Research Ethics Committee

The Research Ethics Committee (REC) is the collegiate body of the UOC responsible for confidentially assessing the ethical and legal aspects of the research and research-focused teaching activities carried out at the university.

It carries out this role in accordance with the regulations and in compliance with current legislation on scientific research and the protection of personal data.

The REC is responsible for validating research protocols, which entails reviewing each submission, assessing whether it meets the necessary criteria for validation, issuing a final decision and safeguarding all documentation generated throughout the process. The REC operates independently, ensuring the anonymity and confidentiality of personal data, as well as the impartiality and fairness of its decisions.

The REC is responsible for assessing research involving human participants or their biological samples, particularly when personal data are to be used.

The REC's primary role is to serve as an institutional mechanism for achieving these aims by issuing reports that support the approach of any research project wholly or partially carried out by the UOC.

The REC also handles queries from the university community on ethics and data protection in relation to research; assesses research linked to doctoral theses and bachelor's or master's degree final projects; and draws up guidelines or recommendations on specific topics or particularly sensitive issues. In addition, it arbitrates queries and mediates conflicts arising from research activities at the UOC.

The Technical Secretary's Office is the organizational unit within the REC responsible for supporting the assessment of research projects and research-focused teaching activities. It works to ensure that the methodologies used meet the ethical and legal requirements established for research activities carried out at the UOC.

It supports the REC in its role as guarantor in research involving human participants and biological samples, and ensures compliance with the General Data Protection Regulation (GDPR) in research involving individuals and/or the use of their personal data.

The UOC's Executive Board appoints the members of the REC, which is composed as follows:

Chair, a member of the UOC's teaching and research staff.
Four (4) members of the UOC's teaching and research staff with proven experience or expertise, representing the university's research areas.
The Deputy General Manager for Research and Knowledge Transfer.
The data protection officer.
The head of the Technical Secretary's Office.

Ethical review

The REC is responsible for validating research protocols for research projects, doctoral theses and other research activities involving human participants and their biological samples (as defined by Law 14/2017, of 3 July, on biomedical research), and where personal health and biomedical data are processed, in accordance with Additional Provision 17 of Organic Law 3/2018 on the protection of personal data and guarantee of digital rights.

The aim is to ensure that the proposed project, thesis or research activity is ethically and legally sound in terms of the methodologies employed. The validation process involves reviewing each submission, assessing whether it meets the necessary criteria for validation, issuing a final decision and safeguarding all documentation generated throughout the process.

The REC operates independently, ensuring the anonymity and confidentiality of personal data, as well as the impartiality and fairness of its decisions.

For this reason, both the REC and the Technical Secretary's Office are also committed to advising, supporting and training researchers and students in the ethical and legal alignment of research methodologies, and to promoting a culture of compliance.

To request an ethical review of a project, UOC researchers must complete the appropriate form available on the dedicated research staff web page, accessible via the university intranet. There are two forms, and the procedure is as follows:

1. Self-assessment/Self-responsibility form.

This applies when the research does not involve human participants or the collection or processing of personal data.

The form contains a checklist covering ethical and personal data protection considerations. If the research raises no issues in these regards, the principal investigator (PI) must sign the section stating this at the end of the form.

2. Ethics and data protection protocol form.

This applies when the research involves human participants and the collection and processing of personal data.

The form requires the following information: project objectives; a detailed summary of the methodology (including research procedures, inclusion and exclusion criteria for participants, and other ethical considerations); data collection, processing, storage, retention and deletion procedures; plans for open data publication; and any international data transfers, among other aspects.

3. Receipt of the form and review of the information.

The Technical Secretary's Office of the REC receives the form and begins its protocol review. If additional information is required or amendments are necessary, the PI will be notified and must submit the requested information as soon as possible, and no later than two months from the date of notification. If the information is not received within this period, the file will be closed ex officio and shelved, and the requesting party will be informed accordingly.

For projects involving human participants and data collection, the PI may be asked to provide the questionnaire, interview or focus group script so that its ethical aspects can be assessed. Similarly, the PI must submit a draft information sheet and informed consent form tailored to the purpose and objectives of the project, using the university's official template.

4. Ethical protocol assessment.

Once the information and documentation have been reviewed and the protocol accepted, the Technical Secretary's Office proceeds with its assessment. This includes verifying compliance with ethical principles, such as the proper handling of personal data to be collected. All documentation and measures are reviewed in coordination with the data protection officer. This final review assesses potential risks posed by the project or study and identifies and proposes appropriate control measures to mitigate them. These security and risk mitigation measures are compiled in a document that accompanies the favourable decision of the assessed protocol.

For complex projects or studies, the Technical Secretary's Office submits the relevant protocol to the REC's monthly meeting for collective review and assessment.

5. Discussion of protocols.

The REC meets monthly to assess protocols and discusses in detail those that are particularly complex. A decision is then issued, weighing the identified risks and proposing appropriate measures and controls to mitigate them. All requests assessed by the Technical Secretary's Office are presented at the REC meeting to obtain final approval and a favourable statement.

6. Statement and issuance of reports.

Once the meeting has concluded and the issuance of a favourable statement has been approved in the minutes, the Technical Secretary's Office issues the corresponding certificate of ethical compliance. The communication sent to the PI includes the signed statement and, if favourable, the document outlining the tailored security and protection measures designed to mitigate potential risks associated with the research project or study.

The REC meets regularly on a monthly basis. The specific dates of the meetings are posted on the dedicated web page for research staff, accessible via the university intranet.

The time frame for resolving the ethical review process is between one (1) and three (3) months, approximately. However, an initial response is always provided within one (1) month if any information is missing or additional documentation is required.

Favourable decisions are issued within two (2) days of receiving the signed statement from the REC chair.

All time frames indicated in days refer to working days. They do not include Saturdays, Sundays, public holidays or the month of August.

Research ethics resources Kit

Regulations of Research Ethics Committee of the Universitat Oberta de Catalunya [PDF]
Executive Board, July 2023.
Outlines the functions, composition and operating rules of the Universitat Oberta de Catalunya's Research Ethics Committee.
UOC Code for Research Integrity [PDF]
Executive Board, November 2024.
A set of recommendations and commitments related to research activities, aimed at ensuring the integrity of researchers and the quality of the knowledge produced. The code reflects attitudes and behaviours guided by ethical and professional principles, which inspire and uphold rigorous, responsible practice. It aims to foster high-quality research and provide guidance to help prevent misconduct or breaches of integrity in researchers' work.
Procedure for Dealing with Breaches of Research Integrity [PDF]
Executive Board, November 2024.
Establishes the process to be followed in the event of an allegation of scientific misconduct, ensuring that any investigation is fair and transparent for the researchers involved.
FUOC Code of Ethics [PDF]
FUOC Board of Trustees, March 2023.
A collection of general ethical rules, values, principles and commitments that provide a reference framework for the actions of all members of the university community, along with the range of rules and regulations applicable at the university.
European code of Conduct for Research Integrity [PDF]
European Federation of Academies of Sciences and Humanities (ALLEA), June 2023.
This code provides guidelines on appropriate conduct and practical principles to govern research in medicine, the social and natural sciences, and the humanities across Europe. It serves as a reference point for all researchers, outlining key principles to inform national guidelines, complement existing codes of ethics, and support compliance with national and European legislative frameworks.
UOC Open Knowledge Policy [PDF]
Executive Board, 2021.
This policy establishes the institutional framework that enables the UOC to openly share and transfer the knowledge it generates through its research, teaching, innovation and institutional management across the university's various thematic areas.
Intellectual and industrial property regulations in R&I Activity [PDF]
Executive Board, June 2022.
These regulations define and govern the ownership and management of intellectual and industrial property rights arising from R&I activities carried out at the UOC, whether collaborative or commissioned, led or promoted by the university, or undertaken in partnership with or on behalf of third parties, companies or institutions.

The forms that the PI must complete and submit are available on the dedicated research staff web page, accessible via the university intranet.

Guide to the self-assessment/self-responsibility form. [PDF] (To access the official form, authentication with a UOC username is required)
A checklist covering ethical and personal data protection considerations, where the PI indicates whether the research involves human participation and the collection, processing and management of personal data.
Guide to the ethics and data protection protocol form. [PDF] (To access the official form, authentication with a UOC username is required)
To be completed when research involves human participants and data processing. The PI must systematically and thoroughly describe the methodology, inclusion and exclusion criteria, and all aspects relating to the collection, processing, storage and retention of personal data, as well as other ethical considerations.
Template: Informed consent form for the collection of personal data from adults [PDF] (To access the form in edit mode, authentication with a UOC username is required)
Template: Informed consent form for the collection of personal data from minors [PDF] (To access the form in edit mode, authentication with a UOC username is required)