DOST-GIA Funding and

Research Priority Sectors

MARIA TERESA B. DE GUZMAN
Special Projects Division

GRANTS-IN-AID (GIA)
PROGRAM

Purpose of Grant
The Grants-In-Aid Program of
the Department of Science and
Technology (DOST-GIA) aims to
harness the countrys scientific and
technological capabilities by
providing financial grants to S&T
programs/projects to spur a
sustainable economic growth for the
country.

Purpose of Grant
It encourages participation of various
sectors in S&T particularly in Research
and Development, Technology Transfer,
Human Resources Development, S&T
Promotion, Advocacy and Linkages

Classification of S&T Programs

Funded
1. Generation of Knowledge and Technologies (R&D
and Research Capacity Building)
a. Fundamental/Basic Research
b. Applied Research
c. Experimental Development
d. Pilot Testing

Classification of S&T Programs

Funded
2. Diffusion of Knowledge and Technologies
(Technology Transfer, Technology Receptor Capacity
Building, and Innovation Capacity-Building
a.

Technology needs assessment and technology sourcing

b. Enterprise Development
c.

Consultancy and Technical Advisory Services

d. Technology Matching Service

e.

Preparation of Technology commercialization plan, acquisition

of equipment and provision of technology systems

Classification of S&T Programs

Funded
3. S&T Human Resource Development
Involves a wide range of interventions from the provision of
high-quality formal education at all levels, elementary to
university level, to specialized training, with a focus on young
scientists and engineers, and the development, attraction and
retention of the countrys S&T talents

4. Provision of Quality S&T Services

Services that strengthen the S&T infrastructure to develop
and upgrade national, regional, and local S&T capacities of
institutions and centers of excellence

Selection Criteria
Eligibility of Proponent
a)

Any Filipino public or private entity with proven

competence may apply for GIA support of DOST and
its grant-giving units, provided that projects are
based in the Philippines and for the benefit of the
Filipinos.

b)

R&D program/project leader shall possess, at

least, an MS degree in a relevant field.

Checklist

National Program
Good Science
Counterpart Fund
Head Endorsement
Complete Documentation

Application Requirements
- Complete project proposal following DOST formats
and Gantt chart of activities
- Detailed Line Item Budget including counterpart
contribution by other stakeholders
- Endorsement of the Head of the proponents
institution;
- CV of proponents and other researchers/
implementers;
- SEC registration, if any;
- Endorsement of the designated evaluating agency/
committee;
- If applicable, terminal and audited reports of
previous DOST-GIA funded projects.

Entitlements of a Researcher/
Proponent
A. Honoraria
Item

Amount

Program Leader

P10,200 to P14,600 per mo.

(for 1-5 projects or more)

Project Leader

P8,800 per mo.

Project Staff (L1 to L3)

P4,800 to P7,500 per mo.

Entitlement of a Researcher/
Proponent
B. Indirect Cost

- 7.5% Administrative cost for the implementing

agency from the total program/project cost less
equipment outlay

Capital outlay shall not be allowed under

the GIA Program of DOST

Grant of equipment is given in support to the

implementation of the project and shall be used
exclusively for the program/project

DOST-GIA Funding/Collaboration
Windows

DOST- GIA

ASTHRDP

DOST Sectoral
Councils

ERDT

TECHNICOM

Balik Scientist
Program

SET-UP

DOST JSPS

DOST-GIA
DOST 6 Priority
R&D Agenda
Biotechnology

Information and
Communication
Technology

Alternative
Energy

Health and
Health Products

Environment

Agriculture

DOST-GIA
PROJECTS FUNDED

Research and Development

Integrated R&D Program on Biofuels

- Jatropha curcas
- Sweet Sorghum
Phil. National Telehealth Service Program
Environment
- Disaster Mitigation
- Bioremediation
Vehicle Research and Testing Project

DOST-GIA

R&D (cont.)

Tropical Fruits & Coconut Biotechnology

Program

Program for the Devt. of GAAS-Based Low

Noise Amplifiers (LNAs)

S&T Anchor Program for Banana

S&T Program for VCO

S&T Program on Packaging

DOST Sectoral Councils and Advisory

Body
Basic Research

NRCP

Marine & Aquatic

PCAMRD

Agriculture

PCARRD

Advanced S&T

PCASTRD

Health

PCHRD

Industry & Energy

PCIERD

nap@dost.gov.ph
pcamrd@laguna.net
p.faylon@pcarrd.dost.gov.ph
rve@dost.gov.ph
jcm@pchrd.dost.gov.ph
raul@dost.gov.ph

Technology Innovation for

Commercialization (TECHNICOM) Program

Provide support to fast

track the transfer and

commercialization
of research results

Small Enterprise Technology Upgrading

Program (SET-UP)

Assist SMEs adopt

technological innovations to
improve their operations and
boost their productivity and
competitiveness

Accelerated Science and Technology Human

Resource Development Program(ASTHRDP)

Program Components

University
Based

Thesis/
Dissertation
Grant

Research
Enrichment
Program

Engineering Research and Development for

Technology (ERDT)

DOST

CHED

UP College of
Engineering

S&T
Experts

Faculty
Development

Engineering
Experts

POOL OF HIGH LEVEL S&T

HUMAN RESOURCES

Balik Scientist Program (BSP)

Established in 1975 to encourage
foreign-based Filipino scientists
and technicians to return and/or
reside in the Philippines, and share
their expertise in order to accelerate
the scientific, agro-industrial and
economic development of the
country.

Types of Program
Long-term
Short-term

Department of Science and Technology

Japan Society for the Promotion of Science
(DOST-JSPS)
Some Programs:
Core University Program (CUP)

CUP Coastal Marine Science UP MSI/ Tokyo Univ.

CUP Fisheries Science UPV/ Kagoshima Univ.
Environmental Engineering UPD CE/ TITech

ASIAN CORE PROGRAM

JSPS RONPAKU
Joint Research Program

DOST-GIA Funding Guidelines

(A.O. 004 Series of 2008)

Technical Monitoring
Submission of Technical Reports

Semi-annual progress report in three copies (1 e-copy)

within a month after first semester

Annual technical report in 3 copies (1 e-copy) within

two (2) months after each year of implementation,
together with lists of personnel involved and equipment
purchased

Technical terminal report in 3 copies (1 e-copy) not

later than 3 months after completion

Periodic field evaluation conducted by the

Funding/Monitoring Agency

Technical Monitoring
Programs/Projects for Extension

Requests for extension together with the latest financial

report, proposed line-item budget, Gantt Chart of
activities, technical report and justification for extension

Requests are evaluated and endorsed by the Monitoring

Agency for approval of Funding Agency

Maximum extension is 1 year beyond the project

duration unless allowed by the Funding Agency

Extension not be allowed to a continuing project unless

it is on its terminal/last year of implementation

Technical Monitoring
Continuing Assistance and Additional Funding

Request endorsed/submitted to the Funding/ Monitoring

Agency within 3 months before the end of each
implementation year

Request accompanied by a technical report that covers at

least the first 3 quarters of the period covered, annual
financial report, plan of work, proposed LIB (including
cash program)

Reviewed and endorsed by the Monitoring Agency with an

appraisal/assessment report

Modification in Project Title/Objectives/Activities

Request with valid justification(s) and endorsement from

Monitoring Agency for approval of the Funding Agency

Technical Monitoring
Deferment/Suspension/Change in Implementation
Date

Request acted upon by the Undersecretary

concerned or the Monitoring Agency subject to valid
justifications and appropriate advice to DOST

Deferred project due to delay in fund release shall

resume within 3 months after fund release; hence,
request should be made at the latest 2 months after
fund release

Financial Monitoring

Fund released shall be available for use according to the

approved line-item budget within the approved duration
to include the approved extension

Shall not be used for money market placement, time

deposit and other forms of investment not

Funds shall be deposited in authorized government

depository bank

Financial Monitoring
Budget Reprogramming or Realignment/Creation of Expense
Items

Request shall be made at least 2 months before the end of

the projects current year.

Approving Authorities
Implementing Agencies:
Realignment/transfer of funds within 33% of existing
expense item budget to be augmented under PS, MOOE
and EO.
Monitoring Agencies:
Realignment of more than 33% up to 100% of existing
expense item budget

Financial Monitoring
Approving Authorities

Monitoring Agencies:
Realignment of more than 100% of existing allocated
MOOE expense items, provided that as a result of such
realignment, the total amount of the allocated MOOE
expense item and the proposed budget increase do not
exceed P50,000.00

Any realignment within the indirect cost beyond the

implementing agencys approving authority

Funding Agency:
Budget realignments exceeding 100% of the existing
expense item/s budget and creation of new expense item
Undersecretary concerned for realignments within his/her
approving authority (<P1M grants), beyond this DOSTEXECOM shall approve

Financial Monitoring
Submission of Financial Reports

Financial Reports shall be itemized in accordance with the

approved LIB

Annual Financial Report shall be submitted within 2

months after the end of every year

Terminal Audited Financial Report shall be submitted

within 3 months after the completion of the project

Consolidated FR/AFR shall be submitted within 1 month

after submission of the FR/AFR by the Implementing
Agency

Financial Monitoring
Unexpended Balance and Savings/Interest/Income

All unexpended balance/savings/income and interest, if

any, shall be reported

UB of the previous year shall be deducted from the budget

for the following year

Pending approval/renewal of succeeding years budget, UB

may be requested for use for payment of salaries of staff
and MOOE

UB, income, interest may be requested for use for

continued operation at least 1 month before the expected
date of completion

Financial Monitoring
Unexpended Balance and Savings/Interest/Income

All balances/savings/income/interests shall be reported

and reverted to Funding Agency within 3 months after
completion.

UB of completed or terminated project can be used for

other DOST-approved projects of the concerned agency
provided it is within 2 years of fund effectivity and upon
approval of the funding agency.

Interests and income shall not be used to fund a new

project.

Financial Monitoring
SOPs for Non-Submission of Requirements (Terminal AFR,
technical reports etc.)

1st demand letter will be sent to the Project Leader

within 3 months of project completion;
2nd demand letter will be sent after 4 months of project
completion w/o compliance;
legal process may be instituted against Project Leader
failure to submit requirements after 5 months of project
completion.

New Policies/Forms
M&E Formats/Forms- to be accomplished by monitoring
agencies/councils; developed in order to have uniform M&E
formats/tool
M&E Plan-for newly endorsed proposals; with conforme
of Project Leader; form part of the proposal; shall serve
as reference in the conduct of the project M&E activities
Appraisal/Assessment Form A-for ongoing project
requesting for renewal
Appraisal/Assessment Form B-for completed project
Suspension for Late Renewal- no charging/expenditures at
the end of current year unless renewed during the active
period

New Policies/Forms
COA Pre-audit- necessary prior to issuance of funding
check (release to non-DOST agencies)
New COA requirement- Annual Work Plan to be
submitted by Implementing Agency (Format to be
distributed)

Other Pre-audit attachments: NCA, Approval Letter,

signed LIB, Minutes of Meeting, Annual Progress
Report, Financial Report, MOA, Approved Project
Proposal

New Policies/Forms
ASA/Comprehensive NTA for release to DOST
agencies
Supporting Documents: LOI, MOA/MOI, LIB and
Monthly Cash Program- shall be submitted as a basis
for fund release

Foreign Travel Template-for projects with approved

foreign travel in the LIB; filled up form shall be
approved by the Secretary prior to processing of
travel documents

Template: Request to Use DOST-GIA Project

Funds for Foreign Travel
Purpose of Travel:
Destination/Duration:
Project where travel expenses shall be charged:
Breakdown of Estimated Expenses (airfare and DSA):
Approved Budget for Foreign Travel in the LIB
Less: Previous Expenses
Remaining Balance
Requested by (Personnel/Staff who will undertake the travel):
Printed Name/s
Status of Employment/
Agency/Institution
Position
_____________________
_____________________
________________
_____________________
_____________________
________________
_____________________
_____________________
________________
Endorsed by:
Head of Agency:
_______________________________
Signature over Printed Name
Head of Monitoring Agency: _______________________________
Signature over Printed Name
Date:
Approved by:
Head of the Department/
Funding Agency:

__________________________
Secretary

New Policies
Direct Release Policy- funds shall be released by DOST
directly to Implementing Agency/ies
Implications: MOI issued shall be replaced with
Supplemental MOA among DOST, Monitoring Agency
Implementing Agencies

Mother LIB- shall be supported by individual LIBs

Financial Report (FR)- shall be prepared by each of the
recipient agency; no need for a consolidated FR from
the Monitoring Agency

New Policies
Processing Scheme for the DOST-GIA Programs and Projects

Alignment to R&D Priority Sectors

Priority Sectors

Budget Allocation

R&D for New Industries

30%

R&D to Assist Existing Industries

25%

Disaster Management/Solution to
Problems

25%

Other Priority Areas

20%

Budget allocation should be

tied up to Priority Sectors

New Policies
Processing Scheme for the DOST-GIA Programs and Projects

DOST-GIA Project Proposal Cycle

Deadline for Proposal Submission
September

December

March

June

DOST-EXECOM Deliberation/Approval
January

April

July

October

Program/Project proposals that do not make it to the

set deadline shall be returned to the proponents who
have an option to resubmit in the succeeding cycle

New Policies
Rating System
Urgency and Relevance to the Needs of the Times
and to the Priority Agenda (30%)
Strategic Importance/Resulting Net Benefit (30%)
Capability of the Implementer/Involved
Institutions (10%)
Contribution to the Body of Knowledge (10%)
Utilization of Local Resources (10%)
Integral Component of an Ongoing
Program/Project (10%)

Conclusion

Resources are available;

proposal driven

Complement;
multi-disciplinary approach better

Build allies;
address national programs

DOST-GIA Budget (in Million Php)

700

R&D

600

Technology Transfer

500
400

S&T Promotion

300

Provision of Services

200
100
0

Year

R&D

2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010

196.81
196.75
109.03
97.50
97.50
142.09
142.09
337.91
537.91
577.16
637.91

Technology
Transfer
86.28
46.28
69.77
80.80
80.80
75.48
175.48
249.53
340.00
166.21
300.00

S&T Promotion
54.86
44.86
90.66
106.28
87.20
47.94
47.94
152.90
388.90
528.19
707.65

Provision of
Services

100.00

131.92

TOTAL
337.95
287.89
269.47
284.59
265.50
265.50
465.50
740.34
1,266.81
1,403.48
1,645.56

CONCLUSION

Resources are available;

proposal driven

Complement;
multi-disciplinary approach better

Build allies;
address national programs

Spread the Word

Be in the Loop

Realities

Forms/Templates and Paper Trail

REPORTS: Quarter, Annual, Terminal
COMPLETED PROJECT

Technical Report
Financial Report

Bidding and other administrative work

Absorptive Capacity
COA Memo/Report
DBM Requirements

Paper Trail
TAC

Proponent

Regional
Office

Consortium

Sectoral
Council

USEC for
R&D Office

DOST
EXECOM

Contact Information
For more information, please contact:

Dr. Graciano P. Yumul, Jr. D.Sc.

Undersecretary for R&D
Department of Science and Technology
Room 212, DOST Bldg. General Santos Avenue
Bicutan, Taguig City 1604
Tel./Fax No. (02) 837-2071 to 82 loc. 2510
Email: gpyumul@dost.gov.ph
spu@dost.gov.ph
Website: http://gia.dost.gov.ph

Thank You!
http://www.dost.gov.ph
matet_bien@yahoo.com.ph