Guidelines for Institutional Development and Innovation Grants under the K to 12 Transition Program

June 9, 2016

CHED MEMORANDUM ORDER NO. 033-16

 

Pursuant to Republic Act (R.A.) 7722 or the Higher Education Act of 1994, which states that it is the responsibility of the State to (1) protect, foster and promote the right of all citizens to affordable quality education at all levels, and to (2) take appropriate steps to ensure that education shall be accessible to all; and which mandates the Commission to (1) formulate and recommend development plans, policies, priorities, and programs on higher education and research, and (2) identify, support and develop potential centers of excellence in program areas needed for the development of world-class scholarship, nation building and national development, the Guidelines for Institutional Development and Innovation Grants under the K to 12 Transition Program are hereby adopted and promulgated by the Commission, for the guidance of all higher education institutions (HEIs). HTcADC

ARTICLE I

Statement of Principles and Policies

1. The Commission's responsibility in the K to 12 Transition is enshrined in R.A. 10533 along with its Implementing Rules and Regulations (IRR), which mandates the Commission to help ensure a smooth transition to the new system by formulating appropriate strategies and mechanisms, which may cover changes in physical infrastructure, human resource, organizational and structural concerns, bridging models linking secondary education competencies and the entry requirements of new tertiary curricula, and partnerships between the government and other entities, along with ensuring the long-term viability of HEIs, and the alignment of higher education with the new curriculum in basic education.

2. The transition to K to 12 and the implementation of Senior High School (SHS) will result in low enrollment in the higher education sector for five academic years, from SY 2016-2017 to SY 2020-2021. With proper measures to mitigate the adverse impact of the transition, this period also presents a rare opportunity to upgrade Philippine higher education at an unprecedented scale.

3. The Philippines ranked 63rd out of 140 economies in terms of "higher education and training" in the 2015-2016 Global Competitiveness Index of the World Economic Forum. While the country has improved its standing over the past years, the Philippines still lags behind ASEAN neighbors such as Thailand (56th), Malaysia (36th), and Singapore (1st), underscoring the need to carefully target the higher education sector and increase government investment in higher education. 1

4. The K to 12 Transition Program was thus established by the Commission through Commission En Banc (CEB) Resolution No. 210-2015, offering a series of scholarships and grants for higher education personnel and institutions, with the goal of bringing their capabilities and competencies to a higher level of quality.

5. Under the K to 12 Transition Program, Scholarships for Graduate Studies, articulated in CHED Memorandum Order (CMO) No. 03, series of 2016; Senior High School Support Grants (CMO 09, s. 2016); Instruction, Research, and Sectoral Engagement Grants (CMO 14, s. 2016); and Foreign Scholarships for Graduate Studies (CMO 22, s. 2016) are already in place for faculty and non-teaching staff. Meanwhile, Institutional Development and Innovation Grants are provided for the more holistic development of institutions, among others, helping ensure that the upgraded qualifications earned by faculty and staff through the other grants under the Program are fully and effectively utilized in their respective HEIs.

6. Through the Institutional Development and Innovation Grants under the K to 12 Transition Program, the Commission shall provide funding for initiatives that strengthen HEIs in their capacity and qualifications to respond and remain relevant to local, regional, national, and global priorities, and ensure their quality and long-term sustainability. It has two main categories, namely, (1) Institutional Development, a top-down approach to achieving higher quality of education and institutional qualification; and (2) Institutional Innovation, which incentivizes HEIs to add new value to the higher education sector through a bottom-up strategy.

7. While the design of the Institutional Development and Innovation Grants attempts to accommodate all Philippine HEIs without prejudice to type, size, or number of years of establishment, priority areas of engagement are identified with the end in mind of creating exemplars for future replication among a wider range of HEIs.

8. The Commission hereby issues the Guidelines for Institutional Development and Innovation Grants under the K to 12 Transition Program which shall define the priorities and procedures in availing of grants for development and innovation projects during the Transition Period, necessary for the progress and strengthening of HEIs and the Philippine higher education sector as a whole.

ARTICLE II

Grant Thrusts

The Institutional Development and Innovation Grants seek to strengthen the role of HEIs across the country as providersof superior quality education, as well as catalysts of innovation and positive change particularly in the domains listed below. Projects under the Grant must respond and contribute to at least one of these thrusts.

1. Nationalism. HEIs should be agents of Filipino national and civic consciousness and cultural rootedness, and should be at the forefront of promoting local, regional, and national perceptions, enterprise, and ingenuity. In so doing, the uniqueness of each region must be highlighted, while at the same time building a unified Filipino identity.

2. Inclusive Growth and Sustainable Development. HEIs should stimulate sustainable economic growth, and be an advocate for providing productive and decent work to all Filipinos. HEIs should be able to assist in making such opportunities equitable and accessible to all. This includes responding to the pressing issues of poverty and food security, climate change, availability of viable water and energy resources, gender awareness, and peace in the country and the region, along with other projects in line with the Sustainable Development Goals (SDGs) identified by the United Nations.

3. Global Competitiveness. Philippine HEIs should be able to foster international connectivity and engagement, and be at par with neighboring foreign HEIs within the ASEAN, and with HEIs in the rest of the world. This includes capacitating culturally and socially aware, as well as technically proficient human resources, and competently responding to the needs of a rapidly changing and globalizing environment. aScITE

ARTICLE III

Grant Categories

Depending on their qualifications and objectives, HEIs may undertake projects either in Institutional Development or in Institutional Innovation. Further, projects may also comprise one or more of the identified components in the categories detailed below, exhibiting a range of related and cohesive activities. Please refer to Appendix 1: Examples of Project Concepts for more information.

1. Institutional Development covers projects undertaken by HEIs that meet the minimum qualifications required by the Grant. Initiatives under this category help establish the foundations for innovation, as well as support the HEI in improving its systems, processes, instructional content, and pedagogies to meet higher standards, in order to bring them closer to Autonomous and Deregulated status, and for their programs to be potential Centers of Development (COD) and/or Centers of Excellence (COE).

a. Institutional Quality Assurance. HEIs may propose projects that strengthen their institution's quality assurance through competency-based learning standards, outcomes-based education, and horizontal and/or vertical typology, as detailed in CHED Memorandum Order No. 46, series of 2012. Broadly, this covers initiatives that:

i. Translate the HEI's vision, mission and goals to desired learning outcomes;

ii. Establish a better learning environment in the HEI;

iii. Allow HEIs to productively employ the latest educational technologies;

iv. Align the HEI to nationally and internationally accepted performance and assessment indicators; and

v. Increase the HEI's capacity to enhance its own programs and systems in a sustainable manner.

Particular priority is given to initiatives that allow the HEI to make necessary adjustments to aligning with changes made as a result of the K to 12 curriculum.

b. Organizational Strengthening of HEI. This covers projects that establish and/or enhance relevant organizational structures/functions for the conduct of activities such as Research, Development & Extension, and Internationalization.

2. Institutional Innovation covers projects undertaken by HEIs that hold higher levels of accreditation. Projects under this category add new value to the HEI and/or enhance its existing resources to achieve better efficiency and quality in their academic programs, research outputs and extension projects, and responds to the needs of industry and the globalizing world. HEIs thus have a hand not only in upgrading the higher education sector but also in the country's productivity, as well as regional and global competitiveness.

a. Research, Development, and Extension. Under the IDIG, HEIs may propose research and extension projects on regional inclusive growth, sustainable development, and emerging technologies. Recognizing that research is a driving force behind innovation, HEIs may also propose initiatives that translate research into material outputs or products. HEIs are strongly encouraged to undertake said projects with a view of sustaining them well after the K to 12 Transition Period.

b. Development of Academic Programs. Following the respective policies, standards, guidelines (PSGs) for each program, HEIs may propose projects to formulate, enhance, and reinvigorate academic programs classified as:

i. Niche programs — Existing or new degree programs that highlight local, regional or national uniqueness and resource utilization, and can establish an HEI or its locality, region, or the country, as a leader in the particular field or discipline.

ii. Priority programs — Existing or new degree programs in areas essential to regional and national development, particularly during the K to 12 Transition Period (Refer to CMO No. 3, series of 2016 — Appendix 1 and CMO No. 22, s. 2016 — Appendix 2), or fields otherwise identified by the Commission.

iii. Endangered Programs — Existing programs with very low enrolment and/or graduation rates but are considered essential to the socio-cultural development of the region or country. Such programs are placed at greater risk due to the lower enrollment during the Transition Period.

c. Academe-Industry Linkages. In line with the emphasis of the K to 12 curriculum on making Philippine education more responsive and relevant to industry, HEIs may propose projects that foster linkages with industry partners to aid in the alignment of academic instruction, the professional preparation of students with industry practice and standards, and to spur research, development and innovation (RDI) activities with high social impact. HEITAD

d. Internationalization. Philippine HEIs may propose initiatives that foster linkages and collaboration with foreign HEIs, Ministries of Education, international education networks, and other foreign and global entities, which strengthen the position of HEIs and/or the Philippine higher education sector in the international stage. This include both home-based and cross-border internationalization activities that meet the standards and qualifications, and gain access to and/or memberships in the said foreign organizations.

3. CHED-initiated Partnerships for Innovation. The Commission shall likewise endeavor to establish partnerships with local and foreign organizations, governed by Memoranda of Agreement or other similar arrangements, to jointly initiate and fund projects in line with the thrusts of the Institutional Development and Innovation Grants. (Guidelines for participation in said partnerships shall be released separately by the Commission)

ARTICLE IV

Eligibility

1. Institutional Development and Innovation Grants are open to all State Universities and Colleges (SUCs), Local Universities and Colleges (LUCs), as well as to non-stock and non-profit private HEIs.

a. For Institutional Development, proponent HEI must be recognized by the Commission.

b. For Institutional Innovation, proponent HEI must be recognized by the Commission, and must have at least one (1) program with Level III accreditation status or its equivalent, and/or a host of a Center of Development (COD) or Center of Excellence (COE) program.

2. Higher education institutions may partner with one or more eligible HEI to establish collaborative arrangements and apply for the grant as one unit through a lead HEI, identified according to the internal arrangement between partners or among members. The lead HEI shall apply for the grant in behalf of the unit, and shall coordinate with the Commission throughout the whole application process and the conduct of the grant. If applicable, HEIs with higher qualifications be identified as lead HEI. All member HEIs must be recognized by the Commission.

3. Further, the Commission encourages the establishment of partnerships between HEIs with different qualifications wherein mentoring occurs, as well as collaboration among HEIs qualified for Institutional Innovation, to engage in projects that will impact the higher education sector as a whole.

4. The proposed project may also be initiated by a department, office or unit within the HEI. Faculty and non-teaching personnel with lesser teaching and workloads due to the transition to K to 12 are encouraged to spearhead projects for the Institutional Development and Innovation Grant. Nonetheless, the proposal must be endorsed by the head/president of the HEI.

5. Funding under the grant shall run for a maximum duration of twelve months. Project extensions may be requested by the HEI in writing and shall be subject to the approval of the CEB, based on a preliminary evaluation of the progress of the project.

6. The project proposal being applied for under the grant should not be submitted to other agencies and/or funding sources for the same purpose. Otherwise, proponents must disclose which components of the project will be funded by the Commission, and by other sources.

ARTICLE V

Application Processes and Awarding of Grant

The Call for Proposals for the Institutional Development and Innovation Grant shall be issued annually. Project proposals from prospective HEI grantees shall strictly follow the application process detailed below (Refer to Appendix 2: Procedure Flowchart). Projects resulting from CHED-initiated partnerships lodged under the Grant shall be governed by the agreements entered into by the Commission and its partner organizations.

1. HEIs that wish to avail of the Institutional Development and Innovation Grant must first submit a two-page concept note (Refer to Appendix 3: Concept Paper Template), endorsed by the HEI president/head, for the project they want to be funded under the Grant to the CHED K to 12 Transition Program Management Unit via email. The concept papers shall be reviewed by the IDIG Technical Working Group. This step shall serve as a pre-screening process to ensure efficiency in the preparation of full proposals and greater success of HEIs in accessing the Grant. HEIs which pass this assessment shall be informed as such. ATICcS

Email address [email protected]com or [email protected]

Subject line IDIG Concept Paper: <Region>_<HEI Name>

2. Only HEI applicants which pass the pre-screening may then submit a full proposal including the plan for cascading best practices, following the template provided (Refer to Appendix 4: Project Proposal Template), along with the complete documentary requirements specified by the Commission (Refer to Appendix 5: Application Requirements), to the CHED Regional Office (CHEDRO) in their respective regions or in the region in which the lead HEI is located. A cover letter, duly signed by the head of the lead HEI, addressed to the CHED Chairperson with an attention line to the Regional Director is required. Note that full proposals of which concept notes have not been pre-screened by the TWG will not be accepted by the CHEDROs.

3. Screening of applications shall be done in two stages through panels designated by the Commission: (1) preliminary screening at the regional level through the IDIG Regional Vetting Panels (RVP), and (2) final screening at the national level through the IDIG National Vetting Panel (NVP).

4. Project proposals shall be evaluated based on the following criteria: (1) technical merit; (2) relevance and developmental nature or the value-added; and (3) capacity of the proponent/s to successfully deliver the stated goals. Proposals that will not reach 50 percent of the total score at the regional level will not be endorsed to the NVP for evaluation. Refer to Appendix 8: Selection Criteria for more details.

5. A matrix of all submissions in the region, together with a copy of all proposals, shall be provided by the CHED Regional Office to the CHED Central Office. Indicated therein shall be the name of the proponent HEI and project lead, project proposal title, category in which the activity falls under, budget requested from the Commission, checklist of requirements, scores from the RVP evaluation, and remark whether the proposal is being endorsed to the NVP or a brief explanation of why it is not.

6. A list of approved project proposals shall be released by the Commission. Proposals that are not approved may be resubmitted in succeeding Calls for Proposals, following the regular application process for the Grant and provided the necessary revisions and improvements are made.

7. The Commission, through the K to 12 Transition Program Management Unit (PMU), shall process the release of funds in tranches as specified in the Memorandum of Agreement to be signed by each successful grantee and the Commission.

ARTICLE VI

Funding and Restrictions

1. A maximum amount is set for the Grant Categories, and shall be subject to annual review and possible revision by the Commission, taking into consideration inflation rate and other factors. For Academic Year 2016-2017, these amounts are as follows:

a. Two million pesos to five million pesos (Php2,000,000.00-Php5,000,000.00) for Institutional Development; and

b. Eight million pesos to twelve million pesos (Php8,000,000.00-Php12,000,000.00) for Institutional Innovation.

2. The Grant may NOT be used for capital outlay, but may be used for the improvement and refurbishment of existing facilities and Maintenance and Other Operating Expenses (MOOE) budget items. Acquisition of equipment critical to attaining the proposed project objectives may still be accepted, subject to the assessment of the necessary evaluating panels and the approval of the Department of Budget and Management (DBM), which may require longer processing time for the disbursal of funds.

3. The Grant shall be awarded safely to HEIs, and not to individual faculty or staff.

4. Only one project at a time shall be funded for each HEI campus, including those participating in CHED-initiated Partnerships for Innovation. Institutions with ongoing projects under the Grant at the time of Call for Proposals are disqualified from applying.

ARTICLE VII

Obligations of Grantees

HEI Grantees shall fulfill the following obligations:

1. Implement the approved project proposal and ensure the achievement of the deliverables proposed;

2. Ensure that funds are spent according to the approved Work and Financial Plan, and in line with Philippine government rules and regulations; TIADCc

3. Provide counterpart support to the grant awarded by the Commission;

4. Submit periodic monitoring and progress reports as required;

5. Prepare and submit an accomplishment report as well as an audited financial report at the end of the grant period;

6. Submit a liquidation report to the Commission, certified correct by a Certified Public Accountant and approved by the head of the HEI;

7. Participate in activities organized by the Commission;

8. Mentor other HEIs, as specified in the approved design for cascading best practices resulting from the project under Grant; and

9. Sustain activities related to the original grant, as specified in the sustainability indicators in the approved project proposal.

ARTICLE VIII

Sanctions

The Commission reserves the right to take administrative, civil, and/or criminal action including, but not limited to, the imposition of a payment obligation for all financial privileges received under the Institutional Development and Innovation Grant and disqualification from receiving any future grants from the Commission against HEI grantees for the following infractions:

1. Refusal or failure of HEI grantee to comply with the policies and guidelines herein stated, and with any provision of the Memorandum of Agreement between the CHED and the HEI grantee;

2. Misrepresentation or fraud by HEI grantee and/or any of its personnel serving as project lead/point person;

3. Failure to complete the project under the Grant, including the implementation of the plan for cascading best practices, within the approved duration;

4. Use of funds for the purposes other than those indicated in the approved project proposal and Work and Financial Plan; and

5. Other acts as may be considered by the Commission as inimical to the interest of the Republic of the Philippines and those that adversely affect the integrity of the Institutional Development and Innovation Grant.

ARTICLE IX

Separability Clause

If any part or provision of this Memorandum Order shall be held invalid or illegal by competent authority, other provisions thereof, which are not affected thereby shall continue to be in full force and effect.

ARTICLE X

Effectivity

This Memorandum Order shall take effect immediately and shall remain in force only until the end of the SY 2020-2021, unless otherwise extended or adopted by the Commission.

Issued this 9th day of June, 2016 in Quezon City, Philippines.

(SGD.) PATRICIA B. LICUANAN, Ph.D.

Chairperson

APPENDIX 1

Examples of Project Concepts

This section is meant to provide sample project concepts for the Institutional Development and Innovation Grant, and is no way restrictive nor exhaustive. HEIs and collaborations are strongly expected to exercise creativity in the formulation of their projects in order to maximize the grant.

Project Concept		Component Activities
Development of HEI's	1.	Formulation of research agenda
RDE Program		a.	Identify a distinctive competence given the HEIs faculty
(Institutional Development:			resources, track record, geographic advantage, etc.
IQA and Organizational		b.	Determine gaps in terms of human resources, facilities,
Strengthening of HEl)			budget, and other constraints
	2.	Pursuing the research agenda
		a.	Development of process for preparation and review of
			research proposals
			i.	Identification of the responsibility centers at the HEI
			ii.	Formulation of policies in terms of 1) faculty loading,
				2) intellectual property, 3) collaboration with experts in
				industry or other HEIs, 4) rewards and incentives, etc.
		b.	Addressing the research gap
			i.	Facility support for research
			ii.	Assistance in research analysis, editing, etc.
	3.	Creation of a Research Journal/Accreditation of HEI's
		Research Journal
Promotion and Marketing	1.	Creation of HEI Strategic Communications Office
of HEI		a.	Formulation of HEI marketing and promotion plan
(Institutional Development:	2.	Crafting of policies and materials regarding the marketing and
IQA and Organizational		imaging of the HEI
Strengthening of HEI)		a.	Development of prospectuses and view books
		b.	Development of HEI brand identity and manual
		c.	Development of other marketing public relation tools
	3.	Dissemination of information and promotional materials
		a.	Conduct of campaigns and fora in basic education
			institutions
HEI collaboration with	1.	Creation of tripartite partnership between HEI, local farming
Agricultural and Fishing		and fish farming communities, as well as private firms
Communities and		a.	Private firms engage in contract farming where farmers
Industries			are given the opportunity to improve their income
(Institutional Innovation:	2.	Provision of technical support to the communities
RDE and Academe-		a.	HEI cascade their knowledge on organic farming, food
Industry Linkage)			processing, and packaging, etc.
		b.	HEI also helps farmers in negotiating for better prices in
			pushing their products to the market
	3.	Perpetuation of support to the communities
		a.	Industry and HEI assists the farmers to bring their
			products beyond domestic consumption and toward
			export
Strengthening of the	1.	Development of marketing strategy for the program
Malikhaing Pagsulat sa		a.	Creation of program view book, highlighting the capacity
Filipino degree program			of the faculty, notable alumni, etc.
(Institutional Innovation:		b.	Production of HEI-wide advertising materials such as
Development of Academic			videos and infographics that depicts the relevance of the
Program)			program
	2.	Inclusion of innovative instructional strategies in syllabi and course
		outlines
		a.	Use of educational technology in relevant subjects
	3.	Updating program curriculum, course syllabi, and outlines, based on
		relevant PSGs
	4.	Support for graduates in terms of critiquing, editing, and publishing
		their subsequent works
		a.	Creation of a regularly published collection and/or
			anthology of the graduates work
Development of Joint	1.	Establishment of partnership with a reputable foreign HEI
Degree Program		a.	Benchmark with the practices and techniques of the
(Institutional Innovation:			partner HEI
Internationalization and	2.	Crafting of curriculum design and policies
Development of Academic		a.	Conduct of write shops for curriculum writers
Program)		b.	Preparation of guidelines in the relevant processes for
			the program
		c.	Selection of administrators and program governors
	3.	Acquisition of necessary manpower and resources
		a.	Faculty
			i.	Setting up positions and inviting foreign professors to
				teach in the program
			ii.	Preparations for mobility of local faculty to partner
				foreign HEI
		b.	Library materials, information materials, and equipment
	4.	Information dissemination campaign
HEI Partnership with	1.	Forging collaborative partnership with a relevant automotive
Automotive Company		company
(Academe-Industry		a.	Fora on emerging technologies in automotive design and
Linkage)			engineering
		b.	Creation of elective courses on vehicular design,
			automotive engineering, etc.
	2.	Opening of adjunct professorial positions for industry experts
		to teach in the newly created elective courses and/or major
		subjects
	3.	Institution of an internship with partner company where
		students may immerse in the following:
		a.	Design of new car models
		b.	Safety standards of vehicles
		c.	Production line
		d.	Innovations in automotive engineering

APPENDIX 2

Procedure Flowchart

1. Application Process

2. Transfer of Funds

APPENDIX 3

Concept Paper Template

APPENDIX 4

Application Form

APPENDIX 5

Full Project Proposal Template

APPENDIX 6

Work and Financial Plan Template

APPENDIX 7

Application Requirements

APPENDIX 8

Selection Criteria

The following factors will be considered when vetting the proposals:

1. Project's technical merit;

2. Relevance and developmental nature or the value-added by the project; and

3. Demonstrated capacity of HEI/s to successfully deliver the stated goals.

These criteria shall be used to evaluate whether the project proposals submitted by the HEIs fails to meet, meets, or exceeds the expected qualities of a project under Grant.

Each indicator shall be scored from "1" to "10", where a score of "1" to "4" means unsatisfactory, "5" to "7" signifies satisfactory, and "8" to "10" is superior. The total obtainable score is 170 points.

 

MEMORANDUM FROM THE CHAIRPERSON

 

As we move towards the full implementation of the K to 12 Enhanced Basic Education Program, the Commission, through the K to 12 Transition Program, has likewise been preparing for the impact of the transition on the higher education sector, while also leveraging the transition to invest in the future of higher education. As part of the Program, the Commission is pleased to release CHED Memorandum Order No. 33, Series 2016, or the Guidelines for Institutional Development and Innovation Grants under the K to 12 Transition Program. SDAaTC

The Commission is now calling for proposals for HEI development and innovation projects for 2016, the first year of the K to 12 Transition Period. HEIs intending to submit are encouraged to exercise creativity in crafting projects to maximize this once-in-a-generation opportunity.

Further, teaching and non-teaching personnel with lesser workloads during the Transition are encouraged to spearhead projects for said grants. Proposals may be submitted following the timeline set by the Commission:

June 6, 2016 Release of the CHED Memorandum Order on Institutional

July 29, 2016 Deadline for Pre-proposals/Project Concept Paper

August 31, 2016 Deadline for Full Project Proposals

Project Concept Papers (please refer to Appendix 3 of the CMO) are to be submitted via email to [email protected] or k12ched.gov.ph, on or before the set deadline. Questions or clarifications may also be sent to the above emails.

CHED Regional Directors are hereby requested to ensure wide dissemination of this policy to all qualified higher education institutions in their respective regions.

Thank you and we look forward to your active participation.

(SGD.) PATRICIA B. LICUANAN, Ph.D.

Footnotes

1. Klaus Schwab, ed., The Global Competitiveness Report 2015-2016 (Geneva: World Economic Forum, 2015).