University of Southeastern Philippines USeP

Research, Development
& Extension Manual

http://www.usep.edu.ph
PROJECT MANAGEMENT TEAM

Overall Project Head: Dr. Julieta I. Ortiz

Writers: Dr. Irvin C. Generalao
Dr. Lourdes C. Generalao
Dr. Danilo B. Pacoy
Dr. Purisima G. Bayacag
Prof. Belly T. Dionio
Production staff: Mrs. Nelly T. Modesto
Ms. Jane A. Prieto
Mr. Redinjoe Cabigon
Design/layout & graphics: Mr. Claveland Q. Perez
Editors: Prof. Ma. Fe B. Pepito
Dr. Marie Rose C. Escalada

This manual is a complete source of guidelines and procedures that govern the conduct of research,
development and extension activities in the USeP.

No part of this publication may be reproduced or transmitted in any form or by any means without
permission in writing from the publisher.

For further information, please contact the publishing team.

University of Southeastern Philippines (USeP)

Research, Development and Extension Manual
Office of the Vice-President for Research and Development
Obrero, Davao City 8000
www.usep.edu.ph

All Rights Reserved 2006

 University of Southeastern Philippines
Research, Development and Extension Manual
 TABLE OF CONTENTS

CHAPTER PAGE

FOREWORD i

PREFACE ii

LIST OF ACRONYMS USED iii

LIST OF FIGURES v

LIST OF APPENDICES vi

INTRODUCTION 1

CHAPTER 1 3
Vision, Mission, Goal, Objectives and Strategies

CHAPTER 2 5
Organizational Structure

CHAPTER 3 9
Policies and Guidelines

CHAPTER 4 17
Promotion, Storing and Dissemination of Research/Extension Outputs

CHAPTER 5 21
Intellectual Property Rights

CHAPTER 6 28
Awards and Recognition

CHAPTER 7 31
RDE Linkages and Other Guidelines

REFERENCES 32

APPENDICES 33
 FOREWORD

DR. JULIETA I. ORTIZ

President

The University of Southeastern Philippines in pursuit of its mandate to achieve

excellence in Research and Development has crafted and developed the first RDE
Manual to ensure that all RDE programs and projects are coordinated and undertaken for
efficiency, effectiveness and maximum utility by the University stakeholders. It is the
purpose of this manual to guide University constituents on the policies governing the
implementation of RDE programs. Specifically, this manual provides information on
RDE thrusts and agenda, outlines policies on packaging proposals for University and
external funding and intellectual property rights, monitoring and evaluation of RDE
projects, incentives for RDE workers, among others.

The three Divisions, namely: Research, Development and Extension, are now
housed in a Center the RDE Center under the Office of the Vice President for R&D.
Thus, instead of having a manual for each of the three Divisions, the management saw
the need to unify them and strengthen policies and governing operations.

Evidently, the Center has brought development to the University. Recently, USeP
emerged no. 1 among all 111 SUCs in the Philippines to Level 4 university status per
evaluation by CHED Secretariat and NEC Task Force. I am certain that research and
extension services have played a huge role in this achievement.

I am grateful to all who have worked hard for the production of this manual.
 PREFACE

This manual includes policies and guidelines in the conduct and implementation
of Research, Development and Extension (RDE) programs in the University of
Southeastern Philippines.

The manual states the policies and defines the structure and mechanisms of
organizing efforts and allocating resources for RDE to raise the effectiveness and
efficiency of the projects being implemented in the University. It provides an operational
system that facilitates the carrying out of the RDE functions of USeP.

Specifically, this manual defines the:

1. Responsibilities of USeP and expectations about RDE projects and their

implementers;
2. Criteria for determining RDE priorities;
3. Relevant organizational components and their respective functions;
4. System for developing and processing RDE proposals;
5. System for implementing approved RDE proposals;
6. Means for gathering, storing and sharing results;
7. Guidelines for giving awards and recognition to promote RDE activities;
8. Ownership and utilization of discoveries, inventions and improvements; and
9. Policies to strengthen linkages with NGOs and other private institutions.
 LIST OF ACRONYMS USED

AFMA Agriculture and Fisheries Modernization Act

ANEC Affiliated Non-Conventional Energy Center

BAR Bureau of Agricultural Research

CEDO Corporate Economic Development Office

CHED Commission on Higher Education

CPC Copyright and Patent Committee

DA Department of Agriculture

DA Deed of Assignment

DBM Department of Budget and Management

DOST Department of Science and Technology

FITS Farmers Information Technology Service

IDR Invention Disclosure Report

IPRO Intellectual Property Rights Office

IP Intellectual Property

IPA Invention Patent Agreement

IPM Integrated Pest Management

IPRD Intellectual Property Rights Division

ISSN International Standard Serial Number

ISBN International Standard Book Number

MOA Memorandum of Agreement

NGO Non Government Organization

OVPRD Office of the Vice President for Research and Development

PCARRD Philippine Council for Agriculture, Forestry and Natural Resources
Research and Development

PCAMRD Philippine Council for Aquatic Marine Research and Development

PCHRD Philippines Council for Health Research and Development

PCIERD Philippine Council for Industry and Energy Research and Development

R&D Research and Development

R&E Research and Extension

RDEC Research, Development and Extension Center

RDE Research, Development and Extension

RERMC Research and Extension Review and Monitoring Committee

RSRE Regional Symposia for Research and Extension

RTCTPC Regional Trade and Crafts Training and Production Center

S&T Science and Technology

SMARRDEC Southern Mindanao Agriculture and Resources Research and

Development Consortium

UNESCO United Nations Educational, Scientific and Cultural Organization

USeP University of Southeastern Philippines

VPAA Vice President for Academic Affairs

VPAd Vice President for Administration

VPRD Vice President for Research and Development

 LIST OF FIGURES

Figure 1. USeP Research, Development and Extension Center Organizational

Structure

Figure 2. Flow of RDE Proposal for University Funding

Figure 3. Flow of RDE Proposal for External Funding

 LIST OF APPENDICES

A. Terminal Report Format

B. Quarterly Progress Report Format

C. Capsule/Detailed Research Proposal Format

D. Criteria for the Search for Outstanding Researcher

E. Criteria for the Search for Outstanding Research Coordinator

F. Criteria for the Search for Outstanding Extensionist

G. Criteria for the Search for Outstanding Extension Coordinator

H. DOST Memorandum Circular 001 S. 2003. Revised Implementing Guidelines on

the Grant of Honoraria to Personnel whose Services are engaged by the National
Science and Technology System

I. Guidelines in the Preparation of Capsule and Detailed Research Proposal

J. RA No. 8293 known as The Intellectual Property Code of the Philippines

K. RA No. 8439. Magna Carta for Scientists, Engineers, Researchers and Other
Science and Technology Personnel in Government

L. RDE Program Status Monitoring Accomplishment Report Format

M. Work and Financial Plan Format

N. List of Researchers
 INTRODUCTION

USeP Research, Development and Extension History

The University under Batas Pambansa Bilang 12 is mandated to promote research

and extension services needed in the socio-economic development of Mindanao.

In 1983, five years after the establishment of the University, the Research and
Extension Divisions were organized and staffed. Each Division had its own mandate
aimed to respond to the Universitys task to promote and implement research and
extension services.

In the Research Division, research activities were focused on agricultural

development. But in 1986, when the University officially became a member of the R & D
network of PCARRD (Philippine Council for Agriculture, Forestry, and Natural
Resources Research and Development), farming systems and socio-economics were the
first flagship programs of USeP. R&D outputs were published in the University journal,
The Fruit Bowl, which started publication in 1983. Later, it became the Southeastern
Philippines Journal of Research and Development.

The Extension Division on the other hand, focused on continuing education and
livelihood programs, in close coordination with LGUs, peoples organizations and other
stakeholders for manpower development and entrepreneurship. It aimed to contribute
effectively in people empowerment of the region, equipping them with necessary
knowledge, values, skills and competencies, and entrepreneurial abilities, to promote self-
reliance, greater productivity and better communities.

In 1988, the University became a member of the newly-organized SMARRDEC

(Southern Mindanao Agriculture Resources Research and Development Consortium),
which is one of PCARRD's 14 Regional Consortia nationwide. With its membership, the
Universitys on-going and completed R&D activities were presented and reviewed. In
the 1990s, the University expanded its collaboration and linked with other national and
international R&D institutions. Likewise its flagship has expanded to other disciplines
other than in agriculture, forestry and natural resources.

The year 2003 was a challenging one for both divisions. In April of that year,
SMARRDEC was transferred to USeP as base agency. SMARRDEC was hosted by DA
XI for 16 years. In the same year, the Extension Division revolutionized extension
delivery programs by massive conduct of trainings on livelihood, especially in the
countryside. Through the Techno Gabay program, an extension delivery modality
espoused by PCARRD through SMARRDEC, the two divisions became active in the
establishment of Farmers Information Technology Service (FITS) Centers in various
Local Government Units in the Region. Here, the Universitys R&D programs in
agriculture, forestry and natural resources were mainstreamed with the regional and
national undertakings. It was also during this year that information such as ripe
technologies, trainings and other vital issues/concerns in extension were printed in the
Universitys extension bulletin called Lihok Pinoy.

During the past years, almost all extension activities such as program planning,
identification of needs and clients, implementation, monitoring and evaluation were
college-based. Recently, the division has established the Lifelong Study Center aimed
to capacitate clientele as well as generate income to finance free services to the
marginalized sectors.

Moreover, the University had shifted paradigm in prioritizing and implementing

RDE projects. The concerned users of the would-be technology are involved as early as
proposal preparation to bridge the gap between technology generation and output
utilization. Research must be market/need-driven in order to be responsive to societal
needs.

With the Universitys effort to marry research and extension for effectiveness
and efficiency in technology and information generation, dissemination and possible
commercialization of technologies, a unified RDE manual stressing processes and
guidelines governing RDE is hereby developed.

RDE Thrusts
The Universitys RDE thrusts are geared towards the upliftment of the quality of
life and poverty alleviation in the Region, in Mindanao and the country as a whole,
through a sustainable development approach.

Subject to formal review and consequent decision demanded by changing needs,

USeP adopts the following thrusts for establishing priorities in developing, processing
and funding research proposals:

Food systems, nutrition and food security

Sustainable Agriculture
Indigenous/Non-traditional Export Product Development
Energy Utilization, Conservation and Development
Optimal Rural & Urban Development
Environmental Resource Management
Policy Development and Implementation
Biotechnology
Socio-economics
Behavioral Research
Language and Culture
Information and Communication Technology
Appropriate Technology for Processing Industries
Education
 CHAPTER I

VISION, MISSION, GOAL, OBJECTIVES AND STRATEGIES

VISION
The Research, Development and Extension Center (RDEC) envisions to become a
center of information and technology, technology and information dissemination,
adoption and commercialization

MISSION
The RDEC is committed to undertake the following:

formulate RDE policies, resource generation, overall direction and

administration of the RDE programs of the University
conduct need-driven/market-driven researches
provide training and continuing education and community outreach
programs
establish linkages, networking and collaboration with other research
institutions with equity

GOAL

The RDEC of the University aims that five years from now, it shall have
effectively and efficiently delivered vigorous, relevant and responsive research and
extension programs that shall have been adopted and utilized by the people to
enhance/improve their lives.

OBJECTIVES
The following are the objectives of RDEC:

1. To harness and develop the human resources;

2. To produce relevant and quality RDE outputs;
3. To accelerate and enhance material and facilities upgrading and
development;
4. To ensure that research results and social benefits reach supposed
beneficiaries and end-users; and
5. To generate more resources for RDE programs.
STRATEGIES
The following are the strategies of the RDEC of the University:

1. Determine the manpower requirements of the research programs and

develop a systematic plan to close the gap between available and needed
manpower through a vigorous recruitment program, a staff development
program, and the adoption of attractive salary scales and fringe benefits;
2. Develop strong internal and external linkages for resources generation;
3. Disseminate and commercialize generated technologies;
4. Establish social mechanisms to ensure that research results and social
benefits reach target beneficiaries and end-users;
5. Establish appropriate incentives and other mechanisms for the promotion
of RDE activities;
6. Initiate the formulation of RDE policies, ensure implementation and
review thereto;
7. Sustain and strengthen the existing RDE monitoring and evaluation
mechanisms;
8. Establish guidelines to strengthen linkages with government and private
institutions;
9. Provide direction for priority researchable areas;
10. Develop organized RDE programs;
11. Involve faculty and students in the conduct of University-funded RDE
programs;
12. Develop a feedback mechanism for bringing field problems to the
attention of researchers;
13. Initiate a system of documentation of research activities, publish research
results and provide mechanism for exchange of information among
agencies in the country and the region;
14. Hold research conferences regularly for researchers and invite speakers to
exchange information on current research activities as well as evaluate and
update research priorities;
15. Search and identify external funding sources and facilitate grant
development;
16. Upgrade/acquire facilities that can support the University RDE programs;
17. Enhance capabilities of faculty and staff through non-degree training,
pursue relevant advanced degrees in support of Human Resource
requirement for RDE;
18. Store, maintain and link University database with other R&D institutions;
and
19. Tap alumni for resource generation for institutional development.
 CHAPTER II
ORGANIZATIONAL STRUCTURE

In order to carry out the mandates of the Research, Development and Extension
Center of the University, the organizational structure in Figure 1 is adopted:

BOARD OF REGENTS

PRESIDENT

OFFICE OF THE VICE PRESIDENT

FOR RESEARCH AND DEVELOPMENT

OFFICE OF ALUMNI AND DEVELOPMENT DATA BANK AND STATISTICAL CENTER

RESEARCH DIVISION RDE PROJECT DEVELOPMENT DIVISION EXTENSION DIVISION

Research Special Development Science and Lifelong Study Community Outreach and Technology Extension Special
Projects Studies Technology Center Dissemination/Utilization Projects

Agriculture and Natural

Resource Management
Intellectual Property Affiliated Non-Conventional
Rights Office Energy Center
Arts and Science

Regional Trade and Crafts

Governance, Business
Training and Production
and Economics
Center

Education

Engineering and Technology

Information Communications Technology

Figure 1. USeP Research, Development and Extension Center organizational structure.

Under the OVPRD are the three directors, namely: Director for Research,
Director for Extension, and Director for Project Development.

A. Vice President for Research and Development (VPRD)

The following are the functions of the VPRD:

1. Planning and institutional evaluation;

2. Promotion and monitoring of the development of grants;
3. Management of the Universitys fund allocations for R&E;
 4. Coordination and supervision of the Research, Extension and Project
Development Divisions;
5. Report on advances made in the area of R&D; and
6. May create RDE committees to assist the OVPRD.

Specifically, the VPRD shall have the following responsibilities:

1. Search and identify external funding sources, facilitate grant development,

budget negotiation, implementation, administration, and compliance
monitoring for the University;
2. Serve as the coordinating point for University-wide planning activities and
work with the offices of the President, the Vice President for Academic
Affairs (VPAA) and the Vice President for Administration (VPAd) on
annual and long-range planning efforts;
3. Program and administrative review, institutional effectiveness review,
review of board policies and University procedures, and institutional
research and institutional planning;
4. Collect, analyze and disseminate accurate and timely information on every
aspect of the University in support of institutional decision-making,
planning and reporting for the continuous improvement of services to
students;
5. Establish a University Development Foundation for Resource Generation
for RDE; and
6. Perform other duties as may be assigned by the President and the Board of
Regents.

The three Directors are responsible to the VPRD on matters of coordination and
proper administration and supervision in the implementation of all projects of the
University conducted by the different colleges whether University- or externally-funded.
The functions of the Research, Extension and Project Development Directors are:

B. The Research Director:

1. Coordinate the formulation of research agenda;

2. Recommend policies and guidelines on research activities of the University;
3. Plan and implement research programs, especially those related to food, nutrition,
energy, etc.;
4. Prepare research feasibility studies for external support;
5. Coordinate the different research activities of all colleges and units;
6. Establish linkages with research agencies and institutions here and abroad;
7. Publish the professional publications of the University;
8. Perform other functions as may be assigned by the VPRD; and
9. Submit annual action plan a report of accomplishments to the University
President and VPRD every evaluation period and at the end of the year.
C. The Extension Director:

1. Disseminate and extend, through appropriate means, useful research information

and data, particularly those derived from research projects and activities of the
faculty through the Research Division;
2. Monitor, supervise and coordinate non-formal education and other outreach
activities, seminars and workshops of the Extension Division as well as those of
other colleges, institutes and centers of the University;
3. Establish external linkages on extension with agencies and institutions based on
identified priorities of the University;
4. Perform other functions as may be assigned by the VPRD; and
5. Submit an annual action plan and reports of accomplishments to the University
President and the VPRD every evaluation period and at the end of the year.

Every college shall have their own research and extension coordinators, who will
be closely coordinating, to ensure proper implementation of RDE projects. Each
coordinator shall submit periodic reports to the two Divisions.

D. The RDE Project Development Director:

1. Identify external funding source and facilitate grant development;

2. Assist colleges in identifying appropriate funding opportunities, and in developing
research grant proposals and research policy issues;
3. Establish linkages with other funding donors;
4. Package proposals generated from the faculty/colleges for external fund sourcing;
5. Perform other tasks assigned by the VPRD;
6. Submit an annual action plan and reports of accomplishments to the University
President and the VPRD every evaluation period and at the end of evaluation
period.

E. Research Division Units

1. DEVELOPMENT STUDIES UNIT

Basically conducts policy and development studies and impact assessment of

new technologies.

2. SCIENCE AND TECHNOLOGY (S&T) AND ENVIRONMENT NATURAL

RESOURCES UNIT

Conducts studies with main focus on USeP flagship programs, and the
regional and national priorities.
 3. RESEARCH SPECIAL PROJECTS

These projects are under the OP and coordinated by the Research

Division. However, projects directly based under the Research Division are under
direct supervision of the Division itself. A case in point is the SMARRDEC,
being based at the Research Division.

F. Extension Division Units

1. COMMUNITY OUTREACH AND TECHNOLOGY DISSEMINATION /
UTILIZATION UNIT
Plans, designs and implements strategies to effect the delivery of
appropriate technologies via appropriate government line agencies,
concerned departments and community organizations. It shall have the
following sectors: media services, learning resource center/databank,
institutional module production, action project complementation program,
copyright and patenting, etc.
Serves as feedback channel for researchers, extension workers, and
teachers with regard to clientele needs and priorities.
Carry out technology dissemination and utilization, and possible
commercialization.

2. LIFE-LONG STUDY CENTER

Plans, designs and implements programs and projects that provide the
necessary education and skills to the less literate, out of school youth,
housewives, etc;
Provides and conducts livelihood training programs;
Conducts peace and human rights seminars;
Plans, designs and conducts farmers training; and
Conducts information dissemination.

3. EXTENSION SPECIAL PROJECTS

(These projects are under the Office of the President but coordinated by
the Extension and Community Outreach Division)
 CHAPTER III
POLICIES AND GUIDELINES

Research and Extension Classification

A. By nature

1. Basic Research - any systematic and creative work undertaken primarily to

acquire new knowledge of the underlying foundations of phenomena and
observable facts, without any particular or specific application or use in view.

2. Applied Research - any original investigation to acquire new knowledge. It is,

however, directed primarily to improve a product or a process or testing
theoretical concepts in the actual problems.

In order to define research and development priorities at the national, regional,

and provincial levels, the Bureau of Agricultural Research (BAR) further classified
basic and applied research into:
a. Upstream research - any research project of basic strategic type
implemented by national centers of excellence.
b. Midstream research - any systematic work, drawing on existing
knowledge gained from research and/or practical experience that is directed
to producing new materials, products and devices, to installing new
processes, systems and services, and to improving substantially those
already produced or installed; these are technology verification and
technology adaptation type of research implemented by regional SUCs.
c. Downstream research - these are applied research projects of
technology dissemination and technology demonstration type implemented
at the provincial level.

B. By Research Focus

1. Commodity - refers to research undertakings that focus on product

development of specific commodities like rice and other agricultural products or
certain research fields like culture, breeding, and /or feeding of fishery resources.
2. Non-commodity - refers to research undertakings that focus on socioeconomic
aspects or interdisciplinary researches with policy implications to agriculture.
Examples: Integrated Pest Management (IPM); mechanization; biodiversity;
biotechnology; crop protection; and forest biology.

C. By stage of technology development

1. Technology generation research - focuses on a single factor affecting productivity

of a single commodity. Example: Studies on varietal resistance to rice blast.
 2. Technology adaptation research - evaluates the performance stability and
replicability of technologies over space and time, conducted either in the research
station or farmers fields and done under the supervision and management of the
researcher. Example: Testing of promising varieties of upland rice tolerant to rice
blast.
3. Technology verification research - compares performance of the improved
technologies with that of existing farmers practice under existing farm
environment. This research is conducted in farmers own farms under the
supervision and assistance of researchers. Example: Testing of recommended
upland varieties in actual farm condition.

D. By location
1. On-station research. - Trials conducted in research stations where facilities for
experimentation are excellent and accessibility to researchers is favorable.
Usually, only the researchers are involved in formulating the research objectives
and methodologies.
2. On-farm research. - Trials conducted in farmers fields with the farmers involved
in formulating improved technologies to be tried or tested.
b.1. Researcher-managed. - On-farm trials conducted on farmers field managed
by researchers who evaluate in detail the specific management components
to be assigned to the cropping systems.
b.2. Farmer-managed. - On-farm experiments managed by farmers to find out
how they respond to suggested improvements.

3. By Scope of Activity
Scope can be classified as:
a. Program - This shall be composed of at least two projects embracing inter-
disciplinary or multi-disciplinary approach.
b. Project - A set of interrelated studies/activities or a component of a
program with predetermined objective(s) to be accomplished within a
specific time frame. It is composed of at least two (2) studies.
c. Study - A basic unit in the investigation of a specific problem identified
under a research project or a unit extension activity under an extension
project.
So, shall USeP adopt the foregoing classification by BAR.

Criteria for Identification and Prioritization of Research and Extension Projects

1. National thrust. Proposal must be relevant to the national thrust.

2. Regional needs and development thrusts. Activity/Study must be within the
regional needs and development priorities.
 3. Utility for production and consumption. The activity/study results must have
bearing on utility for production and consumption.
4. Originality, novelty and applicability. The proposed study must be original and
the results applicable for concerned clients/end users.
5. Availability of outside funding sources. The possibility of funding sources must
be considered for research/extension proposal for projects that require bigger
budget.
6. Feedbacks from end-users. The activity/study must answer expressed needs of
end-users.
7. Time and cost constraints. Activity/Study should be conducted within reasonable
time and cost.
8. Feasibility of the research/extension project. The research/extension must be
workable and attainable.
9. Proponents qualification and availability. The proponent must have expertise on
the proposed topic otherwise he/she may tandem with an expert. He/She must
have ample time to undertake RDE activities.

The RDEC shall make use of existing criteria used by national agencies like
DOST and DA.

Proposal Development and Processing

The planning, programming and implementation of RDE programs/projects in
USeP shall undergo several stages:

A. Proposal Generation for USeP Funding

The preparation of a research and extension proposal should be initiated at the
department of a college/unit by the proponent (Fig. 2). After the proposal is packaged
by the proponent, this is submitted to the college research/extension coordinator who
will in turn submit the said proposal to the Research or Extension Director. The
Director will then submit this to the Research and Extension Review and Monitoring
Committee (RERMC) for evaluation. After evaluation, the committee will return the
proposal to the Research/Extension Director. If the RERMC recommends approval,
the Office of the Director for Research/Extension will forward the proposal to the
office of the University President through the VPRD for approval and
implementation. However, if the proposal is disapproved, it will be returned by the
Research/Extension Director to the proponent.

Where the proponent/s is a member of the RERMC, the proposals are to be

reviewed by an external panel of evaluators. The panel of evaluators will likewise
evaluate/review papers other than those of the RERMCs.
B. Guidelines on proposal preparation for external funding
1. Similar to the process for USeP funding, the proposal starts from the college/unit
by a proponent (Fig. 3). After this is packaged to suit the funding agencys
requirements, this is submitted to the Research/Extension Director who will in
turn submit this to the VPRD for endorsement to the University President who
will finally recommend it to the funding agency. After the funding agency accepts
the proposal, a (Memorandum of Agreement) MOA has to be forged prior to the
actual implementation.
2. The budget for the proposal should include administrative or indirect cost. This is
needed to support other forms of services already available at USeP and for
payment of electricity, water and other facilities.
3. Incentive schemes for project personnel should be based on the funding agencys
policy.

USeP PRESIDENT
FOR APPROVAL

YES

VPRD

RESEARCH/EXTENSION RERMC
DIRECTOR

NO RESEARCH/EXTENSION
COORDINATOR

PROPONENT
(Unit/College)

Figure 2. Flow of RDE Proposal for University Funding

 FUNDING AGENCY

USEP
PRESIDENT

VPRD

RESEARCH/EXTENSION
DIRECTOR RERMC

PROPONENT
(UNIT/COLLEGE)

Figure 3. Flow of RDE Proposal for External Funding.

Project Implementation, Evaluation and Monitoring

The project shall be operated and implemented by the researchers/extensionists

for the period for which funds are approved.

1. Research Modification. The researchers/extensionists may make changes

either in the research/extension procedures or in the materials, supplies and
equipment needed in the research/extension provided that there is approval
from the Research/Extension Division. Thus, a report must be submitted,
through channels, of such modifications he deems necessary to carry out the
objectives of the research/extension project to full completion.

2. Extension of the project. The project shall be allowed to continue beyond the
termination of the period stipulated in the agreement provided that there is
sufficient justification(s) for the extension of the project. A written request by
the researcher/extensionist, accompanied by the studys revised work and
financial plans, should be submitted to the VPRD through the University
Research/Extension Directors at least 30 days before the date of termination
for appropriate action.

3. Discontinuance or suspension of financial assistance. The

research/extension project shall not be terminated abruptly, temporarily
suspended, or denied continuation prior to the normal termination of the
period for which the funds have been allocated, except for negligence of the
 researcher/extensionist and/or upon the results of evaluation of the appropriate
committee created by the OVPRD. The VPRD shall recommend to the
University President for the termination of the project.

4. Obligations of the Researchers/Extensionists:

a. The researcher/extensionist binds himself to keep a factual account of
the operations and progress of the research/extension project.
b. The researcher/extensionist shall submit a quarterly accomplishment and
financial report of the research/extension project to the Director of
Research/Extension, copy furnished to the OVPRD. The report shall
show the total account of cash received and expenditures incurred,
itemized in accordance with the approved budget in the
research/extension project proposal. The report shall be accompanied by
a list of the equipment and other properties purchased for the project
which are to be appropriately described for identification and evaluation.
The report shall be noted by the Research Coordinator and the Dean of
the college concerned.
c. At the termination of the date set forth in the approved project proposal,
the researcher/extensionist shall submit a full and accurate account of
the operation of the project to the office of the Directors of Research/
Extension. He/She shall submit the terminal report of the scientific paper
based on the findings of the research/extension in five (5) hard copies
accompanied by an electronic copy. Completed and terminated
researches should be presented during college/university in-house
reviews.
d. For publishable study/extension activity, the researcher/extensionist
shall submit the article to the Research Division or any publishing
agency using the prescribed format.

If the researcher/extensionist deliberately ignores compliance of the required

deliverables, then the Division Director concerned shall report to the OVPRD for
appropriate action in accordance with University policies.

Policies on Implementation and Monitoring of Research and Extension Projects

In the case of external sources of funds, a research/extension project is

implemented only upon the execution of a MOA between USeP and the donor/grantor of
funds. The signatories shall be the University President and the head of the granting
agency. If the budget comes from the USeP Research/Extension Program, all proposals
must have passed the evaluation process of the University. The Research/Extension
Director notifies the proponent of the approval of his/her proposal and that the project can
be implemented on a specified period.
 Proponents are advised to inform the Research/Extension Director in case they are
not able to implement their study/project on time so that the duration of their
study/project will be adjusted accordingly.

Technical Monitoring

The program leader basically assesses the status of each project and sees to it that
goals, objectives and methodologies are properly carried out. The project leader, on the
other hand, monitors regularly the conduct of studies under his/her project ensuring
proper implementation.

Submission of Technical Reports

Researchers and Extensionists shall submit to the Research / Extension Division five
(5) hard copies and one electronic copy of the following reports:
a. Annual Report (see appendix for format)
b. Terminal Report, submitted within two months after project
termination/completion (see appendix for details of contents)

For externally-funded projects, the researcher is guided by the policies of the funding
agency. However, terminal report shall be furnished to the concerned division and the
OVPRD.

Evaluation of Ongoing/Completed Projects

Researchers and Extensionists will be required to present their outputs in a scheduled

review of USeP projects before submission of the terminal report.
The Research/Extension Division shall also hold a joint or unified review/evaluation
of Research/Extension ongoing or completed projects with the funding agencies, e.g.
DA-BAR, PCARRD-DOST.
At least 10 hard copies and an e-copy of the report shall be submitted to the
secretariat one week before the scheduled review.

The members of the Technical Evaluation Committee will be composed of

representatives from each cluster. Technical experts outside the University are normally
invited during the annual in-house RDE review to assist not only in the
technical/evaluation of ongoing projects but also in the prioritization of proposals to be
implemented in the incoming year.

Submission of Progress /Accomplishment Report

The progress report should be accomplished by the study/project/program leader

every quarter. The program leader verifies the status of the project as reported and
endorses the report to the Research/Extension Director before honoraria will be
processed.
Financial Monitoring

The unit concerned must keep a financial record for each program/project/study
for easy recording and monitoring by appropriate authority.

Release of Research/ Extension Funds

Budget. The OVPRD shall oversee appropriation for RDE projects in close
coordination with the concerned Director and the Budget Officer.
 CHAPTER IV

Promotion, Storing, and Dissemination of Research Outputs

Knowledge products such as discoveries, inventions, new methods, and processes
are results of the conduct of research. The University churns out numerous knowledge
products through its diverse efforts in research, development, and extension in varied
areas of specialization: natural and physical sciences, social science or the arts.

The amount and quality of research outputs reflect scientific productivity and are
among the determinants of the scientific career of scientists, faculty and researchers, as
well as a mirror of the capabilities of an academic institution. However numerous such
outputs are, these are rendered useless if not promoted and published for public
consumption. Hence, the University addresses the need to promote and publish these
outputs.

PUBLICATION
Scientific productivity, in the form of intellectual contributions to the
advancement of science and ultimately communicated in written form, is considered to be
fundamentally important to ones scientific career advancement. Thus, publication is a
major output of a researcher.

Publication serves two purposes: recognition and reward. First, it lets people
know that such a research was conducted. Second, it contributes to the academic career
enhancement of the person(s) involved by earning merit or compensation.

The following are the common types of publications:

A. Print Media

Print media are the most common means to promote research output as these
reach wide audiences. These publications usually carry a copyright or an ISBN/ISSN.

The following are the most common publications for knowledge products:

1. Journal. A periodical published by a professional society or institution,

containing original reports of work in a particular field, news, and proceedings (for
example: The Philippine Agricultural Scientist published by the UPLB-CA). Journal that
requires critical review by peers is called a refereed journal.

Articles for journal publication must follow guidelines and requirements set by
the respective journal. Research results published in journals as regular articles carry the
most weight among the publication venues, especially if the articles appear in a primary
or refereed journal.
 Researchers whose articles are published in an ISI-accredited journal are given
monetary rewards as incentives for the publication.
2. Book. A non-periodical publication at least 49 pages (according to UNESCO)
covering an extensive treatise on a specialized field. A textbook is a book approved by a
textbook board to be used as a main material for a course.

Book or textbook writing is supported by grants from funding agencies or the

University. The USeP System supports textbook writing for core courses of
undergraduate degree programs, including reference books, workbooks, and laboratory
manuals (in print or other media) by regular, full-time faculty, except those on sabbatical
or on secondment to other agencies.

AFMA and CHED funds also support publication initiatives to defray printing
costs. Requests for publication assistance require the approval of the USeP President
through the recommendation of VPRD.

3. Monograph. A separate treatise on a single subject or class of subjects, usually

detailed in treatment but not extensive in scope, and often contains an extensive
bibliography.

4. Technical bulletin. A scientific paper or translation recording the current

status of a scientific research or development. A research output presented in a technical
bulletin is usually written in a semi-technical manner.

5. Pamphlet/brochure. A non-periodical publication, at least five pages

(UNESCO), covering any field of interest. A pamphlet or brochure usually provides an
overview and highlights of a certain research or project.

6. Magazine. A periodical containing a variety of pieces such as critical and

descriptive articles, stories, poems, etc. designed for the general entertainment of the
reader. Articles on knowledge products featured in magazines are written in popular form
that do away with technical terms. Highly technical and scientific terms are translated
into simple words. Furthermore, knowledge products featured in magazines are mature
outputs which are ready for public consumption or use.

7. Newspaper. A publication issued periodically (daily or weekly) containing

news, opinions, or feature stories. News articles on research usually cover the latest
breakthroughs in a certain field.

8. Leaflet. Usually a single sheet of paper, which is sometimes folded to make 2-

4 pages, deals with one main topic and is highly illustrated.

Unpublished materials also belong to print media but are available only to
selected audiences. Manuals and course syllabi are examples of unpublished material.
They are for instructional purposes. Manuals contain detailed description of instructional,
training or research procedures, while course syllabi contain an extensive account of all
the topics covered by a course, including references.

However, in the light of the developments in intellectual property rights,

particularly in patenting of intellectual property, caution must be observed in
publishing/promoting knowledge products that are potentially patentable. An author of a
published research considered as a patentable research output should apply for a patent
within one year of publication. Publication does not only refer to printed matter but any
form of communication or activity that has made the research known to a third party or
the public. A comprehensive discussion on intellectual property rights and protection of
university research and research outputs is detailed in Chapter V.

B. Broadcast and other media

The broadcast media, including radio or television, are other channels for
promoting knowledge products. With the advances in computer and telecommunication
technologies, the internet is the newest medium to promote research and extension
outputs. The University has an existing website (http://www.usep.edu.ph) where the RDE
outputs are being uploaded.

Symposia, conventions, workshops and other scientific meetings are other venues
to promote research/extension outputs. These are usually sponsored by organizations and
are intended to gather specialists in a particular field to promote the exchange of ideas
and knowledge that will contribute to the further development of the field and of their
outputs. Scientists, faculty, and researchers participate in such gatherings by invitation to
present a paper, a poster, or serve as resource persons.

C. Marketing and Commercialization

Research outputs with potential technological and industrial application are

marketed to entities with capability to provide capital and produce such outputs
commercially through contracts and license agreements. The University does not execute
exclusive contracts with licenses.

D. Direct Extension

Research outputs developed for the direct benefit of intended clients are promoted
through direct extension. These usually involve outputs that deal with new methods or
approaches, e.g. cultural management practices in agriculture and methods of
management.

Research outputs should not end in bookshelves. They must be shared and
promoted to concerned clients. Normally, sharing of research outputs starts at the
university level during in-house reviews and during the Regional Symposia for R & E.
After presentation to scientific communities, it is still the obligation of the University to
promote the information or technology generated through its extension services. The
Research Division should furnish research outputs to the Extension Division of the
University that are relevant for adoption/implementation or commercialization. The
concerned researcher should work hand in hand with the Extension Division in the
promotion/adoption, if not commercialization, of the generated technology.

Publication of RDE Outputs

The RDE outputs of the University should be published in the University journal.
The University of Southeastern Philippines Journal of Research and Development, the
primary scientific journal of USeP, is refereed. Publication of RDE outputs in other
journals, here and abroad, for wider dissemination of information and technologies
generated is also encouraged. Papers that have been previously presented in scientific and
technical fora are given priority to be published in the University journal.

The researcher/extensionist recognizes that all results of research/extension

projects and the rights of publication belong jointly to the researcher/extensionist and
USeP and full acknowledgement shall be accordingly given to the University of
Southeastern Philippines in case the research/extension is published or reported to
scientific societies.

In case no other entity has contributed funds, facilities or services used for
undertaking the research/extension, whatever intellectual rights are obtained from there
by the researcher/extensionist shall be shared in money values with the USeP in the ratio
of 95 percent to the researcher/extensionist and 5 percent to USeP.

In case any other entity, besides USeP, has contributed funds, facilities or services
for undertaking this research/extension, the intellectual rights shall be shared in value
with USeP at 5 percent and the share of the entity shall be taken from the 95 percent, the
value of which shall be determined by the copyright and patent committee. For this
purpose, the researcher/extensionist obligates himself to inform USeP accordingly should
there be another entity which shall contribute financial support to this project, giving the
name and address of the entity and the nature of the contribution.
 CHAPTER V
INTELLECTUAL PROPERTY RIGHTS

As products of human intellect and creativity, university research and extension

outputs are considered intellectual properties, thus, are subject to ownership and time-
limited protection of rights.

PROTECTION OF INTELLECTUAL PROPERTY

The law that covers the intellectual property and its protection is found in
Republic Act 8293, otherwise known as the Intellectual Property Code of the Philippines
(IP Code). The Law on Patent, the Law on Trademarks, Service Marks and Trade Names
and the Law on Copyright are contained in the IP Code. Industrial property and
intellectual property are the two categories of the Intellectual Property Rights. Inventions,
scientific and scholarly works, computer programs, trademarks, service marks trade
names, industrial designs, and utility models are protected under Industrial Property
Rights. Literary (writing) and artistic works (e.g. painting, sculpture, cinematography,
photographs) are protected under Intellectual Property Rights.

Inventions, utility models, industrial designs, computer programs, as well as

literary, scholarly and artistic works are mostly the research outputs of USeP personnel.
Inventions are protected by patents; utility models and industrial designs are protected by
their registration; and computer programs, literary, scholarly and artistic works are
protected by copyright.

Criteria for Patentability

The law of patentability does not protect all inventions; hence, the three
guidelines below are the determinants to measure the patentability of the invention:

1. Novelty or newness. This is determined through a search conducted by

an accredited patent office to determine if the invention is new,
original, and that no prior art exists over it.
2. Inventive step. There must be an inventive step involved in creating
the invention. As such, the invention must not be obvious to a person
skilled in the art.
3. Industrial applicability. There must be some use for the invention. It
can be a practical solution to a problem that can benefit the public.
A. NATIONAL POLICY ON PATENTS AND COPY RIGHTS OF
INTELLECTUAL PROPERTY

Ownership

The national law on intellectual property covers ownership.

If a work was commissioned, there are conditions to be satisfied to determine the

ownership of patentability according to Section 30 of RA 8293.

The University and the researcher/extensionist create employer-employee

relationship, thus, the conduct of the research by researcher/extensionist is understood
that it is commissioned by the University stated under the following section:

Sec. 30. Inventions Created Pursuant to a Commission.

30.1. The person who commissions the work shall own the patent, unless
otherwise provided in the contract.

30.2. In case the employee made the invention in the course of his employment
contract, the patent shall belong to:

a) the employee, if the inventive activity is not part of his regular duties
even if the employee uses the time, facilities, and materials of the
employer;
b) the employer, if the invention is the result of the performance of his
regularly assigned duties, unless there is an agreement, expressed or
implied, to the contrary.

Copyright cannot exist over works of government. In addition, copyright is not

pursued by the University itself. Since the USeP system is a government entity,
technically, no copyright can subsist over its works. Yet, a copyright exists in works of its
personnel and such copyright can be assigned to the University.

B. UNIVERSITY POLICIES

As a general rule, the University and the researcher/scientist/faculty shall have

joint ownership of patent or a copyright, otherwise he/she may invoke letter (a) of Sec.
30.2 of RA 8293.
To create an intellectual property under Sec. 30.2 of RA 8293, the source of funds
used are considered in determining ownership, be it a patent or a copyright of a creative
work.
Requirements related to intellectual property ownership

1. All newly-employed personnel who may be expected to conduct research of any

kind shall be required, as condition for employment, to sign an Invention/Patent
Agreement. and
2. Employees already in the service as of the issuance of these policy guidelines shall
be encouraged to sign the after stated agreement in anticipation of any invention or
patentable work.

The Invention Patent Agreement is a contract wherein an employee agrees to the

stipulated conditions.

Aside from the Invention/Patent Agreement, a Deed of Assignment is executed

during the filing of the patent or copyright application, giving the University the rights to
the intellectual property. An invention disclosure form is also accomplished.

Administrative process

The Intellectual Property Rights Office (IPRO) under the VPRD shall be created.
The IPRO is tasked to look after the interests of USeP researchers, faculty, other staff,
and even students, to ensure that their creative works are properly protected, promoted
and used.

The IPRO aims to monitor and evaluate IP outputs that are potentially patentable
and can be commercialized. The administrative process in filing for a copyright or patent
application is done through the IPRO. All forms required are prepared by the IPRO.

C.1. GUIDELINES ON ALL COPYRIGHTABLE AND PATENTABLE

WORKS

The Office of the VPRD shall be responsible for the implementation of the
standards, guidelines, rules and regulations on copyrightable and patentable works with
the assistance of legal officers and foundations.

C.1.a Copyrightable Works

If the works in which copyright subsists belong to the University and the
creator(s) and the outside funding entity, the registration thereof, as well as other related
administrative aspects on the handling of copyrights, shall be done by a Copyright
Committee:

C.1.b Ownership
1) University-funded research
a. If the work in which copyright subsists was made in the course of the official
duties of the official creator(s), the copyright shall belong in joint ownership
to the University and the creator(s).
 b. If the work to be copyrighted is not done as part of the official duties but was
produced with financial assistance from the University, the University shall
reimburse out of the royalty derived from the work subject to conditions set in
the agreement covering the assistance.

2) Commissioned research
a. Where the work is commissioned by the University, the copyright shall belong
to the University and the creator(s) jointly.
b. If the work is commissioned by an outside entity, the entity, whether public or
private, the ownership of the copyright shall depend on the agreement
governing the parties.

3) Collaborative works
If the object of the copyright is a result of collaborative efforts of the
University, an outside entity and the creator(s), the copyright ownership shall
belong jointly among the University, the creator, and the outside entity.

C.1.c Royalty
The royalty derived from copyrightable works shall be shared by the
owners of the copyright.

C.1.d. Copyright Committee

The President shall create a Copyright Committee to be composed
of the following:
a. VPRD or VPAA as Chairman;
b. Dean of the College where the work originated, as Member;
c. Legal Officer, as Member
d. Two or more knowledgeable faculty members to be appointed on a caseto-
case basis by the President, as Members.

The Copyright Committee shall perform the following functions:

a. Assist the creator(s) in obtaining copyright over their work;
b. Make arrangements for finalization on agreement regarding the rights of the
creator, the University and/or an outside funding entity, if any;
c. Submit its report/recommendations regarding the preceding paragraphs to the
OVPRD, through the Dean of the Academic Unit concerned;
d. Recommend to the OVPRD, who in turn shall endorse to the President,
copyrighted and patented works for production, marketing and utilization;
and
e. Carry out such other related duties as may from time to time be assigned by
the President.

C.1.e Submission of Copyrightable Work

Creators of the intellectual property shall present work(s) to the Copyright
Committee through the Chairman thereof, for the assistance in obtaining
copyrights.
C.1.f. Publication of Works
If funds warrant, the RDEC shall publish, produce and commercialize the
copyrighted/patented works of the creator(s). Otherwise, the OVPRD through the
Copyright committee shall exert every effort to deal with reputable publishing
houses and appropriate manufacturers.

C.2 GUIDELINES FOR PATENTABLE WORKS

C.2.a University-Employee Invention/Patent Agreement

All newly-employed personnel who may be expected to conduct research
of any kind shall be required to sign an Invention/Patent Agreement. Employees
already in the service as of the issuance of these policies/guidelines shall be
encouraged to sign the aforestated Agreement in anticipation of any invention or
patentable work.

C.2.b Invention Disclosure Form

Whenever any personnel or member of the University staff makes a
discovery or invention, a report of this fact, in the prescribed form known as
Invention Disclosure Report, must be promptly submitted to the Dean of college
or Head of the unit from which the invention originated, who shall immediately
transmit said report to the Patent Committee through the Chairman.

C.2.c Evaluation of Inventions and Discoveries

The Dean of the college or unit where the inventor belongs shall judge on
the relation of the reported discovery or invention to the purpose of any grant or
contract that may be involved. He shall determine whether there is an obligation
to assign rights to such discoveries to the Patent Committee through the
Chairman, which in turn shall submit its recommendations on the matter to the
OVPRD.

C.2.d Patent Committee

The President shall create a Patent Committee to be composed of the following:
1. VPRD or VPAA as Chairman;
2. Dean of the College or unit from which the invention originated, as
Member;
3. Legal Officer , as Member; and
4. At least two (2) faculty members to be appointed, on a case to case basis,
with knowledgeable expertise in their field, who will be in a position to
determine the patentability of the work(s), as members.

The Patent Committee shall perform the following functions:

1. Evaluate inventions and discoveries for patentability as well as scientific
merit and practical application;
 2. Determine the patents and related rights or equities held by the University,
the inventor and/or other third parties in the invention or discovery;
3. Submit recommendations as to the patentability of the discovery or
inventions to the OVPRD through the Dean of the unit concerned;
4. Carry out such other related duties as may from time to time be assigned
by the President; and
5. Does other jobs as maybe assigned by the President.

C.2.e Deed of Assignment Form

The inventor shall execute a Deed of Agreement Form when assignment
of any right to the patent is proper.

The inventor shall cooperate and assist in all phases of patent application.

C.3 Secretariat of the Copyright and Patent Committees

The President shall provide a Secretariat with at least two full-time staff members
for the Copyright and Patent Committees, which shall:

1. Assist the faculty, staff and students of the college in preparing the required
documents for the registration of copyrightable and patentable work(s);
2. Upon the direction of the Copyright and Patent Committees, conduct market
studies as often as necessary to determine the possibilities of works that have
already been produced and copyrighted and/or patented. This shall include the
identification of clients, patrons or sponsors who are willing to finance and/or
assist in the production, marketing and utilization of the copyrighted and/or
patented work(s);
3. Prepare an inventory of finished works in the University;
4. If funds warrant, the RDEC shall publish, produce, and commercialize the
copyrighted/patented works of the creator. Otherwise, the VPRD, through the
Copyright and Patent Committee, shall exert every effort to deal with reputable
publishing houses and appropriate manufacturers.
5. The following aspects may be directed by the OVPRD:
a. Production, marketing and utilization of the copyrighted and/or patented
work(s);
b. Arrangement for and directing the distribution thereof to those entities
thereto;
c. The collection and proper disbursement of royalties and fees in connection
with copyrighted and/or patented work;
d. Sharing of income shall be determined by the Copyright and Patent
Committee as stated in R.A. 8293; and
e. Perform such other functions as may be assigned by the President, the
VPRD or the Committee concerned.
D. OFFICE OF THE VICE PRESIDENT FOR RESEARCH AND
DEVELOPMENT (OVPRD)

The OVPRD shall perform the following functions:

1. Formulate the policies, standards, guidelines, rules and regulations governing
copyrightable and patentable works on a system level;
2. Assist the University President in the formulation of additional incentives to
encourage the production of the intellectual property, patentable inventions,
designs, utility models and discoveries;
3. Assist the University President in the establishment of trust funds or revolving
funds in the system and campus levels to finance the production, marketing
and utilization of copyrightable and patentable works;
4. Coordinate and monitor the copyrighting and patenting of intellectual works
and inventions;
5. Coordinate and monitor the production, marketing and utilization of
copyrightable and patentable works; and
6. Perform such other functions as may be assigned by the University President.

The OVPRD, with the assistance of the Office of Legal Services of the
University, shall be responsible for registration of copyrightable and patentable works
with the proper government offices, namely: the National Library for copyright
registration, and the Philippine Patent Office for patent applications.

E. INITIAL FUNDING FOR REGISTRATION EXPENSES PRIOR TO

GENERATION OF REVENUE /INCOME

All expenses incurred relative to the registration of copyrightable and patentable

works, such as filing fees and attorneys fee, prior to the generation of revenue/income
therefrom, shall be charged against the income of the University from where said work
originated.

The University shall provide a separate budgetary allocation from income and
subsequently years thereafter, until such time that the income generated from
copyrightable and patentable works are sufficient to finance expenses in connection with
the implementation of this proposal.
 CHAPTER VI

AWARDS AND RECOGNITION

Incentives

Incentives for faculty engaged in research or extension may be in the form of

honorarium or load release. For faculty who wishes to opt for the honorarium, he/she
should satisfy the minimum teaching load of 18 units inclusive of administrative load.
Policies on the rate of honorarium shall be based on existing DBM/DOST
circulars/policies. In case the faculty will choose the load release, the credit will depend
on the type of involvement or magnitude of responsibility the faculty is undertaking
(Table 1).

Table 1. Load release of faculty researcher/extensionist by type of involvement.

Type of Research/ Activity Credit
Extension Involvement
Coordination of two or more projects under the 3
program
Coordination of two or more studies under the 3
Program Leader program
Actual implementation of a study under the 3
project
Total 9
Coordination of the studies under the project 3
Project Leader Implementation of a component study under the 3
project
Total 6

Implementation of one study/activity 3

Study/Activity Leader under the project
Total 3

College Research and Extension Coordinators

The Research and Extension Coordinators shall be selected from among the
faculty of the College. The Dean, Research Director and Extension Director shall make
the nominations and to be recommended by the VPRD to the President.

The College Research/Extension Coordinator shall be coordinating at least one approved

project for him/her to avail load release of 6 units otherwise, he/she is entitled to a load
release of 3 units only.

The Dean, through the Research/Extension Coordinator, shall monitor the

research/extension activities and shall see to it that the faculty submits quarterly reports.
The same reports shall be endorsed by the research/extension coordinator to the office of
the Director(s) of Research/Extension.
Functions of Research Coordinators

The following are the duties and responsibilities of research coordinators:

1) Serve as extension of the function of the Dean in the research activities of
the college;
2) Supervise the proper implementation of the research activities of the
college;
3) Plan and implement research programs in the college in coordination with
the Research Division;
4) Conduct regular evaluation and monitoring of faculty research projects;
5) Establish linkages with research agencies and institutions;
6) Link the Research Agenda of the University to the college especially in
the conduct of the Special Problems/Theses/Feasibility Studies;
7) Submit annual accomplishment report and other reports to the Research
Division;
8) Spearhead in the conduct of Research In-house Reviews in the College;
9) Lead in the formulation of College Research Agenda; and
10) Do related work as may be delegated by the Research Director in close
coordination with the Dean.

Functions of Extension Coordinators

The following are the duties and responsibilities of extension coordinators:

1. Coordinate with the Director of Extension Division on matters related to
extension programs;
2. Prepare and implement extension programs of the college;
3. Monitor and evaluate all extension programs of different agencies and
institutions;
4. Establish linkages on extension programs of different agencies and
institutions;
5. Take charge of publication of articles, journals, newsletters and other
professional publications related to extension activities of the college;
6. Submit quarterly reports as well as other reports related to extension, which
the Director of Extension may require; and
7. Act on matters as may be delegated by the Dean.

Use of Research and Extension Income

All income accruing from research/extension outputs shall be treated as income

and will be used to fund research/extension-related activities within the concerned unit.

Research and Extension Personnel Insurance

Research and Extension personnel who are engaged in research and extension
activities in difficult and dangerous areas (e.g., areas that are strife-torn and/or difficult to
travel) or those whose lives are directly exposed to work conditions which are harmful to
health or may cause death shall be covered by an insurance whose worth is based on the
provisions in the Accounting and Auditing Manual for Research Operations (AAMRO).

A faculty with an on-going research/extension activity shall be classified under

vacation-sick leave status for him/her to continuously perform his/her duties.

Honoraria

Honoraria are granted to those whose proposals have passed thorough evaluation
and approved for implementation. To qualify for an honorarium, the faculty must first
meet the required minimum teaching load of 18 units, including designations, and must
be issued special order by the University President. The research/extension director
reserves the right to recommend to the University Research and Extension Council the
disallowance of honoraria if the researcher/extensionist fails to effectively implement the
research/extension targets/objectives even after having been given due consideration.

The Research/Extension and Development Division shall provide honoraria to

researchers/extensionist whose research/extension projects MOOE are supported by
outside/external agency. This serves as a counterpart of the University in case the agency
does not shoulder the honoraria component of the project. A MOA is required before
honoraria can be granted.

Honoraria are released subject to the existing provisions/guidelines from the

government. Latest DOST Memorandum Circular concerning honoraria is found in
Appendix H.

Research and Extension Presidential Award

The University shall give the following annual awards (the criteria for the awards
are found in Appendix H)
1. Outstanding University Researcher P 5,000.00 plus plaque
2. Outstanding University Extensionist P 5,000.00 plus plaque
3. Outstanding Research Coordinator P 5,000.00 plus plaque
4. Outstanding Extension Coordinator P 5,000.00 plus plaque
5. Special Award Plaque

In the event that any of the first four awards categories is received three times by
the same individual he/she will be declared a Hall of Famer, thus, can no longer vie for
the same award within 5 years.

Publication Award

Any research and extension output published in an international and national

refereed journal shall be awarded Twenty Thousand Pesos (P 20,000.00) and Ten
Thousand Pesos (P 10,000.00), respectively, plus plaque of recognition.
 CHAPTER VII

RDE LINKAGES AND OTHER GUIDELINES

RDE ACTIVITY WITH PRIVATE COMPANIES AND NON-GOVERNMENT

ORGANIZATIONS

Any research, consultancy and/or extension activity that a private

company/organization wishes to link with a faculty or group of faculty in the University
or vice versa, should be classified as extension activity of the faculty. No such activity,
however, shall be allowed without a MOA between the private party and the University.
University policy on the use of its facilities shall apply in cases where said facilities are
needed for the activity.

STUDENTS THESIS ASSISTANCE

Students conducting University-funded research projects shall be given assistance
as per approved by the Board of Regents. However, a students thesis must be within the
project headed by the faculty. The project is one that is duly-approved by the University.
A research contract has to be forged between the student and the University.

FINDERS FEE
Any faculty or group of faculty, who has sought research grant from an outside
donor, shall be given incentive in a form of finders fee using the following scheme:

1. Above 5 million
First release: PhP 7,000.00 when the proponent has been
requested by the funding agency to submit a detailed proposal.
Second release: PhP 13,000.00 after a MOA shall have been executed
between the head of the funding agency and the University President.

2. 1 million to < 5 million

First release: PhP 5,000.00 when the proponent has been requested by the
funding agency to submit a detailed proposal.
Second release: PhP 10,000.00 after a MOA shall have been executed
between the head of the funding agency and the University President.

3. 100 Thousand < 1 million

First release: PhP 3,000.00 when the proponent has been requested by the
funding agency to submit a detailed proposal.
Second release: PhP 7,000.00 after a MOA shall have been executed
between the head of the funding agency and the University President.

The finders fee shall be awarded by the University.

 REFERENCES

CMU Research and Extension Manual

Libero, Felix, Ph.D. How to Write Proposal some Practical Guidelines. (1996). 3rd Ed.
College of Agriculture Publications Office, Laguna: University of Los Baos.

MSU-IIT Research and Extension Manual

RA No. 8293 known as The Intellectual Property Code of the Philippines

RA No. 8439. Magna Carta for Scientists, Engineers, Researchers and Other Science and
Technology Personnel in Government.

The Accounting and Auditing Manual for Research Operations

The UPLB Research Manual (2002). Laguna: University of the Philippines at Los Baos.

The USeP Research Manual. (2001). Davao City. University of Southeastern Philippines.
APPENDIX A

Terminal Report Format

I. A. Project Title
B. Funding Source
C. Amount of Funding
D. Implementing Agency
E. Duration of the Project
F. Project Leader/Researcher
G. Collaborator (if any)
H. Personnel/Project Staff

II. Abstract

III. Rationale/Objectives

IV. Brief Review of Literature

V. Methodology

VI. Results & Discussion/Findings

VII. Summary, Conclusion, Recommendation

VIII. References
 APPENDIX B

USEP-Research Division
QUARTERLY PROGRESS/ACCOMPLISHMENT RERPOT

For the Period: Yr: ______ Qtr: _______ (from ____ to ____)
(to be submitted by the researcher within one week after the quarter has ended)

(1) PROGRAM TITLE :

(2) PROJECT TITLE :
(3) COORDIDNATOR :
(4) COOPERATING AGENCY:
(5) COLLEGE :

Target Actual
Activities for Accomplishment (8) Percentage of Accomplishment (9) Project Expenditures (10) Remarks
The Period for the Period
(Relate to
Work Plan)
For the Period Cumulative
(from start)

I certify, on my honor, to the correctness of the above information.

Attested: Approved:

_______________ _______________ ________________ ___________________ __________________

Study Leader/Date Project Leader/Date Program Leader/Date Research Coordinator/Date Research Director/Date
APPENDIX C

CAPSULE/DETAILED RESEARCH PROPOSAL FORMAT

I. Program/Project Title

II. Proponent(s)
College/Unit:

III. Significance of the Project/Study

The current need of the country that the proposal intends to address
Supports/compliments the national/regional R and D Programs
The proposal can justify the resources to be invested with the consideration of the
potential benefits to be derived
The likely impact of the information/technology to be generated on the current
body of knowledge, the target beneficiaries or other stakeholders (rural farm
households; industry; commodity/sector or region and the country/national
economy).
Shows how the output be utilized and be disseminated

IV. Objectives

Adequate enough to address the problem stated

Clear as to what the proposal intends to achieve
Attainable within the time frame and resources indicated

V. Review of Literature

Exhaustive enough to cover related research activities conducted in the last 10

years.
The state of the art of the current technology/information from which the project
proposal will take off
Indicate any related technology which is protected by any of the intellectual
property rights scheme (e.g. patent, trade mark, copyright, etc)

VI. Analytical Framework/Methodology

The proposal is guided by the analytical framework

All relevant variables to be measured/evaluated are included in the methodology
The proposed methodology must provide adequate answers to the research
objectives (Annex 4.1)
The project must produce measurable output and their set of indicators and their
values must be defined
Appropriate experimental layout, procedures and design
 Indicate how the data required by the set of indicators be obtained. State the
specific sources of data and frequency of data collection

VII. Expected Outputs:

To what extent will such technologies/information eliminate/mitigate or prevent

the identified problem from producing damages?
In what way will the proposed research project generated products, information,
process, or service of national and international recognition?
What are the specific products, processes, services, information or technologies
which the project is expected to produce?
How do they compare with existing technologies/knowledge?
What are the expected social, economic and other benefits to be generated? How
long will it take before we can realize some of its expected outputs?
Are the expected results gender sensitive?

VIII. Workplan

The identified activities must be consistent with the objectives and expected
outputs
The activities identified should lead to the attainment of the expected outputs

IX. Budget

It is reasonable and appropriate in terms of what the project intends to accomplish

It is consistent with the proposed workplan
Must indicate counterpart funds if available
The line-item expenditures consistent with existing allowable rates
APPENDIX D

GUIDELINES/CRITERIA FOR THE SELECTION

OF OUTSTANDING RESEARCHER

I. QUALIFICATIONS:

1. The candidate must be nominated by at least two faculties from his/her

college/unit with concurrence by the Dean.
2. He/she must be a permanent faculty.

II. CRITERIA:

A.As a Researcher 10 points

B.Presentor of a Research Paper 20 points
C.Award 15 points
D.Linkages (Funding) 10 points
E.Impact 10 points
F.Publication of Research output/s 20 points
G.Patented/Copy-Righted Invention & Creative Work 5 points
H.Publication Cited in Refereed Journals 10 points
TOTAL 100 points
=============-================================================

Details of the Criteria

A. As a Researcher 10 points
a) program leader 10 pts
b) project leader 8 pts
c) study leader 6 pts
d) project staff 2 pt
Supporting Documents: Special Order, MOA for externally funded projects

B Presentor of a Research Paper 20 pts

a) international 20 pts
b) national 15 pts
c) regional 10 pts
d) local 5 pts
Supporting Documents: Certificate of Appreciation as presentor and a
copy of the paper presented

C. Award 15 points
a) international 15 pts
b) national 10 pts
c) regional 5 pts
 d) local 2 pts
Supporting documents: Plaque/Certificate of Recognition
D. Linkages 10 points
a) international 10 pts
b) national 7 pts
c) regional 4 pts
d) local 2 pts
Supporting Documents: MOA/MOU

E. Impact 10 points
a) international 10 pts
b) national 7 pts
c) regional 4 pts
d) local 2 pts
Supporting Documents: Any proof/evidence of adoption/utilization of
technology or information

F. Publication of Research output/s 20 points

a) international 20 pts
b) national 15 pts
c) regional 10 pts
d) local 5 pts
Supporting Document: Articles published in Scientific journals/books with
ISSN or ISBN

G. Patented/Copy-Righted Invention & Creative Work 5 points

a) international 5 pts
b) National 3 pts
Supporting Document: Patent/copyright

H. Publication Cited in Refereed Journals/Books 10 points

a) international 10 pts
b) national 7 pts
c) regional 4 pts
d) local 2 pts
Supporting Document: Copy of the published article where the research is
cited

III. COMMITTEE MEMBERS

The selection committee will be composed of the following:

Chairman: VPRD
Members: Research Director
Extension Director
Dean (1)
 The committee reserves the right to validate supporting documents.

IV. DEADLINE FOR SUBMISSION OF ENTRIES

The Deadline for submission of entries will be on the fourth week of every
October.

V. AWARD

1. Recognition which will be given during the celebration of the University

Foundation: a plaque and cash prize worth 5,000.00

2. Awardee should earn a minimum of 80 points in order to qualify for the

award.

VI. COVERAGE OF THE AWARD

The coverage of the award shall be within the last three Calendar Years

VII. EXCLUSION

1. The three-year coverage is only applicable to candidates who wish to vie for
the award the first time. However, if the candidate has already won the award,
he is no longer allowed to submit documents considered when he won the
award.
2. An awardee who has already won the award three times is no longer qualified
to vie for the search in the next five years.
APPENDIX E

CRITERIA FOR THE SELECTION OF OUTSTANDING

RESEARCH COORDINATOR

I. GUIDELINES/QUALIFICATIONS:

1. Must have a Special Order from the President

2. Must have served as Research Coordinator in the college/unit for at least
one year
3. The candidate shall submit photocopies of documents but will show
original to support any claim.

II. CRITERIA:

A. College/Unit output generated 40 pts

B. Resources generated and mobilized for R&D 10 pts
C. Linkages Forged through MOA/MOU 15 pts
D. Human Resources Development and Management 15 pts
E. Innovations and new system/initiatives introduced that
enhanced the effectiveness of the college/unit 10 pts
F. Researches Disseminated and utilized by concerned clients 10 pts

TOTAL 100pts

Details of the Criteria

A. College/Unit output generated (40 pts)

1) Number of researches conducted/completed by the college/unit (10 pts)
a) 9- above 10pts
b) 5-8 7pts
c) 1-4 4pts4
Supporting Documents: terminal reports, Special Order

2) Number of ongoing studies/projects in the campus/college (6 pts)

a) 9- above 6pts
b) 5-8 4pts (6pts)
c) 1-4 2pts
Supporting Documents: Special Order, Latest Accomplishment Reports

3) Number of Proposals submitted during agency in-house reviews/planning

workshops (6 pts)
a) 11 above 6pts
b) 6-10 4pts
 c) 1-5 2pts
Supporting Documents: Endorsement by the Dean and concurrence by
the Research Director that proposals have been submitted for agency
in-house review and planning workshop, capsule proposals

4) Number of researches published by faculty in college (8 pts)

a) 7-10 8pts
b) 3-6 6pts
c) 2 4pts
Supporting Documents: Articles published

5) Number of researches published by the research coordinator (10 pts)

a) 5-7 10pts
b) 2-4 7pts
c) 1 4pts
Supporting Document: Articles published

B. Resources generated and mobilized for R&D (10 pts)

a) Fund sourced for R&D

a) from external fund donor (15 points per undertaking)
b) from within the university (10 points per undertaking)

Supporting Documents: MOA, Official Communication indicating

initiative and approval by heads of agencies/units for such
undertaking

b) Facilities/equipment coordinated/collaborated that were used for

college/unit R&D activity
a) with other agencies (5 points per collaboration)
b) within colleges/units in the university (3 points per collaboration)

Supporting Documents: MOA, Official Communication indicating

initiative and approval by heads of agencies/units

C. Linkages Forged through MOA/MOU (15 pts)

a. Research undertaking with international agencies

(15 points per MOU/MOA)
b. Research undertaking with national/Regional agencies
(10 points per MOA/MOU)
c. Research undertaking with LGUs and other local agencies
(5 points per MOA/MOU)
d. Research undertaking involving other units/campus in the University
(3 points per undertaking)
 Supporting Documents: MOU for items a to c; Official Communication
indicating initiative and approval by heads of agencies/units for item

D. Human Resources Development and Management (15 points)

1) Number of research-related trainings attended by faculty in the

college/unit (6 pts)
a) 5 up 6 points
b) 3-4 4 points
c) 1-2 2 points
Supporting Documents: Certificate of attendance

2) Seminar Workshop/Reviews conducted/organized (9 pts)

a) 5 up 9 points
b) 3-4 6 points
c) 1-2 3 points
Supporting Documents: Any official communication that supports
initiative and approval of activities conducted.

E. Innovations and new system/initiatives introduced that enhanced the

effectiveness of the college/unit (10 points)
a) 3 up 10 points
b) 2 8 points
c) 1 6 points
Supporting documents: Policy initiated and approved by either the BOR,
President, Dean, of any new system/activity that enhanced the
effectiveness of the college unit

F. Researches Disseminated and utilized by concerned clients (10 pts)

a) 3 up 10 points
b) 2 8 points
c) 1 6 points
Supporting Documents:
1. Any form of communication that indicates actual conduct of research
dissemination
2. Citation/recognition from clients that the research results have been
used

III. COMMITTEE MEMBERS

The selection committee will be composed of the following:

Chairman: VPRD
Members: Research Director
Extension Director
Dean (1)
 The committee reserves the right to validate supporting documents.

IV. DEADLINE OF SUBMISSION OF ENTRIES

The Deadline for submission of entries will be on the fourth week of every
October.

V. AWARD

1. Recognition which will be given during the celebration of the university

Foundation a plaque and cash prize worth 5,000.00
2. Awardee should earn a minimum of 80 points in order to qualify for the
award.

VI. COVERAGE OF THE AWARD

The coverage of the award shall be within the last three Calendar Years

VII. EXCLUSION

1. The three-year coverage is only applicable to candidates who wish to vie for
the award the first time. However, if the candidate has already won the award,
he is no longer allowed to submit documents considered when he won the
award.
2. An awardee who has already won the award three times is no longer qualified
to vie for the search in the next five years.
APPENDIX F
CRITERIA FOR THE SELECTION OF
OUTSTANDING EXTENSIONIST

I. QUALIFICATIONS:

1. The candidate must be nominated by at least two faculties from his/her college/unit
with concurrence by the Dean.
2. He/she must be a permanent faculty.

II. CRITERIA:

A.
Extension activities conducted 35 points
B.
Materials developed 20 points
C.
Linkages established 15 points
D.
Recognition 15 points
E.
Expert Servicew/Consultancies 15 points
TOTAL 100 points
=============================================================
Details of the Criteria

A. Extension Activities Conducted

(either facilitator, coordinator or resource person) 35 points

1. Information Dissemination (max 20 pts)

a. barangay/purok (3 pts/activity)
b. municipal (5 pts/activity)
c. provincial (10 pts/activity)
d. regional/national (15 pts/activity)

2. Training (max 20 pts)

a. barangay/purok (3 pts/training)
b. municipal (5 pts/training)
c. provincial (10 pts/training)
d. regional/national (15 pts/training)

3. Techno-demo/Techno Promotion (max 20 pts)

a. barangay/purok (3 pts/demo)
b. municipal (5 pts/demo)
c. provincial (10 pts/demo)
d. regional/national (15 pts/demo)

4. Exhibit (max 20 pts)

a. barangay/purok (3 pts/exhibit)
b. municipal (5 pts/exhibit)
c. provincial (10 pts/exhibit)
d. regional/national (15 pts/exhibit)
 5. Participation in Environment Sanitation (max 20 pts)
a. barangay/purok (3 pts/activity)
b. municipal (5 pts/activity)
c. provincial (10 pts/activity)
d. regional/national (15 pts/activity)
Supporting documents:
1. training design/program
2. attendance sheets
3. proof of Techno-demo such as type of technology, certification, etc.
4. proof of Exhibits such as certification, program, etc.
5. Certification of participation in envi sanitation from concerned agency
6. Duly approved Action Plan.
7. Accomplishment Report

B. Materials Developed 20 points

3 pts/IEC
Supporting documents: IEC materials

C. Linkages Established (MOA/MOU entered/forged with USEP 15 points

1. LGU (5pts/linkage)
2. NGO/Civic Organization (5 pts/linkage)
3. Government Agency (5 pts/linkage)
4. SUC/Private Schools (5 pts/linkage)
Supporting documents: Copies of MOA/MOU signed by concerned contracting parties

D. Recognition from the Institution/LGU/Community Served 15 points

1. barangay level (3 pts each)
2. municipal level (5 pts each)
3. provincial level (8 pts each)
4. regional/national level (10 pts each)
Supporting documents: Certificate of Recognition issued by institution/LGU/NGO

E. Expert Services/Consultancies 15 points

1. barangay/purok (2 pts/activity)
2. municipal (3 pts/activity)
3. provincial (5 pts/activity)
4. regional/national (5 pts/activity)
Supporting documents:
1. MOA, MOU, TOR or certification of consultancy from recipients
2. Approval to do consulting works from USEP President
3. Action Plan and/ or Program/Training Design

III. COMMITTEE MEMBERS

The selection committee will be composed of the following:

Chairman: VPRD
Members: Extension Director
Research Director
Dean (1)
DEADLINE OF SUBMISSION OF ENTRIES

The deadline for submission of entries will be on the fourth week of every October.

V. AWARD

1. Recognition which will be given during the celebration of the University

Foundation: a plaque and cash prize worth 5,000.00

2. Awardee should earn a minimum of 80 points in order to qualify for the

award.

VI. COVERAGE OF THE AWARD

The coverage of the award shall be within the last three Calendar Years

VII. EXCLUSION

1. The three-year coverage is only applicable to candidates who wish to vie for
the award the first time. However, if the candidate has already won the award,
he is no longer allowed to submit documents considered when he won the
award.
2. An awardee who has already won the award three times is no longer qualified
to vie for the search in the next five years.
APPENDIX G
CRITERIA FOR THE SELECTION OF
OUTSTANDING EXTENSION COORDINATOR

I. GUIDELINES/QUALIFICATIONS:

1. Must have a Special Order from the President

2. Must have served as Research Coordinator in the college/unit for at least one
year
3. The candidate shall submit photocopies of documents but will show original
to support any claim.

II. CRITERIA:

A. Extension activities by faculty 20 pts

B. Extension activities by Extension Coordinator 10 pts
C. Linkages established 20 pts
D. Materials developed by faculty 15 pts
E. Materials developed by Extension Coordinator 10 pts
F. Recognition 20 pts
G. Expert services/consultancies 5 pts
TOTAL 100pts

Details of the Criteria

A. Number of extension activities conducted by the faculty

in his/her college 20 points

1. Information Dissemination (max 10 pts)

e. barangay/purok (1 pt/activity)
f. municipal (3 pts/activity)
g. provincial (5 pts/activity)
h. regional/national (8 pts/activity)

2. Training (max 10 pts)

i. barangay/purok (1 pts/training)
j. municipal (3 pts/training)
k. provincial (5 pts/training)
l. regional/national (8 pts/training)

3. Techno-demo/Techno Promotion (max 10 pts)

m. barangay/purok (1 pts/demo)
n. municipal (3 pts/demo)
o. provincial (5 pts/demo)
p. regional/national (8 pts/demo)
 4. Exhibit (max 10 pts)
q. barangay/purok (1 pts/exhibit)
r. municipal (3 pts/exhibit)
s. provincial (5 pts/exhibit)
t. regional/national (8 pts/exhibit)

5. Participation in Environment Sanitation (max 10 pts)

u. barangay/purok (1 pts/activity)
v. municipal (3 pts/activity)
w. provincial (5 pts/activity)
x. regional/national (8 pts/activity)
Supporting documents:
1. training design/program
2. attendance sheets
3. proof of Techno-demo such as type of technology, certification, etc.
4. proof of Exhibits such as certification, program, etc.
5. Certification of participation in envi sanitation from concerned agency
6. Duly approved Action Plan.
7. Accomplishment Report

B. Extension Activities Conducted by the College Coordinator

(either facilitator, coordinator or resource person) 10 points

1. Information Dissemination (max 5 pts)

a. barangay/purok (1 pt/activity)
b. municipal (3 pts/activity)
c. provincial (5 pts/activity)
d. regional/national (8 pts/activity)

2. Training (max 5 pts)

a. barangay/purok (1 pts/training)
b. municipal (3 pts/training)
c. provincial (5 pts/training)
d. regional/national (8 pts/training)

3. Techno-demo/Techno Promotion (max 5 pts)

i. barangay/purok (1 pts/demo)
ii. municipal (3 pts/demo)
iii. provincial (5 pts/demo)
iv. regional/national (8 pts/demo)

4. Exhibit (max 5 pts)

a. barangay/purok (1 pts/exhibit)
b. municipal (3 pts/exhibit)
c. provincial (5 pts/exhibit)
d. regional/national (8 pts/exhibit)

5. Participation in Environment Sanitation (max 5 pts)

a. barangay/purok (1 pts/activity)
b. municipal (3 pts/activity)
 c. provincial (5 pts/activity)
d. regional/national (8 pts/activity)
Supporting documents: Same as Criteria A

C. Linkages Established (MOA/MOU entered/forged with USEP 20 points

1. LGU (5pts/linkage)
2. NGO/Civic Organization (5 pts/linkage)
3. Government Agency (5 pts/linkage)
4. SUC/Private Schools (5 pts/linkage)
Supporting documents: copies of MOA/MOU signed by concerned contracting parties

D. Materials Developed by the faculty of his/her college 15 points

3 pts/faculty/IEC
Supporting documents: IEC materials

E. Materials Developed by the College Extension Coordinator 10 points

3 pts/IEC
Supporting documents: IEC materials

F. Recognition from the Institution/LGU/Community served by virtue of the intervention

introduced by the faculty in the college and the Extension Coordinator) 20 points
1. barangay level (3 pts each)
2. municipal level (5 pts each)
3. provincial level (8 pts each)
4. regional/national level (10 pts each)
Supporting documents: Certificate of Recognition issued by institution/LGU/NGO

G. Expert Services/Consultancies conducted by faculty

in the collge and the Extension Coordinator 5 points

1. barangay/purok (1 pts/faculty/activity)
2. municipal (3 pts/faculty/activity)
3. provincial (5 pts/faculty/activity)
4. regional/national (8 pts/faculty/activity)
Supporting documents
1. MOA, MOU, TOR or certification of consultancy from recipients
2. Approval to do consulting works from USEP President
3. Action Plan and/ or Program/Training Design

III. COMMITTEE MEMBERS

The selection committee will be composed of the following:

Chairman: VPRD
Members: Extension Director
Research Director
Dean (1)

DEADLINE OF SUBMISSION OF ENTRIES

The deadline for submission of entries will be on the fourth week of every October.
V. AWARD

1. Recognition which will be given during the celebration of the University

Foundation: a plaque and cash prize worth 5,000.00

2. Awardee should earn a minimum of 80 points in order to qualify for the award.

VI. COVERAGE OF THE AWARD

The coverage of the award shall be within the last three Calendar Years

VII. EXCLUSION

1. The three-year coverage is only applicable to candidates who wish to vie

for the award the first time. However, if the candidate has already won the
award, he is no longer allowed to submit documents considered when he
won the award.
2. An awardee who has already won the award three times is no longer
qualified to vie for the search in the next five years.
APPENDIX H
APPENDIX I
GUIDELINES IN THE PREPARATION OF A CAPSULE/DETAILED
RESEARCH PROPOSAL

TITLE

1. Must be focused, specific, ten to fifteen words, definitive of the program theme
where the research concern/area belongs.
2. Must not be overly specific. Too long title may become uninteresting. The
specifics can be handled by the study titles.

PROPONENT

This includes the research leader, starting from the project to study leader, field of
expertise and the institution where they belong regardless of whether the research is to be
implemented at an inter-unit/multi-agency level.

RATIONALE

1. Gives the logical grounds or justification for doing such research or investing of
this problem area.
2. If the nature of the research is developmental or applied, promising results of
researches obtained in other areas/countries are used as justifying grounds.
3. For basic research, improvement on the present technologies, methodologies must
be properly outlined and the comparative advantage to the existing knowledge
emphasized.
4. It should also be able to point out the effect of not doing or investing on this
research area/problem

OBJECTIVES

Objectives are usually stated in quantifiable way. Since it is an aim or a goal it

should be able to emphasize the difference between the present and the target level.

OUTPUT

When we talk of research undertaking or activity, output would refer to the result
of the activity. Output can be a technology or information.

GAINS
 This refers to the improvement or advances expected out of the research activity in
relation to the major objective/thrust of the funding institution/agency or the university.

DURATION

Number months or years the project is going to be implemented.

MILESTONE

This refers to significant events/ stages/steps in the conduct of research to attain

objectives.

USERS

Persons/entities who will benefit from the output or going to utilize disseminate the
technology/information

COLLABORATORS

Entities or institutions involved in the conduct of the research project the role of which
is properly defined in the Terms of Reference

PROJECT COST

To include personal, MOOE, (equipment and capital outlay)

SYSTEMS LINKAGES

It illustrates what will be the proportion of research management and implementation

on each year that will described how the research objectives will be met.

FINANCING PLAN

Specifies which agency/unit takes cake of a certain portion of the budget.

APPENDIX J

INTELLECTUAL PROPERTY CODE OF THE PHILIPPINES

[Republic Act No. 8293]

AN ACT PRESCRIBING THE INTELLECTUAL PROPERTY CODE

AND ESTABLISHING THE INTELLECTUAL PROPERTY OFFICE,
PROVIDING FOR ITS POWERS AND FUNCTIONS, AND FOR OTHER PURPOSES

PART I
THE INTELLECTUAL PROPERTY OFFICE

Section 1.Title. - This Act shall be known as the "Intellectual Property Code of the
Philippines."

Sec. 2. Declaration of State Policy. - The State recognizes that an effective intellectual
and industrial property system is vital to the development of domestic and creative
activity, facilitates transfer of technology, attracts foreign investments, and ensures
market access for our products. It shall protect and secure the exclusive rights of
scientists, inventors, artists and other gifted citizens to their intellectual property and
creations, particularly when beneficial to the people, for such periods as provided in this
Act.

The use of intellectual property bears a social function. To this end, the State shall
promote the diffusion of knowledge and information for the promotion of national
development and progress and the common good.

It is also the policy of the State to streamline administrative procedures of registering

patents, trademarks and copyright, to liberalize the registration on the transfer of
technology, and to enhance the enforcement of intellectual property rights in the
Philippines. (n)

Sec. 3. International Conventions and Reciprocity. - Any person who is a national or who
is domiciled or has a real and effective industrial establishment in a country which is a
party to any convention, treaty or agreement relating to intellectual property rights or the
repression of unfair competition, to which the Philippines is also a party, or extends
reciprocal rights to nationals of the Philippines by law, shall be entitled to benefits to the
extent necessary to give effect to any provision of such convention, treaty or reciprocal
law, in addition to the rights to which any owner of an intellectual property right is
otherwise entitled by this Act. (n)

Sec. 4. Definitions.-

4.1. The term "intellectual property rights" consists of:

[a] Copyright and Related Rights;

[b] Trademarks and Service Marks;

 [c] Geographic Indications;

[d] Industrial Designs;

[e] Patents;

[f] Layout-Designs (Topographies) of Integrated Circuits; and

[g] Protection of Undisclosed Information (n) [TRIPS].

4.2. The term "technology transfer arrangements" refers to contracts or

agreements involving the
transfer of systematic knowledge for the manufacture of a product, the
application of a
process, or rendering of a service including management contracts; and the
transfer,
assignment or licensing of all forms of intellectual property rights, including
licensing of
computer software except computer software developed for mass market.

4.3. The term "Office" refers to the Intellectual Property Office created by this
Act.

4.4 The term "IPO Gazette" refers to the gazette published by the Office under
this Act. (n)

Sec. 5. Functions of the Intellectual Property Office (IPO). -

5.1. To administer and implement the State policies declared in this Act, there is
hereby created
the Intellectual Property Office (IPO) which shall have the following
functions:
[a] Examine applications for grant of letters patent for inventions and
register utility models
and industrial designs;

[b] Examine applications for the registration of marks, geographic

indication, integrated
circuits;

[c] Register technology transfer arrangements and settle disputes

involving technology
transfer payments covered by the provisions of Part II, Chapter IX on
Voluntary
Licensing and develop and implement strategies to promote and
facilitate technology
transfer;
 [d] Promote the use of patent information as a tool for technology
development;

[e] Publish regularly in its own publication the patents, marks, utility
models and industrial
designs, issued and approved, and the technology transfer
arrangements registered;

[f] Administratively adjudicate contested proceedings affecting

intellectual property rights;
and

[g] Coordinate with other government agencies and the private sector
efforts to formulate
and implement plans and policies to strengthen the protection of
intellectual property
rights in the country.

5.2. The Office shall have custody of all records, books, drawings, specifications,
documents, and
other papers and things relating to intellectual property rights applications
filed with the Office.
(n)
Sec. 6. The Organizational Structure of the IPO. - 6.1. The Office shall be headed by a
Director General who shall be assisted by two (2) Deputies Director General.
6.2. The Office shall be divided into six (6) Bureaus, each of which shall be
headed by a Director
and assisted by an Assistant Director. These Bureaus are:

[a] The Bureau of Patents;

[b] The Bureau of Trademarks;

[c] The Bureau of Legal Affairs;

[d] The Documentation, Information and Technology Transfer Bureau;

[e] The Management Information System and EDP Bureau; and

[f] The Administrative, Financial and Personnel Services Bureau.

6.3. The Director General, Deputies Director General, Directors and Assistant
Directors shall be
appointed by the President, and the other officers and employees of the
Office by the
Secretary of Trade and Industry, conformably with and under the Civil
Service Law. (n)
Sec. 7. The Director General and Deputies Director General. -
7.1. Functions. - The Director General shall exercise the following powers and
functions:
[a] Manage and direct all functions and activities of the Office, including
the promulgation of rules and regulations to implement the objectives,
policies, plans, programs and projects of the Office: Provided, That in the
exercise of the authority to propose policies and standards in relation to
the following: (1) the effective, efficient, and economical operations of the
Office requiring statutory enactment; (2) coordination with other agencies
of government in relation to the enforcement of intellectual property
rights; (3) the recognition of attorneys, agents, or other persons
representing applicants or other parties before the Office; and (4) the
establishment of fees for the filing and processing of an application for a
patent, utility model or industrial design or mark or a collective mark,
geographic indication and other marks of ownership, and for all other
services performed and materials furnished by the Office, the Director
General shall be subject to the supervision of the Secretary of Trade and
Industry;

[b] Exercise exclusive appellate jurisdiction over all decisions rendered by

the Director of Legal Affairs, the Director of Patents, the Director of
Trademarks, and the Director of the Documentation, Information and
Technology Transfer Bureau. The decisions of the Director General in the
exercise of his appellate jurisdiction in respect of the decisions of the
Director of Patents, and the Director of Trademarks shall be appealable to
the Court of Appeals in accordance with the Rules of Court; and those in
respect of the decisions of the Director of Documentation, Information and
Technology Transfer Bureau shall be appealable to the Secretary of Trade
and Industry; and

[c] Exercise original jurisdiction to resolve disputes relating to the terms

of a license involving the authors right to public performance or other
communication of his work. The decisions of the Director General in these
cases shall be appealable to the Secretary of Trade and Industry.

7.2. Qualifications.- The Director General and the Deputies Director General
must be natural
born citizens of the Philippines, at least thirty-five (35) years of age on the
day of their
appointment, holders of a college degree, and of proven competence,
integrity, probity and
independence: Provided, That the Director General and at least one (1)
Deputy Director
General shall be members of the Philippine Bar who have engaged in the
practice of law for
at least ten (10) years: Provided further, That in the selection of the Director
 General and the
Deputies Director General, consideration shall be given to such
qualifications as would result,
as far as practicable, in the balanced representation in the Directorate
General of the various
fields of intellectual property.
7.3. Term of Office. - The Director General and the Deputies Director General
shall be appointed
by the President for a term of five (5) years and shall be eligible for
reappointment only once:
Provided, That the first Director General shall have a first term of seven (7)
years.
Appointment to any vacancy shall be only for the unexpired term of the
predecessor.
7.4. The Office of the Director General. - The Office of the Director General
shall consist of the
Director General and the Deputies Director General, their immediate staff
and such Offices
and Services that the Director General will set up to support directly the
Office of the Director
General. (n)
Sec. 8. The Bureau of Patents. - The Bureau of Patents shall have the following
functions:
8.1 Search and examination of patent applications and the grant of patents;
8.2 Registration of utility models, industrial designs, and integrated circuits; and
8.3 Conduct studies and researches in the field of patents in order to assist the
Director General
in formulating policies on the administration and examination of patents. (n)
Sec. 9. The Bureau of Trademarks. - The Bureau of Trademarks shall have the following
functions:
9.1 Search and examination of the applications for the registration of marks,
geographic
indications and other marks of ownership and the issuance of the certificates
of registration;
and
9.2 Conduct studies and researches in the field of trademarks in order to assist
the Director
General in formulating policies on the administration and examination of
trademarks. (n)
Sec. 10. The Bureau of Legal Affairs. - The Bureau of Legal Affairs shall have the
following functions:
10.1. Hear and decide opposition to the application for registration of marks;
cancellation of trademarks; subject to the provisions of Section 64, cancellation of
patents, utility models, and industrial designs; and petitions for compulsory
licensing of patents;
10.2. (a) Exercise original jurisdiction in administrative complaints for violations
of laws involving intellectual property rights: Provided, That its jurisdiction is
limited to complaints where the total damages claimed are not less than Two
hundred thousand pesos (P200,000): Provided, further, That availment of the
provisional remedies may be granted in accordance with the Rules of Court. The
Director of Legal Affairs shall have the power to hold and punish for contempt all
those who disregard orders or writs issued in the course of the proceedings. (n)
(b) After formal investigation, the Director for Legal Affairs may impose one (1)
or more of the following administrative penalties:

(i) The issuance of a cease and desist order which shall specify the acts
that the respondent shall cease and desist from and shall require him to
submit a compliance report within a reasonable time which shall be fixed
in the order;
(ii) The acceptance of a voluntary assurance of compliance or
discontinuance as may be imposed. Such voluntary assurance may include
one or more of the following:
(1) An assurance to comply with the provisions of the intellectual
property law violated;
(2) An assurance to refrain from engaging in unlawful and unfair
acts and practices subject of the formal investigation;
(3) An assurance to recall, replace, repair, or refund the money
value of defective goods distributed in commerce; and
(4) An assurance to reimburse the complainant the expenses and
costs incurred in prosecuting the case in the Bureau of Legal
Affairs.
The Director of Legal Affairs may also require the respondent to
submit periodic compliance reports and file a bond to guarantee
compliance of his undertaking;
(iii) The condemnation or seizure of products which are subject of the
offense. The goods seized hereunder shall be disposed of in such manner
as may be deemed appropriate by the Director of Legal Affairs, such as by
sale, donation to distressed local governments or to charitable or relief
institutions, exportation, recycling into other goods, or any combination
thereof, under such guidelines as he may provide;
(iv) The forfeiture of paraphernalia and all real and personal properties
which have been used in the commission of the offense;
(v) The imposition of administrative fines in such amount as deemed
reasonable by the Director of Legal Affairs, which shall in no case be less
than Five thousand pesos (P5,000) nor more than One hundred fifty
thousand pesos (P150,000). In addition, an additional fine of not more
than One thousand pesos (P1,000) shall be imposed for each day of
continuing violation;
(vi) The cancellation of any permit, license, authority, or registration
which may have been granted by the Office, or the suspension of the
 validity thereof for such period of time as the Director of Legal Affairs
may deem reasonable which shall not exceed one (1) year;
(vii) The withholding of any permit, license, authority, or registration
which is being secured by the respondent from the Office;
(viii) The assessment of damages;
(ix) Censure; and
(x) Other analogous penalties or sanctions. (Secs. 6, 7, 8, and 9, Executive Order
No. 913 [1983]a)
10.3. The Director General may by Regulations establish the procedure to govern
the implementation of this Section. (n)
Sec. 11. The Documentation, Information and Technology Transfer Bureau. - The
Documentation, Information and Technology Transfer Bureau shall have the following
functions:
11.1. Support the search and examination activities of the Office through the
following activities:
(a) Maintain and upkeep classification systems whether they be national or
international such as the International Patent Classification (IPC) system;
(b) Provide advisory services for the determination of search patterns;
(c) Maintain search files and search rooms and reference libraries; and
(d) Adapt and package industrial property information.
11.2. Establish networks or intermediaries or regional representatives;
11.3. Educate the public and build awareness on intellectual property through the
conduct of seminars and lectures, and other similar activities;
11.4. Establish working relations with research and development institutions as
well as with local and international intellectual property professional groups and
the like;
11.5 Perform state-of-the-art searches;
11.6 Promote the use of patent information as an effective tool to facilitate the
development of technology in the country;
11.7. Provide technical, advisory, and other services relating to the licensing and
promotion of technology, and carry out an efficient and effective program for
technology transfer; and
11.8. Register technology transfer arrangements, and settle disputes involving
technology transfer payments. (n)
Sec. 12. The Management Information Services and EDP Bureau. - The Management
Information Services and EDP Bureau shall:
12.1. Conduct automation planning, research and development, testing of systems,
contracts with firms, contracting, purchase and maintenance of equipment, design
and maintenance of systems, user consultation, and the like; and
12.2. Provide management information support and service to the Office. (n)
Sec. 13. The Administrative, Financial and Human Resource Development Service
Bureau. -
13.1. The Administrative Service shall:
(a) Provide services relative to procurement and allocation of supplies and
equipment, transportation, messengerial work, cashiering, payment of
salaries and other Office's obligations, office maintenance, proper safety
and security, and other utility services; and comply with government
 regulatory requirements in the areas of performance appraisal,
compensation and benefits, employment records and reports;
(b) Receive all applications filed with the Office and collect fees therefor;
and
(c) Publish patent applications and grants, trademark applications, and
registration of marks, industrial designs, utility models, geographic
indication, and lay-out designs of integrated circuits registrations.
13.2. The Patent and Trademark Administration Services shall perform the
following functions among others:
(a) Maintain registers of assignments, mergings, licenses, and
bibliographic on patents and trademarks;
(b) Collect maintenance fees, issue certified copies of documents in its
custody and perform similar other activities; and
(c) Hold in custody all the applications filed with the office, and all patent
grants, certificate of registrations issued by the office, and the like.
13.3. The Financial Service shall formulate and manage a financial program to
ensure availability and proper utilization of funds; provide for an effective
monitoring system of the financial operations of the Office; and
13.4. The Human Resource Development Service shall design and implement
human resource development plans and programs for the personnel of the Office;
provide for present and future manpower needs of the organization; maintain high
morale and favorable employee attitudes towards the organization through the
continuing design and implementation of employee development programs. (n)
Sec. 14. Use of Intellectual Property Rights Fees by the IPO. -
14.1. For a more effective and expeditious implementation of this Act, the
Director General shall be authorized to retain, without need of a separate approval
from any government agency, and subject only to the existing accounting and
auditing rules and regulations, all the fees, fines, royalties and other charges,
collected by the Office under this Act and the other laws that the Office will be
mandated to administer, for use in its operations, like upgrading of its facilities,
equipment outlay, human resource development, and the acquisition of the
appropriate office space, among others, to improve the delivery of its services to
the public. This amount, which shall be in addition to the Office's annual budget,
shall be deposited and maintained in a separate account or fund, which may be
used or disbursed directly by the Director General.
14.2. After five (5) years from the coming into force of this Act, the Director
General shall, subject to the approval of the Secretary of Trade and Industry,
determine if the fees and charges mentioned in Subsection 14.1 hereof that the
Office shall collect are sufficient to meet its budgetary requirements. If so, it shall
retain all the fees and charges it shall collect under the same conditions indicated
in said Subsection 14.1 but shall forthwith, cease to receive any funds from the
annual budget of the National Government; if not, the provisions of said
Subsection 14.1 shall continue to apply until such time when the Director
General, subject to the approval of the Secretary of Trade and Industry, certifies
that the above-stated fees and charges the Office shall collect are enough to fund
its operations. (n)
Sec. 15. Special Technical and Scientific Assistance. - The Director General is
empowered to obtain the assistance of technical, scientific or other qualified officers and
employees of other departments, bureaus, offices, agencies and instrumentalities of the
Government, including corporations owned, controlled or operated by the Government,
when deemed necessary in the consideration of any matter submitted to the Office
relative to the enforcement of the provisions of this Act. (Sec. 3, R. A. No. 165a)

Sec. 16. Seal of Office. - The Office shall have a seal, the form and design of which shall
be approved by the Director General. (Sec. 4, R. A. No. 165a)

Sec. 17. Publication of Laws and Regulations. - The Director General shall cause to be
printed and make available for distribution, pamphlet copies of this Act, other pertinent
laws, executive orders and information circulars relating to matters within the jurisdiction
of the Office. (Sec. 5, R. A. No. 165a)

Sec. 18. The IPO Gazette. - All matters required to be published under this Act shall be
published in the Office's own publication to be known as the IPO Gazette. (n)

Sec. 19. Disqualification of Officers and Employees of the Office. - All officers and
employees of the Office shall not apply or act as an attorney or patent agent of an
application for a grant of patent, for the registration of a utility model, industrial design or
mark nor acquire, except by hereditary succession, any patent or utility model, design
registration, or mark or any right, title or interest therein during their employment and for
one (1) year thereafter. (Sec. 77, R. A. No. 165a)
APPENDIX K

MAGNA CARTA FOR SCIENTISTS, ENGINEERS, RESEARCHERS AND

OTHER SCIENCE AND TECHNOLOGY PERSONNEL IN GOVERNMENT
(Republic Act No. 8439)

Implementing Rules and Regulations

BACKGROUND

Pursuant to Section 22 of Republic Act No. (R.A.) 8439, otherwise known as the Magna Carta for
Scientists, Engineers, Researchers and Other Science and Technology Personnel in Government
approved on December 22, 1997 which took effect on January 20, 1998, the following Rules and
Regulations are hereby adopted to effectively implement the provisions of this Act.

Rule I Coverage

Sec 1. Declaration of Policy

The State recognizes science and technology as an essential element for the attainment of national
development and progress. To attain this objective, it is hereby declared the policy of the State to
provide for a program of human resources development in science and technology to achieve and
maintain the necessary reservoir of talent and manpower that will sustain its drive for total
science and technology mastery.
The State shall establish, promote and support programs leading to the realization of this
objective, such as science and engineering scholarship programs, improvement of the quality of
science and engineering education, popularization of science, culture and provision of incentives
for pursuing careers in science and technology.

Sec 2. Definition of Terms

2.1. Department
Department refers to the Department of Science and Technology (DOST) created under
Executive Order No. 128

2.2. Scientific and Technological Activities

Scientific and Technological Activities refer to all systematic activities, which are closely
concerned with the generation, advancement, dissemination and application of scientific and
technical knowledge in all fields of natural science and technology.

2.3. STA are classified into three broad groups, namely:

2.3.1. Research and Experimental Development (R&D)

Research and Experimental Development us any systematic and creative work undertaken in the
physical, natural, mathematical and applied sciences by using methods in order to increase the
stock of knowledge and the use of this knowledge in these fields to devise new applications;

2.3.2. Scientific and Technological Services (STS)

Scientific and Technological services refer to activities in support of scientific research and
development, dissemination and application of scientific and technical knowledge (i.e. library,
information and museum services; geological and hydrological surveys; meteorological and
seismological observations; compilation of routine statistics; testing, standardization and quality
control; counseling of clients; patenting and licensing; engineering and technical services); and

2.3.3. Scientific and Technical Education and Training (STET) Scientific and technical education
and training refer to all activities comprising higher education and training leading ton a
university degree, post graduate and further training, organized life-long training for scientists
and engineers, and specialized non-university higher education.

Sec 3. Scientific and Technical (S&T) Personnel

3.1. Scientific and technical personnel shall include S&T managers, supervisors and planners;
members of the Scientific Career System; scientists, engineers and researchers; and DOST
technicians and DOST S&T-related personnel.

Sec 4. Classification of S & T Personnel

S & T personnel are classified in the following categories:

4.1. S & T Managers, Supervisors, and Planners

4.1.1. S&T managers, supervisors and planners are those who are graduate degree holders or have
at least ten (10) years of managerial experience or are performing executive, planning and policy-
making functions to effectively carry out STA related activities as defined in Section 3 of
Republic Act No. 8439.

4.1.1.1 S&T Managers are those who are employed in R&D institutions or other organizations
conducting STA and are occupying the positions of Secretary, Undersecretary, Assistant
Secretary, Executive Director, Deputy Executive Director, Director, Regional Director, Deputy
Director, Department Service Chief and other officers of equivalent rank as my be identified by
the Career Executive Service Board. These positions are with salary grades 27 to 31.

4.1.1.2 S&T Supervisors are those who are employed in R&D institutions or other organizations
conducting STA and are occupying the positions of Associate Scientist, Assistant Scientist,
Division Chief, Supervising Science Research Specialist and other positions of equivalent rank.
These positions are with salary grades 22 to 26.

4.1.1.3 S&T Planners are those who are employed in R&D institutions or other organizations
conducting STA and are occupying the position of Planning Office IV Project Development
Officer IV and are essentially discharging supervisory functions. These positions are with salary
grade 22.

4.2. Members of the Scientific Career System

4.2.1. Members of the Scientific Career System are those who have been conferred the rank of
scientist in the Scientific Career System pursuant to Executive Order Nos. 784 and901 dated 17
March 1982 and 19 July 1983, respectively.

4.3. Scientists, Engineers and Researchers

4.3.1. Scientists, engineers and researchers are those who are at least undergraduate degree
holders in any of the natural science and engineering courses and are involved in research and
development or other scientific and technological activities. Natural sciences shall include, but
not limited to astronomy, bacteriology, biochemistry, biology, botany, chemistry, computer
sciences, entomology, geology, geophysics, mathematics, meteorology, mineralogy, nutrition,
oceanography, physical geography, physics and zoology.

4.3.2. Scientist, engineers, and researchers are individuals who, as above mentioned, spend at
least fifty percent (50%) of their official time in the conception and creation of new technological
principles, products, processes, methods and systems.

4.4. DOST Technicians and DOST S&T-Related Personnel

4.4.1. DOST technicians are persons who control, operate and maintain technical and scientific
equipment, and perform other related tasks connected with research and the application of
concepts and operational methods in the fields of engineering and natural sciences. They have
acquired their technical competencies either through baccalaureate degree program or on-the-job
learning or completion of relevant technical-vocational education and training.

4.4.2. DOST S&T-related personnel refer only to all other DOST employees who do not qualify
under the preceding Sub-sections

4.1, 4.2 and 4.3, and are providing support to S&T personnel and are performing functions such
as, but not limited to secretarial, clerical, financial, maintenance work, science teaching and
training, information dissemination, and other scientific and technological services.

4.4.3. DOST technicians and DOST S&T-related personnel must possess any of the following
qualifications:

4.4.3.1. Have at least 12 units in natural science, engineering and other related courses; or

4.4.3.2. Completed any appropriate technical training which enhances his/her skill from an
institution, including the DOST Technology Training Center, duly recognized by the DOST
Secretary. Provided further, that the DOST Secretary shall determine the appropriate training
requirements for each position.

Sec 5. Exemption from the Attrition Law and Civil Service Rule on Nepotism

5.1. Appointment of S&T personnel to positions of research assistant and upwards shall not be
covered by the Attrition Law and Civil Service Commission (CSC) rule on nepotism in
consideration of the high technical nature of these positions.

Rule II Benefits

Sec 1. Who Are Entitled

1.1. S&T personnel, who occupy plantilla positions whether permanent or temporary, on full-time
or part-time basis, and contractual or emergency positions charged to lump sum appropriations
now exiting or hereafter created provided that they conform with the provisions of Section 5 of
Republic Act 8439, shall be entitled to the benefits provided hereunder.
Sec 2. Types of Benefits

2.1. Notwithstanding Section 12 of Republic Act No. 6758, science and technology personnel
defined under Section 5 of R.A. 8439, shall receive the following benefits: honorarium, share of
royalties, hazard allowance, subsistence allowance, laundry allowance, housing and quarters
allowance, longevity pay and medical examination

Sec 3. Honorarium

3.1. S&T personnel who rendered services beyond the established regular workload, whose broad
and superior knowledge, expertise or professional standing in a specific field contributes to
productivity and innovativeness shall be entitled to receive honorarium subject to rules set by the
Department.

3.2. Honorarium is a form of remuneration for services rendered beyond the regular workload of
the following S&T personnel:

3.2.1. Those whose broad superior knowledge, expertise or professional standing in a specific
field contributes significantly to S&T and R&D;

3.2.2. Those whose services in management, administration or support capacities contribute to the
effective operation or management of S&T and R&D project;

3.2.3. Those assigned to special projects of inter-agency/department, inter-committee nature or

which are not among the regular functions of the personnel/agency; and

3.2.4. Those requested to organize, speak, lecture or act as resource person in seminars,
workshops, conferences, symposia, training, and classroom sessions.

3.3. Other Provisions

3.3.1. Funds for payment of honorarium shall be included in the appropriations of funding
agency.

3.3.2. For foreign-funded projects, the provisions pertinent to payments of honorarium shall be
followed as provided in the Memorandum of Agreement (MOA)/Memorandum of Understanding
(MOU) between the parties concerned. In cases where the honorarium rates are not specified,
those prescribed in these rules shall apply.

3.3.3. The rates of payment of honorarium to DOST personnel and DOST-assisted projects shall
be subject to the approval of the Secretary of the Department upon the recommendation of the of
the agency head.

3.3.4. Honorarium rates for non-DOST funded S&T projects shall follow the rates formulated by
the funding agency but, as much as possible, shall be in harmony with DOST rates.

Sec 4. Share of Royalties

4.1. Share in royalties shall be defined as a share in the proceeds of the royalty payments arising
from patents, copyrights and other intellectual property rights.
4.2. Intellectual property rights as presently defined in the Intellectual
Property Code shall consist of the following:

4.2.1. Copyrights and related rights;

4.2.2. Servicemarks;

4.2.3. Geographic indications;

4.2.4. Industrial designs;

4.2.5. Patents;

4.2.6. Layout designs of integrated circuits;

4.2.7. Protection of undisclosed information; and

4.2.8. Innovations of inventions and utility models.

4.3. S&T personnel shall be entitled to receive share in royalties subject to the guidelines of the
Department. The share in royalties shall be on a sixty (60%) to forty (40%) percent basis in favor
Government and the personnel involved in the technology/activity, which has been produced or
undertaken during the regular performance of their functions.

4.4. If the researcher works with a private company and a program of activities to be undertaken
has been mutually agreed upon by the parties concerned, any royalty arising therefore shall be
divided according to the equity share in the research project.

Sec 5. Hazard Allowance

5.1. S&T personnel involved in hazardous undertakings or assigned in hazardous workplaces,

shall be paid hazard allowances ranging from ten (10%) to thirty (30%) percent of their monthly
basic salary depending on the nature and extent of the hazard involved.

5.2. Hazard allowance is a compensation premium, which is generally paid to officials and
employees who are exposed to hazards, directly or indirectly, because of the nature and/or
location of their work.

5.3. Hazardous areas cover any of the following:

5.3.1. Difficult/distressed or hardship posts characterized by distance, inconvenience of travel due

to bad roads and conditions of the terrain, isolation, inaccessibility and extreme weather
conditions; remote/depressed areas;

5.3.2. Work areas that are high danger zones to natural hazards;

5.3.3. Work areas posing risks or danger to health and safety due to
direct unavoidable exposure to radiation, communicable/contagious/infectious diseases;
combustible and explosive, dangerous and toxic chemicals and biologicals; harmful physical
substances and devices and other environmental hazards;
5.3.4. Work areas posing risks and danger to health and safety due to unavoidable exposure to
institutions of mental health; prime camps and industrial workshops;

5.3.5. Strife-torn or embattled areas where conflict exists;

5.3.6. Work areas declared as under a state of calamity or emergency;

5.3.7. Laboratories and clinics; and

5.3.8. Such other areas that may be considered critical.

5.4. Other Provisions

5.4.1. Funds for the payment of hazard allowance shall be included in the appropriations of the
agency.

5.4.2. Payment shall be based on the actual presence in the hazardous areas. The entitlement to
the hazard allowance shall be coterminus with the assignment of the personnel in the hazardous
work areas. The agency head shall determine personnel entitle to this allowance.

5.4.3. Personnel who are entitled to receive hazard allowance under existing laws, special laws,
charters or enabling acts may opt to avail of the hazard allowance under Republic Act No. 8439.

5.4.4. Personnel who are on vacation, sick, maternity or study leave are excluded from receiving
the hazard allowance. However, personnel who conduct laboratory research related to the course,
as duly certified by the school authority and not covered by an insurance shall be entitled to this
allowance.

5.4.5. Personnel who are on secondment or who are on full time detail to another agency are not
entitled to the hazard allowance except when the personnel of the agency to which he/she is
seconded or on detail are entitled to such an allowance.

5.4.6. Personnel who are attending seminars, workshops, trainings or similar activities are
likewise not entitled to hazard allowance except when said activities are held in areas which are
certified to be hazardous.

5.4.7. The declaration of hazardous work areas shall be duly certified by the Secretary of the
Department upon recommendation of the agency head. The Secretary may refer to the appropriate
agency authorized under the Department of Budget and Management (DBM) National Budget
Circular No. 451 dated March 14, 19996 for the necessary certification.

5.4.8. Personnel who are directly exposed to hazardous work areas shall be entitled to a hazard
allowance of not less than thirty percent (30%) of their monthly basic salary.

5.4.9. Personnel who are indirectly exposed to hazardous work areas shall be entitled to the
allowance of not less than twenty percent (20%) of their monthly basic salary. Indirectly exposed
are those who have frequent interaction with personnel of agencies who are directly exposed to
hazards.
5.4.10. Personnel providing services in all other concerned areas are entitled to hazard allowance
based on their actual presence to the hazardous area. A half-day service shall entitle the personnel
to fifty percent (50%) of the daily hazard allowance while service of less than four (4) hours shall
not entitle them to the allowance. In instances where the personnel are providing service in strife-
torn or embattled areas, they shall be entitled to one hundred percent (100%) of the daily hazard
allowance; provided that they continuously remain in the said areas.

Sec 6. Subsistence Allowance

6.1. S&T personnel are entitled to a full subsistence allowance equivalent to three (3) meals a day
or One Hundred Fifty Pesos (P150.00) per day.

6.2. In case an employee renders half day service, he is entitled to fifty percent (50%) or Seventy-
Five Pesos (P75.00). Services of less than four (4) hours shall not entitle the employee to a
subsistence allowance. The payment of this allowance shall be based on the actual presence of the
S&T personnel either in the office or on official business.

6.3. Those assigned outside of their regular work stations are entitled to per diem as provided by
Executive Order No. 248 dated May 25, 1995 Prescribing Rules and Regulation and New Rates
of Allowances for Official Local and Foreign Travels of Government Personnel, instead of
subsistence allowance. Likewise, the stipends of scholars shall be in lieu of subsistence
allowance.

Sec 7. Laundry Allowance

7.1. S&T personnel who wear the prescribed uniform during office hours shall be entitled to a
laundry allowance of Three Hundred Pesos (P300.00) per month. Personnel who are exempted,
under existing regulations, from wearing uniform are also entitled to receive the allowance.

Sec 8. Housing and Quarters Allowance

8.1. Housing and quarters allowance applies to S&T personnel who are on duty beyond office
hours in laboratories, R&D Centers and other government facilities.

8.2. Employees concerned are entitled to free living quarters within government facility,
provided, their residence is outside of fifty (50) kilometer radius from their official station.

8.3. Fees or cost of board and lodging shall be borne by the agencies concerned.

8.4. Availment of housing and quarters allowance is subject to availability of facilities.

Sec 9. Longevity Pay

9.1 A monthly longevity pay equivalent to five (5%) percent of the monthly basic salary shall be
paid to S&T personnel for every five (5) years of continuous and meritorious service as
determined by the Secretary of the Department. Continuous and meritorious service shall mean
service without gap and with a very satisfactory performance rating for the last two (2) semesters
immediately preceding the date of entitlement of the said benefit. During the specific year that the
employee did not perform meritoriously, he shall not be entitled to receive the longevity pay for
that period.
9.2 Payment of longevity pay shall cover the entire S&T government service as defined in the
above provision from his original appointment subject to the approval of the DOST Secretary
upon the recommendation of the Agency Head.

9.3 Longevity pay previously received will be deducted on a staggered basis within a period of
six (6) months.

Sec 10. Medical Examination

10.1. During the tenure of their employment, the S&T personnel shall be given a compulsory free
medical examination once a year and immunization as the case may warrant.

10.2. The medical examination shall include:

10.2.1. Complete physical examination;

10.2.2. Routine laboratory, Chest X-ray and ECG;

10.2.3. Psychometric Examination;

10.2.4. Dental examination; and

10.2.5. Other indicated examination

10.3. S&T personnel shall be entitled to a health insurance package benefits covering the above-
cited services, including from hospital room and board, doctors fee, and other related expenses
based on the insurance package to be adopted by the DOST.

Sec 11. Prohibition Against Diminution and/or Elimination

11.1 .Nothing in this law shall be construed to eliminate or in any way diminish benefits being
enjoyed by S&T personnel at the time of the effectivity of Republic Act No. 8439.

Sec 12. Prohibition Against Double Benefits

12.1. S&T personnel already receiving the same benefits under any other law shall not be allowed
to avail of the benefits under Republic Act No. 8439 unless they submit in writing their intention
to withdraw the benefits already being received and opt for those provided.

Sec 13. Non-DOST S & T Personnel

13.1. S&T personnel not employed by the Department, who are involved in STA may avail of the
benefits under Republic Act No. 8439 upon certification of the Secretary of the Department. Each
department, agency or office concerned shall provide the necessary funds to cover the availment
of benefits.

Rule III Scholarship Grants

Sec 1. Conditions for Scholarship and Grants

1.1. S&T personnel in public and private sectors shall be entitled to avail of scholarship benefits
and grants for pursuing undergraduate, graduate, postgraduate or training courses in accordance
with a Scholarship Program to be implemented by the Department.

1.2. Grantees of the program may study within the Philippines or abroad provided that the
Department shall provide strict measures to ensure their return to the country to render the service
obligation.

1.3. Recipients of undergraduate scholarships shall, after graduation, be required to render service
in the government for the equivalent number of years that they availed of their scholarships.
However, in case where there are no positions in the government, they may be allowed to work in
the private sector.

1.4. Scholarships may be on a full-time or part-time basis and privileges shall include tuition fee,
book allowance, transportation allowance, monthly stipend, dissertation grants, insurance and the
payment of regular salary and other benefits.

Sec 2. Privileges of Government S&T Scholars

2.1. Graduates or grantees of government S&T scholarship programs or trainings shall be given
temporary waiver of CSC eligibilities for at least two (2) years. Likewise, they shall enjoy
preferential access to financial grants from any government agency/financial institution
authorized to extend grants and loans with easy terms for science and technology projects which
are viable and in line with the development thrusts of the country.

2.2. Government scholar graduates and training grantees can be hired in the government service
on a temporary basis for two (2) years while waiting for the release of the results of examinations
of the Civil Service Commission or professional licensure examinations of the Professional
Regulation Commission.

2.3. Availment of grants and loans shall be subject to the following:

2.3.1. The accumulated duration of training availed should be at least six (6) months and in line
with his/her expertise.

2.3.2. Application for grants or loans shall be subject to the evaluation of the DOST and the
government agency/financial institution and shall be used to establish an S & ^ project or to
commercialize technologies.

Rule IV Consultancy Services and Detail to the Private Sector

Sec 1. Consultancy Services

1.1. General Conditions

1.1.1. S&T personnel shall be allowed to render consultancy services to the private sector

1.2. Specific Conditions

1.2.1. S&T personnel who render consultancy services shall have permanent appointment.
Contractual and casual personnel whose salaries are charged to lumpsum appropriation may be
allowed to accept consultancy services on a selective basis as may be determined by the agency
head.

1.2.2. In addition to his regular projects, an S&T personnel shall be allowed to provide
consultancy work in any private for maximum of thirty two (32) hours per month; provided that
he shall only accept a maximum of three (3) projects at any one time.

1.2.3. There shall be full disclosure of the consultancy contract to the mother agency, as governed
by a tripartite contract among the hiring institution, the mother agency and the S&T personnel.

1.2.4. S&T personnel cannot render consultancy services to an institution where they have direct
oversight functions or where they are responsible for the evaluation and screening of projects
funded by a grant from their agency.

1.2.5. The DOST and the Institute/Agency shall have a share of ten (10%) percent of the total
consultancy fee. The accumulated fund shall be considered as a trust receipts pursuant to existing
laws and shall be used to support S&T activities as approved by the agency head. The agencies
may adopt the same policies.

1.2.6. For foreign consultancy, S&T personnel shall be allowed a maximum of two (2) months
per year. In cases of extension, the S&T personnel must file a leave of absence not to exceed one
(1) year inclusive of the two-month period subject to the approval of the agency head.

Sec 2. Detail to Private Sector

2.1. General Conditions

2.1.1. Provisions of existing laws notwithstanding, S&T personnel who are employed on a regular
basis in the government, may be seconded to any private entity where such services are needed,
provided that the duration of such secondment of said personnel will not hamper or adversely
affect the operations of their mother agency; and the head of the agency approves the detail of
secondment.

2.1.2. During the period of such secondment, the salary of the seconded S&T personnel shall be
borne by the private entity. The period of secondment shall be included in computing the length
of service for purposes of retirement. The S&T personnel shall not earn leave credits during the
period of secondment.

2.1.3. Such secondment shall not likewise affect his security is tenure nor result in the loss of
seniority rights.

2.2. Special Conditions

2.2.1. S&T personnel who have rendered at least four (4) years of continuous and actual service
in the institute/agency shall be allowed secondment to a private entity requiring their expertise for
not more than twelve (12) months.

2.2.2. S&T personnel who avail of this arrangement must serve the DOST or concerned agency
for four (4) years after he secondment before another secondment may be granted upon the
recommendation of the agency head and approval of the Secretary of the Department concerned.
2.2.3. During the secondment, the S&T personnel shall receive salary from the private entity
where he/she is on detail. Such personnel shall not be entitled to any benefits provided under
Republic Act No. 8439.

2.2.4. The agreement for secondment shall be covered by a tripartite contract among the S&T
personnel, Secretary of the department concerned and the private entity with full disclosure of the
terms and conditions.

2.2.5. The mother agency shall have a share of minimum of five percent (5%) of the total
compensation received from the private entity.
The accumulated fund shall be considered as trust receipts and shall be used to support S&T
activities as approved by the head of the agency.

2.2.6. In case the grantee opts to continue the secondment, he/she shall have to resign from the
government service provided that he/she has no scholarship/service/financial obligation from the
mother agency. Provided further, that the period of secondment immediately preceding the
resignation shall not be counted in the computation of the number of years of service in the
government.

Rule V Hiring of Retired Scientists and Technical Personnel

Sec 1. Hiring of Retired S&T Personnel

1.1. S&T personnel retired under any existing law, who, in the judgment of the governing board
or head of a research agency, possess technical qualifications and the capability to undertake
specific scientific research activities, may be rehired on contractual basis without refunding the
unexpired portion of the gratuity and accumulated leave benefits received by them from the
government; provided that no qualified science and technology expert is available to undertake
said scientific activities.

1.2. The retired S&T personnel to be hired must be mentally, emotionally and physically fit as
supported by a medical certificate.

Rule VI Science and Technology Awards

Sec 1. S&T Awards

1.1. A Science and Technology Awards Committee shall be established which shall confer
annually the science and technology awards for outstanding achievement/s and excellence and
excellence or original contribution to science and technology. The Committee shall promulgate
guidelines implementing this Section and shall specify the categories of awards to be given and
the amount of financial reward for each category.

1.2. Such committee shall take into consideration the existing awards system being administered
by the various councils and agencies of the DOST.

Rule VII Congressional Commission on Science and Technology

Sec 1. Congressional Commission on Science and Technology

1.1. A Congressional Commission on Science and Technology (S and T
COM) shall be created to review and assess, among others, the state of the Philippine human
resources development in S&T, the state of computerization and information technology in the
Philippine economy and society, and the implementation of Republic Act No. 8439. Such
Congressional review shall be undertaken at least once every five (5) years.
1.2. The Commission shall be composed of five (5) members of the House of Representatives and
five (5) members of the Senate. It shall be co-chaired by the chairperson of the Committee on
Science and Technology of both Houses of Congress.

Rule VIII Special Provisions

Sec 1. Science and Technology Career Systems

1.1. A career system for science and technology personnel in the service of the government,
patterned after the Scientific Career System (CSC), shall be formulated by a committee to be
created by the DOST Secretary in coordination with the Civil Service Commission (CSC) and
such other agencies as may be necessary.

Sec 2. Salary Scale

2.1. The salary scale of S&T personnel to be developed pursuant to Section

6. of R.A.8439 shall, after consultation with the Department of Budget and
Management (DBM) and Civil Service Commission (CSC), and as approved by the President of
the Philippines, take effect on the date of the effectivity of this law.

Sec 3. Highest Basic Salary Upon Retirement

3.1. Upon retirement, the S7T personnel concerned shall be automatically granted one (1) salary
grade higher than his/her current salary grade.

3.2. Retirement benefits shall be computed on the basis of his/her highest salary received.

Sec 4. Human Resource Development Council

4.1. The Human Resource Development Council (HRDC) created under Republic Act. No. 8248
shall formulate the rules and regulations and implement the scholarship programs as provided in
Section 1 of Rule III. The scholarship programs of DOST, its councils and agencies, shall be
submitted to the HRDC.

Rule IX Report of the Secretary

Sec 1. Annual Report

1.1. The Secretary of DOST shall submit to the Congressional Commission on

Science and Technology, an annual report on the status of implementation of
this Magna Carta.

Rule X Date of Effectivity

Sec 1. Effectivity
1.1. These rules and regulations shall take effect fifteen days after publication
APPENDIX L

Republic of the Philippines

UNIVERSITY OF SOUTHEASTERN PHILIPPINES
Research Division
Bo. Obrero, Davao City
(082) 227-5887, Fx 225-3378

PROGRAM STATUS MONITORING

ACCOMPLISHMENT REPORT

_________Quarter, Year__________

Council: University of Southeastern Philippines

Obrero, Davao City

TITLE TARGET PERCENTAGE PROJECT REMARKS

FOR ACCOMPLISHMENT EXPENDITURE
QUARTER
QUARTER ANNUAL
TARGET TARGET

I certify on my honor to the correctness of the above information.

Noted:

Research Coordinator Approved:

Research Director
APPENDIX M

WORK & FINANCIAL PLAN FORMAT

University of Southeastern Philippines Research Division

PROGRA ACTIVITI AGENCY/ EXPECTE OUTC TARGET/ Budget Requirements (Pesos)

MS ES PERSON D OME TIMETAB
STRATEGI Resea College/ Exter (Php)
RESPONSIB OUTPUT LE
ES rch/E Unit nal Total
LE
xtensi Fund
on s
APPENDIX N
Name
Prof. Larry Aceres
Dr. Ireneo P. Amplayo
Engr. Renato Arancon
Dr. Ceferino Bastian
For. Marvin Bariancela
Dr. Purisima Bayacag
Dr. Porferio Bunda
Dr. Veneancia Bunda
Engr. Ruben Cantones
Dr. Agustina Tan-Cruz
Dr. Edgardo Cruz
Prof. Belly Dionio
Prof. Reynaldo Duran
Dr. Dominador Eduliantes
Dr. Carlito Edullantes
Dr. Rec Eguia
Prof. Francis Freiri
Mr. Reynaldo D. Garcia
Dr. Irvin C. Generalao
Dr. Lourdes C. Generalao
Prof. Cecirly Gonzales
Prof. Maryluzvilla Importante
Prof. Ronald Jayectin
Dr. Amparo B. Lacandula
Dr. Cesar M. Limbaga
Dr. Herbert Mamura
Prof. Carmelita Martinez
Prof. Edgardo Magtibay
Engr. Roger Montepio
Prof. Juse Lyn Pabuaya
Dr. Gay Nacita M. Padilla
Engr. Dalia M. Reconalla
Dr. Evelia R. Sator
Dr. Virgie P. Ugay
Dr. Daniel T. Ugay, Jr.
Dr. Shirley S. Villanueva
Dr. Hilario Wong, Jr.
Engr. Fulton U. Yap
USEP RESEARCHERS
Area of Specialization
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Agricultural Engineering
Energy Utilization
Animal Science
Forestry
Agricultural Economics
Crop Science
Animal Science
Civil Engineering
Applied Statistics, Econometrics, Mathematics
Time Series Analysis, Applied Econometrics, Modeling
and Regional Planning
Plant Pathology
Agronomy, Crop Science
Animal Science
Horticulture
Development Research
Biology, GIS
Statistics and Social Research
Agricultural Engineering, Statistics, Watershed
Hydrology, GIS, Time Series Analysis, Environment
Resource Management, Water Resource Engineering
Plant Pathology, Entomology
Crop Protection
Educational Management
Forestry
Animal Science
Soil Science
Biology
Environmental Management
Forestry
Agricultural Engineering
Biology
Soil Science
Agricultural Engineering, Water Resource Planning
Socio-economics
Plant Pathology
Animal Science
Veterinary Medicine
Phylogeny and Evolution
Energy Utilization
Copyright 2006 ISSN 1908-4307