Research Proposal Development and Review

2.1 Scope

This section outlines the processes and procedures which will be followed in the preparation and review of research proposals for studies to be carried out under the Institute's research program.

2.2 Objectives

The processes and procedures are specified to guide and facilitate the preparation of research proposals by the in-house research staff and outside researchers. They are also designed to expedite the review of the research proposals to ensure that the proposed studies meet Institute standards with respect to technical excellence and policy relevance of research.

2.3 Processes and procedures

2.3.1 Identification of research topics

The identification of the research topics shall follow the procedures discussed in Section 1 "Research Program and Agenda Development."

2.3.2 Identification of research proponents

Upon the identification of the topic for research, a short list of prospective researchers who may be engaged to carry out the planned study will be prepared by the Research Services Department . The list is prepared to permit the Institute to tap the most qualified and competent researchers to carry out its research studies. It will also help ensure that existing government regulations with respect to competitive procurement procedures for services are observed.

The list shall contain the names of individuals and research organizations that may be considered by the Institute for the proposed study. In addition, the list will include relevant information on the researchers and organizations such as their (or in the case of institutions, their staff's) academic background, research experience (particularly in the proposed field of study), and the Institute's previous contractual experience with them (if applicable). Finally, the list will provide a provisional ranking of the researchers on their suitability to carry out the proposed research on basis of available information cited above. The list shall be prepared in consultation with the Vice President and the senior research staff member of the Institute under whose research program the proposed study is most related.

In cases where the study may be undertaken by in-house staff, the preparation of the listing will be waived. The staff member will be asked directly regarding his/her availability and interest to carry out the proposed study.

To facilitate the preparation of the listing, the Research Services staff will be tasked with the establishment of a data base which will contain information on researchers and research organizations in the Philippines. This data base will draw on existing listings of researchers (e.g. the PSSC list, etc.) and contractor records currently available at the Institute. In addition, the Staff may actively solicit information such as vitae, organization profiles, etc. from researchers and research institutes.

The President will approve the listing of proposed researchers and their respective rankings.

2.3.3 Solicitation of research proposal

Upon approval of the listing, the Research Services Department will arrange a meeting with the first-ranked proponent. The purpose of the meeting will be to provide the proponent background information on the proposed study, to solicit his/her interest and availability to carry out the research, and to discuss with him/her the contents of the required research proposal. The President (and/or Vice-President), the Director for Research Services Staff, and the appropriate Research Fellow will be participate in the meeting. If deemed necessary by the President, a representative from the government agency who will directly benefit from results of the study (or who will finance the study) may be invited.

To facilitate the discussions, the Project Services Department will prepare, in consultation with the appropriate fellow and the Vice-President, a research prospectus. The prospectus will contain a discussion of the study objectives, scope of the study, maximum budget levels, and suggested time-table for the activity. Other available information (e.g. Terms of Reference prepared by the funding or user agency, background research program, paper) may be included. The research prospectus should be brief to allow the proponent maximum latitude to provide his own inputs to the design of the study.

The meeting should result in a determination of the proponent's interest and availability to carry out the study and agreement on a deadline for the submission of the research proposal. A memorandum summarizing the discussions and agreements during the meeting will be prepared by the Project Services Staff and included in the study's project file.

If the prospective researcher does not express interest or is not available to carry out the study, the next ranked researcher will be approached. To make the research solicitation process more efficient, the Project Services Staff may initially provide the research prospectus and other background material and preliminarily inquire on the prospective researcher's availability and interest to carry out the work prior to the above- discussed meeting.

2.3.4 Preparation of the research proposal

The prospective researcher shall prepare and submit to the Institute five copies of a research proposal covering the proposed study.

The proposal shall have three parts. The first part presents summary information on the project:

• Project title
• Name and address of the proponent
• Brief description of the project
• Total project cost
• Time frame

The second part provides a detailed technical description of the project. Its contents include:

• Objectives of the project
• Significance of the study
• Survey of past and current research on the subject area
• Methodology
• Conceptual framework of the study
• Sources of data
• analytical methodologies and tools

Part three presents the work and financial plan of the project. This section discusses:

• Proposed timetable for the project
• Research manpower schedule
• Budget
• Quarterly financial plan

In the case of studies to be carried out by in-house staff, the budget and quarterly financial plan will be prepared by the Research Services Department in consultation with the Administrative and Finance Department.

To guide him/her in preparing the proposal, the proponent will be provided with PIDS Form 15, Suggested Format of Research Proposal. This form describes in outline form the contents of the research proposal.

2.3.5 Review of the research proposal

Upon receipt by the Institute of the proposal, it will be forwarded to the Research Services Department for appropriate action.

The Research Services Department shall have primary responsibility and authority for coordinating the review of all research proposals submitted to the Institute. In carrying out this function, it shall draw upon other resources available within the Institute, particularly services from the Research Pool and the Administrative and Finance Department. Additionally, it may engage the services of experts outside the Institute to assist it in carrying out the review process.

The review process shall have four elements. It shall involve an assessment of:

• the substantive and technical quality of the proposal;
• the policy-orientation and usefulness of the research;
• the budget and financial plans of the project;
• the work plan and technical resources identified to carry out the project.

It should be emphasized that the review must have a critical yet constructive tone. The reviews should also aim to assist the proponent improve his research proposal so that he/she can most effectively and efficiently carry out his research work.

2.3.5.1 Review of the substantive and technical quality of the proposal

The objective of this review is to determine whether the proposal meets the technical standards for research proposals by the Institute. It will evaluate the objectives of the study and ascertain its contribution by examining how the study relates to past and current research in the area. It will review the study design in terms of the validity of its theoretical constructs, conceptual framework and the suggested hypotheses. It will also look into the adequacy of the proposed analytical and statistical methodologies to test the hypotheses of the study. In general, the review will ascertain whether the proposed overall research design will enable the researcher to satisfy his/her research objectives.

This review will be carried out by the appropriate senior fellow at the Institute and an external reviewer. In the case of the latter, the review will be commissioned and funded from the Project Development and Support Fund. To facilitate the review and to ensure evenness of the reviews in terms of their coverage, comprehensiveness, and thoroughness (particularly external reviewers), the Research Services Department shall prepare pro- forma guidelines (terms of reference) for the review of research proposals for distribution to the reviewers.

2.3.5.2 Review of the policy-usefulness and orientation of the proposed research

A copy of the proposal will be sent to a policy-maker or government agency who or that would be the most likely user of the research results. The aim of the policy-maker review will be to help ensure that the planned research work is relevant to policy needs. In particular, the review will indicate whether the proposed research addresses an important (current or anticipated) policy issue facing the policy-makers. The review will describe how the research as it is currently designed will (or will not) assist the policy- maker in resolving the identified policy issue. Suggestions on how the proposed research can be improved to take into account institutional constraints and nuances and be more focused to respond to the policy-maker's needs will be most welcome. In addition, a discussion on how the research could be facilitated through greater access to administrative data at the agency, designation of agency research coordinators, other forms of linkages with policy-makers, etc. would be solicited.

2.3.5.3 Review of the budget and financial plans

The Research Services Department will forward a copy of the research proposal to the Administrative and Finance Department with a request that it carry out a review of the budget and financial plans of the proposed study.

The proposed review will ascertain whether the costing of the resources (personnel compensation rates, fees for use of computing facilities, prices of supplies and materials, unit cost of field interviews, etc) meet Institute or (research) industry-wide standards. An analysis of the suggested overhead rate (where specified) would be necessary to determine its reasonableness in addressing indirect and unallocable expenses. Additionally, the review should indicate whether the total cost of the project can be adequately supported by financial resources of the Institute or from solicited grants. Finally, the review should examine whether the quarterly financial plans are consistent with the work program and the implied schedule of releases of financial grants are in consonance with the Institute's projected cash positions over the life of the project.

2.3.5.4 Review of the work plan and requisite technical resources

The Research Services Department shall evaluate the activities described in the work plan and determine whether the project can be feasibly implemented in terms of the proposed time schedules and the identified inputs. The availability of the inputs required for the delivery of the proposed outputs will be examined such as the identification and recruitment of project personnel, contract arrangements with data collection agencies, etc. It will also look into the proposed management structure for the project to ensure that adequate control and supervision systems are in place. It will also examine the review and policy-linkage mechanisms that may have to be set in place for the project.

The Research Services Department shall integrate all the comments of the reviewers as inputs for consideration of the proposal by the PIDS Proposal Review Committee.

2.3.6 Proposal Review Committee

There shall be established a Proposal Review Committee which shall be tasked with the final review of, and recommendation to the President of the Institute on, research proposals to be funded by the Institute. The Vice-President of the Institute shall chair the Committee. Ex-officio members are the Director for the Research Services Staff and Director of the Administrative and Finance Staff. The fourth member of the Committee will be the research fellow under whose research program the proposed study will fall. The Research Services Department will serve as the secretariat to the Committee.

The Committee shall consider all the reviews prepared on the subject proposal and determine the appropriate action that need to be carried out on the proposal. On the basis of the review, it may decide outright approval or non-approval of the proposal. On the other hand, it may require revisions to the proposal prior to approval.

In the case of the former, the Project Services Staff shall prepare a memorandum to the PIDS President for signature of the Committee which shall contain the Committee's recommendation of approval or non-approval of the proposal. The memorandum shall describe the proposed project, discuss the review results, and document the Committee's deliberations.

In the case of the latter, the Project Services Staff will request the prospective researcher to revise his proposal. To guide him/her in revising the proposal, a project review sheet which contains the results of the external and internal reviews undertaken on the proposal as well the Committee's specific recommendations for revisions. A meeting with the prospective researcher, the Committee Chairman, and the Director of for the Project Services Department may be arranged to clarify the necessary revisions. The proposal which has been revised to incorporate the comments and suggestions of the Committee and the reviewers will be resubmitted to the Committee for reconsideration.

2.3.7 Approval/non-approval of the research proposal

The President shall, on the basis of the Committee recommendations, approve or not approve the research proposal for support and funding by the Institute. If he approves the proposal, he shall direct the preparation of the necessary documents and contracts necessary for implementing the project (See next Note). He will also sign a letter prepared by the Research Services Staff informing the proponent of the approval of the research proposal and advising him/her of the succeeding contract preparation and negotiation activities.

In the case of non-approval, the President shall sign a letter prepared by the Research Services Staff informing the proponent of the negative action taken on his proposal.

In cases where Board of Trustees action on the proposal is necessary (for studies exceeding P300,000), the President shall recommend to the Board approval or non- approval of the proposal. This may be undertaken during the PIDS Board meeting or by referendum, when necessary.

Chart 2 outlines the processes and procedures described above.