OFFICE OF THE VICE PRESIDENT FOR RESEARCH
GRADUATE SCHOOL
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME CONFLICT RESOLUTION PROTOCOLS
CONTENTS GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
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Conflict Resolution between the Thesis Supervisor and the Student /6 1.1 Recommendations /9
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Academic and Disciplinary Responsibility /13 2.1 Academic Infractions /14 2.2 Disciplinary Infractions /14 2.3 Potential Infractions by Academics /17 2.4 Infraction Response Protocol /17
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Sexual Violence Response Protocols /18
OFFICE OF THE VICE PRESIDENT FOR RESEARCH
GRADUATE SCHOOL
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Conflicts over Ownership of Intellectual Property Rights /20 4.1 Protocol /23
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Situations that May Constitute Conflicts of Interest /24
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Student Support /27
5.1 Protocol /26
PONTIFICIA UNIVERSIDAD CATÓLICA DE CHILE
PRESENTATION
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
Since 2016, UC has implemented a Support Programme for Doctoral Thesis Supervision which aims, as its name implies, to be a support mechanism for supervising theses at the doctoral level. One of the main lines of work of the programme has been to implement an institutional policy that allows for defining the minimum standards expected from interaction between thesis supervisors and students, thus fostering a good working relationship between both parties. In order to achieve this objective, work has been done to create and subsequently assess the Support Guide for UC Doctoral Thesis Supervision since 2018. Based on these efforts, it has become evident that there is a need to both generate protocols for conflict resolution between thesis supervisors and students and to facilitate access for the UC doctoral community to the procedures and support services already established by the university to address different types of difficulties faced by the parties involved in the thesis process. In order to respond to this need, and following the institutional guidelines which state that all students, academics, and officials (professional and administrative) are part of our university community1 — which is characterized by mutual respect, sincere dialogue, and the protection of everyone’s rights2 — we present the Guiding Framework for a Good Working Relationship in the Doctoral Programme. This document seeks to empower all parties to contribute responsibly to the establishment and maintenance of a healthy academic relationship, which supports the correct progression of the student in their doctoral programme. This document is intended for all members of the UC doctoral community, and contains clear, general guidelines and procedures to support the resolution of any problems that may occur during doctoral studies. Specifically, this includes protocols suggested by the Graduate School for conflict resolution between the student and their thesis supervisor; a summary description of some university regulations (including disciplinary and academic infractions, acts of sexual violence, ownership of intellectual property, and conflict of interest); in addition to the main student support services offered by the Student Affairs Office (SAO).
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Article 1 of the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplinaria-30-04-20-1/file Ex Corde Ecclesiae, about the Catholic Universities, Chapter 2, paragraph 27, p. 27. Available at: http://secretariageneral.uc.cl/documento/normas-generales/115-constitucion-ex-corde-eclessiae/file
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
1/ CONFLICT
RESOLUTION BETWEEN THE THESIS SUPERVISOR AND THE STUDENT
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
In this protocol, conflicts are understood as situations that may occur in the relationship between a thesis supervisor and a student that do not constitute an infraction (see section 2, on Academic and Disciplinary Responsibility), but that could impact the normal development of the thesis. Although on certain occasions these conflicts occur within a spectrum of situations that refer both to the development of the thesis itself, and to acts that may hinder a healthy relationship between members of the community, it has been decided to divide these situations into two types in order to follow institutional guidelines and present clearer resolution procedures. The types of conflicts defined in this protocol are: of an academic nature and university working relationships. a) Academic Conflicts: These are conflicts that are directly related to the curriculum and/or to the proper development of doctoral research.
Some examples of these situations are: • Lack of communication between the student and the thesis supervisor. • Lack of clarity in expectations about the working mode during doctoral research. • Differences of interest in the focus of the research. • University installations are unavailable for work • Absence of guidance and/or feedback from the thesis supervisor. • Excessive delays in reviewing thesis progress. • Arbitrariness in the thesis supervisor’s revisions (for example, a lack of a rubric, which makes it difficult to understand the feedback and hinders the student’s ability to respond to it). • Implausible deadlines for completing activities associated with the thesis (advances, submissions, experiments).
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
•
Failure to assign or an unjustified change of thesis supervisor.
•
Hindering or preventing the fulfilment of graduation requirements (attendance at workshops of transversal skills or English, among others).
• Missing scheduled meetings with the thesis supervisor. •
Not responding to emails sent to the student by the thesis supervisor, the programme director, or academic coordination.
b) Working Relationship Conflicts: These are acts, whether they be actions or omissions that may prevent a healthy working relationship between the members of the university community. Some examples of these conflicts are: •
Inappropriate comments or jokes from the thesis supervisor towards the student (or vice versa). • Excessive pressure to work on the research by the thesis supervisor or their team. • Professional boundary transgressions from the thesis supervisor to the student (or vice versa). • Treatment with an inappropriate tone of voice from the thesis supervisor towards the student (or vice versa). • Problems in using the laboratory with colleagues who have the same thesis supervisor.
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Next, suggested procedures for resolving academic and/or working relationship conflicts that may appear between members of the UC doctoral community during the development of doctoral research are given below. With these recommendations, hopefully conflicts can be resolved via local channels in academic units before reaching central channel intervention (for example, from the Ombudsman or the Graduate School). It should be noted that, beyond what is established herein, every member of the UC community has the right to initiate a process of academic or disciplinary responsibility infraction in cases where a regulatory breach has been committed by filing a complaint with the General Secretariat (see point 2.4, Infraction Response Protocols) at any time. Likewise, all members of the UC community have the right to turn, to the Ombudsman for advice, guidance, or to request mediation, when they deem it appropriate3. It should be noted that, once an investigation process has been initiated in the General Secretariat, the Ombudsman must suspend its actions and shall not interfere in any way in the situation under investigation.
Article 4 of the Ombudsman, Counsellor, or University Mediator Regulations. Available at: https://secretariageneral.uc.cl/documento/ normas-generales/199-reglamento-de-ombuds-consejero-o-mediador/file
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
1.1 RECOMMENDATIONS 1. Discussing the issue with the thesis supervisor/student involved Whenever possible, and when communication between the parties has not been ruptured, the situation should be discussed with the principal parties involved, in order to discuss the conflict and achieve a solution that satisfies both of them. In this case, the provisions of the Thesis Supervision Agreement must be considered (see Support Guide for UC Doctoral Thesis Supervision). In cases where the conflict corresponds to a situation of sexual violence, the affected party may go to the Sexual Violence Victim Support and Prevention Unit for guidance (see chapter 3. Sexual Violence Response Protocol). 2. Collaborating on a solution with the respective programme authorities If it has not been possible to reach an agreement, the issue should proceed to the Programme Director, who, in their role as the person responsible for ensuring compliance with the current curriculum4, shall help the student ensure that the situation does not hinder the normal development of their research5. If the situation warrants it, the Programme Director may rely on or turn to the Doctoral Committee, other intermediate directors (such as graduate
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or teaching directors) and/or the Student Affairs team of their academic unit to seek support and guidance to resolve the conflict. In case the Programme Director is also the thesis supervisor, both they and the student may require the intervention of the Graduate Director, or another equivalent authority at the academic unit level. Likewise, if the thesis supervisor is another university authority (Dean, Vice President, Director of an Institute/School, Director of the Graduate School, etc.), the student must also go to the Programme Director in the search for a resolution to the conflict. 3. Collaborating on a solution with the respective academic unit If the situation has not yet been resolved, the case must be taken to the Director of the school/institute or to the Dean, so that they may contribute to taking such measures as they deem appropriate for the resolution of the matter. In the case of interdisciplinary doctorates that involve two or more different academic units, the matter shall be reported to the Director of the School/Institute or to the Dean with which the Programme Director of the doctoral programme is affiliated, in order to assist in the resolution of the matter6. If the thesis supervisor is, in turn, the respective academic unit authority, the intervention of other authorities may be requested, as the case may be:
Article 35, letter a) of the Doctoral Studies General Regulations. Available at: http://secretariageneral.uc.cl/documento/ normas-generales/81-reglamento-general-de-estudios-de-doctorado/file Article 7, of the Doctoral Student Regulations. Available at: http://secretariageneral.uc.cl/documento/normas-generales/79-reglamento-del-alumno-de-doctorado/file Article 20 of the Doctoral Studies General Regulations: “The administration and management of interdisciplinary programmes shall correspond to the academic unit with which the Programme Director is affiliated.” Available at: http://secretariageneral.uc.cl/documento/ normas-generales/81-reglamento-general-de-estudios-de-doctorado/file
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
• School/Institute Director: The intervention of the Dean of the Faculty may be requested. • Dean: the situation may be brought to the intermediary of the central level, as indicated in point 4. It should be noted that, if the thesis supervisor has a position as the Director of the Graduate School, Vice President, or Vice Chancellor, the student must also take the situation to this channel, so that they are supported in the search for conflict resolution. 4. Requesting central level intermediation In the event that the local resolution bodies have not been effective, the situation should be raised to intermediaries at the central level.
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It should be noted that, if the thesis supervisor is also the Graduate School Director, the situation shall be referred to the Research Vice President. Also, if the thesis supervisor is Vice President, Vice Chancellor, or Chancellor, they must also approach this level in the search for conflict resolution. The entity to be approached shall depend on the type of conflict to be resolved: a) Academic Conflicts: intermediation of the Graduate School in the resolution of the conflict. If no solution has been achieved in the previous instances, the Graduate School Director (or the person they have designated) should be approached to propose measures to resolve the conflict, in accordance with the functions that correspond to the Graduate School Council7 and the Graduate School8.
Article 43 of the Doctoral Studies General Regulations. Available at: http://secretariageneral.uc.cl/documento/ normas-generales/81-reglamento-general-de-estudios-de-doctorado/file Article 40 of the Doctoral Studies General Regulations. Available at: http://secretariageneral.uc.cl/documento/ normas-generales/81-reglamento-general-de-estudios-de-doctorado/file
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
In this instance, as soon as the Graduate School Director (or the person they have designated) becomes aware of the facts in which their intervention is necessary, they must contact the person involved within the next five days9, in order to raise the issue. After that, they must gather as much background information as possible, and propose a solution, if circumstances permit, within twenty academic working days from receiving all necessary background information to make a decision. b) Working relationship conflicts: mediation by the Ombudsman, Counsellor, or University Mediator If a solution is not reached through the above recommendations, the University Ombudsman may be called upon to give advice, guidance, or direct intervention (mediation)10. In the event that the Ombudsman becomes aware
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of events that constitute infractions, they must make it known to the person who has informed the Ombudsman, so that the affected person may initiate an accountability process, if they consider it necessary. Furthermore, the Ombudsman collaborates with a student mediator, who shall be responsible for contributing to an adequate working relationship among students11. 5. Filing a complaint with the General Secretariat If the Ombudsman’s mediation fails to solve working relationship conflicts, the situation can be reported to the General Secretariat to initiate an accountability process, if it corresponds to an infraction according to points 2.2 and 2.3 (see chapter 2: Academic and Disciplinary Responsibility).
Academic working days, that is, from Monday through Friday, not counting legal or academic holidays Article 4 of the Ombudsman, Counsellor, or University Mediator Regulations. Available at: https://secretariageneral.uc.cl/documento/ normas-generales/199-reglamento-de-ombuds-consejero-o-mediador/file Article 15 of the Ombudsman, Counsellor, or University Mediator Regulations. Available at: https://secretariageneral.uc.cl/documento/normas-generales/199-reglamento-de-ombuds-consejero-o-mediador/file
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
Protocol for Conflict Resolution between Students and Thesis Supervisors
Is the problem resolved?
1
Discussing the issue with the thesis supervisor/student involved
YES
Is the problem resolved?
NO or communication was ruptured Is the problem resolved?
2
Collaborating on a solution with the respective programme authorities
YES
Is the problem resolved?
NO
3
Collaborating on a solution with the respective academic unit authorities
Is the problem resolved?
YES
Conflict In this protocol, conflicts are understood as a situation that occurs between the thesis supervisor and the student, which doesn’t constitute an infraction, but impacts the development of the thesis.
Is the problem resolved?
NO
Is the problem resolved?
Academic Conflicts
4
Central level intermediation
YES
Good Working Relationship Conflicts
Working Relationship Conflicts
Academic Conflicts
Is the problem resolved? Sexual Violence Situations
YES
Request the intervention of the
Mediation by the
Ombudsman, Counsellor, or University Mediator
Graduate School Director
Is the problem resolved?
Sexual Violence Victim Support and Prevention Unit (UVS)
YES
Is the problem resolved?
No and it constitutes an infraction
Sexual violence is considered a sanctionable infraction by the Sexual Violence in the university Context Regulations.
5 Complaint Filed with the General Secretariat
CONFLICT END
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
2/ ACADEMIC AND
DISCIPLINARY RESPONSIBILITY
GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
In this section we will refer to those actions or omissions that, due to their severity, constitute infractions as detailed in the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility12. These regulations identify two types of infractions: a) academic and b) disciplinary. The General Secretariat is the body in charge of initiating a formal process to determine the existence of such infractions, their perpetrators, and any sanctions that may correspond with them. The following details academic and disciplinary infractions, as well as the procedure to be followed in both cases to initiate a process in the General Secretariat.
2.1 ACADEMIC INFRACTIONS These are actions or omissions related to academic integrity. They may be known, investigated, and sanctioned by the General Secretariat, in accordance with the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility, which are expressly stated in Article 1013: a) Committing fraud in exams, quizzes, or other academic activities. b) Adulterating any official document, attendance documents, test corrections, or research work. c) Plagiarizing or hiding the origin of information, in research and in work in general.
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d) Any other act or omission that is substantiated as an academic infraction by the Secretary General. Additionally, the Doctoral Student Regulations indicate that any act contravening academic honesty performed during the development, presentation, or delivery of an academic activity subject to evaluation shall be sanctioned with the immediate suspension of the activity and with the application of the minimum mark. The minimum mark one (1.0), which indicates failure of the course, may be applied by the professor as the final mark of the corresponding course, when the severity of the infraction warrants it14.
2.2 DISCIPLINARY INFRACTIONS These are behaviours, whether they be actions or omissions, that infringe the rules established for the members of the university community. These infractions are expressly detailed in Article 10 of the aforementioned UC University Community Members’ Regulations about Academic and Disciplinary Responsibility15, and are the following: a) Performing acts that in any way undermine the principles16, values, symbols, or image of the University. b) Expressing oneself, publicly and by any means, in a dishonest way or to the detriment of any member of the university community.
UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at:https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplinaria-30-04-20-1/file Article 10 of the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplinaria-30-04-20-1/file Article 35, of the Doctoral Student Regulations. Available at: https://secretariageneral.uc.cl/documento/normas-generales/79-reglamento-del-alumno-de-doctorado/file Article 10 of the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplinaria-30-04-20-1/file Pontificia Universidad Católica de Chile Declaration of Principles Available at: http://secretariageneral.uc.cl/documento/normas-generales/113-declaracion-de-principios/file
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
c) Inciting or committing acts of violence against members of the university community, or against people outside the university community, from university campuses: within them, or outside them in activities carried out by the University, or organized by the Student Federation, Student Centres, and, in general, any organization directly linked to the University d) Removing any kind of property that belongs to the University without prior authorization from its designated location. e) Misplacing, damaging, or misusing any type of good that belongs to the University. f) Refusing to show identification when requested by an academic, official, or authorized person. k) Committing acts contrary to morality and propriety on University premises or in places that the University occupies or uses, or using such premises or places without authorization from the competent authority. h) Consuming, introducing, possessing, distributing or providing alcoholic beverages on University premises or in places the University occupies or uses, without authorization from a competent authority. i) Being in a state of inebriation or under the influence of alcohol inside the University or in places that the University occupies or uses.
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j)
Introducing, consuming, possessing, transporting, distributing, or providing narcotics or psychotropic substances defined as such by the legislation in force, or being under the influence of them, on University premises or in places the University occupies or uses. k) Committing, collaborating, encouraging, or supporting discriminatory acts, understood as those that grant differentiated treatment, without reasonable and objective justification, to another member of the University community. l) Committing, collaborating, encouraging, or supporting acts of harassment, understood as the development of one or more acts that, objectively, cause intimidation, hostility, or humiliation, toward a member of the university community, regardless of the means through which it is exercised. m) Committing any other conduct that, in light of the principles and norms that govern the Pontifical Catholic University of Chile, affects the normal working environment within the university community, the normal development of academic activities or other University functions.
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
2.3 POTENTIAL INFRACTIONS BY ACADEMICS As indicated in the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility17, the process for determining academic infractions shall be called a Formal Inquiry, which shall be initiated in the following cases18: a) Failure to comply with the duties or provisions elaborated on in the Ex Corde Ecclesiae Constitution, the Declaration of Principles, the Statutes, the General Standards of the University, the academic unit’s particular rules, or these Regulations. b) Infringement of the rights or prerogatives of any member of the university community as such. c) Responsibility for actions or omissions that compromise the University or cause impairment or detriment to its rights, prerogatives, or prestige. d) Responsibility for any action or omission that is lacking in academic probity or ethics.
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It should be noted that the conduct referred to in the aforementioned Article 10 is also applicable within the framework established for academics.
2.4 INFRACTION RESPONSE PROTOCOLS Like any member of the university community19, the person affected by an infraction can initiate a procedure to determine the accountability and relevant sanctions through a complaint to the General Secretariat. Complaints can be filed through the online form provided on the website20 of the General Secretariat, after which a review of the background information is initiated to determine whether that body has jurisdiction in the case. If it does have jurisdiction, the process, which consists of the following stages21, begins: 1. Investigation (statements and other proceedings). 2. Formulation of charges. 3. Response to the charges by the accused. 4. Decision (can determine accountability and apply sanctions, or dismiss the case)..
UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplina- ria-30-04-20-1/file Article 44 of the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https://secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplinaria-30-04-20-1/file Article 4 of the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Available at: https:// secretariageneral.uc.cl/documento/normas-generales/195-reglamento-sobre-la-responsabilidad-academica-y-disciplina- ria-30-0420-1/file Available at: http://secretariageneral.uc.cl/realiza-una-denuncia The details of the procedure are described in the UC University Community Members’ Regulations about Academic and Disciplinary Responsibility, and may also be reviewed in the diagram or outline of the stages of a complaint to the General Secretariat available on the website: http://secretariageneral.uc.cl/documento/procesos
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
3/ SEXUAL
VIOLENCE RESPONSE PROTOCOLS
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
Sexual violence is considered a punishable offence under the Sexual Violence in the University Context Regulations22, and is limited to the investigation and sanction processes stipulated in the aforementioned UC University Community Members’ Regulations about Academic and Disciplinary Responsibility. Sexual violence shall include actions such as assault, harassment (including through social media), or sexual abuse, and in general any attack of a sexual nature. It includes capturing or disseminating audio-visual records (images, sounds, etc.) of sexual interactions or that include private or nude parts that involve another person without their consent. Additionally, an action shall be deemed to have been non-consensual under the following circumstances: a) b) c) d)
Use of physical force. Use of intimidation on the victim. Psychological manipulation of the victim. The victim is unable to consent or is in a state of mental disability e) The victim is incapable of objecting. f) Abuse of the asymmetry of power or the victim’s subordinate position. g) Use of surprise, deception, or other means that do not include the consent of the victim. Any academic or university authority who receives communication or accounts of an act
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of sexual violence in which those involved are members of the community shall be obliged to communicate them to the highest authority of their unit within the second working day following receipt of the information. In turn, the highest authority must inform the General Secretariat of this no later than the second working day after receiving the account. This obligation shall be fulfilled in writing and shall not constitute a complaint. Once the General Secretariat receives the report, they shall contact the victim as soon as possible to see if they wish to proceed with the complaint. In case the victim wants to continue with a complaint, the respective process shall begin, if applicable. Otherwise, the refusal to lodge a complaint shall be recorded in writing and filed as background to the case. Protocols detailing the actions to be taken in the face of ongoing acts of sexual violence, or that have occurred both within and outside university contexts, including social networks, at activities held by the University and any organization directly linked to it (e.g., Student Federation, Student Centres, etc.) can be found on the website23 of the Sexual Violence Victim Support and Prevention Unit (SVU). Those who deem it necessary may contact the Sexual Violence Victim Support and Prevention Unit for free, confidential guidance and support. This unit can be contacted via the hotline: +56958145618, email: unidadviolenciasexual@uc.cl, or by going to the San Joaquín campus, Mide UC Building, third floor.
Sexual Violence in the University Context Regulations. Available at: https://secretariageneral.uc.cl/documento/normas-generales/189-reglamento-sobre-violencia-sexual-en-contexto-universitario/file Available at: https://www.uc.cl/no-a-la-violencia-sexual/#protocolos
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
4/ CONFLICTS IN
RELATION TO OWNERSHIP OF INTELLECTUAL PROPERTY RIGHTS
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
Intellectual property rights refer to the protection of works of human intelligence (in the literary, artistic, humanist, social, technological, and scientific fields, whatever their form of expression) and inventions. The Intellectual Property Regulations of the university24 refer to these creations, developed by the members of the university community, or by any person who participates in university activities or projects in any regimen, including postdoctorates, academics, and visiting students. In this sense, UC shall ensure the express recognition of the author’s name and the integrity of their work, in any type of internal or external communication about it, imposing on all members of the university community the obligation to ensure the strictest compliance with this regulation. Graduate students are entitled to copyright their works, such as capstone projects, theses, and/or research seminars, among others. However, in the event that these works include research results, the ownership of these, as well as the intellectual property rights associated with them, shall belong to the University if obtained in any of the situations described in Articles 15, 17, and 26 of the University’s Intellectual Property Regulations25. Students may only publish or disseminate — including products generated during the learning process, in the activities or courses of the University — capstone projects, undergraduate dissertations and degree seminars, among others, with the prior written authorization of the Dean of the faculty or the Villarica Regional Headquarters Director, as appropriate, or by
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the person designated by the latter, who, with the support of the Transfer and Development Office, shall verify ownership and the possibility of protecting the results. Likewise, academics may not publish or publicly communicate a work — including the products generated in the learning process, in the activities or courses of the University, such as a thesis, and degree seminars, among others — without having the prior written authorization of the student in question, or a person designated by the student. This authorization must be requested from the student by the academic through the Research Office or its equivalent in the respective faculty or Villarica Regional Headquarters, as appropriate. In accordance with the provisions of the Intellectual Property Regulations of the University, any member of the university community or any person who participates in activities or projects, in any regimen, that generate research results owned by the University, must communicate it as soon as possible, in writing, with the utmost discretion and prior to any communication, publication, or dissemination to the Transfer and Development Director and to the Dean(s) of the School(s) or the Villarica Regional Headquarters Director, as. appropriate to the authors, researchers, or inventors, or to the authority of the appropriate Senior Management, if they depend directly on any of them and not on an academic unit, through the disclosure document provided for this purpose. In the case of activities or projects that include more than one person, the communication must be led by one of them.
Pontificia Universidad Católica de Chile Declaration of Principles Available at: https://secretariageneral.uc.cl/ documento/normas-generales/197-reglamento-de-propiedad-intelectual/file Pontificia Universidad Católica de Chile Declaration of Principles Available at: https://secretariageneral.uc.cl/ documento/normas-generales/197-reglamento-de-propiedad-intelectual/file
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4.1 PROTOCOL
Step 3:
The procedure to be followed for resolving intellectual property rights conflicts, as indicated in the aforementioned Intellectual Property Rights Regulations of the University, is detailed below.
Once the involved parties have been notified via institutional email of the decision, an appeal may be filed within the following ten working days before the Research Vice President to be resolved by the Intellectual Property Commission.
Step 1: Anyone who has rights in the work or invention and has not been credited in the disclosure document, may put the relevant background information, in written and substantiated form, to notify the Dean of the School(s) to which the authors, researchers, or inventors belong, or the Villarrica Regional Headquarters Director, as appropriate, or to the authority of the relevant Higher Directorate, if it depends directly on any of them and not on an academic unit. Step 2: The decision made by the authorities, based on the background information received, must be sent by email to the claimant, the Transfer and Development Office Director, and to the authors, researchers, or inventors within twenty working days of receipt of the information.
Step 4: Finally, once the appeal has been filed, the Intellectual Property Commission, will summon the Intellectual Property Commission to a session in which the interested parties and affected parties must be heard, as well as the Dean of the corresponding school or the Vice President, whose presentations may be made orally or in writing. After this hearing, the members of the Commission shall deliberate, and shall issue a written and substantiated report, immediately or within three working days thereafter, to resolve the dispute. Notwithstanding the foregoing, the Commission may extend this period to fifteen working days if it considers it necessary to obtain more background information, summoning those it deems necessary for this purpose. No appeal shall be lodged against the Commission’s decision.
GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
5/ SITUATIONS
THAT MAY CONSTITUTE CONFLICTS OF INTEREST
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME / CONFLICT RESOLUTION PROTOCOLS
Conflicts of interest are those that arise when a member of the university community has, or may have, the opportunity to exert an influence on the decisions adopted by the University, which may suppose or allow a personal gain or advantage, of a relative or related persons, and has — direct or indirect — interests that affect or may affect their independence to make decisions, within their scope, in the performance of their functions with the University26. In this sense, if the thesis supervisor is in a situation where there may be a potential conflict of interest, for example, when requiring the student to perform work or functions not related to research, they must remember that
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part of their responsibilities is to commit to facilitating the timely termination of the student’s thesis so that it fits the official duration of the programme. Based on this, they must refrain from requesting and/or requiring students to perform work outside the development of their thesis unless they have the written consent of the student. (see Chapter II of the Support Guide for UC Doctoral Thesis Supervision. Some examples of conflict of interest situations are: •
Requiring students or other members of the University to perform work or functions in companies or businesses in which the member of the university community or a relative has an interest.
Article 5, of the Doctoral Student Regulations. Available at: http://secretariageneral.uc.cl/documento/normas-generales/69-reglamento-del-Conflict-de-doctorado/file
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GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
•
Using resources, infrastructure, or equipment that belong to the University for personal benefit when it is not expressly authorized by a competent authority. • Receiving gifts, tips, loans, or special favours (for example, travel) from third party sponsors or suppliers, under private or public law, on behalf of a member of the university community, for the activities of the University, the value of which may influence the latter’s decision-making about these activities. • Using, in any form, the University’s money or property to benefit people with whom the University member or a relative has ownership ties or participates in its administration.
5.1 PROTOCOL The procedure to be followed in the event of a possible conflict of interest is described below, as indicated in the University’s Conflict of Interest Regulations27. Step 1 The student — just as any other member of the university community — who is personally in a
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situation that may create a conflict of interest must communicate it in writing to the Dean of the corresponding faculty. Similarly, Directors of Schools or Institutes, and Programme or faculty directors must inform the Dean as soon as possible of any conflict of interest that exists within their units. If the Dean has a personal conflict of interest, they must communicate it to the Academic Vice President. Step 2 When the Dean or other competent authority (for example, the Academic Vice President) becomes aware of possible conflicts of interest, they must proceed to resolve them within five days of becoming aware of them. To do so, they must ask the person involved for the necessary background information to review the case, in order to proceed with declaring whether there is a conflict of interest or not. If there is a conflict of interest, they must also take the appropriate measures28. Step 3 In cases of special severity or in the opinion of the Dean or competent authority, the case may be sent to the General Secretariat to resolve the conflict.
Conflict of Interest Regulations. Available at: http://secretariageneral.uc.cl/documento/normas-generales/69-reglamento-sobre-conflictos-de-interes/file Article 12 of the Conflict of Interest Regulations. Available at: http://secretariageneral.uc.cl/documento/normas-generales/69-reglamento-del-conflicto-de-doctorado/file
GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
6/ STUDENT
SUPPORT
GRADUATE SCHOOL / OFFICE OF THE VICE PRESIDENT FOR RESEARCH
All students of the university may be treated and advised on health needs through the services offered by the Student Health Office, ranging from outpatient care to emergency, physical and mental health. To access this care, students pursuing doctoral studies must have a public or private health coverage system29. Additionally, the Student Health Office has developed protocols to advise in serious cases of mental health, for example, when a student is at suicidal risk; enters into crisis; presents disruptive behaviour; or is suspected of a serious mental disorder. In all these cases academic activity must be suspended immediately and emotional support should be provided, with special care being given to students who manifest suicidal behaviour, who must not be left alone. At the earliest opportunity, the respective academic unit must be contacted so that the respective Student Affairs team may call the Student Health Office Psychological Support Unit, Annex 5202, or Annex 5000, in cases of imminent danger. For more information regarding the protocols to be followed in each case, review the following links: •
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However, it is important to note that students can request suspension measures for mental or physical health for one or two semesters, or indefinite suspension (two or more consecutive semesters), but it is the responsibility of the Health Commission to determine the duration of the measure and the requirements for reinstatement. The Student Health Office shall evaluate all the background information presented by the student and shall be entitled to request both additional information and internal assessments. Finally, students can access academic support through the Support Centre for Academic Performance and Vocational Exploration (CARA) It aims to investigate risk factors linked to the study process, developing and promoting strategic and self-regulated learning. Additionally, it provides vocational guidance, considering the interests and professional preferences of all students. For more information, please visit the following link: • https://rendimientoacademico.uc.cl/ Contenidos-del-Sitio/que-hacemos
http://apoyo.saludestudiantil.uc.cl/images/ sufrimientoemocional_y_riesgosuicida_ protocolodeaccion.pdf
Article 9, of the Doctoral Student Regulations. Available at https://secretariageneral.uc.cl/documento/normas-generales/79-reglamento-del-alumno-de-doctorado/file y Artículo 3 del Reglamento sobre Salud Estudiantil. Available at https://admisionyregistros.uc.cl/ documentos/reglamentos/221-reglamento-salud-estudiantil/file
GUIDING FRAMEWORK FOR A GOOD WORKING RELATIONSHIP IN THE DOCTORAL PROGRAMME
Corporate Design, UC Office of the Communications Vice President
CONFLICT RESOLUTION PROTOCOLS