crg manual

Competitive Research

Grants Manual (CRGM)

Department of Agriculture Bureau of Agricultural Research

ii

Contents

Page

PREFACE iv

RATIONALE OF THE MANUAL v

ACRONYMS vii

LIST OF FIGURES ix

LIST OF TABLES x

Section 1. Introduction 1

The Bureau of Agricultural Research 2

Section 2. Research, Development and Extension Agenda 5

Definition of Terms 6

Formulation of RDE Agenda 8

Section 3. BAR RDE Grant System and Its Implementing Guidelines 10

BAR RDE Grant System 11

Types of Research Grants 13

Eligibility 15

Criteria for Funding 16

Project Proposal Format 18

Application and Approval Process 20

A. Screening and Approval of Proposals 23

BAR In-House R&D Proposal Screening and Review Committee

24

Experts Pool 25

B. Project Monitoring and Evaluation 27

Monitoring and Evaluation Team 28

Pre-Implementation Meeting 30

Procedure for Project Monitoring and Evaluation 32

Budget Realignment and Project Termination/Extension

36

iii

Appendices

A. Capsule Proposal Format

B. Guidelines for the Preparation of Capsule Proposal

C. Detailed Proposal Format

D. Guidelines for the Preparation of Detailed Proposal

E. Acknowledgement Receipt

F. Pre-Implementation Meeting Evaluation Sheet

G. Monitoring and Evaluation Team (MET) Confirmation Sheet

H. On-Site/Field Monitoring Form

I. Suggested Guidelines for Field Monitoring

J. Semi-Annual Report Format

K. Guidelines for the Preparation of Semi-Annual Report

L. Annual Report Format

M. Guidelines for the Preparation of Annual Report

N. Certificate of Acceptability

O. Terminal Report Format

P. Guidelines for the Preparation of Terminal Report

iv

Preface

This manual should be used as a facilitating tool and a guide for proponents and evaluators of RDE projects. It contains descriptions of particular technical and administrative considerations that are sought in quality output. The manual consists of five sections: The first section aims to provide a brief overview on the Bureau of Agricultural Research, the institution which is mandated to ensure that agricultural research are coordinated and undertaken for maximum utility to agriculture. Section Two describes the formulation of RDE agenda as well as the common terms usually encountered by proponents when submitting proposals to DA-BAR. Section Three presents the BAR RDE Grant System. It enumerates the different types of research grants including the formats and guidelines for preparing capsule and detailed proposals. It also discusses the screening and approval of proposals including monitoring and evaluation of on-going RDE projects. This manual shall be used for guidance and compliance of all stakeholders involved under the grant system. However, since review is conducted periodically to ensure that it will be revised according to the lessons learned during implementation, we invite the concerned parties to submit their comments and recommendations for our evaluation and possible consideration in the revision process. Forms and formats are approved and authorized by the Bureau and are continuously used throughout the implementation of the system including revisions thereon.

v

Rationale of the Manual

Agricultural output per capita declined in the 1980’s compared to the 1970’s and has remained relatively low in the past decades. The relatively low agricultural productivity tremendously affects the country’s ability to produce and sustain adequate food supply for its burgeoning population. Over the last two decades, production of the country's staple grains, palay and corn, have not been able to keep up with consumption. To address the present situation of Philippine agriculture, the government enacted Republic Act 8435, otherwise known as the Agriculture and Fisheries Modernization Act (AFMA) which prescribes measures for the modernization of the agriculture and fishery sectors through greater participation of small-holders, increased private sector participation, and people empowerment. The Bureau of Agricultural Research (BAR) of the Department of Agriculture (DA) was created in 1987 to ensure that all agricultural research is coordinated and undertaken for maximum utility to agriculture. BAR coordinates and funds agricultural research and development activities of farmers, farmers’ organizations, and research institutions for the use of DA and its clientele. It is charged with developing national agricultural research plans and priorities in accordance with the national development goals and objectives. It also manages knowledge and advocate policies towards improved governance and progressive agricultural and fishery sector. The Bureau, in pursuit of its mandate under the AFMA to stimulate rural growth and employment, thereby increase farmers’ income, has established and implemented a competitive research grant (CRG) which aims to promote market-oriented research designed to help improve the competitiveness of Philippine crops, livestock and poultry, and fisheries. The CRG funds and supports high quality and collaborative research projects designed to provide solutions to specific problems on competitiveness of the agriculture and fisheries sector. This creates better conditions for agribusiness diversification and productivity-enhancing investment by the private sector. The CRG encompasses both the national and regional concerns of food security, global competitiveness and market development of agro-industries. The research grants of DA are continuously being made competitive to obtain high-quality proposals that focus on priority areas and address the needs of the industry and farmers/fisherfolk thus maximize use of scarce research funds. The CRG is a way to ensure proposals take into account: a) consultation with farmers/fisherfolk and stakeholders in research proposal preparation; b) partnerships and collaborations with government and non-government research institutions; c) generation and dissemination of information/technology that has impact on the target beneficiaries and other stakeholders; d) enhancement of competitiveness of the sector or industry in both domestic and foreign markets.

vi

BAR undertakes the important role in the management of CRG to attain a sustainable diversification of the agricultural and fishery sectors. Hence, this manual is conceptualized to address the need for effective and efficient monitoring and evaluation system for BAR. More specifically, this manual aims to:

• provide guidance in the preparation (content, format, budget, etc.), submission, review, and processing of RDE proposals

• facilitate and standardize the preparation of performance reports (progress, annual, and final reports) for CRG projects

• describe and explain the policies regarding the award and administration of grant

vii

Acronyms

AFMA Agriculture and Fisheries Modernization Act

AFPRU Agriculture and Fisheries Policy Research Unit

AFR Advise for Fund Release

ALOBS Allotment and Obligation Slip

BAR Bureau of Agricultural Research

BARBD Bureau of Agrarian Reform Beneficiaries Development

BFAR Bureau of Fisheries and Aquatic Resources

CERDAF Council for Extension, Research and Development in Agriculture and Fisheries

COA Commission on Audit

CPAR Community-based Participatory Action Research

CPT Core Planning Team

CRG Competitive Research Grant

DA Department of Agriculture

DAR-PSRS Department of Agrarian Reform – Policy Studies and Research Services

DBM Department of Budget and Management

DENR Department of Environment and Natural Resources

DOST Department of Science and Technology

DV Disbursement Voucher

EO Equipment Outlay

FIAC Farmer/Fisherfolk Industry Advisory Committee

GOs Government Organizations

ICU Internal Control Unit

IPRO Intellectual Property Rights Office

LGUs Local Government Units

M&E Monitoring and Evaluation

MET Monitoring and Evaluation Team

MISD Management Information Systems Division

MOA Memorandum of Agreement

MOOE Maintenance and Other Operating Expenses

NaRDSAF National Research and Development System in Agriculture and Fisheries

NAREA National Research and Extension Agenda

NARRDS National Aquatic Resources Research and Development System

NESAF National Extension System in Agriculture and Fisheries

NGOs Non-Government Organizations

NIN National Information Network

NRDEN National Research, Development and Extension Network

NRIs National Research Institutes

viii

NTL National Team Leader

NTP Notice to Proceed

OD Office of the Director

PDD Program Development Division

PS Personnel Services

PTIAFs Provincial Technical Institutes in Agriculture and Fisheries

R&D Research and Development

RAMRO Revised Accounting Manual for Research Operation

RCD Research Coordination Division

RDE Research, Development and Extension

RRDEN Regional Research, Development and Extension Network

RRIs Regional Research Institutes

RSCUs Regional State Colleges and Universities

SCUs State Colleges and Universities

SSAC Senior Scientists Advisory Committee

ix

List of Figures

Page

Figure 1. Organizational structure of the Bureau of Agricultural Research.

4

Figure 2. Flowchart for the formulation of RDE agenda

9

Figure 3. BAR RDE Grant System

12

Figure 4. Application and approval process for agriculture and fisheries RDE proposals

20

Figure 5. Monitoring and evaluation process flow 33

x

List of Tables

Page

Table 1. Requirements by type of research grant 18

1

Section

Introduction

Competitive Research Grants Manual 2

VISION

A stable and progressive future for the Filipinos through excellence on research and development in agriculture and fisheries MANDATE

Our business is agriculture and fisheries research and development. We coordinate, fund and catalyze research, develop partnerships and institutional capabilities, manage knowledge and advocate policies towards improved governance and progressive agriculture and fisheries.

RESEARCH AND DEVELOPMENT THRUSTS

• Expanding the Production Base and Enhancing Productivity and

Profitability in Agriculture and Fisheries

The Bureau is committed to the enhancement and profitability in small-hold agriculture and fisheries, and small and medium agribusiness through application of research findings on genetic improvements of crops, livestock, and fisheries as well as better production and management practices; market accessibility; and marketing efficiency.

• Protecting the Environment

The Bureau supports innovative agriculture and fisheries researches, tapping the full potential of the natural resources while promoting sustainability from these environmental gains.

• Conserving and Protecting the Natural Resources in Agriculture and Fisheries

The Bureau works for the conservation and protection of the country’s plant and animal germplasm, biodiversity and other natural resources in agriculture and fisheries.

• People Empowerment

The Bureau nurtures knowledge and information system as a strategy to promote people empowerment through accelerating the use of productivity-enhancing and sustainable technologies in agriculture and fisheries and providing easy access to technology and information on agribusiness at the same time encouraging equal gender participation in the organization.

The Bureau of Agricultural Research


ROLES AND RESPONSIBILITIES

For purposes of the Council for Extension, Research and Development in Agriculture and Fisheries (CERDAF) and the National Research and Development System in Agriculture and Fisheries (NaRDSAF), BAR shall:

• serve as the Secretariat for R&D of the CERDAF. • manage the R&D fund of the Department of Agriculture based on the guidelines

approved by CERDAF. • provide leadership in the formulation of the NAREA. • orchestrate the development and implementation of a manpower development program

for researchers, technical, and non-technical staff of the R&D system. • develop and implement a program for the acquisition, upgrading, and maintenance of

R&D facilities and equipment. • develop and maintain agriculture and fisheries R&D information system linked to the

National Information Network (NIN). ORGANIZATION AND MANAGEMENT

A director heads the Bureau with the support of an assistant director. It is functionally structured with three divisions and nine units. Figure 1 shows the organizational structure of the Bureau of Agricultural Research (BAR).


Office of the Director

Office of the Assistant

Director

Administrative Unit

Finance Unit

Legal Unit

International Relations

Unit (IRU)

Planning Unit

Agriculture & Fisheries

Policy Research Unit

(AFPRU)

Internal Control Unit

(ICU)

Intellectual Property

Rights Office (IPRO)

Project Evaluation

Section

Institutional

Development Section

Project Packaging

Section

Program Development

Division (PDD)

Research Coordination

Division (RCD)

Crops Section

Livestock & Poultry

Section

Fisheries & Aquatic

Resources Section

Products, Resources &

Systems Section

Management Information

Systems Division (MISD)

Information &

Communication

Technology Section

Applied Communication

Section

Library Services Section

Technology

Commercialization Unit

(TCU)

Figure 1. Organizational structure of the Bureau of Agricultural Research.

2

Section

Research, Development, and Extension Agenda


The Bureau of Agricultural Research (BAR), being the CERDAF secretariat for Research and Development, is mandated to provide leadership in the formulation of Research, Development and Extension (RDE) Agenda for agriculture and fisheries. In this connection, national and regional RDE networks are created to lead in the formulation of RDE agenda and their implementation. The RDE Agenda enhance the consultation process among R&D implementing agencies by assigning national and regional responsibilities. In so doing, research duplication is avoided and use of scarce resources is maximized. DEFINITION OF TERMS

• Council for Extension, Research and Development in Agriculture and Fisheries (CERDAF)

Mechanism to integrate the agriculture and fisheries RDE; enhance, support and consolidate the NaRDSAF; ensure linkage with NESAF.

• Core Planning Team (CPT)

Composed of members from the RDE network who possess the technical expertise and specialization. It provides leadership in the development of the national RDE agenda for a particular program area.

• Farmer/Fisherfolk Industry Advisory Committee (FIAC)

Created to ensure active participation of farmers/fisherfolk and the industry in determining RDE programs for agriculture and fisheries.

• National Research and Development System in Agriculture and Fisheries (NaRDSAF)

Refers to the consolidated and strengthened national agricultural and fisheries system and complements the NESAF. It is composed of the R&D centers and institutes under DA, DOST, DENR, SCUs, BARBD, DAR-PSRS, NARRDS, and private R&D organizations and specialized agencies.

• National Research, Development and Extension Agenda

Embodies the thrusts and priorities for RDE in agriculture and fisheries at the national level. • National Research, Development and Extension Network (NRDEN)

Composed of national research institutes, state colleges and universities (SCUs), DA staff bureaus, and attached agencies. It leads in the planning and orchestration of the implementation, monitoring and evaluation of the major programs in agriculture and fisheries.

• Regional Research, Development and Extension and Agenda

Embodies the thrusts and priorities for RDE in agriculture and fisheries that answers specific RDE needs of the priority development zones in the region.


• Regional Research, Development and Extension Network (RRDEN)

Composed of DA RIARCs, DA-BFAR RFRDCs, Regional R&D Consortia, regional state colleges and universities (SCUs), training and extension centers, private R&D institutions, DA attached agencies based in the regions, provincial technical institutes in agriculture and fisheries (PTIAFs), industry, local government units (LGUs) and non-government organizations. It leads in the planning and implementation of the major programs in agriculture and fisheries in the region.

• Senior Scientists Advisory Committee (SSAC)

Group of senior technical experts and accomplished scientists who have technical expertise and the vision necessary to assist the CERDAF in charting the direction and programs of RDE.


The RDE Network headed by the CPT conducts consultation meetings with farmers, fisherfolk and other stakeholders to determine their problems and needs. The RDE network then formulates the RDE agenda which respond to the real needs and aspirations of the industry and farmers/fisherfolk. In the formulation of the RDE agenda, the Commodity Industry Strategic Plan is taken into account. The formulated RDE agenda is submitted to the FIAC for review and confirmation. The FIAC evaluates and determines the appropriateness of the RDE agenda vis-à-vis the needs of farmers/fisherfolk and industry. Upon finalization, the RDE agenda is endorsed and presented by the RDE network to the SSAC which evaluates all the RDE agenda prior to submission to the CERDAF. If the RDE agenda passed the SSAC evaluation, it is forwarded to the CERDAF for final approval; otherwise, it is returned to the RDE network for revision and then presented again to the SSAC. After the RDE agenda is approved by the CERDAF, it is adopted as the medium-term RDE agenda for agriculture and fisheries. The implementation is coordinated by BAR. Annually, BAR conducts meetings and consultations with private sector, farmers, fisherfolk and stakeholders to update the identified major problems affecting priority commodities (Figure 2).

Formulation of RDE Agenda


Conduct consultation meetings with farmers, fisherfolk and

stakeholders

Formulate RDE Agenda

Submit RDE Agenda to FIAC for review and confirmation

Endorse and present RDE Agenda to SSAC for review and approval

Approved No Notify network

to revise

Yes

Endorse RDE Agenda to CERDAF for approval

Implement RDE Agenda for five (5) years

Updating

Figure 2. Flowchart for the formulation of RDE agenda.

3

Section

BAR RDE Grant System and Its Implementing

Guidelines


The Bureau of Agricultural Research supports projects that are in line with the National and Regional RDE Agenda. These embody the thrusts and priorities of RDE in agriculture and fisheries at the national and regional levels.

The BAR RDE Grants are classified into four, namely:

1. Grants addressing the national and sectoral/commodity concerns in accordance with the problems and needs of the clientele, industry, farmers and fisherfolk.

2. Grants addressing specific R&D needs of the regions and designed to transform agriculture

from a resource-based to a technology-based industry with focus on agribusiness development to increase the productivity and profitability of the farming and fishing communities.

3. Grants addressing urgent problems and/or special RDE activities not lined up under the

various medium-term R&D programs developed by the National RDE Networks to ensure continuity of efforts and rational allocation of funds for RDE in agriculture and fisheries.

4. Grants focused on developing and transferring agricultural technologies which are market-

oriented and user-driven to support agri-business and agri-industry development. The Bureau welcomes proposals on basic and applied researches. These include R&D that address national concerns as well as location-specific researches such as CPAR and commodities specific to certain regions (i.e., pili, durian, etc.). It also considers special projects such as commissioned researches (e.g. Policy Research), quick response researches, and supplementary research (Figure 3). Awarding of grants is always based on the merits of the approved proposals. There is no limit as to the number of proposals a particular proponent may submit. Each proposal is treated separately and independently, in strict accordance with the established guidelines.

BAR RDE Grant System


Figure 3. BAR RDE Grant System

THE NATIONAL RDE

PROGRAM

• National or multi-regional in scope

• Usually conducted by NRIs

and SCUs

• Basic and applied researches

• Requirements

- Capsule proposal - Detailed proposal

Agriculture & Fisheries

RDE Agenda

• Medium-Term Agenda

Commissioned Research

• To undertake specific work within a specific time frame

• Should not exceed one-year implementation

• Requires detailed proposal

THE REGIONAL RDE

PROGRAM

• Regional in scope

• Conducted by RRIs and RSCUs

• Applied researches only

• Classified as location-

specific or special commodity

• Requires detailed proposal only

PRIVATE SECTOR/NGO-

LED RESEARCH

• Co-implemented by GO/NGOs

• Cost-sharing required

SPECIAL PROJECTS

Supplementary Research

• Addresses implementation of additional complement of soon-to-be completed/ terminated projects

• Should not exceed six -month implementation

• Requires detailed proposal

Quick Response Research

• Addresses problems requiring urgent solutions

• Should not exceed one-year implementation

• Requires recommendation and detailed proposal


RESEARCH CONDUCTED BY NATIONAL RESEARCH INSTITUTIONS & STATE COLLEGES AND UNIVERSITIES

• Basic Research

The basic or upstream research is directed towards increase in knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific application toward processes. It is an original investigation for the advancement of scientific knowledge and does not have specific commercial objectives.

Most basic researches are conducted by national research institutes (NRIs) and state colleges and universities (SCUs).

• Applied Research

The applied research is either midstream or downstream research. Midstream research deals with technology generation and is done in research stations (controlled environment). Technology generation refers to the process of developing technologies that are for verification and are not yet ready for dissemination. Downstream research deals with technology verification and dissemination and is done on farms, sites or locations. Downstream research may be conducted by the national networks if this is done in a national scale or in multi-locations throughout the country. In such case, the national network collaborates with regional networks and coordinates the implementation in all areas.

RESEARCH CONDUCTED BY REGIONAL R&D INSTITUTIONS AND/OR STATIONS

• Location-Specific Research

The location-specific research deals with recommended technology for specific micro, agro-climatic condition within a province/municipality. It can either be midstream or downstream. An example of this kind of research is the community-based participatory action research (CPAR).

• Special Commodity Research

The special commodity research addresses problems concerning commodities/disciplines that are not specified as major program areas in the new modality in agenda setting, planning and formulation for RDE in agriculture and fisheries, but may have significant impact to a particular area/region. This may include commodities which are endemic to an area but have great potential for development.

Types of Research Grants


SPECIAL PROJECTS

• Commissioned Research

The commissioned research is contracted out by the Bureau with a research institution to undertake specific work within a specific time frame. It is based on the current issues and concerns affecting the agriculture and fisheries sector.

• Quick Response Research

The quick response research addresses existing problems requiring urgent solutions such as control of pest infestation, surveillance of unknown diseases, etc.

• Supplementary Research

The Supplementary Research is a short-term fund granted by the Bureau to soon-to-be completed/terminated BAR-funded projects, which garnered favorable response from would be beneficiaries as well as project evaluators. It is provided for the implementation of a project component not identified in the original work of plan or project objective such as:

− Test pilot a developed technology − Test quality and acceptability of a developed machinery, tool, product, etc. − Dissemination of promising technology − Completion of field testing

PRIVATE SECTOR/NGO-LED RESEARCH

The private sector/NGO-led research aims to enhance the participation of the private sector and non-government organizations (NGOs) in agriculture and fisheries R&D. This research focuses on developing and transferring agricultural technologies which are market-oriented and user-driven to support agri-business and agri-industry development. It must also provide solutions to specific problems on competitiveness of the agriculture and fisheries sector thereby creating better conditions for agribusiness diversification and productivity-enhancing investment by the private sector.


Any individual or R&D institution under the National Research Development System for Agriculture and Fisheries (NaRDSAF) is eligible and encouraged to submit proposals. Specifically, only those individuals or R&D institutions under the Regional RDE Network (RRDEN) are eligible and encouraged to submit proposals for location-specific and special commodity researches. Proposals for commissioned research may be solicited by the Bureau from state colleges and universities (SCUs), other government institutions as well as non-government organizations (NGOs). R&D units of privately owned companies are eligible to apply for a research grant under the private sector/NGO-led research. The researcher(s) must possess the academic qualifications and track record to successfully implement a research project. He should be able to carry out the project with due diligence and efficiency, and in accordance with appropriate administrative, financial, technical, managerial and agricultural practices that conform to sound environmental and social standards.

Eligibility


Proposals on basic and applied researches must be in line with the National RDE Agenda while the proposals on location-specific and special commodity researches must be aligned with the Regional RDE Agenda and must be based on the approved and prioritized list of programs/projects under each regional priority commodities. Specifically, the proposal can be considered for funding if it meets the following conditions: Special Commodity Research

• The project must address the R&D need for an important but limited-distribution or endemic commodity (e.g. pili, etc.)

• Project implementation should not exceed two years. • The proposed budgetary requirement should not exceed two million pesos (Php 2,000,000).

Commissioned Research

• The project/activity must produce outputs useful to the Department of Agriculture, in terms

of improving governance. These include but not limited to policy advocacy, systems development, and impact assessment.

• Project implementation should not exceed one year. Quick Response Research

• The project must provide fast or quick information to solve an emerging concern or

problem (e.g. pest infestation, epidemic, etc.) • The problem must be a felt need and as much as possible be documented by recent

reports • The participating individual/institution is expected to provide counterpart fund • Project implementation should not exceed one year. • The proposed budgetary requirement should not exceed two million pesos (Php 2,000,000).


• This enables successful projects to be expanded to other areas or newly developed

technologies to be disseminated immediately. • The additional component/s should be based on recommendations of the experts group. • The project should be at the completion stage or near its termination date. • Project implementation should not exceed six months. • The supplemental fund should not exceed three hundred thousand pesos (Php 300,000).

Criteria for Funding


Private Sector/NGO-Led Research

• This facility aims to enhance private sector participation in R&D implementation. • The participating individual/institution is expected to provide at least 60% of the total

project cost (in cash or in kind) for the proposed research project. • Project implementation should not exceed three years. • BAR’s counterpart fund should not exceed two million pesos (PhP 2,000,000.00) per project

and can only be used for maintenance and other operating expenses (MOOE).


Capsule proposal (BAR/QSF-A.01.01) [Appendix A] provides the basic information of a particular project that the proponent would like to implement while detailed proposal (BAR/QSF-A.01.02) [Appendix C] contains the detailed information of a particular project. Table 1 shows the requirement for each type of grant. Only basic and applied researches require capsule proposal. Detailed proposal may only be prepared and submitted once the capsule proposal is selected for further review. The Bureau requires that proposals (capsule and detailed) be submitted in six hard copies and one electronic copy together with the endorsement letter from the agency head. Table 1. Requirements by type of research grant.

REQUIREMENT TYPE OF RESEARCH GRANT

Capsule Proposal Detailed Proposal

NATIONAL RDE PROGRAM

• Basic ��

• Applied ��

REGIONAL RDE PROGRAM

• Location-Specific ��

• Special Commodity ��

SPECIAL PROJECTS

• Commissioned ��

• Quick Response ��

• Supplementary Research ��

PRIVATE SECTOR/NGO-LED ��

Aside from the requirements mentioned above, additional documents must be submitted: Quick Response Research

a) recommendation/endorsement by an agency head (e.g. LGU, NGO, etc.) indicating the urgency of the problem/s to be addressed


a) recommendation/endorsement from the evaluators b) letter of request c) terminal report d) audited financial report

Project Proposal Format


The prescribed formats and guidelines are in Appendices A-D. These can also be downloaded from the Bureau’s website at http://www.bar.gov.ph. For those unable to download, they may request one via email at: [email protected]. Proposals together with the necessary attachments must be submitted by regular mail or courier at the following address:

Program Development Division Bureau of Agricultural Research 2/F RDMIC Bldg. Elliptical Road Corner Visayas Avenue Diliman, Quezon City Telefax: +632 920-0219

Note: Electronic copy of proposals may be sent via email at: [email protected]. Please take note that only those proposals with complete attachments and which conform to the prescribed format will be screened.


Figure 4. Application and approval process for agriculture and fisheries RDE proposals.

Duration Person/Office-

In-Charge Process Flow Procedure

1 Week • PDD

1. Call for proposals through memos to NaRDSAF member-institutions and announcements

through the web.

1 Week • PDD 2. Capsule proposals are received and acknowledged.

4 Weeks • PDD

• BAR In-House Review Committee

3. The BAR In-house Review Committee pre-screens capsule proposals.

1 Week • PDD 4. Proponents of qualified

proposals are notified to submit detailed proposal.

2 Weeks • PDD

• OD

5. Detailed proposals are received by PDD through the Office of the

Director.

Call for Proposals

Passed? No

Yes

Notify

proponent

Initially screen capsule proposals

Receive and acknowledge capsule

proposals

A

Notify proponent to prepare and

submit detailed proposal

Receive, acknowledge, and validate

detailed proposals

Application and Approval Process


Duration Person/Office-


4 Weeks • Experts Team (selected from the Experts Pool)

6. Detailed proposals are reviewed by the Experts Team for technical, administrative and

financial soundness.

4 Weeks • PDD

• Proponent

• Legal Unit

• Director

7. After detailed proposals are approved and revisions/ corrections made/incorporated

(when necessary), MOA is prepared and signed by concerned parties.

2 Weeks • PDD

• Finance Unit

• Proponent

• Director

8. ALOBS and DVs are prepared by PDD for the processing of payment (See Section 3B.

Project Monitoring & Evaluation).

Passed? No

Yes

Notify

proponent

Prepare and sign MOA

A

Endorse to experts for review of

detailed proposals

Process Payment


The basic and applied researches follow strictly the application and approval process of proposals while that of other types of research/project have some modifications. Detailed proposals only are submitted for review for all other types of research/project. The location-specific research follows the schedule in the application and approval process while proposals for special commodity research, quick response research, supplemental fund project and private sector/NGO-led research can be submitted anytime of the year and notification sent 30 days after. For commissioned research, instead of a call for proposal, BAR shall identify experts who can help address the major problems affecting the priority commodities and notify them to submit detailed proposals anytime of the year.

For private sector/NGO-led research, instead of a call for proposal, private sector identifies its R&D requirement and submits proposals to BAR.

Screening and Approval of Proposals


The BAR In-House R&D Proposal Screening and Review Committee is created to ensure proper screening, review and consolidation of all R&D proposals. The Director shall issue a Special Order creating the Committee including its powers and functions.

FUNCTIONS

The Committee shall perform the following functions:

• Public announcement of invitations for research proposals. • Receive, record, and acknowledge receipt of applications to proponent. • Conduct initial screening and review of R&D proposals based on approved criteria and

guidelines. • Identify proposals, which shall be referred to the Experts Pool for in-depth technical

evaluation. • Conduct final review of project proposals endorsed/approved by the Experts Pool and

evaluate these as to financial, administrative and management aspects. • Summarize recommendations of experts. • Recommend project proposals for approval of the Director.

The Committee shall conduct an en banc evaluation based on the Bureau’s R&D grant cycle. The Chairperson may call on other BAR technical staff to serve as special members based on the proposals received. The BAR technical staff shall assist the Committee to ensure that the research proposals are:

• Within the national agricultural research and development goals, objectives and priorities. • Scientifically credible. • Consistent with the established criteria and guidelines.

COMPOSITION

Chairperson: Head, Program Development Division (PDD) Members: Head, Project Packaging Section

Head, Project Evaluation Section Representative, Technology Commercialization Unit Head, Agriculture and Fisheries Policy Research Unit

Secretariat: Technical Staff, PDD Technical Staff, PDD

BAR In-House R&D Proposal Screening and Review Committee


The Experts Pool is composed of specialists who are actively involved in R&D which consists of the following: a) National RDE Network Team Leaders and members of Core Technical Team (CTT); b) experts from DA bureaus and attached agencies and SCUs; and c) private and industry experts. Experts who will evaluate a specific project shall be selected from the Experts Pool depending on their area of specialization.

FUNCTIONS

The Experts Pool shall perform the following responsibilities:

• Assist BAR in the formulation of R&D agenda/program for various sectors. • Assist BAR in conducting regional consultations to identify major problems affecting

regional priority commodities. • Conduct in-depth technical evaluation of proposals including the appropriateness of the

methodology used, consistency of the work plan with the proposed budget and capability of the proponent to conduct research.

The expert who evaluated the proposal can be recommended by the PDD and RCD Heads to be a member of the Monitoring and Evaluation Team (MET).

QUALIFICATIONS

Members of the Experts Pool should have the following qualifications:

• Must come from the academe, institutions/agencies, industry or other international/ national and regional centers (public or private) actively involved in R&D relevant to the subject matter.

• Must have at least five years of experience in the field related to the area/subject matter. Professionals and scientists who are still actively involved in consultancy work or research project implementation can be considered members of the Experts Pool.

• Shall have at least MS degree (or BS degree with sufficient experience on the field/subject matter being evaluated).

• Have excellent written and verbal communication skills. • Must not be a member of the project implementation team. • Have no vested/conflicting interest on the area of R&D being evaluated.

Experts Pool


SELECTION PROCESS

The National RDE Network Team Leaders (NTL) and members of Core Technical Team (CTT) shall automatically be members of the Experts Pool. Experts from DA bureaus and attached agencies and SCUs involved in R&D shall be recommended by their heads while private and industry experts shall be selected by BAR based on the qualifications stated above. The Experts who will assist BAR in the conduct of regional consultation, review of R&D proposals and evaluation of on-going projects shall be selected from the Experts Pool depending on their area of specialization. The members of the Experts Pool will be notified by BAR thru a letter. The experts shall sign the Conforme Letter to certify they conform to their stated functions and responsibilities. The BAR Director shall endorse and formalize the appointment of the experts through a Special Order. INCENTIVES

The honoraria of the members of the Experts Pool who assist BAR in the conduct of regional consultation, review of R&D proposals and evaluation of on-going projects shall be based on existing approved rates of DBM/COA and based on the expert’s actual involvement and participation in meetings, reviews, and other activities. Traveling expenses, gasoline and oil, other incidental expenses and government incentives incurred by the members of the experts pool shall be charged to or sourced out by BAR, subject to the usual accounting and auditing procedures.

Project Monitoring and Evaluation


The Monitoring and Evaluation Team (MET) is created to implement the monitoring and evaluation of the on-going R&D projects of BAR.

FUNCTIONS

The MET is entrusted and shall perform the following responsibilities:

• Make final recommendations to fine-tune project implementation during the pre-implementation meeting.

• Participate in the pre-implementation, semi-annual, annual and terminal reviews of R&D projects funded by BAR.

• Review the semi-annual, annual and terminal reports submitted by the project leaders and recommend/certify their acceptability.

• Conduct on-site/field monitoring and evaluation of the research project to validate if the accomplishments written on the report are consistent with the actual output in the field.

• Determine if the project achieved the objectives and accomplished the activities in accordance with the approved workplan of activities.

• Recommend the continuation/termination of the project. • Submit evaluation reports on on-going and completed RDE projects.

COMPOSITION AND SELECTION

The MET is composed of representatives from the following:

1. Research Coordination Division

The RCD representative is the commodity coordinator for national RDE projects and the regional coordinator for regional RDE projects. The RCD representative for special projects and private sector/NGO-led is recommended by the RCD Division Chief.

2. Experts Pool

The representative from the Experts Pool is recommended by the PDD and RCD Chief. The Experts Pool representative must have technical knowledge and expertise in the specific area of agriculture and fisheries the RDE project is based on. The representative must come from the original team of experts who evaluated the proposal before approval.

3. RDE Network

The representative from the RDE Network is a member of the National RDE Network for national RDE projects and from Regional RDE Network for regional RDE projects.

Monitoring and Evaluation Team


The selected members of the Experts Pool and RDE Network are notified by BAR thru a letter. The MET shall sign the Confirmation Slip (BAR/QSF-A.01.08) to certify their conformity to the stated functions and responsibilities. The BAR Director shall endorse and formalize the appointment of the experts through the issuance of a Special Order.

ANCILLARY DUTIES

The Program Development Division (PDD) representative organizes and acts as moderator of the review. The PDD representative sends the consolidated evaluation results of the MET to the project leader. Also, the PDD representative implements the feedback mechanism necessary for the continuous improvement of the RDE project. The RDE Network representative acts as secretariat during the review and submits consolidated evaluation results of the MET to BAR. INCENTIVES

The honoraria of the MET (RDE Network and Experts Pool representative) who assists BAR in the conduct of the monitoring and evaluation of on-going projects shall be based on the existing approved rates of DBM/COA and based on the expert’s actual involvement and participation in meetings, reviews, and other activities. Traveling expenses, gasoline and oil, other incidental expenses and government incentives incurred by the members of the team shall be charged to or sourced out by BAR subject to the usual accounting and auditing procedures.


OVERVIEW

The pre-implementation meeting is an inception meeting which is conducted prior to the start of implementation of newly-approved projects funded by BAR. The meeting aims to fine-tune the methodology, logical framework, work plan, and budget requirements of the project. The parameters for monitoring the project shall also be identified during the meeting. SUGGESTED GUIDELINES FOR PRE-IMPLEMENTATION MEETING

A. Schedule and Venue

The Bureau sets the schedule of the meeting after the proponent has complied with all the requirements necessary to facilitate the processing of the project funds (e.g. Memorandum of Agreement (MOA), Detailed Proposal, Logical Framework, Budget Summary and Project Summary,). BAR shall issue an official Notice to Proceed (NTP) in which the effectivity date of the implementation of project’s activities is indicated, and Advice of Fund Release (AFR) to the head of the institution and to the proponent. The venue of the meeting is then arranged and is usually at the institute/agency of the project leader.

B. Frequency

The pre-implementation meeting is usually conducted once, however, if there are issues or recommendations not threshed out during the first meeting, a follow-up inception meeting may be agreed upon.

C. Monitoring and Evaluation Team (MET)

The members of the Monitoring and Evaluation Team (MET) shall be officially appointed through a Special Order signed by BAR Director. BAR shall send an invitation letter to the members of MET informing them of the schedule and venue of the inception meeting. One staff from RCD is an automatic member of MET. (For details, refer to page 28).

D. During the Meeting

The mechanics of the review shall be presented by the BAR Coordinator, who also shall serve as the moderator.

Pre-Implementation Meeting


Mechanics of the Meeting

The background of the project evaluation and approval is discussed. The members of the MET are introduced and their responsibilities are reviewed. The proponent presents the general framework of the project and the strategies for implementation, including the proposed work plan and resource plan and budget. During the open forum, the Team’s comments and recommendations for the fine-tuning of project implementation are noted down (BAR/QSF-A.01.07). The details of parameters for monitoring and evaluating project are also discussed during the meeting. Terms of Reference of MET

The members of the MET shall sign a confirmation slip (BAR/QSF-A.01.08) to affirm their membership to the team and accept their corresponding responsibilities. Documentation

The BAR Coordinator shall document and integrate/consolidate the comments and recommendations of MET.

E. After the Meeting

BAR shall furnish the proponent through the agency head a copy of the consolidated comments and recommendations of MET for information and guidance. The proponent shall submit the revised detailed proposal endorsed by the agency head.


Monitoring and evaluation of BAR RDE projects is crucial to ensure their smooth and effective implementation. Progress reports such as semi-annual and annual reports are submitted by the proponent to BAR and are reviewed by the MET to determine if the project achieved its objectives and accomplished the activities in accordance with the approved work plan of activities. In addition, on-site/field monitoring is also conducted to validate if the accomplishments written on the report are consistent with the actual output in the field. Monitoring of projects is also necessary to determine if the project is to be continued or terminated based on the recommendations of MET. ON-SITE/FIELD MONITORING

To ensure efficient and effective project implementation, on-site/field monitoring is done by MET in accordance with BAR procedures. [Refer to Appendix H. Field Monitoring Form (BAR/QSF-B.01.01)]. One of MET’s responsibilities is to find out if the project has been implemented based on the approved Logical Framework, Workplan Schedule, and Budget Summary. This can be more effectively done through field monitoring. PROGRESS REPORTS

All project proponents are required to submit six hard copies and one electronic copy of the semi-annual and annual reports duly endorsed by the agency head.

• Semi-Annual Report

The Semi-Annual Report (BAR/QSF-B.01.02) should be in accordance with the work plan and target or expected output of the project and utilization of funds for each of the planned activities. The report, complete with attachments, is submitted to BAR during the end of the first semester. The modified Logical Framework and Workplan Schedule must be attached to the first semi-annual report to be submitted.

• Annual Report

The Annual Report (BAR/QSF-B.01.03) covers one year of project implementation and is submitted to BAR complete with attachments towards the end of each year of implementation.

Procedure for Project Monitoring & Evaluation


Figure 5. Monitoring and evaluation process flow

Person/Office-


• PDD

• RCD

• Project Leader

• MET

1. Pre-implementation meeting is conducted to fine-tune/finalize project implementation,

and M&E arrangements. Funds and notice to proceed are released.

• Project Leader

• RCD

• MET

2. Proponent implements the project and

submits progress reports to RCD. MET reviews progress reports. If reports are found acceptable, Certificate of Acceptability (BAR/QSF-B.01.04) is issued to the proponent.

• MET

• RCD 3. MET and RCD conduct periodic reviews and

on-site visits. The continuance/termination of

the project depends on their recommendation.

• RCD

• Finance Unit

• Proponent

4. For multi-year projects, RCD coordinates the

processing of succeeding payment once the projects have been approved for continuation.

• Proponent 5. Upon completion of the project, the

proponent submits terminal report. Proponents of terminated projects also submit terminal report.

• MET 6. MET conducts terminal review.

• MET

• IPRO

• PDD

• MISD

• RCD

7. MET classifies technology (if it is for

dissemination, IP registration, verification or commercialization); MISD packages and disseminates information/technology; and PDD identifies future research areas.

Passed? No

Yes

Terminate

project

Submit terminal report

Monitor and evaluate project

Process payment and release fund

(for multi-year projects)

Conduct terminal review

Classify technology and disseminate

information/technology

Conduct pre-implementation meeting

(For one-year projects)

Implement project and submit reports


ANNUAL REVIEW

The annual review is conducted to determine the continuance or termination of the RDE project. The MET reviews the progress report of the previous year, the proposed work and financial plan for the following year and makes necessary recommendations on the project. BAR shall issue Certificate of Acceptability (BAR/QSF-B.01.04) once the reports have passed the reviews. For projects with duration of more than one year, the proponent must wait for the issuance of notice

of renewal before proceeding with the project implementation. A. Schedule and Venue

The Bureau schedules the review on the 11th – 14th month after project implementation. The review may be held at BAR or at the implementing agency headquarters.

B. Frequency The annual review is conducted once every end of year for projects with more than one year duration.

C. Monitoring and Evaluation Team (MET)

The members of the MET are officially appointed through the issuance of Special Order signed by BAR Director. BAR sends the annual report with an invitation letter to the members of MET informing them of the schedule and venue of the annual review and letting them review the report in advance.

D. During the Review

The mechanics of the review is presented by the BAR Coordinator, who shall also serve as the moderator. Mechanics of the Review

The purpose and mechanics of the review shall be stated by the MET. The project leader will present the progress and plans for the continuation of implementation of the RDE project in a 30-minute PowerPoint presentation. This presentation will specify the:

• Previous comments of the evaluators vis-à-vis actions taken • Brief background of the project • Accomplishments vis-à-vis approved objectives. This must be quantified in %

accomplishment • Brief discussion of important results • Disbursements (financial statement signed by the accountant) • Work and financial plan for the next year of implementation


At least 30 minutes is allotted for an open forum. The BAR representative acts as moderator in this open forum. The MET shall voice out its comments/suggestions/ recommendations and at the same time write them down on the evaluation form. The MET shall base their comments/suggestions/recommendations on the written report and the presentation. Documentation

The RDE Network representative documents, integrates/consolidates and submits to BAR the comments and recommendations of MET.

E. After the Review

BAR furnish a copy of the annual review results to the project leader through the agency head, for information and guidance. When applicable, the project leader submits the revised detailed proposal and annual report endorsed by the agency head.


REQUESTS FOR BUDGET REALIGNMENT

Requests for budget augmentation (within items of expenditures, e.g. within MOOE from supplies to communications) involving less than 30% of the original allocation may be approved by the implementing agency through the unit in charge of R&D coordination of the implementing institution/agency. However, copy of the changes in the project’s budget shall be submitted to BAR for reference and notation. Requests for budget realignment involving 30% or more of approved budget and/or all requests for realignment (transfer or funds from one major budget item to another, e.g. PS to MOOE; MOOE to Equipment Outlay) must be submitted to BAR Requests for budget augmentation/realignment shall only be entertained/considered by BAR if the project is being implemented for at least six months. The Bureau shall allow only one request for budget augmentation/realignment per project per year. BAR does not consider separate request for augmentation/realignment for project/studies within a program/project. The official request for budget realignment indicating reasons/justification shall be prepared by the project leader and properly endorsed by the head of the implementing agency/institution. Aside from the latest financial status report, a copy of the approved original Line Item Budget (LIB) must also be attached. • Changes in line item budget such as salary cannot be effected after annual budget has

already been finalized and approved. Therefore, savings on PS cannot be used to augment the salary increment of the regular project personnel or increase in the additional benefits. The mandatory increase in basic salaries and other adjustments in benefits maybe effected and incorporated in the detailed financial plan for the subsequent year of the project implementation.

• Retroactive payment of salary increases for the regular project staff is not allowed throughout

the period of project implementation. • Any change in the kind/type of equipment to be purchased for the project (other than what is

specified and approved in the original Budget Summary) is subject to approval of BAR, the request of which shall also be explained/justified.

• Realignment of allocation from the sundries and contingencies is required. These shall be

specified into definite objects of expenditure (office/laboratory supplies and materials, contract of services, communications, etc.).

• The rates for technical services/contract of services/labor fee shall be governed by the existing

rates approved by the DBM and/or in accordance with the Revised Accounting Manual for Research Operation (RAMRO).

Budget Realignment and Project Termination/Extension


• Realignment of budget for payment of honoraria of project staff during the project extension period shall be disallowed except when the project extension involves the accomplishment of additional objectives, not allowed in the original proposal. This shall be reviewed by BAR vis-à-vis proposed program of work activities.

• Savings from equipment purchase may be transferred to MOOE to support subsequent year

project operation. TERMINAL REPORT

Six hard copies and one electronic copy of the Terminal Report (BAR/QSF-B.01.05) together with an endorsement from the agency head shall be submitted 60 days after the project has been completed or terminated.

All undisbursed funds shall be returned to BAR and an official receipt shall be properly issued. TERMINAL REVIEW

The terminal review is conducted to identify intellectual property and potential technology of the RDE project. The MET reviews the terminal report of the RDE project. A. Schedule and Venue

The Bureau organizes the review after the completion of the RDE project. The review may be held at BAR or at the implementing agency headquarters.

B. Frequency The terminal review is conducted once after the completion of the project.

C. Participants

The MET reviews the terminal report. Representatives from the Management Information Systems Division (MISD), Intellectual Property Rights Office (IPRO) and the Program Development Division (PDD) also attend the meeting to assist the MET in the identification of intellectual property and potential technology of the RDE project. BAR send the terminal report with an invitation letter to the members of MET informing them of the schedule and venue of the terminal review and letting them review the report in advance.

D. During the Review

The mechanics of the review shall be presented by the BAR Coordinator, who also serves as the moderator.


Mechanics of the Review

The purpose and mechanics of the review is stated by the MET. The project leader presents the progress and plans for the continuation of implementation of the RDE project in a 30-minute PowerPoint presentation. This presentation specifically includes:

• Previous comments of the evaluators vis-à-vis actions taken • Brief background of the project • Accomplishments vis-à-vis approved objectives. This is quantified in % accomplishment • Brief discussion of important results • Disbursements (financial statement signed by the accountant)

At least 30 minutes is allotted for an open forum. The BAR representative acts as moderator in this open forum. The MET shall voice out its comments/suggestions/ recommendations and at the same time write them down on the evaluation form. The MET shall base their comments/suggestions/recommendations on the written report and the presentation. Identification of Technology

The MISD, IPRO and PDD shall assist the MET in the identification of intellectual property and potential technologies based on the following criteria:

Classification of

Project Output Characteristic Action needed

Unit-in-

charge

Output for Dissemination

Publish results in various media Organize seminars

MISD

Intellectual Property

New, novel, inventive techniques

Assist the project leader in the preparation of documents

IPRO

Technology for Verification

Best technique (among 5-6) that went through laboratory testing

Formulate follow-through proposal that will be tested in farmer’s field

PDD

Technology for Commercialization

Technology tested and screened through testing

Formulate follow-through proposal

PDD

Documentation

The RDE Network representative documents, integrates/consolidates and submits to BAR the comments and recommendations of MET.

E. After the Review

The BAR shall furnish a copy of the terminal review results to the project leader through the agency head, for information and guidance. When applicable, the project leader shall submit the revised terminal report (if applicable) endorsed by the agency head.


REQUEST FOR PROJECT EXTENSION

Project extension requiring no additional cost may be granted only for a maximum period of six months. Honoraria are not allowed within the extension period. Request for extension requiring additional cost or grant renewals shall be submitted as a new proposal and shall be evaluated accordingly.

Appendices

Appendix A

Capsule Proposal Format

DOCUMENT NO.: BAR/QSF-A.01.01 REVISION DATE:

REVISION NO.: 00 EFFECTIVITY DATE: 09 September 2005


RDMIC Bldg., Elliptical Rd. Cor. Visayas Ave., Diliman, Q.C. 1104 Phone Nos.: (632) 928-8624 & 928-8505 • Fax: (632) 927-5691

Email: [email protected] • Website: http//www.bar.gov.ph

CAPSULE PROPOSAL FORMAT

A. BASIC INFORMATION

1. Project Title

2. Proponent (s)

Name and Signature Agency and Address

Designation Email Address

Telephone Number (s) Fax Number

3. Implementing Agency

Lead Agency

Collaborating Agency (s)


Page 2 of 8



4. Project Duration

5. Project Location

6. Total Budget Requested (In Philippine Peso)

B. TECHNICAL DESCRIPTION

1. Rationale


Page 3 of 8



Rationale (Continuation)


Page 4 of 8



2. Objectives

3. Expected Output


Page 5 of 8



4. Potential Impact

5. Milestone

6. Users


Page 6 of 8



7. Budget Requirement (In Philippine Peso)


Page 7 of 8



C. BRIEF PROFILE OF PROPONENT (S)

1. Education

Month/Year Name and Addresses of Educational Establishment

Degree(s) Obtained and Area(s) of Specialization From To

2. Other Studies

Subject/Place/Date

3. Publications and Research Experience


Page 8 of 8



SUBMITTED BY:

Proponent’s Name and Signature Date

Agency Designation

(To be filled-up by the Agency Head)

SUBMITTED BY:

Agency

Name and Signature Date

Designation

(To be filled-up by BAR’s Authorized Person)

REFERRED TO:

Name and Signature Date

Designation

Appendix B

Guidelines for the Preparation of Capsule Proposal

DOCUMENT NO.: BAR/DOC-A.01.01 REVISION DATE:


Department of Agriculture

Bureau of Agricultural Research Guidelines for the Preparation

of Capsule Proposal

The Capsule Proposal provides the basic information of a particular project that the proponent would like to implement in his/her/their agency. (See format in Appendix A)

Six hard copies and one electronic copy of the capsule proposal together with the endorsement letter from the agency head must be submitted by the proponent to the Program Development Division (PDD) of the Bureau of Agricultural Research (BAR). (The Capsule Proposal Form (BAR/QSF-A.01.01) may be photocopied) Upon submission of the capsule proposal to BAR, the latter will acknowledge the receipt of the proponent’s proposal by filling-up the acknowledgment receipt form (BAR/QSF-A.01.03).

The capsule proposal must be prepared in typed form in accordance with the following guidelines. If the space provided is not enough, use additional sheets with the same format. If there is more than one proponent, Part C of the capsule proposal (Brief Profile of Proponent/s), may be reproduced.


1. Project Title Brief but clear official and distinctive name of the project that describes the main theme of the proposed study

2. Proponent (s) Complete name of the project leader and designation including the agency where he belongs, office address, contact numbers and email address


Lead agency (Research Center / Institution / Bureau / College or University where the proponent belongs) and collaborating agency (s) (Persons/Researchers and/or their Agencies who will cooperate with the lead agency) that implements project

4. Project Duration Period that indicates proposed date of start and completion of the project

5. Project Location Place/area covered by the project or where it will be conducted

6. Total Budget Requested

Financial requirement of the project in Philippine peso





of Capsule Proposal


1. Rationale Definition of research problem, scope and coverage, significance of the research project as well as the justification for its conduct

2. Objectives General and/or specific aim of the project which should be consistent with the title

3. Expected Output Specific product/information/technology that the project is expected to produce

4. Potential Impact Broad and long-term effects of the results of the project

5. Milestone Yearly expected outputs of the project

6. Users Intended beneficiaries of the project results

7. Budgetary Requirement (including counterpart funds or other sources)

Financial requirement that shall be incurred for the entire duration of the project broken down into: 1. Personal Services (PS) 2. Maintenance and Other Operating Expenses (MOOE) 3. Equipment Outlay (EO) 4. Administrative Cost (AC)

C. BRIEF PROFILE OF PROPONENT (S)

1. Education Information about the proponent’s most recent scientific education including the names and addresses of the institutions attended, dates courses and academic degrees were achieved and his area of specialization

2. Other Studies Other courses or training programs attended by the proponent relevant to the proposed research project

3. Publications and Research Experience

List of major publications, thesis/theses and researches done by the proponent relevant to the proposed research project

Appendix C

Detailed Proposal Format






DETAILED PROPOSAL FORMAT


1. Title of the Project 2. Proponent (s)

2.1. Name and Signature 2.2. Designation 2.3. Institution 2.4. Address 2.5. Telephone Number (s) 2.6. Fax Number 2.7. Email Address


3.1. Lead Agency 3.2. Collaborating Agency (s)

4. Project Duration 5. Project Location 6. Total Budget Requirement

6.1. Budget Requested 6.2. Agency Counterpart 6.3. Other Sources


1. Rationale 2. Objectives 3. Review of Literature 4. Methodology 5. Workplan Schedule (BAR/QSF-A.01.02a) 6. Budget Summary (BAR/QSF-A.01.02b) 7. Logical Framework (BAR/QSF-A.01.02c) 8. Project Summary (BAR/QSF-A.01.02d) 9. Potential Intellectual Property

DOCUMENT NO.: BAR/QSF-A.01.02a REVISION DATE:





WORKPLAN SCHEDULE

Starting Date: (yy-mm-dd)

Completion Date: (yy-mm-dd) Duration: (in months)

Schedule of Activities

Year 1 Year 2 Activity

No. Major/Sub-Activity

Anticipated

Results

Responsible

Person(s)

Resources

Required Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Remarks

DOCUMENT NO.: BAR/QSF-A.01.02b REVISION DATE:



Bureau of Agricultural Research RDMIC Bldg., Elliptical Rd. Cor. Visayas Ave., Diliman, Q.C. 1104 Phone Nos.: (632) 928-8624 & 928-8505 • Fax: (632) 927-5691


BUDGET SUMMARY Source of Fund: Implementing Agency:

Year 1 Item

Q1 Q2 Q3 Q4 Total Year 2 Year 3 Total

I. Personnel Services (PS)

A. Salaries and Wages

B. Honoraria

C. Others (GSIS, Bonus, Cash Gift, Medicare, etc.)

Sub-Total for PS

II. Maintenance and Other Operating Expenses (MOOE)

A. Travel

B. Communications

C. Supplies

D. Others

Sub-Total for MOOE

III. Equipment Outlay (EO)

Sub-Total for EO

TOTAL

DOCUMENT NO.: BAR/QSF-A.01.02b1 REVISION DATE:





WORKSHEET DETAILS FOR PERSONNEL SERVICES (PS)

Personnel Services (PS)

Year 1 List of Personnel

Salary Per Month

Wages/Day

No. of

Persons

No. of Mo.

(Days)

%

Time Q1 Q2 Q3 Q4 Total Year 2

Grand

Total

A. Salaries and Wages

B. Honoraria

C. Others






WORKSHEET DETAILS FOR MAINTENANCE AND OTHER OPERATING EXPENSES (MOOE)

Maintenance and Other Operating Expenses (MOOE)

Year 1 Item

Q1 Q2 Q3 Q4 Total Year 2 Year 3 Total

Code 02 – Travel

Local

Foreign

Code 03 – Communications

Mailing

Telephone Bills

Internet Facilities

Code 07 – Supplies and Materials

a.

b.

c.

Code 29 – Other Services

Emergency Labor

Job Orders






WORKSHEET DETAILS FOR EQUIPMENT OUTLAY (EO)

Equipment Outlay (EO) – Minor Equipment Only

Details of Equipment

(Minor Equipment Only) No. of

Units

Price/

Unit

Total

Year 1 Justification Year 2 Total Outlay

DOCUMENT NO.: BAR/QSF-A.01.02c REVISION DATE:





LOGICAL FRAMEWORK

Project Title: Agency:

Proponent (s): Budget Requested:

Narrative Summary Project Targets – Objectively

Verifiable Indicators Means of Verification Assumptions

Goal:

Purpose:

Project Outputs:

Activities:

Inputs:

DOCUMENT NO.: BAR/QSF-A.01.02d REVISION DATE:





PROJECT SUMMARY Name of Project:

Institution:

Project Leader:

Objectives Activities Outputs Target Date of

Accomplishment Budget

Appendix D

Guidelines for the Preparation

of Detailed Proposal






The Detailed Proposal contains the detailed information of a particular project to be implemented by the Research Center/Agency. Six hard copies and one electronic copy of the detailed proposal (BAR/QSF-A.01.02) with complete attachments shall be submitted by the proponent to the Program Development Division (PDD) of the Bureau of Agricultural Research. Detailed proposal must be prepared using the format given and in accordance with the following guidelines: A. BASIC INFORMATION

1. Project Title Brief but clear official and distinctive name of the project that describes the main theme of the proposed study.

2. Proponent (s) Complete name of the project leader and designation including the agency where he belongs, office address, contact numbers and email address.

3. Implementing Agency Lead agency (Research Center/Institution/Bureau/College or University where the proponent belongs) and collaborating agency (s) (Persons/Researchers and/or their agencies that will be cooperating with the lead agency) implementing the project.

4. Project Duration Period that indicates proposed date of start and completion of the project.

5. Project Location Place or area covered by the project or where project will be conducted.

6. Total Budget Requested

Financial requirement of the project in Philippine peso.


1. Rationale Definition of research problem, scope and coverage, significance of the research project and the justification for its conduct. Note: For Quick Response Research, the proponent must add (in the rationale) the justification for the need of the project and its urgency. It must be supported by statistics and/or reports about the problem.






2. Objectives General and/or specific aim of the project which must be consistent with the title.

3. Review of Literature Concepts and approaches gathered from recent literature which indicate gap in existing knowledge to help determine direction and focus of the proposed project and avoid possible duplication.

4. Methodology Indicates the project components (if applicable), and contains the details and procedure to be followed in conducting the research. This includes: 1. Factors (variables) on the experiment or study. 2. Treatments and lay-out. 3. Experimental design, replications, characteristics of

experimental units (sites, number, area, etc.) 4. Statistical analysis 5. Specific management of the experiment (this includes specific

features about the management of the experiment that are not included in the treatments)

6. Cultural practices (i.e. land preparation, pest control, weed control, fertilization, etc.)

5. Workplan Schedule Itemizes the detailed activities to be undertaken for the whole

duration of the project (See ‘How to Prepare a Workplan Schedule’ for details.)

6. Budget Summary Describes the personnel/staff and material resources needed by the project; provides information on human and non-human resource requirement of the project expressed in budgetary terms. It consists of four forms: Main Budget Summary, Worksheet Details for Personnel Services (PS), Maintenance and Other Operating Expenses (MOOE) and Equipment Outlay (EO). (See ‘How to Prepare a Budget Summary’ for details.)

7. Logical Framework Presents the main elements of the project, expressed in terms of objectives for each element and inputs required to achieve them. (See ‘How to Prepare a Logical Framework’ for details.)

8. Project Summary Presents the activities, outputs, target date of accomplishment and budget to attain the objectives (See ‘How to Prepare a Project Summary’ for details).

9. Potential Intellectual Property

Specifies the expected results from the project that are patentable such as: new, inventive steps, that have commercial application.






How to Prepare a Workplan Schedule

The Workplan Schedule is synonymous with the Activity Plan. It contains the details of the project activities as well as a detailed listing of sub-activities. One activity usually has two or more sub-activities. The Workplan Schedule shall be accomplished by the project leader, detailing the following: Activity Number This is the number of the activity assigned to the major and sub-

activities. The sub-activities get their numbers from the major activity.

Major Activity/

Sub-Activity

Describes the major activity and sub-activities. Action words are used to start the statements (e.g. Conduct training needs survey).

Expected

Results

Indicates the projected achievements/milestones at particular points of time.

Responsible Person (s) Refers to the project staff (e.g. project leader, lab technician) responsible for the specific activity.

Resources Required Refers to the expertise, equipment, materials and other resources needed to do the various activities listed.

Schedule of Activities These are the schedules sub-divided into months in a quarter, weeks in a month and so on, depending on the choice of time segments as affected by the project life span and duration of the activities. Use a straight bold line to run through the specific time segments covering the planned and end of a particular activity.

Remarks Reserved space for any notation like sequential or pooled interdependence of more than two activities or sub-activities in the whole project.

Source: Talatala, G. 1997. R&DM-D: Research Project Planning and Implementation Control. UP Open University, Los Baños, pp.143-148.

How to Prepare a Budget Summary

To have a uniform rate in the detailed R&D budget, it is necessary to set the guidelines for the project proponent to follow and for the reviewer to determine the appropriateness of the financial plan.






There are three general budget categories to be considered: Personnel Services (PS), Maintenance and Other Operating Expenses (MOOE), and Equipment Outlay (EO). The following are the broad rules to observe for each category.

Personnel Services (PS)

The Personnel Services budget should constitute no more than 30 to 40% of the total amount of PS + MOOE. Maintenance and Other Operating Expenses (MOOE) The different items under MOOE include the following: 1. Traveling Expenses (02) – The allowed expenses include fares for the use of public utility

transport, plane and boat; daily allowance and actual lodging/hotel bills. Indicate the number of travels to be made, number of persons involved, places to visit and kind of transport required.

2. Communication (03) – The budget for communication is limited to Php 24,000.00 per year. Indicate the items of expenditure such as mailing, telephone/fax/cellphone bills, etc.

3. Supplies and Materials (07) – Indicate the items such as office supplies, like paper, computer

ink, etc., laboratory or experimental supplies/materials, gasoline and oil, and other related items.

4. Other Services (29) – This includes the following:

• Short-term service contracts • Resource person/Technical consultant fee • Wages for farm labor/Utility services • Printing services • Food catering/Rentals for facilities and venues for meetings, workshops and trainings (in

relation to the project) These services are understood to be for the implementation of the research project.

Equipment Outlay (EO) The equipment to be purchased are only those which are essential for the operation of the project.






How to Prepare a Logical Framework The logical framework is a project management tool for the preparation, monitoring and evaluation of projects. It is also used in analyzing the components of the project and the logical linkages between the means and ends. Narrative Summary

Brief statements of the project’s goal, purpose, outputs, activities and inputs. Goal • This is the ultimate objective of the program to which the project contributes.

• This is the last cell to be filled up in the Narrative Summary column.

Purpose • The first cell to work on in the Narrative Summary column. • Refers to the new conditions or qualities achieved when the target groups

adopt or utilize the project outputs or what the project hopes the target groups will do with the project outputs.

• The core objective usually becomes the project purpose or sometimes, it is reformulated to make it more suitable as a project purpose. However, if it is stated too broadly that it cannot focus on a particular target group(s), the core objective is elevated and used as a project goal.

Outputs • The results of the activities of the project after it is finished.

• Guide question: “What is the minimum set of results or goods and services the project has to produce and offer to the target group (s) for the project to

achieve its goal?” • Each output is numbered for quick and easy reference in relation to its

respective sets of activities. A short-term project usually has three to five outputs but not less than three.

Activities • Measures or tasks carried out by the project to obtain the outputs.

• Numbered with reference to the outputs. Assumptions

Risks and uncertainties beyond the control or direct influence of the project and should be formulated as positive statements like Objectives (Goal, Purpose or Outputs). These are specific statements to achieve specific conditions, which in turn will help the next higher objective. • Not all cells in the Assumptions Column are filled up, some are left blank especially when a

particular candidate assumption has been transferred to or made an integral part of the whole project strategy.

• Not all external factors, which are apparently connected to the project, are put in the Assumptions Column. Frame conditions such as season and climate, soil physical attributes or national policies are not considered as sources of risks to the project.






Objectively Verifiable Indicators (OVI)

Signs or data to be used in determining whether a particular objective has been achieved through the performance of a certain set of tasks and activities. It gives the level of successor performance at different points in time. • Must measure what is relevant in an objective. • Must be related closely enough with what needs to be measured, that one can be confident

that the project was a decisive factor in obtaining the observable results. • Must be specified in terms of quantity, quality, and time (QQT). • Must be independent.

Means of Verification (MOV)

Indicate how to acquire evidence to measure whether or not the indicators have been met. This also pinpoints where to find the proof that will provide data or information required for each indicator. • If the MOV for a particular OVI cannot be found or established, the OVI has to be changed

because it loses its usefulness as a proof of success. • In some cases, one document used as MOV for a particular OVI can also be used to verify

another indicator. • MOVs are project documents, reports. Documents and reports of other related agencies and

organizations can also be used.

Inputs

Inputs are the resources needed to fuel the activities. • It is usually expressed in terms of financial, human, and non-human resources (e.g. equipment).

How to Prepare a Project Summary

The Project Summary from the name itself, summarizes the objectives, activities, outputs, target date of accomplishment, and the budget required. The summary shall be prepared by the project leader. Objectives General and/or specific aim of the project.

Activities List of activities to be done in order to meet the objectives.

Outputs Specific product or services that an activity will produce.






Target Date of Accomplishment Schedule when you expect to attain the activity.

Budget Total expenditure incurred by the activity. Source: Bojanic, Alan et al. 1995. Monitoring in Agricultural Research Management. (Cali, Columbia: ISNAR), pp. 11-31.

Appendix E

Acknowledgment Receipt

DOCUMENT NO.: BAR/QSF-A.01.03 REVISION DATE: 15 November 2006

REVISION NO.: 02 EFFECTIVITY DATE: 30 November 2006




ACKNOWLEDGMENT RECEIPT

Date: __________________

Project Title:

Proponent:

Lead

Agency:

Items Received: Capsule Proposal Detailed Proposal Signed MOA Attachment B (Workplan) Attachment C (Budget Summary) Attachment D (Logical Framework) Attachment E (Project Summary) Others (Please Specify): __________________________

Remarks: ______________________________________________________________________________ RECEIVED BY:

Head, Project Evaluation Section

NOTED BY:

Head, Program Development Division

Appendix F

Pre-Implementation Meeting Evaluation Sheet

DOCUMENT NO.: BAR/QSF-A.01.07 REVISION DATE: 15 November 2006

REVISION NO.: 01 EFFECTIVITY DATE: 30 November 2006




PRE-IMPLEMENTATION MEETING EVALUATION SHEET

Project Title:

Proponent:

Lead Agency:

ITEMS COMMENTS

1. Objectives

2. Review of Literature

3. Methodology

4. Logical

Framework

5. Workplan

6. Resource Plan and Budget

7. Project

Summary

8. Others

EVALUATED BY:

Name & Signature

(Evaluator)

Date

Appendix G

Monitoring and Evaluation Team (MET) Confirmation Sheet






MONITORING AND EVALUATION TEAM (MET) CONFIRMATION SHEET

Project Title:

Proponent:

Lead Agency:

Duration:

MONITORING AND EVALUATION TEAM SIGNATURE

1.

2.

3.

4.

5.

RESPONSIBILITIES

1. Make final recommendation and fine-tuning of project implementation. 2. Monitor the progress of the project.

3. Conduct site visitation when necessary. 4. Evaluate progress reports and certify their acceptability. 5. Submit to BAR assessment reports and recommendations concerning the implementation of the project. CONFORME:

Name & Signature

(Project Leader)

Date

APPROVED:

Name & Signature

(Director, BAR)

Date

Appendix H

On-Site/Field Monitoring Form

DOCUMENT NO.: BAR/QSF-B.01.01 REVISION DATE:





ON-SITE/FIELD MONITORING FORM

Project Title:

Proponent:

Lead Agency:

Proposed Date of Project Implementation:

Actual Date of Implementation:

CRITERIA YES NO REMARKS

1. Since the project has been approved/ implemented, are there new scientific

developments that require this project to be revised?

� �

2. Are the data gathered systematically? � �

3. Are the data filed systematically?

Are the data filed permanently? Are the data easily retrievable?

�

�

�

�

�

�

� �

� �

4. Is the proposed experimental design followed?

• Sampling design

• Number of replications

• Statistical analysis � �

5. Is the project/experiment implemented in the recommended/proposed location(s)?

� �

6. Are the project outputs such as kits, machines, etc. made/assembled?

�

�

7. Are the equipment/supplies purchased in accordance with the approved work

and resource plan and budget?

� �

8. Are funds released and utilized as

scheduled? Are personnel paid on time? Are suppliers paid on time?

�

�

�

�

�

�

ON-STE/FIELD MONITORING FORM

Page 2 of 2



CRITERIA YES NO REMARKS

9. Are documents processed within

reasonable periods? If not, identify bottlenecks.

� �

10. Suggestions to solve bottlenecks.

RECOMMENDED ACTION

� The project is doing very well and should continue its implementation as planned.

� Technically, the project is doing well but administrative procedures can be improved as follows:

Please specify

� As indicated above, changes in project implementation have been made and the proponent should justify the changes.

� In light of the following new scientific developments, project implementation should be revised (state scientific development and specific project revision):

OTHER COMMENTS

RECOMMENDED BY MET:

Chairperson, MET Date

Appendix I

Suggested Guidelines for Field Monitoring

DOCUMENT NO.: BAR/DOC-B.01.01 REVISION DATE:



Bureau of Agricultural Research Suggested Guidelines

for Field Monitoring

A. Technical Aspect

• Status of the project in relation to other studies being implemented/reported. • Status of data being gathered.

1. Does the project follow the proposed experimental design (sampling design, number of replications, statistical analysis)?

2. Are the work activities done on schedule? 3. Is the project/experiment located as recommended or proposed? 4. Are the projected project outputs (such as kits, machines, etc.) made/assembled?

B. Management and Financial Aspects

1. Are the equipment/supplies purchased in accordance with the approved work plan and

resource plan and budget? 2. Are funds released and utilized as scheduled? 3. Are personnel paid on time? 4. Are documents processed within reasonable periods? If not, please identify bottlenecks

and give suggestions to declog bottlenecks.

The MET shall use the recommended forms but modifications on the form (i.e., inclusion of additional criteria) specific to the project may be done.

Appendix J

Semi-Annual Report Format






SEMI-ANNUAL REPORT FORMAT


1. Title of the Project 2. Proponent (s)

2.1. Name and Signature 2.2. Designation 2.3. Institution 2.4. Address 2.5. Telephone Number (s) 2.6. Fax Number 2.7. Email Address


3.1. Lead Agency 3.2. Collaborating Agency (s)

4. Project Duration 5. Project Covered by This Report 6. Project Location 7. Project Funding

7.1. Amount Approved for the Year 7.2. Actual Released Budget 7.3. Balance for the Year 7.4. Actual Expenses


2. Objectives 3. Methodology 4. Highlights of the Results

C. PROJECT MANAGEMENT

1. Monitoring/Accomplishment Report (BAR/QSF-B.01.02a) 2. Financial Status Report (BAR/QSF-B.01.02b) 3. Approval of the following: (if applicable)

• Project Extension • Budget Realignment

DOCUMENT NO.: BAR/QSF-B.01.02a REVISION DATE:





MONITORING/ACCOMPLISHMENT REPORT

For the __________ SEM, CY __________

Project Title:

Proponent:

Lead Agency:

Accomplishments ACTIVITIES

Target Actual

% Completion

(Cumulative)

Problem/s

Encountered

Action/s

Taken

Remarks/

Recommendations

PREPARED BY:

NOTED BY:

Project Leader

Agency Head

Date Date

DOCUMENT NO.: BAR/QSF-B.01.02b REVISION DATE:





FINANCIAL STATUS REPORT

For the __________ SEM, CY __________

Project Title:

Proponent:

Lead Agency:

Approved Budget

Expense

Code

Whole

duration

of the

Project

Year

under

review

Amount

Released

Cumulative

Expenditures

Expenditures

This

Semester

Balance

To

Date

Balance

This

Semester

Problem/s

Encountered

Action/s

Taken

Remarks/

Recommenda-

tions

TOTAL

PREPARED BY:

CERTIFIED CORRECT:

Project Leader

Chief Accountant

Date Date

Appendix K

Guidelines for the Preparation of Semi-Annual Report





of Semi-Annual Report


1. Project Title Official and distinctive name of the project that describes the main theme of the proposed study. It should be brief but clear.

2. Proponent(s) Complete name of the project leader and designation including the agency where he belongs, office address, contact numbers and e-mail address.


Lead agency (Research Center/Institution/Bureau/ College or University where the proponent belongs) and collaborating agency (s) (Persons/Researchers and/or their agencies cooperating with the lead agency) that will implement the project.

4. Project Duration Period indicating proposed date of start and completion of the project.

5. Period Covered by this Report

Semester under review, e.g. Second Semester (July to December, 2000).

6. Project Location Place or area covered by the project.

7. Project Funding Amount of budget approved for the year, actual budget released, remaining balance for the year, and actual expenses for the mentioned semester.


1. Objectives General and/or specific aim of the project (please indicate the percentage of the objective achieved during the semester under review).

2. Methodology Procedure of project component/phase covered within the period under review (please also indicate changes in the procedure if there is any and cite reasons for change).

3. Highlights of the Results

Results obtained during the period under review.







1. Monitoring/ Accomplishment Report

Provides information on the status and implementation of the project in a semestral basis (See ‘How to Prepare a Monitoring/Accomplishment Report’ below for details).

2. Financial Status Report

Provides information on the financial status of the project on a semestral basis (See ‘How to Prepare a Financial Status Report’ for details).

3. Approval of Project Extension & Budget Realignment

(only if applicable, i.e. for extended projects, new budgetary requirement, etc.)

How to Prepare a Monitoring/Accomplishment Report

Monitoring/Accomplishment Report emphasizes the activities undertaken, percent of target and accomplishment for each activity, problems encountered, actions taken as well as recommendations. Activities Major and sub-activities listed in the Work Plan and other activities for

the semester indicated.

Target Work schedule to be accomplished for the semester under review.

Actual Actual work accomplished for the semester.

% Completion Percentage of the actual work done or completed in relation to the whole duration of the project.

Problem (s) Encountered All the problems encountered in the implementation of the project during the period under review.

Action (s) Taken Action taken to solve the problems encountered during the period covered.

Remarks/

Recommendations

Recommendations that can be done for the smooth implementation of the project.






How to Prepare a Financial Status Report

The financial status report must be checked and signed by the Agency Accountant. Approved

Budget

Total budget approved for the whole duration of the project and for the year under review.

Amount Released Actual amount received by the proponent for the semester covered.

Cumulative Expenditures

Amount of expenditures incurred from the start of the project up to the present date (please indicate cut off date).

Expenditures this

Semester

Total expenditures incurred by the project during the period covered.

Balance to

Date

Remaining balance after deducting the Cumulative Expenditures from the Approved Budget for the whole duration of the project.

Balance this Semester Remaining balance after deducting the Expenditures this Semester from the Approved Budget for the year under review.

Problem (s) Encountered Financial problems encountered in the implementation of the project during the period under review.

Action (s) Taken Activities and coping mechanisms taken to solve the problems encountered during the period covered.

Remarks/

Recommendations

Recommendations that can be done for the smooth implementation of the project.

Appendix L

Annual Report Format






ANNUAL REPORT FORMAT


1. Title of the Project

2. Proponent (s) 2.1. Name and Signature 2.2. Designation 2.3. Institution 2.4. Address

2.5. Telephone Number (s) 2.6. Fax Number 2.7. Email Address

3. Implementing Agency 3.1. Lead Agency 3.2. Collaborating Agency (s)

4. Project Duration 5. Project Covered by This Report 6. Project Location 7. Project Funding

7.1. Total Approved Budget 7.5. Amount Approved for the Year

7.6. Actual Released Budget 7.7. Balance for the Year 7.8. Actual Expenses 7.9. Budget Requirement for the Following Year


1. Rationale 2. Objectives 3. Methodology 4. Activities Undertaken 5. Accomplishments and Major Findings

5.1. Previous years 5.2. Year under review

6. Problems Encountered, Action Undertaken and Recommendations 7. Action Plan for the Coming Year (BAR/QSF-B.01.03a)


1. Justification for Continued Implementation 2. Annual Financial Status Report (BAR/QSF-B.01.03b)






ACTION PLAN

Project Title:

Proponent:

Lead Agency:

Issues/

Constraints Objectives

Activities/

Strategies

Key Measurable

Targets Remarks

PREPARED BY:

NOTED BY:

Project Leader

Agency Head

Date Date

DOCUMENT NO.: BAR/QSF-B.01.03b REVISION DATE:





ANNUAL FINANCIAL STATUS REPORT

CY __________

Project Title:

Proponent:

Lead Agency:

Approved Budget

Expense

Code Whole

duration of

the Project

Year

under

review

Amount Released Cumulative

Expenditures

Expenditures this

Year Balance to Date Balance This Year

TOTAL

PREPARED BY:

CERTIFIED CORRECT: VERIFIED BY:

Project Leader

Chief Accountant Auditor

Date Date Date

Appendix M

Guidelines for the Preparation of Annual Report





of Annual Report

A. BASIC INFORMATION 1. Project Title Brief but clear official and distinctive name of the project that

describes the main theme of the proposed study.

2. Proponent (s) Complete name of the project leader and designation including the agency where he belongs, office address, contact numbers and e-mail address.

3. Implementing Agency Lead agency (Research Center/Institution/Bureau/ College or University where the proponent belongs) and collaborating agency (s) (Persons/Researchers and/or their Agencies cooperating with the lead agency) implementing the project.


5. Period Covered by this Report

Year under review.

6. Project Location Place or area covered by the project.

7. Project Funding Total approved budget for the duration of the whole project, amount of budget approved for the year, actual budget released, remaining balance, and actual expenses for the year under review.


1. Rationale (As indicated in the Detailed Proposal submitted)

2. Objectives General and/or specific aim of the project (please indicate the percentage of the objective achieved during the semester under review)

3. Methodology Procedure of project component/phase covered within the period under review (please also indicate changes in the procedure if any and cite reasons for the change).

4. Activities Undertaken Major and sub-activities listed in the Work Plan and other activities for the semester indicated.

5. Accomplishments and Major Findings

Work accomplished during the previous years and year under review (please include relevant tables and figures).





of Annual Report

6. Problems Encountered, Action Undertaken & Recommendations

All the problems encountered in the implementation of the project and actions taken to solve the said problems during the year under review and other recommendations for smooth implementation of the project.

7. Action Plan for the Coming Year

Issues or constraints to be addressed for the next year, objectives to be attained, activities to be done and key measurable targets.


1. Justification for Continued Implementation

Reasons to continue the implementation of the project; summary of accomplishments based on the Project Summary

2. Annual Financial Status Report

Provides information on the financial status of the project on annual basis (See “How to Prepare an Annual Financial Status Report” for details).

How to Prepare an Annual Financial Status Report

The financial report must be checked and signed by the Agency Accountant and must be verified by the COA representative. Approved

Budget

Total budget approved for the whole duration of the project and for the year under review.

Amount Released Actual amount received by the proponent for the year covered.

Cumulative

Expenditures


Expenditures this Year Total expenditures incurred by the project during the period covered.

Balance to

Date


Balance this Year Remaining balance after deducting the Expenditures this year from the Approved Budget for the year under review.

Appendix N

Certificate of Acceptability






CERTIFICATE OF ACCEPTABILITY

This is to certify the acceptability of the progress report and proposed activities and budget for the continuation of the project entitled:

(Project Title)

implemented by: ___________________________________________________________________________________ (Lead Agency)

under the leadership of: ____________________________________________________________________________ (Project Leader)

This also serves as the MET’s and RCD’s endorsement for the continuation /renewal of the above project.

SIGNED:

Name & Signature

Date

Name & Signature

Date

Name & Signature

Date

Name & Signature

Date

Appendix O

Terminal Report Format






TERMINAL REPORT FORMAT

A. BASIC INFORMATION 1. Project Title 2. Proponent (s) 3. Implementing Agency

3.1. Lead Agency 3.2. Collaborating Agency

4. Project Duration 5. Project Location 6. Project Funding

6.1. Total Approved Budget 6.2. Total Amount Released 6.3. Actual Expenses


1. Preliminaries 1.1. Title Page 1.2. Summary Sheet 1.3. Acknowledgment 1.4. Table of Contents 1.5. List of Tables, Figures, etc. 1.6. Abstract

2. Text 2.1. Introduction 2.2. Review of Literature 2.3. Methodology 2.4. Results and Discussion 2.5. Summary and Conclusion 2.6. Bibliography 2.7. Appendices


1. Summary of Yearly Comments of Evaluators and Actions Taken by Researcher 2. Problems Encountered and Recommendations

2.1. Technical 2.2. Administrative

3. Summary of the Project 4. Audited Financial Report (BAR/QSF-B.01.05a)






AUDITED FINANCIAL REPORT

CY __________

Project Title:

Proponent:

Lead Agency:

Expense Code

Approved Budget

(Whole duration of the

Project)

Amount Released Cumulative Expenditures Balance To

Date

TOTAL

PREPARED BY:

CERTIFIED CORRECT: VERIFIED BY:

Project Leader

Chief Accountant Auditor

Date Date Date

Appendix P

Guidelines for the Preparation of Terminal Report





of Terminal Report

A. BASIC INFORMATION 1. Project Title Brief but clear official and distinctive name of the project that

describes the main theme of the proposed study.

2. Proponent (s) Complete name of the project leader and designation including the agency where he belongs, office address, contact numbers and email address.

3. Implementing Agency Lead agency (Research Center/Institution/Bureau/ College or University where the proponent belongs) and collaborating agency (s) (Persons/Researchers and/or their Agencies cooperating with the lead agency) implementing the project.


5. Project Location Refers to the place or area covered by the project.

6. Project Funding Indicates the total approved budget, total amount released and actual expenses for the whole duration of the project.

B. TECHNICAL DESCRIPTION 1. Preliminaries

1.1. Title Page Contains the project title, proponent (s), implementing (lead and collaborating agencies) and funding agencies, and year of Terminal Report completion.

1.2. Summary Sheet

Indicates the project title, implementing (lead and collaborating agencies) and funding agencies, duration of the project, and total budget.

1.3. Acknowledgment Indicates key persons, agencies/institutions which contributed to the completion of the project.

1.4. Table of Contents Outlines the major topics covered with the corresponding pages.

1.5. List of Tables, etc. Contains the tables, figures, pictures, graphs, and abbreviations/acronyms if there is any.

1.6. Abstract Summarizes the highlights of the project; a maximum of 450-word single paragraph which includes brief statements on background of the study, methodology, results and significance.





of Terminal Report

2. Text

2.1. Introduction Presents an overview of the state of the art regarding the research undertaken and includes the objectives and significance of the project.

2.2. Review of Literature

Explains concepts and approaches relevant to the proposal which indicate gap(s) in existing knowledge; helps determine direction and focus of the proposed project, and avoid possibility of duplication.

2.3. Methodology Describes the details and procedure in conducting the research. This includes the factors/variables in experiment; treatments used and lay-out procedures: experimental design replications and characteristics of experimental units (sites, number, area, etc.); statistical analysis; specific management of the experiment (i.e., specific features on the management of the experiment that are not included in the treatments); and cultural practices (i.e. land preparation, pest control, weed control, fertilization, etc.).

2.4. Results and Discussion

Presents gathered data, analysis and interpretation of the results supported by graphs, figures, tables, etc.

2.5. Summary and Conclusion

Restates briefly the main points of the project’s results and provides inferences and conclusion from these results.

2.6. Bibliography Lists all the references reviewed and consulted.

2.7. Appendices Contains raw data, statistical formula and analysis, sample questionnaire, Terminal Audited Financial Report, list of personnel involved, list of equipment, and report of income generated (if any, photos).


1. Summary of Yearly Comments of Evaluators and Actions Taken by Researcher

Refers to the comments of the evaluators during the implementation of the project and action done by the researcher.

2. Problems Encountered and Recommendations

Includes problems encountered in implementing the project, whether technical or administrative/financial and recommended solutions.





of Terminal Report

3. Summary of the Project

Translates the project technical write up into laymen’s term, for public dissemination and publication.

4. Audited Financial Report

Provides information on the financial status of the total amount released to the project. (See ‘How to Prepare an Audited Financial Report’ for details.)

How to Prepare an Audited Financial Report

The financial report must be checked and signed by the agency accountant and must be verified by the COA representative. Approved

Budget

Total budget approved for the whole duration of the project.

Amount Released Actual amount received by the proponent for the whole duration of the project.

Cumulative

Expenditures


Balance to

Date
