Research Policies

Approved by the University Council on August 7, 2008.

 

Preamble

In alignment with its mission as a non-profit educational institution, Notre Dame University-Louaize (NDU) has always embraced external support for research activities, projects, and/or programs. This support is vital as it enables students and faculty to pursue knowledge and its practical applications effectively. 

Definition

'Sponsored Research,' as used in this policy, refers to research activities that require the University’s facilities, assistance, or budget and, in general, are supported and/or funded in whole or in part by an external or internal source¹.

The external source may include governmental or non-governmental agencies and/or organizations, business firms, foundations, institutes, private companies, personal donations, fundraising for research, among others. The internal source refers to the University research funds. Based on available funds, NDU partially or fully supports and sponsors competitive research submitted by faculty or students. 

 

General Considerations

• It is a fundamental policy of NDU to encourage faculty members to engage in fundamental research to further their professional and academic development in serving themselves, the university, and the field of knowledge. However, sponsored research is expected to be consistent with the academic interests or priorities of the university or with those of the sponsor.
• Regarding sponsored research, faculty members are responsible for writing their proposals. Once approval is granted and an agreement is signed, it becomes the faculty member's responsibility to comply with the specific terms and conditions associated with the project, including providing progress reports to the funding body and the Vice President for Sponsored Research and Development (VPSRD), who will forward the reports to the respective head of unit in the University.
• Faculty members are expected to maintain budgetary control through coordination with the University bookkeeping budget and financial control system.
• The VPSRD’s Office is responsible for providing the Business Office with necessary budget information, requesting the establishment of a project account number, and taking administrative steps needed for proper management throughout the research project period.
• During the project period, the VPSRD's Office should be notified of any modifications to the terms and/or conditions associated with the agreement. In case of contract/agreement violations, the University has the authority to investigate and settle such cases according to its adopted rules and regulations.
• Upon project completion, the concerned faculty member(s) (or student) must notify the VPSRD's Office to close the file and instruct the Business Office to lock and settle the account.
• In principle, the University does not impose limitations or restrictions on the rights of faculty or students to disseminate or publish the results of sponsored research unless such limitations or restrictions are incorporated into the research agreement. Faculty and students are advised to adhere to all agreements reviewed by the University Research Board (URB) that may contain limitations or restrictions. Finally, it is the University policy to undertake research on a 'best efforts basis,' without guaranteeing results.

 

Research File

For all sponsored research, the project or program file should include:

A formal research proposal.

Assistance and/or Budget Justification:

• A description of the expense or service
• How it relates to and benefits the project
• The anticipated cost
• The time period
• Any other information that will aid the sponsor in evaluating the proposed cost

The written approval of the concerned Chairperson and Dean. In proposals involving faculty members from more than one department or faculty, the written approval of the concerned Chairpersons and Deans is required.

Procedure

Proposals sponsored by external source(s)

Within the Faculty structure:

• A formal research proposal that requires university facilities, budget, and/or assistance must first be submitted to the concerned department (or departments) for initial approval.
• After departmental approval, the proposal should secure the concerned Dean’s (or Deans’) approval.
• Once approved, the proposal is forwarded by the concerned Dean to the Vice President for Academic Affairs (VPAA).

Outside the Faculty structure, i.e., through one of the research centers at NDU or through an academic or administrative unit placed outside the Faculties. These proposals should first secure the initial approval of the concerned Center; then they should be submitted to the URB for review. After, they are forwarded to the VPSRD and President for final approval.

Proposals sponsored by NDU

Proposals requesting NDU’s support should secure favorable recommendations from the respective and concerned director(s), Chairperson(s), Dean(s), URB, and VPAA before they receive final approval from the President.

Evaluation Criteria

The criteria for evaluating proposed research projects include the following:

Evaluation of Proposals Sponsored by External Source(s)

Evaluation of a proposed research project sponsored by an external source should be arranged by: a representative of the sponsoring institution, a specialized faculty member in the concerned department, and a specialized external scholar, if necessary.

Evaluation of Proposals Sponsored by NDU

Evaluation of a proposed research project sponsored by NDU should be arranged by: a specialized faculty member in the concerned department, a member of the University Research Board (URB), and a specialized external scholar, if necessary.

Responsibility for the Project

When the evaluation reports are submitted to the concerned Director or Chair, a clear evaluation statement of these reports (and of any other relevant aspect) should be submitted by the Director or Chair to the concerned office (next in line in evaluating the project) as indicated above.

University Support

A research project that is totally dependent on university support should not involve the University beyond its general capacity.

The following are to be considered:

• Availability of facilities: equipment, space, library resources, etc.
• Volume of research in relationship with: the set budget, the number of personnel to be involved, the faculty/staff workload, administrative attention, etc.

 

Extra Compensation

University faculty or staff members who engage in research activities/projects may be compensated for services rendered that fall outside the scope of their basic duties (teaching, research, committee work, etc.) as outlined in their letters of appointments or job descriptions with the university.

Faculty compensation for the previously mentioned extra services must be acknowledged by the appropriate Dean and the Vice President of Academic Affairs (VPAA) and must secure the approval of the president.

Extra compensation (for extra work) for staff members must be approved by the Director of Administration and the President.

Potential Conflicts of Interest

Faculty members are expected to:

• Refrain from accepting research sponsorship from a company, firm, or agency that seems to have contradicting or conflicting values with those of the mission of the university.
• Maintain professional performance in fulfilling their duties to the University and to their research, i.e., to avoid discrepancies between personal interests and professional services, ensuring that the academic interests of both the faculty members and the University are well served.

 

¹Conferences, seminars, workshops, etc., are not included in the scope of compensation for extra services. 

Note: This policy will be implemented as of October 1, 2008.