POLICIES AND PROCEDURES
The Chair of the Board of Trustees
- Seen Anukret No 63 ANK.BK, July 7, 2006, on the recognition of the University of South-East Asia.
- Seen Decision No 13 AYK/SSR, April 12, 2010, on the recognition of the changed Faculty Names and Majors of University of South-East Asia.
- Seen Decision No 0574/11 SSA, April 20, 2011, on the organization and functioning of the Academic Board.
- Seen Regulation No 0001 SSA/BP, August 14, 2006, regarding the board of trustees.
These policies and procedures shall be known as “Research & Development Office Policies and Procedures”.
The Research & Development Office (R & D O) shall exercise administrative jurisdiction over all research & development programs and activities in the University.
This document serves as the official reference in setting goals and objectives, decision making, provides a basis for developing consistency, quality management, accountability and strategic inclination for research and development (R&D) activities.
The purposes of the policies and procedures are to define the principles that will:
a) Support to familiarize faculties and students in R&D processes and innovations.
b) Broaden and develop the R&D capacity of the University to all disciplines and to extend/sustain the research-based knowledge to national and international community.
c) Coordinate R&D programs/activities to Faculties and Center of Study.
d) Provide R&D results through education, social cooperation and extension;
e) Promote R&D training and capacity building.
f) Uphold quality and outputs management and increase graduate R&D activities in the University.
g) Establish procedures to manage and use institutional R&D allocations and grants.
h) Encourage and empower research staff to achieve R&D awards and publicity.
i) Seek internal and external funding for R&D programs.
Article 5. General Policies
The general policies shall apply to all members of the University community and other users of the university resources.
a) R&D activities will aim to fulfill the University vision, mission and goals in line with Cambodia’s research policy on R&D in the education sector and in the Millennium Development Goals.
b) The University will take into consideration the goals and priorities established by proper government authorities in establishing R&D priorities.
c) The staff shall be free to conduct R&D activities in any area, provided that it adheres to the University’s ethical principles and values.
d) The university shall recognize the value of both international and local based-research with direct benefit to the country.
f) The University will have priority areas for R&D for the preferential use of resources. The priority areas will be specified in the University Research Handbook.
Article 6. Specific Policies and Procedures
The following are the specific policies on students and faculties in relation to R&D.
A. Student Research
1. The students to be aware of the R&D processes can avail of the following:
a. Access to Research Information Corner (RIC) located at USEA library. The R & D office provided the various and updated research information;
b. Knowledgeable and experienced research advisers to guide in conducting the research work;
c. Research coordinator from the academic offices for the proper schedule of research proposal/thesis defense and monitoring of the student research work/activities;
c. Outsider panelists for evaluation, comments and suggestions to the research proposal/final thesis of students; and
d. Competent editors (English and Khmer) to be recommended by the student respective research adviser.
B. Research Adviser
a. The Dean of the respective Faculties and the Director of the Research & Development Office (R & DO) office shall approve the list of qualified research advisers. R & D O will provide the list to the students at the beginning of the first term of each academic year.
b. The students will choose their research adviser from the list.
c. Duties and responsibilities of research advisers:
1. The standard qualification of a research adviser:
- Full time lecturer of USEA;
- Master’s degree holder;
- Research experience with research output and /or publications;
- Willing to devote time and effort to student research consultation;
- Have good evaluation based on previous research advisee’s evaluation;
- Has good record with Research & Development (R & D) office.
2. Assists the student in choosing the research topic and title.
3. Monitors the student in the conduct of research /thesis according to their timetable.
4. Reviews/checks research proposal/thesis manuscript in compliance with USEA’s format.
5. Provides technical and moral guidance to the student up to the completion of the research study.
6. Reports to R & D office the progress of student research.
7. Provides at least one-hour consultation time per week for students.
8. Gives the final grade to student based on research output.
9. The research adviser will received a compensation fee based on the amount agreed upon by the Academic Committee.
Conduct of student research
Students can do the research work individually or in group. Student can select his group members provided that each group does not exceed 5 students in one group. Each group must choose/have a group leader.
a. No group shall not exceed 5 student members, in case of additional member, the group leader must have a written request subject for approval of their adviser and the Director of R & D Office.
b. Re-grouping of the students will only be allowed prior to their date of proposal defense.
c. Problems arising from the group must be settled with the presence of the research adviser. If the problems are not solved the R & DO Director must be notified in writing noted by the research adviser and academic dean. The R & DO Director will decide based on the University policies and regulations.
Choosing a research adviser
a. The students has the right to choose their research advisers subject to the approval of the R & D Office and upon consultation with their respective academic deans. The nomination form of research adviser is available at the Academic Office and to be accomplished by the student. A maximum of 5 groups of student researcher per research adviser is strictly implemented.
b. The students will be allowed to have more than one (1) adviser provided their professional assistance will contribute to a meaningful research study.
a. The research title/topic approved by the advisers will be submitted to the R & D Office for evaluation and approval;
b. The Academic Office coordinator will check to the title/topic to avoid duplication to conform with the university research priorities;
c. The approved topics or titles will forwarded to the Academic Deans for consent.
d. The approved topics or titles will be returned to the students through the R&D office.
Presentation of the Research Proposal
a. The Academic Office will schedule the proposal defense based on the timetable of activities. All groups must defend their research proposal on the schedule date.
b. The proposal defense will be evaluated by a panel.
c. The Academic Office will organize a panel/committee composed of a chairman and two members to evaluate the research proposal.
d. Each member of the panel will be given a copy of the research proposal at least three (3) days prior to proposal defense. They must give comments and suggestions on the evaluation form provided by the Academic Office.
e. Only the group which submitted a complete research proposal will be included in the proposal defense.
f. Each group is given thirty (30) minutes to present the research proposal. The time schedule is divided as follows: 20 minutes for presentation; 10 minutes for question and answer.
g. Students must wear their university uniform with nameplates for identification during the research proposal presentation.
h. Students must come on time. Late comers are not allowed to present their proposals. Letter of request having valid reason to re-schedule the presentation must be submitted to Academic Office for approval.
i. The research proposal may be rated as:
1. Approved without revisions;
2. Approved with minor revisions ( 50% is correct);
3. Disapproved with major revisions (More than 50% is not correct);
4. Disapproved (the student must conceptualize another research proposal defense subject to approval by the committee or re-defense.
5. The research proposal re-defense must be done within two (2) weeks.
6. The two panelists/committees must give the student researcher the individual grades based on the criteria stated in the evaluation form.
7. The Academic Office must issue the official result of the research proposal defense the following day after the scheduled date.
j. The students must successfully defend their research proposal before they continue the research study.
Final Oral Thesis Defense
1. The Academic Office will organize the schedule of the Final Oral Thesis Defense. All groups must submit the complete requirements of the final defense.
2. Each group will be given one and half (1.5) hour to present their Final Oral Thesis Defense The time schedule will be divided as follows: 30 minutes for presentation of research highlights; 55 minutes for cross examination and question and answer; and 5 minutes for deliberation.
3. The Academic Office through the Academic Coordinator will facilitate, monitor and evaluate all the activities during the oral defense.
4. The R& D Office will confirm the Examination Evaluation Committee (EEC) for the Final Oral Defense schedules of the student. The EEC will be composed of five (5) members: three (3) members will be assigned by the Academic Office at least one is a member of the research proposal panel; while the fourth member, a guest panelist, will be recommended by R & D Office and the fifth member will be chosen by the student. The Research Coordinator can sit in the panel/committee in the absence of the guest panelist.
5. The R & D Office in coordination with the Academic Office will designate the chair of the members of the Examination/Evaluation Committee. The specific responsibilities of the chair are:
a. lead/in- charge of the group defense:
b. acts a moderator in the deliberation of critical issues or questions; and
c. explains or discusses with the students the reasons for revision or re-defense.
6. The members of the ECC will be given a copy of the corrected/completed thesis manuscript at least 3 days before the scheduled date of the oral defense. All members of the EEC must give their comments and suggestions on the evaluation form provided by the Academic Office.
a. Only written comments and suggestions shall be considered as bases for the final approval of thesis.
b. Members of the EEC must be specific in their comments and suggestions (i.e. identify what and how to revise).
7. When disagreement of ideas between and among the ECC members, research adviser and students, the R & D Director will be consulted for final decision.
Content of abstract
1. Abstract should not exceed 300 words, two pages and double-spaced.
2. Abstract must contain the name of researcher/s, name of University, month and year of thesis completion, title of the research, name of adviser/s and committee members.
3. It must contain the rationale of the study, objectives, methodology, significant findings, conclusions and recommendations.
Submission of the final thesis document
a. The student must submit one soft copy and two hard copies of the thesis documents to the Academic Office;
b. One copy of the abstract each in English and Khmer will be submitted to the R & D Office to be compiled for research information and be accessible to researchers at the Research Information Corner (RIC), USEA, and Library.
External and internal research grants and sponsored programs
1. The USEA Research Team (URT) will be the standing committee of the R & D Office.
2. The URT will provide the R & D Office information on matters on external and internal research, grants and sponsored programs
3. The URT will fulfill their duties and responsibilities as specified.
Faculty research is an essential role of the academic staff to prove the competence in the respective research undertakings. However, the willingness to pursue this goal has been constrained by the lack of Resources such as manpower, facilities and finances. At present, the University, is in the initial stage of finding research resources specifically manpower and funds. The full time and part time lecturers are involved to participate in the research and development program of the university as qualified research adviser and members in the students research panel.
The Director of the Research & Development Office will act as Executive Officer and will preside the meetings of the Research & Development Office.
The Director of the Research & Development Office shall be appointed by the USEA Management Team upon nomination of USEA’s President.
The term of office of the Director shall be three years without prejudice to re-appointment and until a successor shall have been appointed.
The Director of the Research & Development Office shall perform the following functions:
a) Assists the President in the coordination of research and project development in the University.
b) Coordinates the development and implementation of research program in the University.
c) Initiates innovative techniques/changes for efficient planning, implementation, performance and evaluation of the research programs and reports research and services in the university to the top management.
d) Supervises the publication of technical and popular paper/research and implement an extensive and efficient distribution system;
e) Coordinates staff development of faculties, research and administration staff ;
f) Assists in resource generation and in the establishment of institutional linkages and community services;
g) Attends local and international meeting in relation to R & D Office functions;
h) Approves the list of capable research advisers;
i) Monitors the faculty and student researches;
j) Prepares reports for the Research & Development Office (R& D O);
k) Performs other functions that the President may require/assign from time to time.
The Research & Development Office (R & DO) shall have one standing committee: The USEA Research Committee (URC). This committee shall be composed of five to seven members.
The chair and members of the committee shall be appointed by the Director of the Research & Development Office (R & DO).
The chair and members of the committee shall serve for a period of three years without prejudice to re-appointment.
The committee shall perform the following functions:
a) assists the R&DO and the faculty concerned in the implementation of research activities; and
b) provide an academic assessment of the research.
The researchers shall be responsible for ensuring the academic quality and reliability of research and research outputs. Assessment and management of the academic quality of research shall be the responsibilities of the faculties, centers and/or offices.
The University shall have a centralized quality management system for the approval and monitoring strategy/ies of all funded research studies/projects.
All teaching units shall have at least one research program.
Research centers shall be established to promote excellence.
The University through the R&DO will identify existing research strengths and weaknesses, potential research areas and additional resources to the said identified areas.
The University will strive to set internal funding for research in particular to the manpower capability building.
The University will have the procedures for recognition and rewards of the successful and deserving researchers.
The promotion of the staff/faculties will be based on research appraisal, performance priorities and policies.
The Universities will identify and adjust policies or practices which hinder or discourage research and development activities.
Collaborative research with outside organizations will be approved only if there is a well-defined capacity building component benefits to the University of South-East Asia or where the study makes a significant contribution to the national/local development.
The University will provide trainings in the management and practices of research and related topics to enable the staff develop their research capabilities.
Subject to funding and availability of facilities, the University will develop and maintain research resources and facilities for staff and students with international standards.
The University shall continue to develop graduate research program.
All qualified staff (defined in the Graduate School) shall be eligible to supervise research students.
Progress of staff undertaking graduate studies overseas will be monitored regularly. Staff shall be encouraged to have a University of South-East Asia supervisor or advisor, approved by the Graduate School, and by the collaborating university.
Procedures will be established to ensure that all externally funded research proposals and projects are evaluated and approved prior to submission and monitored for progress.
Overhead income recovered from a project shall be used to support other University research activities. Overheads will be apportioned between University research funds (40%), the office (20%) and research activity of staff members (40%).
The University will provide research services to the sponsor and shall ask/seek to include the direct and indirect costs of the project in the budget of the would be funded research/project. However projects may be undertaken even less than the estimated costs/funds provided that there are other benefits to the University.
The research staff shall be accountable to the effective use of resources allocated to them for research purposes.
The staff shall not receive additional payments for undertaking research for projects which are funded from internal or external funding if the research is identified as part of their job description, however, the staff will be able to use part of the overhead fees collected from their externally funded research project for related activities. An exception to the rule shall be approved on consultancy work which shall be subjected to the University policy.
The University will have a policy on Intellectual Property Rights (IPR) which shall be applied to all research projects.
The University will work with the researcher in commercializing research outputs. Appropriate benefit to the University and the Nation will be considered. The aim of commercialization shall be “To advance the intellectual and human resource capability of the nation and the local and international communities”.
All visiting students and scholars will abide by the University Policies as well as any University of South-East Asia IPR Policies at the time of their visit and shall acknowledge/account the contribution of the University in all publications that will be published as part of the time spent in the University.
A research output database will be created for all matters relating to staff research projects/activities.
The University will advertise/announce to the publications, internet, newspapers, etc. its research projects/activities to make it available to the local and international communities.
The University shall adhere to a code of ethics dealing with issues from researches involving animal and human rights/subjects.
The University policy on private work such as consultancy, etc. shall be applied to and should have an appropriate contract in both parties.
Institutional consultancies will be supported in preference to private consultancies.
The universities will have a centralized quality management system for monitoring all institutional and outside consultancies.
The University policies/procedures shall be subjected to periodic reviews (quarterly, bi-annually and annually).
The details of the procedures for implementation of the University policies will be contained in the University Research Handbook. The handbook shall be prepared and maintained by the R & D O in consultation/coordination with the URC (USEA Research Committee).
The Research & Development Office shall be responsible in the implementation of the University policies/procedures. The R&DO shall be considered as the Centre of the all matters regarding USEA’s policies/procedures.
The University Research Advisory Committee (URAC) should be created in which will be responsible for advising and assisting the Director in the implementation of University policies/procedures.
The URAC shall be consisted of the Deans of each Faculty, the Director of R & D Office, Director of the Graduate School, Chairman of the Faculty Research Committee appointed by the Vice President from the Office of Administration and Finance. The would be appointed members of the URAC shall have an authority to co-opt others from within or outside the University and to appoint sub-committees as necessary. It shall be chaired by appointed Director.
For the purpose of the University policies and procedures the following definitions shall be applied:
Research – refers to the systematic investigation into and the study of materials, resources, etc in order to establish facts and obtain new solutions /outputs.
Development - means the innovative and creative adaptation of information and knowledge for a new purpose, thereby creating new information.
Director -is the Director of Research and Development Office unless otherwise stated
Consultancy - is a work done for an external organization, which may or may not include a research component, and for which the organization pays a fee.
Institutional Consultancy – the agreement is between the University and the client.
Private Consultancy – is the one undertaken by a staff member and for which the university has no legal liability whatsoever.
Policy – regulates, directs and controls actions and conduct. Policies can range from broad philosophies to specific rules (Swinburne, 2009).
Procedure – tells users hot to, and who will implement the policy. Procedures are specific, factual, concise and to the point (Swinburne, 2009).
Research & Development Office (R & D O) – the office responsible in the implementation of research policies.
Faculty Research Committee (FRC) - refers to the body responsible for assisting the R&DO, and the faculty concerned to implement research activities, and to provide an academic assessment of the research;
University Research Handbook – the document which details the implementation of University Research Policies.
Overheads – charges included in the budget of a research project to cover some or all of the non-direct costs or the operating cost of the project (e.g. staff training, financial and other support staff and services, office maintenance, academic salaries, depreciation costs and infrastructural costs, etc.).
Any provision contrary to this policy shall be deemed worthless.
The president, vice president in charge, academic board, deans, department heads, information office, student service office, academic office, foundation year office, and administration and finance office of University of South-East Asia have to be responsible for taking measures to put this policy into practice effectively from the singing day.
Phnom Penh, 01 October, 2011
Chair of Board of Trustees
- Board of Trustees Office
- As in Article 17