Research Manual

i
PREFACE
Over the last three decades, the faculty and staff of the

Palawan State University (PSU) engaged themselves in a variety of

research projects in both local and international settings. Their

active participation in these projects demonstrate that the faculty

and staff of PSU possess the required knowledge and skills to take

the challenge of and respond to the information needs of clientéle on

specific research outcomes. Despite these achievements, the

culture of research has not yet pervaded among the greater majority

such that the number of research publications is still wanting. A key

constraint identified in this context is the need for a more coherent

research policy and clear guidelines that will guide researchers in

the course of conceptualizing their research, securing the needed

funds, publication of results and their dissemination.

PSU has integrated into one document the information,

administrative procedures and guidelines regarding its research

functions. This manual offers a ready reference for the

ii
administrators, faculty, staff and students who, in one form or

another, are involved in research–related tasks. It is a culmination of

efforts and contributions made by research coordinators, deans of

the different colleges, and administrators of the university forged

together by the research office. The substantive elements of this

manual include the classification of research, proposal development

and processing, monitoring and evaluation, and publication. To

encourage the faculty and staff to engage in research, sections on

research incentives are included. This manual is proof of PSU’s

commitment to become a premier university in Southeast Asia that

responds to regional information needs. Let us all work together

towards making this vision a reality.

JETER S. SESPEˇNE, PhD

President

iii
Contents
1 Goal 1
2 Objectives 2
3 Introduction 4
4 Purpose 5
5 Research Agenda 6
6 Research Organization 8
6.1 Structure . 9
6.2 Duties and Responsibilities . . 9
6.2.1 Overall Research Head . 9
6.2.2 University Research and Extension Council 10
6.2.3 Vice President for Research and Extension . 11
6.2.4 Ad hoc committees . . . . . . . . . . . . . . 11
6.2.5 University Research Director . . . . . . . . . 11
6.2.6 Deputy Research Director 12
6.2.7 Clerical Support Staff 12
6.2.8 Publications and Training . . . . . . . . . . . 12
6.2.9 Research Management Information System 12
6.2.10 External Research Linkages 12
6.2.11 College Research Affairs . . . . . . . . . . . 12

7 Classification of Research 15
7.1 By Nature . . . . . . . . . . . . . . . . . 15
7.1.1 Basic Research . . . . . . . . . . . . . . . . . 15
7.1.2 Applied Research . . . . . . . . . . . . . . . 15
7.1.3 Technology . . . . . . . . . . . . . . . . . . . 15
7.1.4 Upstream Research . . . . . . . . . . . . . . 16
7.1.5 Midstream Research . . . . . . . . . . . . . . 16
7.2 By Research Focus . . . . . . . . . . . . . . . . . . . 16
7.2.1 Commodity . . . . . . . . . . . . . . . . . . . 16
7.2.2 Non-commodity . . . . . . . . . . . . . . . . 17
7.2.3 Education . . . . . . . . . . . . . . . . . . . . 17
7.2.4 Environment . . . . . . . . . . . . . . . . . . . 17
7.2.5 Others . . . . . . . . . . . . . . . . . . . . . . 17

iv
7.3 By Stage of Technology Development . . . . . . . 18
7.3.1 Technology generation research . . . . . . 18
7.3.2 Technology adaptation research . . . . . . 18
7.3.3 Technology verification research . . . . . . 18
7.4 By Location . . . . . . . . . . . . . . . . . . . . . . . 18
7.4.1 On-station research . . . . . . . . . . . . . . 18
7.4.2 On-field research . . . . . . . . . . . . . . . . 19
7.5 By Scope of Activity . . . . . . . . . . . . . . . . . . 19
7.5.1 Research Program . . . . . . . . . . . . . . . 19
7.5.2 Research Project . . . . . . . . . . . . . . . . 19
7.5.3 Research Study . . . . . . . . . . . . . . . . . 20
7.6 Definition of Research Outputs . . . . . . . . . . . . 20
7.6.1 Level 1 . . . . . . . . . . . . . . . . . . . . . . 20
7.6.2 Level 2 . . . . . . . . . . . . . . . . . . . . . . 20
7.6.3 Level 3 . . . . . . . . . . . . . . . . . . . . . . 21
8 Research Tasks and Workload Units 22
8.1 Research Tasks . . . . . . . . . . . . . . . . . . . . . 22
iv
Contents
8.2 Workload Units . . . . . . . . . . . . . . . . . . . . . 23
8.2.1 Formulation of proposal . . . . . . . . . . . . 23
8.2.2 Implementation of approved research proposal. . . . . .23
8.2.3 Definition of researcher’s role . . . . . . . . . 24
8.2.4 Personnel with research function . . . . . . 27
8.2.5 Conduct of faculty-staff research . . . . . . 28
8.2.6 Faculty-student research . . . . . . . . . . . 29
8.2.7 Equivalent workload units for other researchrelated
tasks . . . . . . . . . . . . . . . . . . . 31
9 Implementation, Monitoring, and Evaluation of the Approved
Research 33
9.1 Implementation Process and Agreement . . . . . 33
9.2 Monitoring and Evaluation . . . . . . . . . . . . . . 34
9.3 Workload and Research Performance Rating . . . 34
9.4 Copyrights to the Researchers . . . . . . . . . . . . 35
9.5 Other Details . . . . . . . . . . . . . . . . . . . . . . . 35

v
9.5.1 Official Assignments . . . . . . . . . . . . . . 35
9.5.2 Follow-up Basis . . . . . . . . . . . . . . . . . 36
9.5.3 Logistics . . . . . . . . . . . . . . . . . . . . . 36
9.5.4 Absence from Class . . . . . . . . . . . . . . 36
9.5.5 Research Assistant . . . . . . . . . . . . . . . 36
10 Authorship, Documentation and Publication
37
10.1 Authorship . . . . . . . . . . . . . . . . . . . . . . . .
37
10.1.1 Definitions . . . . . . . . . . . . . . . . . . . .
37
10.1.2 Authorship Guidelines . . . . . . . . . . . . .
38
10.2 Documentation . . . . . . . . . . . . . . . . . . . . .
39
10.3 Publication . . . . . . . . . . . . . . . . . . . . . . . .
39

Contents

11 Incentive 41
11.1 Overload . . . . . . . . . . . . . . . . . . . . . . . . . 41
11.1.1 Time Allotted for Research . . . . . . . . . . 41
11.1.2 Computation of overload pay . . . . . . . . 43
11.1.3 Computation of service credit . . . . . . . . 43
11.1.4 Computation of honorarium . . . . . . . . . 44
11.1.5 Compensation . . . . . . . . . . . . . . . . . 44
11.1.6 Supporting Documents . . . . . . . . . . . . 44
11.2 Reduced teaching and administrative load (incorporate
CHED Memorandum Order #38?) . . . 45
11.3 Honorarium . . . . . . . . . . . . . . . . . . . . . . . 45
11.4 Publication Incentive . . . . . . . . . . . . . . . . . . 45
11.4.1 Rates for published papers . . . . . . . . . . 45
11.4.2 Distribution of incentive by degree of participation. . .45
11.5 Royalties . . . . . . . . . . . . . . . . . . . . . . . . . 46

vi
11.6 Awards and other incentives . . . . . . . . . . . . . 47
11.6.1 In-House Review Committee . . . . . . . . . 47
12 Amendment 49
13 Effectivity 50

vii
List of Tables
5.1 Priority thrusts and research topics . . . . . . . . . . 7
8.1 Proposal and equivalentman-hour credit per week. 23
8.2 Role in research and corresponding mean hour
per week. . . . . . . . . . . . . . . . . . . . . . . . . 25
8.3 Administrative position and equivalent hours/week. 28
8.4 Criteria and points required for approval of a concept
paper. . . . . . . . . . . . . . . . . . . . . . . . 29
9.1 Typical workload of a faculty member engaged
in research and other functions. . . . . . . . . . . . 34
11.1 Predetermined number of hours to be devoted to
social science research activities . . . . . . . . . . 42
11.2 Predetermined number of hours to be devoted to
natural science research activities . . . . . . . . . 42
11.3 Progress report format. . . . . . . . . . . . . . . . . . 43
11.4 Hourly rate for research overload according to
the National Budget Memorandum 103 . . . . . . 43
11.5 Research incentive (in pesos) by category . . . . 46
11.6 Pro rata incentive (in percent) of author(s) by degree
of participation . . . . . . . . . . . . . . . . . .

viii
Goal
To be one of the top ten research institutions in the Southeast Asian
region.

Objectives
By 2020, Palawan State University should be able to generate,
adapt and transfer technologies and processes towards:

1. regeneration or rehabilitation of degraded areas;

2. mitigation of disaster and adaptation to climate change;
3. conservation of biodiversity;
4. maintenance of socio-cultural and linguistic diversity and
documentation of endangered languages ;
5. added value to existing major and unique products and
services of Palawan;
6. prevention of diseases (e.g. functional food, drug
discovery and development, Information and
Communications Technology in health);
7. economic mobility and sustainable environmental
management in the Brunei-Indonesia-Malaysia-Philippines-
East Asian Growth Area (BIMP-EAGA) Region; and
8. exploration of renewable and nonrenewable resources;
9. ecodevelopment and green economy; and
10. technology and business incubation, agri-tourism and
entrepreneurial
development, and economic growth.

ix
.

Introduction
Modern society relies heavily on research as a tool for the
generation and advancement of knowledge. Recognizing this,
universities and colleges are mandated to engage in research as
one of their vital functions. Section 2 of Republic Act No. 7818,
which established the Palawan State University, states that “the
University shall primarily provide higher professional and special
instructions for special purposes and promote research and
extension services, advanced studies and progressive leadership in
education and other fields, including geology and oil exploration, as
may be relevant”. Past experiences at PSU have demonstrated the
need to revitalize research and strengthen its link with the
instruction, extensionand production functions of the university.
Thus, PSU has made it imperative to institute policies, guidelines
and procedures on research that will harmonize efforts leading to
the optimization of research output.

x
Purpose

This research manual is intended to serve as guide in

implementing the research operations of the University. Specifically,
this manual will serve as a guide to researchers in:

1. producing quality research along PSU’s research agenda;

2. disseminating, publishing and applying the research
outputs;
3. determining incentives to researchers; and
4. fostering research culture.

xi
Research Agenda

The following framework incorporates the ideas,

suggestions, insights, and discussions among the key
research personnel of the university based on the Key Result
Areas of President Aquino, CHED’s Higher Education
Research Agenda, and consultations with regional consortia
(STIRDC/PARDEC/PATLEPAM/ MHRDC)1 , local government
agencies, private sectors, and local communities for the past
five years. Transformation is the expected outcome of all the
research initiatives of the university built around the eight
thematic areas of the university agenda.

Table 5.1: Priority thrust and research topics

Themes
Energy Security
Product Development
Socio-economic Upliftment
Technological innovationts
Food security
Outcome-based Education
Cultural Diversity

xii
Evidence-based health practices
Ecological integrity

xiii
Research Organization
The University Research Office (URO) of Palawan State
University shall be responsible for the management of all research
related tasks in the University, namely:

1. periodically review the university research thrusts/directions

to formulate the research agenda of the university in
accordance with national thrusts and priorities;

2. recommend appropriate policies, standards, rules, guidelines

and mechanisms pertaining to the management of university
research programs;

3. initiate and maintain linkages with relevant local, national and

international institutions;

4. review, formulate and recommend policies and programs to

enhance the research capability of the faculty and staff;

5. develop and maintain the research database;

6. coordinate with the different deans and college research

affairs heads on major developments in research;

7. manage the research outputs and periodically publish the

PSU research journal;

xiv
 6 Research Organization

8. exercise supervision over the affiliated research units ( e.g. such as those
arising from special projects) of the university,

9. advise the university administration on research-related matters which require

decision or action, and

10. perform such other functions as may be directed by the university president.

The research-related activities of the PSU colleges shall be planned,

implemented and evaluated in coordination with the research office (RO) to optimize
the use of resources for PSU to carry out this research function.

6.2 Duties and Responsibilities

6.2.1 Overall Research Head.
The University President is the overall head of the research office
and the Chairperson of the University Research and Extension
Council ( UREC ).

6.2.2 University Research and Extension Council ( UREC )

The UREC serves as a policy-making body on research,

development and extension programs, projects, and activities of
the university. With the Vice President for Research Development
and Extension as Chairperson, the UREC shall be composed of all
unit heads and their deputies under the Office of the Vice President
for Research and Extension (OVPRE). The UREC may invite
concerned officials such as deans and unit heads to discuss
matters concerning their respective college or units. The UREC is
expected to:

9
 6 Research Organization

• Identify the University research and extension agenda at the

beginning of each fiscal year. This agenda shall be the thrust upon
which all research proposals will be developed;

• Formulate, determine or recommend appropriate policies,

standards, rules and mechanisms pertaining to the management of
university research and extension programs;

• Periodically review university research and extension

thrusts/directions;

• Review and recommend policies concerning research and

extension personnel;

• Serve as channel for communication among the different colleges of

the university about major developments in research and extension;

• Serve as a forum for discussion of research and extension issues;

and
• Advise the university administration on research and
extensionrelated matters which require decision or action.

The policies approved by UREC shall be endorsed to the joint

administrative-academic council for confirmation of the Board of
Regents.

6.2.3 Vice President for Research and Extension ( VPRE )

Vice Chairperson of the UREC. Heads and manages the Research and
Extension Offices of the University.

10
 6 Research Organization

6.2.4 Ad hoc committees

The VPRE may form ad hoc committees to study important issues not
covered by any of the existing units.

6.2.5 University Research Director ( URD )

He implements and manages the research operations of the
University except those covered by special agreements. Further,
the URD shall oversee external research linkage-related matters
and activities.
Specifically, the URD’s duties and responsibilities include the following:

• Manages the research programs, projects and activities

(PPAs) of the university including the preparation of the
operational plan, work and financial plan, and annual
procurement plan for each fiscal year.

• Monitors the university’s research PPAs

6.2.6 Deputy Research Director ( DRD )

Assists the RD in the overall research operations.

6.2.7 Clerical Support Staff

Takes charge of the filing system and routine office work at the URC.

6.2.8 Publications and Training

This unit shall be responsible in tasks pertaining to the publication
of research-related information and coordinates researchrelated
training for faculty and staff.

11
 6 Research Organization

6.2.9 Research Management Information System

The unit shall take charge of the university’s research database and in-
charge of database-related activities and training.

6.2.10 External Research Linkages

This unit shall handle the management and coordination of
activities of externally funded and/or assisted programs, projects
and activities.

6.2.11 College Research Affairs

College Research Unit

This unit, headed by the College Research Affairs Head ( CRAH), shall
carry out the programs and projects of the URO at the college level.
Specifically, the CRAH shall:

• take charge of the coordination, planning and implementation

of the research projects and programs in the college level
(e.g. operational plan, work and financial plan, annual
procurement plan)

• actively participate in the research PPAs of the university

including

– meetings (College and URO meetings), 3 hrs x 18 weeks

= 54 hrs/sem
– accreditation, 2 hrs/wk x 18 wks = 36 hrs/sem
– monitoring and reporting of research activities, 22 hrs/sem

12
 6 Research Organization

– research fora, 12 hrs/forum x2 = 24 hrs/sem

– capability building, 16 hrs x 2 days = 32 hrs/sem

• initiating and supervising research studies in the college, 24

hrs/sem

• serve as member of the Technical Review Committee for

research of faculty members (involve students in research of
faculty)

The total number of hours to be devoted by the CRAH is 108 hrs/sem (12
hours deloading per week).

College Research Affairs Head

The college research affairs head shall be a regular faculty

member. In case where there are no regular faculty available in a
college, job order faculty members may assume the post. For the
latter case, the time spent for CRAH shall be part of his/her regular
workload as a faculty member and shall be compensated
according to his/her faculty rank.

College Research Core Group

The college research core group shall consist of faculty representatives from
the different departments of the college

13
Classification of Research
The research and development undertakings of Palawan State
University is classified as follows:

7.1 By Nature
7.1.1 Basic Research
Any systematic or 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.

7.1.2 Applied Research

Any original investigation undertaken to acquire new knowledge,
directed primarily towards a specific practical aim or objective.

7.1.3 Technology
This refers to knowledge and know-how, skills, products, and/or
practices (Republic Act 10055).
In order to define research and development priorities at the
national, regional, and provincial levels, the PSU also follows the
Bureau of Agricultural Research’s classification of basic and
applied research into:

14
 7 Classification of Research

7.1.4 Upstream Research

Any research project of the basic strategic type implemented by
national centers of excellence such as PSU.

7.1.5 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; this includes the technology verification and
technology adaptation type of research implemented by regional
State Universities and Colleges ( SUCs )

7.2 By Research Focus

Research in the university may be classified into the following based on
focus:

7.2.1 Commodity
This refers to research undertakings that focus on product
development of specific commodities like culturing, breeding, and/or
feeding of fishery resources.

7.2.2 Non-commodity
This refers to research undertakings that focus on socioeconomic
aspects or interdisciplinary researches with policy implications
relating to agriculture. Examples: biotechnology, marine biology.

15
 7 Classification of Research

7.2.3 Education
This refers to research undertakings that focus on educational
assessment instrument, textbook or instructional media
development, prototype equipment in instruction, curriculum
structures, educational systems, educational technologies, health
and well-being, etc.

7.2.4 Environment
This refers to research undertakings that focus on environmental
aspects or 8 interdisciplinary researches with policy implications
relating to the environment. Examples: biodiversity, environmental
protection, ecosystems management.

7.2.5 Others
This refers to other social research undertakings, such as along the
field of the humanities and the arts.

7.3 By Stage of Technology Development

7.3.1 Technology generation research
This research type focuses on a single factor affecting productivity of a
single commodity.

7.3.2 Technology adaptation research

This research type evaluates the performance (stability and
replicability) of technologies over space and time, conducted either

16
 7 Classification of Research

in the research station or clientèles’ fields and done under the

supervision and management of the researcher.

7.3.3 Technology verification research

This research type compares performance of improved
technologies with that of existing practices under the existing
environment and communities. This research is conducted under
the supervision and assistance of researchers.

7.4 By Location
7.4.1 On-station research
Trials conducted in research stations where facilities for
experimentation are excellent and accessibility for researchers is
favorable. Usually, only the researchers are involved in formulating
the research objectives and methodologies.

7.4.2 On-field research

A set of interrelated studies/activities or a component of a program
with predetermined objective(s) to be accomplished within a specific
time frame, and composed of at least two studies or activities.

Researcher-managed

On field trials conducted on clientèle’s fields managed by

researchers who evaluate in detail the specific management
components to be as- signed to the existing system.

17
 7 Classification of Research

Clientèle-managed

On-field experiments managed by the clientèle themselves to find out

how they respond to suggested improvements.

7.5 By Scope of Activity

7.5.1 Research Program
A group of interrelated or complementing projects usually requiring
interdisciplinary or multidisciplinary approach to meet established
goal(s) within a specific time frame, and composed of at least two
projects.

7.5.2 Research 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, and composed of at least two studies or activities.

7.5.3 Research Study

A basic unit in the investigation of a specific problem identified under a
research project.

7.6 Definition of Research Outputs

Research outputs1 of the university shall be comprised of the following:

7.6.1 Level 1

1 based on DBM-CHED’s Joint Circular No.1-A, s. 2003

18
 7 Classification of Research

1. research proposal
2. progress report
3. completed technical report

7.6.2 Level 2
1. research-based papers or articles that are either published in
refereed publication2 with International Standard Book Number
(ISBN) or International Standard Serial Number (ISSN), and
2. research-based papers presented in national or international
fora or conferences.

7.6.3 Level 3
1. inventions3 that have been patented and/or utilized and
commercialized

2 refers to any published material reviewed by peers or experts in the discipline

3 research outputs duly patented and being sold as commercial products
or utilized for development/production/service provision

19
Research Tasks and Workload Units

8.1 Research Tasks

All faculty members shall be encouraged to propose work plans
aligned with the university’s research agenda. Research tasks include the
following:

1. Prepare concept papers and full research proposals 4

2. Conduct approved research-related tasks
3. Write periodic reports on completed research projects
4. Conduct training, workshop, and seminars related to research
5. Publish research-related matters
6. Enhance research capability
7. Undertake contract or consultancy work related to research
8. Perform tasks as members within the RO’s organizational
structure

Table 8.1: Proposal and equivalent man-hour credit per week.

Nature of Proposal Equivalent man-

hour credit/week
Study 3.0
Faculty-student research (per team of students) 2.0
Project (consists of at least two interrelated studies) 6.0
Program (consists of at least two interrelated projects) 12.0

4 Researches include joint faculty-student studies. These research projects may be funded by PSU,
other agencies, or by the proponents themselves.

20
8 Research Tasks and Workload Units

8.2 Workload Units

8.2.1 Formulation of proposal
Table 8.1 shows the nature of research proposal and the equivalent
man-hour credit per week.

8.2.2 Implementation of approved research proposal5

For research, or for the continuation of research that requires less
than one semester, the units during the semester in which the
research will be conducted or continued shall be adjusted as
follows:

x¯h/w = (dm/5)∗u

where x¯h/w is the mean hour per week, dm is the duration in months,
and u is the corresponding unit. The divisor “5” represents the
number of months in one semester.
Example

If a study leader plans to devote 10 hours/week to the research

project and where the project is expected to be completed within
two months, the adjusted mean hour per week corresponding to
the number of units is:

5
to be completed within a semester or a year

21
8 Research Tasks and Workload Units

x¯h/w = (dm/5)∗u x¯h/w

= (2/5)∗10 x¯h/w = 4

For approved research projects with duration equal to or more

than one semester, the allowable mean hour per week that
researchers can claim as part of their regular 40-hour workload per
week shall not exceed 50% of their regular workload. Table 8.2
shows the maximum allowable mean hour per week for different
research roles.

8.2.3 Definition of researcher’s role

Program Leader

The program leader is responsible for the overall management of a

research program. Specifically, his duties and responsibilities
include the following:

1. Oversees the day-to-day management of the program Table

8.2: Role in research and corresponding mean hour per week.
Mean
Role
hour/week
Program leader without project leader* 20
Program leader with project leader 20
Project leader without study leaders** 20
Project leader with study leader 10
Study leader (externally funded) 12***
Study leader (funded by PSU) 6

22
8 Research Tasks and Workload Units

Co-study leader 5
Study leader (faculty-student team: per team) 3
Solo researcher 6
*at least two projects of the program must be implemented during the same period
**at least two of the project studies must be implemented during the same period
***placed outside of regular teaching load

2. plans and coordinates the staff resources for the program and
ensures that the staff are adequately briefed on their specific
duties and responsibilities

3. prepare periodic reports on the implementation status of the

research program to concerned monitoring units of the
university

4. liaison with agencies in relation to program implementation

5. other tasks as may be required by the University President or

the VPRE in relation to program operations.

Project Leader

The project leader is responsible for the efficient implementation of

the research project. Specifically, his duties and responsibilities
include the following:

1. oversees the day-to-day management of the project

2. plans and coordinates the staff resources for the project and
ensures that the staff are adequately briefed on their specific
duties and responsibilities

23
8 Research Tasks and Workload Units

3. prepare periodic reports on the implementation status of the

research project to concerned monitoring units of the university

4. liaison with agencies in relation to project implementation

5. other tasks as may be required by the University President or

the VPRE in relation to project operations
Study Leader

The project leader is responsible for the efficient implementation of

research studies. Specifically, his duties and responsibilities
include the following:

1. implements the research study within the period specified in the

research proposal

2. prepare periodic reports on the implementation status of the

research study to concerned research monitoring units of the
university

3. other tasks as may be required by the supervisor

8.2.4 Personnel with research function

The approximate time required of research personnel is shown in
Table 8.3.
All faculty members with ranks of associate professor and higher
should conduct at least one research study per year. This is
equivalent to a three (3) unit load per semester and shall be part of
the regular workload. In addition, they shall submit research
outputs at the start of every semester . As such, their research
outputs shall form part of their faculty performance evaluation

24
8 Research Tasks and Workload Units

every semester to be evaluated by URO using approved

evaluation instruments. Faculty members without research outputs
shall be given the lowest rating on research performance.
Research outputs include research proposals, research papers,
progress reports, concept papers, and other relevant research
papers mentioned in Section 7.
Table 8.3: Administrative position and equivalent hours/week.
Position Hour/week*
Director 30**
Deputy Director 28
Head of Section 20
College research coordinator 20
Section member (dependent on activity) to be arranged
*NBC 461 Manual on Position Classification and Compensation, Chapter 7, p. 13 ** The
research director and deputy director shall demonstrate his/her research skills for emulation
by publishing at least one research paper a year as part of his workload

8.2.5 Conduct of faculty-staff research

The research process starts with the development of a
concept paper which needs to be submitted to the RO during the
call for papers either in January or June of each year. The concept
paper should be aligned with PSU research thrusts and has to be
approved before a detailed research proposal is formulated,
following the process in Appendix 1 and the formats in Appendices
2 and 3. The call for proposals will provide a ceiling on budget and
number of proposals to be accepted based on the appropriated
budget. Concept papers should be acted upon by the RO within
fifteen (15) working days of submission.

25
8 Research Tasks and Workload Units

The approval of a concept paper shall be based on the

following criteria provided that the minimum required points for
each criterion are met as follows:
The Technical Evaluation Committee (TEC) is composed of
three members. It is constituted by the RD from the pool of
evaluators appointed by the President. It shall evaluate a concept
paper based on the above criteria and recommend its Table 8.4:
Criteria and points required for approval of a concept paper.
Criteria Minimum Maximum
Clarity of the research problem 20 30
Appropriateness of the methodology/strategy 15 20
Expected benefits to be derived 15 20
Reasonableness of the estimated duration 10 15
Reasonableness of the indicated budget 10 15
approval/disapproval/conditional acceptance, as the case may be, to
the RD. Only those concept papers which are approved shall be
eligible for detailed proposal preparation (see Appendix 3) by the
proponent.
The detailed research proposal shall be submitted by the
proponent to the RO within 30 working days after receipt of the
approved concept paper. The RD shall then endorse the proposal
to the Research Proposal Review Committee ( RPRC ) for
evaluation.

8.2.6 Faculty-student research

The training of students on research through their theses and/or
special problems shall be revitalized. They shall be encouraged to
engage in research not merely as a requirement for graduation, but

26
8 Research Tasks and Workload Units

also to experience research that will be more congruent with the

standards of scientific pursuit in terms of coverage, scope, depth
and potential contribution to innovations or technological
advancement.
Research planning

The planning of faculty-student research may be done by

the students and their instructors as part of their course on
research methods. A faculty member may propose a research
problem for a team of students and faculty co-workers to work on.
The topic of the research must be aligned with the agenda
identified by the university and the thrust of the college in which the
student is enrolled.

Research leadership

A faculty member may offer his/her services as the study leader of

a group of students, or the Dean may designate a faculty member
to serve in such capacity. The faculty member will assist his/her
thesis student team members in the outline preparation and in the
conduct of the study.
For the research work of a group of students to be more
acceptable as research in terms of coverage, scope and depth, the
study may be done by distributing its various aspects. For
example, location components may be distributed to each of the
student research team members.

Funding and honoraria

27
8 Research Tasks and Workload Units

When intended for partial and/or full funding by the University, the
budget for a faculty-student research shall be subject to the
approval of the University President through the endorsement of
the Dean of the College where the students are enrolled, and
through the RD.
The Deans and the RD shall formulate a university-wide policy on
the conduct of faculty-student research. This includes policy on
honoraria/fees. It shall be subject to the approval of the University
President, or his/her designated representative.

Research Proposal Review Committee ( RPRC )

The RPRC shall consist of the original TEC members plus two
additional reviewers selected from the pool of evaluators to be
appointed by the RD. After evaluation, the RPRC recommends to
the RD the approval or disapproval of the proposal. The RD shall
review and submit the final recommendations to the Office of the
Vice-President for Research and Extension ( OVPRE ). The
OVPRE recommends the proposal to the Office of the President for
final action. The approved proposal is transmitted back to the
proponent through channels.

8.2.7 Equivalent workload units for other research-

related tasks
To specify the equivalent workload units for other researchrelated
tasks, the following procedures will be followed:
1. The proponent or designated implementor of a particular
approved proposal, as incorporated in the overall research
program of the University, shall submit a work plan with a

28
8 Research Tasks and Workload Units

time frame and budget. The work plan shall list the specific
activities, target, schedule, supplies and materials and other
items of expenditures with corresponding costs. The
personnel who will be involved and the estimated duration in
terms of hours for each job or specific task must also be
indicated.

2. The VPRE, RD, and the main implementor of a particular

action plan shall discuss the contents of the plan and agree
on the time allotment per specific task or activity. The total
number of hours to be devoted by a faculty or staff member
per semester shall be indicated in the action plan.

Consultancy

In the case of a compensated contract or consultancy, the

research task may be agreed upon as part of a regular workload or
may be treated as an extra load by the UREC Executive
Committee. If it is treated as part of the workload, the University
shall be the contracting party and therefore the recipient of the
compensation.
If it is not included as within the regular workload, then it must be
done outside of the official time of the faculty or staff involved. The
personnel involved in contract or consultancy work will either
perform their tasks outside of their official time, or they may request
a leave without pay for this purpose.
All action plans and equivalent workload units shall be subject to
the final approval of the President, and all approved workloads
related to research functions shall be placed under the supervision
of the RD, except those covered by special agreements. As such,

29
8 Research Tasks and Workload Units

the official time for research duties of a faculty member shall be

accountable to the office of the RD

30
Implementation, Monitoring, and
Evaluation of the Approved Research

9.1 Implementation Process and Agreement

Appendix 4 shows the process of implementation, monitoring and

evaluation of the approved research proposal.
Upon approval of the research proposal, the RD prepares a
Contract, Memorandum of Agreement (MOA), or Terms of
Reference (TOR) to be signed by the University President or his/her
designated representative and the proponent. The contract, MOA,
or TOR shall specify the terms and conditions of the research to be
conducted. These include, among others, the equivalent workload,
schedule of activities, funding requirements and other operational
details. Once the contract has been signed, the VPRE shall request
the necessary funds from the VP for Finance. The VP for Finance
shall release the funds to the researcher who shall then implement
the research activities.
In case the duration of the research is less than six months, a
progress report should be submitted halfway through its
implementation. The format suggested in Appendix 5 shall be used
if the research has not yet gone beyond data collection. At later
stages, the format suggested in Appendix 6 shall be used.
Table 9.1: Typical workload of a faculty member engaged in
research and other functions.

31
9 Implementation, Monitoring, and Evaluation of the Approved Research

Function Hours/week Total Percent of total

hours/semester workload
Instruction 20 360 50
Research 8 144 20
Extension 8 144 20
Production 4 72 10
Total 40 100

9.2 Monitoring and Evaluation

Research activities shall be closely monitored by the Monitoring and
Evaluation (M & E) Section of the RO. The section shall carry out
unscheduled visits to the place of work, require the submission of
progress reports, and undertake evaluation of implemented
research plans. The report formats are shown in Appendices 5-7.

9.3 Workload and Research Performance Rating

he research workload of a faculty member shall be incorporated into
his overall performance rating. The example below illustrates the
accounting of his/her workload per function.
The typical workload of a faculty member engaged in research
and other functions namely instruction, extension, and production is
shown in Table 9.1.
A faculty member shall be rated in his/her performance on each
of the university functions in which he/she is involved. In the
above example, the faculty member is involved in the four
functions, namely: instruction, research, extension, and
production. His overall rating will be a sum of his/her performance

32
9 Implementation, Monitoring, and Evaluation of the Approved Research

ratings in all the functions. The weights are based on the

proportion of time spent in each function.

9.4 Copyrights to the Researchers

The PSU owns the copyright to the researches funded by the
university.
If it is not included as within the regular workload, then it must be
done outside of the official time of the faculty or staff involved. The
personnel involved in contract or consultancy work will either
perform their tasks outside of their official time, or they may request
a leave without pay for this purpose. All action plans and equivalent
workload units shall be subject to the final approval of the
President, and all approved workloads related to research functions
shall be placed under the supervision of the RD, except those
covered by special agreements. As such, the official time for
research duties of a faculty member shall be accountable to the
office of the RD.

9.5 Other Details

9.5.1 Official Assignments
Based on the approved action plan and budget allotments, official
assignment with specified workload units shall be issued to
implementors irrespective of the funding source of their tasks.

33
9 Implementation, Monitoring, and Evaluation of the Approved Research

9.5.2 Follow-up Basis

Copies of all approved and budgeted action plans shall be furnished
to the RD, and to the Chairman of the M & E Section. These shall
be the basis for undertaking follow-up activities.

9.5.3 Logistics
Needed materials and other logistics must be requested by the
implementors at least one month prior to their actual use.

9.5.4 Absence from Class

Faculty members who may leave their classes due to their duties in
research shall make sure that their absences shall be offset by the
assignment given to their students, or by a make-up class arranged
with them.

Reports to be submitted are the following:

• Progress reports (every 6 months)

• Year-end progress report

• Terminal report (for completed tasks)

9.5.5 Research Assistant

The faculty member engaged actively in an approved

research project/study shall be entitled to one student assistant

34
9 Implementation, Monitoring, and Evaluation of the Approved Research

from the pool of student assistants in the Office of Student Services

(OSA). Student research assistants shall preferably be on the same
line of specialization as the researcher.

35
Authorship, Documentation and
Publication

10.1 Authorship
10.1.1 Definitions
1. Author - any faculty, staff member or student who has
created the work.

2. Collective work - is a work which has been created by two (2)

or more members of the faculty, staff, or student at the
initiative and under the direction of another faculty, staff, or
student.

3. Joint authorship - is a work which has been created by two or

more persons who have provided substantial input to the
following:

a) conceptualization and design, acquisition of data or

analysis, and interpretation of data; and
b) drafting or revising the manuscript for important intellectual
content.

10.1.2 Authorship Guidelines

1. In the case of works of joint authorship, the co-authors shall
be the original owners of the the copyright and in the absence
of agreement, their rights shall be governed by the rules on
co-ownership. If, however, a work of joint authorship consists
of parts that can be used separately and the author of each

36
 10 Authorship, Documentation and Publication

part can be identified, the author of each part shall be the

original owner of the copyright in the part that he has created
(Section 178.2, RA 8293).

2. Faculty advisers of graduate and undergraduate students

may claim sole authorship if the raw data used in the original
manuscript is reanalyzed and rewritten by such faculty using
a different theoretical and conceptual framework. There
should be written consent from the student/s that the work
can be disclosed by the faculty member under his own name.
The student/s involved in the original research should be duly
acknowledged as data source.

3. Undergraduate research students are considered the authors

of their own research outputs. Their advisers are not
automatic co-authors unless it is declared at the start of the
research that such adviser is collaborating with the students
which means the faculty adviser is involved in the collection
of data, interpretation of data and shares in the expenses
incurred in the research. If later on the adviser decides to
rewrite the output for publication, he or she can publish the
output as the lead author with the students as co-authors.

4. The following should not be regarded as sufficient grounds

for recognizing authorship:
a) acquisition of funding;
b) collection of data; and
c) general supervision.

5. In case of collective work, there should be previous

understanding between parties that the work will be disclosed

37
 10 Authorship, Documentation and Publication

by the latter under his own name and that contributing faculty,
staff or student will not be identified.

6. Add more on authorship

10.2 Documentation

1. All research reports, funded or not by PSU, shall be

documented using the style and format prescribed by the
PSUURO, except for materials intended to be submitted for
publication outside the university.

2. All

10.3 Publication

1. The publication unit of the URO shall follow existing PSU

guidelines on the approval and authorship of reports for
publication.

2. Dissemination of completed research work through seminars,

research fora, symposia, and conferences shall be done only
after the research paper has been recommended for approval
by URD to the University President based on budgetary and
research quality concerns.
3. Faculty paper presentors should request clearance from the
CRAH if they intend to present the results of a collaborative
study such as those researches conducted by students.
Authorship should be sorted out with the students involved.

38
 10 Authorship, Documentation and Publication

4. The university shall not allow the presentation of exactly the

same research paper in conferences. Research paper culled
from the previous presentation may be allowed subject to
approval of the URO. Allowable papers shall have changed
by 75 %.

5. International oral presentations on official business shall be

allowed in countries within Southeast Asia. Presentations
outside of the region may be allowed depending on the merit
of the paper. Travels intended for poster presentations only
shall be allowed on official time.

6. Only researches duly registered in the URO shall be funded

for presentation.

39
Incentive

11.1 Overload

For faculty or staff members who devote more than 40 hours

per week of workload due to their officially assigned duties in
research, excess hours shall be credited as overload. Such excess
hours shall be considered as service credits or may be
compensated in cash as overtime pay. In particular, faculty
members on job-order status and those with administrative
designations will be paid honorarium for research services rendered
in excess of their regular 40-hour workweek.

11.1.1 Time Allotted for Research

Faculty and staff who do research may 1) incorporate the time

devoted in doing research activities as part of their regular
workload or, 2) claim excess hours as overload over and above
their regular 40-hour workload. The time allotted for research shall
be based on URO approved number of hours at the beginning of
the semester (Table 11.1 and Table 11.2). Progress reports shall
be submitted at the end of every semester ( see Table 11.3). Non-
submission of progress report within the prescribed period forfeits
the privilege to claim research hours for the next semester.
*for those researches with outputs (product, process, elements) having
potential for commercialization

40
 11 Incentive

Table 11.1: Predetermined number of hours to be devoted to social

science research activities

Research Aspect Minimum Manhour Average

Manhours
Proposal Preparation not paid by the university
Instrumentation 11 16.5
Preparation of instruments 3 4.5
Validation 8 12
Data Gathering 40 50
Data Analysis 8 12
Final Report 10 15
Totals 54 93.5

Table 11.2: Predetermined number of hours to be devoted to natural

science research activities

Research Aspect Minimum Manh

Proposal Preparation (includes review of literature and not paid by the
patents*, method/methodology, among other un
requirements prescribed by the funding institution)
Patent search 100
Preparation of samples 20
Validation of methods 20
Experimentation 320
Data Analysis 8

41
 11 Incentive

Final Report 10
Totals
Standard Error of Estimates
95% Confidence Maximum

Table 11.3: Progress report format.

Major Research Expected Output % Accomplishment Rema

Activities

Table 11.4: Hourly rate for research overload according to the National Budget

Bachelor’s Degree 0.0012* x Annual Salary 0.0012

(15
Master’s Degree 0.0014* x Annual Salary 0.0014
(15
Doctorate Degree 0.0015* x Annual Salary 0.0015
Memorandum 103

Educational Qualification Hourly Rate for Research Overload Samp

A regular faculty member who will be designated as a College

Research Coordinator will be given a workload equivalent to 12
hours.

42
11 Incentive

11.1.2 Computation of overload pay

The computation of overload pay shall be based on the
predetermined number of hours in Table 11.1 multiplied by the
faculty member’s hourly rate. Hourly rate is based on the following
table.

11.1.3 Computation of service credit

The computation of the number of days to be accredited as service
credit for an employee shall be based on the actual number of
hours he has rendered in research-related tasks.
The number of hours in excess of the 40-day work week (Tc)
multiplied by the number of weeks for research-related work
divided by eight working hours/day is the number of service credit
(SC) in days, thus

Tc ÷8 = SC

11.1.4 Computation of honorarium

The computation of honorarium for job-order faculty members who
devote time to research-related tasks over and above their 40-hour
teaching workweek shall be based on their respective hourly rates.
The extra time allocated to researchrelated tasks shall be based on
approved research proposal.

11.1.5 Compensation
Compensation for service credits shall be given only if the overall
performance, that is, the overall average rating when all his

43
11 Incentive

functions are accounted for, and the performance rating in

research of the implementor are at least satisfactory.

11.1.6 Supporting Documents

All requests for payment of research overload and claim for service
credits should be supported by a progress or accomplishment
report duly approved by the Research Director.

11.2 Reduced teaching and administrative load

(incorporate CHED Memorandum Order
#38?)
The teaching and/or administrative load of research workers shall be
reduced based on his/her workload in research.

11.3 Honorarium
For externally funded research programs/projects, research workers
serving shall be entitled to an honorarium based on
governmentprescribed rates. Government researchers shall receive
honorarium based on their specific research roles (i.e., study leader,
project leader, program leader, consultant, project staff, etc.). The total
amount of honorarium shall be subject to existing DBM Circular.

11.4 Publication Incentive

11.4.1 Rates for published papers
For published papers, the following rates (in pesos) shall apply:

44
11 Incentive

11.4.2 Distribution of incentive by degree of participation

Table 11.5 specifies the recommended distribution of incentive (in
the absence of written agreement between researchers) by degree
of participation in a published research paper. For research papers
co-authored with non-PSU researchers, the Table 11.5: Research
incentive (in pesos) by category
Publication Refereed Non-Refereed
Local 5,000 3,000
National 15,000 5,000
International 30,000 10,000
Institute for Scientific Information 50,000 -
same incentive percentage applies to the PSU researcher involved.
In case authorship involves foreign researchers who are not
affiliated with PSU, the total incentives shall be divided equally
among PSU researchers. However, non-PSU Filipino researchers
are entitled to receive incentives as stated in the above table. This
is to encourage exchange of expertise or enhance collaboration
among Filipino researchers.

11.5 Royalties

Research grantees shall be entitled to royalties as set forth in

the University Intellectual Property Policy Handbook when their
research outputs produce income. The royalty amount shall be in
accordance with the contract/MOA/TOR/ entered into by the
researcher and the University. In the absence of a royalty
agreement, the University Intellectual Property Policy shall prevail.

45
 11 Incentive

The University Intellectual Property Office (UIPO) shall be

responsible for technology licensing and commercialization
including computation for royalty rates and distribution.
Table 11.6: Pro rata incentive (in percent) of author(s) by degree of
participation

Category 1st 2nd 3rd 4th 5th 6th 7th 8th 9th 10
th
Single Authorship 100
With Co-Author 75 25
Three Authors 60 25 15
Four Authors 50 25 15 10
Five Authors 50 20 10 10 10
Six Authors 50 20 10 10 5 5
Seven Authors 50 20 10 5 5 5 5
Eight Authors 50 15 10 5 5 5 5 5
Nine Authors 45 15 10 5 5 5 5 5 5
Ten Authors 40 15 10 5 5 5 5 5 5 5

11.6 Awards and other incentives

Faculty or staff members engaged in approved research projects, as
additional incentives, shall be considered as priority recipients of
official travel privileges to attend relevant seminars, conferences or
conventions pertaining to research. They shall be awarded certificates
of recognition and/or cash upon the completion of their approved
research tasks. The cash incentive shall be determined during the
annual in-house review. The budget office shall allocate two percent
of the research budget from the university’s income to cover the cash
incentive.

46
11 Incentive

11.6.1 In-House Review Committee

The in-house review committee shall be composed of the following:
1. Vice President for Research and Extension

2. Research Director

3. Deputy Research Directors (2)

4. External Reviewers (2)

5. Budget
6. Officer

47
Amendment
If the modification of the guidelines will be deemed necessary at
any time during their application, the proper amendments shall be
submitted to the UREC for approval.

48
Effectivity
The guidelines presented in this manual shall take effect upon the
approval by the University Board of Regents. Once approved, it will
supersede other previous guidelines, memoranda, office orders and
the like.

49
Processing of Research
Minimum Required Contents of a Concept Paper
I. Research Title
II. Research Proponent/s
Name:
Designation and College/Office:
III . Brief Justification
IV. Objectives of the Study
V. Summary of Methods
Rating
Criteria Maximum Rating
Points
Clarity of the research problem 30
Appropriateness of methodology/strategy 20
Expected benefits to be derived 20
Reasonableness of the estimated duration 15
Reasonableness of the indicated budget 15
Total 100
Action Taken:
This concept paper is: Approved
Disapproved
Conditional (for revision and resubmission) Remarks:

Technical Evaluation Committee

3
Minimum Required Contents of a Detailed Research Proposal

Project Title
Implementing Institution
Address

Project Leader

Co-Project Leader

Duration

Introduction
Background/Rationale

50
 Statement of the Problem

Objectives

Review of Literature

Significance of the Study

Expected Output
Procedure/Methodology
Work and Financial Plan ( Tabulated )
Schedule of Activities Credentials of Project Leaders and Key Researchers Bibliography

Endorsed by Research Proposal Review Committee

Recommended by:

Research DirectorVPRE
Approved:

________________
President

51
Monthly Monitoring Form for Research PPAs

Implementation, Monitoring, and Evaluation of Approved

Research

52
 6
Progress Report on the Conduct of On-going Research

Title
Faculty researcher, and co-worker (if any)
Date started Date to be completed
Status
Implemented activities
Highlights of findings or data/info gathered
Percentage of completion in relation to the study as a whole
Succeeding action plan
Activities Target Schedule
Anticipated needs
Anticipated problem(s) and solution(s)
Budget
Personal services
MOOE (list items of expenditures)
Equipment Submitted by:

Noted:
Research Coordinator
College

53
Progress Report for Data Consolidation and Manuscript Writing

Title
Faculty researcher, and co-worker (if any)
Date started Date completed
Status (Percentage of completion of the following activities)
Activities Percent of completion

Data consolidation
Encoding
Data computation and analysis
Drafting of manuscript
Revision(s) of manuscript
Final manuscript preparation Succeeding action plan
Activities Target Schedule

Budget
Personal services
MOOE (list items of expenditures)
Equipment Anticipated needs
Anticipated problem(s) and solution(s) Submitted by:

Noted:

Research Coordinator
College

54
Minimum Required Contents of Full-blown Research Report

I. Title Page
II. Abstract
III. Acknowledgment
IV. Table of Contents
V. List of Figures/Tables/Charts
VI. Chapter 1 - Introduction Rationale
Objectives of the Study
Significance of the Study
Scope and Limitations VII.
Chapter 2 - Literature Review
VIII. Chapter 3 - Conceptual Framework
IX. Chapter 4 - Methodology
X. Chapter 5 - Results and Discussion
XI. Chapter 6 - Conclusion/s and Recommendations XII. Bibliography (Follow APA
Format)
XIII. Appendices F

55