Reference No.: BatStateU-RA-RES-01 RISKS. Process A: Submission of research proposal using incorrect forms Effectivity Date: March 26, 2018 Revision No.: 00 No} Key Steps Risk Description Cause/s Action/s to Address the Risk Responsible | Target Date 1 [Receiving of Capsule [Submission of research [Unfamiliar with the ISO forms to = Provide correct ISO forms for research proposal Proponent, | February 2019 [Research Proposal proposal using be used + Provide downloadable ISO forms online Coordinator, incorrect forms Director, Staff [Submission of research|Not familiar on how to Provide sample standard template; Provide proper Proponent, | February 2019 Iproposal with wrong accomplished the ISO forms guidance and assistance Coordinator, format of proposal Director, Staff 2 [Endorsement of [Lost of documents [Proposals were not submitted - Track documents on record books and verify the | Director, Asst. | March 2019 |Capsule Research directly to the responsible received copies rector, Staff Proposal loffice/person }+ Ensure the implementation of document tracking system + Scan all submitted proposals as back-up files |. Ask for re-submission |Voluminous proposals [Not evaluated at once due to other Setting of Quota VPRDES, | March 2019 for evaluation of the tasks assigned + Identification and creation of pool of experts Director, Asst. assigned assistant + Partition of the remaining proposal to active status | Director, Staff director land to be included in the next colloquium 3 [Presentation to [Unavailability of the | Urgent call for presentation |- Proper scheduling of research colloquium and strict| _ Proponent, May 2018 Research Colloquium. }researcher(s) to present|+ Delayed notice implementation of the schedule of the call for Coordinator, |- Sudden lack of J+ Researchers have prior proposal. Co-proponents may be allowed to present | Director, Staff interest lcommitment the research proposal + The presentation shall be re-scheduled on the next research colloquium. [Lack or unavailability | Source out external evaluators at least two months | _ External May 2018 lof external panel of + Late sending of invitation before the presentation Evaluator, + Increase the number of external experts being Director, Asst. levaluators | Has prior commitment tapped Director, Staff Page 1 of 5Process Owner: Research Office Presentation to Research Council [Unavai lcommon time of the research council Effectivity Date: March 26, 2018 RISK/OPPORTUNITIES ASSESSMENT. ‘Short notice + Late sending of invitation |+ Members have prior commitment + Doing other task that needs to be addressed immediately Provide the schedule to the Research Council beforehand and confirm their attendance J+ Re-scheduling of research council ‘VPRDES, Directors, Proponent, Staff Revision No.: 00 ‘Tune 2018 [implementation of Research project Delays in implementation due to jundelivered supplies land equipment |+ No contact for specific supplier + Lack specifications on the requested item + Supplier does not conform with the required specifications + Delayed posting for possible + Regular follow-up of request + Assist the Procurement Office in canvassing and purchasing supplies and equipment + Conduct of pre-implementation booth camp + Grant/ endorse the request for the revisions of limetable Proponent, Coordinator, Staff ‘August 2018 'rerminal Report lof terminal report work plan + Delay in the conduct of research {terminal reports + Tagging for clearance of faculty + Request letter of justification from the researcher + Endorse/grant the request for project extension Directors, Coordinators, Faculty Researchers [Unmet project timerine| ty of the needed - Regular monitoring of the researchers regarding the| Director, Asst. | August 2018 and materials in the progress of his project, Directors, implementation of the project J+ Request letter of justification from the researcher | Coordinators, land grant/ endorse the request for the revisions of Faculty timetable Researchers [Delays in submission Researchers were unable to + Regular follow-up to the researcher to submit Director, Asst. | August 2018 lof quarter/progress conduct the research as to the |quarter reports reports lapproved work plan + Tagging for clearance of faculty + Request letter of justification from the researcher Faculty and grant/ endorse the request for the revisions of | Researchers timetable 6 |Submission of [Delays in submission |* Did not comply with the project |- Regular follow-up to the researcher to submit Director, Asst. | December 2018 Page 20f5Reference No.: BatStateU-RA-RES-01 Process Owner: Research Office [Unfinished projects [Submission of research proposal using Receiving of Capsule Research Proposal [Project leader/staff no longer [connected with the university + Researchers were hesitant to |continue the research due to difficulty in the procurement of Imaterials and supplies for the full [implementation of the project Process B: Submission of Research Proposal to External Funding Agencies [Unfamiliar with ISO forms to be lused Effectivity Date: March 26, 2018 ‘A letter of non-compliance to the researcher + Request updates and progress of the project + Tagging for clearance of faculty + Endorse/grant the request for project extension + Provide sanctions to the researchers + Provide correct ISO forms for research proposal | Provide downloadable ISO forms online Director, Asst. Directors, Coordinators, Faculty Researchers Proponent, Coordinator, Revision No.: 00 December 2018 February 2019 + Doing other task that needs to be laddressed immediately incorrect forms Director, Staff [Submission of research [Not familiar on how to - Provide sample standard template Proponent, | March 2019 lproposal with wrong accomplished the ISO forms + Provide proper guidance and assistance Coordinator, format of proposal Director, Staff 2 [Endorsement of [Lost documents Proposals were not submitted J; Track documents on record books and verify the | Director, Asst. | April 2018 ICapsule Research directly to the responsible received copies Director, Staff Proposal loffice/person + Ensure the implementation of document tracking system + Scan all submitted proposals as back-up files J+ Ask for re-submission /Voluminous proposals |Not evaluated at once due to other - Setting of Quota VPRDES, ‘April 2018 for evaluation of the tasks assigned + Identification and creation of pool of experts Director, Asst. lassigned assistant + Partition of the remaining proposal to active status | Director, Staff director. land to be included in the next colloquium 3 [Presentation to [Unavailability of [+ Short notice + Provide the schedule to the Research Council VPRDES, May 2018 Research Council __fcommon time of the _|+ Late sending of invitation lbeforchand and confirm their attendance Directors, research council + Members have prior commitment + Re-scheduling of research council Proponent, Staff Page 3 of 5