . . . . . . . . . . 25
Peer review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
< <
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Codes of Good Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Legal references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3 Code of Good Practice

in Research
 < Introduction

As declared in the Statues, the Universitat Autònoma de Barcelona (UAB) aims

to participate in the creation of scientific, technical and professional knowledge
through dedication to research and the subsequent transfer of the results ob-
tained to society, as well as the promotion, stimulation and embracing of intel-
lectual and artistic activity in all areas of culture and knowledge with a spirit of
constant research of quality and excellence.
For its own activities the UAB is inspired by principles of freedom, democ-
racy, justice, equality and solidarity. This commitment therefore involves direct-
ing the teaching, research and university activity in general towards a culture of
peace, respect for human rights, social progress, respect for the environment
and sustainable development and the explicit rejection of research for military
ends.
< As it is the duty of everyone who makes up the university community, and <
in particular the governing bodies to hold up these principles and make them
fully effective, the university community considers it necessary to have a
Code of Good Practice in Research (CBPR). This code should contribute to
guaranteeing that the research carried out is done so in accordance with the
prevailing legislation and the ethical norms accepted by the scientific com-
munity.
This necessity is even greater as a result of the recent publication of the rec-
ommendations of the Bioethics Committee of Spain in that the public adminis-
trations will demand the drawing up of CBPRs in public research organisations
and research centres, whatever their legal status, if they are funded with public
money or receive public resources (Section B.1.1), meaning that this code is all the
more necessary.
This code has been drawn up with reference to guidance offered in the
Recommendations of the Bioethics Committee of Spain for the Impulse and
Implementation of Good Scientific Practice in Spain (http://www.comitede-
bioetica.es/documentacion/index.php), by the Committee of Ethics and Ani-
mal and Human Experimentation (CEEAH) of the UAB, in accordance with the
provision of existing legislation. The code is based on the European Research
Charter and other documents for good scientific practice in public research

4 Code of Good Practice

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 institutions, and was approved by the Research Committee of the UAB at its
meeting on 12 November 2012 and by the Governing Council of the UAB on 30
January 2013.

< <

5 Code of Good Practice

in Research
 < Objectives and scope
of this document

Good practice in research involves an intellectual attitude that translates into a

working ethos. They are related in the way in which research is planned and car-
ried out, how the results are recorded and diffused and how the knowledge de-
rived from the research is applied and exploited.
The CBPR is the collective self-regulating instrument that is made up of a set
of actions, recommendations and commitments for research practice.
Its strength comes from the fact that it includes legal precepts, but also
the voluntary acceptance of everyone involved in research and especially the
researchers themselves. This acceptance means that what is contained in it is
what researchers of recognised prestige consider is appropriate in terms of at-
< titude, behaviour and ethical commitment required by high level research. <
For that reason the objectives are:

> Better quality research in all fields.

> The establishment of mechanisms to guarantee honesty, rigour and re-
sponsibility in research.
> The acquisition of good scientific practice in the period of research train-
ing.

The content is complementary to the existing legal regulations.

This document is applicable to researchers and trainee researchers at the
UAB, as well as the other bodies under majority or total control of the University.
In the case of conflicts it is suggested that the Research Committee of the
UAB resolve the case on the request of the different parties, with out prejudice
to the possibility of making an individual claim for mediation by the ombudsman
of the UAB and resorting to the legal or specific requests established within
Spain.

6 Code of Good Practice

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 < Basic research values
and principles at the UAB

The basic principles that should inspire any kind of research at the UAB are free-
dom, honesty and responsibility.

Freedom
The principle of freedom refers equally to the choice and the carrying out of
research. Despite that, this freedom is embraced by the ethical principles con-
tained in the previously mentioned UAB Statutes amd the international agree-
ments and declarations that make reference to them, as well as the legal pre-
cepts applicable in each case, which are mentioned at the end of this code.
< <
Honesty
Researchers must be honest in their research activities and also towards other
researchers in their work and with the institution itself. This applies to all works
of research, including the initial formulation of the hypothesis, design of the re-
search methodology, analysis of data, publication of the results, recognition of
the contribution of other researchers and reviewing and evaluation activities
undertaken as personal commissions.
Researchers must recognise the direct and indirect collaborations and con-
tributions of colleagues clearly, unequivocally and explicitly.
Researchers must respect industrial and intellectual property rights and
must not plagiarise or self-plagiarise or manipulate the results.

Rigour
The honesty of researchers also implicitly involves rigour in carrying out
the research. Researchers have to engage in a careful process of discovery
and interpretation. That requires detailed revision of the results obtained
before publication and, if errors significant are detected after publication,
these should be publicly and explicitly rectified as soon as possible.

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 Conflicts of interest
Conflicts of interest are present in all facets of human activity and ap-
pear when the criteria applied to a primary interest (e.g. knowledge of an
area) may be unduly influenced by a secondary interest (e.g. economic
gain or improving the position of the researcher.
Finding oneself in a situation of conflict of interests is not intrinsical-
ly unethical but the situation must be recognised and handled correctly.
Researchers should therefore pay great attention to possible conflicts
of interest in order to realise when they are occurring. Where conflicts
are identified they should be avoided or made public and appropriately
handled according to the policies of the contracting parties, evaluating
bodies or publishers.

Responsibility
As members of the UAB, researchers must guarantee that the research is car-
< ried out in accordance with the principles expressed in the University Statutes, <
as well as in the terms and conditions defined by the funding body or agreed be-
tween the UAB and the funding bodies. This includes the need to ensure that:

> Research is carried out in compliance with the criteria for economic and
environmental sustainability.
> Research is carried out in accordance with the original proposal present-
ed to the funding body, except where changes have been agreed.
> Funding is used solely for the planned objectives, except where authori-
sation has been obtained for alternative uses.
> Reports reflect the work being carried out exactly and are presented
within the set deadlines.
> The conditions relating to publication, authorship and intellectual prop-
erty are complied with.

Researchers must report any act of malpractice with regard to these prin-
ciples as soon as they come to light in an appropriate and responsible manner.

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 < Research organisation

Research groups
In accordance with the UAB Statues (Article 182) research is structured around a
research group. The research group is a research unit made up of members of the
academic staff who share scientific objectives and are coordinated by a principal
researcher.
Research groups must have an organisational structure in which the lines of
authority and communication among its members are clearly indicated, as well
as the responsibilities for the different research actions.
All members of a group, within their area of responsibility, must take on this
commitment and reject initiatives that could jeopardise the way in which they
carry out their project. Members of the research group must take an active part
< in the activities that are proposed and organised. <

Leadership
Research groups must have a principal researcher who leads the group and pub-
licly represents it. The responsibilities of that leadership include both academic
and organisational aspects.
Research group leaders must promote an area of work in which members can
gain experience and develop their skills and in which the exchange of ideas and
knowledge is promoted as well as the achievement of common research objec-
tives.
Leaders must also promote cooperation with other research teams to en-
courage the exchange of ideas and knowledge among researchers

Tutoring and supervision of trainee research staff

The training process for young researchers is one of the responsibilities of the
researcher. This process should not be limited to the learning necessary for
undertaking the research task, but should include the CBPR, team working and
working within the research group, the centre and the institution.

9 Code of Good Practice

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 Obligations of course directors or tutors
Supervisors and tutors are responsible for the training process taking
into account the defined objectives and the timeframe for achieving
them. They must therefore provide the trainee researchers with the best
possible conditions for carrying out their scientific work in the future.

Specifically they must:

> Interact personally and regularly with the trainee researchers under
their supervision to over see the tasks they have been asked to carry
out and guarantee that they are fulfilled.
> Facilitate access to adequate means and scientific environment, tak-
ing into account the training needs and avoiding unnecessary pres-
sure.
> Introduce trainee staff to discussion forums and scientific meetings
and offer advice for their future, as well as allowing them to partici-
pate in research projects, periods abroad, courses, etc.
< > Avoid trainee researchers being involved in tasks that are outside <
their area of training.
> Ensure that work orientated to training researchers (Master’s de-
grees, PhD theses) does not form part of projects with commercial
restrictions over the diffusion of results.
> Ensure that the research is carried out in safe conditions, informing
the trainee researchers about the safety rules and risk prevention
measures and insisting that these are complied with.
> Stress to trainee researchers that they must follow the CBPR and
should be self-critical when evaluating the safety of their own work.
> Offer the trainee researchers all the information they need in rela-
tion to the existing legal requirements that affect research activity
(see legal references).
> Recognise the personal work of the researchers and be rigorous and
fair in the authorship of publications and other forms of diffusion of
the work carried out.
> Carry out work in a way that provides an example for the trainee re-
searchers.

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 Obligations of trainee staff
> Be fully involved in the project assigned to them for their training and
take on the commitments that derive from it and achieve the objec-
tives set out, dedicating the necessary time and resources within
what is reasonable for the situation and dedication to the project.
> Undertake to make good use of the materials and installations avail-
able.
> Follow the advice and recommendations of the supervisors or tutors
and inform them of any possible initiatives and the progress in the re-
sults.
> Inform themselves of the safety rules and procedures and follow
them and respect the CBPR.
> Take part in scientific activities, discussion forums, seminars, etc. re-
lated to the carrying out of their own work.
> Recognise the contributions of supervisors and tutors in their oral
and written results.

< <

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 < Research planning

All research must be contained in a written document (research protocol or de-

sign). The document text must coincide with the report needed to apply for fund-
ing for a research project in a public call for applications.
A research protocol should include information relevant to the project. As
an example the following sections could be considered: background, specific ob-
jectives, methodology to be used and research team. The document should also
include a work plan with a calendar setting out each of the planned phases of the
research, which should also contain the human resources planning, assignment
of tasks and the material resources anticipated. If possible it should also include
an economic assessment of the costs and a budget.
Research planning should also anticipate the diffusion of results, especially
in aspects such as authorship and the order in which the authors appear.
< All research protocols that include the use of installations or equipment for <
the research that are not for exclusive use should receive prior approval from the
person responsible for the institution, centre or equipment to be used.
When it is anticipated that different groups from the same or different cen-
tres will be involved in a research project there should be a written document of
the scope, conditions and terms of the joint collaboration.
Where necessary the statistical weight of the proposed study should be
taken into account. This aspect is especially important for studies that involve
the use of humans or animals in experiments in order to avoid unnecessary or
unproductive testing.
Depending on the type of study, ethical and legal aspects should also be
taken into account as well as risk evaluation. If the research directly involves
people, human material or experimental animals, the document should first be
submitted to the CEEAH of the UAB. Where there is biological risk to staff or
the environment it should be previously submitted to the Biosafety Committee
(CBS) of the UAB.
During the projects or research protocols monitoring should be carried out
to show that the activities being carried out are in line with the planning and to
make any necessary changes.

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 < Research practice

Working procedures
The methods used in the protocols or in the research project must come from re-
liable sources (reference methods, scientific publications rules, etc.) Where the
research involves a new methodology the process of starting up and validation
of the new methodology must form part of the research protocol and research-
ers must demonstrate its reliability with evidence.
All procedures and methods used in the research protocol must be ad-
equately referenced and documented to allow subsequent revision in the most
exact way possible of how it is going to operate. This documentation must con-
sist of at least the original results obtained by the researchers. According to the
nature of the research it may be more appropriate to document the methods in
the research protocol or in specific procedures. In this last case the copies of the
< procedures must be controlled to ensure that all the researchers have the same <
version of the documents..

Research infrastructure
All installations must be adapted so that the planned research activities can be
carried out, both in terms of the safety of people working in them and the quality
of the results obtained.
Where equipment is used to carry out the research activities, researchers
must ensure that it is adequate for the activities to be carried out and that the
people who have to use it are suitably trained with adequate instructions for its
use. In the case of complex equipment those instructions must be in the form of
documented procedures.
Any piece of equipment used for research activities must undergo preventa-
tive maintenance to avoid malfunctioning that could later the results obtained.
Researchers must also guarantee the reliability of the measures offered by the
equipment at al times.

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 Research involving people
In research with humans there is a special need for diligence in terms of the infor-
mation about the proposal, inconveniences and possible risks and the benefits of
the research (for the subject or other people), obtaining explicit, written consent
from the people participating or their parents or legal guardians in the case of
individuals that are legally considered incapable of giving consent as well as the
confidentiality of data, samples and the results obtained. In particular research-
ers must acquire the explicit commitment to confidentiality in anything that the
people in the project may find out in accordance with the regulations on personal
data protection. They must also make an explicit commitment to not pass data
or biological samples to other projects or researchers without the authorisation
of the providers or the research ethics committee or without clearly knowing the
objectives.
In general, all research protocols involving the use of human samples or data
about people must comply with the prevailing legislation and in particular Law
14/2007 on research in biomedicine and Organic Law 15/1999 on the protection
< of personal data. All research protocols involving the direct participation of peo- <
ple or which are based on any information or biological samples obtained from
people must receive the approval of the CEEAH of the UAB or, where the pur-
pose of the research is of a clinical nature, the corresponding clinical research
ethics committee (CEIC) of the health centre where the research is being carried
out. In the case of research with patients, the members of the research team who
are not responsible for the clinical treatment of participants must collaborate
and not interfere in any question raised by the medical staff responsible.
Researchers must specify any economic compensation that the subjects
participating in the project will receive, and this must be proportional to incon-
venience or risk incurred and may not be used as an incentive for participation
in the research.
Where it is anticipated that students from the UAB will participate in a pro-
ject there must be a guarantee that their inclusion is free and voluntary, and
measures must be taken to avoid adverse consequences for those who decide
not to take part or who withdraw from the projects.

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 Research involving animal experimentation
All research activities carried out with experimental animals must be carried out
in accordance with the principles of replacement, reduction and refinement con-
tained in the prevailing legislation and in particular in Royal Decree 1201/2005
of 10 October on the protection of animals used for experimentation and other
scientific purposes and Decree 214/1997 of 30 July which regulates the use of
animals for experimentation and other scientific purposes.
The staff taking part in research with experimental animals and animals
used for other scientific purposes must have the corresponding accreditation
as researcher or experimenter, depending on the case. Researcher must there-
fore apply for and obtain authorisation from the Ethics Committee for Animal
and Human Experimentation of the UAB (CEEAH) for each of the experimental
procedures in which animals are used for experimentation ad other scientific or
teaching purposes.

Research involving natural spaces and cultural heritage

< <
Research activities carried out using or within natural spaces, in environmen-
tal settings or heritage sites (natural, historical, archaeological, etc) oblige re-
searchers to take special care and always look for compatibility between their
own research tasks and the maintenance, conservation and sustainable develop-
ment of those spaces for future generations.
Any type of research in these areas must be carried out in accordance with
the rules and prevailing legislation for each geographical area, region or coun-
try, and the local communities must always be respected. The spirit of the ac-
tions must be that marked by the directives of international organisation such as
UNESCO (Convention for the protection of world cultural and natural heritage,
Paris, 16 November 1972).

Potentially hazardous procedures and materials

The use of procedures and materials that are potentially hazardous must be un-
dertaken in accordance with the regulations and good practice guides to guarantee
the safety of researchers and the university community as well as the environment.
Where necessary a prior risk assessment must be carried out in accordance
with the prevailing legislation and the approval of the Biosafety Committee

15 Code of Good Practice

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 (CBS) and the Technical Unit for Radiological Protection of the UAB must be ob-
tained.
The head researchers must be committed to informing all researchers and
staff involved in the use of these procedures and materials, and complying with
the health and safety regulations, safety at work and environmental protection
measures in place.
Researchers must also be committed to carrying out the research strictly
following the approved safety protocols and must informs of any accidents
that may place the staff or the environment at risk, and they must also follow
the protocols for containment and decontamination to minimise the risks of
exposure.

< <

16 Code of Good Practice

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 < Collection and storage
of materials and data

Acquisition and recording

The recording, storage and custody of material deriving from research is the
responsibility of the project leader and must be undertaken according to their
criteria.
Researchers must record all data and observations obtained from the re-
search activity (including the preliminary, negative, unexpected or discordant
­results) permanently and with sufficient clarity to allow third parties to repro-
duce the work carried out. The records must identify the person who obtained the
data and the date. Any changes made must show the corrected data and identify
the data of the correction and the person who made it. The record and the iden-
< tification of data must demonstrate the work carried out and ensure traceability, <
which could be especially important for the protection of intellectual and indus-
trial property.
All data must be conserved for a minimum period 5 years from the date of
publication (except in the cases where there is an agreement for a longer period)
in order to guarantee integrity and safety and avoid non-authorised changes.
The original data from the research (and where necessary the relevant speci-
mens, samples, original questionnaires, recordings and images, etc.) must be
stored in their original form, especially of they have been subsequently modi-
fied or improved. Excessive improvement or interpretation of the original data
should therefore be avoided.
All materials involved in research activities or those which derive from it
must be identified in a clear and lasting manner along with the project or proto-
col from which they come.
In all research involving the use of personal data there must be a guarantee
that the data has been obtained and is stored in compliance with the prevailing
legislation.

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 Physical materials
All original data must be clearly and precisely recorded, including all the
relevant details of the research carried out. Where notebooks are used
they should preferably be indexed with bound pages (not interchangea-
ble or disposable) which are numbered. Material that cannot be included
in them must be kept in a dossier with cross reference systems between
the two documents.

Computerised materials
In the case of data stored electronically, security copies should be sys-
tematically generated periodically and, taking into account the estab-
lished conservation period, recovery must be guaranteed, especially
cases where the format or standards are changed.
It must be guaranteed that all means are available to avoid accidental
dissemination of the data as a result of error or lack of knowledge or a
lack of protection against external attacks.
< Copies of the main programs used to process the data obtained must <
also be kept.

Storage
Storage of materials should be carried out in such a way as to guarantee their in-
tegrity, traceability and conservation at all times. Where the storage conditions
are critical (temperature, humidity, etc.) the corresponding records must be ob-
tained. Any exchange of materials with other institutions must be undertaken
with the corresponding signed transfer protocol.

Data ownership
All the primary data (collection notebook, data bases, etc.) as well as material
obtained during the research is the property of the centre to which the project
leader belongs. Where there is a change of institution, and where necessary, the
project leader may make a photocopy of all or part of the record books, a copy
of the existing electronic information and a photocopy of the data collection
notebooks or part of the material available to the person who is changing centre.
Where the change affects the head researcher this process must be carried out

18 Code of Good Practice

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 under the responsibility and supervision of the directors of the centre or depart-
ment.
All members of the research team must be able to access the information
from the data obtained and their interpretation. The head researcher must hold
a single record of the different elements of data collections (notebooks, data
bases, etc.) and custody of samples, access to which must be in conditions which
make them available to third parties.
The data and materials resulting from the research must be public and in con-
ditions which make them available to third parties, with the exception of cases
where restrictions have been established for reasons of confidentiality or pos-
sible future commercialisation. Before granting access to data and materials it
is necessary to find out the use that the person requesting will make of them,
inform the knowledge of the request by the research team and follow a transfer
protocol with the approval of the research leader; it is also necessary that the
person requesting the data and materials takes responsibility for any produc-
tion or procedural costs. The granting of access may be limited for reasons of
availability, competition or confidentiality. The material or data that comes from
< people must be shared in such a way as to not be able to identify the source sub- <
jects; where this is not the case specific permission must be obtained from the
people from which they come.

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 < Dissemination of results

Dissemination policy
The dissemination of the results is an ethical responsibility of researchers un-
derstood as being a contribution to increasing and improving human knowledge
and as part of the process of balancing accounts for the use of public resources
for research.
Therefore it is unethical to wait too long before disseminating the results,
not disseminating them at all or exaggerating the importance of results derived
from the research, or even the non-publication of negative results (in certain
health-related cases).
The UAB considers open-access initiatives for knowledge to be positive
(Berlin Declaration on Open Access to Knowledge in the Sciences and Humani-
ties), which favour and promote models of publication that advocate free access
< to scientific and academic production generated by researchers. For that reason
<
the UAB recommended the Berlin Declaration (http://oa.mpg.de/lang/en-uk/
berlin-prozess/berliner-erklarung/) to the Governing Council on 14 March 2012.
In any case open access has to meet the same criteria of honesty and rigour that
rule other means of communication.

Institutional credits, acknowledgements and grants

All researchers must clearly state that they belong to the UAB in their
published works. In the case of researchers attached to the UAB through
other research structures (institutes, observatories, etc.) these attach-
ments must also be clearly identified.
Attachment to the UAB must comply with the instructions of the Vice
Rector’s Office for Research in terms of the “Standardisation of signato-
ries and attachment of researchers to the UAB”.
All published research must explicitly include the independent com-
mittees that have supervised and approved the research protocol.
The acknowledgements section must include people and institutions
that have collaborated in the research. In particular the work and contri-

20 Code of Good Practice

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 butions of support staff must appear as well as the support services for
research at the UAB.
Subsidies, funding grants and economic sponsorship received to
carry out the research must be declared and acknowledged, as long as
acknowledgement has not been declined by the awarding organisation.

Dissemination in the media

Presentation of results through the media must always include an in-
formative explanation or part of the presentation adapted to non-spe-
cialist audiences.
In this type of public presentation the authors’ names must always be
associated with their institutions and wherever possible subsidies and
grants received should be mentioned.
It is not considered acceptable to communicate and disseminate re-
sults of research to the media before peer review has taken place, nor
should excessive optimism or false expectations be raised in relation to
the research.
< <
Authorship
For the purposes established in the legislation on intellectual and industrial
property to determine authorship or co-authorship of a publication and inventor
of a patent or model of use the following are required:

> Have made a substantial contribution to the project and the creative pro-
cess, i.e. to the conception and design of the project or the analysis and
interpretation of the results.
> Have contributed to the preparation of presentation, report or the re-
sults.
> Be able to present a personal contribution to the research and discuss
the main aspects of the research as a whole.

All co-authors referred to in a specific publication do not have to know the

text but have to sign to accept the final written version and therefore declare
that they are co-responsible for the content.
Simple participating in the collection of resources, data or samples or in the
provision of subjects for experimentation does not necessarily justify co-au-

21 Code of Good Practice

in Research
 thorship, even though that participation is recognised in the acknowledgements
section.
People involved in the research group who, as a result of hierarchical position
or job status, demand the position of ex officio author are violating academic
freedom and committing an act of injustice or even abuse of their authority.
Conversely the deliberate omission of the name of any person who has made a
proven contribution according to the criteria set out previously is an act of inap-
propriate appropriation of intellectual property for the rest of the authors.

Order of authors
The order in which authors appear in the publications may follow certain
customs or uses that are established in each area of research and it is
recommended that these are respected.
In general terms, where the contribution between different authors is
equal, the most usual order in which names appear is alphabetical.
Where the contribution of each author is different it is usual practice
to list the authors as follows:
< <
> The first co-author is the person who has made the greatest efforts in
the research and prepared the first draft of the article.
> The next co-author is the senior researcher who directed the research
or who has ultimate responsibility for the research protocol.
> The other co-authors may appear in order of their contribution or, in
some cases, alphabetical order.

Where two or more researchers have made an equal effort and have
shared the main work in writing the manuscript they have the same con-
sideration as first authors. This circumstance is explicit in the publication
of the original. The same criteria can also be applied to intermediate and
senior authors.
The author with responsibility for the correspondence is the one wit
the main responsibility for the publishing process as well as future inter-
actions that may derive from the publication of the work.

Authorship of reports
The publication of working or technical reports or any other written docu-
ment aimed at third parties must always include the relationship of the

22 Code of Good Practice

in Research
 authors to the research or investigation, the centres they are from and
the subsidies and grants receive that may be relevant to the report, in the
same terms as a scientific publication or patent.

Research projects sponsored by private companies

and intellectual and industrial property
According to Article 4.b of the Statutes of the UAB, one of the aims of this uni-
versity is “to participate in the creation of scientific, technical and professional
knowledge through dedication to research and the subsequent transfer of the
results obtained to society”. For that reason, the UAB encourages and promotes
good management of the ownership of the results and has established and
disseminated an intellectual and industrial property policy that allows it to be
evaluated, protected, valorised and commercialised effectively. Measures must
also be adopted for increasing awareness and the training of new researchers in
relation to intellectual and industrial property and its exploitation.

< Transparency and supremacy of interests

<
In the exchange or transfer of knowledge and technology with private enti-
ties it is always necessary to foreground the public interest in such a way as
the agreements must be made with total transparency. The UAB must es-
tablish the necessary limitations for protecting the intellectual freedom of
its researchers avoid compromises of confidentiality that are dispropor-
tionate or unjustified restrictions in the publication of the results obtained.

Intellectual property
The appropriate contractual documents must be written up in which the
different interests, tasks and contributions of the parties are set out. The
obligation to secrecy and confidentiality by the parties must also be stip-
ulated and the assignment of ownership of the results generated within
the project, and the possibility of drawing up appropriate and efficient
legal protection o the result and establishing the conditions for their ex-
ploitation must be contemplated.
If the results obtained in the research are susceptible to protection
because they have potential commercial interest, they should not be dis-
seminated while the parties are carrying out the evaluation of them. Pos-

23 Code of Good Practice

in Research
 sible delays in the dissemination in order to protect intellectual property
should be kept to a minimum.
All intellectual property, technical knowledge, reagents or materials
generated by researchers in the UAB installations, or in relation to the re-
search activities at the UAB, are the property of the UAB. This principle is
generally also applied to visiting researchers who use the research instal-
lations of the UAB.

Industrial property
When the research staff participating in a project promoted by industry
make a significant contribution to the design and execution of a project,
the necessary agreements must be established with the promoting body
to share the corresponding industrial property rights, and intellectual
rights where necessary.
Where the UAB contributes means and facilities for the promotion
and creation of technology companies as the result of the work of a spe-
cific research group it must be careful that abuses do not occur in favour
< of the private interests of the company participants.
<

Error correction and retraction

If an error is found that devalues the published results, the principal author must
discuss the matter immediately with the leader of the research so that the co-
authors can be notified, publish a correction as soon as possible and establish
the basis of the reservations. Where the doubts are considered to be serious a
withdrawal must be published as soon as possible.

Curriculum vitae
The curriculum vitae is the result of the research activity and under no circum-
stances should it be the purpose of the research.
The CV is set out in a document detailing personal information, training and
professional experience, in which truthfulness and clarity are essential require-
ments. The content is the responsibility of the person presenting the CV and
there it is recommended that all pages be signed or stamped.
It is the obligation of researchers to keep the UAB informed of their profes-
sional activity by updating the CV using the appropriate instruments.

24 Code of Good Practice

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 < Evaluation, assessment
and review activities

Researchers often take part in the evaluation of projects, publication, groups

and individuals. In general the peer reviews are carried out by experts in the sub-
ject at the same level as those being reviewed.

Peer review
Peer review refers to a personal responsibility in the for of an expert or similar to
carry out an evaluation, examination or criticism of a manuscript that they have
been sent in the hope of publishing, an application for individual or group funding
or an experimental procedure assessed by an ethics committee.
< The reviews must be objective, i.e. based on scientific criteria rather than <
personal opinions and ideas. The review must be rejected where there are con-
flicts of interest (for example where there is a direct link with the authors or
where there is close competition) or when the reviewer is not considered to be
sufficiently prepared to carry out the review.
The reports and manuscripts reviewed are always considered confidential,
privileged information. As a consequence, the documentation:

> Must not be used for the benefit of the reviewer until the information has
been published.
> Must not be shared with colleagues except for specific reasons if there is
no explicit permission from the publishers or the research agency.
> Must not be copied except where those responsible for the publishing
process or the research agency give their permission to do so. The most
normal situation is that once the process is complete the material is de-
stroyed or returned.

25 Code of Good Practice

in Research
 < References

Codes of Good Practice

Other codes of good practice that have been used in drawing up this document
are:

> University of Cambridge

http://www.admin.cam.ac.uk/offices/research/research/Good_Practice.aspx
> Bioethics Committee of Spain
http://www.comitedebioetica.es/documentacion/index.php
> Spanish Research Council
http://www.csic.es/web/guest/etica-en-la-investigacion
> International Committee of Medical Journal Editors
< <
http://www.icmje.org/urm_main.html
> Medical Research Council
http://www.mrc.ac.uk/Ourresearch/Ethicsresearchguidance/Research-
practice/index.htm
> Biomedical Research Park of Barcelona
http://www.prbb.org/cat/part01/p06.htm
> University of Barcelona (draft)

Legal references
Royal Decree 178/2004, of 30 January, (BOE no. 27 of 31 January) which ap-
proves the general rules for the drawing up and execution of Law 9/2003,
of 25 April, establishing the legal framework for the confined use, volun-
tary liberation and commercialisation of genetically modified organisms.
Order of 25 de March 1998 in which, according to technical progress, Royal De-
cree 664/1997, of 12 May, on the protection of workers against risks related
to exposure to biological agents at work (BOE no.76 of 30 March 1998) is
adapted.

26 Code of Good Practice

in Research
 Royal Decree 665/1997, of 12 May, (BOE no. 124 of 24 May) on the protection of
workers related to exposure to carcinogenic agents at work (BOE no. 124 of
24 May 1997).
Law 31/1995, of 8 November, for the prevention of labour risks (BOE no. 269 of
10 November 1995).
Royal Decree 223/2004, of 6 February, regulating clinical drug trials (BOE no. 33
of 7 February 2004).
Decree 406/2006, of 24 October, regulating the accreditation requirements and
procedures for the clinical research ethics committees (DOGC of 26 October
2006).
Law 14/2007, of 3 July, on biomedical research (BOE no.159 of 4 July 2007).
Organic law 15/1999, of 13 December, on the protection of personal data (BOE no.
298 of 14 Decembere2007).
Decree 29/1995, of 10 January, regulating automatic files containing personal
data in the area of the Department of Health and Social Security (DOGC no.
2013 of 17 February 1995).
Law 23/1998, of 30 December, on statistics of Catalonia (DOGC no. 2801 of 8
< January 1999), and Law 12/1989, of 9 May, on public statistical function (BOE <
no. 112 of 11 May 1989).
Royal Decree 1201/2005, of 10 October, (BOE no. 252 of 21 October) on the pro-
tection of animals used for experimentation and other scientific purposes
(BOE no. 252 of 21 October 2005).
Decree 214/1997, of 30 July, regulating the use of animals for experimentation
and other scientific purposes (DOGC no. 2450 of 7 August 1997).
Royal Decree 1369/2000, of 19 July, which modifies Royal Decree 822/1993, of 28
de May, establishing principles of good laboratory practice and its applica-
tion in non-clinical studies of substances and chemical products.
Law 11/1986, of 20 March, on patents for inventions and models of use.
Legislative Royal Decree 1/1996, of 12 April, which approves the rewritten text of
the Law of Intellectual Property.
Instructions from the Office of the Vice Rector for Research for the standardi-
sation of signatories and attachments of researchers at the Universitat Au-
tònoma de Barcelona.

27 Code of Good Practice

in Research
<