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    Finalized AkU Research Guideline-Scanned PDF

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    Rescerch Gulden ad Pracnes at All Poy 26, 2017 AKSUM UNIVERSITY Office of the Vice-President for Research and Community Services Research Guideline and Procedures \\ 2 } July, 2017 a repiy Aksum, Tigray - Ethiopia Clee Of The Viee- President Foe Research And Cammy Sores Reseach Guideline and Procedures at ARE, Puly 26. 2017 Table of Contents Table of Contents... Preamble nnn PART ONE: GENERAL PROVISION. 1.1 Short Title. 1.2 Definitions... 1.3. Scope of application of the guideline 14 Objective. PART TWO: RESEARCH PLANNING AND MANAGEMENT. 2.1 Research Planning and Management. 2.2 The University Research Committee. 2.3. The College/Institute Research Committee... 2.4 Departmental Research Committees PART THREE: RESEARCH THEMATIC AREAS... 3.1 Research Thematic Areas and Priorities PART FOUR: RESEARCH PROJECT TYPES AND ADMINISTRATION... 4.1 Project Types. 4.2 Characteristics of Project Types 4.2.1 Large-scale Research Projects(LSPS).. 4.2.2 Medium-scale Research Projects(MSPs), 4.2.3 Small-scale Research Projects (SSPs). ere 4.2.4 — Specific Purpose Projects (SPPs) 4s fn 4.2.5 Specific Purpose Projects (SPS)... PART FIVE; GUIDELINES & PROCEDURES FOR RESEARCH PROJECTS. 5.1 General Guid -18- 5.2. Specific Guidelines -19- 5.2.1 On Initiating Research Project Proposals:.. -19- 5.2.2 On Submission Of Research Proposals. -20- 5.2.3. Evaluation And Approval Of Research Proposals. -21- 5.24 Research Financing: Planning, Allocation, and Management of Research Funds 24- 5.2.5 Graduate Research 25- 5.2.6 Follow-up of Research Progress and Budget Utilization. -25- 5.2.7 Expendable and Non-Expendable Research Resources. sonst 29> 5.2.8 Hiring Research Assistant(s) and Other personnel.... 5.2.9 Research Credit Equivalence. 5.2.10 Research Travel Cost, Allowance and Other PaymentsError! Bookmark not defined. 5.2.11 Award, Remuneration and Recognition 5.2.12 Completion and Reporting of Research Projects. 5.213 Termination of Research Projects 5.2.14 Dissemination of Research Results. -40- 5.2.15 External Fund Contribution to Research Overhead Cost: 5.2.16 Incentive Packages for Researchers. PART SIX: LEGISLATIVE AND ETHICAL CONSIDERATIONS 6.1 Legislative and Ethics Obligations... 62 Ethical, Environmental and Security Considerations... Appendices Appendix I: Format For Submission Of Research Proposals. Appendices I: Financial (Budget) Requirements of the Proposed Research Project- 50 - Appendix II: Progress Report Form (to be completed by the principal investigator)- 54 Appendix IV: Guidelines for Reviewing Progress Report. Appendix V: Guidelines for Writing Final Research Reports. sow 1 Appendix VI: Review Format for Research Terminal Reports (to be filled by the reviewers). -62- -65- Appendix VII: Extending Project Completion. Appendix VIII: Evaluation Criteria for Nominating Researchers for Award. - 66- Appendix IX: Guide on Writing a Research Proposal in Aksum University. svat 67> Appendix X: Aksum University Research Project Contractual Agreement Form......°72- Appendix XI: Aksum University Research Project Registration Form. 76 Wrage Research Gutheliae and Procedures at Mtl, uly 26, 2017 Preamble Whereas with due responsibilities of academic, research and community servicing, Aksum University is established by the Regulation of the Council of Ministers of the Federal Democratic Republic of Ethiopia No. 225/2011. Until recently there has been poor culture of research, community services and technology transfers activi s at Aksum University. Recently, a new structural reengineering has been put in place to effect the reopen the Office of Vice President for Research and Cornmunity Services. Research and community services have been recognized as separate core processes to which they have assumed strong footing to well-established teaching-learning process. The Research, Community Service and Technology Transfer Program has primarily been mandated to institutionalize strong research culture and strengthening community services and technology transfer activities in Aksum university and ‘surroundings in a way that can address community problems. ‘Aksum University envisions to become one of the 10 leading public universities in Ethiopia by 2012. To realize this vision, the University should make big strides towards research, ‘community services and technology transfer activities side by side with the teaching process. Hence, the office of Vice President for Research and Community Services needs to encourage academic staff to do research, community services and technology transfer projects. One of the beginnings would be developing a strong research guideline by which research activities in AKU be shaped as per the demand of nation, community and the institution itself. Research activity is an important component in the curricula of all universities because of the fact that reputability of any university is very often reflected by its quantity and quality of research output. A research performed at any University is required to promote scientific findings, to provide scientific bases for the teaching and learning process, to transform societies, and to advance human lives. Whereas all academic staffs require research opportunities for both personal and professional development, Aksum University shall devise fair and transparent mechanism to encourage its academics to do researches of internal and external funds. Whereas to encourage the academics to do research, participation of the staff in research management is mandatory. Till now, research funds were too centralized to limit the role of colleges and departments in directing, monitoring and evaluating research activities. Hence, it is empirical to pave ways for wider participation of academic programs in the research, community service and technology transfer activities. Grounding on the principle of creating more research opportunities with available small budget, AKU offers research projects annually or so. With a growing number of academic staffs and their qualification in one hand and a growing size of research budget every year, it is necessary to formally introduce a research guideline and procedures associated with different types of research projects with their own distinct characteristics but with ultimate target of mobilizing the academics to research works. -2-[Page PART ONE: GENERAL PROVISION 1.1 Short Title This document can be cited as the ‘Guideline and Procedures of Research undertakings at Aksum University’ 1.2 Definitions Activity Based Financing: is defined as a transferring of approved research funds to researchers based on defined products or outputs. Activity based financing establishes a transparent link between funding and research activity. Community: refers to an organized group of society living in a certain place or geographical location and having social interaction Dean, Director and Head: refer to the respective dean of a college, the respective director ofan institute and respective head of a department, respectively Evaluation Process: refers to a series of actions that someone takes to evaluate a research proposal or progress report or terminal report of a project. Fund: refers to a sum of money saved or made available for a particular research purpose. Hol ‘efers to the Head of a department Intellectual Property: refers to property rights created through intellectual and/or discovery efforts of a creator that are generally protectable under patent, trademark, copyright, trade secret or other law. Mor foring: refers to the systematic collection, analysis and use of information from projects for the purposes of accounting internally and externally for the resources used and the results obtained (monitoring function) and taking decisions (PSO, 2004). -3-[Page Evaluation: refers to the systematically and objectively assessment of performances of an ongoing or completed project. An evaluation should provide evidence-based information that is credible, reliable and useful Proposal: refers to a detailed description of a series of activities aimed at solving a certain problem. A proposal outlines the plan of the implementing organization about the project, giving extensive information about the intention, for implementing it, the ways to manage it and the results to be delivered from it. Progress Report: refers to a written document that explains how much progress is being made on something you have previously planned. It conveys details such as what objectives have been accomplished, what resources have been expended, what problems have been encountered, and whether the project is expected to be completed on time and within budget. Research: refers to a careful and detailed study into a specific problem, concern, or issue using the scientific method. Scientific Method: refers to a method of research in which a problem is identified, relevant data are gathered, a hypothesis is formulated from these data, and the hypothesis is empirically tested. Stakeholders: refers to governmental and/or non-governmental organizations and industries which take part with the university. ‘Terminal Report: refers for the final completion report a researcher prepares about the performance of his/her project. University: refers to Aksum University or AKU 1.3. Scope of Application of the Guideline This guideline applies to all research activities carried out in and by the university members and students independently, and/or in collaboration with stakeholders using University’s resources fully or partly -4-|Page 1.4 Objective The overall objective of the Research Guideline & Procedure is to enhance the visibility and recognition of Aksum University and maximize the relevance of its research activities and projects in the development of our country. Specific objectives include, * To create a workable research environment that promotes fairness, accountability & transparency in research planning, implementation, monitoring and evaluation * To ensure that resources are allocated and utilized for research purpose appropriately; * To ensure that initiation and reviewing of research projects and the processes of conducting research, reporting findings, and evaluating whole research activities, are conducted appropriatel * To increase quantity and relevance of research outputs in and around Aksum University; + To ensure that research results and technologies are effectively disseminated to stakeholders; * To support local, regional and national developments through participating more expertise in applied research; -S-[Page 2. PART TWO: RESEARCH PLANNING AND MANAGEMENT 2.1 Research Planning and Management (a) Each College/Institute is required to develop and Implement its own research and financial plan for the fiscal year; (b) Colloges, Institutes and Departments are required to establish research committees to support the research activities in their jurisdiction. College/Institute/Dep't research committees are formed by Deans/Directors/HODs to advise their own faculties on Research and Postgraduate Studies matters. 2.2 The University Research Committee As per the AKU legislation, there shall be a University Research Committee responsible for the strategic management of research at Aksum University. Composition of the University Research Committee is determined by the University Senate legislation. 2.3 The College/Institute Research Committee There shall be College/Institute Research Committees with membership and responsibilities outlined below: Membership (0) Chairperson ~ College/Institute CRCSOs (ii) Chairpersons of Departmental Research Committees Responsibility To coordinate, in consultation with the relevant College Deans and Institute Directors, all research activities in the College/Institute. -6-IPage 2.4 Departmental Research Committees ‘There shall be department research committees with membership and terms of reference outlined below: Membership () Chairperson ~ Head of Department or Ho's appointee (ji) Areas of specialization representatives Responsibility To coordinate in consultation with the relevant Head of Department all research acti in the department. “7-1 Pag 3. PART THREE: RESEARCH THEMATIC AREAS 3.1 Research Thematic Areas and Priorities As a broad grouping of areas of research with a common theme, research thematic areas shall be part of the contemporary research developments, those which foster cross- disciplinary research, those having clear potential for economic benefit, and have significance for the social or cultural benefit of the country. All research thematic areas in Aksum University shall be designed on the basis of national & regional development agenda, missions of AKU, and emerging problems of community around the university. Research thematic and priority areas should be developed in an all- inclusive consultative process that involves colleges, institutes, national development plans and relevant stakeholders. Whereas due to the dynamic nature of local, regional and national interests, the Office of VPRCS through its directorates together with colleges/institutes shall periodically coordinate the identification of thematic areas. The criteria for selecting thematic area may be constant, while specifics will depend on the thematic area of importance in time. Still, to promote collaboration with and satisfy the specific interests of local, regional, national and international stakeholders’, thematic areas may vary for specific research projects funded externally. Concordant to the above statements, the following are the thematic and priority areas for Aksum University: Table 1: List of Research Thematic and Priority Areas [ Sno. ] Thematic Areas Research priority areas 1 | Infrastructure ‘* Transportation = ‘+ Other infrastructures 2 | Building & Planning + Landscaping Urban planning Land use Construction technology Roads & Housing Safety Aesthetic ‘Technology transfer Information Communication Technology cry Systems engineering Information communication technology Software engineering Artificial intelligence e-Learning, e-Commerce, e-Governance, automation Network security Databases Biotechnology Plant Animal Medical Microbial Biosafety issues Bioprocess engineering Mathematics Statistics and modeling Actuarial science Material energy and Mines ‘Advanced materials & Complex systems Green and Sustainable Energy, e-lFage Aksum Univ + Manufacturing & Processing + Design, Development & Quality Control + System Mechanization & Automation + Recycling and Reusing + Biotechnology + Geological mapping + Exploration + Mining 7 | Health Sciences + Communicable & non-communicable Diseases & Management + Vectors + Safe Motherhood + HIV/Aids And STI + Herbal Medicine + Food and Nu + Reproductive Health + Adolescent Health + Drug Effects and Management 8 | Water and Sanitation + Water Resource Management + Sanitation Management © Waste Water Management = Water Quality + Irrigation and Water Harvesting 9 | Agriculture + Crop Production & Productivity + Livestock Production & Productivity + Agro-Processing & Value Addition + Pest Management + Technology Adaptation and Transfer 10 | Environmental Science + Green Energy =10-| Page eae feniden | 2 ‘ Unive eaves EIA & management Ecosystems services Pollution Climate change and adaptation diversity GIS application ‘Technology transfer Natural resources Indigenous Knowledge & Skills 1 ‘Socio-Economic research Policy Issues ‘Trade and Commerce Finance & investment Entrepreneurship Intellectual Property Poverty Reduction and Food Security MSEs & SMEs Leadership & Governance Cooperative development Gender, Youth and Vulnerable Groups Urban & Regional Planning & Development Political Issues Legal and Institutional Infrastructure Media & Communication Cultural Studies and Arts Human Resource Development ‘Technology Transfer 12 ‘Archaeology & Tourism Development ‘Archeological Resources excavation, Conservation & Promotion History ‘Traditional Practice Tan, Je and Intangible Heitages BS Press mance \ Research & Eos Sonne’ x > Hotel industry & Tourism development 13 | Educational quality and + Education Cross-cutting issues ‘= Other cross cutting issues ele "3 eaunean\ valet. nib nen Revearcna Cowmmucny —/ ed Nese G 12-|Page NQrave 4. PART FOUR: RESEARCH PROJECT TYPES AND ADMINISTRATION 4.1 Project Types Generally, research projects in Aksum University fall within three different categories namely: Large Scale Projects (LSP), Medium Scale Projects(MSP) and Small-Scale Projects(SSP). These categories are developed based on currently existing research needs and to create more staf i volvements in research works. In addition, as part of our efforts to satisfy national and regional demands, the Office will annually have a small-scale research grant for cross cutting issues such as environment, education, gender issues, persons with disabi ies and others as per to the demand of the country. ‘As nature of the three research categories differ in terms of objective, expertise composition and budget size. 4.2 Characteristics of Project Types 4.2.1 Large-scale Research Projects (LSPs) Large-scale Research Projects are those multi-disciplinary and inter-disciplinary research projects with a budget requirement of up to 500,000 ETB and that will take at most three years to complete. Large scale research projects should include members from at least two colleges/institutes. The objective of Large-scale Research Projects is to bring usable outputs or solutions for specified real life problems, while enhancing the research experience of our researchers. Large scale projects shall involve researchers at different levels including senior researchers (at least 2 assistant professor and above), two junior researchers, and two PhD students who will be attached to the project for their dissertation alten / ann -13-[Page work. In cases where there are no relevant PhD students, juntor researchers may take the place. Thematic areas for Large-scale Research Projects shall be defined by the fund source. Large scale projects are interdisciplinary engagement of different disciplines which shall be announced, evaluated and screened at the center level. Once proposals are collected following a call made by the Office of Research and Postgraduate Studies Directorate, they shall pass through evaluation procedures after which the best ones (based on available fund and thematic requirement of the call) shall be selected & announced for funding For any research proposal announced for funding under the Large-scale Research Projects scheme, it is mandatory to effect at least three publications in peer reviewed and reputable journals, 4.2.2 Medium-Scale Research Projects(MSPs) Medium-scale Research Projects are college level but multi-diseiplinary and inter- disciplinary research projects with a budget requirement of up to 200,000 ETB which will take up to two years to complete. The objectives of MSPs include developing research experience of our researchers in solving identified problems that require urgent solutions and developing their experience in publishing articles in reputable and high impact factor journals. MSPs is an intra-college/institute project which should include at least four team members from at least three departments. Members should include a senior (Assistant professor and above) and two young/junior researchers (below assistant professors) and a master student who will be attached to the project for his/her postgraduate research. In cases availability of relevant master’s student matters, junior researchers may take the place. MSPs will first be screened and shortlisted at the college/institute level in the Office, following guidelines designed. Following the evaluation at college/institute level, only the best (shortlisted) proposals will be submitted to the center for evaluation, At the center, proposals shall pass through rigorous evaluation procedure, and the best ones (based on available fund and the thematic requirement of a call) shalll be selected and announced for funding, For any research proposal announced for funding under the Medium-scale Research Projects scheme, it is mandatory to effect at least two publications in peer reviewed and reputable journals. Different colleges/ institutes will then send the following number of shortlisted proposals for evaluation at the center. Though this proportion of shortlisted proposals from each college is taken, the actual number of proposals may vary from year to year based on the availability of fund. Table 4-1: Expected Short listed Proposals from Each College/Institute Colleges/Institutes Number of shortlisted proposals to be submitted CET*, CNCS, CHS, CA, 3 ‘school of mines and school of water technology will be part of CET, In competition for this type of grant ** School of education and behavioral science will be part of CSSL, in competition for this type of grant ‘Schools should be treated independently! 4.2.3 Small-Scale Research Projects (SSPs) Small-scale Research Projects are research projects completely managed at college level. ‘They are aimed to intensify competition among departments for research grant. At least two members are required for SSP application. SSPs require a budget of up to 75,000 ETB which will take maximum of one year to complete. The objective of S$Ps is to provide -35-|Page we ey young researchers (academic rank of lecturer and below) with opportunities to practice and develop their research and publication experience while working on a real-life problem. Aligned to its aim, for any research proposal selected for funding under SSPs, itis mandatory to effect at least one publication in peer reviewed and reputable journal Applications for small scale project funds are evaluated at college level (both for technical evaluation and presentations), with the supervision of members from the office for Research and Postgraduate Studies Directorate. Small-scale Research Projects could be: 4.2.3.1 General Small-Scale Projects (GSSPs) GSSPs are designed for general purpose to intensify competitions between departments of a college or institute. GSSPs are generally aimed at young researchers so that they can start writing papers, make scientific presentations and generally join the research community. 4.2.3.2 Specific Purpose Small Scale Projects (SPSSPs) These are small scale projects designed for special purposes where the applicant (PI) can be any academic staff member pertinent to the special purpose. The difference between GSSPs and SPSSPs is that the latter is designed to address specific purposes the university wants to address through research with some financial resources. These types of projects are group grants to keep involving more staff in researching and publication. One of the SPSSP grants is the Female Researchers Grant (FRG). In FRG, the (PI) is a female staff member with an academic rank of lecturer and above. The female researcher projects are aimed at alleviating the very low participation of young female researchers in research and publication, thereby empowering female researchers. Moreover, this fund aims to provide young female researchers with opportunities to EP ETT, (an ae seein, / en Gy practice and develop their research skills while working on a real-life problem. The budget size of female researchers shall be equivalent with the small-scale research grants delivered by Aksum University. There shall at least be 3 research grant awards for female researchers at annual base. 5. PART FIVE: GUIDELINES & PROCEDURES FOR RESEARCH PROJECTS 5.1 General Guidelines a) Without prejudice to the responsibility given to higher education institution by proclamation 650/2009, all academic staffs are expected to devote 25% of their time in conducting research and publish their findings. Hence, intact to career expectation, all academic staff should, at least once in a year, develop research proposals and compete for funds. b) AKU academic staff members shall have full guarantee of certain freedoms in carrying out the research mission of the university effectively. They shall have the right to disseminate the results of their research without suppression or modification from external body. As members of the academic staff, they also have the right to engage in ‘external research and consultancy activities, subject to the university's rules and regulations; ©) Academic staff members must also be aware of their various obligations in the conduct of research. They should realize that this document is abiding for years to come and agree to abide by the rules and guidelines as provided by, and stipulated in, the document; a) Research grants are awarded to academic staff (an Ethiopian or expatriate), and priority is given to full-time staff members; e) The principal researcher (PI) for team-based projects should be a permanent full-time academic/research staff member. Expatriate staffs can participate as co-investigators but s/he cannot be a Pl; cis an 8) Academic staffs who are on study leave cannot submit a research proposal (be it as Pl or Co-investigator). However, those who can present official evidences from MoF. for issertation and reinstatement letter from respective college final submission of their can take part as Pl or/and Co like other permanent on duty staff. 5.2. Specific Guidelines 5.2.1 On Initiating Research Project Proposals: (@ There shall be ways of informing and publicizing calls for research project proposals; (it) Research proposal calls shall be set based on the research thematic and priority areas of the university; (iit) Due to budget constraints and practical reasons, a researcher who is already granted a research fund by the university and who has not completed the project in the specified timeframe (contractual agreement) is not entitled to take part in the call for research proposal (as a Pl or Co-PI) until her/his ongoing research project is officially completed. (iv) A researcher who proposes a new project as a PI can also participate as a Co-PI in at most one new project; () A researcher who is nota PI in any project shall be allowed to participate as a Co-PI in at most two projects; (vi) However, a researcher whose project is funded by a grant from an external source is encouraged to initiate a new proposal and apply for funding by the university in spite of the above conditions in iii, iv and v; Aksum University research grants shall prioritize to the university's own staffs However, collaborative research proposals can be initiated with staff from other Ethiopian universities, research centers, research institutions, and industries. In such cases where AKU grant funds for some collaborative research proposals, the PI shall be AKU's staff, (vit) All proposals shall be initiated by a group of researchers. For Large Seale Projects, at least six members from at least two colleges/institutes/schools; for Medium Scale Projects, at least 4 members of same college/institute/school but different fields of study/departments; and for Small Scale Projects, at least two members from same department; (9 In cases where externally funded proposal calls are out, the guidelines for preparing such proposals shall be in line with the formats of the funding agency, if available. If not, this research guideline and the format for proposal writing shall be used; () Solicitation of external funding shall be encouraged and facilitated at individual, departmental, institute and inter-institutional levels. 5.2.2 On Sub: sion of Research Proposals (0 Every Hamle, the ORPGSD in collaboration with College & institute CRCSOs issues a call for research proposals. The call for proposals with the deadline date should be posted In all campuses and college boards in addition to AKU website; i) Each project proposal call shall give at least a month and half for proposal submission date. Proposal submission will expire right on 5:00 PM of the stated deadline. The (Tee \ actrees \ Saag, / Sais deadline day for the submission of project proposals to the ORPGSD or CRCSO shall be strictly observed. Late project proposals will not be considered for processing; Gil) Research proposals shall be prepared and submitted based on the Format for ‘Submission of Research Proposals of Aksum University (Appendix I}; (iv) Project designers should fill out and submit the Research project budget plan, (Appendixl1), addressing all items and requirements of the format accordingly. 5.2.3 Evaluation And Approval of Research Proposals (i) Research proposals must undergo a rigorous review at the level of department and college for approval or rejection before they are submitted to ORPGSD for further reviewing and screening (optional). The review shall take into account, among others, the social and economic priorities as stipulated in the Research Thematic Areas (RTA), research ethical issues, and financial feasibility of the project; (ii) Office of RPGSD shall arrange a research review day on which all new Large Scale and Medium Scale Project proposals are presented and reviewed publicly for amendment, approval or rejection. The panel of reviewers for LSPs includes at least 3 (1 internal and 2 external) experts with rank of assistant professor and above and who have superior knowledge, skill and experience on the field. For MSPs, the panel of reviewers includes at least 3 (2 internal and 1 external) experts with rank of assistant professor and above and who have superior knowledge, skill and experience on the field. At least two representatives of the Senate Standing Committee for Research and Community Services (SSCRCS) shall be invited to observe the evaluation processes of LSPs & MSPs. wary \ rina -21-|Page (iii) For SSPs, departments shall arrange a Department Research Review Day, on which all new research proposals are presented and reviewed publicly for amendments, approval, or rejection. The panel of reviewers shall include the department research committee chair and two other relevant professionals from the department. The review process shall fully be under the supervision of CRCSO. (iv) Ifthe number of SSPs selected at department level is large compared to the available budget, the CRCSO shall arrange a college level proposal review day on which all new Small-Scale Research Proposals are presented and reviewed publicly for amendment, approval, or rejection. The panel of reviewers includes three selected relevant professionals and the review process should be under the supervision of College Dean, RESO officer, College Research Committee and representatives from the ORPGSD. (v) All the reviewers shall use AKU Research Proposal Evaluation Guideline for technical and financial evaluations. Evaluators are expected to thoroughly investigate financial proposals presented, compare each with activities proposed and decide on amounts one by one. (vi) For proposals that require sensitive information or cooperation from other institutions /companies, the staff investigator shall be required to show proof of consent from the said institutions before the approval of the proposal; (vii) Project initiators whose Small-Scale proposals are reviewed and approved at any level are requested to incorporate comments given by reviewers. The revised and Improved proposals shall further be approved by Department Research Committee Chair, signed duly, and formally submitted, both in hard and soft copy to CRCSO Officer. 75 meng a oon, \ 22-|Page The CRCSO officer endorses the proposals, signs duly and submits the proposals formally to the ORPGSD; )) Project initiators whose Medium-Scale proposals are reviewed and approved level are requested to revise their proposals by incorporating the comments given. The revised and improved Medium-Scale proposals shall further be approved by College Research Committee Chair, signed duly, and formally submitted, both in hard and soft copy to CRCSO Officer. The CRCSO officer endorses the proposals, signs duly and submits the proposals formally to the ORPGSD; (ix) A project shall be approved only if: a. itis relevant to AKU research thematic areas; b. it will produce new knowledge or contribute to different field/areas of specialization: cit will produce new technologies that can be transferred to community and bring change in livelihoods, 4. it will produce scientific publication(s) from reputable journals with superior impact factor; e. no previous similar local projects have been conducted (x) Successful and enriched research proposals shall be submitted to office of RPGSD in soft and hard copies. The ORPGSD will submit the proposals to the Office of the Vice President for Research and Community Services for approval; Gi) (Optional)The office of VPRCSs may seek advice on the projects budget implications with Management Council (MC) of the University for further evaluation and (er ivs ornana “hinge \ endorsement. The MC can fully endorse the budget proposal of the project or make some financial modifications or reject the proposal entirely. 5.2.4 Research Financing: Planning, Allocation, and Management of Research Funds ‘The following guidelines are used to supervise, control, regulate, and direct the research funding and utilization processes. (i) All research projects funded by the university shall comply with the rules and regulations of the university and other pertinent government laws. Financial and property rules and regulations of the country need to be adhered to in the utilization of financial and other resources related to research projects. (ii) The Office of VPRCS shall prepare research budget formula based on some objective criteria common to all colleges and institute. Ones the budget is notified, it’s the responsibility of respective colleges/institute to prepare their research budget plan, management and performance reports; (iii) Collaborative researches and researches funded externally shall be registered and agreement shall be signed between Pls, donor(s), and AKU indicating the role of each party, benefit sharing, and equipment ownership and patenting issues; (iv) Research funding shall be effective in an activity based approach. Right after the ing of the contractual agreement, the PI can request budget by writing a formal application with justifications on how the finance shall be utilized and what outputs are expected. Subsequent payments shall be delivered once advance payments are settled in, and when the PI submitted a successful progress re RPGSD. Then progress -24-|Page report should be made using a Progress Report Form (Appendix III). Exceptional cases will be considered based on the nature of the project(s). 5.2.5 Graduate Research (i Graduate students conduct research for partial fulfillment of the requirements for particular qualifications under the guidance of professors (Assistant Professors, Associate Professors and Professors); (ii) Graduate research is an opportunity to be tapped to fulfill two objectives: as requirement for academic degrees and as a vehicle to solve some of the problems of the society. Some of the research agenda of the University may be outsourced to professors to be worked by his students by launching separate small grants to priority areas; (iii) Special sponsorship initiatives may be launched by the university or its Colleges/Institutes calling for students to apply for identified scholarship positions; (iv) In cases like this, students should be guided by AKU professors (research advisors) to work on issues within certain thematic areas that are listed in the University's themes; (v) Colleges/Institutes interested to launch such a scheme need to cooperate with respective bodies on implementation of the plan. 5.2.6 Follow-up of Research Progress and Budget Utilization (i The Office of RPGSD and CRCSOs shall ensure the steady implementation of research proposals on a regular basis; (ii) Steady execution of each project is the responsibility of those involved in the research, Particularly the principal investigator who s required to lead guoup t success z “35 1Paee na MN { =e | oy ee / (iii) Inall research projects, the PI takes both the technical and financial responsibilities from the beginning up to the end of the project time; (iv) For AKU funded research projects, the budget allocation for per diem, transport, and refreshment should not exceed 20% of the total grant size. (v) Settlement of previous cash advances should be made every month for all types of projects. Settlement process should be supported by legal and original official receipts confirmed by the signature of the PI; (vi) Investigators who fail to settle cash advances within the stated period should be given a written warning by the Office of RPGSD to submit all supporting documents and settle the advance payments in a week after receipt of notice. This requirement must be fulfilled before subsequent requests for cash advances; (vii) Once a research project is approved and the budget is secured, the researcher cannot normally change the place of work, work plan, methodology or objective of the study. However, in the event of compel 1g circumstances, the researcher should submit a formal request (written application supported with necessary documents) for any of such alteration to the office of RPGSD. The director together with his/her suggestion will forward the case to the office of VPRCS with all supporting documents. The final decision will be made by SSCRCS. The PI shall be notified the approval or disproval of the change(s) requested; (viii) No disbursement of funds in excess of the approved budget is allowed. However, those with exceptional cases may request for additional funds to the office of VPRCS. The VPRCS, in consultation with the ORPGD and respective college CRCSO and Dean, may approve requests; nana -26-1Poge (ix) The researcher should strictly adhere to the cost breakdown indicated in the approved project document. Deviation from this is prohibited unless permitted by the ORPGD and Finance and Budget Directorate of the university. Likewise, specific funds approved for one project shall not be allocated for another project unless permitted by the VPRGS and Finance and Budget Directorate; (x) PIshall be the delegate of the Finance & Budget Directorate to handle any payment of fees for research personnel such as research assistants, data collectors, laborers, etc; (xi) Regular progress reports are mandatory every 3 months for SSPs and MSPs. For LSP, Pls should submit progress reports every six months. The PI needs to submit progress and final reports along with financial expenditure documents related to the research project; (xii) A PI failing to submit progress or final reports of a project funded by the university after the required time of reporting will be notified (warned) by ORPGSD to do so within a week of the notification. If the PI fails to comply with this privilege, he/she will be then obliged to refund all the funds used or supposed to have been used during the research period; (xiii) Progress report shall be reviewed by College/Institute RC first using a format designed for this purpose (Appendix Ill). The ORPGSD and CRCSO shall arrange periodical (quarterly) monitoring and interim evaluations of projects to know that the research activities are properly handled as planned in the research protocol. This will take place in the form of field visits and quarterly progress reports; \ 27-|Page (xiv) Review results of the progress report shall be communicated to the PI by the CRCSO. ‘The PI should incorporate feedbacks given by the review team into the report, get it signed by the College CRCSO, and the CRCSO will resubmit it to the Office of RPGSD; (xv) The Pls shall cooperate with the team by providing the necessary document or information, including access to research protocol and pictures of research activities (where applicable) to assist the evaluation or monitoring mission; (xvi) The PI should be cognizant of the fact that subsequent fund disbursement is subject to a prompt submission of successful progress reports and liquidation of previous cash advances and that monitoring and evaluation by the team may also provide appropriate technical and professional support for his/her project; (wwii) The Office of RPGSD together with the CRCSOs shall supervise research activities in the field and/or laboratory at any time for appropriate utilization of fund, correct use of methods; (xviii) The results of each project should finally be presented in seminars and eventually every effort must be made to publish it in reputable journals within the time frame agreed. Failure to implement any of these steps amounts to a disciplinary offense and the person is subject to return the fund paid for the same; (xix) Successfully completed results shall be transferred to end users, i, in kind if it is a technology or prototype, or in the form of training or broadcasting using any of the available media outlets for the target community; (x) Graduate students shall submit final thesis documents to the office of RPGSD (electronic and 2 hard bound copies) for documentation regardless of source of funding. Pr ras pane nee Service vie 5.2.7 Expendable and Non-Expendable Research Resources (0 Part of the research fund given to a research project could be utilized for the purchase of items and equipment that are essential to the proposed research work. Purchase of all items and equipment should follow the university's purchasing system; (i Expendable items not exceeding 5000.00 ETB can be purchased by the Pl himself/herself in consultation with the University Procurement & Property Administration Directorate (PPAD); those exceeding 5000.00 ETB at a single procurement process and any fixed items should be purchased by the PPAD. The wvestigator should clearly indicate in the budget breakdown of the project proposal which items can be purchased by himself/herself and which ones should be purchased by the university PPAD; (iii) The investigator should use resources already available in AkU (e.g. fixed items, chemicals, laboratory equipment, library resources, IT facilities and services). If the approved fund for the project involves the cost of these resources, this cost will be deducted from the project's budget; (iv) Purchase of resources already available in the university is not allowed as it leads to misuse and unnecessary expenditure of the research budget. Requests for use of such resources, facilities, and services may be made through written application, outlining the resources required, to be endorsed by the VPAA or VPRCS and submitted to concerned department; (¥) Any investigator must secure a written permission from respective College Dean or Institute Director before taking an equipment or a non-expendable item out of campus for a research purpose; 29-| Pane (vi) All fixed assets purchased by the university research grants and all recourses borrowed from the university for the research purposes are the properties of the university and, therefore, must be returned to the university upon completion of the project; (vii) Any material equipment and any other fixed items or resources acquired by the PI under his/her research project must be registered by the property administration of the university and should become institutional property upon completion of the project; (viii) Incomes generated by the researcher(s) from research activities such as sales of research outputs shall be the revenue of the university, and they should be collected and transferred to the university account under the research and community se program. 5.2.8 Hiring Research Assistant(s) and Other personnel (1) Other technical staff required for the implementation of the research project may be hired on a fixed amount for a fixed period on contractual basis. Modalities for utilization of the research fund under such provision may include: a. hiring a person for technical assistance who fulfils the qualifications required to undertake the duties and responsibilities stated in the Term of Reference of the contract to be signed. The prime decision to recruit and employee such personnel lies in the principal researcher; ores na \ } 30-|P2 b. acquisition of consulting/advisory services that is necessary for undertaking the research project. Such consultancy advisory fees are payable to consulting firms or individuals who are not members of the university; & acquisition of institutional services for specialized technical/ laboratory works for which the university has no such infrastructure or service: 4. short term employment of unskilled workers who may be engaged on daily ‘wages for expedition, field work and the like. (ii) An investigator with a rank of Assistant Professor and above can hire a graduate or under-graduate student as his/her research assistant(s). However, there should be a clear delineation of work between the parties. Research assistance(s) should be properly acknowledged in any publication resulting from the project; (ill) An investigator should submit a certification attesting the number of hours of work that were rendered by his/her research assistant(s); (iv) Details about research assistants, data analysts, laborers, and so on must be provided clearly in the project proposal; 5.2.9 Research Credit Equivalence Doing research is an integral part of their activities since academic staff members are expected to devote 25% of their time for it. An investigator is compensated in terms of a teaching load reduction or a research honorarium equivalent to the number of credits awarded to the project, upon approval of the proposal by the Office of VPRCS. And a staff undertaking research work shall get a maximum exemption of 3 credit hours. [eee enone aoe fA Research & | (On the assumption that 39 hours per week of full-time service is rendered for 12 LEHs of teaching load, research credits are 25% of the 12 which shall be 3LEHs in a week; (i) The input involvement (ic. tasks and responsibilities) of each investigator in doing the research is considered in the awarding of the research credits; (ii) For the PI, the maximum number of research credits is 3 LEHs per semester, while other members of the team may be given a maximum of 1 credits per semester; (iv) Participants of competition based externally funded projects may be given a maximum of 1 credit per semester; (¥) Those researchers who attract external grants based projects by their own efforts shall be treated in the way expressed in iii (vi) An investigator is not awarded any research credit equivalence if the project is a thesis or dissertation and a teaching load reduction has been applied for/granted through the Staff Development Program of the office of the Vice President for Academic Affairs (vPaay; (vii) Every teaching load reduction shall be counted every semester of the life of the research project or within an approved extension period for the project; (viii) Credit benefits shall be paid only when the coordinator or director receives sufficient confirmation that the research activity is carried out as originally planned; (ix) Credit benefits shall not be paid for terminated, suspended, delayed or improperly executed research proposals;

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