R & P Guidelines Final

Arsi University
Research and Publications Guidelines
June 2015
Arsi University Research and Publication Guidelines
Preface
Arsi University was established as one of the Public Universities by Federal Democratic
Republic of Ethiopia on September 2014. As Research is one of the three pillars of the
University mission, the Research activities in Arsi University are aimed to contribute towards the
overall development of the country and the region; produce professionals with basic knowledge
and skills in Research. In addition, it also geared to generate knowledge that lead to
understanding of multi-disciplinary issues of the community; and to produce knowledge that
helps the regional as well as the federal governments to formulate appropriate developmental
polices and strategies. The setting of this document defines the principles and objectives of
Research polices; organizing the framework of Research prioritization, preparation of Guidelines
for Research executions and monitoring of the Research efficiencies. Additionally, it plays the
foundation and milestones to properly direct our Research and publication activities to the
highest level. It also paves the way for Arsi U to develop in to one of the best research
universities in Africa. Therefore, I am calling the University Community to work diligently for
the implementation and success of the policy provisions and guidelines laid out in this document.
Tolla Berisso (PhD)
President, Arsi University
Table of Content
Research and Publication Guidelines Page ii

Part One: Introduction................................................................................................................................... 7

1.1 Background ......................................................................................................................................... 7
1.2 The Need for Research and Publication Guidelines (RPG) ................................................................ 8
1.3Goals and Objectives of the RPG ........................................................................................................ 8
1.3.1Goals of the RPG .......................................................................................................................... 8
1.3.2Objectives of the RPG................................................................................................................... 8
Part Two: Guidelines and Procedures for Research Projects ........................................................................ 9
2.1General Guidelines............................................................................................................................... 9
2.2. Specific Guidelines .......................................................................................................................... 10
2.2.1. Initiation of Research Proposals................................................................................................ 10
2.2.2. Submission of Research Proposals ........................................................................................... 12
2.2.3. Evaluation and Approval of Research Proposals ...................................................................... 12
2.2.4. Research Financing: Planning, Allocation, and Management of .............................................. 14
Research Funds ................................................................................................................................... 14
2.2.5. Follow-up of Research Progress and Budget Utilization .......................................................... 15
2.2.6.Expendable and Non-expendable Research Resources.............................................................. 17
2.2.7. Hiring Research Assistant(s) and other personnel .................................................................... 18
2.2.9. Research Travel Cost, Allowance, and Other Payments ........................................................... 19
2.2.10. Reward, Remuneration, and Recognition ............................................................................... 20
2.2.11. Completion and Reporting of Research Projects .................................................................... 21
2.2.12. Termination of Research Projects ........................................................................................... 23
Part Three: Research Ethics ........................................................................................................................ 24
3.1. Guiding Principles ........................................................................................................................... 24
3.2. Basic Ethical Values in the conduct of Research ............................................................................. 26
3.3.Retention of Data .............................................................................................................................. 28
3.4. Expectations for Research and Publications .................................................................................... 29
3.5.Disclosure of Potential Conflict of Interest....................................................................................... 30
3.6.Use of University Resources ............................................................................................................. 30
3.7.Research Misconduct (policy on allegations, investigations & reporting) ....................................... 30
Part Four: Publishing Research Articles ..................................................................................................... 32
4.1.Publishing in the Arsi University Journal ......................................................................................... 32
4.2. Publication of University-funded Research Projects in other journals ............................................ 35
Part Five: Preparation of Teaching Materials and Textbooks ..................................................................... 35
5.1.Rules, Regulations, and Procedures for Teaching Material Preparation........................................... 36
5.1.1. Determination of Priority Areas ................................................................................................ 36
Research and Publication Guidelines Page iii

5.1.2. Manuscript Already Produced .................................................................................................. 36

5.1.3.Criteria for Preparing a Teaching Material ................................................................................ 36
5.1.4. Working Conditions of an Author Preparing Teaching Materials ............................................ 37
5.1.5.Organs Vested with Final Authority on the Approval of an Author and the Manuscript as
Teaching Material ............................................................................................................................... 39
5.1.6.Effects of Non-compliance ........................................................................................................ 39
5.1.7.Author’s Honorarium and other Benefits ................................................................................... 40
5.1.8.Evaluation and Edition ............................................................................................................... 40
5.1.9. Income Tax and Expenses......................................................................................................... 40
5.1.10. Upgrading a Teaching Material to a Textbook ....................................................................... 41
5.1.11.Ownership of Teaching Materials ............................................................................................ 41
5.1.12. Obligation of the University ................................................................................................... 41
5.2.Rules, Regulations, and Procedures for Textbook Preparation......................................................... 42
5.2.1.Criteria for Selecting Textbook Writer ...................................................................................... 42
5.2.2. Working Conditions for an Author ........................................................................................... 42
5.2.3. Criteria for Qualifying a Manuscript as a Textbook ................................................................. 42
5.2.4. Need for Expert Assessment ..................................................................................................... 42
5.2.5.Textbook Author’s Honorarium and other Benefits .................................................................. 43
5.2.6.Evaluators’/Editors’ Fee ............................................................................................................ 43
5.2.7.Obligations of Textbook Authors .............................................................................................. 44
5.2.8. Obligations of Evaluators/Editors ............................................................................................. 44
5.2.9.Copyright ................................................................................................................................... 44
5.2.10. Effective Date ......................................................................................................................... 44
Appendices.................................................................................................................................................. 45
Appendix 1: Research Fund Application Form .......................................................................................... 45
Appendix 2: Guidelines for Research Proposal Reviewers ........................................................................ 53
Appendix 3: Research Fund Grant Agreement Form ................................................................................. 56
Appendix 4: Guiding Principles for Contract Agreement with Other Institutions ..................................... 61
Appendix 5: Progress Report Form (to be completed by the principal investigator) ................................. 61
Appendix 6: Guidelines for Reviewing Progress Report ............................................................................ 65
Appendix 7: Remuneration for Reviewers of Research proposals, Progress Reports, ............................... 67
Final Reports and Journal Manuscripts....................................................................................................... 67
Appendix 8: Guidelines for Writing Final Research Reports ..................................................................... 68
Appendix 9: Review Format for Research Terminal Reports (to be filled by the reviewers) .................... 69
References ................................................................................................................................................... 72
Acronyms
Research and Publication Guidelines Page iv

Arsi U – Arsi University
CRP- Coordinator of Research and Publication
CRPO – Coordinator of Research and Publication office
CRCSC – College Research and Community Service committee
ETB - Ethiopian Birr
FBD – Finance and Budget Directorate
MoFED – Ministry of Finance and Economic Development
PPAD – Procurement and Property Administration Directorate
PR – Principal Researcher
RPD - Research and Publication Directorate
RPG – Research and Publication Guidelines
SSCRCS – Senate Standing Committee for Research and Community Service
VPRCS – Vice President for Research and Community Service
VDRCS – Vice Dean for Research and Community Service
VPA – Vice President for academic
Definition of terms
Research and Publication Guidelines Page v

Definition of Key Terms
Unless the context requires otherwise, in this guideline:

Teaching material: shall mean written materials prepared for a particular course or courses and
emanating from the teaching and/or research experience of one or more academic staff members
of the university;
Textbook: shall mean written materials prepared by and emanating from the teaching and/or
research experience of one or more academic staff members of the university and possessing a
degree of originality, comprehensiveness of content, and presentation expected of written
materials to qualify as a textbook in the field of interest;
Responsibility center: shall mean any College, department, or unit in the university that is
engaged in teaching with the aim of producing the necessary personnel to meet the country’s
various needs, including professional upgrading, whether in regular teaching or in continuing
education programs;
Academic staff member: shall mean any employee (Ethiopian or expatriate) of the university
engaged in full time or part time teaching and/or research or any other activity deemed to be
academic by any responsibility center and approved by the VPA;
Research staffs members: Shall mean any employee (Ethiopian or expatriate) of the university
engaged in full time or part time research and/or teaching or any other activity deemed to be
Research by any responsibility center and approved by the VPRCS
Original work: shall mean a work:

a) whose content is not copied from other works word by word without appropriate
citation and acknowledgement;
b) whose sources of ideas are quoted properly, acknowledged duly, and provided in
the List of References;
c) whose approach is geared towards the special needs of Arsi U, and
Research and Publication Guidelines Page vi

Part One: Introduction

1.1 Background
Arsi University (Arsi U) is one of the public institutions of higher learning in Ethiopia,
established in 2014(2006 E.C) by decree No.322/2014 of the Council of Ministers of the Federal
Democratic Republic of Ethiopia. Arsi U started with four Colleges and one School, namely;
College of Agriculture and Environmental Sciences, College of Health Sciences, College of
Business and Economics and College of Humanities and School of Low. As a higher education
institution, Arsi U has set itself core responsibilities, with a focus on regionally and nationally
relevant teaching-learning programs, problem-solving research projects, and community-based
services.
In accordance with its core mission, that is, contributing to the economic development of
Ethiopia, Arsi U is committed to promoting practical research culture and dissemination of
findings to end-users and appropriate stakeholders. Within the context of academic institutions, it
is evident that quality and relevant research contributes significantly to the search for excellence
and to the ongoing efforts to ensure quality learning and teaching with the ultimate goal of
cultivating and nurturing the new generation for the future of Ethiopia. The significance of
research for changing the lives of the immediate and wider communities and improving their
wellbeing is beyond doubt. Research projects initiated by universities can often yield very useful
findings with direct bearings on policy initiatives, generation of new development insights,
application of technologies and innovations, and ultimately on the quality of life of our citizens.
In recognition of the fact that, practical and problem-oriented research is a basis for the national
development, Arsi U has committed itself to providing fertile grounds for the research culture
and capability to flourish within all aspects of its core mission. Arsi U is cognizant of the
significance of creating optimum working condition and research environment, whereby quality
learning and teaching are exercised, the production of capable and responsible citizens is
realized, and the expectations of meaningful contributions towards all-round regional and
national development are ultimately actualized.
Research and Publication Guidelines Page 7

It is found to be very important to design systematic and coordinated ways of managing and
administering all research initiatives and endeavors. This necessity has called for the
development of guidelines and procedures that would govern the entire research processes at the
university. The present document is an outcome of the response to this institutional requirement.
This holistic document encompasses general and specific guidelines and procedures aimed to
guide not only research projects and publications but also the production of teaching materials
and textbooks.
1.2 The Need for Research and Publication Guidelines (RPG)
As stated above, a systematic and well-organized document on research guidelines is lacking in

Arsi U. This has led to a state of spontaneity, irregularity, and inconsistency in all aspects of
research in the university. To reverse this unfavorable situation and to improve the research
practice of the university, it has been found a matter of urgency to introduce an operational
document that deals with stipulations and provisions that will govern and guide the research
ventures and maintain consistency, fairness, and reliability in all processes of research and
publications, including the preparation of teaching materials and textbooks. It is hoped that the
RPG document will help define methods or course of actions to select and pursue in Arsi U
research activities and that it will determine the present and future decisions in the university in
relation to research and related endeavors.
1.3Goals and Objectives of the RPG
1.3.1Goals of the RPG
The major goals of the RPG are to enhance the research visibility and recognition of Arsi U as
one of the public universities in Ethiopia and to maximize the relevance and usefulness of its
research programs and projects in building the nation.
1.3.2Objectives of the RPG
Some of the objectives of the RGP are:
 To manage and administer research-related issues properly and systematically ;

 To prioritize projects of high institutional and national significance;

 To ensure that resources are allocated and utilized for research purpose appropriately and
vis-à-vis the policy of the university;
 To ensure that initiation and reviewing of research projects and the processes of conducting
research, reporting findings, and evaluating whole research activities are conducted
appropriately;
 To identify duties and responsibilities of the university, researchers, fund providers, and
other stakeholders, and
 To ensure that research guidelines, procedures, and practicalities are clearly written and
communicated to appropriate parties
Part Two: Guidelines and Procedures for Research Projects

2.1General Guidelines
2.1.1 Arsi U’s 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;
2.1.2 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;
2.1.3 Academic staffs in respective colleges are expected to devote 25% of their time to
research. Whereas, staff of research institutes are expected to devote at least 75%
of their time to research as provided in Arsi U’s Senate Legislation;
2.1.4 Research staffs in Arsi U are expected to devote 75% Research and 25% of their
time in teaching. However, the budget and number of Research projects the

Research staffs initiate shall be different from the academic staffs, as they devote
most of their time in the Research activity.
2.1.5 Research grants are awarded to academic staff (an Ethiopian or expatriate, of the
university who is engaged in full time or part time teaching and/or research), and
academic service staff (librarians, technical assistants). Priority is given to full-
time staff members. However, the expatriate shall not be entitled for financial
management, weather he is PR or Co-researcher.
2.1.6 Anyone can be granted Research fund on the following conditions;
 If considered acceptable for funding especially in accordance with the
university mandate and thematic area
 If it is in response to invitation that is called by the university
 If there is other convincing reasons such as involving an exchange of
academic staff between the university and another higher education
2.1.7 Normally, the principal researcher (PR) for team-based projects should be a
permanent full-time College member;
2.1.8 Part-time and full-time fixed term staff members may qualify as co-investigator
upon the recommendation of their dean and department head. However, a part-
time staff who is co-investigator must have taught at Arsi U for at least two
consecutive terms and must have a track record in research;
2.1.9 Visiting or exchange staff members with research experience may qualify as
investigators, but the duration of the grant should not go beyond the term of their
appointment or hiring;
2.1.10 Retiring staff members with research experience may qualify as investigators, but
the duration of the grant should not go beyond the date of their retirement.
However, if a professor retires, he will be given a title of Prof. Emeritus and can
work as co-investigator.
2.2. Specific Guidelines
2.2.1. Initiation of Research Proposals

The following issues are worth considering while initiating research project proposals:
2.2.1.1 As appropriate, there shall be ways of informing and publicizing the initiation
of the research project;
2.2.1.2 Research proposal initiation shall be set based on the research thematic and
priority areas of the university;
2.2.1.3 A researcher who is already granted a research fund by the university and
who has not completed the research project is not entitled to initiate a research
proposal (as a PR or co-researcher) for a receipt of further grant fund.
2.2.1.4 A researcher who proposes a new project as a PR or co researcher cannot
initiate/participate in any other Research project.
2.2.1.5 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;
2.2.1.6 An application for funding more than one Research project at a time (within
the same term) will not be considered. However, if the proposals are of
particular merits to the university as well as to the country, there is a
possibility to award two projects by the same principal investigator on
conditions that funds are available and the investigator’s working conditions
allow him/her to complete the two projects within expected project duration.
Such exceptional cases should be approved the RPD and VPRCS.
2.2.1.7 There shall be Research innovative fund run by the president office. However,
this fund is very limited and highly competitive. Only innovative Research
proposals shall be funded. The total budget under this program shall be a
minimum of 500,000.00 ETB. However, based on the total Research budget
allocated for the university research activity, the budget under this program
subjected to change.
2.2.1.8 In addition to Arsi U academic staff, research proposals can also be initiated
by any academic staff from any Ethiopian university or a researcher from
research institute;

2.2.1.9 All proposals shall be initiated by at least two members from the same or
different fields of study and from the same university or from different
universities;
2.2.1.10 In the events where proposals to be funded externally are initiated, the
guidelines for preparing such proposals shall be in line with the formats of the
funding agency, if available. If not, Arsi U research guidelines and the format
for proposal writing shall be used.
2.2.1.11 In the events where Research proposals initiated to be funded externally,

there shall be 15% overhead costs for the university.
2.2.2. Submission of Research Proposals
2.2.2.1 Call for proposal will be announced on May of every year and the
deadline for the submission will be on the end of August 31 to RPD
2.2.2.2 The deadline for the submission of project proposals to RPD shall be
strictly observed. Late project proposals will be rejected;
2.2.2.3 Project initiators should fill out the Research Fund Application Form,
(Appendix 1), addressing all items and requirements of the format
accordingly;
2.2.2.4 Research proposals shall be submitted, both electronically and in hard
copy (4 copies), to respective departments and/or Colleges.
2.2.3. Evaluation and Approval of Research Proposals
Criteria for evaluating and approving project proposals are:

2.2.3.1 Research proposals must undergo a rigorous review at the level of department
and Colleges for approval or rejection before they are submitted to RPD for
further reviewing and screening. The review shall take into account, among
others, the social and economic priories as stipulated in the Research and
Thematic Areas (RTAs) document of Arsi U, research ethical issues, scientific
research conventions and standards, and financial feasibility of the project;

2.2.3.2 Academic departments and/or Colleges will arrange a Departmental/College

Proposal review day , on which all new research proposals are presented and
reviewed publicly for amendments, approval, or rejection;
2.2.3.3 The Department and/or College Research and Publications Committee
(CRPC), along with the Department Head and/or Vice Dean for Research and
Community Service (VDRCS), will participate in the review process, using
Guidelines for Research Proposal Reviewers (Appendix 2);
2.2.3.4 Project initiators whose proposals are reviewed and approved are requested to
revise their proposals by incorporating the comments of the Department
and/or College Research & community Service committee(CRCSC);
2.2.3.5 The revised and improved proposals will be further approved by the
Department Head, signed duly, and formally submitted, both in hard copy and
electronically to VDRCS. The VDRCS will endorse the proposals, signs duly,
and submits the proposals formally to the RPD.
2.2.3.6 The RPD together with other members of the Senate Standing Committee for
Research and Community Service (SSCRCS) and invited internal and/or
external researchers/experts, will participate in the critical review process at
college level, using the Guidelines for Research Proposal Reviewers
(Appendix 2);
2.2.3.7 Stake holders or beneficiaries from the Research findings will be invited on
the review of Research proposals day at Department/College level
2.2.3.8 A project shall be approved only if:
 it is relevant to Arsi U RTAs;
 it will make an impact on and contribution to education in the university
as well as the quality of life of the society;
 it will produce new knowledge or contribute to different field/areas of
specialization;
 it is part of the research thrusts of the Department or College or the
university or the country as a whole;
2.2.3.9 Priority given to research projects may be pursued subject to the following
conditions:

 The project is urgently needed for the new development program, and
 No previous similar local projects have been conducted.
2.2.3.10 For proposals that require sensitive information or cooperation from other
institutions/companies, the staff investigator will be required to show proof of
consent from the said institutions before the approval of the proposal;
2.2.3.11 If a PR or co-investigator has an ongoing (on schedule/delayed) or deferred
project, and he/she proposes a new one, approval of the new project will be
deferred until the earlier project is completed;
2.2.3.12 The SSCRCS can approve or disapprove projects and make overall
modifications, as required, including financial revisions;
2.2.3.13 The VPRCS will take the projects to the Senate of the University for
Evaluation and endorsement. The Senate can fully endorse the budget
proposal of the project or make some financial modifications or reject the
proposal entirely.
2.2.4. 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.
2.2.4.1.All research projects funded by the university shall comply with the
rules and regulations of the university and other pertinent government
laws. The rules and regulations issued by the Ministry of Finance and
Economic Development (MoFED) need to be adhered to in the
utilization of financial and other resources related to research projects.
2.2.4.2.The office of the VPRCS will be responsible for supervising the
overall processes of research financing including preparation,
approval, allocation, and utilization of research budget in the
university during the fiscal year. Accordingly, all requests for
disbursement or reimbursement from research project funds are
channeled through the office of the VPRCS. No checks may be

prepared for research-related expenses unless the corresponding

Payment Requisition Slip is signed by the VPRCS;
2.2.4.3.All proposals to be funded will be collected by the college VDRCS
and sent to RPD for subsequent review steps by the SSCRCS and
ultimate decisions by the University senate
2.2.4.4.After the budget proposal has been approved by the University Senate,
the PR will be communicated through college Dean to submit a copy
of the final draft of the proposal to the RPD. At this stage, project
contract agreement will be signed between Arsi U and the PR and Co-
Researcher using Research Fund Grant Agreement Form (Appendix
3). The PR should fill out the form, affix his/her signature, and submit
it in 4 copies to RPD;
2.2.4.5.Collaborative research and research funded outside Arsi U shall be
registered and agreement shall be signed between PRs, donor(s), and
Arsi U indicating the role of each party, benefit sharing, and
equipment ownership and patenting issues based on the guiding
principles as stated in Appendix 4;
2.2.4.6. Research funding shall be effected at least in two phases. The initial
payment will be released right after signing the contractual agreement.
The second half will be released, in the middle of the proposed project
duration, provided that the initiator has settled the initial payment, and
he/she has submitted a successful progress report to RPD, after it has
been approved by CRPC and VDRCS. Then progress report should be
made using a Progress Report Form (Appendix 5). The investigator
has to submit a written request for the release of the second-round fund
release along with statement of expenditures to the RPD.
2.2.5. Follow-up of Research Progress and Budget Utilization
2.2.5.1.In all research projects, the PR takes both the technical and financial responsibilities from
the beginning up to the end of the project.

2.2.5.2.Liquidation of previous cash advances should be supported by acceptable cash

invoices/original official receipts; its validity should be confirmed by the signature of the
PR, VDRCS and RPD affixed in the Progress Report Form;
2.2.5.3.Investigators who fail to liquidate cash advances within the proposed period are sent a
warning for them to submit all supporting documents two weeks after receipt of notice.
This requirement must be fulfilled before subsequent requests for cash advances;
2.2.5.4.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 compelling circumstances, the researcher should submit a
formal request (written application supported with necessary documents) for any of such
alteration to the RPD. The RPD will forward the case to the office of VPRCS with all
supporting documents. The final decision will be made by SSCRCS. In case the SSCRCS
approves the change, the RPD will notify the researcher in writing the approval of the
change(s);
2.2.5.5.No disbursement of funds in excess of the approved budget is allowed. However, those
with exceptional cases may file a request for additional funds to the office of VPRCS.
The RPD in consultation with the VPRCS may approve requests;
2.2.5.6.The researcher should strictly adhere to the cost breakdown indicated in the approved
project document. Deviation from this is prohibited unless permitted by RPD and the
Finance and Budget Directorate (FBD) of the university. Likewise, funds approved for
one project shall not be allocated for another project unless permitted by the VPRCS;
2.2.5.7.Payment of fees for research personnel (e.g. research assistants, data collectors, laborers,
etc ) is to be handled by the investigator;
2.2.5.8.Checks for project equipment/supplies must be submitted with a corresponding Materials
Requisition Form, signed by the RPD and VPRCS before processing.
2.2.5.9.As stated above, the PR needs to submit progress and final reports along with financial
expenditure documents related to the research project. A PR 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 RPD. within two weeks of this notification, if the PR 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;

2.2.5.10. The progress report shall be reviewed by college VDRCS, CRP and RPD
using a format designed for this purpose (Appendix 6). The RPD, CRP, and college
VDRCS shall arrange periodical 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.
2.2.5.11. The review results of the progress report shall be communicated to the PR by
the college VDRCS. The PR should accommodate the feedback of the team into the
report, get it signed by the VDRCS, and resubmit it to the CRP;
2.2.5.12. The PRs 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. After all, the PR 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;
2.2.6.Expendable and Non-expendable Research Resources
2.2.6.1.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;
2.2.6.2. Items and equipment not exceeding 1,500.00 ETB can be purchased by the PR
himself/herself; those exceeding 1,500.00 ETB at a single procurement should be
purchased by the university Procurement and Property Administration Directorate
(PPAD). The investigator 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;
2.2.6.3.Staff investigators are advised to defer projects if, due to certain difficulties, necessary
equipment has not been procured or delivered. As a general rule, projects may be
deferred for a maximum period of two terms, after which they must be implemented. If
not, they are considered as unfeasible and will be officially cancelled by the RPD;

2.2.6.4.The investigator should use resources already available in Arsi U (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.
2.2.6.5.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 Director of RPD or the VPRCS and submitted
to concerned college and/or department;
2.2.6.6.The investigator must secure a written permission from the college VDRCS before taking
an equipment or a non-expendable item out of campus for the research purpose.
2.2.6.7.All fixed assets purchased by the university research grants and all resources 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.
2.2.6.8.The equipment, books, journals, and any other fixed items and resources acquired by the
PR under his/her research project must be registered by the property administration of the
university or college and should become institutional property upon completion of the
project;
2.2.6.9.Incomes generated by the researcher(s) from research activities such as sales of research
outputs shall be the revenue of the college /department of the researcher or the university,
and they will be used entirely to enhance research. However, the researcher who is
responsible for the revenue shall receive certain amount of the revenue generated from
his Research activities on the decision of the University management.
2.2.6.10. A researcher(s), who is /are responsible to bring a project outside of the university,
shall receive 20% of the project fund as a reward. However, the amount is subjected to
change based on the donors demand and in consultation with VPRCS.
2.2.7. Hiring Research Assistant(s) and other personnel
2.2.7.1.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:

 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;
 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 services;
 Short term employment of unskilled workers who may be engaged on
daily wages for expedition, field work and the like.
2.2.7.2.Details about research assistants, data analysts, laborers, and so on must be provided
clearly in the project proposal;
2.2.7.3.Requests for research personnel may be made to College VDRCS in writing and
endorsed by the RPD;
2.2.7.4.Compensation for research-related work is subject to standard salary deductions;
2.2.7.5.An investigator with a rank of Assistant Professor and above can hire a 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;
2.2.7.6.An investigator should submit a certification attesting the number of hours of work that
were rendered by his/her research assistant(s).
2.2.9. Research Travel Cost, Allowance, and Other Payments
Modalities for the utilization of research funds for travel/fieldwork are based on the
following circumstances:

2.2.9.1.The amount allocated under the travel/fieldwork/allowance/per diem of the research

proposal is to be utilized for the implementation of the ongoing project only. This should
not be used for attending conference, seminar, workshop, or attending any training
courses;
2.2.9.2.The travel/fieldwork is to be undertaken only for data collection and collection of
other information within the general scope and sphere of the research project. No
foreign travel is permissible within this scheme;
2.2.9.3.Payment of allowance/per-diem/travel costs to researchers shall be in line with the
amount allocated under travel and fieldwork in the research grant or as agreed upon
by the funding agency and Arsi U;
2.2.9.4.Salary (where applicable), per diem, and other payments shall be based on the
financial regulation of the government for research projects funded by the treasury;
2.2.9.5.No salary is paid for researchers, whether they are members of Arsi U staff or not,
from their research grants. However, there shall be summer payment for researchers
whose projects are sponsored by a funding agency other than Arsi U when they are
engaged in research work during their summer vacation.
2.2.10. Reward, Remuneration, and Recognition
2.2.10.1.Up to 3 (three) researchers with outstanding research performance and merit will be
awarded on the annual research symposium or on another event as determined by
VPRCS and RPD; the reward will be based on relevance of research projects and the
quality of research outputs as indicated below;
2.2.10.2. The CRCSC and VDRCS shall evaluate and select up to 3 (three) outstanding
researchers at college level and submit the projects, indicating their rank order, to
the RPD for further evaluation by the SSCRCS. Three (3) best projects will be
identified and nominated by the SSCRCS for the award;
2.2.10.3. The awards shall include recognition certificate, financial reward, and other
material rewards (optional). Accordingly, the first researcher will be awarded
15,000.00 ETB, the second-ranking 12,000.00 ETB, the third 8,000.00ETB;

2.2.10.4. The researcher (s) with outstanding research merit shall also be sponsored to
attend national conferences or sponsored to participate on local research related
training;
2.2.10.5. Reviewers of research proposals, progress reports, and final reports shall be
offered incentives. The incentive modalities are detailed in Appendix 7.
2.2.10.6. Researchers whose university funded research papers are published on
internationally reputable journals will be awarded with 20,000 ETB
2.2.11. Completion and Reporting of Research Projects
2.2.11.1.All projects have date of commencement and date of termination (project life cycle),
and all PRs are required to observe the duration of their project. The researchers who
have gone beyond the research period without justifiable reason will not be entitled for
future grants for at least three (4) fiscal years. No extra funding or load extensions (if
the researcher had been allowed some reduction in teaching loads) shall be given for a
research project that has been extended without justifiable cause;
2.2.11.2.A project period extension will be allowed only if there is a convincing reason, and the
necessity of the extension is approved by SSCRP. The researcher should apply to the
College Research office one month prior to the desired extension to allow time for
considering the application and making appropriate decisions. Requests for extension of
deadlines should always be accompanied by a current status report;
2.2.11.3.The SSCRCS will also set a limit to the project extension period. However, no project
will be allowed more than one year extension period from the original deadline of
project completion. Failure to complete and submit the final report within the extension
period results in an automatic termination of the project;
2.2.11.4.If a PR should leave Arsi U due study leave or other reasons without completing the
research work, the PR should delegate a co-investigator who can act as PR until the
original PR returns or until the research project is completed;
2.2.11.5.A project is considered complete only if it complies with the following provisions and
provided that the researcher has settled all the funds used for the projects (as confirmed
by the FBD), submitted all non-expendable items or equipment either purchased by the
project fund or taken from the university (if applicable);

2.2.11.6.The report (including technical and financial information) shall be submitted to College
VDRCS for evaluation and documentation using a format prepared for this purpose
(Appendix 8).
2.2.11.7.The report shall be presented on an open defense to the college academic staff,
reviewed/evaluated by college VDRCS and CRCSC, which initially approved the
project proposal, or by relevant evaluators selected from academic staff members upon
recommendation by the Department Head/ College VDRCS;
2.2.11.8.Alternatively, the report will be evaluated by anonymous reviewers. In this case, the
identities of the investigator(s) and the evaluator(s) are kept confidential. The
investigator(s) is (are) discouraged from seeking the identity of the evaluator(s) and vice
versa. Consultations between the investigator(s) and the evaluator(s) are likewise
discouraged;
2.2.11.9.Evaluators will use an appropriate form (Appendix 9), which will be provided by the
school VDRCS or CRP or RPD. A copy of the review results of the tentatively
completed report shall be communicated to the PR by the VDRCS;
2.2.11.10. The revisions recommended by evaluators should be incorporated in the final
output, where applicable, before the project is considered completed. However, the
investigator is not required to comply with evaluator's comments that are not found to
be valid, and is allowed to explain his/her stance;
2.2.11.11. In cases where clarification(s) pertaining to the evaluation results are needed,
the PR may write his/her clarifications to the evaluator(s), through College VDRCS,
who will then forward the queries to the evaluator concerned;
2.2.11.12. The research will be submitted to a second evaluator(s) only if:
 the evaluation outcome is not substantial and not recommended for
publication;
 the evaluator(s) has (have) requested that evaluation outcomes should be
withheld;
 There are differences in the opinion between the proponent and the
evaluator.

2.2.11.13. If there is a conflict or disagreement between the first evaluator and the
investigator, the second evaluator will decide on the point of conflict or the issue(s) of
disagreement.
2.2.11.14. If a conflict arises between the first and second round evaluation, the matter
will be brought to the CRP for the final resolution of the evaluation. In some cases, the
RPD may decide on the differences in opinion between the investigator and the
evaluator(s).
2.2.11.15. The PR should accommodate all justifiable and acceptable comments given
into the report and submit three (3) hard copies and a softy copy of the report to the
VDRCS. Failure on the part of the PR to submit these documents shall result in the
denial of future grants and clearance if the researcher wants to leave the university for
scholarship, transfer, pension, and so on;
2.2.11.16. The VDRCS should submit the revised and finalized report (hard copies and
the soft copy), accompanied by a letter, to RPD or CRP and to the Central Library;
2.2.11.17. The PR funded by external sources is also obliged to present progress and
final reports following appropriate format (Appendix 5 and Appendix 8) or using a
format developed by the funding agency. These reports shall be submitted to RPD and
reviewed by the SSCRCS.
2.2.11.18. The completed and reported research projects shall be registered at the CRPO
and the outputs shall be publicized to the university community and stakeholders by
placing hard copies at university libraries and releasing them online. In addition, there
will be an annual research conference where research outputs in all departments will be
presented and reviewed. Funds for such conferences will be allocated from the
university research budget;
2.2.12. Termination of Research Projects
2.2.12.1.If the investigator fails to complete the research project (if the project is discontinued)
due to resignation or any other reason, he/she should return to the university all fixed
assets purchased or borrowed from the university, the direct expenses incurred, and all
unutilized money to run the project. An automatic deduction from the investigator’s

payment to be received from Arsi U is likewise made. This will be done in accordance
with the relevant law of the country.
2.2.12.2.Direct expenses incurred that must be paid back are:
 Personnel fees (research assistants, typist, illustrator, laboratory
technician, consultant, and others);
 Materials and supplies, chemicals, reagents, and other consumable items
which have been used by the investigator;
 Cost of unconsumed materials which cannot be turned over to the
laboratory/ department or which the laboratory/ department has no need
of/use for;
 Reproduction of materials;
 Research-related travel and transportation;
 Other fees (e.g. computerization, seminar fees and others) and unused
equipment and items should be properly turned over to the
university/College/department/ laboratory/library concerned;
2.2.12.3.Repayment for research honorarium and direct expenses for a terminated project is
made through salary deduction system;
2.2.12.4.The university RPD sends an authorization form to investigator for salary deduction.
The authorization form is then forwarded to the FBD;
2.2.12.5.In the event where the investigator is no longer connected with Arsi U, the college
VDRCS notifies the university RPD through a formal letter to terminate the project.
Part Three: Research Ethics
3.1. Guiding Principles
Ethics is very important in research and publications. Ethics should be applied at all stages of
research, such as planning, conducting, and evaluating a research project. Research ethics is a
commitment to integrate social value, transparency, and accountability in research and research-
related issues. Research ethics also involves the application of fundamental ethics and principles
to a variety of topics involving scientific research. These include the design and implementation

of research involving human experimentation, animal experimentation, and various aspects of

academics scandals, including scientific misconduct (fraud, data fabrication, and plagiarism, etc).
As part of ethical standards, the following considerations are worth taking into account:
 avoiding any risk of harming the people and the environment;
 avoiding deception on people participating in research or experiment;
 preserving privacy and confidentiality whenever possible;
 taking special precaution when involving population or animals which may not
understand fully the purpose of the study (experiment);
 avoiding fabrication, falsification, plagiarism, faulty order of authorship or other
practices that seriously deviate from the accepted scientific practices for proposing,
conducting, and reporting research.
Arsi U has to develop norms of behavior that suit its various aims and goals. Research-related
norms help academic and research communities to coordinate their actions or activities and to
establish the research staff trust and discipline. Ethical norms also serve the aims or goals of
research and apply to people who conduct scientific research or other scholarly or creative
activities. Based on these principles, Arsi U adheres to the following ethical norms in research:
 Norms that promote the aims of research such as knowledge, truth, and avoidance of
error. For example, prohibitions against fabricating, falsifying, or misrepresenting
research data promote the truth and avoid error;
 Norms that involve a great deal of cooperation and coordination among research staff in
different disciplines (fields);
 Norms that promote the values that are essential to collaborative work such as trust,
accountability, mutual respect, and fairness. For example, many ethical norms in research
such as guidelines for authorship, copyright and patenting policies, data sharing policies,
and confidentiality rules in peer review are designed to protect intellectual property
interests while encouraging collaboration. Most researchers want to receive credit for
their contributions and do not want to have their ideas stolen or disclosed prematurely;
 Norms that help to ensure that researchers can be held accountable to the public. For
instance, federal policies on research misconduct, conflicts of interest, the human subject

protections, and animal care and use are necessary in order to make sure that researchers
who are funded by public money can be held accountable to the public;
 Norms that help to build public support for research. People are more likely to fund a
research project if they can trust the quality and integrity of research.
3.2. Basic Ethical Values in the conduct of Research
Arsi University maintains the highest standards of integrity in its research activity. Ethical
standards are of paramount importance in the university research policy and strategy. The
following are the general principles;
3.2.1. Honesty
All Researchers in the University must refrain from plagiarism, deception,

fabrication or falsification of research results.
A researcher has to strive for honesty in all scientific communications. It is the duty
of a researcher (an author), expert-reviewer, and a member of journal editorial
board to report data, results, methods and procedures, and publication status
honestly. The peer-review process has to contribute to the quality control, and it is
an essential step to ascertain the standard and originality of the research. The
researcher has to keep his/her promises and agreements and act with sincerity as an
integral part of codes of research ethics.
3.2.2. Openness
Whilst recognizing the need for researchers to protect their own research interest in
the process of planning research work and obtaining research results, the university
encourages researchers to open. Commitment to be openness in research prohibits
secrecy, including limitations on publishing of the results. Unless pre-specified
conditions like; violations of agreement that specify restricted/circulations of
outputs, data that might evoke individual and communal values, if the results
threaten national security.
3.2.3. Respect for Intellectual Property

This means honoring patents, copyrights, and other forms of intellectual property. It
is prohibited to use unpublished data, methods, or results without permission or
through plagiarism.
3.2.4. Confidentiality
Protecting confidential communications such as papers or grants submitted for

publication, personnel records, trade or military secrets, and patient records shall be
the most important code and policy of Arsi U.
3.2.5. Responsible Publication

Publish in order to advance research and scholarship, not to advance just your own
career. Avoid wasteful and duplicative publication.
3.2.6. Non-Discrimination
Avoid discrimination against colleagues or students on the basis of sex, race,
ethnicity, or other factors that are not related to their scientific competence and
integrity.
3.2.7. Legality
Know and obey relevant laws and institutional and governmental policies.
3.2.8. Animal Care

Show proper respect and care for animals when using them in research. Do not
conduct unnecessary or poorly designed animal experiments.
3.2.9. Human Subjects Protection
Minimize harms and risks and maximize benefits when conducting research on
human beings, respecting their dignity, privacy, and autonomy. As the components
of ethically valid information:

 potential participant must be informed as fully as possible of the nature and

purpose of the research, the procedures to be used, expected benefits,
foreseeable risks, stresses, and discomforts, and alternatives to participating in
the research;
 Statements that describe procedures in place to ensure the confidentiality or
anonymity of the participant should be clearly made. The informed consent
document must also disclose what compensation and medical treatment are
available in the case of a research-related injury. The document should make
it clear whom to contact with questions about the research study, research
participants' rights, and in case of injury;
 the participant (target group) must understand what has been explained and
must be given the opportunity to ask questions and have them answered;
 the participant (target group) must be a volunteer and free of any promises in
order to be a potential participant in research, and
 the participant must be competent to give a consent. If the participant is not
competent due to mental status, disease, or emergency, the action is
considered as violating a research ethical code.
3.3.Retention of Data
Original data of published material should be kept, preferably indefinitely, but for at least 6 (six)
years. Each academic staff should be responsible for deciding an appropriate policy for the
storage of research data. Any policy must take into account the need to comply with ethics,
approvals, and contracts in any particular work of research. Individual research workers should
be entitled to have copies of the data. While such action does not itself prevent the falsification
of primary data, it is vital if there are questions asked subsequent to publication. If data are not
available, genuine errors may be mistaken for misconduct to the detriment of individual research
workers and the university. Long-term retention of original data that consists of personal
information needs to be justified to avoid a breach of privacy.

3.4. Expectations for Research and Publications
3.4.1. It is neither desirable nor practical for the university to supervise the creation of books,
papers or articles. The very nature of the university makes this a matter of responsibility
for each person to whom these policies apply;
3.4.2. All persons to whom these policies apply must be very careful in using material from
other authors and ensure that it is properly acknowledged. The deliberate copying of
other people’s work and the presentation of it as one’s own constitutes plagiarism, which
is unacceptable to the university. Those who use material which is not produced by them
have a responsibility to make its status and origins quite clear to those to whom it is
presented. It is a fundamental principle of academic practice that individuals can claim
credit for and make use of only materials, or part of materials, to which they have
legitimate claim. Further, these policies do not distinguish between plagiarism for
purposes external and internal to the university;
3.4.3. In addition to the above obligations, an academic staff also has responsibilities to provide
guidance to, and oversight of, students in these matters when requesting a student to write
a draft material for publication. In such a case, the academic staff member must clarify
for the student at the outset the terms of the student’s role, including matters relating to
acknowledgement and authorship. It is the responsibility of the academic staff member to
ensure as far as practicable that the student does not have any misunderstandings and
mistaken expectations as to acknowledgement or authorship;
3.4.4. The principles governing attribution of authorship apply independently of whether an
author is paid for the time. Typically, the criterion for acknowledgement of authorship of
any scholarly publication is significance of the contribution to the final publication;
3.4.5. It is important that all authors listed on the publication should have contributed in a
significant way to the work. The principal author is responsible for the entire publication
and should ensure that other authors accept, in writing, responsibility either for the entire
paper or, where the contribution is distinguishable, for that part of it which they have
authored. When collaboration between institutions is involved in a publication, each
institution should be aware that all authors have accepted appropriate responsibility;

3.4.6. Where an author submits similar papers, articles or abstracts to several journals, he or she
must properly declare this to the publishers concerned.
3.5.Disclosure of Potential Conflict of Interest
Disclosure of any potential conflict of interest is essential for the responsible conduct of
research. All members of the university who may be involved in the decision making processes
of the university (including staff) must be familiar with and comply with the university’s
disclosure of Interest Policy in the conduct of any research.
3.6.Use of University Resources
3.6.1. The use of university resources for the understanding of research must be approved in
accordance with the policies on funding for research of the university;
3.6.2. In particular, a person to whom this policy applies may not engage another person to
undertake research and remunerate them out of university funds unless specific approval
has been given for that remuneration by the university or unless he or she is entitled to do
so, for example by virtue of scholarship. A person to whom this policy applies and who
does not comply with this requirement and who has an interest in the research being
undertaken may be in breach of the Disclosure of Interest Policy of the university.
3.7.Research Misconduct (policy on allegations, investigations & reporting)
Each member of the university has a responsibility to foster an environment which promotes
intellectual honesty and integrity, and which does not tolerate misconduct in any aspect of
research or scholarly endeavor. Research misconduct is extremely troublesome, in spite of its
infrequency, because when it occurs, it is highly destructive of the standards the university
attempts to instill in our students, the esteem in which academic science in general is held by the
public, and the financial support of the government and other sponsors for academic research.
Below are some specific ethical concerns in research:
3.7.1. Plagiarism : Authors who present the words, data, or ideas of others with the implication
that they are their own, without attribution in a form appropriate for the medium of

presentation, are committing theft of intellectual property and may be guilty of plagiarism
and, thus, of research misconduct;
3.7.2. Misuse of Privileged Information: serious form of plagiarism that could preempt
priority of first publication or use of the original idea to which the source author is
entitled;
3.7.3. Integrity of Data: Fabrication and falsification of research results are serious forms of
misconduct. A researcher must not report anticipated research results that had not yet
been observed at the time of submission of the report;
3.7.4. Use and Misuse of Data: Any intentional or reckless disregard for the truth in reporting
observations may be considered to be an act of research misconduct;
3.7.5. Ownership of and Access to Data:
3.7.5.1.Research data obtained in studies performed at Arsi U and/or by employees of the
university are not the property of the researcher who generated or observed them or even
of the principal investigator of the research group. They belong to the university, which
can be held accountable for the integrity of the data even if the researchers have left the
university.
3.7.5.2.A principal investigator who leaves the university is entitled to make a copy of data to
take to another institution so as to be able to continue the research or, in some cases, to
take the original data, with a written agreement to make them available to the university
on request within a stated time period.
3.7.6. Responsibilities of a Research Investigator: A principal investigator who leads a
research group has leadership and supervisory responsibilities with respect to the research
performed by members of the group;
3.7.7. Responsibilities to Funding Agencies:
3.7.7.1.An investigator should be aware that the same standards of accuracy and integrity pertain
to grant applications and proposals as to manuscripts submitted for publication;
3.7.7.2.An investigator must submit progress and final research reports to the sponsor at times
specified in the award;
3.7.7.3.Investigators, who enter into agreements with commercial sponsors of research, as
negotiated by RPD, should familiarize themselves with the special terms of such

agreements, such as those, for example, concerning reporting of results, disclosure of

inventions, and confidentiality.
3.7.8. Special Obligations in Human Subject Research:

3.7.8.1.Research protocols involving human subjects must be approved and certified in advance;
3.7.8.2.The confidentiality of information relating to each subject must be respected and
maintained. It is not permissible to collect for research purposes private information that
may be linked (e.g., by names, initials, or other personal identifiers) to individual subjects
without prior written consent of the subjects as approved by the university;
3.7.9. Laboratory Animals in Research: Investigators who use laboratory animals are obliged
to follow humane procedures so as to minimize animal pain, suffering, and distress and to
use no more animals than absolutely necessary.
Part Four: Publishing Research Articles

Publishing research results is an integral part of a researchers’ professional life. It is also a way
of disseminating research findings to the scholarly community and relevant audience. Indeed,
publishing research results is an integral part of both the research process and the career in
academia. The process leading to publication is equally important as the content, style, and
organization of the published paper. Setting guidelines and procedures in this regard is necessary
in order to promote valid and successful research-oriented publications in Arsi U.
4.1.Publishing in the Arsi University Journal
An investigator who has completed his/her research project is encouraged to publish his/her
work in a local and/or international journal. The Arsi University Journal (Journal XX), which is a
blind reviewed journal published twice a year by Arsi University is the first option to publish
outputs resulting from Arsi U funded projects. The journal publishes Research Articles
pertaining to various subject paradigms within Arsi U, Review Articles pertaining to science,
technology innovations, social and economic development, and a wide range of relevant issues,
and Short Communications.

4.1.1 Arsi U journal shall have an Editor-in-Chief, Associate Editors, and an International
Advisory Board. The Editor-in-Chief will be the XXXXXX. Associate Editors will
consist of Arsi U senior academic staff members with the rank of Assistant
Professor and above. Associate Editors will be recruited from all Arsi U colleges
upon recommendation by the SSCRCS and based on the consent of the proposed
individual. The International Advisory Board will be made of prominent researchers
and professionals from national and international universities, research institutions,
and centers. Members of the Board will be recruited based on recommendation by
SSCRCS and the consent of the professionals concerned.
4.1.2 Researchers are invited to submit their manuscript to CRPO/editor in chief based on
the guidelines for article submission
4.1.3 The manuscript will be considered by the Editor and/or Associate Editors and 2-3
anonymous reviewers. The reviewers should be professionals in the area of interest
and those who have a rank of Assistant Professor and above (including members of
the Editorial Board). If the manuscript is submitted to an online system, the author
will receive an acknowledgement and a reference number. The author is advised to
use this reference number if he/she needs to follow up on the manuscript;
4.1.4 After submission of the manuscript to editor in chief/CRP, there are four possible
outcomes:
 Desk reject – that is, the manuscript will not be sent out for review. This will be
decided by the Editor and Associate Editors. Reasons for a desk rejection may
include: deviations from the Arsi U journal guidelines, difficulty in finding
appropriate reviewers, obviously speculative paper, inadequate literature base,
weak methodology, and weak contribution of the research to knowledge, poor
organization and format for the manuscript, poor writing and reporting skills, and
other reasons as identified by the Editor and Associate Editors. The author will be
notified of the result immediately. The author shall conform to the result whether
or not he/she accepts it and will not over-react;
 Conditional accept with major revisions – due to several factors and depending
on the level of revisions, the manuscript may need to be resubmitted as a new
manuscript. The authors are strongly advised to stick to this condition. The

resubmitted manuscript shall be resent to the reviewers for confirmation and for
their final judgment. Authors who fail to comply with this condition will
automatically find their manuscript rejected;
 Conditional accept with minor revisions – these papers generally do get accepted,
provided the minor revisions are adhered to. The authors are strongly advised to
stick to this condition.
 Accept without change – this outcome is extremely rare and it may not be
encouraged in Arsi U journal.
4.1.5 Authors would be required to sign a Manuscript Submission Form. once their
manuscript is accepted. The accepted manuscript would be sent to the
corresponding author's e-mail.
4.1.6 Publications must give appropriate credit to all authors for their roles in the
research. If more than one researcher are involved in the research, the decision of
which name(s) is(are) to be listed as co-author(s) and in what order should reflect
the relative contributions of various participants in the research;
4.1.7 Publications should be timely but should not be hastened unduly if premature
publication involves a risk of not subjecting all results to adequate internal
confirmation or of not considering adequately all possible interpretations;
4.1.8 Researchers should not publish in Arsi U journal the same article published in
another journal.
4.1.9 Authors should not divide a research paper that is a self-contained integral whole
into a number of smaller papers merely for the sake of expanding the number of
items in the author's bibliography;
4.1.10 It is unethical to release to the media scientific information contained in an accepted
manuscript prior to its publication in Arsi U journal;
4.1.11 Manuscript reviewers shall agree to abide by the guidelines for manuscript
evaluation . In particular, the reviewers shall not refuse auditing a manuscript for
the second round to check whether the comments have been included as per the
initial comment by the reviewer. It is unprofessional for the reviewer to resend the
same comments given during the fist-round review without actually reviewing the
manuscript. Such reviewers will be denied chances of reviewing any article for

publication in in Arsi U journal, and they will not be entitled to publish in the
journal;
4.1.12 The reviewer shall be paid a professional fee of 2,000.00 ETB per a manuscript.
The payment is effected upon presenting the two reports as stated above.
4.2. Publication of University-funded Research Projects in other journals
4.1.13 Researchers whose projects have been funded by Arsi U and who have completed
their research project are also encouraged to publish their work in other journals
than Arsi U journal;
4.1.14 Proper acknowledgement of the grant should be made in any publication of the
report;
4.1.15 All intellectual properties of Arsi U funded projects shall be governed by VPRCS;
4.1.16 It is an ethical obligation for an investigator at the university to make research
findings accessible, in a manner consistent with the relevant standards of
publication;
4.1.17 Costs of publication on journals other than Arsi U journal should be refunded to the
author by the university to encourage researchers. However, the maximum amount
to be covered by Arsi U shall not exceed 200$.
4.1.18 Arsi University will not pay for any of predator journals presented by researchers
for publication. Reputable journals are advised for the researchers to publish their
research works.
Part Five: Preparation of Teaching Materials and Textbooks

Teaching materials and textbooks which are relevant to the objective realities of the university
and the country should be prepared by the university academic staff. Enhancement and
maintenance of the quality of teaching materials and textbooks based on research necessitates
issuance of rules and regulations on the preparation of teaching materials and textbooks for Arsi
U.

5.1.Rules, Regulations, and Procedures for Teaching Material Preparation
5.1.1. Determination of Priority Areas
5.1.1.1 Each responsibility centre shall, on the basis of urgency of teaching materials
for courses that do not have any teaching material and for courses whose
teaching materials must be updated and/or upgraded, decide the areas of
priority that must be followed in the preparation and/or updating of teaching
materials;
5.1.1.2 In deciding the areas of priority that must be covered in the preparation and
updating of teaching materials necessitated by objective realities, a
responsibility center must take into consideration:
a) the need for a teaching material made relevant and oriented to the
particular prevailing objective realities of Arsi U that necessitate their
preparation;
b) the teaching material that is based on the quality expected from the
university, considering both the availability of necessary data and the
academic caliber of the would-be author or authors.
5.1.1.3 Preparation of a teaching material should be initiated only through knowledge
and recognition of the responsibility center.
5.1.2. Manuscript Already Produced
Any manuscript (lecture notes, laboratory manuals, etc) already prepared and found to meet the
criteria established for teaching materials in accordance with these regulations shall be
equivalent to a teaching material approved under these regulations.
5.1.3.Criteria for Preparing a Teaching Material
An academic staff member should fulfill the following criteria to prepare a teaching material:
5.1.1.4 Teaching the course for a minimum of 2 years, and
5.1.1.5 Having an academic rank of a lecturer and above.

5.1.4. Working Conditions of an Author Preparing Teaching Materials
An academic staff member preparing an approved teaching material shall be entitled to receive
funds, time, and any other facilities necessary for the preparation of teaching materials from the
appropriate responsibility center and/or from other funding sources.
5.1.4.1.Time for Completion of the Work
5.1.1.6 The responsibility center that will be the beneficiary of the teaching material
shall fix the period of time necessary for the preparation, taking in
consideration:
 the time that can be saved by the amount of work already invested in the
classroom material already prepared by the author, and
 The availability of facilities needed by the author to produce the teaching
material.
5.1.1.7 Any academic staff member approved as an author of a teaching material shall
complete the work within the period fixed for the work by the responsibility
center.
5.1.4.2.Criteria for a Manuscript to be Acceptable as a Teaching Material
To qualify as a teaching material a manuscript must:

a) have a sufficient coverage of, at least, the core contents of the course for which
it is prepared;
b) have a practical approach to the subject dealt with;
c) be prepared in as simple and comprehensive manner as possible, taking into
consideration the level of understanding of its primary audience, the students;
d) comply with the rules, procedures, and ethics of academic research;
e) include all tabulations, graphs, illustrations, exercises and answer keys, where
necessary, for respective subjects;
f) Meet all other standards as to accuracy of facts and new technologies.

5.1.4.3.Evaluation of a Manuscript as a Teaching Material by a Responsibility Center

5.1.1.8 Each responsibility centers shall determine the quality of any manuscript which
it finds qualifies as a teaching material in accordance with the criteria set out as
follows:
5.1.1.9 Teaching materials should be excellent. A fixed standard should be set by the
responsibility centre based on predetermined criteria. Accordingly, the quality
of the material should be judged, rated against the criteria, and the scores
should be calculated out of 100%. A minimum score of 90% can be considered
‘excellent’, and the material below this score should be subject to revision;
5.1.1.10 In determining the quality for a manuscript to qualify as a teaching
material, consideration shall be given to:
a) level and depth of coverage of the course in accordance with the approved
description and outline of the course;
b) the extent of originality of information contained;
c) the extent of exercises, questions, and the like included in the manuscript;
d) appropriateness, clarity, and accuracy of the language used; and
e) Appropriateness of the format and layout of the manuscript.
5.1.4.4.Procedures for Making Decisions
5.1.1.11 A permanent or an ad-hoc committee shall be formed by the responsibility

center to discharge its duty and to render the decision expected of it,
5.1.1.12 The responsibility center can assign one or more (not more than three)
internal evaluators in the same specific field to be dealt with. Moreover, the
committee, in consultation with the responsible center, shall assign an
anonymous specialist (as much as possible) in the same field outside the
responsibility center within or outside Arsi U;
5.1.1.13 The qualification of the evaluators shall be equivalent or above the
qualification of the author;
5.1.1.14 Where the committee is of the opinion that the manuscript qualified by a
responsibility center as excellent is overrated or undervalued, it must, before
giving its decision, have the qualifications of the manuscript assessed by

anonymous specialists, as much as possible, in the field outside the

responsibility center concerned. The committee may, in such circumstances,
reverse the findings of the responsibility center only where the committee’s
opinion is seconded by such specialists, and only to that extent.
5.1.4.5.Obligations of the Evaluator
5.1.1.15 The evaluator assigned to evaluate the manuscript is obliged to review the
points critically with regard to points mentioned above.
5.1.1.16 The evaluator is further obliged to review and submit the manuscript within a
period of 8 weeks after receiving the manuscript.
5.1.5.Organs Vested with Final Authority on the Approval of an Author and the Manuscript as
Teaching Material
5.1.1.17 The responsible center shall have the final authority to decide on the
competence of an academic staff member so as to be approved as an author to
produce a teaching material in accordance with points mentioned above.
5.1.1.18 The SSCRP, through RPD and CRP, has the final authority to accept or reject
the teaching material produced.
5.1.6.Effects of Non-compliance
5.1.1.19 Any decision of the committee rendered without strict compliance with the
provision of the preceding article shall be appealed to the college dean by the
concerned responsibility center, and
5.1.1.20 The dean shall, where he/she is of the opinion that the decision was not given
in strict compliance with the provision of the preceding article, returns the case
to the committee with instructions that it should render its decision in
compliance with the provisions of the preceding article violated.

5.1.7.Author’s Honorarium and other Benefits
5.1.1.21 An author of a manuscript found acceptable as a teaching material shall

receive an honorarium of 10,000.00-20,000.00 ETB based on the credit hours
of the course (i.e., 10,000.00, 12,000.00, 15,000.00 and 20,000.00 for 1, 2, 3 &
4 credit hours respectively);
5.1.1.22 An author of a manuscript found acceptable as a teaching material shall also
be entitled to benefits as stipulated in Arsi U’s Senate Legislation;
5.1.1.23 All expenses required for producing a manuscript for a teaching material shall
be initially proposed by the author, approved by the responsibility center and
borne by the university. No extra expense claimed to have been incurred by the
author shall be borne by the university.
5.1.8.Evaluation and Edition
5.1.1.24 For 1 and 2 credit hour course teaching material:

 An internal subject matter evaluator shall receive 5000.00 ETB;
 An external subject matter evaluator shall receive 5000.00 ETB;
 Language editor from AU shall receive 5000.00 ETB
 A member of the ad-hoc committee will be paid ETB 1000.00.
5.1.1.25 For 3 and 4 credit hour course teaching material

5.1.9. Income Tax and Expenses
5.1.1.26 An income tax should be levied on the author’s honorarium entitled for his/her
manuscript that qualifies as a teaching material. It shall be paid by the
university/college;

5.1.1.27 Any expenses that might incur to produce a manuscript that qualifies as a
teaching material shall be borne by the university/respective college;
5.1.1.28 The income tax will be 2% for external evaluators who have a TIN (taxpayer
identification number)
5.1.10. Upgrading a Teaching Material to a Textbook
Any author who has produced any manuscript that qualifies as a teaching material
shall be encouraged to upgrade, without any prejudice, the quality of his/her
teaching material to a textbook within a period of three years, starting from the time
of its acceptance as a teaching material.
5.1.11.Ownership of Teaching Materials
5.1.1.29 Ownership of any teaching material for which the author has been
remunerated in accordance with 5.2.12 and 5.2.14 herein above shall be vested
in the university;
5.1.1.30 The copy right and/or ownership right should be addressed based on the
Ethiopian copyright rules;
5.1.1.31 The manuscript that qualifies as a teaching material can be sold to students
and other users at reasonable price. The price of the teaching material shall be
decided by the responsible center;
5.1.1.32 As the owner of such teaching materials, the College shall encourage the
author to upgrade the teaching material and the right to transfer the duty to
another academic staff member in case the author fails to discharge his/her
responsibility, as provided in 5.2.15 herein above.
5.1.12. Obligation of the University

The university shall have, at its expense and as soon as circumstances permit, the
teaching material available in as many copies as are needed in a medium
appropriate for the purpose for which the teaching material is intended.

5.2.Rules, Regulations, and Procedures for Textbook Preparation
Without prejudice to the provision of the following articles, the preceding rules and procedures
governing the production of teaching materials shall be applied to the production of textbooks.
5.2.1.Criteria for Selecting Textbook Writer
To be qualified as an author of a textbook, an academic staff member must have

 taught the course for a minimum of three years;
 Demonstrated his/her competence in research, for example, by producing at least
two articles published in a reputable journal in the same field.
5.2.2. Working Conditions for an Author
5.1.1.33 An academic staff member accepted by a responsibility center to prepare a

textbook shall be entitled to:
a) a reduction of three credit hours per week from her/his teaching load for the
period of one up to two academic years;
b) a fund and provision of facilities by the college to cover the expenses for
the preparation of the textbook.
5.1.1.34 The author shall conclude a binding contract to this effect with the
relevant college authorities.
5.2.3. Criteria for Qualifying a Manuscript as a Textbook
To qualify as a textbook, in addition to the criteria that qualify a manuscript as a

teaching material as provided in 5.2.6 herein above, a manuscript must meet the
standards of originality as specified in 5.2.1 and 5.2.7 herein above.
5.2.4. Need for Expert Assessment
A manuscript recommended as a textbook by any responsibility center shall be

assessed by one anonymous, as much as possible, internal expert and one
anonymous external expert in the field, outside the responsibility center. The
academic qualification of these evaluators shall be equivalent or above the

qualification of the author. A manuscript, to be published as a textbook, must be

deemed acceptable by such experts, and corrections or additions recommended by
them must be incorporated in the textbook. The SSCRP, through RPD and CRP and
in consultation with the concerned departments, shall make the final decision.
5.2.5.Textbook Author’s Honorarium and other Benefits
5.2.5.1.An author of a manuscript found acceptable as a teaching material shall receive an

honorarium of 20,000.00-30,000.00 ETB based on the credit hours of the course (i.e.,
20,000.00, 22,000.00, 25,000.00, and 30,000.00 for 1, 2, 3 & 4 credit hours
respectively);
5.2.5.2.An author of a manuscript found acceptable as a textbook shall also be entitled to benefits
as stipulated in AU’s Senate Legislation;
5.2.5.3.All expenses required for producing a manuscript for a textbook shall be initially
proposed by the author, approved by the responsibility center and borne by the university.
No extra expense claimed to have been incurred by the author shall be borne by the
university.
5.2.6.Evaluators’/Editors’ Fee
5.2.6.1.For 1 and 2 credit hour course teaching material:

5.2.6.2. For 3 and 4 credit hour course teaching material

 An internal subject matter evaluator shall receive 10,000.00 ETB;
 An external subject matter evaluator shall receive 10,000.00 ETB;
 Language editor from AU shall receive 10,000.00 ETB, and

5.2.7.Obligations of Textbook Authors
Any author who has produced any manuscript that qualifies as a textbook shall be
encouraged to update his/her work. As the owner of such work, the college shall
encourage the author to update the textbook and the right to transfer the
responsibility to another academic staff member, in case the author of the textbook
fails to discharge his/her responsibility.
5.2.8. Obligations of Evaluators/Editors
5.2.8.1.The evaluator assigned to evaluate the textbook is obliged to review the

manuscripts critically with regard to points mentioned under 5.2.6
herein above (as provided in Teaching Material production);
5.2.8.2.The evaluator is further obliged to review and submit the textbook with
in a period of 16 weeks after receiving the manuscript.
5.2.9.Copyright
5.2.9.1.The consultant or researcher may seek the proprietor’s permission to publish the
research results and to use the scientific data obtained. However, in any published
material the names of both the consultant or researcher and the college or institute
shall appear with the proper acknowledgement to the proprietor. All intellectual
rights shall belong to the proprietor unless specified otherwise in agreement
between the two contracting parties in accordance with the country’s laws on
intellectual property rights.
5.2.10. Effective Date
These regulations shall come into force upon their approval by Arsi U Senate.

Appendices
Appendix 1: Research Fund Application Form
To be completed by the principal researcher/s
I. TITLE OF THE RESEARCH PROJECT V. DURATION OF THE PROJECT
COMMENCEMENT TERMINATION
DATE DATE
II. NAME OF THE PRINCIPAL INVESTIGATOR
VI. PRPOSED FUND IN BIRR:
III. PRESENT POSITION:

VII. PURPOSES OF APPLICATION:
IV. College and DEPARTMENT:
ADDRESS: NEW RESEARCH:
Mobile: APPLICATION OF RESEARCH
E-mail:
RESULTS
Fax:
P.O.Box:
FOR OFFICE USE
Department
PROJECT CODE NO:
Date Received: Signature:
Remark:
College: CRP:
Date Received: Date Received:
Signature: Signature:
Remark: Remark:
1. Title of the Project:1
2. Short Summary of the Project:2

________________
1 The title of the project should be short and simple and clearly describe the basic objectives of the proposed project.
2Maximum 400 words and sufficiently informative to the reader. It should contain problem statement of the project, objectives
and a brief description of how these will be accomplished with expected results.
3. Research Work to date (if any): 3
4. Proposed Research Project
4.1. Background and Justification:4

___________________
3 List all your major publications, especially those related to your proposed research project and participation in workshops,
seminars, conferences, etc.
4 Describe basic assumptions/concerns that led you to carry out this research and the gaps that the proposed research is
intended o fill Also, include information on the likely contribution to knowledge or practice that the research will make.
4.2. Objectives: 5
4.3. Methodology: 6

_________________
5 State the specific (short-term) objectives of the project and how they relate to the general (long-term) objectives and the
questions that the project will attempt to answer.
6 It should describe the methods to be used with sampling methods, research design, experimental procedures, data collection and
analysis.
5. Significance & Beneficiaries:7
6. Expected Output:8
Research and Publication

7. Expected Output:Guidelines
8 Page 48
________________________
7 List the significance of the project and the beneficiaries.
8 Indicate expected outputs from the project
7. Time Schedule or Research work plan:9
8. References:10

_______________
9. Financial (Budget) Requirements of the Proposed Research Project: 11
Items Unit cost Amount in Birr

Personal:
Research assessment
Surveying
Data entry & analysis
Local travel:
Vehicle & related
Fuel
Repair
Field subsistence:
Per diem interviewer
“ “ researcher
Services:
Laboratory
Computer & data
production
Secretary
Photocopy, Print &
Binding
Equipment & materials from:

1. AU
2. Outside AU
Consumable:
Stationery
Materials
CD, Paper, pen, pencil
Communication:
Fax:
Tel:
Postage:
TOTAL AMOUNT
9 Use chart or table (activities and duration)

__________________________
11 The budget and items must be relevant to the proposed project and should be justified. It can be modified depending on the project.
10. Any Other Funding 12
11. Assurance of the researcher/s

The Undersigned researcher/s agrees to accept responsibility for
1. Scientific and the technical conduct of this research project,
2. The handover of fixed items purchased for the project during/after completing the project
to the respective dept./college,
3. Settling the budget used,
4. The provision of the required progress report, and
5. The presentation of the final report as required.
NAME OF THE INVESTIGATOR (S) SIGNATURE DATE
________________________________ ___________________ _______________
________________________________ ___________________ _______________
________________________________ ___________________ _______________
________________________________ ___________________ _______________
APPROVAL
HEAD OF THE DEPARTMENT SIGNATURE DATE
________________________________ ___________________ _______________
Vice dean for Research and CS SIGNATURE DATE
________________________________ ___________________ _______________
DEAN OF THE College SIGNATURE DATE
__________________

12List any other funds that you/ your department/college have obtained or applied for in the area of the proposed research
project with funding organisation, amounts, date of approval, and funding period.
Approval: For CRP Office Use
Amount of Approved Budget:

____________________________________________________________________________________
____________________________________________________________________________________
Period of Allocation: ___________________________
For Research Standing Committee:
NAME SIGNATURE DATE
________________________________ ___________________ _______________
CRP
NAME SIGNATURE DATE
________________________________ ___________________ _______________
RPD
NAME SIGNATURE DATE
________________________________ ___________________ _______________
VPRCS
NAME SIGNATURE DATE
________________________________ ___________________ _______________

Appendix 2: Guidelines for Research Proposal Reviewers

I. Content (Scientific soundness, methodology….etc)
Title
 Is the title appropriate to AU’s RTAs? _____________________________
 Is it clearly stated? _____________________________________________
 Does it reflect the content of the proposal adequately? ____________________________
Literature Review
 Is there adequate information to demonstrate the feasibility of the project? ____________
________________________________________________________________________
 Has the researcher demonstrated awareness of the previous and alternate approaches to
the problem identified in the proposal? ________________________________________
________________________________________________________________________
Objectives
 Are the objectives relevant & clear, researchable or achievable? ____________________
________________________________________________________________________
 Do they synchronize with the title of the proposal? ______________________________
________________________________________________________________________
Research Design and Methodology
 Is the research design strategy or methodology in accordance with acceptable scientific
protocols to meet the objectives? _____________________________________________
________________________________________________________________________
 Is the methodology fully described, suitable and feasible? ________________________
Dissemination of Information/Results
 Does the proposal show an effective methodology for dissemination of findings to the
end users? _______________________________________________________________
II. Relevance
Focus

 Is the research project proposal demand-driven?

________________________________________________________________________
 Is it unique or original?
________________________________________________________________________
 Does it aim at a fuller exploitation of available technologies and how (e.g. How to
enhance productivity from existing released technologies etc.)? ____________________
________________________________________________________________________
 Is the research testing a sound scientific hypothesis, developing a new technology,
seeking to improve or document a new technique, technology, or policy?
Contribution
 Does the project have clear and realistic benefits and beneficiaries?
________________________________________________________________________
Outcomes
 Will the anticipated outcomes have a significant impact in AU and in the country?
________________________________________________________________________
 Is the impact measurable?
________________________________________________________________________
 What is the probability of the success of the project? ____________________________
________________________________________________________________________
III. Budget request
 Is the budget request appropriate, relevant and realistic for the need of the research
project?
________________________________________________________________________
________________________________________________________________________
 Is it cost effective?
________________________________________________________________________
 Is the benefit anticipated from the project related to the cost of the research?
________________________________________________________________________
________________________________________________________________________
Reviewer’s Recommendations
For each proposal, the reviewer should summarize the recommendation in terms of the final
action that the decision-making body should consider. The final recommendations should be in
one of the following categories as indicated in the proposal rating sheet:
 Recommended for funding

 Recommended for funding after minor corrections/revisions have been made

 Proposal recommended for revision and resubmission
 Not recommended
IV. Proposals Rating Sheet
Title: ____________________________________________________
Qualitative evaluation Quantitative evaluation
A.1 Tick(x) the most appropriate rating in A. Write the appropriate score (final score in
the space provided the
A. scale
Writeofthe
100appropriate
points) score( final score in the scale of 100
I. Content (Scientific soundness, I. content ( Scientific soundness
methodology, flow…etc) methodology, flow …etc)
__________highly appropriate
__________Reasonably Appropriate 0-35 points ___________Score
__________Inappropriate
II. Relevance
________Highly relevant II Relevance
________reasonably relevant 0-35 points ___________Score
________irrelevant
III. Budget and resource request
________highly realistic III. Budget and resource request
________reasonably realistic 0-15 __________Score
________Unrealistic
IV. Overall: achievability and practicability IV. Overall: achievability and practicability
of the proposed research project of the proposed research project
__________ Very high
___________High 0-15 Score_______________
___________ Low
Total Score : __________/100
Summary recommendation
a) Recommended _________________________________________ ______ %

b) Recommended but minor corrections/ revisions to be made______ ______ %
c) Revise and submit ______________________________ ______ %
d) Not recommended ______________________________ ______ %
Reviewer’s Name __________________________Signature ____________Date ____________

Appendix 3: Research Fund Grant Agreement Form
Arsi University
Research and Publication Directorate
Research Fund Grant Agreement Form
Agreement dated __________between Arsi University (hereinafter referred to as “Arsi U”,

Address: P. O. Box 193, Asella, Ethiopia, Telephone +251-22-331-3429, Fax +251-22-331-
3430) on the one part and the principal researcher (name of applicant)
_______________________ (hereinafter referred to as “PR” Address: Arsi U , P.O. Box ____
and telephone___________________).
Whereas:
a) The PR has requested a research grant from Arsi U for the purpose of financing the
project entitled: “_____________________________________________________”
b) The grant is to be administered by Arsi U, and Arsi U has agreed to allocate Birr
_________ ) to the PR upon the terms and
conditions hereinafter set forth
Now, therefore, the parties hereby agree as follows:
Article 1
Undertaking by the Principal Researcher
The PR shall:
Section 1.1: undertake the project in accordance with the terms and conditions set forth in this
Agreement.
Section 1.2: undertake the project immediately after the release of the initial research grant.
Section 1.3: substitute the co-researcher(s) indicated in the proposal in case he/she fails to carry
Out the project for any reason.
Section 1.4: submit progress and completion reports as per Article 6 of this agreement.

Article 2
Amount of Grant
Section 2.1: Arsi U agrees to allocate a sum of Birr_______ (_________________________ )

to the PR for the period of _______months or_______year(s) commencing as of this day of
____________.
Section 2.2: The fund shall be administered through the Arsi U rules and regulations.
Article 3
Accountability of Arsi University
Section 3.1: Arsi U shall administer the researcher’s project and provide all services and
facilities Consistent with the terms and conditions stated in the agreement.
Section 3.2: Arsi U shall be responsible for the proper administration of the fund allocated for
the project.
a) Fund disbursements are made in accordance with the project document.
b) Fund disbursements are valid and supported by adequate documentation.
c) An appropriate system of internal control is maintained and can be relied upon.
d) Financial reports are fair and accurately presented, and
e) Uncommitted fund is returned to Arsi U at the end of the project life.
Section 3.3: Arsi U shall administer the funds under its financial regulations, rules, practices and
Procedures
Section 3.4: As part of fulfilling its judiciary responsibility for the management of the allocated
Resources, Arsi U shall designate authorized officials and provide written
Certification thereon for
a) Withdrawal from the special account,
b) Requests for advances of project funds, and
c) Requests for Arsi U to disburse project funds directly.
Section 3.5: Asri U shall ensure maintenance of proper accounts and records of the allocated
resources for the project to enable the PR to prepare accurate report on the financial
Status of funds.

Article 4
Disbursement and Accounting of Fund
Section 4.1: The PR will submit a formal request for an advance of payments according to the
Approved work plan and budget using Arsi form.
Section 4.2: Subsequent request for satisfactory and scheduled progress and financial reports
and the audit utilization certificates of earlier released funds should accompany
Release of funds as necessary and appropriate
Section 4.3: The research fund from Arsi U is subject to auditors. The result will be
published and copies will be made available to all stakeholders.
Section 4.4: Unless otherwise agreed by the parties involved, any unutilized balance must be
refunded to Asri U by the end of the project life.
Article 5
Utilization of the Fund
Section 5.1: The fund granted shall be utilized in accordance with the budget breakdown
Presented on the project document.
Section 5.2: Arsi U’s accounting and procurement procedures will apply for the administration
and management of the fund.
Section 5.3: The PR shall not utilize the fund for purposes other than what is stated in the
attached project documents.
Section 5.4: Unutilized funds shall be either earmarked for the continuation of the same
Research/ project for the next stage of its development with the consent of MB,
or shall be returned to Arsi U.
Section 5.5: After the completion of this agreement, any equipment or materials acquired
from this research fund shall be the property of the institute.
Section 5.6: Arsi U furnishes with a report listing non-expendable property purchased during the
project period within 30 days following the end of the project
Article 6
Monitoring and Evaluation
Section 6.1: Arsi U shall follow the progress of the research activity and ensure that work
schedules, the production of targeted outputs and required actions are proceeding
according to plan.
Section 6.2: The PR shall submit progress and financial reports in 2 copies, within 45 days of
signing this agreement. Failure to submit reports will enforce directives to cease
expenditure of funds until the report is received.
Section 6.3: All reports would be examined and reviewed for completeness, attachment of
required documentation by Arsi U CRPO as appropriate, and if further actions are
required, the PR may be asked to provide
explanations.
Section 6.4: Reports should be submitted according to the guidelines for performance and
progress report formats after approved by concerned department and school. A
complete final report should be submitted showing results of the undertaking and

Expected impacts.
Article 7
Publication and Ownership of Intellectual Property Right
Section 7.1: Arsi U does not claim rights to any publications, inventions or patents arising out
of the project other than due acknowledgement on publications and information on
any meaningful applications of the research result.
Section 7.2: The PR is responsible for originality of the research project and the reports to be
submitted.
Article 8
Change in the Project Documents
Section 8.1: Any major change such as change in the objective(s), methodology, work plan, etc.
in the project document shall be reported to RPO.
Article 9
Breach of Agreement
Section 9.1: Utilization of the fund granted partially or wholly for purposes other than what
is stated in the project document.
Section 9.2: Failure in the submission of progress, financial, and final reports.
Article 10
Effect of Breach of Agreement
Section 10.1: The PR shall be liable partially or wholly if there exists a breach of agreement
pursuant to Article 9 of this agreement.
Section 10.2: The PR shall be liable for non-performance of his/her responsibilities stated in
this agreement.
Article 11
Effective Date of the Agreement
This agreement shall come into force as of this date of its signature ______________________.
Researchers
I. Principal Researcher:
Name __________________________________ Signature ______________ Date: ________
II. Co-researcher(s)
1.Name __________________________________ Signature _____________ Date _________


Witnesses
I. Department Head
Name ___________________________________ Signature _____________ Date _________
II. College Dean/Vice Dean for Research and Community Service
III. Staff member
For Arsi U
I. Coordinator of Research and Publication
II. Research and Publication Directorate Director
III. Vice President for Research & Community Service

Appendix 4: Guiding Principles for Contract Agreement with Other

Institutions
The contract agreement with partner institutions shall be developed by Arsi U and partner
institution guided by the following principles:
a) The project shall be under the research priority and thematic areas of Arsi U;
b) The implementation of project shall be monitored and evaluated by both the university and
partner institution system;
c) The project shall commit to submit progress and final reports to the university/concerned
Colleges and Schools, and it will also present the findings in the annual research conferences
of the university;
d) The project shall commit to submit the publications, proceedings, and other outputs of the
research project to the CRP office and to respective Colleges/library of the university;
e) The financial administration shall be based on the project document agreed between Arsi U
and partner institution;
f) The data generated from the project shall be administered through the university system;
g) Based on the above principles the University/College representative and the partner
institution shall sign MoU.
Appendix 5: Progress Report Form (to be completed by the principal

investigator)
1. TITLE OF THE RESEARCH PROJECT:
5. PROJECT DURATION:
2. NAME OF THE PRINCIPAL INVESTIGATOR:
6. FUND APPROVED:
RESEARCH TEAM MEMBERS/s (if any)
7. FUND UTILIZED:
10. WORKPLAN FOR THE CURRENT REPORTING PERIOD: (State briefly the work plan for the project
until the current reporting is made).
11. WORK ACCOMPLISHED/ACHIVEMENTS DESCRIPTION: (Give the highlights of the work done during
the reporting period):

12. PROBLEMS ENCOUNTERED: (State any major problems encountered while conducting the
research):
13. WORKPLAN FOR THE NEXT QUARTER: (Description of the work plan for the next phase, including
the research time table):

14. FUND UTILIZED: indicate the detail expenditure of amount of money utilized for the reporting
period.
ITEMS UNIT COST TOTAL COST IN BIRR

Personal:
Research assessment
Surveying
Data entry
Local travel:
Vehicle & related
Fuel
Repair
Field subsistence:
Per diem interviewer
" " researcher
Services:
Laboratory
Computer & data
production
Secretary
Photocopy
Equipments:
Consumable:
Stationery materials
Construction materials
CD
12. Communication:
I CERTIFY THAT THE INFORMATION AND FIGURES GIVEN IN THE REPORT ARE CORRECT AND
COMPLETE TO Fax:THE BEST OF MY KNOWLEDGE.
Tel:
SIGNATUREPostage:
OF THE PRINCIPAL INVESTIGATOR DATE
Internet or E-mail:
___________________________________ Total _____________________

13. APPROVED BY THE HEAD OF THE DEPARTMENT DATE
NAME & SIGNATURE:___________________________ _____________________
14. APPROVED BY THE COLLEGE/VICE DEAN FOR R AND CS DATE
NAME & SIGNATURE:_________________________ ____________________
FOR CRP USE

DATE
APPROVED BY CRP: NAME & SIGNATURE: ____________________ ____________________
Appendix 6: Guidelines for Reviewing Progress Report

A. General evaluation
Editorial quality
Lay out
Length
Quality of references
Comment---------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------
B. Administration information
1. Project title _________________________________________________________________
3 Principal investigator and co-investigators and College/department___________________

___________________________________________________________________________
___________________________________________________________________________
4 Project duration _____________________________________________________________
Reporting period (Phase) ______________________________________________________
__________________________________________________________________________

5 Sources of fund and amount in each phase _______________________________________

___________________________________________________________________________
C. Technical
1. The extent to which the objectives are achieved as per the project document:
___________________________________________________________________________
___________________________________________________________________________
2. Method used: Is the research methodology for this report sufficiently described?
___________________________________________________________________________
___________________________________________________________________________
3. Work plan: Is the work plan achieved as per the research document?
___________________________________________________________________________
___________________________________________________________________________
4. Results: Are the results well described and can be repeated in this report?
___________________________________________________________________________
___________________________________________________________________________
5. Scientific results (publications, seminars, workshops, training): Are the scientific results
sufficient in line with the plan?
___________________________________________________________________________
___________________________________________________________________________
6. The work plan: Is the future plan realistic and achievable?

___________________________________________________________________________
___________________________________________________________________________
7. Fund utilization: Is the fund utilized as per the previous plan? _________________________
___________________________________________________________________________
8. Recommendations: What is recommendation of this report for future funding

Accept the report without change
Accept the report with minor change
Accept the report with major revision
Not accepted, that needs re-writing
9. Reasons for the recommendation

a. ________________________________________________________________________

b. ________________________________________________________________________
c. ________________________________________________________________________
d. ________________________________________________________________________
e. ________________________________________________________________________
f. ________________________________________________________________________
Reviewer’s Name ____________________________Signature ____________Date __________
Appendix 7: Remuneration for Reviewers of Research proposals,

Progress Reports,
Final Reports and Journal Manuscripts

As per the provisions in 2.2.10, CRCSC, VDRCS, CRP, RPD, and SSCRCS are mandated to
review research proposals, progress reports, and terminal reports. As appropriate, a reviewer may
also be invited from outside these groups. The reviewers shall be offered incentive based on the
type of work. This incentive may not be lucrative but the professional obligation is more than the
incentive.
1. Reviewers stated above shall be paid 2000.00 ETB for evaluating a project proposal and a
progress report. They will also be paid allowances and per diems for fieldwork or supervision
(if any). The per diems shall be paid as per the government rate;
2. The review of terminal/final report shall be at two stages. The reviewer shall be given a
manuscript and provide comments to the researcher. The reviewer is also expected to check
whether the comments have been included as per the initial comment by the reviewer. The
reviewer shall be paid 2000.00 ETB for both stages. The payment is effected upon
completing the two stages of the review;
3. The member of the research review team shall be offered a customized training to discharge
their duties and responsibilities in the research review process.

Appendix 8: Guidelines for Writing Final Research Reports

A final research report should include the following headings:
Title and cover information
Abstract
Acknowledgments
Table of content
List of figures (if any)
List of symbols (if any)
Introduction (Background, Statement of the Problem, Objectives, Significance, etc)
Literature review
Methodology
Results and discussions
Conclusions and recommendations
References
Appendices
Report formats:
 All headings should be left justified.

 Line spacing should be 1.5 inch and font size should be 12 Times New Roman;
 Left margin should be 1.5 inch and 1 inch on all other sides;
 Typing should be on both sides of A4 pages.

Appendix 9: Review Format for Research Terminal Reports (to be filled

by the reviewers)
(The research report should be sent to the reviewers together with the proposal to
ascertain that the proposal is in line with the terminal reports)
1. General comments on: knowledge /technology package/generated; sufficiency of information

generated, and conclusion drawn).
2. Comments on the content and organization of the report (this refers to the report format,
editorial quality, layout, length, adherence to fonts, line spacing, margin etc)
3. Comment on the abstract: Does the abstract adequately summarize the report?
4. Comments on the introduction and objective section: Does the introduction sufficiently detail
for this form of research? Are the research objectives clear and do they reflect what has been
achieved in the research?
5. Comments on the methods section: Are the research methods sufficiently described and are
the experimental details well described and can they be repeated?

6. Comments on the results section: Are the results well presented?
7. Comments on the discussion section: Is the discussion of the results accurate and exhaustive?
8. Conclusions and recommendations: Are the conclusions and recommendations relevant and
consistent with the analyses? Do the conclusions and recommendations match with research
objectives?
9. Comments on the references: Are the references relevant, exhaustive and up-to date?
10. Comments on the project plan vis-á -vis implementation and budget utilization
11. Any additional comments

12. The reviewer should show his/her comments in the following rates as justified from the
comments at each section
i. Accept without modification
ii. Accept with minor modification as per the comments
iii. Accept with major modification as per the comments
iv. Reject the report to be done again as per the comments
The justifiable reasons for the section forwarded by the reviewer

References
Adama Science and Technology University-ASTU (2012). Senate Legislation
Adama Science and Technology University-ASTU (2013). Draft document for Research and
publication guidelines and procedures
Mekelle University (2004). Research, Publication and consultancy at Mekelle University: Policy
guidelines and regulations
University of Gondar (2012) – Research policy and guidelines.

Jimma University (2012) – Guideline and procedures for Research

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Arsi University

Research and Publications Guidelines

Tolla Berisso (PhD)

President, Arsi University

Research and Publication Guidelines Page ii

Part One: Introduction................................................................................................................................... 7

Research and Publication Guidelines Page iii

5.1.2. Manuscript Already Produced .................................................................................................. 36

Research and Publication Guidelines Page iv

Arsi U – Arsi University

CRP- Coordinator of Research and Publication

CRPO – Coordinator of Research and Publication office

CRCSC – College Research and Community Service committee

ETB - Ethiopian Birr

FBD – Finance and Budget Directorate

MoFED – Ministry of Finance and Economic Development

PPAD – Procurement and Property Administration Directorate

RPD - Research and Publication Directorate

RPG – Research and Publication Guidelines

SSCRCS – Senate Standing Committee for Research and Community Service

VPRCS – Vice President for Research and Community Service

VDRCS – Vice Dean for Research and Community Service

VPA – Vice President for academic

Research and Publication Guidelines Page v

Definition of Key Terms

Unless the context requires otherwise, in this guideline:

Original work: shall mean a work:

Research and Publication Guidelines Page vi

Part One: Introduction

Research and Publication Guidelines Page 7

1.2 The Need for Research and Publication Guidelines (RPG)

As stated above, a systematic and well-organized document on research guidelines is lacking in

1.3Goals and Objectives of the RPG

1.3.1Goals of the RPG

1.3.2Objectives of the RPG

Some of the objectives of the RGP are:

 To manage and administer research-related issues properly and systematically ;

Research and Publication Guidelines Page 8

 To prioritize projects of high institutional and national significance;

Part Two: Guidelines and Procedures for Research Projects

Research and Publication Guidelines Page 9

2.2. Specific Guidelines

2.2.1. Initiation of Research Proposals

Research and Publication Guidelines Page 10

Research and Publication Guidelines Page 11

2.2.1.11 In the events where Research proposals initiated to be funded externally,

2.2.2. Submission of Research Proposals

2.2.3. Evaluation and Approval of Research Proposals

Criteria for evaluating and approving project proposals are:

Research and Publication Guidelines Page 12

2.2.3.2 Academic departments and/or Colleges will arrange a Departmental/College

Research and Publication Guidelines Page 13

2.2.4. Research Financing: Planning, Allocation, and Management of

Research and Publication Guidelines Page 14

prepared for research-related expenses unless the corresponding

2.2.5. Follow-up of Research Progress and Budget Utilization

Research and Publication Guidelines Page 15

2.2.5.2.Liquidation of previous cash advances should be supported by acceptable cash

Research and Publication Guidelines Page 16

2.2.6.Expendable and Non-expendable Research Resources