KARATINA UNIVERSITY

DIRECTORATE OF RESEARCH, INNOVATION

AND EXTENSION

INCENTIVIZATION POLICY

MAY, 2024
CONTACTS

Karatina University
P. O. Box 1957 – 10101 Karatina, Kenya
Telephone: 020-2176713/+254729721200
Email: info@karu.ac.ke
Website: http://www.karu.ac.ke

First created on --- May 2024

Approved on ---------, 2024

I
 Vision

To be a University of global excellence meeting the dynamic needs and development of

society

Mission
To conserve, create and disseminate knowledge through training, research, innovation and
community outreach

Core Values
Equity
Teamwork
Meritocracy
Academic freedom
Accountability
Excellence
Probity

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III
 TABLE OF CONTENT
FOREWORD..............................................................................................................................3
PREFACE...................................................................................................................................4
DEFINITIONS...........................................................................................................................5
CHAPTER 1: INTRODUCTION...............................................................................................6
1.1 JUSTIFICATION..........................................................................................................6
1.2 Scope.............................................................................................................................7
1.3 Purpose..........................................................................................................................7
1.4 Goal of the Policy..........................................................................................................7
1.5 Specific Objectives of the Policy..................................................................................7
1.6 Guiding Principles.........................................................................................................8
CHAPTER 2: INSTITUTIONAL POLICY FRAMEWORK....................................................8
University Obligations Under this Policy...........................................................................8
2.1 Key Policy Areas...........................................................................................................9
2.1.1 Creating an Attractive and Supportive Research Environment..........................9
2.1.2 Research Ecosystem and Infrastructure Development......................................10
2.1.3 Research Proposals Development and Submission..........................................11
2.1.4 Administration of Research Grants...................................................................11
2.1.4.2 Research Funds Disbursement, Accounting and Audit................................................12
2.2 International Collaborations and KarU-Industry Research Linkages.........................13
2.4 Ethical Practice in Research and Recognition Scheme Operation..............................13
2.4.1 Misconduct and Penalties..................................................................................14
CHAPTER 3: RECOGNITION SCHEME OPERATIONALIZATION.................................15
3.1 Categorization of Recognitions...................................................................................15
3.1.1 Grants Attraction Recognition..........................................................................15
3.1.2 Publications Recognition..................................................................................15
3.1.3 Innovation and Invention Recognition..............................................................15
3.1.4 Commercialization Recognition.......................................................................16
3.1.5 Infrastructure Provision Recognition................................................................16
3.1.6 Departments Recognition..................................................................................17
3.2 Other Research-related Incentives...............................................................................17
3.2.1 Research Leave.............................................................................................17
3.2.2 Fast-track Promotion.........................................................................................18
3.3 Scheme Funding..........................................................................................................18

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 3.3.1 Internal Funding................................................................................................19
3.3.2 Consultancies....................................................................................................19
3.3.3 Private Sector Funding......................................................................................19
3.3.4 Funding by Philanthropic Agencies and Donors..............................................20
CHAPTER 4: IMPLEMENTATION FRAMEWORK............................................................21
4.1 The Major Stakeholders in Policy Implementation.....................................................21
4.1.1 Roles of the University Council........................................................................21
4.1.2 Roles of the Vice Chancellor............................................................................21
4.1.3 Roles of the Deputy Vice Chancellor, ARSA...................................................22
4.1.4 Roles of the Deputy Vice Chancellor, PFA......................................................22
4.1.5 Roles of the Senate Standing Committee for Research and Innovation (SCRI)
....................................................................................................................................22
4.1.6 Roles of the Directorate of Research, Innovation and Extension.....................22
4.1.7 Roles of the Deans of Schools and HoDs.........................................................23
4.1.8 Roles of the Schools’ Research and Innovation Committee.............................23
CHAPTER 5: MONITORING, EVALUATION AND REVIEW...........................................23
5.1 Monitoring and Evaluation..........................................................................................23
5.2 Effective Date..............................................................................................................24
5.3 Policy Review..............................................................................................................25
REFERENCES.........................................................................................................................25

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 ACRONYMS
AA Automobile Association of Kenya
BETA Bottom-up Economic and Transformation Agenda
VC Vice Chancellor
DVC, ARSA Deputy Vice Chancellor (Academic, Research and
Student Affairs)
DVC, PFA Deputy Vice Chancellor (Planning, Finance and
Administration)
DCS & UIL Director, Career Services and University-Industry
Linkage
DBPS Director, Board of Postgraduate Studies
DRCs Departmental Research Committees
DRIE Director, Research, Innovation and Extension
DRM & IP Director, Resource Mobilization and International
Programmes
HoD Head of Department
ICT Information Communication Technology
KarU Karatina University
KES Kenya Shillings
MDAs Ministries, Departments and Agencies
NACOSTI National Commission for Science, Technology and
Innovation
NRF National Research Fund
PD Procurement Department
PDS Procurement Department Staff
PFMA Public Finance and Management ACT
PI Principal Investigator
R&I Research and Innovation
SDGs Sustainable Development Goals
SCRI Senate Committee for Research and Innovation
SRCs Schools’ Research Committees
UMB University Management Board

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FOREWORD
Karatina University Incentivization Policy seeks to achieve research excellence by
encouraging University staff, students, and, their collaborators, to conduct research
and attract research and infrastructure funds to the University with the knowledge
that, if they attracted funds of considerable value, their efforts will be recognized and
rewarded. As a University, Karatina University has the human resource and other
ingredients that are required to produce significant products from research for its
own benefit and for the benefit of other stakeholders, including the Country and the
World at large. On our part as Council, we will do all within our power and reach to
help in any way we can to ensure that the Policy becomes operational, and, serves
the purpose for which it was created.
I encourage the University Management and all staff to seize this opportunity so that
the research Mandate of the University becomes a fruitful reality.

CHAIRMAN OF THE UNIVERSITY COUNCIL

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PREFACE
The advancement of a University depends among other factors on the commitment
of its human resource to its growth and development. Therefore, it is incumbent
upon Karatina University staff to be mindful of their potential contribution to the
advancement of the University. One way to demonstrate that commitment, is for
staff to continually seek and win research and infrastructure grants, which are
eventually channeled through the University system. In order to encourage staff, the
University has created this policy and recognition scheme with the aim of
incentivizing and encouraging Karatina University staff and their collaborators, who
attract grants, and, channel the funds through the University. It clearly states the
obligations of the University in creating a conducive research environment and
providing infrastructure and support, and, the factors to be considered in the listing
of those who excel in their research, so that the University recognizes their vision,
commitment to research, hard work, and potential contribution to the development
of the Country, the University and the communities they work with. As the
University Management recognizes the crucial role of staff in the University’s
development and financial sustainability, the University’s commitment to its staff in
this regard, is demonstrated through the incentive scheme and research excellence
recognition categories that are outlined in this Policy. It is, therefore, my sincere hope
that the University Management can look forward with confidence, to securing the
maximum commitment of the University’s members of staff and other stakeholders,
to the mutual and gainful implementation of this Policy.

PROF. LINUS M. GITONGA, Ph.D.

VICE CHANCELLOR

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DEFINITIONS
In this Policy unless the context otherwise requires:
Recognition---means the acknowledgement and/or offer of a token to a person,
entity or group of persons for the achievement of the desired level of a task under
any of the categories of the recognition scheme described in this policy
Commercialization---means the process of converting an intellectual idea or asset
into an entity or process to earn profit from
Donor---is a person, agency or government that gives money for a specific purpose
Grant administration---means the design and management of grants for research
purposes
A research grant---is a sum of money given by an organization, government or
individual for research
Infrastructure—means basic resources including buildings and equipment necessary
for the operational efficiency of research and related activities
Journal Impact factor---is the yearly mean of the number of times articles in a
journal have been cited in the last 2 years preceding the year of review
Innovation---means the process of introducing an idea or something that is new or
unique or the modification of an existing idea, thing or field
Invention---is a product or idea of the mind that did not exist before
Leave--- means authorized absence from duty
Philanthropy---means the generous donation of money for causes that promote the
welfare of others
Research---means an undertaking intended to extend knowledge through a
disciplined inquiry and/or systematic investigation. The term “disciplined inquiry”
refers to an inquiry that is conducted with the expectation that the method, results,
and conclusions will be able to withstand the scrutiny of the relevant research
community
Research leavemeans the period of authorized absence from regular teaching and
related duties at the University for the purposes of completing a research project
within the planned timeline
Reputable Journal---is a peer-reviewed Journal ranked according to the h-index,
citation index, ScImago Rank factor or other factors, and whose articles are indexed
in such credible databases as Google Scholar, Copernicus, PubMed, ResearchGate,
Web of Science, Scopus, Medline, etc. depending on the field of study and research.
It is not a disreputable Journal (predatory);
Risk---is the statistical likelihood or probability of occurrence of a hazard, fault,
mistake in a research process and/or outputs and its consequences
Tier---is the rank of a Journal using acceptable metrics/indices such as Impact factor,
h-index score, ScImago ranking, etc.
Unpaid research leave---means authorized absence from duty for the purpose of
research but without salary and related benefits as defined in the University HR
Policy, 2018

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 CHAPTER 1: INTRODUCTION

1.1 JUSTIFICATION
While the University has achieved several milestones in training, infrastructure development,
and community outreach, a gap still exists in the area of funded research and innovation. To
address this gap, there is an apparent need to include research, participation in consultancies
and generation of innovations as integral roles of the researcher and to describe that intent in
job descriptions, annual performance contracts and schemes of service. It is mandatory for
members of the academic staff to allocate time to research, and for the University to
recognize individuals who go out of their way to attract research grants and to narrow the gap
in research funding and innovations creation, and to encourage researchers to support the
advancement of the University, Karatina University (KarU) has created this Policy.
The policy draws on the Provisions of the Research and Innovations Policy, 2013 (amended
2021), the University’s Strategic Plan (2023-2027), the KarU Charter, the Statutes, the
Sustainable Development Goals (SDGs), Vision 2030 Agenda, the Bottom-up Economic and
Transformation Agenda (BETA), which clearly stipulate the important role of research for the
existence of a University as a citadel of knowledge and an avenue for catalyzing local and
national development. An important mandate of a University in that regard, is the generation
of knowledge through innovation and research by its staff, postgraduate students, affiliates
and collaborators. For KarU, like any other University, this mandate is emphasized by the
elevation of research and the creation of innovations to one of the core mandates of the
University as is given in its Mission, namely: “To conserve, create and disseminate
knowledge through, training, research, innovation and community outreach.” In order achieve
that, the University requires to: a) raise the research capacity of the University staff, and, b)
incentivize staff to write fundable proposals and win grants for their personal development,
the advancement of the University and for Community outreach through the dissemination of
impactful research outputs. The contribution of grants, enhances university revenue and raises
the research profile of the individual researcher among peers and that of the University world-
wide. The enhanced researcher profile, is likely to generate a knock-on effect on other
researchers, who can model their visions on successful colleagues, and by so doing raise their
own research profile eventually. The ability and opportunity of the academic staff of the
University to win grants will also make it easier for a postgraduate student studying under
them, access funds for their research projects. Such a student will spend the stipulated time at
the University, while the member of staff will go through the academic ranks faster.

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1.2 Scope
This Policy covers the activities and obligations of the University as necessary for the
encouragement and support of KarU staff, postgraduate students and their collaborators as
they seek grants and the accompanying incentive scheme for the recognition of research
excellence, development of infrastructure and commercialization of research outputs.

1.3 Purpose
The purpose of this policy is to support, incentivize, and recognize KarU staff, students and
collaborators, who attract research or infrastructure grants, channel the funds through the
University system, and, produce outstanding outputs.

1.4 Goal of the Policy

To provide a model for the motivation of the University’s staff, and their collaborators, as
they seek research and other grant funds, and for recognition of research excellence under an
incentivization scheme

1.5 Specific Objectives of the Policy

The specific objectives of this policy include:
1. To create a conducive environment for current, prospective staff and postgraduate
students to actively seek research funds and channel them through the University in
order to close the research funding gap and meet the University’s Vision and Mission
2. To encourage greater effort, commitment and success in grant-seeking, by supporting,
recognizing and motivating grant-holders, other researchers and Departments
3. To provide guidelines for the development and submission of research proposals, and
an efficient grant administration regime
4. To raise the research capacity and profile of the researcher, the Departments and that
of the University through increased patentable and commercializable research outputs.
5. To encourage researchers secure funding for Departments and Schools for the ease of
postgraduate student project funding

1.6 Guiding Principles

The following are some of the principles and values that will come into effect whenever the
provisions of this policy are applied:
1. Fairness, Honesty, Integrity, Transparency and Accountability
2. Commitment, Responsiveness and Innovativeness

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3. Fidelity to the Applicable International, National, University Policies, Rules and
Regulations
4. Inclusivity and Equity
5. Contribution to Individual Researcher Development and University Financial
Sustainability and Advancement
These guiding principles align with the University principles as presented in such documents
as the Strategic Plan, Statutes and other policy documents.

CHAPTER 2: INSTITUTIONAL POLICY FRAMEWORK

University Obligations Under this Policy

The primary role of this policy is to incentivize staff of the University seeking funds for
research, infrastructure development and conducting research, while the University is setting
up a system to recognize and encourage their participation in such activities. In order to
motivate staff to engage in research, the university will endeavor to provide supporting
structures and systems, which facilitate grant seeking, grant management, creation of
significant research outputs, and, knowledge mobilization and generation. To promote
research that can secure local and international recognition, appropriate and supportive
systems, infrastructure, administrative and operational structures will be re-invigorated at
various levels by the University in order to cater for the research needs of its staff, students
and collaborators.
Specifically, the University itself to:
i. Create internal support and funding mechanisms such as an endowment fund,
contributions from resource mobilization, research funds coming to the University and
other funds controlled by the University to support the research excellence recognition
scheme, as stipulated in this Policy
ii. Ensure efficient release of research funds as per the University’s procedures but on
priority basis upon receipt of research funds request as spelled out in this Policy

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iii. Endeavour to allocate a specific person in the Finance Department to handle research
funding, including correspondence with researchers, DRIE, and other stakeholders, and
for the generation of research funds’ reports for stakeholders
iv. Empower the Directorate of Research, Innovation and Extension with more personnel
and budgetary allocation
v. Execute the research excellence recognition scheme as stipulated in this Policy and hold
an annual recognition ceremony for researchers and Departments that have demonstrated
excellence in funds mobilization, research. and produced significant research-based
outputs
vi. Recognize the research excellence scheme under this Policy as contributing to rank
promotion for members of staff of the University, when they apply, and/or are due for
rank promotion
vii. Operationalize the KarU Ethics Review Board by seeking accreditation from NACOSTI

2.1 Key Policy Areas

The key policy areas guiding the incentivization policy and the accompanying recognition
scheme are:
1. Creating an Attractive and supportive Research Environment
2. Research Ecosystem and Infrastructure Development
3. Research Proposals’ Development and Submission
4. Administration of Research Grants
5. International Collaborations and KarU-Industry Research Linkages
6. Ethical Practice in Recognition Scheme Operation
7. Scheme Funding
8. Recognition Scheme Operationalization
9. Recognition Categorization
10. Other Research-related Incentives
11. Implementation Framework
12. Monitoring, Evaluation and Review

2.1.1 Creating an Attractive and Supportive Research Environment

KarU recognizes the critical role of research in fulfilling its mandate of meeting the dynamic
needs and development of society. The research function acts as an input to the training,
innovation and community outreach aspects of the University’s Mandate through the creation
and dissemination of knowledge. Research influences not only the teaching process in the

4
university, but also curriculum development and review, through the production and use of
research results, including new knowledge synthesis, dissemination, transfer, exchange, and
co-creation. The University recognizes the effort involved in securing research grants, and
therefore, the need to create an enabling and supportive environment for the facilitative
access to research funds and other resources required for the execution of projects within
agreed and planned timelines. In this regard, a responsive governing structure that is
mandated to support the smooth development, execution and maintenance of research
projects is imperative. Priority access to research funds encourages grant-seeking and
bringing those funds into the University system. In order to promote research activities, the
University commits to remove any impediments that discourage the generation of proposals,
harmonize the sharing of information on grants, support research monitoring and evaluation
by the Director, Research, Innovation and Extension (DRIE), hasten the disbursement of
funds to researchers, and incentivize the researchers’ efforts. Research is an integral mandate
of the University and shall therefore be mainstreamed in the activities of staff at the
University. To mainstream research and the incentivization Policy, it should be a requirement
of every Academic University Department, School, Directorate or Section to have research as
a stand-alone agenda item in their meetings and for regular reporting by every member of
academic staff. This requirement will, however, not apply to Administrative Departments and
Sections.

2.1.2 Research Ecosystem and Infrastructure Development

KarU is on its way to achieving World-class University status in many areas of its Mandate
including in research. However, for its research capability to continue evolving and be able to
thrive among the best world-wide, it requires an upgrade of the current infrastructure. The
human resource (HR), the knowledge, and the skills sets that are part of the research
ecosystem are already in place at KarU. Some collaborations with industry, external
researchers in the country and internationally, are already in place and some are in the process
of actualization. The collaborations with the Ministry of Education, State Department for
Higher Education and Research, as well as with the National Commission for Science,
Technology and Innovation (NACOSTI), the National Research Fund (NRF) are strong and
should continue to strengthen for the benefit of the University and members of staff.
However, the state of the Science Laboratories and the equipment in the laboratories may not
be up to date as they are generally inadequate for cutting-edge research. The University
therefore commits to upgrading the laboratories and the equipment part of the research
infrastructure in order to be able to perform high-level research that is normally achievable in

5
accredited laboratories. This is an important aspect of staff motivation as they endeavor to
work towards achieving research excellence in their specific disciplines. The need for further
investment in research infrastructure, is outlined in the current operational Strategic Plan
(2023-2027) as the University aspires to increase its staff population with Ph.D. degrees,
postgraduate student population, and build a Science and Innovation Park that is capable of
incubating discoveries from its staff, students and collaborators. The progressive
improvements in the research ecosystem and infrastructure at KarU, should serve the
University in its quest for global excellence in research and other areas of its mandate.

2.1.3 Research Proposals Development and Submission

Research proposal writing can be time consuming and fast-paced, as most calls for proposals
are usually time-bound. The lack of adequate time to develop quality proposals may mean
that proposals lack the quality required for competitiveness. To meet the quality requirements
of a competitive quality response to a call, requires experience, knowledge and keenness in
understanding the theme and focus of the call, and the expected deliverables. Teamwork and
the ability to meet deadlines while delivering a quality proposal are just as important.
Proposals can either be delivered through a Centralized University System or by individuals
and teams working on their own to deliver the proposal without relying too much on the
University system, except by notifying the VC of the intent to forward a response to a call,
and, obtain his/her signature and support. Leadership to keep a team working harmoniously
and being able to produce a quality proposal is an important factor for success, just as the
creation of compatible teams is. This Policy recommends the creation of compatible teams in
Schools through the help of the DRIE, who can provide the necessary capacity building of the
teams. The establishment of review panels to help in producing quality proposals, but these
cannot be substitutes for commitment to quality from the authors of the proposals, but present
good peer-review opportunities. The role of the Deans, HoD and the School Research
Coordinators are critical in creating compatible and functioning research teams in Schools.
This Policy recommends the creation and use of multidisciplinary, multi-institutional and
multi-school proposal writing teams or pairs of researchers to develop and submit proposals
for calls, while encouraging the Principal Investigator (PI) to seek help from DRIE, and
where appropriate and necessary, the Offices of the VC and DVC, ARSA. The Office of the
DRIE should be informed by the PI of any necessary prior help, and, subsequent follow-up, if
necessary and is permissible.

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2.1.4 Administration of Research Grants
It is necessary for the relevant organs of the University, specifically, the Office of the DVC,
PFA, to enable and thus encourage the better and efficient carrying out of research activities,
by the prompt disbursement of research funds, timely procurement of the appropriate goods
and services for research. The development of a Grant Administration Guidelines Manual
would be necessary to effectively achieve the efficiency required in grant services
administration and provision.

2.1.4.1 Research Grant Communication

One way to create harmony in research activity support is to demonstrate open
communication. Doing so enables proper planning by the researcher of the various activities
that are part of the envisaged research. Prompt communication saves time and makes
planning of the various stages of research convenient and cost-effective. It also ensures that
projects are completed on time as all activities can be done within the planned period as
required by the donor, and to the satisfaction of the University and other stakeholders.

2.1.4.2 Research Funds Disbursement, Accounting and Audit

This Policy stipulates:
a) The prioritization of research funds release to the researcher, as long as the researcher
has fulfilled any pre-conditions and process steps required before the funds are
released by the University. The Finance Department is required to make any pre-
conditions clear to the researchers in order to avoid unnecessary delays in research
fund’s disbursement. Prompt attention by the researcher to any queries raised by the
Finance, Audit and Procurement Departments are key to how fast the disbursement
can be made to the Researcher.
b) Allow researchers to spend up to 50,000 KES in the field for the purchase of minor
items without having to travel to Kagochi or wherever, to place an order. However,
the researcher should account for these funds by way of a claim using the acceptable
documents/receipts, or other, as agreed with the Finance Department.
c) After utilization of funds, the researcher should account for the funds disbursed as
stipulated in the PFMA, KarU Research and Innovation Policy and other regulations.
However, staff who cannot do so for some reason, will need to request for an

7
 extension of time to account for the funds, in writing, to the VC. Thereafter, the Audit
of funds can then be done in a timely manner, so that future release of further funds is
convenient, timely and smooth.
d) All goods and equipment bought with the research funds held by the University are
property of the University on project completion, and, the researcher should liaise
with the Finance Department for their registration as University assets, and their
transfer from the research site to the University. However, desktop computers,
laptops, stationery, data analysis tools and packages, etc. are left for the use of the
researcher.

2.1.4.3 Procurement of Goods and Services

The researcher should be appraised of the requirements of the Public Procurement and Asset
Disposal Act and Regulations and any subsequent amendments thereof, as well as other
applicable laws and regulations, for the purchase of goods, works and services. Important
areas for researchers to consider include:
a) Agreeing with staff of the Procurement Department on the manner of Inspection and
verification of goods and stores on purchases made away from KarU and at the field
site of research, when the goods are immovable.
b) That the Automobile Association of Kenya (AA) rates for mileage claims apply for
NRF or other national research grants accounting
c) That the researcher provides quality specifications for chemicals, equipment, etc. to
avoid delays in the supply of goods and equipment or the supply of sub-standard
stores.

2.2 International Collaborations and KarU-Industry Research Linkages

One way for KarU to attract international attention to itself is by creating centers of
excellence in research in specific areas of study. Partners can be sought to fund the
development of the infrastructure needed to set up and operationalize such centers of
excellence, while staff can be seconded from the partnering institutions to work at the centers
for suitable periods of time or collaborate with local researchers on specific short or long-
term projects. These centers are beneficial to researchers, the institutions involved and the
country. The collaborators can be other Universities, Research Centers and Companies with
an interest in products related to specific areas of research. The twinning of KarU and other

8
universities, research institutions and business enterprises, offers staff capability
development, infrastructure development, student and staff exchanges and numerous other
benefits to the University. The collaborations also enrich the quality of research outputs and
may lead to the production of commercializable products that can economically benefit the
individual researchers, the University, the local industry and the Kenyan economy in general.
Research collaboration between the University and the Local Industry is an area that can also
be explored as this can be a good opportunity for the University to help in providing solutions
to local industry problems. The current situation where the local industries rely on imported
expertise to solve local problems is not tenable in the long-run, as it can result in the
provision of inappropriate solutions that may not work well in the Kenyan context. A long-
term benefit of the University-Industry collaborations is the potential staff exchange, student
attachment and employment, which is bound to improve the sharing of knowledge, the
transfer of skills, and research area trends by way of collaborative research, joint publications
and commercial product development. Another avenue to improve the research capacity of
KarU staff is to seek the working of KarU researchers with Africans in the Diaspora and
particularly with Kenyans who may want to come over and teach at KarU for short periods of
time or on sabbatical leave, while doing research for specific periods with KarU staff and
postgraduate students.

2.4 Ethical Practice in Research and Recognition Scheme Operation

KarU is committed to the principles of integrity and accountability in its relationship with
staff, students and their external affiliates. The affiliates are persons who engage in
university-led research projects, who as a condition of being granted access to university
facilities or premises, should agree in writing to uphold the provisions of the Research and
Innovation Policy and this Policy, by adherence to the highest level of ethical standards. In
this regard, the ethical principles involving the release of information in the course of
research and at the time of the application for any recognition by a researcher under this
policy demand that the information rendered is factual, verifiable and truthful. Staff
participation therefore demands the highest level of ethical practice, honesty and integrity, in
accordance with the provisions of the KarU Ethics Review Board Guidelines, 2022, and this
Policy. Breach of the code of ethics as provided for in the guidelines is punishable and the
University therefore expects its staff and affiliates to be cognizant of these expectations.

9
2.4.1 Misconduct and Penalties
KarU strives to create a culture and an atmosphere of honesty and trust in which the pursuit of
knowledge can occur. Thus, integrity forms the foundation of respect among the scholars,
postgraduate students and other stakeholders. The University has the responsibility of
ensuring that research conducted under its name, adheres to the provisions of the University
Research and Innovation Policy (2012, amended 2021), any ethical guidelines provided by a
funding agency and the University’s Ethical Research Board Guidelines (2022).
Research misconduct such as fabrication, falsification and plagiarism, demean trust and
integrity, especially in collaborative research, where the reputation of several researchers and
institutions may be at stake. As such, the University is committed to creating an enabling and
attractive climate for research, but, individual responsibility for honesty of a member of staff,
collaborator or student at the University, or under the auspices of the University is required.
The University takes zero tolerance towards any kind of research misconduct.
The determination as to whether discipline is to be imposed is governed by the existing
policies. For the purposes of this Policy, misconduct in research is defined to include
plagiarism, fabrication and falsification of research processes and research products, and
misappropriation or conversion of research resources to unauthorized use. Any falsification,
fabrication of information in the course of research or at any stage of the research excellence
recognition scheme described in this Policy, will lead to the automatic disqualification of the
specific member(s) of staff, student or collaborator(s) from further participation in the system
processes. All alleged cases of misconduct in research shall be addressed as laid out in the
Research and Innovation Policy and other KarU Policies. It will be investigated and
disciplinary measures taken when the misconduct has been proved to have occurred.
Misconduct will not, however, include honest error or honest differences in interpretation or
mis-judgement of data. If a clear case of misconduct in research is found by the UMB and
Senate, the University will impose the appropriate sanction on the researcher(s) concerned in
accordance with the University Statute and relevant Policies.

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 CHAPTER 3: RECOGNITION SCHEME OPERATIONALIZATION
The operationalization of the recognition scheme under this Policy rests with the DVC,
ARSA. The University will establish and fund a recognition scheme where researchers
affiliated to the University will apply through an application form (from the Office of the
DRIE) who will receive the applications for listing for the different categories of recognition
and the Senate Committee for Research and Innovation (SCRI) will approve the lists using
the documents presented by staff and collaborators. An evaluation matrix will be prepared for
each applicant. The University will endeavor to do an annual recognition ceremony as a way
to motivate staff to seek grants and do meaningful research and meet related expectations.

3.1 Categorization of Recognitions

SCRI working together with DRIE, will use the parameters stipulated in this Policy for the
listing of those to be recognized under each category as described in this chapter.

3.1.1 Grants Attraction Recognition

Recognitions under this category will be given to an individual or group of individuals who
are members of staff of KarU or KarU staff and their collaborators, and/or students who have
won grants that contributed substantial finances to the University kitty. In order to qualify for
recognition under this category, the donors must have paid the grants through the University
system for its administration. All members of staff who have brought grants to the university
in the last one year preceding the time of the compilation of the recognition list will be
included.

3.1.2 Publications Recognition

The Publications Recognition will be bestowed on a member of staff or a consortium of
collaborators who will have published in refereed and reputable journals and/or published

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University-level text-books in their areas of specialization in the preceding one year, with
reputable publishers. The tier ranking of the Journal where the article is published, b) the
Impact Factor of the Journal where an article is published, and, c) the number of citations
garnered in the last one year by the author(s) will be taken into consideration in the ranking
on the list. Any other additional documentation or evidence required for evaluation will be
considered. Authors will each be presented with a certificate of recognition.

3.1.3 Innovation and Invention Recognition

The Innovation and Invention Recognition shall be conferred on a researcher or group of
researchers who have developed an innovation or invented a product or process that has
potential to make significant outcomes in society. Applications for this recognition, shall be
made by the researcher(s) to the Directorate of Research, Innovation and Extension. A
detailed write up on the innovation or invention for products or process, shall be submitted to
the to the DRIE on behalf of the Senate Committee for Research and Innovation for
consideration.
The potential for global success, judging from its novelty, newness, uniqueness and potential
social and economic value are important aspect of the potential societal impact of the
innovation or invention. The modification of an existing invention, product or process also
falls within this category. An invention or innovation that is being developed, but not
complete and that is worth developing can be considered and included under this category, at
the discretion of the SCRI and Senate. Any other additional documentation or evidence
required for evaluation will be considered. A certificate of recognition will be given to
each innovator and inventor.

3.1.4 Commercialization Recognition

This recognition will go to a member of staff or members of staff and their collaborators who
have commercialized research outputs that were developed in the course of their employment
and/or research work at KarU or with KarU staff and associates in the last 3 years. The
research outputs shall be co-registered with KarU, the student and all researchers who took
part in product development or patented the work in order to qualify for recognition under
this category. The researchers shall provide to the University entity, the details necessary for
the evaluation of the extent of commercialization of the research output in question and other

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details related to the commercial product or process. The details presented to the Directorate
of Research, Innovation and Extension for this recognition should include:
a) The name(s) of the commercial product(s) or process
b) A registration certificate of the intellectual property from relevant statutory bodies
(whether Kenyan or other), showing co-ownership with KarU.
c) A commercial agreement between the inventor(s) and the manufacturing entity
d) The impact or likely impact of the product or process on society
The Recognition can also be for the modification of an existing physical, chemical,
biological invention or process. A certificate of recognition will be given to each of those
on the list under this category of incentives.
Any other additional documentation or evidence required for evaluation will be
considered.

3.1.5 Infrastructure Provision Recognition

This Recognition will go to an individual or a group of individuals who are members of staff
of Karatina University or Karatina University staff and their collaborators, who have won
grants for the provision of infrastructure to the University in the form of equipment, buildings
and other assets. In order to qualify for recognition under this category, the member(s) of staff
must show evidence of having taken an active part in soliciting for the provision of the
particular infrastructure to the University. The criteria for listing for recognition under this
category will include:
a) The physical presence of the asset at the University
b) The monetary value of the asset,
c) Evidence of approval of the request by the University or the notification to the VC and an
indication of the subsequent delivery of the resources to the University,
d) The completion of installation of the relevant assets within the one year or so (or at an
advanced stage of completion) preceding the application for recognition under the category,
e) The involvement of the KarU member(s) of staff in the acquisition of the asset through a
proposal or any other written request to the donor(s) and the letter of award of the particular
infrastructure funds to the researcher(s).
All who contribute infrastructure funds or equipment in kind will be recognized.
Any other additional documentation or evidence required for evaluation will be considered.

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3.1.6 Departments Recognition
This recognition will be given to a Department of a School of KarU in recognition of its
contribution to the University in research grants attraction, publications, Innovation and
invention, research output commercialization or infrastructure development by its members of
staff. For a Department to be listed for the recognition, it should demonstrate:
a) Evidence of outputs of significant research products of academic or commercial value
or contribution to infrastructure development by its members of staff and or staff and
their collaborators over the last one year, preceding the call for consideration for the
recognition.
b) That all the grants under consideration for this category, should have been granted
through KarU to qualify for consideration in the scheme.
In addition to the recognition of the Department as an entity, members of staff in a
Departments who have contributed under any of the recognition categories will each be
presented with a certificate of recognition. All Departments can compete under this category
every year (similar to other categories), but not with the same products or processes that were
entered in the earlier applications.

3.2 Other Research-related Incentives

The University will recognize and provide other incentives as described in this
Policy in the effort to incentivize staff to seek research and infrastructure grants
and channel them through the University system. Some incentives are described
hereunder.

3.2.1 Research Leave

Research leave is leave given to allow the conduct of research by members of staff, who have
grants to utilize and wish to meet research project timelines. The research leave may be given
after an official request to the VC. Leave requests by different researchers on the same project
require justification and are granted at the discretion of the VC.

3.2.1.1 Unpaid Leave for Research

The University may grant leave without pay upon request by a member of staff who has
research responsibilities to fulfill within a stipulated period of time, and who feels they cannot
do so in the normal circumstances, where they would be expected to combine teaching and
research. The leave may be granted after a written and Official request to the VC, who

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determines the length of the unpaid leave period or the extension, after consideration of the
University HR needs. Unpaid leave and extension where considered, can be given only once
for the same project in any one year. The length of unpaid leave granted for research may be
based on the value of the grant for which the leave is requested
The grant of research leave to the member of staff is subject to the grant being administered
by the University.
Members of staff working within a consortium requesting to be granted research leave, must
each present a compelling case to the VC for consideration of the request.
An extension of unpaid research leave can be requested and given only at the discretion of the
VC, who determines the length of the extension period, subject to a maximum of 6 months as
stipulated in this policy.
Under this category of research leave, the member of staff should arrange, in consultation
with the HR and Finance Departments, to meet any statutory financial obligations that may
fall due, in the course of the unpaid leave. Before proceeding on unpaid research leave, the
member of staff should therefore sort out issues related to other benefits they normally would
enjoy while on the payroll of the University including medical benefits.

3.2.1.2 Paid Research Leave

Where the University meets the remuneration requirements of the member of staff during the
period of the research leave granted, the period of such paid leave shall be as described in this
section.
a) The length of the paid research leave granted is subject to the project funding being
administered by the University.
b) Paid research leave can be granted to a member of staff only once for the same
project. A member of staff cannot also benefit from paid research leave from 2
projects concurrently.
c) Where more than 1 (one) member of staff request research leave under the same
project, the VC has the discretion to grant research leave based on the research load to
be executed by the member of staff.

3.2.2 Fast-track Promotion

KarU will acknowledge research and infrastructure-related recognitions under this Policy as
contributing to rank promotion for members of staff of the University, when they apply,
and/or are due for rank promotion. The University will consider fast-tracking the rank

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promotion of researchers, who have excelled in research and innovation and have contributed
to fund raising for the University, and, may in addition, have developed commercializable
inventions, or other relevant and valuable products and/or processes as stipulated in this
Policy.

3.3 Scheme Funding

This Research Policy takes cognizance of the importance of identification of sources of
funding for the recognitions under this Policy. The policy identifies and provides the
framework on the potential sources of funding to support the envisaged scheme and how it
will work. To raise the funds, the University may, in addition to other initiatives, endeavor to
do the following;
a) Establish and maintain strong linkages with the International Community, Research
Institutes/Universities, Public Research Funding Agencies and the Private Sector,
b) Establish an endowment fund to partly fund the recognitions under this Policy
c) Empower staff to do consultancies for the University, and,
d) Subscribe to databases that provide information on research and infrastructure funding
organizations, and empower staff to apply for such funding
The potential sources of internal funding the recognition scheme include:

3.3.1 Internal Funding

The University shall strive to provide research funding from its internal sources. A
component of grants and internally-generated funds should be allocated to fund the
recognition scheme for its members of staff, who have brought in substantial amounts of
research funds to the University and produced significant research-generated industrial and
academic intellectual products. Funds to take care of the recognition scheme can be sourced
from:
i. The University annual budget
ii. The proceeds from income generating activities of the University
iii. The University endowment fund

3.3.2 Consultancies
Consultancies are an important potential revenue stream for the University where it
constitutes a group of University staff and empowers them to apply for consultancies and
work on them on behalf of the University. Being a reservoir of diverse knowledge streams,

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the University can exploit this avenue to raise funds for its activities. The KarU Resource
Mobilization Policy sets out the revenue sharing formula for funds from consultancies. This
revenue stream can be strengthened to generate funds for the University to fund the
recognitions scheme under this Policy.

3.3.3 Private Sector Funding

The establishment and maintenance of good working relationships with the Private Sector,
should be encouraged, facilitated and maintained. There should be clear modalities for
engagement with the Private Sector, indicating clear benefits to Industry of the engagement
with KarU. Research and Innovation undertaken jointly by the University and the Private
Sector, should aim at creating new knowledge and providing solutions to societal problems,
and any operational unmet needs of the relevant Industry or the ability of the collaboration to
advance the development of the particular Industry and the University. While the call for the
provision of mutual benefits to the players are critical, maintaining integrity and the
independence of both parties is key for fruitful and long-term engagement. To ensure
mutually beneficial collaboration with the Private Sector, the University should:
a) Facilitate collaboration, and networking through the Directorate of University-
Industrial Linkages, the Directorate of Resource Mobilization and International
Programs, while involving the Directorate of Research, Innovation and Extension as is
necessary to meet the research needs of Industry and the University
b) Endeavor to involve the Private Sector through contract research, sponsoring of
research chairs, joint research and development ventures, licensing and patents
commercialization
c) Initiate public-private sector partnerships that mobilize resources towards research,
infrastructure provision and the recognition scheme outlined in this Policy.

3.3.4 Funding by Philanthropic Agencies and Donors

This is an important support system for research, infrastructure and the reward of researchers
who have made a mark in research and the commercialization of research-generated products.
The University should maintain a database of such potential donors and agencies. These
agencies may occasionally advertise research grants on specified themes that may be of
interest to the KarU community.

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 CHAPTER 4: IMPLEMENTATION FRAMEWORK
Karatina University provides a policy implementation environment that promotes
comprehensive and high standards of professional conduct among its researchers, and other
Offices of the University, through a culture of research practice that is ethical, competent,
transparent, safe and accountable. It expects the same high standards of its other
collaborators. The roles, duties, and obligations of the main actors in the implementation of
this Policy are discussed further.

4.1 The Major Stakeholders in Policy Implementation

The major stakeholders that guide and influence the operation of this policy include, but are
not limited to: the University Council; the Vice Chancellor; the Deputy Vice Chancellor,
Academic, Research and Student Affairs (DVC, ARSA); the Deputy Vice Chancellor in
charge of Finance, Planning and Administration (DVC, PFA); the Senate Committee for
Research and Innovations (SCRI); the Deans of Schools and Heads of Departments; the
Schools’ Research and Innovation Committee; and the Director of Research, Innovation and
Extension. Their roles are outlined below.

4.1.1 Roles of the University Council

Its roles will include:
1. Approving and advising the UMB on the operationalization of the Policy
2. Advising the UMB on the potential funding of the recognition scheme stipulated in
this policy
3. Receiving reports from the UMB on the implementation of the Policy and the
outcomes of its operationalization on the University research ecosystem

4.1.2 Roles of the Vice Chancellor

The roles of the VC will include and not limited to:
1. Allocating resources annually for the implementation of the recognition scheme under
this policy
2. Overseeing the implementation of the Policy throughout the University

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 3. Monitoring and evaluating the operationalization of the policy
4. Receiving reports from the relevant University Offices and advising the University
Council, the UMB and Senate on matters pertinent to the Policy
5. Advising on the research needs of the University in consultation with the DVC,
ARSA, other University Offices and relevant external stakeholders

4.1.3 Roles of the Deputy Vice Chancellor, ARSA

The roles of the DVC, ARSA, will include and not limited to:
1. Directing, overseeing and evaluating the operationalization and implementation of
the policy in the Schools
2. Mobilizing financial resources and other support systems for the
operationalization of the recognition scheme described in this Policy
3. Making suggestions to stakeholders as necessary for the improvement of the
recognition scheme under this Policy

4.1.4 Roles of the Deputy Vice Chancellor, PFA

The roles of the DVC, PFA will include but not limited to:
1. Soliciting for funds from donors for the operationalization of the policy
2. Supporting the funding of the recognition scheme
3. Putting in place systems that encourage the channeling of grants through the
University, and, monitoring the administration of grants as needed for the efficient
carrying out of scheduled research activities.

4.1.5 Roles of the Senate Standing Committee for Research and Innovation (SCRI)
The roles of the SCRI will include:
1. Advising the Senate on matters related to the operationalization of the Policy
2. Creating standards for the monitoring, assessment and evaluation of research projects
and related matters pertinent to the recognition scheme
3. Advising the University on the effectiveness of the research recognition scheme
under this Policy and offering improvements thereof

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4.1.6 Roles of the Directorate of Research, Innovation and Extension
The roles of the Director, RIE, include:
a) Creating a common standard for the implementation of the recognition scheme
b) Collating and reporting on the selection procedures of staff and Departments for
recognition
c) Capacity building on the Incentivization Policy and Recognition Scheme
d) Coordinating, monitoring and evaluating research activities for the successful
implementation of this Policy
e) Providing quarterly reports to the VC and the DVC, ARSA, on research and
innovation activities undertaken by University Staff and their collaborators
f) Implementing the incentive scheme for the recognize innovative of research outputs
by staff, post-graduate students and collaborators
g) Guiding the patenting and research outputs commercialization process in consultation
with the Legal Office and other University Offices, in accordance with the provisions
of the IPR Policy, 2013 (amended 2024).

4.1.7 Roles of the Deans of Schools and HoDs

Their roles will include:
1. Sensitizing staff on the benefits of the Policy and its implications for the
individual researcher, Department, School and University advancement
2. Empowering the Department Research Committee (DRC) and School Research
Committee (SRC) in order to contribute to the realization of the research mandate
of the University
3. Setting annual Departmental and School research and innovation targets
4. Evaluating the level of attainment of the agreed annual Departmental research
targets and objectives of ongoing research projects

4.1.8 Roles of the Schools’ Research and Innovation Committee

Their responsibilities will include:
1. Working with the HoDs and Deans to inculcate a research culture at the Departments
and Schools
2. Monitoring and evaluating the level of achievement of the set annual research and
innovation targets in the Departments and Schools

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3. Providing timely and accurate reports on a quarterly basis to DRIE and other
University entities on research and innovation activities and operationalization of the
recognition scheme in the Departments and Schools

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 CHAPTER 5: MONITORING, EVALUATION AND REVIEW
The DVC, ARSA, has the overall responsibility for the successful implementation and
evaluation of the Incentivization Policy and Recognition Scheme, while the Director RIE, is
responsible for its direct implementation, monitoring and review. The DRIE is expected to
advise the VC, the DVC, ARSA, and Senate on challenges of its implementation and other
matters incidental thereto.

5.1 Monitoring and Evaluation

Monitoring and evaluation of the extent of execution of research and infrastructure projects
are vital processes in the successful implementation of this policy. Monitoring aims to check
on the progress of the implementation of the provisions of the policy and to assess the
strategies and procedures that are used in order to determine if there is need for review of any
of them or to pinpoint any impediments to their use in the course of policy implementation.
The review of this policy will be critical due to the dynamic nature of the research and
innovation environment, world-wide. The success of this policy will therefore depend on the
periodic monitoring and evaluation of research projects that are carried out by the University
researchers, and/or collaborators under the current provisions. The achievement of the
objectives of projects, will be a good gauge of the appropriateness of the Policy provisions for
the successful implementation of research projects and the recognition scheme. The broad and
quantifiable performance indicators that should be monitored and evaluated to reflect the
successful Incentivization Policy implementation include but should not be limited to:
a) The increase from baseline in the number of researchers winning substantial grants
provided by national agencies and external donors
b) The number of high-impact projects implemented by University staff and their
collaborators through external grants
c) The percentage annual increase in the monetary value of research funding that comes
to the University
d) The number of publications authored by KarU staff and their collaborators placed in
high-impact, peer-reviewed journals
e) The percentage increase from baseline in the number of research innovations,
inventions or patents registered and commercialized by KarU staff and their
collaborators
f) The increase in research activity at the Departments and Schools

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The monitoring activity shall be undertaken as planned every year in the life of a project. In
order to achieve the above,
a) The Deans of Schools and HoDs should commit themselves to meet the objectives of
this policy by ensuring the regular submission by staff and postgraduate students of
grant-seeking proposals
b) The Deans and HoDs should mobilize research teams and set targets for the number of
proposals to be submitted by Departments to donors annually.
c) The Schools’ Research Coordinators should deliver research progress reports
regularly to the DRIE on planned targets by the Schools and their level of
achievement
d) Enhance the research capacity of staff through the active collaboration between the
DRIE, DRM and IP and the DCS and U-IL
The UMB will continue supporting the development of the research ecosystem, in order to
enhance research activity at the University, encourage staff to achieve planned research
funding levels, meet project aims and donor expectations within the agreed project timelines.

5.2 Effective Date

This policy and the provisions herein shall become effective from the date of approval by the
University Council. The UMB shall notify all persons who are affected by the terms of this
policy at the earliest possibility after its initial adoption.

5.3 Policy Review

This policy shall be reviewed from time to time as the need arises to ensure that it remains
current, relevant, and not later than 3 years from the date of its adoption.

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 REFERENCES
1. The Global Sustainable Development Goals (SDGs)
2. The Kenya Vision 2030 Blueprint
3. The Bottom-up Economic and Transformation Agenda (BETA), May 2023
4. The Universities ACT, 2012 (revised 2016 and 2018)
5. Karatina University Charter, 2013
6. Karatina University Statutes, 2012 (amended in 2021)
7. Karatina University Strategic Plan (2023-2027)
8. Karatina University Human Resource Policy, 2018
9. Karatina University Research and Innovation Policy, 2013 (revised in 2020)

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