Affiliation Guidelines to External Entities 

Last Update on: 05 December 2023

Jump to:

1. Purpose
2. Scope
3. Definitions and Acronyms
4. Objectives
5. Eligibility Criteria
6. Application Procedure
7. Review and Evaluation
8. Implementation, Compliance, and Reporting
9. Compliance and Performance Indicators
10. Document Amendment Information
11. Appendices

1. PURPOSE

The purpose of these guidelines is the administration of affiliation to external entities.

Jump to Top

2. SCOPE

1. This guideline document outlines regulations regarding expressing affiliation on research work conducted by the University stakeholders.
2. These guidelines apply to all KFUPM faculty and researchers.
3. Although the University has a restrict policy when it comes to expressing affiliation in all forms of research outputs by its stakeholders, there are some exceptional cases that are designated and pointed out in this document.
4. Exceptions may be granted/allowed on a case-by-case basis to enable the University stakeholders to pursue research collaboration opportunities with outside entities during transition periods
   

Jump to Top

3. DEFINITIONS AND ACRONYMS

Jump to Top

4. OBJECTIVES

1. To guide KFUPM faculty, researchers, postdoctoral fellows, and students (on scholarship by KFUPM or an external entity) on the University policy for the affiliation on all forms of research outputs
2. To highlight and outline the exceptional cases and scenarios for expressing affiliation to external entities (dual affiliation) on research outputs by faculty and researchers
   

Jump to Top

5. ELIGIBILITY CRITERIA

5.1 Applicant Eligibility

All professional rank faculty members and researchers (Assistant, Associate, and full Professors) are eligible to apply.

5.2 Dual Affiliation Regulations

1. Full-time affiliates of the University (Faculty, Researchers, Staff, and Students) are not allowed to affiliate or express their affiliation with non-KFUPM entities in their research outputs, such as publications, patents, or any other forms of research outcomes. In case of an outside organization contributing to the work, the author(s) can acknowledge that organization in the acknowledgment section of the research output. The prohibition of dual affiliation in publications and any other research outcomes upon joining KFUPM is extremely strict.
2. New faculty and researchers with research work conducted and completed prior to joining KFUPM and ready for submission after signing the contract are allowed to have dual affiliation, and KFUPM should be the primary affiliation. Dual affiliation for such research work is only permissible within 6 months of signing the contract.
3. faculty and researchers who completed their contracts and have research work already carried out at KFUPM are allowed to have dual affiliation within 6 months after the official clearance. This applies to research work conducted by the students at KFUPM upon their graduation and clearance.
4. Researchers who join KFUPM, without a contract (on part-time basis), and engage with KFUPM faculty and researchers during their visits, or during a temporary title, e.g. visiting scholars, visiting fellows, adjunct title/position at KFUPM are allowed to have dual affiliation in their joint research works.
5. To avail the exception, approval of the Vice President for Research and Innovation (VPRI) is required in such applications.
6. The affiliation chart shows the possible categories of the research outputs prepared by faculty, researchers, visitors, among others, and the related regulations on expressing the affiliation to KFUPM or dual affiliation to external entity.
   
   

   

   
   
   
   

   A summary of possible affiliation scenarios and format based on contract/appointment status, the conducted research work, and its submission, is provided below.

   1. On Contract | Full-time Appointment | Submission of Work During Contract | Most of the Research Work at KFUPM

   #	Example/Scenario		Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   1.a	KFUPM Employees and Students		All	Required	Not allowed

    

   2. On Contract | Full-time Appointment | Submission of Work During Contract | Most of the Research Work at Non-KFUPM¹

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   2.a	New faculty/researcher joining KFUPM	As applicable	Required	Allowed within 6 months of joining KFUPM and KFUPM is primary affiliation
   2.b	KFUPM employee on a scholarship from KFUPM, or KFUPM employee on leave without pay	As applicable	Required	Allowed
   2.c	KFUPM employee who worked at external entity/university, e.g., during sabbatical, outbound summer program, etc.	As applicable	Required	Allowed with approval2
   2.d	KFUPM faculty on leave with pay at external entity, e.g. sabbatical, on loan, etc.	As applicable	Required	Allowed with approval2
   2.e	External faculty/researcher visiting KFUPM	Visiting Asst/Assoc/Full Professor	Required	Allowed with prior approval2 and time limited
   2.f	Postdoctoral fellows joining KFUPM	Postdoctoral Fellow	Required	Allowed within 6 months of joining KFUPM and KFUPM is primary affiliation

    

   3. No Contract | Part-time Appointment | Most of the Research Work at Non-KFUPM or KFUPM

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   3.a	External employee in a short visit to KFUPM, or on a paid leave from non-KFUPM institute	Visiting Scholar, Visiting Fellow	Not required, but encouraged	Allowed
   3.b	External faculty with adjunct title at KFUPM	Adjunct Asst/Assoc/Full Professor, Adjunct industry faculty	Not required, but encouraged	Allowed

    

   4. On Contract | Full-time Appointment | Submission of Work Prior to Contract with KFUPM | Most of the Research Work at Non-KFUPM¹

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   4.a	New faculty/researcher joining KFUPM	As applicable	Optional (Counted for promotion)	Allowed

    

   5. On Contract | Full-time Appointment | Submission of Work After Completion of Contract or Graduation | Most of the Research Work at KFUPM 

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   5.a	KFUPM postdoctoral fellows, faculty/researcher after completion of contract or after KFUPM student graduation	As applicable	Required within 6 months of clearance	Allowed after official clearance

    

   6. Full-time Student | Submission of Work During Academic Program | Most of the Research Work at KFUPM

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   6.a	Student on scholarship from KFUPM or self-sponsored	Student	Required	Not allowed
   6.b	Student on scholarship or sponsored from external entity/university	Student	Required	Allowed with KFUPM as primary affiliation

    

   7. Full-time Student | Submission of Work During Academic Program | Most of the Research Work at Non-KFUPM¹

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   7.a	New student on scholarship from KFUPM or self-sponsored	Student	Required	Allowed within 6 months of joining KFUPM and KFUPM is primary affiliation
   7.b	New student on scholarship from external entity/university	Student	Required	Allowed

    

   8. Part-time Student | Submission of Work During Academic Program | Most of the Research Work at Non-KFUPM¹ or KFUPM

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   8.a	External employee on externally funded student scholarship at KFUPM	Student	Required	Allowed

    

   9. No Contract | Honorary Appointment | Most of the Research Work at Non-KFUPM or KFUPM

   #	Example/Scenario	Academic Title	KFUPM Affiliation	Dual Affiliation with Other University/Entity
   9.a	Professor Emeritus at KFUPM	Professor Emeritus	Not required, but encouraged	Allowed

   
   

   ¹Non-KFUPM work done prior to joining or during KFUPM-approved external visit or scholarship

   ²Conditions if approved: (a) Limited to the relevant work with the other entity/university (b) No objection from other entity/university, i.e. no legal implications on KFUPM. VPRI’s approval is required in all cases.

Jump to Top

6. APPLICATION PROCEDURE

1. Any case not listed in the above tables will be studied thoroughly on a case-by-case basis by the Office of the VPRI for approval. In such cases the application has to be made prior to the submission of the manuscript.
2. Faculty and researchers who intend to show affiliation to an external entity, i.e., dual affiliation, must apply officially via the application form (click here) using the prescribed form for approval to the DR, prior to the manuscript submission, and provide strong justification for dual affiliation, along with any necessary supporting documents

Jump to Top

7. REVIEW AND EVALUATION

1. DR will screen the external affiliation request and forward it to the VPRI for approval.
2. The applicant will be notified of the VPRI’s decision by the DR along with any conditions

Jump to Top

8. IMPLEMENTATION, COMPLIANCE, AND REPORTING

1. DR shall implement these guidelines.
2. The DR shall monitor all research outcomes.
3. Non-compliance with any provision in these guidelines shall be reported to VPRI.

Jump to Top

9. COMPLIANCE AND PERFORMANCE INDICATORS

In monitoring and reviewing the implementation of these guidelines, the following compliance and performance indicators shall be used:

1. Number of violation each year;
2. Number of exception granted each year;

Jump to Top

10. DOCUMENT AMENDMENT INFORMATION

Jump to Top

11. APPENDICES

• Appendix A: Request for External Affiliation Form

Jump to Top