Amendment to AO 006, Series of 2004 (Guidelines for the Grants-in-Aid Funds of DOST and its Agencies) ( DOST Administrative Order No. 04-08 )

June 26, 2008

DOST ADMINISTRATIVE ORDER NO. 04-08

 

The amendments to Administrative Order No. 006, Series of 2004, are hereby prescribed as follows:

1. Whereas, Sub-section 2.21 of Section 2 (Definition of Terms) is amended to read as follows:

2.21 For this purpose, unexpended balance or savings refer to the outstanding balance from the previous approved allotment after project has been completed/terminated/extended. ETCcSa

2. Whereas, provisions of Section 3 (Classification of S&T Programs/Projects Funded) is amended to read as follows:

3.1 GENERATION OF KNOWLEDGE AND TECHNOLOGIES

 An important source of new knowledge and technologies is research and development (R&D). Research and development is defined as comprising creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications through the conduct of the following activities:

3.1.1 Fundamental/Basic Research — refers to experimental or theoretical work undertaken primarily to acquire new knowledge on underlying phenomena and observable facts. This can either be (a) without immediate or specific application (fundamental research) or (b) geared to come up with basic information toward the solution of a specific problem that has not been solved before (oriented basic research). This category includes natural and social sciences among other areas. ECTIcS

3.1.2 Applied Research — refers to investigation undertaken in order to utilize data/information gathered from fundamental/basic researches or to acquire new knowledge directed primarily towards a specific practical aim or objective with direct benefit to society.

3.1.3 Experimental Development — refers to systematic work that draws from existing knowledge gained from research and/or practical experience that is directed to produce new materials, products and devices, install new processes, systems and services, and substantially improve those already produced or installed.

3.1.4 Pilot Testing — refers to innovative scaled-up (greater than laboratory or bench scale) activity aimed at gaining experience that may lead to further technical improvement of product or production process, and setting the parameters before the commercialization of the process/product and design of equipment. IAEcaH

3.2. DIFFUSION OF KNOWLEDGE AND TECHNOLOGIES

 Technology diffusion is defined as the widespread adoption of technologies by users other than the original innovators. Technology diffusion is recognized world-wide as necessary for generating economy-wide benefits from innovation in terms of productivity gains and job creation. Knowledge and technologies are diffused through various channels and involve a broad range of private and public institutions that, taken as a whole, make up the national innovation system through the following:

3.2.1 Technology Transfer — are those that are basically designed to support, promote, facilitate or fast-track the transfer of technologies developed by DOST institutions and/or by DOST-funded/assisted R&D programs. DaTICc

3.2.2 Technology Receptor Capacity Building — are those that are essentially designed to enhance the capacity of firms, particularly the SMEs, to diagnose their specific technology needs, to solve their technical problems and overcome their obstacles to the successful adoption and use of technologies arising from deficiencies in labor, management and organizational change. These include the provision of consultancy services and of access to information on technology sources.

3.2.3 Innovation Capacity-Building PAPs — are those that are designed to promote greater awareness of the value of innovation among firm managers and owners particularly of SMEs, and stimulate demand for technological and organizational change within firms, essentially through greater collaboration, partnerships, clustering and networking among firms and with knowledge providers. These include collaborative and systematic planning for future strategic technology investments for a particular sector/cluster as well as the sharing of diagnostic tools, best practices, and knowledge among firms and academic/government institutions. HAICTD

 This category includes but is not limited to the following activities:

a. Technology needs assessment and technology sourcing — assistance shall be provided to participating firms in the assessment of technology needs, mapping, and identification of appropriate technologies to identify business opportunities and requirements of investors, entrepreneurs, aspiring entrepreneurs, and industries in accelerating technology commercialization.

b. Enterprise Development — establishment and strengthening of technology-based business through the provision of technology, equipment, and training.

c. Consultancy and Technical Advisory Services — activities that would ensure successful adoption of technologies through DOST's pool of experts drawn from its various agencies and members of the R&D network including academic institutions and private firms/industries.

d. Technology Matching Service — these are activities that will ensure promotion and utilization of technology through linkages between technology generators and technology adopters/users.

e. Preparation of technology commercialization plan, acquisition of equipment and provision of technology systems to encourage and enable the private sector to carry out technological innovation and related activities/services.

3.3 DEVELOPMENT OF HUMAN RESOURCES FOR THE S&T SECTOR

 The development of human resources for the S&T sector involves a wide range of interventions from the provision of high-quality formal education at all levels, elementary to university level, to specialized training, with a focus on young scientists and engineers, and the development, attraction and retention of the country's S&T talents.

 These include specialized science secondary school program, undergraduate scholarship programs, teacher upgrading programs, graduate scholarship programs, Balik-Scientist Program, awards and recognition programs and other human resource development programs. These also cover other initiatives aimed at enhancing the public's S&T awareness such as:

3.3.1 International, national, and local S&T workshops/seminars/meetings/symposia/conferences

3.3.2 International, national, and local S&T competitions/quizzes/olympiads

3.4. PROVISION OF QUALITY S&T SERVICES

 The DOST provides other services that strengthen the S&T infrastructure to develop and upgrade national, regional, and local S&T capacities of institutions and centers of excellence. These include: SACTIH

3.4.1 Improving/upgrading the testing, measurement and calibration services of government laboratories and facilities;

3.4.2 Development of information resources/databases, national surveys (e.g., nutrition and health surveys) and general purpose data collection to record natural, biological or social phenomena that are of general public interest;

3.4.3 Testing and calibration services of R&D institutes and other DOST regional offices;

3.4.4 S&T regulatory and licensing work like PNRI's nuclear regulation and licensing; policy related such as those made by the DOST Central Office;

3.4.5 Publications/bookwriting on S&T including subsidy/grant to science and technology journals;

3.4.6 S&T policy development including secretariat services and management support to S&T programs and projects; and

3.4.7 Other S&T linkages development/promotion activities (to include, among others, organization and strengthening of S&T networks, and bilateral agreements, S&T programs for women and tri-media).

3. Whereas, Subsections 4.1.2, 4.2.1 and 4.2.6 of Section 4 (Selection Criteria) are amended to read as follows:

4.1 Eligibility of Proponent

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4.1.2 The eligibility of project proponents shall be determined by the DOST agency concerned based on his/her readiness in terms of technical, managerial, financial and marketing capabilities (if necessary). As such the proponent shall submit documents/proof of the following: credentials/proof of capability, track record, and endorsement of his/her institution. R&D program/project leader shall possess, at least, a Masters degree in a relevant field. DCcHIS

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4.2 Application Requirements

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4.2.1 Complete proposal following the DOST format (See Annex A for Forms — DOST Form No. 1 - proposal for S&T Promotion and Linkages projects; Form Nos. 1A, and 1B for a capsule proposal, 2A, 2B, 2B-1, 2B-2, and 2B-3, for a full-blown proposal for R&D projects; and Form No. 2C, and 2D for technology transfer and related activities)

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4.2.6 Approval from the institution's ethics review board for research involving human subjects or from an institutional animal care and use committee for animal subjects (if applicable)

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4.2.8 Clearance from National Committee on Biosafety of the Philippines for proposals with biosafety implications (if applicable).

4. Whereas, the provisions of Paragraph b.8 (Training and Scholarship Expenses) of Sub-section 5.2.1 defining personnel; and Paragraph b of Sub-section 5.2.2 of Section 5 (Proposal Preparation, Submission, Review and Approval) are amended to read as follows:

Direct Cost

b.8. For this purpose, the term personnel should be understood to include all individuals involved in the project.

Indirect Cost

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b. The indirect cost of the project budget shall be shared by the Monitoring Agency and Implementing Agency. About 50% of 15% (7.5%) indirect cost may be retained by the Monitoring Agency. Management cost and administrative cost over P100,000.00 shall be justified by the Monitoring and Implementing Agencies, respectively. CaDATc

 

5. Whereas, provisions under Sub-sections 6.2 and 6.3 of Section 6 (Grant Administration) are amended to read follows:

6.2 Technical Monitoring

 Periodic accomplishment reports of projects shall be submitted by the Program/Project Leader duly endorsed by his/her Agency Head to the Funding Agency through the Monitoring Agency concerned.

 Submission of Technical Reports

6.2.1 A regular semi-annual progress report on the activities shall be submitted in three (3) copies, at least one electronic copy, within a month after first semester (See DOST Form No. 3A).

6.2.2 Program/project with duration of one (1) year or more shall submit in three (3) copies, at least one electronic copy, the annual technical report within two (2) months after each year of implementation. This report shall be submitted together with the list of personnel involved and list of equipment purchased (See DOST Forms 3B, 5 and 6). In the case of a program, a consolidated annual program report shall also be submitted in addition to individual project reports.

6.2.3 For all programs/projects, the technical terminal report shall be submitted in three (3) copies, at least two (2) hard copies and one (1) electronic copy, not later than three (3) months after their completion (See DOST Form No. 9A-1 for R&D Projects and Form No. 9A-1a for Non-R&D Projects). It shall consist of the publishable terminal report together with information on patentable invention, if applicable. (See DOST Form No. 9A-2). The Monitoring Agency concerned shall submit to the Funding Agency the appraisal report on the program/project within one (1) month of receipt of the terminal report. (See Form No. 3C-2). ESTCHa

6.2.4 Periodic field evaluation shall be conducted by the Funding/Monitoring Agency concerned to monitor progress of the project according to the approved/programmed activities and to resolve problems, if any, encountered in project implementation.

 Programs/projects for Extension

6.2.5 Requests for program/project extension shall be submitted together with the latest financial report, proposed LIB (but no honorarium shall be included in the line-item budget during the extension period) and Gantt Chart of activities for the extension period, technical report and justification for extension.

6.2.6 Requests for extension with or without additional funding shall be evaluated and endorsed by the Monitoring Agency for approval of Funding Agency.

6.2.7 The program/project duration may only be extended for a maximum of one year beyond the project duration unless allowed by the Funding Agency (DOST-EXECOM in the case of DOST-Central Office GIA) upon endorsement of concerned Monitoring Agency under very meritorious circumstances.

6.2.8 Extension shall not be allowed to a continuing project unless it is on its terminal/last year of implementation. The request shall be made within three (3) months before the expected date of completion, and shall be limited up to two (2) extension requests only unless allowed by DOST-EXECOM under meritorious circumstances.

 Continuing Assistance and Additional Funding for Programs/Protects

6.2.9 Annual request for additional funding of ongoing projects or continued funding of multi-year program/project shall be endorsed/submitted to the Funding/Monitoring Agency within three (3) months before the end of each implementation year. CSIcHA

6.2.10 Request for continued funding shall be accompanied by a technical report that covers at least the first three (3) quarters of the period covered, annual financial report, plan of work, proposed LIB (including cash program) for the succeeding year, and endorsement by the Monitoring Agency with an appraisal report (See DOST Form 3C-1).

 Deferment/Suspension/Change in Implementation Date

6.2.11 Request for deferment/change in implementation date of a new program/project shall be acted upon by the Undersecretary concerned (for projects implemented by DOST-Central Office or DOST-CO-directed projects) or the Monitoring Agency with appropriate advice to DOST. The revised project duration shall have the same period (in terms of number of months/years) as the originally approved duration. IHDCcT

6.2.12 For deferred project due to delay in the release of fund, the project shall resume within three (3) months after the release of the fund. In such a case, the request should be made at the latest two (2) months after fund release.

6.2.13 Request for suspension of the implementation of an ongoing project may be allowed by the concerned Undersecretary/Monitoring Agency subject to submission of valid justification(s) with conditions of resumption within three (3) months. Beyond three (3) months, the request for suspension may be allowed by the Funding Agency under very meritorious circumstances.

 Modification in Project Title/Objectives/Activities

6.2.14 Request for modification in project title, objectives, activities/work plan/Gantt chart shall be accompanied with valid justification(s) and endorsement from Monitoring Agency for approval of the Funding Agency. HTCESI

6.3 Financial Monitoring

 Subject to government accounting and auditing rules and regulations and DOST approval, all DOST-GIA funds released to implementing agencies shall be available for use within the approved project duration including approved extension. GIA funds shall not be used for money market placement, time deposit and other forms of investment not related to the project. Project funds shall be deposited in authorized government depository bank:

6.3.1 Fund Releases

a. Subject to government policies and regulations, and availability of funds, Funding Agency shall release the funds to the project, partially or fully, after the signing of MOA/MOI or conforme letter (for subsequent grant/s to the same project) subject to availability of funds, accounting and auditing regulations, and bond requirements (if necessary). Releases of funds shall be governed by the DOST Memorandum Circular No. 001, Series of 2008 "Guidelines on the Release of Funds of DOST-GIA Projects by Way of Allotment and Cash Support" (See Attachment 1). HEIcDT

b. Project implementation shall commence within three (3) months after the fund's release. Otherwise, the fund and interest/earnings shall be reverted to the Funding/Source Agency unless valid justification(s) is/are submitted by the Monitoring Agency and approved by the Funding/Source Agency.

c. Subsequent releases of funds for continuing projects shall be subject to the submission of necessary financial reports, endorsement and other necessary requirements as indicated in Section 6.2.10.

6.3.2 Budget Reprogramming or Realignment/Creation of Expense Items

 Disbursement of grants shall be in accordance with approved LIB and subject to existing government accounting and auditing rules and procedures. If budget reprogramming is required, a request shall be made at least two (2) months before the end of the project's current year and shall not be done more than three (3) times in each implementation year (including approved extension) except for meritorious cases approved by the Funding/Source Agency. A revised LIB shall be approved to cover any of the following: budget realignment/transfer of funds, and creation of expense item/s.

 Any realignment or transfer of funds from one expense item to another shall be based on the Funding Agency-approved LIB. The Funding/Monitoring Agency must be informed of the budget realignment including realignment in the indirect cost, approved by the Implementing and Monitoring Agencies, otherwise, this shall not be reflected in the official project documentation and such approval shall be deemed null and void. The approving authorities of budget realignment shall be as follows:

 Implementing Agency

a. Realignment/transfer of funds within 33% of existing expense item budget to be augmented under PS, MOOE, and Equipment Outlay shall be approved by the Implementing Agency with notice to the Monitoring and Funding Agencies within the project duration. The approved realigned item/s shall be reflected under the "approved budget" column in the financial report/s to be submitted by the Implementing Agency.

 Monitoring Agency (The Undersecretary concerned in the case of DOST-CO-directed projects)

b. Realignment of more than 33% up to 100% of existing expense item budget, as approved by the Funding Agency, to be augmented shall require a revised LIB approved by the Monitoring Agency and a copy shall be provided to the Funding Agency.

c. Realignment of more than 100% of existing allocated MOOE expense items, provided that as a result of such realignment, the total amount of the allocated MOOE expense item and the proposed budget increase do not exceed P50,000.00, and

d. Any realignment within the indirect cost beyond the implementing agency's approving authority.

 Funding Agency (With endorsement from Monitoring Agency)

e. The Funding Agency shall approve budget realignments exceeding 100% of the existing expense item/s budget except for realignments that can be acted upon by the Monitoring Agency. For DOST-CO GIA, the Undersecretary concerned shall approve the realignments of grants within his approving authority, (e.g., grants amounting to less than P1,000,000.00), beyond this DOST-EXECOM shall approve the budget realignments, and

f. Creation of additional expense item/s under the direct cost and PS of indirect cost, with or without additional funding (For DOST-CO GIA, the DOST-EXECOM shall approve the request/s).

6.3.3 Submission of Financial Reports

6.3.3.1  For monitoring purposes, financial reports certified correct by the agency accountant shall be submitted by Implementing Agency to the Monitoring Agency, a month after each semester depending on the nature of the project. If applicable, a Report on Income/Interest Generated/Earned, and Schedule of Accounts Payable (See DOST Forms No. 4, 7 and 8) shall be submitted. Financial Reports shall be itemized in accordance with the approved LIB.

6.3.3.2  For liquidation purposes, the Project Leader duly noted by the Head of the Agency or designated/authorized representative shall submit Financial Report (FR) certified by the agency accountant on grants received, within two (2) months after the end of every year for government as implementing agency. For NGOs or privately owned institutions, annual audited financial report (AFR) shall be submitted certified by a licensed independent accountant with an Audit Certificate/Report. A terminal AFR shall be submitted within three (3) months after the completion of the project, both for government and private entity as proponents. For projects with equipment outlay in the LIB, FR shall be submitted with the list of equipment purchased using inventory report form (DOST Form No. 6) and corresponding Acknowledgement Receipts for Equipment (see ARE Format). A Terminal AFR shall be submitted within three (3) months after the completion of the project (See DOST Form No. 9B). Monitoring Council shall submit a consolidated FR/AFR, within one (1) month after submission of the FR/AFR by the Implementing Agency. TEacSA

6.3.3.3  As basis for granting subsequent funds to a multi-year project, financial report or Statement of Disbursement and Outstanding Obligations (SDOO) may be submitted in case AFR is not yet available.

6.3.4 Unexpended Balance and Savings/Interest/Income

a. All of the project's unexpended balance/savings/income and interest, if any, shall be reported and included in the annual financial reports submitted to the Funding/Monitoring Agency.

b. For continuing projects, the unexpended balance of the previous year shall be deducted from its total approved budget for the following year unless approved for use in the subsequent year by the Funding/Source Agency under meritorious cases, otherwise, it shall be reverted to the Funding/Source Agency.

 Pending approval/release of succeeding year's budget of multi-year projects, the Funding Agency may allow the use of unexpended balance of projects for payment of salaries of existing project staff, Maintenance and Other Operational Expenses (MOOE). In no case shall it be used to purchase equipment.

c. In the case of completed/terminated/extended projects, requests for the use of unexpended balance/savings/income pertaining to a) Payment of Salaries, b) MOOE, and c) additional amount under meritorious cases, shall be approved by the Funding/Source Agency upon recommendation of the Monitoring Agency.

 The use of unexpended balance/savings/income may be permitted for the following:

a. continuing operation of the project,

b. acquisition of R&D equipment, and publications deemed critical to the attainment of program's/project's objectives, and

c. other related activities as may be authorized by DOST and its grant-giving units.

d. Request for the use of unexpended balance/savings/income to continue the operation of project, at least one (1) month before the expected date of completion, financial report and valid justification shall be submitted as basis for preparing a new LIB or in revising the LIB of the project. aAEHCI

e. All balances/savings/income/interests thereof, after project completion/termination shall be reported and reverted to Funding/Source Agency within three (3) months after completion.

f. Unexpended balance/savings of completed or terminated project can be used for other DOST-approved projects of the concerned agency provided it is within the two years of fund effectivity and upon the approval of the Funding Agency.

g. In no case shall the interests and income be used to fund a new project not related to the original intent of the fund. Income derived from business activities as a result of the project shall not be used to fund/augment additional and/or existing projects or other projects related thereto unless approved by the Funding Agency.

 Interest income earned out of deposit from the bank shall be reverted to the National Treasury.

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6. Whereas, Sub-sections 7.1, 7.6 and 7.7 of Section 7 (Hiring of Project Personnel/Nature of Appointment) is amended to read as follows:

7.1 In accordance with the existing hiring policies of the Implementing Agency, personnel shall be hired by the Program/Project Leader on contract basis to work for the program/project and shall not be allowed to engage in activities other than those of the program/project during regular working hours. Contractual personnel shall be subject to conflict of interest rules. CaESTA

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7.6 If the Program/Project Leader transfers to another agency, the project shall remain with the Implementing Agency.

7.7 The agency head shall recommend a substitute for the out going Program/Project Leader, for approval of the Monitoring/Funding Agency.

 The outgoing Program/Project leader shall be relieved of his/her obligation to the program/project after a clearance from the Head of the Implementing Agency of all money, records and property responsibilities and accountabilities (e.g., submission of financial and technical reports) in connection with the management of the project.

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7. Whereas, Section 12 (Effectivity) is amended to read as follows:

This order shall take effect immediately and shall supersede all other Orders and Issuances inconsistent herewith.

 

(SGD.) ESTRELLA F. ALABASTROSecretary

ANNEX A

DOST FORM No. 1

PROJECT PROPOSAL OUTLINE FOR S&T PROMOTION AND LINKAGES

I. PROJECT PROFILE caHASI

A. Title of the Project

B. Proponent (The one in charge to take the lead in project implementation)

C. Project Site (The location of the project)

D. Project Duration (The length of time in which the specific project activities shall be accomplished)

E. Total Project Cost

1. Amount Requested (amount of DOST assistance)

2. Agency Counterpart (agency's contribution to the project)

3. Others' Counterpart (contribution from other collaborators/agencies)

II. PROJECT PROPOSAL

A. Rationale (Brief background on the project and the significance of the project)

B. Project/Activity Description (Necessary information on the project such as its nature and description of the project site and beneficiaries.)

C. Objectives (The general and specific objectives of the project)

D. Methodology (Discussion on the major activities of the project which the implementing agency shall carry out.)

E. Activity Schedule (List of activities to be undertaken with the corresponding time frame e.g., Gantt Chart)

F. Budget Breakdown (Work and financial plan including details of budget in accordance with NGAS)

G. Project Management (Includes the organization setup by which the project shall be implemented)

H. Monitoring and Evaluation (The monitoring scheme to be done by the project leader to ensure that project objectives are attained) CcAHEI

III. ATTACHMENTS

A. Proponent's Profile

B. Proponent's SEC Registration (if applicable)

C. Accreditation Certificates (if any)

D. Names of the Members of the Project Team

General Instruction: Submit 6 copies of Project Proposal Outline for S&T Promotion and Linkages

DOST Form No. 1A

(1) Title/Coordinator/Leader/Gender/Agency/Address/Telephone/Fax/Email:

Program Title:	Total Duration:
Coordinator/Gender:
Agency/Address:
Telephone/Fax/Email:
Project Title:	Duration:
1.	___________________________________	____________
2.	___________________________________	____________
	___________________________________	____________
	___________________________________	____________

(use separate sheet if necessary)

2) Executive Summary (Significance, objectives, expected output and methodology)

(use separate sheet if necessary)

(3) Budget Summary for the Whole Program

Total budget
Source	PS	MOE	CO	TOTAL
of Fund
—————	—————	—————	—————	——————
—————	—————	—————	—————	——————
Total
Y1 Budget
Source	PS	MOE	CO	TOTAL
of Fund
—————	—————	—————	—————	——————
—————	—————	—————	—————	——————
Total
Yn Budget
Source	PS	MOE	CO	TOTAL
of Fund
—————	—————	—————	—————	——————
—————	—————	—————	—————	——————
Total

 

(use separate sheet if necessary)

(4)

	Submitted by	Endorsed By
Signature	————————	————————
Name	————————	————————
Designation/Title	————————	————————
Date	————————	————————

 

Note: To be submitted together with the capsule R & D proposals for the component projects. See guidelines/definition at the back. aTEHIC

DOST Form No. 1A

General Instruction:

A. Submit 6 copies of capsule R & D proposal summary sheet for the whole program together with the capsule proposals of the component projects.

B. Use separate sheets following the appropriate sequence of items.

Operational Definition of Terms:

1. Title — The identification of the program and the component projects.

 Program — Consists of interrelated or complementing R & D projects on a multi-disciplinary approach to meet established goals within a specific time frame.

 Project — A set of interrelated studies or a component of a program to meet pre-determined objectives within a specific time frame.

 Coordinator/Leader — The overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project leader. Program leader is the overall coordinator while serving also as project leader. ESHAcI

 Agency(ies) — The institution(s) of the coordinator/leader.

2. Executive Summary — Overview of the program including the significance, objectives, methodology, major activities and expected output of the program.

3. Budget Summary — Personal services (PS), maintenance and other operating expenses (MOE), and capital outlay (CO) requirement of the whole program by source.

 Duration — Number of months the program will be implemented.

 PS — Requirement for wages, salaries, honoraria, additional hire and other personnel benefits.

 MOE — Requirement for supplies and materials, travel expenses, communication, and other services.

 

 CO — Requirement for facilities and equipment needed by the program.

4. Endorsed by — Authorized representative (e.g. agency head, consortium director) who recommends the program.

DOST Form No. 1B

(1)

Title/Leader/Gender/Agency/Address/Telephone/Fax/Email:
Program Title:
Project Title:
Leader/Gender
Agency/Address			Telephone/Fax/Email

 

(2)

Cooperating Agencies			(3)	Research & Development
				Station

 

(4)

Classification			(5)	Mode of Implementation
Research:	Development:	___ Single Agency
___ Basic	___ Pilot Testing
___ Applied	___ Tech. Promotion/	___ Multi Agency
	Commercialization

 

(6)

Priority Agenda			(7)	Sector/Commodity
___ Biotechnology	___ Health Products
___ ICT	___ Basic Research
___ Alternative Energy	___ Others	(8)	Discipline
___ Environment

 

(9) Significance (State the research problem and significance of the project to the current needs of the country. The proposal should justify resource expenditure. A typical justification would include a brief introduction, a general statement concerning the historical basis for R & D, utilization of the expected output and the impact the information generated will have on science, the target users and the country.) cIECaS

(10) Objectives (Statement of the specific purpose to address the problem areas of the project.)

(11) Methodology (Brief description of how the projects will be implemented).

(12) Major Activities (Enumerate in chronological order the tasks to be undertaken. Use gantt chart.)

(13) Expected Output (Indicate the specific products, processes, or services which the project is expected to produce and how these can be used; quantify when possible).

(14) Target Beneficiaries (Who the clienteles are and what are the expected outcomes/effects of the use of the project outputs).

(15)

Implementing Schedule		Month	Year
Duration:	Planned Start date:	_________	_________
(in months) _________	Planned Completion date:	_________	_________

 

(16) Estimated Budget by Source

Source		Y1			Total
of Fund	PS	MOE	CO	TOTAL	PS	MOE	CO	TOTAL
————	———	———	———	———	———	———	———	———
————	———	———	———	———	———	———	———	———
————	———	———	———	———	———	———	———	———
TOTAL

Note: If the project is part of a program, this form should be submitted together with the capsule R & D proposal summary sheet. See guidelines/definitions at the back. acHITE

DOST Form No. 1B

General Instruction:

A. Submit 6 copies of capsule R & D proposal for each of the component projects.

B. Use separate sheets following the appropriate sequence of items.

Operational Definition of Terms:

1. Title — The identification of the program and the component project.

 Program —Consists of interrelated or complementing R & D projects on a multi-disciplinary approach to meet established goals within a specific time frame. SDEITC

 Project —A set of interrelated studies or a component of a program to meet pre-determined objective within a specific time frame.

 Leader —The name of project coordinator (whether multi-agency or single-agency R&D).

 Agency —The institution of the project/leader.

2. Cooperating Agency(ies) —The agency(ies) participating in the R & D work.

3. R & D Station —The station or unit where R & D will be actually conducted.

4. Classification —Indicate whether the project is research or development.

 Basic research is an experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular or specific application or use in view. SICDAa

 Applied research is an original investigation undertaken in order to acquire new knowledge directed primarily towards a specific aim or objective.

 Developmental research is a systematic work, drawing on existing knowledge gained from research and/or practical experience that is directed to producing new materials, products or devices, to installing new processes, systems and services and to improving substantially those already produced or installed.

 Pilot Testing is an innovative work to confirm and demonstrate the feasibility of actually using a technology; gauging end user's reaction to introduction of improved technologies, and identifying potential problems related to wider dissemination, utilization and adoption so that these can be fed back to researchers.

 Technology promotion/commercialization is an activity involving application of technologies on a commercial scale by an identified entrepreneur or user primarily to increase his income/profits and productivity; technologies utilized/produced on a pre-commercial scale including market testing jointly undertaken with a client. DEcITS

5. Mode of Implementation —Indicate whether the R & D will be undertaken by one or more than one agency.

6. Priority Areas/STAND Classification —Identify the classification of the R & D proposal in the S & T Agenda for National Development.

7. Sector —Indicate whether crops, livestock, forestry, agricultural resources management or socio-economics.

8. Discipline —The specific field to be studied (e.g. plant breeding, taxonomy).

 Nos. 9, 10, 11, 12, 13 constitute the technical description of the R & D proposal. They should be written in separate sheets. Guidelines are indicated in the form.

14. Target Beneficiaries —Indicate the group of clientele e.g. farmers, fisherfolks, women, and how they will benefit from the results of the program/project.

15. Implementing Schedule — The duration of the project in months including planned start date and expected completion date.

16. Estimated Annual Budget —The budget requirement for personal services (PS), maintenance and other operating expenses (MOOE), capital outlay (CO) for the first year of implementation and the total budget requirement by source of fund.

DOST Form No. 2A

General Instruction:

A. Submit 6 copies of detailed R & D proposal for the whole program together with the detailed proposal of the component projects.

B. Use separate sheets following the appropriate sequence of items.

Operational Definition of Terms:

1. Title —The identification of the program and the component projects.

 Program —Consists of interrelated or complementing R & D projects on a multi-disciplinary approach to meet established goals within a specific time frame.

 Project —A set of interrelated studies to meet pre-determined objective within a specific time frame.

 Coordinator —The overall in-charge of the program.

 Leader —The one in charge to take the lead in project implementation.

 Agency —The institution(s) of the coordinator/leader.

2. Executive Summary —Brief overview of the program including the significance, objectives, methodology, major activities and expected output.

3. Budget Summary —Personal services (PS), maintenance and other operating expenses (MOE), and equipment outlay (EO) requirement of the whole program by source for year 1 and for the whole duration of the program. DAcaIE

 Duration —Number of months the program will be implemented.

 PS —Total requirement for wages, salaries, honoraria, additional hire and other personnel benefits.

 MOE —Total requirement for supplies and materials, travel expenses, communication, and other services.

 EO —Total requirement for facilities and equipment needed by the program.

4. Personal Requirement —Number of full time and part time personnel to be involved in the program.

5. Equipment —Existing equipment in the agency and equipment to be purchased by the program.

6. Endorsed by —Authorized representative (e.g. agency head, consortium director) who recommends the program.

DOST Form No. 2B

(1)

Title/Leader/Gender/Agency/Address/Telephone/Fax/Email:
Program Title:
Project Title:
Leader/Gender:
Agency/Address:		Telephone/Fax/Email

 

(2)

Cooperating Agencies

(3)

Research & Development Station

 

(4) Site of Implementation/Municipality/District/Province/Region

(5)

Classification		(6)	Mode of Implementation
Research:	Development:		___ Single Agency
___ Biotechnology	___ Alternative
	Energy
___ ICT	___ Environment		___ Multi Agency
___ Health Products/Pharmaceutical
___ Basic Research

 

(7)

Sector/Commodity

(8)

Discipline

(9) Significance (State the research problem and significance of the project to the current needs of the country. The proposal should justify resource expenditure. A typical justification would include a brief introduction, a general statement concerning the historical basis for R & D, utilization of the expected output and the impact the information generated will have on science, the target users and the country.) DISTcH

(10) Objectives (Statement of the specific purpose to address the problem areas of the project.)

(11) Review of Literature (Related researches/activities which have been conducted. State-of-the-art of current technology/information from which the project proposal will take-off)

(12) Scientific Basis/Theoretical Framework (Include concepts, theories and variables that indicate relevant relationships to be tested.

(13) Methodology (Details such as: a) variables to be measured and evaluated; b) treatments to be used and their layout; c) experimental procedures and design; d) statistical analysis; e) evaluation method and observations to be made, strategies for implementation.)

(14) Major Activities/Workplan (Enumerate in chronological order the tasks to be undertaken. Use gantt chart. See Form 2B-1. Indicate post project sustainability plans, if needed).

(15) Expected Output (Indicate the specific products, processes or services which the project is expected to produce; quantify when possible; economic benefits to be derived from the project based on ex-ante analysis. HCEcaT

(16) Target Beneficiaries (Who the clienteles are and what are the expected outcome/effects of the use of the project outputs).

 

(17) Personnel Requirement

		Percent time devoted to the Project
Program/Project Leader:	___________
Others:	__________________	___________
	__________________	___________
	__________________	___________

 

(18) Budget (See form 2B-2)

(19) Literature Cited

(20) Capsule Curriculum Vitae (One-page brief C.V. only)

(21) Certificate of incorporation (if applicable)

Note: If the project is part of a program, this form should be submitted together with detailed R & D proposal for the whole program. See guidelines/definitions at the back. aIEDAC

DOST Form No. 2B-1

DOST Form No. 2B-2

DOST Form No. 2B-3

DEPARTMENT OF SCIENCE AND TECHNOLOGY

Period Covered	:
Project Title	:
Proponent	:
				Counterpart	DOST-GIA
				Funding	Funding
I.	PERSONAL SERVICES
	Direct Cost
	Salaries		P	P
	Honoraria
	Indirect Cost
				Total for PS
II.	MAINTENANCE AND OTHER OPERATING EXPENSES
	Direct Cost
	Traveling Expenses		P	P
		Local and Foreign (Please indicate)
	Communication Expenses (Shall be itemized
	based on NGAS)
		Postage and Deliveries, Telephone Expenses,
		Internet Expenses, etc.
	Repairs and Maintenance of Facilities (Shall be
	itemized based on NGAS)
		Office Buildings, Office Equipment, Furniture
		and Fixtures, IT Equipment and Software,
		Machineries and Equipment, etc.
	Repairs and Maintenance of Vehicles
	Transportation and Delivery Expenses
	Supplies and Materials Expenses (Shall be itemized
	based on NGAS)
		Office Supplies Expenses, Gasoline, Oil
		and Lubricants Expenses
		Agricultural Supplies Expenses, etc.
	Utility Expenses (Please indicate)
		Water, Electricity and Cooking Gas Expenses
	Training and Scholarship Expenses (Please indicate)
	Membership Dues and Contributions to Organizations
	Advertising Expenses
	Printing and Binding Expenses
	Rent Expenses
	Representation Expenses (e.g. food for meetings, etc.)
	Subscription Expenses
	Survey Expenses
	Professional Services
		Legal Services, Auditing Services,
		Consultancy Services, Other Professional
		Services etc.
	Taxes, Insurance Premiums and Other Fees
	Other Maintenance and Operating Expenses
	(Please itemize)
	Indirect Cost
			Total for MOOE	P	P
III.	Equipment Outlay
	Detailed List/Breakdown of Equipment
			Total for EO	P	P
			GRAND TOTAL	P	P

 

Form 2C

Project Title	:	(Must already be able to reflect the goal of the project)
Proponent	:	(Company Name, Contact Person — position, Address,
		Tel/Fax No., E-mail)
Project Cost	:	(Total project cost including counterpart of the proponent)
Amount Requested	:	(DOST counterpart or amount requested from DOST)
Objective/s	:	(Purpose/target accomplishment of the project)

 

Background:

a. Company profile (other information — ownership, registration, type of business, capitalization, year established, processes, business activity, no. of employees/skills/expertise, etc.)

b. Organizational structure

c. Production site area/location

d. Products

e. Cost of production

f. Product selling price

g. Production volume

h. Production capacity of the plant/shop

i. Raw materials used

j. Source of raw material cDCSET

Marketing Aspect:

a. Market Situation (status of the market/demand for products)

b. Current market outlets for the products (local/export)

c. Competitors

d. Existing problems (if any)

e. Market plans/strategies

Technological Aspect:

a. Production process/es

b. Existing equipment

c. Production capability

d. Technical constraints on production line

e. Personnel skills that are handicapped without the technology(ies)

f. Proposed technology and skills upgrading intervention EHcaDT

g. Equipment specifications (rated capacity, power supply, dimensions, drawings)

h. Cost of equipment

i. List of equipment fabricators (if any)

j. Importance of additional equipment and personnel's training

k. DOST intervention/schedule of activities

l. Expected output/Impact results (measured results)

1. contribution to the production line/process

2. additional volume of products

3. percentage decrease in rejects

4. percentage increase in productivity

5. percentage increase in sales

6. Number of clients added

7. improved quality/appearance of the product/s

8. Others (please specify)

Waste Management/Disposal:

a. volume of waste generated monthly

b. kinds of wastes (plastics, paper, metals, chemicals, pollutants, etc.)

c. how they are disposed ADaSEH

Financial Aspects:

a. Financial capacity

b. Financial constraints

c. Cash Flow/Financial Statement

d. Proposed project budget/capital outlay (Line-item-budget)

e. Proposed repayment scheme/mode of payment

CHECKLIST OF REQUIREMENTS

• Full blown proposal

• Endorsement of the Regional Director with Review and Technical Evaluation Committee (RTEC) Executive Report

• Proponent's letter of interest to avail financial assistance and commitment to payback including their proposed repayment schedule

• Copy of business permits and licenses and financial statements of at least the past three (3) years for the company/beneficiary

• Certificate of registration of business name with DTI, SEC or CDA

• Board resolution authorizing the borrowing and designating authorized signatories for the financial assistance (if applicable) HCIaDT

• Three (3) quotations from suppliers/fabricators of the equipment to be purchased/fabricated

• Complete technical design/drawing of the equipment to be purchased/fabricated

DEPARTMENT OF SCIENCE AND TECHNOLOGY

TECHNOLOGY INNOVATION for COMMERCIALIZATION (TECHNICOM) PROGRAM

DOST FORM NO. 2D

TECHNICOM PROPOSAL FORMAT

Project TitleMust be able to reflect the goal of the project

Project Proponent

The primary agency involved in the execution of the project. Will be in-charge with the implementation of the project. It should also include contact information of the proponent. DTESIA

Private Sector Partner/Collaborators

Refers to the private sector who is willing to support the project by participating in its implementation as collaborator, co-grantor, and committed adopter of resulting technology.

Project Site

Project Location

Project Duration

The length of time the project activities shall be accomplished.

Total Project Cost

Should include the amount being requested from TECHNICOM, the Proponent's Counterpart and Counterpart from other collaborators.

Body of the Proposal

I. General Background

 Brief Background of the project and significance of the study

II. Objectives

 Purpose/Target accomplishment of the project. Can be categorized according to General and Specific Objectives.

III. Implementation Strategies

 Discussion on the major activities of the project which the proponent shall carry out. Should contain but not limited to the following:

• Marketing Aspect/Commercialization Plan

• Target Beneficiaries

• Technological Aspect

• Potential Impact

• Financial Aspect

IV. Project Activities

a. R&D Level cEAHSC

 Previous activities undertaken prior to TECHNICOM

ACTIVITIES	TIME FRAME	SOURCE OF	OUTPUT
		FUND
—————	——————	——————	————
—————	——————	——————	————
—————	——————	——————	————

b. TECHNICOM Level (Project Level)

 List of activities to be undertaken under TECHNICOM with the corresponding time frame

ACTIVITIES	TIME	SOURCE OF	SOURCE OF	EXPECTED
	FRAME	FUND	OUTPUT	OUTPUT
—————	————	——————	——————	—————
—————	————	——————	——————	—————
—————	————	——————	——————	—————

 

V. Proposed Line Item Budget

 Details of project expenditures in accordance with National Government Accounting System (NGAS). It should reflect the counterpart of the proponent, private sector and TECHNICOM.

Checklist of Requirements

• Full blown proposal

• Proponent's letter of interest to avail financial assistance

• Letter of interest from the private sector signifying his willingness to share the risk with government in developing the technology

• Copy of business permit/licenses/certificate of registration of business name with DTI, SEC or CDA

• Accreditation Certificates (if any)

• Curriculum vitae of the members of the project team and their specific responsibilities/participation in the project. DIECTc

DOST Form No. 2A

(1) Title/Leader/Gender/Agency/Address/Telephone/Fax/Email:

Program Title:
Coordinator/Gender:
Agency/Address:	Telephone/Fax/Email:

 

Project Title:

1

2

3

.

.

.

.

n.

(2) Executive Summary

(3) Budget Summary for the whole program

Duration (in months):_______

 

(4) Summary of Personnel Requirement

	Number
	Full-Time: _______
	Part-time: _______
	Total: _______

(5) Summary of Equipment

Existing Equipment	No. of Units	To be purchased	No. of Units
————————	—————	———————	—————
————————	—————	———————	—————
————————	—————	———————	—————

 

(6) Submitted by Endorsed by

	Submitted by	Endorsed by
Signature	_____________	_____________
Name	_____________	_____________
Designation/Title:	_____________	_____________
Date	_____________	_____________

 

Note: To be submitted together with the detailed R & D Proposals of the component projects. See guidelines/definitions at the back

DOST Form No. 3A

DOST Form No. 2B

General Instruction:

A. Submit 6 copies of detailed R & D proposal for the whole program together with the detailed proposal of the component projects. THaDAE

B. Use separate sheets following the appropriate sequence of items.

Operational Definition of Terms:

1. Title — the identification of the program and the component projects.

 Program — consists of interrelated or complementing R & D projects on a multi-disciplinary approach to meet established goals within a specific time frame.

 Project — a set of interrelated studies to meet pre-determined objective within a specific time frame.

 Leader — the one in charge to take the lead in project implementation.

 Agency(ies) — the institution(s) of the coordinator/leader.

2. Cooperating Agencies — agencies participating in the R & D work.

3. R & D Station — station or unit where R & D will be actually conducted.

4. Site of Implementation — site where the project will be conducted. Indicate municipality, district, province and region. EaDATc

5. Classification — indicates whether the program/project is research or development.

 Basic research is an experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular or specific application or use in view.

 Applied research is an original investigation undertaken in order to acquire new knowledge directed primarily towards a specific aim or objective.

 Developmental research is a systematic work, drawing on existing knowledge gained from research and/or practical experience that is directed to producing new materials, products or devices, installing new processes, systems and services and improving substantially those already produced or installed.

 Pilot Testing is an innovative work to confirm and demonstrate the feasibility of actually using a technology; gauging end user's reaction to introduction of improved technologies and identifying potential problems related to wider dissemination, utilization and adoption so that these can be fed back to researchers.

 Technology promotion/commercialization is an activity involving application of technologies on a commercial scale by an identified entrepreneur or user primarily to increase his income/profits and productivity; technologies utilized/produced on a pre-commercial scale including market testing jointly undertaken with a client.

6. Mode of Implementation — indicate whether the R & D will be undertaken by one or more than one agency.

7. Sector — indicate whether crops, livestock, forestry, agricultural resources or socio-economics; fisheries or aquatic resources; biotechnical, pharmaceutical, or health services; biotechnology, information technology, material science, photonics or space technology; industry, energy, utilities or infrastructure. TIEHSA

8. Discipline — the specific field to be studied (e.g. plant breeding, taxonomy, communicable and degenerative diseases, drug formulation, maternal and child health, process, food and feed, metals and engineering, etc.).

 Nos. 9, 10, 11, 12, 13, 14, 15, 16 constitute the technical description of the R & D proposal. They should be written in separate sheets. Guidelines are indicated in the form.

17. Target Beneficiaries — who the clienteles are and what are the expected outcome/effects of the use of the project outputs.

18. Personnel Requirement — personnel requirement of the project indicating designation and percent time devoted to the project.

19. Budget Breakdown — itemized budgetary requirement per quarter for the first year of implementation and annual budget in the succeeding years. Form should be accomplished for each source and for total.

20. Literature Cited — an alphabetical list of reference materials (books, journals and others) reviewed. Use standard system for citation.

21. Capsule Curriculum Vitae — one-page researcher's information sheet indicating, among others, relevant experiences in R & D activities.

DOST Form No. 3B

Project Year _______ Period Covered _______

DOST Form No. 3C-1

DOST Form No. 3A

General Instructions:

A. Submit 3 copies of semi-annual progress report (at least one electronic copy) for each of the component projects and for the whole program. TEaADS

B. Use separate sheets (if necessary) following the appropriate sequence of items.

Operational Definition of Terms:

1. Program Title — the approved title of the program and the component projects.

2. Project Title — The approved title(s) of component projects under the program. Indicate project number and dates from actual start to approved completion of the project in month and year.

3. Coordinator/Leader — the name of the program coordinator (whether multi-agency or single agency R & D) or the program/project leader. Program leader is the overall coordinator while serving also as project leader.

4. Agency — the implementing agency or the institution of the coordinator/leader.

5. Cooperating Agencies — the agencies participating in the R & D work.

6. Semi-Annual Target — specific, measurable and tangible (if applicable) outputs expected to be accomplished semi-annually by the project.

7. Actual Accomplishment — summary of outputs/significant findings achieved by the project for the period under review. This should relate to the target activities for the period (2B-1). aTcIEH

8. Percentage Accomplishment

a) Semi-annual — actual percentage completion vis-à-vis semi-annual target.

b) Cumulative — actual percentage completion from start of the project.

9. Project Expenditure — total expenditures of the project for the project under review.

10. Remarks — obstacles met during project implementation, explanatory notes for deviation in target from accomplishments (administrative and/or technical), change in date of implementation, other problems encountered and remedies undertaken.

DOST Form No. 3B

General Instructions:

A. Submit 3 copies (at least one electronic copy) of annual progress report for each of the component project and for the whole program together with DOST Form Nos. 4, 5, 6, and 7. cCSDaI

B. Use separate sheets following the appropriate sequence of items

Operational Definition of Terms:

1. Title — the approved title of the program and the component projects.

 Coordinator/Leader — the name of the overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project/leader. Program leader is the overall coordinator while serving also as project leader.

 Agency — the institution of the coordinator/leader.

2. Cooperating Agencies — the agencies participating in the R & D work.

3. Site of Implementation — place where the project is implemented. Indicate municipality, district, province and region.

4. Actual Start Date — the day, month, and year when the project actually started.

5. Expected Completion Date — the day, month, and year the project is expected to be completed.

6. Duration — the number of months the project will be implemented.

7. Financial Status — includes the amount approved, amount released and the amount spent by quarter by source of fund. ICaDHT

8. Accomplishments — summary of outputs achieved by the R & D work for the period under review. This should relate to the target activities.

9. Summary of findings — the highlights of research results generated by the project.

10. R & D Breakthrough — significant improvement over an existing product, practice, procedure or method in terms of cost, speed, efficiency, skills and acceptability; advances in knowledge; solutions to a major problem.

11. Plans for the year — the activities to be undertaken for the following year on a quarterly basis.

12. Proposed Budget — quarterly PS, MOE and CO requirement for the following year by source.

13. Problems Met/Suggested Solution — obstacles met during project implementation, issues raised during field visits, explanatory notes for deviation in target from accomplishments, changes in dates of implementation and actions to solve the problems/issues.

14. Personnel complement — the existing full time and part time personnel of the project by gender.

15. Equipment purchased — specific description and number of units of each item/tool acquired through the project.

16. Report of Generated Income — the amount of money received from sales of R & D products, services and others.

DOST Form No. 3C-1

General Instructions:

A. To be accomplished in 6 copies by the monitoring TRDs for each of the component project

B. Use separate sheets (if necessary) following the appropriate sequence of items

Operational Definition of Terms:

1. Program Title — the approved title of the program. Indicate actual start to completion in month and year. ACIESH

2. Coordinator/Leader —the name of the overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project/leader. Program leader is the overall coordinator while serving also as project leader.

3. Agency —the institution of the coordinator/leader.

4. Cooperating Agencies —agencies participating in the R & D work.

5. Project Title —the title(s) of component project(s) under the program. Indicate project number.

6. Expected Output —indicate specific, measurable and tangible (if applicable) outputs expected to be accomplished by the project, for specified period, for each objective.

7. Current Year Activities —brief description of tasks undertaken to produce the current year expected outputs for each objective.

8. Accomplishment —summary of output/breakthrough/significant findings achieved by the project for each objective for the period under review. This should relate to the target outputs and activities.

9. Workplan —the plan of activities to be done for the succeeding year including time frame on a quarterly basis.

10. Issues/problems and Recommendations —obstacles met during project implementation, issues raised during field visits, explanatory notes for deviation in target from accomplishments (administrative or technical), change in date of implementation, etc. and actions to solve the problems/issues. HAEDIS

11. Budget —indicate the total approved program/project budget, the current year allocation and the succeeding year budget by source.

12. Personnel complement —number of part-time (coordinator, leader, project management staff, others) and full time research staff of the program/project by gender.

13. Persons Interviewed —the person(s) who provided the above information.

14. Evaluators —the members of the monitoring and field evaluation committee.

DOST Form No. 3C-2PROJECT MONITORING AND FIELD EVALUATION REPORT FOR COMPLETED R&D PROJECTS

DOST Form No. 3C-2

General Instructions:

A. To be accomplished in 6 copies by the monitoring TRDs for each of the component project

B. Use separate sheets (if necessary) following the appropriate sequence of items.

Operational Definition of Terms:

1. Program Title — the approved title of the program. Indicate actual start to completion in month and year.

2. Coordinator/Leader — the name of the overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project leader. Program leader is the over all coordinator while serving also as project leader. cCSEaA

3. Agency — the institution of the coordinator/leader.

4. Cooperating Agencies — agencies participating in the R & D work.

5. Project Title — the title(s) of component project(s) under the program. Indicate project number.

6. Expected Output — indicate the specific, measurable and tangible (if applicable) outputs expected to be accomplished by the project for specified period for each objective.

7. Accomplishment — summary of output/breakthrough/significant findings achieved by the project for the period under review. This should relate to the target outputs and activities.

8. Issues/problems and Recommendations — obstacles met during project implementation, issues raised during field visits, explanatory notes for deviation in target from accomplishments (administrative or technical), change in date of implementation, etc. and actions to solve the problems/issues.

9. Budget — indicate the total allocated program/project budget by source.

10. Personnel Complement — number of part-time (coordinator, leader, project management staff, others) and full time research staff of the program/project by gender.

11. Persons Interviewed — the person(s) who provided the above information.

12. Evaluators — the members of the monitoring and field evaluation committee. cIDHSC

DOST Form No. 4

DOST Form No. 4

I. General Instructions:

1. Submit 3 copies of the semi-annual/annual financial report for each of the component project.

2. Use the year of implementation rather than the calendar year as the basis for the semi-annual/annual financial report.

3. Every financial report shall be certified by the accountant and noted by both the coordinator/leader and the agency head or authorized representative.

4. For private institutions, the financial reports shall be certified by a licensed independent accountant with an Audit Certificate/Report.

5. Should be submitted by source of fund supported by Schedule of Accounts Payable, List of Equipment Purchased, Report of Income and List of Personnel. HEScID

II. Operational Definition of Terms:

1. Program Title — the approved title of the program.

 Project Title — the title of the component project under the program. Indicate project number.

2. Coordinator Leader — name of the overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project leader. Program leader is the overall coordinator while serving also as project leader. HDTcEI

3. Period Covered — month and year covered by the financial report.

4. Date — month, day and year when the funds for the quarter being reported was received by the implementing agency and by the coordinator/leader.

5. Implementing Agency/Station/Unit — the agency of the coordinator/leader; R & D Station/Unit is the center or place where R & D is actually conducted. In some cases the implementing agency and research station/unit may be the same.

6. Particulars — this is a listing of the particular items in the line-item budget.

7. Total Approved Budget — the total amount approved for the particular year of program/project implementation.

8. Releases — amounts received by the implementing agency within a particular year of implementation which include the amount received in previous quarters; the amount received for the current quarter being reported; and, the total amount received to date since the beginning of the particular year of implementation.

9. Disbursements — amounts actually disbursed and paid from the fund within a particular year of implementation which include the amount disbursed in previous quarters; the amount disbursed in the current quarter being reported; and, the total disbursements to date since the beginning of the particular year of implementation.

10. Accounts Payable to Date — accounts/claims which are still to be paid from the research fund.

11. Total Expenditures to Date — expenditures to date, both actually disbursed and payable.

12. Unreleased Budget to Date — the remaining amount to be released for the particular year of implementation.

13. Unexpected Budget to Date — the unspent amount remaining for the particular year of implementation. IHCDAS

DOST Form No. 5

DOST Form No. 5

I. General Instructions:

1. Submit 3 copies of list of personnel involved for each of the project.

2. This should accompany the Annual Progress Report (DOST Form No. 3B).

3. Upon completion of the program/project, this shall accompany the Terminal Technical and Audited Financial Reports. ECaScD

II. Operational Definition of Terms:

1. Coordinator/Leader — The name of the overall R & D coordinator (whether multi-agency or single agency R & D) or the program/project leader. Program leader is the coordinator while serving also as the project leader.

2. Implementing Agency/Station/Unit — The agency of the coordinator/leader. Station/Unit is the center or place where R & D is actually conducted.

4. Personnel — The name of the staff hired/recruited for the program indicating the gender whether a Male "M" or a Female "F".

5. Designation — The official position/title of each staff in the agency/office and in the particular program/project.

6. Remuneration — The salary/compensation of each staff in the office and in the particular program/project.

7. Percent Time in R&D — The proportion of the working time devoted to the particular program/project.

8. Highest Education Attainment — The highest degree earned including field of specialization of each staff. TAEDcS

DOST Form No. 6

DOST Form No. 6

I. General Instructions:

1. Submit three (3) copies of list of equipment out of the program/project fund duly supported by a copy of Memorandum Receipts. TEAcCD

2. This should accompany the Semi-Annual Financial Report and Annual Progress Report, to include purchases of equipment made during the period being reported.

3. Upon completion of the program/project, the list form shall also accompany Terminal Technical and Audited Financial Report to summarize all equipment purchases made during the entire life of the program/project.

II. Operational Definition of Terms:

1. Title — The title of the program/project.

2. Implementing Agency/Station/Unit —The institution of the coordinator/leader, R&D Station/Unit is the station or unit where R&D is actually conducted.

3. Coordinator/Leader —The name of the overall R&D coordinator (whether multi-agency or single agency) or the program/project leader. Program leader is the coordinator while serving as project leader.

4. Report for —The specific semester(s) and Year of implementation of the program/project covered by the report.

5. Location of Equipment —The name of the office, division or unit where the equipment can be found or located.

6. Proponent/Accountable —The name of the person who signed in the Memorandum Receipt/Acknowledgement Receipt for Equipment as the overall in-charge of a particular equipment.

7. Equipment Per LIB —The item/s in the approved line-item budget.

8. Amount Per LIB —The amount indicated for the item in the approved line-item budget. EHSCcT

9. Actual Equipment Purchased —The actual description of equipment purchased.

10. Actual Amount —The actual amount of the equipment purchased (unit cost — the purchase value per unit of equipment purchase; total cost — the total purchase value of all the equipment purchased)

11. Serial Numbers —The distinctive number which identifies the specific equipment purchased.

12. Date Acquired —The period when a particular equipment was purchased.

13. Inventory Control Number —The identification number of the equipment during the actual inventory of equipment. It should be filled-up by the DOST Inventory Team.

14. Condition —The state or condition of the equipment at the time of reporting. It may be any of the following conditions:

a. good and running condition

b. not functioning (indicate reason why)

c. missing some parts/need repair

d. not yet installed (indicate reason why)

e. not being used/not in operation yet (indicate reason why)

f. to be tested or not yet tested

g. out of order

h. outmoded/obsolete

i. condemned

15. Total Amount —The total cost of all the equipment in the approved line-item budget and the equipment purchased. SATDEI

DOST Form No. 7

 

(1)

Title
Program:
Project:

 

(2)

Implementing Agency

(3) Coordinator/Leader

 

(4)

Beginning Balance of Income/Interest as of (date) _____

P________

 

(5)

Income/interest for this period
1.	From Operation	P_____________
2.	Others (Specify)	P_____________
Total Income/interest for the period		P________
Total Available Income/interest		P________
(beginning balance plus total income/interest for the period)

 

(6) Expenses (from the generated income/interest of the project as approved by DOST)

	Particulars	Amount
1.	__________________	P___________
2.	__________________	___________
3.	__________________	___________
	Total expenses		P________

 

(7)

Ending Balance as of (date) _______ (Total available	P________
income/interest less total expenses)

 

PREPARED BY:	CERTIFIED CORRECT:
	_____________________	_____________________
	Accountant	Coordinator/Leader
		NOTED:
		_____________________
		Agency Head

 

DOST Form No. 7

I. General Instructions:

1. This form should be accomplished for each project and the whole program that generates income/interest. HEcaIC

2. Submit 3 copies of report of income generated together with the Semi-annual/Annual Financial Report.

3. Upon completion of the program/project this shall also accompany the terminal technical and audited financial report in which case report of income generated for the whole duration should be made.

DOST Form No. 8SCHEDULE OF ACCOUNTS PAYABLE

As of __________________

(1)	Title
	Program:
	Project:
(2)	Coordinator/Leader	(3) Implementing Agency
	(4) Payee	(5) Particulars	(6) Amount	(7) Remarks
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
	———————	—————————	—————	——————
CERTIFIED CORRECT:		APPROVED:
	______________________			______________________
	Chief Accountant			Coordinator/Leader

DOST Form No. 8

I. General Instructions:

1. To be prepared for each project and for the whole program.

2. Submit three (3) copies of Schedule of Accounts Payable together with the Semi-annual/Annual Financial Report. DcSACE

II. Operational Definition of Terms:

2. n Coordinator/Leader — The name of the over-all coordinator/leader.

3. Agency — The institution of the coordinator/leader.

4. Payee — the list of individuals or companies with whom the project has outstanding credit to be paid.

5. Particulars — the specific items of expense to be paid.

7. n Remarks — Explain why such amounts are still payable.

DOST Form No. 9A-1GUIDELINES FOR PREPARING R & D TERMINAL REPORT

I. General Instruction — submit 3 copies of the R & D terminal report for the whole program and component projects at the end of the program/project implementation. EScAHT

II. Specific Instruction

A. Preliminary pages

1. Title page — should contain R & D title, names of coordinator/leaders, implementing and funding agencies and year of TR completion.

2. Summary sheet — should include title, project leader, implementing and cooperating agencies, duration of the project, source of fund and total budget.

3. Acknowledgment — indicate key persons, institutions and other entities which contributed to the completion of R & D.

4. Table of contents — outline of major topics covered and corresponding pages.

5. List of tables, figures, pictures, graphs, illustrations, and acronyms/abbreviation (if any).

6. Abstract — one-page, single space, not more than 350-word summary encompassing the highlights of results of the program/project. HaIATC

B. Text

1. Introduction — present an overview of the state of the art regarding the R & D undertaken, the significance and the objectives of the program/project.

2. Review of Literature — cite relevant literature other technical works related to the research.

3. Scientific Basis/Framework — state-of-the-art of technology/information from which the project takes-off.

4. Methodology — state the procedures involved, the materials used, sampling procedures, statistical analysis, and others including scope and limitations, time (seasonality) and place of study.

5. Discussion of Results and Findings — present data gathered, analysis and interpretation of results supported by tables, graphs, pictures, maps, etc. Include a comparison of targeted and actual research and development outputs. TcaAID

6. Summary and Conclusion — present the results in brief and give the generalization derived from the investigation based on evidence shown.

7. Recommendation for future R & D work based on research results:

a) mature technologies for dissemination

b) research & development breakthrough

c) technologies that need further verification

d) results that can be used to formulate solutions to specific problem

e) results for policy, planning, formulation and implementation

8. Literature Cited — references listed alphabetically by author. Each source shall follow the following format: author, year, title, edition (if source is a book), place of publication, publisher (or name of journal, if article), page number (if it is an article). ADaSET

9. Appendices — should include:

a) Statistical formula & analysis

b) Sample questionnaire/survey form/interview schedule

c) Terminal Audited Financial Report

d) List of Personnel Involved

e) List of Equipment

f) Report of Income generated

C. Problems — cite all technical/administrative problems and recommended solutions

D. Raw data (to be submitted upon request of funding agency).

DOST FORM 9A-1aOUTLINE FOR PREPARING DOST-GIA PROJECT TERMINAL REPORT (NON-R & D)

(1)	Program Title (if any):
	Project Title:
	Coordinator/Project Leader:
	Agency/Address:	Telephone/Fax/Email:
(2)	Cooperating Agencies	(2) Site of Implementation/
			Municipality/District/Province/
			Region (if there's any)
(4)	Actual Duration	(5) Completion Date
(6)	Accomplishments
	A.	Actual accomplishment of the project (vis-a-vis the objectives)
	B.	For projects with Equipment Outlay, please accomplish the DOST Form-List of Equipment Purchased
	C.	Milestones accomplishment of the project
(7)	Finding (please indicate problems/concerns met during project implementation)
(8)	Suggested solutions to the above concerns
(9)	List of personnel involved in the project, if there's any, please accomplish DOST Form-List of Personnel Involved
(10)	Income Generated and Mature Technologies for Dissemination (if there's any)
(11)	Publications, report on proceeding/activities and other publishable reports

 

DOST Form No. 9A-2

I. General Instruction — submit 3 copies of publishable report/article out of the R & D Terminal Report. THacES

II. Specific Instruction (the article should at least contain the following:)

1. Title

2. Authors — full name of authors

3. Abstract — highlights of results of the program/project.

4. Introduction — present an overview of the state of the art regarding the R & D undertaken, and the statement of the problem.

5. Conceptual Framework

6. Objectives

7. Materials and Methods

8. Results and Discussions

9. Summary and Conclusion

10. Implications and Recommendations

11. Literature Cited — references listed alphabetically by author. Each source shall follow the following format: author, year, title, edition (if source is a book), place of publication, publisher (or name of journal, if article); page number (if it is an article).

12. Acknowledgment

DOST Form No. 9B

DOST Form No. 9B

I. General Instructions:

1. Submit 3 copies of terminal audited financial report for each of the component project. SDHCac

2. The terminal report shall be certified by the accountant, verified by the auditor and noted by both the research coordinator/leader and the agency head or duly authorized representative.

3. This should be submitted together with the list of personnel involved, list of equipment, report of income, and the terminal technical R & D report.

II. Operational Definition of Terms:

1. Title — the approved title of the program and the component projects.

 Program — consists of interrelated or complementing R & D projects on a multidisciplinary approach to meet established goals within a specific time frame.

 Project — a set of interrelated studies or a component of a program to meet pre-determined objectives within a specific time frame.

2. Coordinator/Leader — the name of the overall R & D coordinator (whether multi-agency or single agency) or the program/project leader. Program leader is the overall coordinator while serving as project leader.

3. Duration — the number of months of program/project implementation.

4. Start Date — the day, month and year the R & D was started.

5. Completion Date — the day, month and year the R & D was finished.

6. Implementing Agency/Station/Unit — the institution of the coordinator/leader. R & D Station/Unit is the center or unit where R & D was actually conducted. TAEDcS

7. Particulars — a listing of the particular items in the line-item budget.

8. Total Approved Budget — the total amount approved for the whole duration of the project.

9. Total Releases — the total amount received by the implementing agency for the whole duration of the project.

10. Total Expenditures — total amount spent throughout the duration of the project.

11. Total Unreleased Budget — part of the approved budget but not yet released as of the end of the projects.

 

12. Unexpended Balance — the unspent amount at the end of the project.

ACKNOWLEDGEMENT RECEIPT FOR EQUIPMENT

Department of Science and Technology — Central Office

Agency
Quantity	Unit	Description	Property No.
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
————	———	——————————	————————
Received by:
________________________		________________________
Signature over Printed Name		Signature over Printed Name
________________________		________________________
Position/Office		Position/Office
________________________		________________________
Date		Date

 

ACKNOWLEDGEMENT RECEIPT FOR EQUIPMENT (ARE)

INSTRUCTIONS

A. This form shall be accomplished as follows: TCEaDI

1. Agency — name of the agency

2. No. — assigned control number

3. Quantity —number of units given to the concerned employee or user of the property

4. Unit — unit of measurement

5. Description —brief description or details of the items issued to the concerned employee, including serial number in case of equipment with serial number

6. Property No. —assigned property number of the item issued

B. The ARE shall be prepared in two copies distributed as follows:

Original — Supply and Property Unit

Duplicate Copy — Recipient or user of the property

C. This form shall be signed and dated by the designated Property Officer under "Received from" portion and the recipient by signing under "Received by" portion.

D. The ARE shall be renewed every three years or every time there is a change in accountability. EaIDAT

Revised January 1998

REPUBLIC OF THE PHILIPPINES

INVOICE RECEIPT FOR PROPERTY

 

 

n Note from the Publisher: Number 1 is not found in the official copy.

n Note from the Publisher: Number 6 is not found in the official copy.