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R&D Proposal Formulation

PHILIPPINE COUNCIL FOR AGRICULTURE, FORESTRY AND NATURAL


RESOURCES RESEARCH AND DEVELOPMENT (PCARRD)
Department of Science and Technology (DOST)

Research Proposal
an organized written
presentation of a planned
research activity aimed at
achieving a defined objective

Forms of Research Proposals


Project - the basic unit in the
investigation of particular
researchable problem with
predetermined objectives to be
accomplished within a specific time
frame.
Program - a group of interrelated
research projects requiring an
interdisciplinary or multidisciplinary
approach to meet established goals
within a specific time frame.
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Means by which research


proposals may be generated

proponents initiative
solicitation by funding agencies
managements initiative

Rationale for preparing


a project proposal
To enable the proponent to
thoroughly analyze and understand
the research problem and determine
the feasibility of the proposed activity.

To win the appreciation & support of


funding institutions

To guide the project implementors


during project execution

Parts of a Project Proposal


Program/Project
Title

Name & address


of
proponents

Implementing
and
cooperating
agency/ies

R&D station

Site of
implementation

Classification of
R&D

Priority area

Project Objective
Review of literature

Methodology

Timetable of
planned activities
(workplan)
Project duration
Expected output
Target beneficiaries
Personnel
requirement
Literature cited
Estimated budget
Capsule

curriculum vitae

Parts of a Project Proposal


Program/Project Title
Importance:
Introduces the project to the reader
Identifies the program and the
project components
Must reflect the main purpose of the
project and gives the reader the idea
on what the researcher proposes to
do
The goal in making the title is to
describe the coverage of the
research and delineates the scope
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Parts of a Project Proposal


Program/Project Title (continued)

Features of a good title:


Short, easy to remember, and can
easily be indexed and retrieved
Has few words that adequately
describes the contents of the paper
Clearly embody the focus of the
proposal and it is supported by the
stated objectives and expected
outputs

Parts of a Project Proposal


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

The data is also useful in terms of


comparative analysis as to the level of
investments and resources being allotted to
each region or provinces.

Does the site of implementation jive


with the priority commodities identified in
the S&T agenda for the region?

Parts of a Project Proposal


Classification (R or D)
Research Projects an inquiry or investigation directed
at acquiring new or additional knowledge/information
about a certain topic.
Development Projects - is a systematic work, drawing
on existing knowledge gained from research and/or
practical experience that is directed towards producing
new materials, product or device, installing new processes,
systems and services and improving substantially those
already produced or installed for the benefit & welfare of
particular target beneficiaries. This may also include pilottesting projects or innovative work that aims to confirm
and demonstrate the feasibility of actually using a
technology, modality or approach, gauging end-users
reaction to introduction of improved technologies and
identifying potential problems related to wider
dissemination, utilization, and adoption.

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Parts of a Project Proposal


Priority Thematic Areas
Poverty Alleviation & Food Security - securing
sources of productivity growth & income
diversification.
Global Competitiveness - making sure that all
parts of the agricultural enterprise chain are
operating as efficiently as possible, so as to keep
overall production costs minimal in an
environment in which product prices will continue
declining.
Frontier & Cutting-Edge Science development & familiarization with new, modern
S&T-based innovations, techniques,
methodologies, tools, & equipment for

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Parts of a Project Proposal


Priority Thematic Areas (Continued)

Natural Resource Management & Sustainable


Development - development, documentation,
evaluation & application of environment-friendly &
good indigenous resource management practices/
technologies including BMP, disaster/hazard mitigation
& rehabilitation/protection of ecologically fragile areas.

Support to Allied Public Services - development of


innovative & modern S&T-based techniques,
methodologies, tools, & equipment to enable
regulatory agencies perform better surveillance,
evaluation, detection & certification work in a faster,
cheaper, more accurate & reliable manner to facilitate
trade & commerce following the prescribed product
quality standards & other bio-safety requirements
including the provision of scientific-based information
to policy & decision makers.

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Parts of a Project Proposal


Significance of the Project
The statement of the problem
- State the problem clearly - discuss
the problem by giving information
on what exactly is the
problem,
how long it has been a problem, the
situation it is encountered, its
negative consequences if not acted
upon
- Previous works or reviews relevant
to the problem may be cited

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Parts of a Project Proposal


Significance of the Project (continued)
State the current need of the country
the proposal intends to address. The
proposal should justify research
expenditure in terms of the potential
benefits to be derived. A typical
justification would include a brief
introduction, a general statement
concerning the historical bases for R&D,
utilization of the expected output, and
the impact of the information/
technology to be generated on the
current body of knowledge, the target
users/beneficiaries or stakeholders
(rural farm households; industry;
commodity/sector or region and the
country/national economy).

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Parts of a Project Proposal


Significance of the Project (continued)

The way by which the proposal


supports/ implements the
national/regional R&D program for
agriculture and fisheries in terms of
the DOST 8-Point Agenda and the
Integrated S&T Agenda for AFNR
should be discussed. The manner on
how the output will be utilized and
disseminated should also be stated

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Parts of a Project Proposal


Project Objectives
State the specific purposes to address the
problem areas of the project. They should be
clear as to what the proposal intends to
achieve and must be attainable within the
timeframe and resources required.
Formulating the Objectives
Statements of the goals of the study
Set the limit by which the problem will be
studied
Should be attainable under reasonable
conditions
Simple, specific, narrow enough to permit
definite
answers
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Parts of a Project Proposal


Project Objectives (continued)

SMART
Guide
SPECIFIC

MEASURABLE
ATTAINABLE
RELEVANT
TIMEBOUND
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Parts of a Project Proposal


Project Objectives (continued)
State what you expect to accomplish
The words survey, examine, quantify,
and investigate tell what the researcher
intends to do
The words evaluate, compare,
characterize, determine, or recommend
tell what the researcher will do with the
data to come up with conclusions and
recommendations
Have a general objective, if there are many
studies all leading to a common goal
Objectives like To solve the social problems of
the Philippines or To attain self sufficiency
in rice are presumptuous and should be
narrowed down to attainable objectives under
reasonable conditions.
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Parts of a Project Proposal


Review of Literature
An organized and synthesized
presentation of previous works answers the question what has been done
relative to the problem at hand?
Shows the state of knowledge about a
subject matter -indicates the finding on
which the proposal is building on

Ensures that there will be no


duplication of work, and all the
researchable areas will be covered

This is usually one of the weakest


sections of the proposal. Majority of the
proposals received at PCARRD are returned
to the proponents with the requirement that
an exhaustive review of literature be done.
Proposals with this recommendation are

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Parts of a Project Proposal


Review of Literature (continued)
Indicate related researches/activities which
have been conducted for the last 5-10
years. The state of the art of current
technology/information from which the
project proposal will take off should likewise
be discussed. The results of the prior art
search conducted during the capsule stage
of the proposal should be included in this
section (include any related technology
which is protected by any of the intellectual
property rights scheme e.g. patent,
trademark, copyright, etc).

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Parts of a Project Proposal


Methodology
This include the following:

Conceptual/Analytical
framework/logframe

Sampling procedure

Methods of data collection

Methods of data analysis

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Parts of a Project Proposal


Methodology (continued)
Conceptual Framework - a set of abstract
and general propositions and representations
that provides a frame of reference or
perspective to explain behavior, operations
and development (Reyes, et al., UPOU
Manual)
Basic elements
Proposition
Representation
Operational definition of concepts (terms
used)
Empirical indicators

Proposition - a supposition or proposed

statement of explanation like a hypothesis

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Parts of a Project Proposal


Methodology (continued)
Basic elements
Representation
- A
diagram
or
illustration
that
will
approximate
the picture of
reality
e.g.
Technology
R&D Technology
Policy
Development

Verification

Formulation

Dissemination

Commercialization

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Parts of a Project Proposal


Methodology (continued)

Basic elements
Operational definition of
concepts: Definition of terms used
in the context of the study or
situation
Example:
Technology verification is the
process wherein the feasibility of
the technology is validated in
different areas

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Parts of a Project Proposal


Methodology (continued)

Basic elements
Empirical indicators:
Measurable and observable
variables or parameters included in
the study
Example:
Number of brochures and
leaflets
Number of guests, visitors
Areas covered
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Parts of a Project Proposal


Conceptual framework for R&D projects:
Generally used in social science R&D
Equivalent to research design in the other
sciences
A set of propositions that provides for
frame of reference to explain behavior
Show how the problem is viewed and how
the proposed interventions will lead to the
solutions of the problem under study
The review of literature should guide the
researcher in contextualizing the problem
and identifying the variables to be looked
into
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Parts of a Project Proposal


Conceptual framework for R&D projects
(continued):

Usually contains variables (dependent and


independent) and their relationships
Illustrated using a diagram or a figure
Should always be accompanied by a
textual explanation
Guides the researcher on how to analyze
the data and what methodology to use
Not all projects needs a conceptual
framework

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Figure 4. Conceptual Framework for the National Integrated Banana R&D Program

Previous R&D
(2004-2008)
Distribution and Evaluation
of Improved Musa and
Popular Local Varieties to
Rehabilitate Local Banana
Industry in the Luzon Areas
(Bioversity/PCARRD)
S&T Anchor Program for
Banana (DOST-PCARRD)
-Disease mgt strategies
-Postharvest handling
technologies
-Processing & packaging
-Tech. promotion
-Policy & Marketing Studies
Banana Investment
Package Project for MicroSmall- and Medium
Enterprises
(PCARRD/CvSU/QSC/LGU

Proposed R&D (2008-2010)


Research Components
-GIS-based Cropping System
-Development of dwarf Saba
-Evaluation of banana germplasm
for resistance to viruses &
eradication of infected cultivars

Technology Promotion &


Utilization (6 Consortia)
ICM against pests & diseases
Improved PH Technologies
Packaging & Processing
Technologies
Supply Chain Analysis
Capability Building & Support
Services
Upgrading of selected TC
Laboratories
Indexing facilities
Processing facilities

Input
Input

Process
Process

Production
Production
Cost
Cost
Efficiency
Efficiency

Type&&
Type
Qualityofof
Quality
Factors
Factors ofof
Production
Production

Output

QuantityOutput
& quality of
Quantity
& quality
of
products
produced
products
produced
Fresh Lakatan,
Latundan &
Fresh Lakatan, Latundan &
Saba (10% higher yield;
Saba
higher yield;
20%(10%
PH losses)
20%
PH losses)
Processed
Saba (10%
Processed Saba (10%
higher production)
higher production)

Outcome
Outcome

Locally sufficient
Locally sufficient
Import/Export
Import/Export
Competitiveness
Competitiveness

Output
Output
Market
Market

S
U
P
P
O
R
T
S
E
R
V
I
C
E

P
O
L
I
C
I
E
S

Problem
Impact
s
S&T
Intervention
Components

Expected
Outputs

Lack of a national goat performance recording system;


Fragmented data on farm performance
Inability to document goat farm performance across regions in the country
Inability to quantify rate of improvement or decline of goat farms

Goat Farm Production Performance Monitoring in the Philippines

Backyard Goat Farm Performance

Commercial Goat Farm


Performance

Generation of a comprehensive goat production data for 4 production cycles


from backyard and commercial goat farms
Characterization of backyard and commercial goat farms and assessment of
their productivity and profitability
Identification of technology gaps and alternative technology options to
enhance farm performance
Industry targets for backyard and commercial goat farms

Establishment of a national goat farm performance monitoring system


for backyard and commercial levels of operation

Interface with
Next Project

Identified S&T interventions to enhance goat farm performance


Implementation of Alternative Technology Options to Enhance Farm
Performance project

Parts of a Project Proposal


Analytical framework
Present the manner with which the problem
should be studied. It guides the researcher
on what information to collect and how they
should be analyzed.
The analytical framework should show a
diagrammatic and systemic representation
of the processes and variables involved in
the conduct of the project proposal. The
relevant variables to be
measured/evaluated should be included in
the methodology.
Usually presented in tabular form.

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Analytical Framework
PROBLEM
AREAS/
RELEVANT
ISP
TARGET

PROPOSED
S&T
INTERVENTION

What
problems
needs
immediate
attention?
WHAT ISP
CONCERN
DO YOU
WISH TO
WORK ON?

PROGRAM
TITLE

Where do
they exists &
how serious
are they?

PROGRAM
COMPONENTS:

Distinguish
nature of
problems in
terms of
symptoms,
causes and
effects..

PROPONENT
AGENCIES

DURATION

THEMATIC
AREAS

EXPECTED
OUTPUTS
RELATIONS
HIP OF THE
EXPECTED
OUTPUTS
TO THE
ACHIEVEM
ENT OF ISP
TARGETS

INTENDED
BENEFICIARI
ES

ESTIMATED
BUDGETARY
REQUIREMENT

SOURCES
OF FUNDS

WHO ARE
THEY &
WHERE ARE
THEY
LOCATED?

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Parts of a Project Proposal


LOGFRAME - is a logical and concise
layout of the main elements of project
implementation. It should provide an
overview of the entire project in terms
of expected outcomes, how they fit
together and how they are measured.
It also provides the cause-effect
relationships between activities,
outputs and goals and helps link the
project inputs and objectives in a clear
logical manner.

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Parts of a Project Proposal


Logframe example:

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Parts of a Project Proposal


The methodology should be geared towards
providing answers to the research
objectives. The measurable outputs that
the project will produce and their set of
indicators and expected values should be
included. The methodology should also
show appropriate and sound treatments and
experimental layout, and appropriate
statistical analysis. There should be a
discussion on how the data required based
on set of indicators be obtained, by whom,
what sources, how frequent the data
collection and how the collected data will be
processed and reported.

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Parts of a Project Proposal


Methods of data collection

What information will be collected?


How does the researcher propose to gather
the data from secondary or primary
sources?

If data will come from primary sources,


how will they be collected through
personal interviews, participant observation,
FDG, or mailed questionnaires?

Processing of the research proposal will


be facilitated if a questionnaire is appended
to it. Otherwise, a list of needed
information has to be incorporated in the
procedure.
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Parts of a Project Proposal


Expected Outputs
Indicate specific products, processes
or services, information or
technologies which the project is
expected to produce which will
eliminate/instigate or prevent the
identified problem(s) from processing
damages. Compare with available
technologies/knowledge.

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Parts of a Project Proposal


Expected Outputs
Explain the expected social,
economic and other benefits to be
derived and the time it takes before
the expected benefits are realized.
State how the proposed research
project will generate products,
information, processes or service of
national or international recognition.
It should be explained what needs to
be done to make use, promote and
commercialize the expected outputs.
Are the expected outputs/results
gender sensitive? Are the expected
outputs eligible for protection (IPR
concern)?

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Parts of a Project Proposal


Target Beneficiaries
Specify the clienteles who will benefit
from the project and the expected
outcome/effects of the use of the
project outputs (refer to the
significance) and how big is that group.

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Parts of a Project Proposal


Personnel Requirement
Is the personnel complement enough and
qualified to do the work?

The % time to be devoted to the project


should be well-thought of and such
indicated in the best knowledge of the
researcher.
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Parts of a Project Proposal


Literature Cited
List alphabetically all materials used, quoted, rates,
or referred to. Use standard system for citation).
Sample Lit Cited Below:
Books
Author(s)/Editor(s)/Corporate Author(s). Title of
publication. Place of publication: Publisher, year.
Pagination.
Marei, Sayed A. The world food crisis. London: Longman
Group Ltd., 1978. 134p.

Periodicals
Author(s). Title of article. Name of Journal Periodical
Vol. No. (Issue No.):pagination, month, year.
Soliven, Max E. More on the culture of Perante orange.
Greenfields 18(4):14-15, Apr 1988.
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Parts of a Project Proposal


Project Duration:

Presenting the timetable of planned activities (work


plan) typically involves the use of a Gantt chart to
illustrate activity duration.
Enumerate in chronological order the activities to be
undertaken using DOST Form N0. 2B-2. The activities
should answer the expected outputs. The expected
outputs on the other hand should anchored on the
proposed objectives.

Estimated Budgetary Requirement


The financial requirement indicated must be reasonable

and appropriate in relation to the objectives of the


project. It must be consistent with the work plan.
Counterparts funds should be indicated and line-item
expenditures should be consistent with existing
allowable rates). Prepare budget breakdown by source
of fund for items in excess of P50,000/annum. and the
quarterly breakdown for the 1st year of implementation42
during the project duration.

Parts of a Project Proposal


Estimated Budgetary Requirement (continued)

Counterpart Funding for National and


Regional Program proposals

-For national and regional programs to be supported by


PCARRD, a 30% counterpart fund is expected to be
provided by the proponent agency. This means that
PCARRD will provide only 70% of the required budget.

To address the difficulty of the implementing


agencies in allotting counterpart fund, they are
allowed to outsource the amount from other donors,
provided that at least 10% of the total required budget
will still come from the proponent agencies. This
applies to both national and
regional programs.

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Parts of a Project Proposal


Estimated Budgetary Requirement (continued)

The said counterpart fund maybe provided


during the second year of implementation or it
may be divided during the succeeding years so
long as the accumulated allocation satisfies the
percentage counterpart fund required.

Personal services - Honoraria of research


leaders, salaries of full time researchers, research
assistants, research aides and interviewers

Maintenance and operating expenses - supplies


and materials, travel expenses, attendance to
meetings/ workshops, AIHR, RRDS,
communications, contracted services, gasoline
and oil, patenting, publication in a referred
journal and other expenses
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Parts of a Project Proposal


Estimated Budgetary Requirement (continued)

Cardinal rule - resources for conducting


R&D are generally limited and there is
always a problem of setting up priorities
to allocate them. But neither should the
budget be so small that when the
researcher actually does the job, he finds
that he cannot do it for lack of funds.

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Parts of a Project Proposal


Capsule curriculum vitae

One page researchers information


sheet indicating among others
relevant experiences in R&D
activities especially in relation to the
work being proposed, current load.

This gives information on the nature


of the researchers specialization.
One factor that the review panel
looks into is the ability of the
researcher to conduct the project
being proposed based on his/her
academic credentials as well as
relevant experience.

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Parts of a Project Proposal


Sample curriculum vitae

THANK YOU
& GOOD
LUCK ON
YOUR
PROPOSALS

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