Beruflich Dokumente
Kultur Dokumente
08 January 2013
APR 1 j 1Ul'S
MEMORANDUM
Subject: Amending Administrative Order Nos. 006 Series 2004 and 004 Series of
2008, Guidelines for the Grants-In-Aid Funds of Department of Science
and Technology and Its Agencies
The new guidelines which cover .both ongoing and new projects shall take effect
immediately. This order supersedes nOST A.O. Nos. S. 2004 and 004, s. 2008 and all other
issuances inconsistent herewith.
Postal Address: 2IF, DOST Main Building, Telephone Nos.: (63-2) 837-20-71 to 82
Gen. SantOs Ave., 8icutan, Taguig City Fax No.: (63-2) 837-29-a7
Cable Address: Science Manila URl: http://www.dost.gov.ph
Republic of the Philippines
, DEPARTMENT OF SCIENCE AND TECHNOLOGY
APR 23 2013
Administrative Order No:OJL I)
Series 0/2013
1. PURPOSE OF GRANT
2. DEFINITIONOF TERMS
Postal Address: P.O. Box 3596 Manila ~ce, Bi~Taguig, Metro M~;la
Cable Address: Science Manila Tel. Nos. 837-2939 (DL) 837-20-71 to 82 (TL)
Telex No. (75) 66819 Fax. no. 837-29-37
2.4 CoordinatingIMonitoring Agency-refers to the agency that reviews the
project proposal and provides technical assistance to the implementing
agency. It shall evaluate the feasibility of the project/program and ensure
that implementation follows the approved project proposal, line-item budget,
and Memorandum of Agreements.
2.7 FlDlding Agency--refers to DOST and all its grant-giving units where
funds/grants come from.
2.10 Income from OIA projects supported by DOST and all grant-giving units,
may include but shall not be limited to:
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2.13 Line-Item Budget (Lffi)--refers to detailed breakdown of financial
assistance requested and reflects counterpart of Implementing Agency and
other agencies cooperating in the project.
2.16 Program Leader--refers to the person who plans, organizes and supervises
the overall activities of a program and is directly responsible for the
implementation of at least one (1) of the projects under a program. He/she
shall coordinate with the project leaders to ensure that the goals of the
projects and program are attained. He/she shall also consolidate the
projects' output, which shall be packaged as a program output.
2.18 Project Duration--refers to the grant period or timeframe that covers the
approved start and completion dates of the project.
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An important source of new knowledge and technologies is research and
development (R&D). Research and development is defined as comprising creative
work undertaken on a systematic basis in order to increase the stock of knowledge,
including knowledge of man, culture and society, and the use of this stock of
knowledge to devise new applications through the conduct of the following
~ti~ti~: .
4
SMEst to identify their specific technology needs, to solve their
technical problems and overcome their obstacles to the successful
adoption and use of technologies arising from deficiencies in labor,
management and organizational change. These include the provision
of consultancy services and of access to information on technology
sources.
The development of human resources for the S&T sector involves a wide
range of interventions from the provision of high-quality fonnal education at all
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levels, elementary to university level, to specialized training, with a focus on
young scientists and engineers, and the development, attraction and retention of the
country's S&T talents.
The DOST provides other services that strengthen the S&T infrastructure to
develop and upgrade national, regional, and local S&T capacities of institutions
and centers of excellence. These include:
3.4.3 Testing and calibration services of R&D institutes and other DOST
regional offices;
3.4.4 S&T regulatory and licensing work like PNRI's nuclear regulation and
licensing policy related such as those made by the DOST Central Office;
4. SELECTION CRITERIA
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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 .
4.1.2 The eligibility of project proponents shall be determined by the DOST
agency concerned based on hislher readiness in tenns of technical,
managerial, financial and marketing capabilities (if necessary). As such
the proponent shall submit documents/proof of the following:
credentials/proof of capability, track record, and endorsement of his/her
institution. R&D program/project leader shall possess, at least, a
Masters degree in a relevant field.
4.2.4 A counterpart fund, in kind and/or in cash, shall be required from the
implementing agency as one of the application requirements; All projects
must have a minimum of 15% counterpart contribution except for projects
involving public good;
4.2.6 Approval from. the institution's ethics review board for research involving
human subjects or from an institutional animal care and use committee for
animal subjects (if applicable);
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a. Securities and Exchange Commission (SEC) registration, documents of
incorporation and other related legal documents
b. Surety Bond Application Fonn (if applicable)
c. Copy of Income Tax Return
d. Co-signers Statement (if applicable)
8
4.3.1.10 Plans for Research Utilization-proposal should include
plans on how R&D results will be used by the potential end.
user/s or adopters; and
4.3.2 For diffusion and transfer of knowledge and technologies and other
related technology transfer activities
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4.3.3.4 Timeliness--responsive to present issues of national,
regional, Wld local S&T concerns
a. PS
a.l This includes salaries and wages, honomria, fees, and other
compensation to consultants and specialists. These
personnel undertake specific activities that require expertise
or technical skill.
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competent authority pursuant to law and implementing rules
and regulations. .
b. MOOE
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b.5 Transportation and Delivery Services-- include the costs of
commercial transportation of mail, hauling of equipment
or materials, including porterage, if any. Not included in
this account are: costs of transportation of equipment,
supplies and materials purchased for operation. Instead,
these costs shall be included as part of the cost of the
equipment/supplies and materials;
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b.15 Professional Services--include costs of services such as
legal, auditing, consultancy, environment/sanitary,
general, janitorial, security, and other professional
services;
c. Equipment Outlay
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.
13
c. PS and MOOE inClude indirect cost incurred by the Implementing
Agency for utilities/maintenance expenses, supplies and materials,
and printing/publication. Likewise, it also covers the expenses
incurred by the CoordinatingIMonitoring Agency in managing the
program/project, which is limited to communication services,
transportation and delivery services, traveling expenses, utilities,
supplies and materials, representation expenses, professional services
and equipment outlay.
5.3.3 All new projects to be funded under the DOST-GIA Program shall be
approved by the DOST Executive Committee (EXECOM) except for
projects amounting to P2,OOO,OOO.OO and below which may be
approved by the Undersecretary concerned. The DOST -EXECOM
shall be informed of any approval made by the Undersecretary
concerned.
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6 GRANTADMINISTRATION*
6.1.1 The SPD shall oversee the implementation of all approved DOST-
OIA 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 The Monitoring Agency shall ensure the efficient, timely and
smooth implementation of approved projects and that set objectives
and targets are attained. It shall conduct periodic field evaluation of
the project to identify problems, solutions and remedial actions to
avoid delays in implementation. The Monitoring Agency shall also
examine the budget requirements of the projects especially those
that require continued funding. In addition, it shall evaluate the
activities conducted, review reports submitted and ensure that
completed R&D projects produce (patentable and publishable
accomplishments) including pre-print manuscript for publication in
scientific journals most preferably those accredited by the Institute
for Scientific Information (lSI).
I~ 15
6.2 Technical Monitoring
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.
16
C. DOST Form No. 9A-2 Guidelines for Preparing Publishable
Report!Article; and
d. Request for Equipment Transfer
ProgramlProject Extension
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implementing agency is not authorized to use the project funds
during the suspension period.
6.2.14 The Monitoring Agency shall review and approve the request for
deferment/change in implementation date of a new program/project
and shall inform the DOST-EXECOM of such change. For DOST-
Central Office (DOST -CO) directed projects, the concerned
Undersecretary shall approve the req~sts for reprogramming.
6.2.15 The revised project duration shall have the same length as the
originally approved duration.
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6.2.18 Request for change of implementing agency or objectives. shall be
reviewed and endorsed by the Monitoring Agency for approval of
the Funding Agency. The Implementing Agency shall be required
to submit justification for such change. Change in the project title
and activities/work plan/Gantt chart shall be approved by the
Monitoring Agency.
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a. Request letter duly signed by the Agency Head;
b. Endorsement/approval letter from the monitoring
agency;
c. Latest financial report;
d. Work plan; and
e. Progress report (if additional funding and/or project
extension is required)
a. Implementing Agency
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funding, both under the direct and indirect costs with
appropriate advice to the Funding Agency.
c. Funding Agency
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a. The UB/savingslincome and interest of a program/project, if
any, shall be reported and included in the annual FRI AFR
submitted to the FundingIMonitoring Agency.
For multi-year projects, the Funding Agency may allow the use
of the unexpended balance to pay for the salaries of existing
project staff, and provide for MOOE in case of delay in the
release of project funds.
22
Income,derived from business activities as a result of the project
shall be used to fundlaugment additional and/or existing projects
related thereto upon ~pproval of the Funding Agency.
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.
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d. The beneficiary and the Monitoring Agency shall keep and
maintain financial records in accordance with generally
accepted accounting principles. The records shall be subject to
visitorial audit and examination of the Funding Agency and
Commission on Audit (COA).
7.1. The ProgramlProject Leader shall hire personnel on contract basis to work
for the program/project in accordance with existing hiring policies of the
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Implementing Agency. The hired program/project personnel shall not be
allowed to engage in activities other than those under the program/project
during regular working homs. All contractual program/project personnel
shall be bound to the rules on conflict of interest.
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.
7.7. 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 Monitoring Agency shall inform the Funding Agency of the change in
project leadership.
25
Supplies, materials and other properties authorized to be purchased using
GIA funds shall be used exclusively for the program/project. Equipment designed
and fabricated using MOOE funds of the project shall be reported as equipment.
Equipment procured under GIA-assisted projects are subject to the following
guidelines:
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equipment through Invoice Receipt/s for Property (lRPs) or execution of
Deed/s of Donation subject to existing government accounting and auditing
laws, rules and regulations. (See Form- IRP) (Refer to section 8.13
regarding request for transfer of equipment after project completion).
27
..
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.
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d. The receiving institution shall enter in its books of accounts the
itemized total book value of the equipment transferred in
accordance with NGAS;
a. 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
9.2. Any new or innovative product, process and equipment resulting from a
program/project fully or partially financed by DOST or any of its grant-
giving units shall be reported immediately to Funding Agency. In any
application of said innovation, the name of Funding Agency shall be
indicated as the assignee of the patent
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.
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I ~
12. EFFECTIVITY
1bis order takes effect immediately and supersedes all other Orders and other
Issuances inconsistent herewith.
Approved.By:
~~o
Secretary
m nOST.OSEe
11\1111\1\~11~11I1\~1
OSEC13-91354
OFFICE Of THE 5ECR~'tAR Y
Department 0 Science and Technology
111i1\~iliiii~!I~
RMS-13-03994
31
Republic of the Philippines
In the interest of service and in view of the need to attract and retain competent and
committed personnel for the effective and efficient project implementation, the attached
revised schedule of salary rates of Grants-in-Aid (GIA) personnel is hereby adopted as
approved by the DOST-GIA EXECOM in its meeting held on June 17, 2016.
New and ongoing approved programs/projects shall be allowed to realign their budgets to
meet the requirement of the salary adjustment. However, no additional funding will be
provided and upgrading of position title is not allowed.
Consistent with the DOST-GIA guidelines, realignment within 33% of expense item(s)
shall be approved by the concerned Program/Project Leaders. Realignment of more than
100% of expense item(s) shall be approved by the designated monitoring agency (e.g.
Sectoral Councils, NRCP, and NAST). Copy of the amended line-item, budget shall be
submitted to the Office of the Undersecretary for R&D.
For ongoing programs/projects with insufficient budget, the new rates may be adopted on
staggered basis or during project renewal where funds for this purpose will be provided.
The attached Prescribed Salary Rate for DOST-GIA Personnel shall be effective July 1,
2016, subject to availability of project funds and government accounting and auditing rules
and regulations.
The succeeding salary adjustments shall be in accordance to the salary schedule for civilian
government personnel prescribed under national issuances (e.g. Executive Order, National
Budget Circular, etc.) with 20% premium.
For compliance.
Philppine Council for Ind'usiry, Energy an
: Emerging
Technology Research and Development
0 G. MO1TEJO II 61,111
1 31111
! I I1111111
Secretary Receindo: 06.30.16 / 3:43:50 PM\
44/
PRESCRIBED SALARY RATE FOR DOST-GIA PERSONNEL
(Effective July 1, 2016)
Potition:Titi,e:, Al.:0.: 50410V1300.'
: , ., Grade ,of.0467064E
41 Information Systems Researcher ll 14 28,969.26
42 Project Assistant IV 14 28,969.20
43 Senior Research Assistant 14 28,969.20
44 University Research Associate II 14 28,969.20
45 Computer Maintenance Technologist II 15 31,430.40
46 Computer Programmer II 15 31,430.40
47 Information Officer II 15 31,430.40
48 Project Evaluation II 15 31,430.40
49 Project Development Officer II 15 31,430.40,
50 Information Systems Analyst II 16 34,100.40
51 Research Associate 16 34,100.40
52 Science Research Specialist II 16 34,100.40
53 University Researcher I 16 34,100.40
54 , Compu. Maintenance Techno III 17 36,997.20
55 Computer Programmer III 18 40,142.40
56 Information Officer III 18 40,142.40
57 Project Development Officer III 18 40,142.40
58 Project Evalation Officer III 18 40,142.40
59 Research Associate I 18 40,142.40
60 University Researcher II 18 40,142.40
61 Info. Technology Officer I 19 43,690.80
62 Sr. Science Research Specialist 19 43,690.80
63 Project Officer I 20 47,721.60
64 Research Associate II 20 47,721.60,
65 University Researcher III 20 47,721.60
66 Project Officer II 21 52,126.80
67 Information Officer IV 22 56,937.60
.
68 Info. Technology Officer ll 22 56,937.60
69 Project Officer III 22 56,937.60,
70 Project Evaluation Officer IV 22 56,937.60
71 Project Development Officer IV 22 56,937.60,
72 Research Associate III 22 56,937.60
73 Supervising SRS 22 56,937.60
74 University Researcher IV 22 56,937.60
75 Project Officer IV 23 62,191.20
76 Chief SRS 24 67,932.00
77 Project Officer V 24 67,932.00
78 Research Associate IV 24 67,932.00
79 University Researcher V 24 67,932.00