DILLA UNIVERSITY

Research and Dissemination Directorate

Research and Dissemination

Policy and Guideline

(First Draft)
Team Members
1. Habtamu Temesgen (PhD), Chairperson
2. Misganu Legesse (PhD), Secretary
3. Abreham Assefa (PhD)
4. Amanuel Tadesse
5. Daniel Gebretsadik (PhD)
6. Habtamu Kassa
7. Robel Hussen
8. Tassew Tadesse (PhD)

Copyright c 2021, Dilla University

https://www.du.edu.et
Contents

Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1 General Provision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1 Short Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Operational Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Gender Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.4 Scope of Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.5 Interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2 Institutional Vision, Mission, and Values . . . . . . . . . . . . . . . . . . . . . 7

2.1 Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.2 Mission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.3 Core Values and Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

3 Research & Dissemination Policy & Strategy . . . . . . . . . . . . . . . . . 9

3.1 Policy Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3.2 Strategic Purposes/Strategic Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3.3 Strategic Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3.4 Basic Principles of Research Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4.1 Thematic Research Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4.2 Freedom of Conducting Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4.3 Research Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4.4 Collaborative Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.5 Basic Principles of Dissemination Policy . . . . . . . . . . . . . . . . . . . . . . . 11
3.5.1 Publication, Documentation and Dissemination . . . . . . . . . . . . . . . . . . . . . 11
3.5.2 Openness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.5.3 Open Access Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.5.4 Open Access to Theses and Dissertations . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.5.5 Open Access to Research Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.5.6 Licensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.5.7 Quality Research Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.6 Research and Dissemination Policy Implementation Strategies . . . 13
3.6.1 Resource for Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.6.2 Research Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.6.3 Coordination Enhancement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.6.4 Research Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.6.5 Intellectual Property Right . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.7 Promoting Student Inclusive Researches . . . . . . . . . . . . . . . . . . . . . . . 16

4 Research Guideline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.1 Prioritizing Research Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2 Human Resource Deployment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2.1 General Provision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2.2 Deployment of Academic Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

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4.2.3 Continuous Professional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.3 Research Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.3.1 DU Funded Research Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.3.2 External Research Grant/Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.3.3 Administration and Management of Research Grants . . . . . . . . . . . . . . . . 20
4.4 Research Process and Management . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.4.1 Research Calendar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.4.2 Research Project Proposal Initiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.4.3 Proposals Registration and Submission . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.4.4 Evaluation and Approval of Research Proposals . . . . . . . . . . . . . . . . . . . . . 22
4.4.5 Research Monitoring and Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.4.6 Research Project Exit Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.4.7 Transfer, Extension, and Termination of Research Projects . . . . . . . . . . . . . . 24
4.5 Research Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.6 Collaboration and Networking of Research . . . . . . . . . . . . . . . . . . . . 24
4.7 Allocation, Utilization and Management of Research Resources . . 25
4.8 Ownership of and Access to Research Data . . . . . . . . . . . . . . . . . . . 25
4.9 Engagement of Staff in Research (Research Load) . . . . . . . . . . . . . . 25
4.10 Research Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.11 Criteria to Establish Research Institute . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.12 Research Ethics and Review Board (RERB) . . . . . . . . . . . . . . . . . . . . . 27

5 Dissemination and Publication Guideline . . . . . . . . . . . . . . . . . . 29

5.1 Dissemination Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
5.2 Dissemination Implementation Strategies . . . . . . . . . . . . . . . . . . . . . . 29
5.2.1 Incentives Package: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
5.2.2 Staff Capacity Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
5.3 Dissemination and Publication Guideline . . . . . . . . . . . . . . . . . . . . . . 30
5.3.1 Requirements and Obligations for Publication and Dissemination . . . . . . . 30
5.3.2 Standard and Publication Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
5.4 Research Dissemination Platforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
5.4.1 Publishing on Reputable International and Accredited National Journals . 30
5.4.2 Publishing on Dilla University Hosted Journals: . . . . . . . . . . . . . . . . . . . . . . . 31
5.4.3 Organizing Conferences (National and International): . . . . . . . . . . . . . . . . 31
5.4.4 Policy Briefs: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.4.5 Workshops and Symposium: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.4.6 Seminars/Colloquia: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.4.7 Dilla University Community Radio - FM 89.0 . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.5 Dissemination Related Offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.6 Dissemination Rewards/Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.6.1 Dissemination Promotion Reward . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.6.2 Staff Conference Participation Reward . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.6.3 Best Researcher Award . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
5.6.4 Best College’s Award . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
5.6.5 Patent and Research Based Innovation Reward . . . . . . . . . . . . . . . . . . . . . 33
5.6.6 Technology Transfer of Non-Patentable (Utility Level) Products: . . . . . . . . . 33
5.7 Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

ANNEXES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Annex 01: Proposal — CONCEPT NOTE Submission Template . . . . . 35

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Annex 02: Checklist of Criteria for Evaluation of Scientific Research
Proposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Annex 03: Evaluation Criteria for Proposal Open Defense . . . . . . . . 37
Annex 04: Research Contract Agreement Form . . . . . . . . . . . . . . . . 38
Annex 05: Research Project Progress Report Format . . . . . . . . . . . . . 41
Annex 06: Final Research Report Format . . . . . . . . . . . . . . . . . . . . . . 43
Annex 07: Research Contract Agreement Form-(PG Students) . . . . 44
Annex 08: PHD Student Financial Support Agreement . . . . . . . . . . . 47

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Preamble

The historical genesis of Dilla University is traced back to the year 1996 with its name,
Dilla College of Teachers Education and Health Sciences (DCTEHS). However, in 2001, it
was included in the then newly emerging University-Debub University. DCTEHS grew to
house 12 departments, through retained a fairly small student’s base. In 2006, the Council of
Minister granted Dilla University its certification as an independent and full-fledged University.
Currently, the University is operating in four campuses, with seven Colleges (Technology
and Engineering; Business and Economics; Health and Medical Science; Social Science
and Humanities; Law and Governance Studies; Agriculture and Natural Resources; and
Natural and Computational Sciences), two Institutes (indigenous Studies; and Education
and Behavioral Science) and 3 Schools which offer more than 47 undergraduate and 24
post-graduate/masters/programs and 2 PhD programs with a student population of more than
31, 000 in regular and continuing education programs. Furthermore, the University hosts
specialized research centers focused on energy and the environment; education; food and
nutrition; and children, women and youth.
Whereas, it has become indispensable to create fitting statute to ensure that DU is a center
of excellence in the production and dissemination of advanced scientific-based knowledge
through research that principally centers on conception, innovation and transfer of technology
consistent with the national and local priority needs;
Whereas, it is necessary to fill the vacuum created in the practical implementation of the
existing research policy and guidelines and adopt a proper administration of research funds
and efficient research monitoring and evaluation system, which shall maximize the quality of
research in the university and guarantee effective dissemination of research outputs.
Whereas, it is necessary to define its core thematic research areas and assemble fragmented
on efforts and research engagements to ensure achieving our goal. Research thematic area
are identified and set-up on the basis of the priority needs of the country and the locality, the
institution’s mission and resources, and in consultation with key stakeholders.
Whereas, it is necessary to enhance effective competition among researchers and ensure the
participation of young, women and disabled staff in the university in the research activities.
Whereas, it is necessary to create collaboration to undertake and encourage in joint research
projects with national and foreign institution or research centers, development organizations
and practitioners, etc.
Now, therefore, as per Article 8(6) of Higher Education Proclamation No 1152/2019 and
Article 6 of the Directive on Research, Technology Transfer, University-Industry Linkage and
Community Service for Higher Education Institution, it is hereby proclaimed as follows:

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1. General Provision

1.1 Short Title

This research guideline may be cited as “Research and Dissemination Policy and Guideline of
Dilla University No–/2013”.

1.2 Operational Definitions

In this guideline unless the context provides otherwise;
1. “Academic Community” means all those persons engaged in studying, teaching and
doing research as permanent or visiting members of an institution;
2. “Academic Staff” means a member of Dilla University employed in the capacity
of teaching, research, community services and technology transfer activities of the
University, and any other professional of the institution who shall be recognized by
senate statutes;
3. “Author” means a person who has intellectually created a work in an article, a book or
any other scholarly work;
4. “Cluster Institutes” means a group of Higher Education Institutions (HEIs) of which
one coordinates the rest in its vicinity in the concept of resource clubbing for optimum
utilization;
5. “Ministry” or “Minister” means the ministry or minister of science and higher educa-
tion institutions;
6. “Academic Unit” means a college, faculty, school, an institute, a department, a center,
or a unit with any other designation established as a constituent unit of a higher education
institution;
7. “Applied Research” means an investigation which is directed primarily toward specific
practical aims or objectives including solving problem(s);
8. “Basic Research” means an investigation with the primary aim of developing complete
knowledge or understanding of the subject under study;
9. “Collaborative Research” or “Joint Research” means a scientific investigation or
research and development project undertaken jointly by HEI, industry or other govern-
mental and non-governmental organization based on a research partnership agreement;

10. “Conflict of Interest” means divergence between an individual’s private interests

and his professional obligations to the HEI such that an independent observer might
reasonably question whether the individual’s professional actions or decisions are
determined by considerations of personal gain, financial or otherwise;
11. “Coordination" means the process of organizing people or groups so that they work
together properly and well; Or the unification, integration, synchronization of the efforts
of group members so as to provide unity of action in the pursuit of common goals;

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12. “Copyright” means a protection provided by the intellectual laws of Ethiopia to its
owner(s).
13. “Dilla University (DU)” (hereinafter the “the University”) is hereby re-established
as per the Article 2(1) of the Council of Ministers Regulation to Provide for the re-
establishment of Dilla University, No.238/2011 as an autonomous higher education
public institution having its legal personality;
14. “Gold Open Access” means the final version of an article freely and permanently
accessible for everyone, immediately after publication. Copyright for the article is
retained by the authors and most of the permission barriers are removed.
15. “Green Open Access” means self-archiving or a practice of placing a version of an
author’s manuscript into a repository, making it freely accessible for everyone. The
version that can be deposited into a repository is dependent on the funder or publisher.
Unlike Gold OA the copyright for these articles usually sits with the publisher of, or
the society affiliated with, the title and there are restrictions as to how the work can be
reused.
16. "Higher Education" is tertiary education leading to award of an academic degree.
Higher education, also called post-secondary education, third-level or tertiary education,
is an optional final stage of formal learning that occurs after completion of secondary
education;
17. “Indigenous or Traditional Knowledge” means knowledge or skills owned by cultural,
local or indigenous communities or any section of such communities;
18. “Intellectual Property” means an ensemble of rights related to invention, process,
composition, and other creation of the mind. It mainly includes patent, copyright,
trademark, industrial design and trade secret;
19. “Intellectual Property Rights” are rights that allow owners of intellectual property to
benefit from their own work or invention in accordance with the laws of the country;
20. “Invention” means a creation of any useful idea, process, machine or discovery of
composition of matter which solves a significant technological problem or brings a
novel solution to any challenge;
21. “Inventor” means a person who has brought new and original elements to an invention;
22. “Innovation” means a new way of doing something by improving process, product/ser-
vice and strategy either incrementally or radically;
23. “Knowledge Transfer” means imparting knowledge to those in the society who can
make use of it for the general good through publications, training and education of
students, employment of graduates, conferences, consultations, and collaboration as
well as by obtaining rights to inventions and discoveries that qualify for intellectual
property protection and commercialization;
24. “Person” means a natural or juridical person;
25. “Research” means a systematized investigation to search for new knowledge or tech-
nology and/or to use existing knowledge or technology in a new and creative way in
order to generate new concepts, methodologies, understandings, and to solve new or
existing problems;
26. “Research and Community” means a governing body established to oversee research,
community service and technology transfer activities;

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 27. “Research grant” means a financial support by an industry or foundation or govern-
mental or non-governmental organization to a scientific research project conducted by a
higher education institution;
28. “Research Staff” means academic staffs that spend 70% of his time to research activi-
ties, and the remaining time for teaching, student advising and community services;
29. “Research Theme” is a research cluster or categorization of inquiry or domain of
knowledge designed to address broader and interrelating issues in a holistic and multidis-
ciplinary manner with the purpose to generate and transfer knowledge and technologies;
30. “Student Research” means research done by graduate or undergraduate students in
partial fulfillment for their academic degree;
31. “Teaching Staff” means an academic staff who spends 70% of his time for teaching-
learning activities, and the remaining time for research and community services;
32. “Technology” means a product, process or know how of demonstrable benefit obtained
through research or invention or imported or adapted from abroad, which could be
disseminated or commercialized for public use;
33. “Technology transfer” means the transfer of technology by higher education institu-
tions for public use for free, or to an industry for further development and marketing in
exchange for appropriate type and amount of compensation;
34. “Thematic Research Area” means research focus area framed by grouping of cross-
cutting research problems in a multidisciplinary and integrated manner through the
engagement of academic staff and stakeholders from different disciplines working on
a similar range of issues in line with local and national priorities and the university
mission;
35. “University-Industry Linkage” means a system through which HEI and/or its aca-
demic staff interact with industry for mutual benefit. This can be realized through
joint research, contract research, research grants, consultancy, community engagement,
staff mobility, joint supervision of students, student internships, staff externships, co-
operation in education, training of industry staff at higher education institutions and
lecturing by industry staff;
36. “Utility Model Certificate” as per Proclamation Number 123/1995 article 2(8) shall
mean a certificate issued to a minor invention which is fit for practical use and is new in
the context of Ethiopia, unlike patent which should be new in the context of the whole
world;

1.3 Gender Reference

In this guideline, provisions stated in the masculine gender shall be deemed to include the
feminine gender.

1.4 Scope of Application

Unless expressly provided otherwise in this guideline and subject to the provisions of relevant
laws of the Ministry of Higher Education and Science, the provisions of this guideline shall
only applicable to research management and any research to be conducted and disseminated
under the auspices of the university including, but not limited to, academic/research units.

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1.5 Interpretation
• The guideline shall be construed in good faith in accordance with the ordinary meaning
to be given to the terms of this guideline in their context and in the light of its object
and purpose.
• Interpretation of provisions of this guideline shall be compatible with the provisions of
the Higher Education Proclamation No 1152/2019 and the object and purposes of this
guideline.

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2. Institutional Vision, Mission, and Values

2.1 Vision
“DU Aspires to be nationally competent and internationally recognized innovative university
for societal transformation”

2.2 Mission
“To produce competent and qualified graduates joining workforce, with special emphasis in
agriculture, natural resources, health and education to strengthen and develop industry linkage
and engagement through collaborations, innovative researches, and services with vibrant
leadership”

2.3 Core Values and Descriptions

The Core Values that Dilla University shall promote and uphold in pursuance of its mission
are;
• Professionalism and ethics — combing knowledge and skill with competency, honesty,
accountability, responsibility, and ethical behaviour;
• Recognition of creativity (innovation) — committed to the pursuit of inquiry, creation
and dissemination of knowledge;
• Partnership — collaborates and engages with other national/international institutes,
industries, and the community; networking;
• Quality service — adopts and delivers the highest standard of services;
• Diversity & inclusiveness — entertains thoughts, perspectives and people-gender,
special needs teamwork;
• Entrepreneurship — able to create innovative ideas and transfer into business;
• Greenness — reflected in our shared commitment to lead by example in preserving and
protecting our natural resources, creating and maintaining cleanness, safe environment
and health ecosystem.

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3. Research & Dissemination Policy & Strategy

3.1 Policy Rationale

It is recalled that the Ethiopian education system in the last couple of years undergo break
through structural changes by separating the former Ministry of Education in to two giving
special emphasis to the Ministry of Science and Higher Education (MoSHE) so as to provide
close leadership and supervision to Higher Education Institutions (HEs). With this change
in the structure, currently, many working guidelines and directives are issued by MoSHE
that called for the revision of the previous guidelines so as to fine-tune with the existing
demands. Although there is no major departure on the missions bestowed to universities,
the revised HEIs proclamation 1152/2019 emphatically describes the need for universities
to undertake and encourage relevant studies, research and community services in national
and local priority areas and disseminate the findings as per appropriate Article 8(3). Further,
the proclamation provides on the way to conduct research by taking into account national
priorities, collaboration with national and international institutions Article 23(1-4).

Despite the above national policy urges, the inadequacy of the existing research and policy
guidelines in addressing the practical gaps of coordinating research activities is worth of
mentioning. The lack of coordinating grand, medium, and small scale researches coupled
with the absence of clear direction took the prime attention of RTT wing to revise the existing
policy guidelines. Still more, the steady increase in budget allocation to research and growth
in boosting institutional reputability through research publication and technology transfer has
becoming the sound justification for revising the existing research and publication guideline.
This mandate is actually stipulated both in HEIs Proclamation 1152/2019 Article 23 (9) and
Research, Technology Transfer, University-Industry Linage and Community service directive
(Research 01/2019, Article 6).

3.2 Strategic Purposes/Strategic Goals

• The Purpose of the research policy is to articulate research strategies of DU through
which all research activities of the University are guided with. The formulation of
the policy will strengthen research capacity and output; increase the role of DU in-
transferring knowledge and technology.

3.3 Strategic Objectives

• To identify multidisciplinary research thematic areas through rigorous discussion with
the stake holders so as to solve the top urgent local, national and international problems.
• To mobilize and engage staff members in the research endeavours in order to promote
the capacity of individual researchers and increase the reputability of Dilla University.
• To undertake problem solving applied researches as per the identified research priorities.
• To disseminate research outputs through various means possible, to solve multifaceted
• To create an enabling, harmonious, transparent and efficient environment for research
and innovations;
• To enhance funding for research and innovations;
• To create strong collaboration in research, transfer of knowledge and technology with
national and international universities and research institute societal problems.

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 3.4 Basic Principles of Research Policy
3.4.1 Thematic Research Area
As per the directives of RTTUILS Art.8 Research at higher education institutions shall in
principle be thematic in nature and shall identify research thematic areas based on local,
regional and national priorities. Therefore,

• Dilla University shall define its core research areas and themes on the basis of the
priority needs of the country, the university’s comparative advantages and resources,
and in consultation with the key stakeholders
• All research endeavours in the university and research undertakings that involve collab-
oration with national and international organizations and stakeholders shall be aligned
with the thematic areas.
• All research projects shall fall within the university’s research thematic areas and
priorities; Conduct of thematic research shall abide by the corresponding guidelines
enclosed in a separate document and in DU website.

3.4.2 Freedom of Conducting Research

As stipulated on the revised HEIs Proclamation 1152/2019 Article 15 and 31, and DU
Legislation Art 72, an Academic Staff has the right to conduct research and disseminate
findings with responsibilities and accountability within or outside the University through
appropriate channels. With this regard, the following principles shall be respected:

• The university shall not discriminate its staff on the basis of ethnicity, religious creed,
colour, national origin, citizenship, age, sexual orientation, gender identity, political
affiliation or any other basis prohibited by the law;
• Researchers shall freely select topics of research provided the selection meets national
priority areas and falls within the university’s Research Thematic Areas as specified in
the Thematic guideline
• Researchers shall have the right to independently explain their findings and conclusions.
However, the data or evidences must be available for scrutiny and criticism as required
by the Research and Dissemination Directorate Office (RDO);
• Researchers can seek support (financial, material and technical) from any legal sources
from within the country and overseas for their research project;
• A researcher can publish and disseminate the results and findings of his research without
any interference or influence from internal management systems or external sponsors so
long as the decision to publish or disseminate is consistent with prior agreement made
with funders and collaborators.

3.4.3 Research Approach

a. Multidisciplinary Research:
The university shall adopt and encourage multi-disciplinary approach in which experts from
diverse grounds to work together on a common theme within the limits of their own discipline.

b. Interdisciplinary Research:
The university shall also adopt and boost Interdisciplinary research approaches in which ex-
perts from two or more disciplines or bodies of specialized knowledge to advance fundamental
understanding or to solve problems whose solutions are beyond the scope of a single discipline
or area of research practice for more.

10
 c. Trans-disciplinary Approach:
This is an approach through which the research activities of DU goes beyond disciplinary
perspectives and are connected to the views and knowledge of the non-academic stakeholders
(for example the local knowledge and views of the surrounding communities). Through this
approach, the indigenous knowledge of the community will be used as basis for tackling
problems of the community.

3.4.4 Collaborative Research

Based on the MoSHE University differentiation, DU is expected to establish strong linkages
and strategic research partnerships with business, industries, local and international universi-
ties and research institutions. Thus, DU shall develop, engage and implement collaborative
research and projects with local communities, national and regional government agencies,
industry and business. It shall also develop guideline for linkage, memorandum of understand-
ing (MoU) and term of references (ToR) with regional, national and international collaborative
researches and institutions within the research standard code of professional ethics and norms
of the university

3.5 Basic Principles of Dissemination Policy

The major purpose of dissemination is to transfer knowledge and scientific outputs to the
national and international community. Therefore, publications, conferences, workshops,
symposiums and other unexplained means deemed necessary could be used to the best
advantage of the policy makers, practitioners and the academic world.

3.5.1 Publication, Documentation and Dissemination

HEIs are expected to contribute to the corpus of scientific knowledge through publications,
presentations at scientific meetings, education and training of the next generation of scientists
and professionals, and data and materials sharing. Whereas, MoSHE shall develop national
level criteria on quality standards of publications at higher education institutions

3.5.2 Openness
The open access policy of HEIs of Ethiopia (2019) encourages the principle of openness of
research outputs as integral to research excellence as well as sharing and creation of new
technology. All of the publicly-funded research should be available to the public, for free to
makes research more transparent, rigorous and efficient; stimulates innovation; and promotes
public engagement. The university will provide an open access service to inform and advise
authors about their options and publishers’ and funders’ requirements, to administer any
University funds available to pay for “Gold Open Access” and to manage to develop the
institutional repository in support of “Green Open Access”. Hence, all interested person have
a freedom of access to the underlying data, to the processes, and to the final results of research.
The policy applies to all research outputs Authored created/, co-authored and co-created by
the employees of higher education institution, research output of graduates and PhD students.
In line with this DU will follow the guiding principle of:
• Implementing and supporting Institutional Repositories (IR) and contributes to National
Academic Digital Repository of Ethiopia (NADRE) as the aggregated national repos-
itory for publications, underlying research data that proof the validity of the related
publication and open educational resources created and managed by an academic or
research units.
• Encouraging researchers to provide open access to other types of publications such as
monographs, book chapters, conference pro literature, reports, multimedia, etc.

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 • Providing an open access service to inform and advise authors about their options and
publishers’ and funders’ requirements, to administer any University funds available
to pay for Gold Open Access and to manage to develop the institutional repository in
support of Green Open Access.
• Encouraging the uptake of Open Science practices such as the involvement in collabora-
tive community science projects, the use of open educational resources.

3.5.3 Open Access Policy

The FDRE MoSHE requires that a machine-readable electronic copy of the published version
or final peer-reviewed manuscript accepted for publication of all peer reviewed publications
produced as a result of research supported, either in entirety or in part by public funding,
is deposited in the NADRE as well as in institutional repositories - if available. Deposit
should be made immediately upon acceptance for publication and made available under the
FAIR principles (Findable, Accessible, Interoperable and Re-usable) especially for related
metadata standard preferably using Dublin Core Schema and through the assignment of
creative commons licenses preferably. The guiding principle is: as open as possible, as closed
as necessary. University Libraries require the full-text of all such publications immediately
openly available - where possible - in any case no later than 6-months after publication in
Science, Technology, Engineering and Mathematics (STEM) or 12 months after publication in
the Social Sciences and Humanities (SSH). If the journal’s permitted embargo period is longer
than these, authors have to inform the DU Library that at due time the published version could
be made available. In any case the related Meta data should always be made accessible. DU
shall encourage its members to retain ownership of copyright and to license to publishers
only those rights necessary for publication. While the dominant type of scientific publication
is the journal article, researchers are strongly encouraged to provide open access to other
types of publications such as monographs, book chapters, conference pro literature, reports,
multimedia, etc.

DU requires an approved final version of the thesis or dissertation deposited in the NADRE
directly or university’s institutional repository and must include acknowledgement of the
funding organization.

3.5.4 Open Access to Theses and Dissertations

• DU requires an approved final version of the thesis or dissertation deposited in the

NADRE directly or University’s institutional repository and must include acknowledge-
ment of the funding organization.
• This policy applies to all graduate and post-graduate students who author a thesis or
dissertation as part of their University graduate degree requirements and following
issuance of this policy.
• To assist the University in archiving and openly disseminating theses and dissertations
within the scope of this policy, all of the University graduate students have to submit the
final version of their thesis or dissertation to the respective University Library before
conferral of the student’s graduate degree, regardless of whether an embargo is obtained.
Such thesis or dissertation will be made freely and openly available to the public after
filing, unless the graduate student obtains an embargo.
• Post-graduate students may delay the date their theses or dissertations become available
in an open access repository by specifying the embargo period - up to two years - upon
filing. Upon compelling circumstances, the University may grant embargoes of longer
than two years.

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3.5.5 Open Access to Research Data
• The University require the deposit of the research data and metadata supporting publi-
cations resulting entirely or partly from public funding in the institutional research data
repository respectively in the NADRE.
• The FDRE MoSHE follows the principle "as open as possible as closed as necessary".
MoSHE insists research data to be handled according to the FAIR principles. If data
cannot be open due to legal, privacy or other concerns (for example personal or sensitive
data) this should be clearly explained by Authors.
• Researchers receiving public funding have to submit their Data Management Plans
(DMP) to research offices and to be approved by University Libraries showing how data
will be handled according to the FAIR data principles. Data management plan should
be, if possible, machine actionable.

3.5.6 Licensing
Dilla University requires the application of appropriate licenses to all kinds of research outputs,
including software, arising from public funds in order to specify access and usage rights that
are consistent with this policy.

3.5.7 Quality Research Output

Researches funded either by the University or other collaborating organizations should produce
quality output that could be checked and validated from data gathering, processing, analysing
and dissemination up on demand. Above all, researchers are expected to stick to esteemed
professional ethics.

3.6 Research and Dissemination Policy Implementation Strategies

3.6.1 Resource for Research
Having research facilities commensurate with its research missions, including laboratories,
workshops, digital seminar and conference rooms and ICT infrastructures, digital libraries,
reference books and scientific journals (hard copy and e-books/journals), and research centers
and field research facilities are crucially important.

3.6.2 Research Funding

Dilla University encourages competitive and transparent ways of providing funds to re-
searchers. In this process, the university is committed to:
• Engage in dedicated and sustained activity to identify and source all external research
funding opportunities, both national and international;
• Create a transparent mechanism for distribution, utilization and controlling of research
funds.
• Establish and expand appropriate strategic research partnerships and collaborative
networks, both nationally and internationally;
• Attract external research grants by utilizing internal research funds;
• Utilize internal research funds only for strategic research interventions pertinent to the
university mission and local community development.
• Ensure efficient management of external funds in a way that encourages staff for
attracting further external grants.

3.6.3 Coordination Enhancement

Once the finance is allocated to researchers through transparent evaluation systems, the
award shall be given within the shortest possible time as dalliance will incur additional cost.

13
 Purchasing and procurement of the required inputs shall also be made in such a way that it
could facilitate researcher activities. In this regard, attempts shall be made to minimize long
bureaucratic routes that discourages researchers.

3.6.4 Research Ethics

Research practices should not violate established professional ethics pertaining to the health,
safety, privacy, and other personal rights and values of people, communities, nationalities,
ethnic groups, and animal welfare and the environment. Any research undertaken in the
university shall consider ethical and environmental issue during its initiation and may require
consent from appropriate legal body. With this regard, the university shall establish Research
Ethics and Review Board (RERB) and ensure representation of various relevant disciplines
and gender. The Board shall consist of subject matter experts and representatives of relevant
regulatory bodies, and may co-opt other members or consult other bodies of relevance.

a. Research and Publication Misconduct

The importance of integrity in research cannot be overemphasized. Research misconduct
destroys the standards and values that the university attempts to inspire in the community.
Research misconduct is defined as fabrication, falsification or plagiarism in proposing, per-
forming, or reviewing research, or in reporting research results. Research misconduct may
also occur when a researcher uses research facilities/resources for other purposes that are
not specified in research proposal/protocol. Denial of research partner(s) to collaborate in
research activities or to get access to the research data and authorship/patent right is also
considered as research misconduct. Therefore, each member of the university community 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 endeavour.
To handle allegation of research misconduct, RDO and RERB shall set forth procedures
for investigating the allegation. The allegation of research misconduct must be proven by a
preponderance of the evidence gathered by the university’s RERB for appropriate disciplinary
actions. The followings are considered to be research misconducts:

• Failure to meet lines of accountabilities stated in this document;

• Failure to provide progress reports for the respective office within agreed time;
• Misuse of research fund and materials;
• Delaying of research projects without convincing reason(s);
• Failure to complete research works within a scheduled time without convincing rea-
son(s);
• Failure to submit the final research documents in a required format;
• Failure to disseminate his research findings to the target community;
• Any form of plagiarism and mischief in research;
• Any form of corruption and injustice in research and research administration;
• Failure to respond to research administration instructions;
• Any form of using forged, trimmed, tortured and cooked data;
• Failure to work in collaboration with others when need arises; and
• Submitting University-funded research work (for special cases where the research data
needs to be confidential) for publication in external journals prior to the permission of
the University; without acknowledging and affiliating the University.

b. Conflict of interest
Conflict of interest is a situation in which an employee has the opportunity to compromise
the interest of the university and others for financial or other personal advantages. A conflict
of interest may arise when there is a divergence between an individual’s private interests and

14
 his or her professional obligations. It may also arise when actions by individuals or groups is
determined by considerations of personal gain as the expense of the university’s mission to
provide public good. In order to minimize the occurrence of conflict of interest, the university
shall:

• reward researchers for their contributions through consulting fees and sharing royalties
resulting from the commercialization of their works and
• conduct awareness creation activities on situations that generate conflicts of interest

If conflict of interest arises despite the proactive measures taken, RERC scrutinizes the matter
for disciplinary actions as per the university’s Senate legislation and other related regulations.

c. Penalty of Research Ethics Misconduct

If a researcher is found guilty of research misconduct, he or she shall be penalized as per the
decision of the investigation of the case and recommendation given by RERC. The penalty
relies on the existing policies, DU Senate legislation, and relevant regulations (if applicable).

3.6.5 Intellectual Property Right

Intellectual property (IP) is the product of thought, creativity, and intellectual effort generated
by researchers in the course of their research and approved by appropriate legal entities. This
may include patentable information, discovery, know-how, trade secrets, methods, computer
software, designs relating to devices, processes, chemical compounds, treatment, new varieties,
or others which may provide commercial advantages. For potentially patentable inventions,
the university shall set out a guideline that helps govern individual researchers’ benefit in
accordance with national patent right. In principle, ownership of research outputs shall
rest with the university. However, the university should ensure that researchers benefit
from intellectual contributions that they have made based on the university’s proprietorship
guideline. Where the concerned research is partially or wholly based on an external financial
source and where there is a desire for shared proprietorship of research outputs, a different
modality of ownership shall be formulated and be part of the approval process. Ownership of
intellectual property:

• DU has the right to obtain title to the intellectual property developed by the university
staff or students consistent with the section prescribed above.
• DU may decline to accept any rights of ownership or otherwise, in which case all rights
revert to the inventor.
• When protectable product or process is developed by researchers using DU support with
a clear contract, DU will own all rights accruing to such property, including copyright.
However, this is subject to agreements with appropriate funding sources.
• Copyright to, or royalty from, literary or scholarly works in the tangible or electronic
produced by faculty members as part of their regular teaching/research activities and
which do not result directly as a specified deliverables from projects funded in whole or
in part by DU or a sponsored research agency shall belong to the staff who prepared
such works and may be assigned or retained by them.
• Visiting faculty working with in DU and collaborating with DU faculty may be required
to enter into agreements with DU concerning the ownership of IP and confidentiality.
• Consistent with the above-mentioned provisions, should a student’s work be protectable
with IP rights and is found to be commercially viable, the university will encourage
the student to protect and develop this property. Should the student decide to assign
the ownership of the IP to the DU to facilitate its protection and commercialization,
the student will be entitled to a fair share of the net income provided that a licence to
enhance the commercial potential of the IP is conferred upon DU.

15
 • When IP is originated independently and privately by the student, then the university will
not consider assisting the student to protect or develop the property unless a proportion
of the net surplus is assigned to DU.
• DU retains all rights of thesis written and defended in its faculties.
• Where IP is developed jointly by faculty and students, the share of ownership of the IP
shall be subject to a separate agreement negotiated between the faculty and the students
addressing the revenue arrangements. Responsibilities of the inventor:
• Any person who in good faith has been using the invention covered by an application
for protection prior to the filing date of the application shall have a personal right to
continue to use that invention despite the existence of the patent. The rights of the
inventor or the university shall not limit the rights of prior users on such product or
process.
• A university staff who creates intellectual property shall conduct technology transfer
activities in a manner consistent with DU policy.
• A university staff who creates intellectual property shall cooperate with the university in
defending and prosecuting patents and in legal actions taken in response to infringements
as specified herein above
• A university staff who creates intellectual property shall disclose the invention officially
to VPAR within 30 days from the time when the invention is realized.

3.7 Promoting Student Inclusive Researches

As provided in Article (Article 9) student research:
• Research by graduate and postgraduate students shall be aligned with the HEIs’ research
thematic areas, for funding by the HEIs.
• Higher education institutions shall put in place incentive mechanisms through which
postgraduate students and staff with breakthrough research findings could be rewarded
on competitive basis from their research and development funds or other
Promote research based graduate studies. In this regard, student research shall:
• Attract, retain and provide maximum support for graduate and postgraduate students;
item Promote international exchange of researchers at all levels;
• Increase the number of research students and postdoctoral fellows;
• Enhance the postgraduate student profile and the throughput of the University;
• Attract international students and staff to ensure quality of research based post graduate
studies; and
• Ensure the sufficiency and appropriateness of research methodology courses in the post
graduate curriculum.
• In all circumstances the moral rights shall be reserved to the inventor or the person
making the products or processes.
• The patented person and/or the university shall, in addition to any other rights, remedies
or actions available to him/it/them, have the right subject to proclamation Number
123/95 Articles 25, 26, 29 to 33 to institute court proceedings against any person
who infringes the patent by performing, without his/it/their agreement, any of the acts
referred to in Article 22 (1) or who performs acts which make it likely that infringement
will occur.

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 4. Research Guideline

4.1 Prioritizing Research Agenda

DU intends to undertake research on prioritized research areas and works towards promoting
interdisciplinary, multidisciplinary and trans-disciplinary researches. The research prioritiza-
tion relies heavily on the urgency of the problem to be solved and the national development
and community needs. The prioritized research themes are supposed to serve in short, medium
and long-term time frames. The following principles shall govern the priority setting of
research:
• Contribution to nation-wide development objectives and goals as judged from devel-
opment policies and strategies of Ethiopia in addressing both national and regional
development problems and challenges.
• Align with DU’s mission and research priority showing gaps and urgency of the problem
and research.
• Follow interdisciplinary, multidisciplinary and trans-disciplinary approach for yielding
a more comprehensive output.
• Consider capability and feasibility in undertaking of the proposed research project
in terms of availability of necessary resources such as required technologies, experts,
materials, and other physical and financial capacities in the context DU.
• Contributes knowledge for policy making processes at national, and local levels, and
expand new and appropriate problem-solving technology;
• Contributes to enhancement of the teaching-learning process, and production of knowl-
edge and technology with direct bearings on improved health, economic prosperity,
social cohesion, the arts, culture and ultimately on quality of life.

4.2 Human Resource Deployment

4.2.1 General Provision
DU shall:
• Deploy its academic staff as teachers researchers, and combinations thereof on the basis
of DU research agenda and plan, demonstrable merit, and practicality;
• Deploy its support staff in a way it can facilitate research undertakings, community
engagement, and technology transfer and application
• Improve gender responsiveness of DU in research and innovations. Accordingly, duly
consider gender issue during capacity building in research and thematic research project
developments.

4.2.2 Deployment of Academic Staff

Deployment of Academic Staff shall be based on:
• Research priority of DU and the Country in line with 2020 university differentiation
mission vested to it;
• Excellent track record in research and publication;
• Nature of initial employment (teaching or research staff);
• Plausibility of the research project; and
• An academic/research staff with academic rank of lecturer and above shall engage in
research activities of the university.

17
4.2.3 Continuous Professional Development
Continuing professional development is a means by which academic staff maintains their
knowledge and skills related to their professional lives. DU works to build the capacity of its
staff in knowledge and skills related to research through training, or on the research activity
thereby improving knowledge and transferring this knowledge into innovations that provide
economic, social and environmental benefit. Accordingly, DU works to promote continuous
professional development in the following ways:
• Works to build the capacity of its staff in grant proposal writing, financial management,
software utilization data entry, data analysis, scholarly writing, presentation, publish-
ing, transferring knowledge and technology through continuous need based training,
seminars, workshops and symposiums
• Provide continuous support for staffs’ endeavor to participate in conferences (both
nationally and internationally) study tours and attend skills improvement courses, short
and long term trainings, workshops and related to research and innovation.
• Follow inclusive approach in research by establishing a framework in which senior
researchers work with junior staff.
• RDO and Academic affair offices shall jointly plan and execute to build the staff
carrier through merit-based academic promotion so as to support teaching, research and
technology transfer endeavors and future expansion.
• Works to facilitate networks among researchers in the university and outside through
formation of institutional collaborations among various research institutions;
• Encourage joint (multi institutional) grant proposal developments.
• Works to enhance the capacity of its research staff at different levels in research man-
agement

4.3 Research Grants

4.3.1 DU Funded Research Grants
• DU funded research grants shall be implanted under the umbrella of thematic areas and
are categorized as – regular research grant and special research grant.
• Regular research grants include grand/large scale/mega research grant, medium scale
research grant, and small scale research grant. The research grants are categorized
based on number of scientific questions addressed, number of researchers engaged in,
lifespan of the research project, and amount of budget allotted to conduct the research
as summarized in Table 1.
• Special research grant - includes women research grant (WRG), under graduate students’
research grant (UgRG) for innovative researches, systematic review/meta-analysis grant
(MaRG), and immediate effect grant (IeRG) that require special attention.
• Grand/large scale research grant is a fund allocated for problem solving and applicable
research which fulfil all of the following:
– demand the engagement of at least three scholars of different specialization and
collaborative effort
– the research contain no less than three complementary sub themes
– require extended time of no less than three years and no more than five years
• Large scale research projects shall be designed to identify the existing key problems
of environment, nations and local communities, and intervention strategies that would
have a major contribution on national development as per the thematic research agenda
of DU.
• Aim, purpose, and objective of a large, medium, and small scale research shall emanate
from the aim, purpose, and objectives of the respective theme and subtheme.

18
 Table 1. Summary of characteristics and requirements of research grants
Minimum
Minimum Minimum
number of
Type of research number of re- Maximum amount of bud- Project lifes- number PG Minimum number of pub-
scientific
grant searchers to get to be allotted (in Birr) pan students to lication expected
questions to
be engaged be attached
be addressed
Running cost Lab budget
Grand 3 5 1 million 300,000 3-5 years 2 2 (in reputable journals)
Medium 2 3 250,000 120,000 18-36 months 1 1 (in reputable journal)
Small 1 2 100,000 70,000 12 months - 1 (in reputable or emerging
19

journal or on proceeding)
Meta/systematic 2 25,000 - - - 1 (in reputable journal)
analysis
UG stud. Grants 3 10,000 - - -
4.3.2 External Research Grant/Fund
a. Individual Research Grant (External)
• Research and Dissemination Directorate Office (RDO) motivate individuals or team of
researchers interested in procuring research funds from external sources.
• Grants shall be managed by the project owner(s) and invested as per the activity plan
indicated in the proposal. The grantor and concerned research unit of the university
may undertake close supervision for its proper implantation.

b. Joint/Collaborative Research Grant (Institutional)

• Collaborative researches may arise or initiated by DU team of scholars or researchers,
donor organizations, research and development partners, funding agencies or any other
interested external collaborators.
• Du shall participate in collaborative researches that target towards achieving its research
priorities and national development needs.
• DU will not make any collaboration for research which is contrary to the national
interest; harm the environment or ecosystem elements, and the nation.
• Collaborative researches shall be conducted for the benefit of the country as well as
achievement of common/shared interest and/or goals of the collaborating parties.
• The university may assign or nominate team of scholars/experts to engage in grant pro-
posal(s) write-up and conduct collaborative research on competitive bases considering
sufficiency and relevancy of specialization and excellent track record in research and
publication.
• DU will form grant hunting teams, avail required resources and facilitate proposal
writing to seek collaborative research projects and apply for it.
• Roles and responsibilities of parties engaged in a collaborative research shall be indi-
cated in the project document and legalized in a separated binding agreement.
• Remuneration for scholars/experts, who engaged in a collaborative research project,
shall be made as per the rate indicated in the project document.
• RDO shall facilitate management of grants in the university.

4.3.3 Administration and Management of Research Grants

• The mega/large scale research will have its own leader and co-leader. A person desig-
nated as leaser and co-leader in large scale researches are not allowed to simultaneously
serve as a leader in any grand research project.
• The mega/large scale research shall engage no less than two graduate student(s) who
are working towards their partial fulfillment of the requirement for their Master’s degree
or PhD. In the absence of relevant graduate students, the research shall recruit junior
researchers in consultation with RDO that comply with the intended research objectives.
• Medium scale researches are expected to engage at least three scholars/experts, where at
least two of the scholars shall be senior researchers, who have research and publication
experience.
• Small scale researches are expected to engage at least two scholars/experts, where one
of the scholars may preferably have publication experience.
• The PI is responsible for managing research projects, adherence to reporting require-
ment, and assurance of the demands of grant.
• A researcher who solicited external grants shall get 40% of the total institutional
overhead. Accordingly, 60% of the overhead shall go to university administration.
• Non-expendable items shall be purchased as per the procurement and property manage-
ment guideline of the university, and be available to the research works in two months
since the request has been presented to RDO.

20
 • To ensure timely availability of the research inputs RDO may allocate dedicated pur-
chasers that can hasten the provision of required supplies.
• Expendable items and compulsory expenses that happen in the field shall be available
within two months of request to the researchers or the researchers may be provided with
cash to buy the expendable and compulsory expenses.
• Researches that need to conduct laboratory tests, no purchase of equipment or reagent,
rather the service, may be managed by the researchers from a accredited institution if
deemed necessary, and shall be decided by RDC
• Research projects shall be managed within the funding limit used effectively and
efficiently. The researcher shall strictly adhere to the cost breakdown indicated in the
approved project document. The transfer of money from one budget heading to another
is not allowed unless the project gets permission from their respective ad-hoc research
ethics and review board (RERB).
• In cases when budget shortage arises which hinders the progression of the activities, the
investigator shall apply to RDC with concrete evidences and the board may allow for a
maximum of 20
• Revenues generated from research activities, such as sales of research produce, shall be
shared between the researcher and the university.
• If, for any reason, a research project is discontinued and if the work is not properly
carried out within the planned time table, RDO shall let the researcher to return all fixed
assets purchased for the project and the unutilized money to the university.

4.4 Research Process and Management

4.4.1 Research Calendar
• The annual Calendar shall be prepared by RDO in consultation with RTTVPO and
presented to RDC for endorsement which finally incorporated to university calendar
and approved by the Senate. The Calendar, among other things, shall provide the
announcement dates of call for proposals, submission and review due dates, application
of research; annual research review; date of submission of annual research progress and
their validation workshops; national research conference; national or DU science week
last date of research budget settlement.
• Call for proposal shall be announced officially by RDO/ Colleges/ Research Institute/-
Center at least twice per academic year as per the approved calendar.

4.4.2 Research Project Proposal Initiation

The following issues shall be taken into consideration while research projects are initiated.
• A research team has a right to initiate a research project and need to present a proposal
to the respective College/ Institute/ Research Center; and/or RDO when required.
• Research proposal initiation shall be set based on the identified thematic and priority
research agendas of DU. Template (Annex 01) shall be used to present the concept note.
• Priority shall be given to research projects that have particular merits to local community
and to the country and no previous similar local research projects have been conducted.
• Any research to be funded and/or co-funded by DU shall be publicized by the respective
Colleges/Institute/Center and RRO.
• A researcher shall not apply for funding for more than three research projects at a time
within the same research period.
• A researcher, who has maximum number of research projects (ongoing or delayed) is
not entitled to proposes a new one, until one of the earlier projects is completed.
• In all DU funded projects, a researcher (both teaching and research staffs) is not entitled
to be principal investigator of two research projects whether the project at hand is

21
 ongoing or delayed due to output or related cases.
• A research group or researcher carrying out research with external fund shall inform
their respective Colleges /Institute/ Center/ and RDO of such activities.
• A researcher (both teaching and research staffs) is entitled to be co-author of three
research projects provided that he/she has no research projects as PI.

4.4.3 Proposals Registration and Submission

• A proposal shall be written following a standard format prepared for the purpose.
• The deadline for the submission of project proposals to RRO/ Colleges/Schools/ Re-
search institute/Centers shall be strictly observed.
• All research projects shall be registered at Colleges/Schools/ Institute/ Research Centers
level and University with serial numbers that include college’s/institute/Centers’ code,
department code, year of registration and project number. [for example: AgNR/ AgEco
/2020/1. Coffee production and marketing].
• Research proposals shall be submitted, both electronically and in hard copy, to the
respective Colleges/Schools/ Institute/ Research Centers and RRO along with the signed
originality declaration form.

4.4.4 Evaluation and Approval of Research Proposals

• A research proposal of a research group or a researcher for which funding is sought

must undergo a rigorous review, presented and defended in public.
• DU staff shall be called in public to participate in research proposal review sessions.
• Ad hoc Committee including one member of RDC shall be set up by RDO in consulta-
tion with Colleges/Schools/ Institute/ Research Centers to evaluate the proposals during
proposal defense.
• Proposal defense shall be chaired by Research and Publications Committee (RPC)
member.
• Proposal evaluation shall be carried out using criteria set for the purpose and filling the
form during proposal defense (Annex: 02 and 03).
• The comments (theoretical, methodology, financial) by the Ad hoc Committee shall
be given to the researchers who proposed the research project in writing through the
chairperson of the proposal defense. At this stage, the Ad hoc committee shall approve,
make modifications, on theme of the research and financial proposal or reject the
proposal at all.
• A research proposal submitted to the RDO shall be reviewed by RDC. RDC shall
approve, or make modifications, as required on financial proposal the research project.
• To be considered for funding, a research proposal shall secure at least 75% of the
total evaluation points. Evaluation made by reviewers account for 60% of the total
evaluation points; and evaluation made by proposal and research review committee of
the respective research unit or RDC (for medium and grand/mega researches) during
open proposal presentation and evaluation accounts for the remaining 40% of the total
evaluation points. Once presented and evaluated a proposal need to be corrected as per
the comments given and endorsed by the respective research unit and RDC for funding.
• Proposals which are decided to be revised by a researcher must be revised in accordance
with the comments given by research evaluation team. Researcher(s), who do not want
comply with evaluator’s comments are required to present sound justification upon
application to RDO in writing. In case the matter could not be settled, the proposal shall
be reevaluated by one anonymous evaluator and the verdict this evaluator gives shall be
the final.
• The research proposals (revised and improved and ranked in the order of the points

22
 obtained) and the minutes of the research proposal evaluation shall be submitted,
both in hard copy and in electronic copy, within five days by the researcher(s) to
Colleges/Schools/Institute/Research Centers, signed duly, and formally submitted to
RDO for consideration for funding.
• Researchers whose proposals are approved by RDC must sign research conduct agree-
ment at the commencement of the research and must abide by the agreement (Annex:
04 is applied for staff; Annex: 07 and 08 are used for PG students).

4.4.5 Research Monitoring and Evaluation

• Periodic monitoring and evaluations of ongoing research projects shall be undertaken

by the respective research unit College/School/ Institute/Research Centers/RDO at least
two times per year.
• During monitoring and evaluations of on-going research projects, the researchers shall
give unrestricted access to the evaluation team.
• The monitoring and evaluations shall be done in a form of field visits, quarterly or
interim report and presentations by the PI or research team leader.
• No change shall be made to title of the project, place of work, work plan, methodology
and/or objective of the study after the project has been approved by the RDC and budget
is secured unless it is permitted by RDC.
• The progress or findings of DU funded grand/mega research projects shall be presented
at the Annual research review or national research conferences organized by DU. PI
or the leader of a research team shall take the responsibility of presenting the research
progress based on Annex: 05.
• Researchers whose projects are funded by external sources are also obliged to present
progress reports using the DU format or format developed by the funding agency.
• If a PI or a leader of a research team should leave DU for good or for study, without
completing his/her research work, he/she should delegate appropriate co-investigator/co-
leader form his/her discipline who shall take all the responsibilities and benefits of the
previous PI or leader.
• Research progress reports shall be evaluated by appropriate researchers/ experts/ re-
viewers form Colleges/ Schools/ Research institute/Centers in DU and other universities
as required shall be communicated on the progress and the status of the research within
two weeks after the report has been submitted.

4.4.6 Research Project Exit Mechanism

• All projects have project life cycle: with commencement and end date. A project is said
to be successfully accomplished only when the planned project objectives are met, and
outputs (including publications) are submitted as per the research agreement reached
between the researcher and the appropriate authority.
• Researchers shall submit the final research report to the respective research unit col-
lege/School/Institute/Research Center/ and/or RRO in accordance with the format
annexed. (Annex: 06).
• Final research report shall be evaluated by assigning a professional in the field of the
research by the respective research unit, College/School/ Research institute/Center or
RDO.
• The completed and reported research project outputs must be presented at appropriate
research venues or annual research conferences of DU or elsewhere, and publicized to
stakeholders by hardcopy and/or releasing online.

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4.4.7 Transfer, Extension, and Termination of Research Projects
• A research project cannot be transferred to other researchers if the progress has gone
beyond halfway.
• Researchers who are forced to discontinue the project due to unforeseen reasons such
as study leave, research leave, transfer, before completing the research project may
delegate the remaining research group members to complete the research.
• Researcher can apply to RDO for research project period extension two months prior to
the completion date of the research project by providing compelling situation and clear
justification and presented to RDC for decision. Requests for research project period
extension should be accompanied by a report reflecting the status of the project.
• RDC shall evaluate research project period extension request to approve or reject the
research period extension application. RDC shall decide the duration of research project
extension.
• The fate of a research project that has been extended without notification and justifiable
reason shall be determined by RDC.
• No project shall be allowed to be extended more than once.
• Failure to complete and submit the final report within the extension period results in an
automatic termination of the project.
• Under the condition when the research project period extension application is rejected
or research project is discontinued for no reason, then the researcher(s) are forced to
pay back the research fund and return all facilities received according to the research
conduct agreement.
• A researcher who successfully completed DU funded research project but failed to
comply with the dissemination requirements set in section 5.3.1 of this guideline will
not be entitled to apply for future research grant for two consecutive years.

4.5 Research Audit

A research audit shall be carried out by DU once in a year to assess how well the theme and
the research units/ colleges/Schools/Institute/Research Centers/ works to meet the university’s
research vision and mission. The areas which the audit should focus on include:
• The scope and extent of the research and technology transfer activities
• The strengths and weaknesses of research and technology transfer activities
• The effectiveness of the short and long term trainings provided to the emerging/ junior
researchers
• DU’s research budget management
• Stakeholders involvement research and technology transfer activities
• The focus and future direction of the research activity
• The quality and quantity of outcomes of the research outputs including publications.
• Linkages/relations to other clusters of the university and other research institutes/stake-
holders.

4.6 Collaboration and Networking of Research

DU shall:
• Establish terms of collaboration among its academic Units and research group.
• Involved in collaborative research activities with national and international higher
institutions, research centers and industries.
• Enter into collaborative research agreement with other institutes through signing a
memorandum of understanding and agreement.

24
4.7 Allocation, Utilization and Management of Research Resources
• The university shall provide all necessary resources required for the researches con-
ducted in each thematic area.
• The university shall expand and modernize research facility procurement and manage-
ment and ensure efficient utilization and management. Where the university is unable to
fully support all research demands due to limited resources, it shall facilitate to solicit
funding from other development partners outside the university
• There shall be fair and equitable allocation of research facility for researches undertaking
in the university
• The research team shall properly utilize the available research resources for the research
purpose only
• If not indicated in the special binding agreement, all equipment purchased through
university research grants or external sources shall be the property of the university and
must be returned to the university upon completion or termination of the project; and
recorded in the appropriate university property database or record/ledger book.
• Research equipment procured and utilized by researchers shall be returned to the
resource center of the university after completion or termination of the research where
the equipment is procured for.

4.8 Ownership of and Access to Research Data

• Except where precluded by the specific terms of sponsorship or other agreements,
tangible research property, including scientific data and other records of research
conducted under the auspices of the university, are the property of the university.
• The university and its researchers have rights of access to, use of, and responsibility for
maintenance of original research data with a notice to the corresponding research (data
creator).
• The university shall create research database where research data are stored and ensure
its accessibility. The research database shall be periodically updated.
• Thematic area leaders shall be responsible for assuring the retention of completed
research outputs in the university’s research database. RDO is responsible for the
maintenance of the database/repository.
• The university shall organize relevant trainings to upgrade researchers’ analytical skills
required for data management.

4.9 Engagement of Staff in Research (Research Load)

• A teaching staff engaged in research work shall devote their time for teaching and
learning (70%) and for research and community service (30%).
• A staff affiliated to research centres and institutes for research purpose shall devote their
time for research and community service (70) and for teaching and learning (30).
• Researchers’ credit load allocation is be made by considering the role of the academic
staff engaged in a research project as well as the nature and time requirements of the
project.
• When university academic staffs engage in research activities, the credit load calculation
for the research task shall be as indicated in Table 2.
• Credits are counted every semester throughout the life of the project. However, credit
benefits shall not be considered for terminated and suspended research projects.
• Payment of subsistence allowance/per-diem to researchers shall be in line with the
budget specified in the research grant and/or as agreed upon by the funding agency and
the university.

25
 Table 2. Research projects related load summary
Research project category PI Co-Investigator Other members (each)
Mega 4 cr.hr 3 cr.hr 2 cr.hr
Medium 3 cr.hr - 1 cr.hr
Small 2 cr.hr - 1 cr.hr

4.10 Research Awards

• The university shall establish incentive package to encourage the practice of research
and dissemination of research outputs.
• The university shall establish mechanism to recognize and reward high quality research
outputs and to mobilize external financial and technical supports.

4.11 Criteria to Establish Research Institute

The establishment of the research center/institute should contribute to DU vision and mis-
sion. When planning to establish a research center/Institute, the following points should be
considered:

• Research Centers are, established, organized and structured to accomplish well-defined,

focused, and interdisciplinary areas and for providing closely related capacity building
and other services to industry and the public. Research center/institute should be
designed to boost center of excellence.
• Once a research center or Institute is established, the required office and administrative
facilities shall be provided.
• The establishment of research institute should ensure cost efficiency and effectiveness
on the premise that once a research institute is approved it requires office, budget and
other resources.
• Research centers/institutes help position and promote the university’s areas of research
excellence and maximize the university’s institutional prestige and reputation in research
performance.
• The research institute should demonstrate a multidisciplinary team to run larger scale
research projects. The research center or institute is expected to excel in advancing
research competence.
• The research center/institute should develop competent project proposals and seek
external funds requires for research or training.
• Research centers/institutes shall be hosted by the Office of Vice President for Research
and technology transfer.
• The minimum staff required to initiate a research center/institute shall be five or more
staff with a qualification of MSc/MA or above
• A staff of a research center or an institute should devote their time for research and
community service (70%) and for teaching and learning (30%).
• Proposal in establishing research institution should be presented to the RTTVP.
• During establishment, the proposal should clearly indicate: the name of the proposed
center/institute; sponsor(s) or partners; Mission and Purpose of center/institute; mem-
bers individuals, organizations or other parties that will participate in the activities;
leadership and Organization structure; involved academic unit and/or Colleges; short-
term and long-term plans; sources of fund for establishing the desired centre or institute;
Personnel, Space and Equipment Requirements; etc.

26
4.12 Research Ethics and Review Board (RERB)
a. Establishment and Mandates of RERB
• The RERB is composed of research review and editorial committee leaders. The
university shall strategically assign research review and editorial committee leaders
considering the representation of various relevant disciplines and gender in RERB.
• The chairperson (obviously vice president for research) and secretary of the RERB
(RDO) shall elect the RERB members. The secretary is responsible to chair meetings in
the absence of the chairperson.
• The RERB plans for regular meetings. The chairperson, however, will call an extra
ordinary meeting at any time if deemed necessary.
• The RERB entertains inquiry of research misconduct(s) and scrutinizes the matter for
disciplinary actions as per the university regulation and the Senate legislation. The
board shall notify the researcher in writing.
• RERB administers, and executes the ethical clearance aspects of the research projects at
the university, and monitors projects for ethical implementation.
• All ethical cases and documents that reach the RERB shall be kept confidential.

b. Research Ethics and Review Process

i. Ethical Clearance:
• Ethical clearance procedures shall follow applicable international laws such as the
Declaration of Helsinki and the Ethical Clearance Guideline developed by the Ethiopian
Science and Technology Agency.
• When applicable, letter of inquiry (LOI) along with research/project proposal from the
respective center/college/institute/school shall be sent to RDO requesting for research
ethical clearance. RDO then compiles all the LOIs, sends to RERB.
• Clinical trials and other research activities involving human subjects; confidential,
sensitive and private information; live animal subjects, and research undertakings of
which activities or results may harm the subject and/or the environment, shall get ethical
clearance prior to the commencement of the research.
• For under age children, ethical considerations shall be dealt with their parents/guardian-
s/caretakers.
• The RERB shall timely review, evaluate and declare project proposals cleared in one
month period.
ii. Research Misconduct:
• Any individual or academic/research unit who believes an act of misconduct has oc-
curred or is occurring should bring the matter to the attention of RERB through RDO.
• Evidence and information relevant to an allegation of research misconduct shall be
collected by RDO and/or the respective research review and ethical ad-hoc committee.
• No report or complaint of alleged research misconduct shall be accepted unless sup-
ported by a preponderance of evidence gathered and evaluated under the framework of
this policy.
• The identity of the complaints, respondents, or members of the inquiry committee
shall not be disclosed to public. Neither shall records or evidence from which research
subjects might be identified be released during the proceedings.
• The individual who raised the concern and/or other individuals shall be interviewed by
the RERB or investigation committee if deemed necessary.
• The RERB exhaustively works on the issue and the individual accused of such wrong
doings shall be informed of the case and asked to react to the matter.
• An examination of all documentations like relevant research data, proposals, field

27
 notes/research journals, publications, correspondence and memoranda of telephone
calls, etc. shall be done if deemed necessary during investigations. Anyone who is
identified as having information related to the accusations shall be interviewed properly
and complete written summaries of each interview should be provided to the individuals
being questioned.
• The final report of the allegation of misconduct must be generated within 60 days
of receipt of the allegation. In addition to interview summary and comments by the
accused and accuser on the draft report, the final report should include:
– Explanation on procedures followed in the investigation, kind of information
collected, sources of information and methods through which data was collected.
– The bases of allegations and summary of the committee’s findings on the allega-
tion.
• If the RERB unable to get evidence for the misconduct, the RERB shall provide a
written notice to the respondent and announce the research misconduct proceeding shall
then be terminated .
• If a person is found guilty, RERC has the authority to impose any sanctions that he or
she determines to be fair and reasonable under the circumstances, up to and including
the termination of the university employees, expulsion of a student from the university
and/or termination of the guilty parties’ contracts.
• Existing policies, DU Senate legislation, and relevant regulations (if applicable) govern
the determination as to whether discipline is to be imposed. The recommended actions
may be taken based on the severity of the problem such that:
– Withdrawal or correction of all pending or published abstracts and papers emanat-
ing from the research where research misconduct was found.
– Removal of the guilty party(s) from the particular project, letter of reprimand,
special monitoring of future work, probation, suspension, salary reduction, or ini-
tiation of steps leading to possible rank reduction of the promotion or termination
of employment.
• The final finding or written reports shall be made available to the accused.

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 5. Dissemination and Publication Guideline

The production of new knowledge through the practices of research and scholarship lies at
the heart of DU’s mission. Yet, without effective and ongoing dissemination of knowledge,
the efforts of researchers and scholars are wasted. Dissemination is thus a core responsibility
of the university. The methods of dissemination include publishing program or policy briefs,
publishing project findings in national and international journals, presenting at national
conferences and meetings of professional associations, and presenting program results to local
community groups and other local stakeholders.

5.1 Dissemination Strategies

Findings of conducted researches must reach the end user since conducting a research is not
merely a goal of scientific inquiry. Thus the university should follow the dissemination of
research findings through one or more available and appropriate modalities to the local and
international community. Dissemination of research output is an important part of the research
process, passing on the benefits to a diverse range of potential beneficiaries of research,
including other researchers, research sponsors, consumers and industry, policy-makers, and
the public. Methods of dissemination continue to evolve and expand, which can assist in more
effectively reaching diverse audiences. The researcher should ensure that research results are
disseminated through publication on reputable journals, conference participation, seminar,
press/media, technology transfer, policy brief, community research outreach, public lecture,
etc.

5.2 Dissemination Implementation Strategies

5.2.1 Incentives Package:
• Reward for publications in reputable journal shall be conducted twice a year based on
the specified journal evaluation criteria’s and impact factor. The reward process will be
facilitated by research and dissemination directorate office.
• Researchers who completed and disseminated their previous research outputs shall
be given priority to apply for new grant. For this purpose, successful completion and
dissemination of prior research projects shall be included as a criterion for prospective
research proposal evaluation accounting for not less than 10%.
• Researchers with track record of disseminating their research outputs shall be given
priority to participate in externally funded collaborative research projects, scholarship
opportunities (training, fellowships, staff exchange, and post-doctoral positions) and
partnership engagements both at local and international levels.
• In addition to other known criteria, publication shall be considered as a central criteria
accounting not less than 20% for different academic/administrative posts in Dilla
university example department head, deanship, directors and vice president positions,
etc.

5.2.2 Staff Capacity Development

DU shall provide an ongoing training and education that promotes and supports responsible
research conduct and assists all researchers, and those in other relevant roles, to follow
institutional policies related to the publication and dissemination of research. Training should
include guidance and responsibilities on:

29
 • Updating on new methods and technologies relevant to quality dissemination
• Management of data and information, including secondary use of the data and informa-
tion and general requirements related to privacy and confidentiality
• Authorship, copyright and licensing standards
• Publication ethics and standards, including how to recognize and avoid publication bias
• Disclosure and sharing of findings and outcomes, including identification and manage-
ment of their potential misuse

5.3 Dissemination and Publication Guideline

Several research projects have been conducted in DU. However, due to lack of proper docu-
mentation, the research work of DU has been invisible. This part of the guideline is prepared
to improve the documentation and dissemination processes for research outputs and teaching
materials. This should ensure that end users would have better access to these valuable outputs.

5.3.1 Requirements and Obligations for Publication and Dissemination

• All DU researchers including graduate students should prepare final reports/manuscripts
from their research work. Staffs who receive funds from the DU shall prepare article,
and/or terminal report and/or policy briefs for publication depending on the modality of
the research fund.
• Accordingly, if the grant is of
– Grand researches - at least two articles and one policy brief shall be published
on accredited or reputable journals, or at least two articles and organizing and
communicating the findings through at least one community research outreach
program.
– Medium scale researches - at least one article shall be published on accredited
or reputable journal;
– Small scale/graduate student funds - researchers are encouraged to produce
a manuscript and publish at least on DU’s conference proceedings, emerging
journals, etc.
– Meta/Systematic analysis - at lease one article shall be published on reputable
journal or accredited journals.
– Externally funded and institutionalized research projects - at least one article
shall be published on reputable journal.
• Manuscripts of any research category can be submitted for publication to any peer
reviewed reputable journals in the world.

5.3.2 Standard and Publication Registration

• A researcher should get his dissemination works (publications, community outreach
programs, technology transfers, etc.) registered to DU dissemination office.
• The registration can be done using the specific format prepared for this purpose by
dissemination office.

5.4 Research Dissemination Platforms

The following dissemination platforms shall be employed to communicate research findings
to relevant stakeholders:

5.4.1 Publishing on Reputable International and Accredited National Journals

• Journals as a means of dissemination shall be given due attention to enhance the visibility
of DU research outputs

30
 • In order to improve the dissemination of DU funded, self-initiated and externally funded
researches, researchers shall publish their research outputs on nationally accredited
journals and reputable international journals.

5.4.2 Publishing on Dilla University Hosted Journals:

• Efforts shall be made to increase the number and quality of journals hosted by Dilla
University.
• Each journal shall have senate approved guideline which governs technical work flow
and quality assurance of the journal.
• Journals will be managed by their respective editorial board, which will be appointed in
merit based competitive manner
• RDO shall coordinate all DU hosted journals and
– Assesses needs and capacity of a college/center/institute
– Provides technical and administrative support
– Covers all journals related costs

5.4.3 Organizing Conferences (National and International):

• There shall be at least three national conferences annually. Of the three, at least one
must be held at academic/research unit.
• Annually there shall be a minimum of one validation conference for DU funded projects
at academic/research unit
• A minimum of one international conference shall be organized every two year. These
can be based on collaborative research projects with a multidisciplinary or specific
theme.

5.4.4 Policy Briefs:

• Researchers shall prepare a policy brief to communicate their outputs upon completion
of externally funded and DU funded grand research projects
• Policy briefs shall be prepared both in English and local language (if applicable)
• Dissemination office of DU shall deliver the policy briefs to concerned stakeholders

5.4.5 Workshops and Symposium:

• Workshops shall be planned and undertaken at the University or academic/research unit
deemed necessary to communicate the findings of research projects to stakeholders.
• In order to disseminate the findings of grand research projects upon their completion,
researchers need to request RDO to facilitate dissemination workshop where necessary.
• In special cases where there is an urgent need to communicate the findings to concerned
stakeholders prior to the completion of the project, RDO shall facilitate the organization
of a workshop.
• Each academic/research in DU in collaboration with centers of interest shall undertake
at least one symposium/workshop per annum.

5.4.6 Seminars/Colloquia:
• Each academic/research unit having post-graduate program shall have at least one
annual graduate research seminar;
• Each academic/research unit shall have periodic seminar at least every two weeks which
shall be executed jointly by the dissemination office and the respective academic unit;
• A colloquium can be used as a platform to disseminate ongoing staff research outputs,
critical appraisals of policies, strategies, and articles/ researches, reviews of books/book

31
 chapters, etc.
• Colloquia shall be undertaken at department/school level and each department shall
plan and execute a minimum of one colloquium annually.

5.4.7 Dilla University Community Radio - FM 89.0

• Research and dissemination directorate and RTTVPO in collaboration with public
relations office shall plan and design programs to communicate research outputs to local
community
• The summary of every event undertaken in DU especially dissemination of research
findings shall reach the community via FM 89.0.
• DU shall have constant program on research to raise awareness on the importance of
scientific methods and increase understanding of the research outputs done in DU and
elsewhere where the issue relevant to the needs of the local community. It will be
carried out twice a month.

5.5 Dissemination Related Offices

a) Statistical Analysis and Editorial Support Office/Team
• RDO will facilitate and organize a team of experts supporting and facilitating staff
engagement and publication dissemination.
• The number of teaming experts shall not exceed four
b) Publication and Output Auditing Officer
• RDO shall organize a system for a timely registration of disseminated research outputs
via various modalities like publication, policy brief, community research outreach, etc.

5.6 Dissemination Rewards/Awards

In order to promote dissemination of research outputs among staff of DU, incentives will be
provided for researcher(s) that published article on accredited or reputable journals, trans-
ferred innovative technology, implemented community research outreach, presented paper at
international conferences, and to best performing researcher(s) and colleges annually.

5.6.1 Dissemination Promotion Reward

a) Article Publication Reward
• Researchers that publish their original research findings on reputable journals shall
be rewarded based on evaluation of their articles as per DU’S reward and incentives
package guideline
• This award shall be implemented twice a year
b) Article Publication Fee:
• DU may cover publication fees required by reputable journals for publication on
competitive base. Selection of manuscripts shall be made as per the criteria developed
by this purpose.
• A researcher shall submit written application requesting publication fee support for
Vice President office along with a copy of article in question.

5.6.2 Staff Conference Participation Reward

Financial support for DU staff presenting their research outputs in international conferences
shall be implemented through:

32
 • An academic staff travelling to present his/her research outputs on national and interna-
tional conferences shall be provided a pocket money to cover part of his/her expenses
incurred during the conference.
• For international conference participants, daily allowances equivalent to 40% of the
rate prevailing in the conference-hosting country shall be covered by DU. Payment of
conference participation fee shall be based on provision of invitation letter written by
the conference organizing institution. The invitation letter shall clearly specify the role
of the participant/researcher, i.e., whether the researcher is invited as a keynote speaker
or paper presenter along with the topic of presentation.
• For researchers presenting their original research output at international conference
in a given academic year, the university shall offer incentives as per DU’s research
incentives reward package (RIRP)

5.6.3 Best Researcher Award

• Publication should be one of the major criteria to award best researchers.
• Each year, best researchers shall be awarded in the Annual Research Conference.
• Best researchers award competition shall be made among researchers who completed
their DU funded medium and/or grand research projects
• Medium and large scale researchers shall compete based on a specific criteria set for
this purpose.

5.6.4 Best College’s Award

• Colleges shall be evaluated in terms of the number of research outputs/publications
proportional to the staff size their respective academic or research unit
• Best performing college or school or institute/center shall be ranked and awarded based
on their performance on the number of publications weighted by the number of staff
• The reward shall be carried out as per the DU’s RIRP;
• Colleges shall compete based on a specific criteria set for this purpose.

5.6.5 Patent and Research Based Innovation Reward

• New inventions/discoveries shall be examined by a team of experts organized by RDO
for originality and patentability in line with the national regulations on intellectual
property
• DU-funded research undertakings that produce new patentable inventions/discoveries
shall be jointly owned by the researcher(s) and the University
• Researcher(s) who got their inventions patented legally by national intellectual property
office of Ethiopia shall be rewarded 15% of the research grant where the patent has
emanated from.
• The reward shall be shared equally among the research team members

5.6.6 Technology Transfer of Non-Patentable (Utility Level) Products:

• Non-patentable new inventions/discoveries shall be examined by a team of experts
organized by RDO for originality and patentability in line with the national regulations
• If the experts decide the invention is not patentable but recommended that the technology
may find application in public sectoral offices, technology transfer permit shall be given
for the non-patentable invention.
• The inventor(s) should prepare a manual, broacher or flier that details out how the
technology can be used by a low skilled user.
• Researcher/s who produced non-patentable invention applicable for technology transfer

33
 inventions shall be rewarded 15% of the research grant where the technology has
emanated from.

5.7 Ethics
• Researchers are accountable for their research outputs and must consider the conse-
quences and outcomes of research prior to its communication. Where research or its
outputs could cause harm to human, animal or plant health or the environment, could
harm national security, or are otherwise confidential or sensitive, researchers should
seek advice from their institution’s ethical review board before the dissemination of
research
• Fabrication, falsification or misrepresentation of research data or source material in a
research output or any communication, including social media and grant applications,
and plagiarism of someone else’s work, including theories, concepts, research data and
source material. Ethical breaches mentioned above and the likes will be handled by
RERB for potential punishment.
• Anyone who attempts any form of plagiarism in DU beyond the acceptable threshold of
20% is deemed to face one or many of the following measures.
1. Corrective measures in the form of advice or warning
2. Revoke the promotion earned via plagiarized work
3. Retraction, Disqualification or cancellation of one’s work where plagiarism is
attempted.
4. Expulsion of the offender form research works tentatively or permanently.
• Communications about research and its findings must identify the host institution(s)
and all sources of support for the research

34
ANNEXES

Annex 01: Proposal — CONCEPT NOTE Submission Template

ationale: Major attention has been given to thematic research programs instead of
R individually conducting fragmented researches which have seldom yielded visible
outputs. Broadly defined, thematic research is a cooperative research requiring mul-
tidisciplinary approach on a priority national problem. The aim of thematic research
extends from knowledge production and accumulation to useable technology creation. Thus
it has a clear potential to contribute to the socioeconomic development of the society and
a country. It requires not only partnership of researchers from diverse fields of studies and
industries but also government institutions and others that will finally benefit from the research
outcomes.
It is advisable to submit a kind of synopsis before writing the full length Thematic Research
Proposal which integrates small, medium and large-scale research proposals. Then, panels
will conduct preliminary sorting of promising proposals and support their full length prepa-
ration. Accordingly, researchers are strictly advised to follow this preparation template and
submit their synopsis to respective panel (RERB).

Submission template
1. Title page: (which includes a concise, and explanatory title of the Research Proposal;
highlights of the research team using the table below):

No. Researchers Name Dep’t Specialization Academic E-mail &

rank phone
1
2

2. Background: should be concisely state the objectives of the work and provide an
adequate background based on recent literature survey (≤ 600 words)
3. Brief problem statement ((≤ 450 words)
4. Major objectives (this major objectives represent major research questions and in line
with each sub-theme titles)
5. Sub-theme titles and respective sub-theme leaders (only for large-scale)
6. Brief methodology (≤ 400 words)
7. Reference
8. Related CV

Remark:
• Respective V/deans and RC directors are responsible to supply DU Thematic Guideline for
researchers so as to help them stick to rules of the guideline,
• Promising synopsis will be selected and supported for full-scale proposal development

35
Annex 02: Checklist of Criteria for Evaluation of Scientific Research
Proposal
Title:

Review date
S.N Description Max. Earned
value Mark
1 Technical feasibility and soundness of rationale/conceptual frame- 20
work, problem, objectives and Methods
Originality 7
Problem 4
Objectives and Rationale 4
Methods 5
2 Alignment and relevance to a specific research calls/themes 5
3 The research proposal address the national and local priorities 35
Enhancing the use of emerging/new technologies, theories, and concept 6
Contribution for new knowledge, technologies, ideas and build new 6
capacities
Relevance for social equity and policy inputs 4
Interlinking between research undertakes, teaching and community 5
services
Producing marketable and social acceptable outputs and outcomes 4
Emphasis on vulnerable groups (landless youth, women, disabilities, 5
and pastoralists) and Sustainable Development Goals (SDGs)
Attention to Dilla University’s catchments priories (Coffee, population 5
growth and demography agroforestry and livelihood, Pastoralism, and
other milestone of livelihoods)
4 Outputs and Outcomes 22
Plan for publication in one/more journals of DU identified publishers or 7
equivalent specific journals (Specified No of publications with tentative
manuscript titles)
Prospective community service directions of implementation the re- 5
search output
Plan for involving and graduation success of undergraduate and post- 6
graduate students (with number students)
Involvements of stakeholders (concerned sectorial experts) as the re- 3
searcher
5 Language and formatting of the proposal 5
6 Financial and time plan feasibility 5
7 Researchers Profile (Evaluated from CV) 8
Subject matter 2
Project Management skills and experiences 2
Publications (number and relevance) 4
Total 100
1 With respect to all disciplines (health, social welfare, education, governance, entrepreneurship, agriculture, & environment)
2 For small scale research minimum one and two or more publications for medium and thematic research proposals
3 For thematic research postgraduate students are mandatory and undergraduate in small scale proposals
4 Applicable for only medium and thematic research proposal, the sectorial researcher invitation and acceptance letter should

be annexed with the proposal

Note: Affirmative action for female researchers; PI = 2pts, 1 Co-I=1pts, geq2Co-I=2pts will be added
Name Signature Date

36
Annex 03: Evaluation Criteria for Proposal Open Defense
Title:

Presentation date

S. Description Maximum Earned

No. value Mark
1 Explanation 10
Articulation of the problem 5
Articulation of the proposed solution 5
2 Effort and Devotion 15
Confidence 5
Reflected commitment 5
Reflected effort in reviewing all related knowledge 5
3 Technical competence 15
Grasp of concepts and ideas 5
Understanding local dimension/contexts 5
Question handling 5
4 Presentation 10
Presentation style (Gesture and PowerPoint Preparation) 3
Time management 2
Language 3
Presence of all researchers 2
Total 50

Name of Evaluator Signature Date

37
Annex 04: Research Contract Agreement Form

DILLA UNIVERSITY
Research & Dissemination Directorate
Research Grant Agreement Form

Project code: Research Theme

Type: Staff/Thematic/Research Centre:
This research grant agreement is entered between Dilla University and Mr. xxxx xxxx (herein after
referred to as the researcher(s) on this day of xx/xx/xxxx. The university has allocated a total of
Birr xxxxx (xxxxxx birr) from research and dissemination program budget and the researcher(s) will
undertake the research project entitled "
".
To be carried out in one/two phase during xxxx/xx/xx to xxxx/xx/xx
General Objective:
Outputs/outcomes to be delivered xx/xx/xxxx (end date of project)
Therefore, it is hereby agreed and declared by and between the two parties as follows:

ARTICLE I
RESPONSIBILITIES OF THE RESEARCHER(S)

The researcher(s) shall

1.1 Undertake the research in accordance with the terms and conditions set forth in this document and
in accordance with the rules and regulations stated in Research and Publications Policy and Guidelines
of the university.
1.2 Submit progress, planned outputs/outcomes, final and financial reports in accordance with Article
III of this agreement.
1.3 Respond duly to requests from delegates for research affairs in respective colleges/institutes/school/-
center about presentation of progress reports and proper conduct of research.
1.4 Present the data and findings of the research in seminars/conferences.
1.5 Publish the research findings in a reputable journal(s).
1.6 Extend the finding(s) to application in a community (if appropriate) in the form of extension
whereby the university gets involved in the facilitation.

ARTICLE II
AMOUNT OF GRANT

The university agrees to allocate Birr xxxxx (xxxx birr) to the researcher(s) for phase one/two to be
conducted during xx/xx/xxxx to xx/xx/xxxx commencing on this day of xx/xx/xxxx. The fund shall be
administered by both principal and co-researchers and controlled by dean/vice dean for research affairs
of college/institute/school/center and by the respective committee for the check balance (in the case of
thematic research area) and approved by Research & Dissemination Directorate of Dilla University.

38
 ARTICLE III
SCHEDULE OF DISBURSEMENT OF FUNDS AND SUBMISSION OF REPORTS
3.1 A further release of the budget shall be done only when the following two conditions are fulfilled:
i. Production of an interim report describing the work already done and financial documentation
detailing expenditures made up to the point and approved by the research council of respective
college/institute/school/center.
ii. For all researches that have surpassed 1 year and above, the planned research output is found
published in reputable national or international journal (s).
3.2 The researcher(s) shall submit progress reports first to the director/vice dean for research affairs of
college/institute/school/center who shall in turn submit it to respective research council for approval.
The reports shall be submitted to RDO along with the approval letter through the vice deans.
3.3 Copies (hard and soft) of the final version of research paper shall be made available to the
college/institute/school/center and the output should be prepared for publication or dissemination
through extension based on the consent reached upon with RD office.
ARTICLE IV
UTILIZATION OF THE GRANT AND SUPERVISION
4.1 The researcher(s) shall not utilize the funds for purposes other than what is stated in the research/pro-
ject proposal or in payment requisition form.
4.2 All principal and co-researchers have equal right to utilize and manage the fund for purposes stated
in the project proposal payment requisition form.
4.3 After the completion of the project, financial report of the unutilized amount of the funds shall be
returned to the university.
4.4 After the completion of the project, any material or equipment acquired from this research fund
shall be the property of the university which the researchers are affiliated.
4.5 The Research and Dissemination Office has the right to supervise/oversee the implementation of the
project, and request the researcher(s) for a written report about the status of the project and utilization
of the grant at any time of the agreement period.
ARTICLE V
BREACH OF AGREEMENT
The following acts shall be considered as breach of agreement:
5.1 Utilization of the grant, partially or wholly for purposes other than what is stated in the approved
research/project proposal or in payment requisition form.
5.2 Failure in responsibilities stated in article I and failure in the submission of planned outputs/out-
comes and reports (both progress and final) as stated in Article III.
5.3. Failure to submit progress and final reports as requested by appropriate authority.
5.4 Failure to publish research findings in journals when the project is completed.
5.5 Failure to achieve the outputs/outcomes stated in the proposal.
5.6 Act of plagiarism, and presentation of false data.
5.7 If there is a breach of agreement, the university will stop funding the research/project and may
force the researcher to refund the utilized fund.
5.8 The researcher/s shall be liable for non-performance of his/her/their responsibilities, as stated in
the agreement and senate Legislation of the university.

39
 ARTICLE VI
EFFCTIVE DATE OF AGREEMENT

Expenditure in Birr
No. Descriptions Unit
Unit cost Total
1 Investigators’ perdiem
2 Data collectors perdiem
3 Field assistant
5 Diagnostic cost
6 Stationary
7 Transportation
8 Refreshment
Subtotal
Contingency
Grand Total

This agreement shall enter into force on this day of XX/XX/XXXX.

On behalf of the University, A/R/V/President On behalf of the Researcher(s)

Name Name
Sign. & Stamp Signature Date:
Date Name
Signature Date:
Name
Signature Date:
Name
Signature Date:
Name
Signature Date:

Research and Dissemination Director Dean/Dir. of College/Institute/School/-

Center
Name Name
Sign. & Stamp Sign. & Stamp
Date Date

1. Source(s) of fund: Research and dissemination program budget of Dilla University

2. Period needed to complete the research: xx/xx/xxxx to xx/xx/xxxx.
3. The work is planned in phase
4. Amount utilized in the previous phases
5. Part of the personal expenses approved for the current phase of the work
6. Installment(s) Total amount birr
7. Period to complete this phase of the work: xx/xx/xxxx to xx/xx/xxxx
8. Work plan for the current phase of the project
9. Budget requested (prepare in the table above)

40
Annex 05: Research Project Progress Report Format
I. General Information
1. Theme
2. Sub-theme
3. Title of the project:
4. Duration of the project Ref. No.
5. Reporting Period:
6. Funding:
a. Sources/s of funding:
b. Amount in Ethiopian Birr:
7. Project management/Co-ordination:

S. Name of Role (PI, Research/ E-mail Telephone

No. researchers co-researcher) Academic
unit
1
2

Other partner/collaborating organizations (outside of DU) with addresses of contact person (s)and their
role in the project(if any):

S. Partner organi- Address Contact per- Specific E-mail

No. zation son role
1
2
3

8. Fund utilized (Eth. Birr):

9. Financial expenditure (detailed expenditure for the reporting period by budget item).

Expenditure in Birr
No. Descriptions Unit
Unit cost Total
1
2
3
Grand Total

II. Details of the Progress of the Research Project

10. Short description of the project:

11. Objectives (Specific):

12. Major project phases:

41
13. Methodology and approaches used:

14. Work plan for the current reporting period (state briefly the work plan for the project until the
current reporting is made):

15. Achievements/progress:

16. Project output description- Summary of scientific results obtained:

17. Problems encountered:

18. Measures to be taken:

19. Work plan (description of the work plan for the remaining project period, including the research
time table):

20. Additional remarks (if any):

21. Approval by the thematic leader

On behalf of the researchers I, the undersigned, approves that I am involved in the work reported and
also in the preparation of the report. I also assure that the work is progressing as planned and will be
completed by and yield the outcomes stated in the project proposal.

S. Name of the thematic leader, and Academic/ Signature Date

No. research unit, Dean, V/ Dean/ director,
1
2
3

..............................................................................................................................................................
For Official Use
RDO Comments:

Name Signature Date

42
Annex 06: Final Research Report Format
A final research report should include the following headings:
• Title page (Title and cover information)
• Abstract (≤ 250 words)
• Acknowledgments (if any)
• Abstract
• Table of content
• List of Tables & figures (if any)
• List of symbols and Acronyms (if any)
1. Introduction
• Background
• Statement of the Problem,
• Objectives,
• Significance
• Scope (methodological scope, spatial scope, analytical scope, and temporal scope)
• Ethical issues
2. Literature review
3. Materials and Methods
4. Results and discussions
5. Conclusions and recommendations
• References
• Appendices
– Raw data
Report formats:
• Paper size: A4
• Cover page should be centered
• All headings should be left justified
• Font type: Times New Roman
• Font size
– 14 for cover page and main headings
– 12 for subheadings(only up to three sub-headings allowed) and texts
• Line spacing should be 1.5
• Margins: all margins 1.0 inch
• Printing: on both sides of A4 paper
• Binding: Hard cover (no spiral)

43
Annex 07: Research Contract Agreement Form-(PG Students)
DILLA UNIVERSITY
Research & Dissemination Directorate
Research Grant Agreement Form
Program: Research & Dissemination Project code
Type: Staff/Thematic/PG Student/Research Centre
This research grant agreement is entered between Dilla University and
(herein after referred to as the researcher(s) on this day of . The university
has allocated a total of Birr ( ) from program bud-
get and the researcher(s) will undertake the research project entitled:
to be carried out in phases dur-
ing to .
General Objective

Specific Objectives:

Outputs/outcomes to be delivered by (end date of project) Therefore, it is hereby

agreed and declared by and between the two parties as follows:

ARTICLE I
RESPONSIBILITIES OF THE RESEARCHER(S)
The researcher(s) shall
1.1 Undertake the research in accordance with the terms and conditions set forth in this document and
in accordance with the rules and regulations stated in Research and Publications Policy and Guidelines
of the university.
1.2 Submit progress, planned outputs/outcomes, final and financial reports in accordance with Article
III of this agreement.
1.3 Respond duly to requests from delegates for research affairs in respective colleges/institutes/school/-
center about presentation of progress reports and proper conduct of research.
1.4 Present the data and findings of the research in seminars/conferences
1.5 Publish the research findings in a reputable journal(s)
1.6 Extend the finding(s) to application in a community (if appropriate) in the form of extension
whereby the university gets involved in the facilitation.
ARTICLE II
AMOUNT OF GRANT
The university agrees to allocate Birr ( ) to the re-
searcher(s) for phase to be conducted during to commencing on this
day of . The fund shall be administered by both principal and co-researchers or
by the thematic research leaders and controlled by dean/vice dean for research affairs of college/in-
stitute/school/center and by the respective committee for the check balance (in the case of thematic
research area) and approved by Research & Dissemination Directorate of Dilla University. The re-
searchers shall submit quarterly, biannual, annual and final reports of the financial and progress reports
of the research projects to the respective college/institute/school/center vice dean or director and
subsequently to Research & Dissemination Directorate of Dilla University.

44
 ARTICLE III
SCHEDULE OF DISBURSEMENT OF FUNDS AND SUBMISSION OF REPORTS
3.1 Birr ( ) of the amount allocated for the current phase of the work
shall be released to the researcher(s) within a few days after the signing of the agreement.
3.2 A further release of the budget shall be done only when the following two conditions are fulfilled:
i. Production of an interim report describing the work already done and financial documentation
detailing expenditures made up to the point and approved by the research council of respective
college/institute/school/center.
ii. For all researches that have surpassed 1 year and above, the planned research output is found
published in reputable national or international journal (s).
3.3 The researcher(s) shall submit progress reports first to the director/vice dean for research affairs of
college/institute/school/center who shall in turn submit it to respective research council for approval.
The reports shall be submitted to RDO along with the approval letter through the vice deans.
3.4 Copies (hard and soft) of the final version of research paper shall be made available to the
college/institute/school/center and the output should be prepared for publication or dissemination
through extension based on the consent reached upon with RD office.
ARTICLE IV
UTILIZATION OF THE GRANT
4.1 The researcher(s) shall not utilize the funds for purposes other than what is stated in the research/pro-
ject proposal or in payment requisition form.
4.2 All principal and co-researchers have equal right to utilize and manage the fund for purposes stated
in the project proposal payment requisition form.
4.3 After the completion of the project, financial report of the unutilized amount of the funds shall be
returned to the university.
4.4 After the completion of the project, any material or equipment acquired from this research fund
shall be the property of the university which the researchers are affiliated.
ARTICLE V
SUPERVISION
The Research and Dissemination Office has the right to supervise/oversee the implementation of the
project, and request the researcher(s) for a written report about the status of the project and utilization
of the grant at any time of the agreement period.
ARTICLE VI
BREACH OF AGREEMENT
The following acts shall be considered as breach of agreement:
6.1 Utilization of the grant, partially or wholly for purposes other than what is stated in the approved
research/project proposal or in payment requisition form.
6.2 Failure in responsibilities stated in article I and failure in the submission of planned outputs/out-
comes and reports (both progress and final) as stated in Article III.
6.3. Breach of agreements stated in articles I-VI.
6.4. Failure to submit progress and final reports as requested by appropriate authority.
6.5 Failure to publish research findings in journals when the project is completed.
6.6. Failure to achieve the outputs/outcomes stated in the proposal.
6.7. Act of plagiarism, and presentation of false data.

45
 ARTICLE VII
EFFECT OF BREECH OF AGREEMENT
7.1 If there is a breach of agreement, the university will stop funding the research/project and may
force the researcher to refund the utilized fund.
7.2 The researcher/s shall be liable for non-performance of his/her/their responsibilities, as stated in the
agreement and senate Legislation of the university.
ARTICLE VIII
EFFCTIVE DATE OF AGREEMENT
Title of Research:

Researchers: Name (Department) ( )

1. Source(s) of fund: program budget of Dilla University
2. Total grant approved for the research: which is the sum of
approved for purchase of materials, approved for service charge
for personal expenses.
3. Period needed to complete the research: to
4. The work is planned in phases and phases have been completed.
5. Amount utilized in the previous phases
6. Part of the personal expenses approved for the current phase of the work
7. Installment (s) amount
8. Period to complete this phase of the work: to
9. Work plan for the current phase of the project:

10. Budget requested (prepare in the following table)

Expenditure in Birr
No. Descriptions Unit
Unit cost Total
1
2
3
4
Grand Total

This agreement shall enter into force on this day of .

On behalf of the University, A/R/V/President On behalf of the Researcher(s)

Name Name
Sign. & Stamp Signature Date:
Date

Research and Dissemination Director Dean/Dir. of College/Institute/School

Name Name
Sign. & Stamp Sign. & Stamp
Date Date

46
Annex 08: PHD Student Financial Support Agreement

DILLA UNIVERSITY
Research & Dissemination Directorate
PHD Student financial Support Agreement
THIS AGREEMENT is entered between Dilla University (herein after referred to as the University)
and hereinafter referred to as PHD Student). WHEREAS as per the decision of
the administrative council with the prime objective of supporting PHD students this financial support is
awarded to the aforementioned student after successfully defended his/her proposal.
Now ,THEREFORE, the parties hereto are mutually agreed that:-
1. As a financial support the university has allocated a total of Birr / /
from program budget.
2. The payment admissible under the financial support agreement shall be released subject to the
satisfactory performance of the PHD student and after successfully defended his/her proposal.
3. The PHD student shall support the requirements stipulated herein above, by document issued by
appropriate organ.
4. This Agreement shall be considered as an extension of prior service agreement ( a service agreement
concluded between Dilla University and staff member related with his/her PHD study) signed by the
two parties.
5. The PHD student shall not be required to produce financial documents detailing expenditures.
6. The PHD student agrees that if he/she fails to complete his/her study or fails to return from the leave
of absence and serve at the university, the PHD student shall be liable to pay the total amount stated
under Article one of this agreement.
This agreement shall enter into force on this day of .
IN WITNESS WHERE OF the parties here to have signed this agreement hereunder

On behalf of the University, Re/T/- PhD Student

Tra/V/President
Name Name
Sign. & Stamp Signature Date:
Date

Research and Dissemination Director Department Head

Name Name
Sign. & Stamp Sign. & Stamp
Date Date

Director for Academic programs Dean/Dir. of College/Institute/School

Name Name
Sign. & Stamp Sign. & Stamp
Date Date

Copies:
1 for RDO, 1 for Human Resource and Development, 1 for AD, 1 for RTTVP, and 1 for PHD student.

47