Beruflich Dokumente
Kultur Dokumente
APR 23 2013
Administrative Order
Series 0/2013
Subject:
1.
No:OJL I)
PURPOSE OF GRANT
The Department of Science and Technology's Grants-In-Aid (GIA)
program aims to harness the country's scientific and technological capabilities to
spur and attain a sustainable economic growth and development. Through the
funding of relevant science and technology(S&T) undertakings,the GIA program
is designed to contribute to productivity improvement and quality of life of
Filipinos by generating and promoting appropriate technologies. It also aims to
strengthen the participation of various S&T sectors particularly in research and
development (R&D), promotion, technology transfer and utilization, human
resourcesdevelopment,informationdissemination,advocacy,and linkages.
The GIA program provides grants for the implementation of
programs/projects identified in the current DOST priorities and thrusts and
supports S&T activitiesclassifiedin the GeneralAppropriationsAct (GAA).
2.
DEFINITIONOF TERMS
The terms herein used shall mean as follows:
2.1
2.2
2.3
~ce,
Bi~Taguig,
Metro M~;la
Tel. Nos. 837-2939 (DL) 837-20-71 to 82 (TL)
Fax. no. 837-29-37
2.4
2.5
2.6
2.7
2.8
2.9
2.10
Income from OIA projects supported by DOST and all grant-giving units,
may include but shall not be limited to:
b.
C.
d.
2.11
2.12
2.13
2.14
2.15
2.16
2.17
2.18
2.19
2.20
2.21
2.22
2.23
2.24
3. CLASSmCATION
3.1
OF S&T PROGRAMSlPROJECfS
FUNDED
3.1.2
3.1.3
3.1.4
3.2.
3.2.2
3.4.2
3.4.3
3.4.4
S&T regulatory and licensing work like PNRI's nuclear regulation and
licensing policy related such as those made by the DOST Central Office;
3.4.7
4. SELECTION CRITERIA
4.1 Eligibility of Proponent
4.1.1 Any Filipino, public or private, entity with proven competence may
apply for GIA support of DOST and its grant.giving units, provided that
projects are for the benefit of Filipinos .
Application Requirements
4.2.2
4.2.3
4.2.4
4.2.5
4.2.6
Approval from. the institution's ethics review board for research involving
human subjects or from an institutional animal care and use committee for
animal subjects (if applicable);
4.2.7
4.2.8
General Criteria
Priority funding shall be given to programs/projects aligned to
government's priority thrusts strategic to national development. The project
proposals shall be evaluated using the Agencies' existing project mechanism
based on their specific criteria or any of the following:
4.3.1
4.3.1.2
manner;
4.3.1.3
of the
4.3.1.4
Methodology/Strategies
for Implementation-state
the
procedures involved, the materials used, sampling
procedures, statistical analysis, and others including scope
and limitations, time (seasonality) and place of study;
4.3.1.5
4.3.1.6
4.3.1.7
4.3.1.8
4.3.1.9
4.3.2.2
Technology
Readiness
for
Commercialization-transferability of technology to be promoted to include
equipment/engineering support, and process/system;
4.3.2.3
4.3.2.4
4.3.2.5
Financial SustainabilityNiability--program/project
should
become self-sustaining after a reasonable start-up period;
4.3.2.6
Potential
Socio-Economic
Impact-the
project
to
create/provide employment, increase income and address
any current/pressing national problem; and
4.3.2.7
government.
4.3.3.2
4.3.3.3
Contribution to Development of a Science Culturecommitment to nurture the public's interest in S&T; and
5. PROPOSAL PREPARATION,
5.1
Wld
issues of national,
Lm following
5.2.1
Direct Cost
b. MOOE
MOOE shall be broken down/itemized as follows:
b.l
b.2
b.3
b.4
b.5
b.6
b.7
Utilities (i.e. Water, lllumination and Power Services)-include costs of water, electricity or gas for illumination
and cooking gas expenses consumed by the implementing
agency in connection with the project;
b.8
b.9
Advertising Expenses-include
costs of authorized
advertising and publication of notices in newspapers and
magazines of general circulation, television, radio, and
other forms of media;
b.IO
b.ll
b.12
b.I3
b.I4
12
b.15
b.16
b.17
c. Equipment Outlay
This includes all equipment necessary for the
implementation of the project, which shall be enumerated in the
proposed Lill. Equipment procured through GlA funds are
subject to the provisions under Section 8 -Purchase, Ownership,
and AccoWltability of Equipment and other Properties of this
Guidelines. Any equipment worth P50,OOO.OO(unit cost) and
below shall be the COWlterpartof the implementing agency except
under meritorious cases upon recommendation of the Monitoring
Agency.
5.2.2
Indirect Cost
These are overhead expenses incurred by the Implementing
Agency or Monitoring Agency in managing, evaluating, and
monitoring the program/project.
The administrative and project
management costs shall fall under this account Similar to direct cost,
the indirect cost can be broken down according to specific item WIder
PSandMOOE.
a. The indirect cost shall be included in the Lffi except for projects
on printingldocumentation of proceedings and publication of
books and other works, and conduct of conferences/seminars!
workshop, and for projects that are purely equipment acquisition
in nature.
The total indirect cost of a program/project shall not exceed 15% of
the total PS and MOOE of the program/project.
b. The. Implementing Agency and Monitoring Agency shall each
retain an indirect cost, equivalent to 7.5% of PS and MOOE less
Taxes; Duties and Licenses but not to exceed P200.000.00 unless
allowed by the Funding Agency except for the Monitoring Agency
depending on the scope. complexity and geographic coverage.
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5.3
5.3.1
5.3.2
5.3.3
5.3.4
GRANTADMINISTRATION*
6.1
The SPD shall oversee the implementation of all approved DOSTOIA projects:
a. Act as the Secretariat to the DOST-GIA Executive
Committee.
b. Ensure with the assistance of the designated Monitoring
Agencies .that grant conditions and policies concerning
program/project implementation are strictly followed.
The SPD shall provide all concerned Offices with all pertinent
documents related to the approved programs/projects for proper
documentation and coordination/monitoring.
6.1.2
6.1.3
6.1.4
6.1.5
I~
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6.2
Technical Monitoring
The Program/Project Leader shall submit periodic accomplishment
reports to the Funding Agency through the Monitoring Agency. All reports
must be duly endorsed by the Agency Head.
Submission of Technical Reports by the Implementing Agency to the
Monitoring Agency
6.2.1
6.2.2
A program/project with a one (1) year duration shall submit two (2)
hard copies and 1 electronic copy, the terminal accomplishment
report not later than two (2) months after project completion
together with DOST Form NO.5 List of Equipment Purchased.
A Program/project with multi year duration shall submit in two (2)
hard copies and 1 electronic copy, the annual technical report not
later than two (2) months after each year of implementation together
with DOST Form NO.5 List of Equipment Purchased.
In case of a program, a consolidated annual program report shall be
submitted in addition to the individual project reports.
6.2.3
6.2.4
16
C.
d.
6.2.5
ProgramlProject Extension
. 6.2.6
6.2.7
6.2.8
6.2.9
17
18
Financial Monitoring
The DOST -GIA funds released to implementing agencies shall be
available for use within the approved project duration including approved
extension subject to DOST approval and existing government accounting
and auditing roles and regulations. The GIA funds shall not be used for
money market placement time deposit and other forms of investment not
related to the project. Project ftmds shall be deposited in an authorized
government depository bank.
6.3.1
Fund Releases
a. The Funding Agency shall release the project funds to the
Implementing Agency in partial or full amounts, once the
MOAIMOI or confonne letter has been signed subject to
availability of funds, accounting and auditing regulations, and
bond requirements (if necessary).
b. Project implementation shall commence within three (3) months
after the release of funds. Otherwise, the fund and
interest/earnings shall be reverted to the Funding Agency unless
there is a valid justification submitted by the Monitoring
Agency which is approved by the Funding Agency.
c. Subsequent release of funds to continuing projects shall be
subject to the submission of necessary financial reports,
appropriate endorsement and other requirements as indicated in
Section 6.2.11 to 13 of this guidelines.
a.
b.
c.
d.
e.
be considered
as
the
final
20
costs with
Lill.
6.3.3.2 For program/project with multi year duration, the Project
Leader shall submit FR for grants received, duly noted by
the Head of the Agency or its authorized representative and
certified by the agency accountant within two (2) months
after the end of each year of implementation. For NGOs or
privately owned institutions, an annual Audited Financial
Report (APR) shall be submitted duly certified by a licensed
independent
accountant
together
with
an Audit
Certificate/Report
For projects with EO, the FR shall be supported by the
following:
a. DOST Form NO.6 List of Equipment Purchased
b. Acknowledgement Receipts for Equipments
6.3.3.3 A Terminal APR (DOST Form No. 9B) shall be submitted
to the Monitoring.Agency within three (3) months after the
completion of the project. The Monitoring Agency shall
submit the AFR not later than one month after receipt from
the Implementing Agency ~
6.3.4
22
Refund Mechanism
For any S&T intervention assistance provided to
firms/communities to help them acquire materials/equipment that
are necessary to upgradelimprove their products and/or processes
(such as the Small Enterprise Technology Upgrading Program
(SETUP)) the following conditions shall be followed:
J
a. The DOST and the Monitoring Agency shall ensure that funds
are used to purchase or fabricate materials/equipment as
indicated in the approved LIB. Otherwise, the amount provided
for such purpose shall be refunded to the Funding Agency with
12% penalty charge per annum especially if the project was
prematurely tenninated or the funds were not used as originally
intended.
A project beneficiary shall be required to post a surety bond
which shall be considered as hislher counterpart funds. If a
beneficiary is unable to refund the total amount due to the
Funding Agency. OOST shall pull-out the equipment procured
under the project or collect other forms of payment. If it is not
possible to get the equipment back, the DOST shall instigate
legal proceedings in coordination with the insurance company
concerned.
b. The provision on refund of the cost of materials/equipment shall
be stipulated in the MOA between the DOST and the
beneficiary. Repayment shall commence six (6) months after
the start of the project or not later than 12 months after the
release of project funds. All refunds shall be fully paid within
three (3) to five (5) years or earlier depending on the expected
Return of Investment' {ROn of the project. The schedule of
refund may be extended to a maximum of two (2) years upon
approval of the Program Director of SETUP Program. Should
refund start later than the agreed grace period but is within 18
months after the release of funds, a six percent (6%) penalty
charge per annum shall be collected. If refund is not started
after 18 months, the Funding Agency is authorized to demand
full repayment of the financial assistance including accrued
interests and charges. For arrears, a default charge of two
percent (2%) per month shall be due on every installment.
c. The Funding Agency shall own the acquired under the project
until the refund has been paid fully and ownership has been
transferred to the beneficiary.
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6.3.7
OF APPOINTMENT
7.3.
7.4.
The project proponent shall submit to the Funding Agency a list of all
personnel hired under the project, including their responsibilities,
qualifications, and other relevant information using nOST Form NO.5.
7.5.
7.6.
7.7.
A Program/Project Leader who intends to leave the project shall notify the
Agency Head of hislher plan. The Agency Head shall then submit to the
Monitoring Agency the name of the recommended substitute for the
outgoing ProgramlProject Leader. The criteria for selection of the new
Program/Project Leader shall include track record on project management
The outgoing Program/Project leader shall be relieved of hislher obligation
to the program/project once the Head of the Implementing Agency has
issued the appropriate clearance from all inoney, records and property
responsibilities and accountabilities (e.g. submission of financial and
technical reports).
The Monitoring Agency shall inform the Funding Agency of the change in
project leadership.
7.8.
PROJECT
25
8.2.
8.3.
26
8.5.
8.6.
8.7.
27
..
8.8.
8.9.
8.10.
8.11.
Plans for the use of equipment--the Funding Agency shall determine which
equipment purchased through GIA funds remain unused. Such infonnation
shall be used in the evaluation of new projects, especially those requiring
the same equipment.
8.12.
8.13.
b.
c.
28
d.
e.
f.
8.15
The equipment shall be used for purposes of (a) carrying out its
research, either solely by itself or in collaboration with other
institutions, (b) instruction in science and technology; and/or (c)
dissemination of knowledge in science and technology. In no case
shall any fee be charged for such use nor shall the equipment be
sub-leased without prior written approval of the Funding Agency;
b.
The loan of an equipment shall be on an "as is, where is" basis, and
all expenses for its repair, maintenance and/or improvement shall be
borne by the end-user;
c.
The end-user shall be liable for any damage or loss of the loaned
equipment except for those brought about by normal wear and tear
or force majeure; and
d.
The loan shall be for a definite period only but maybe renewed
upon approval of the Funding Agency. At the end of the loan
period, the equipment shall be returned to the Funding Agency in
good condition.
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9. OWNERSHIP
AND
UTILIZATION
OF
PROGRAMSIPROJECTS
RESULTSIINTELLECTUAL PROPERTY RIGHTS PROTECTION
9.1.
9.2.
9.3.
In case the project produces a book or any type of publication, five (5)
copies shall be submitted immediately at the end of the program/project.
The proponent shall acknowledge the Funding Agency for the assistance
provided bin both the outside and inside covers of the book. Where
applicable, resulting copyright, should be based on the tenns and conditions
of the Funding Agency.
9.4.
Before a proponent can apply for patent, copyright, trade secret, trade mark
and/or publish research results generated from any GIA assisted
program/project, there should be prior consultation with the Funding
Agency. The assistance provided by DOST or any of its grant-giving units
shall be acknowledge in any application. The Funding Agency may
publish, disseminate or promote the results of a research program/project
subject to the confidentiality agreement between and/or among concerned
parties.
10. DISCONTINUANCE
OF GIA ASSISTANCE
30
12. EFFECTIVITY
1bis order takes effect immediately and supersedes all other Orders and other
Issuances inconsistent herewith.
Approved.By:
~~o
Secretary
m nOST.OSEe
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OSEC13-91354
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RMS-13-03994
31