“START was originally a sustainable plan but there were issues (e.g., which institutions to include) in its implementation.”
STRIDE Representative
As explained in a context validation meeting
On Perfomance Indicators
STRIDE’s context indicators (Table 4) provide a comparative look at innovation in the Philippines.
The Philippine ranking in the Global Innovation Index (GII) increased from 54th in 2019 to 50th in 2020 and dropped slightly to 51st in 2021. The country’s ranking on innovation linkages increased from 2018 to 2020, from 93rd to 64th. However, there was no observed change in percentile ranking on government effectiveness (USAID self-reliance metrics) from 2018 to 2019, and there are no data available after this period. The ranking on the university/industry research collaboration indicator increased from 2018 to 2019 but declined slightly in 2020.
According to respondents, the Philippine Government’s convergence efforts on innovation represent STRIDE’s most significant contribution. Some of the convergence efforts that STRIDE supports with technical assistance are:
IR1 has three sub-IRs: Sub-IR 1.1 Improved HEI faculty and staff capabilities; Sub-IR 1.2 Strengthened science and tech curricula; and Sub-IR 1.3 Strengthened HEI linkages with industry. It has five performance indicators.
IR1 has the highest level of improvement in the capacity to innovate among the three IRs.
Table 5 summarizes STRIDE’s performance in meeting its indicator targets. Annex A.1 provides full details on performance indicator baselines, targets and actuals.
ADDITIONAL TASKS IR1 (STRIDE REVISED FRAMEWORK, MAY 21, 2021)
There are four additional tasks and two subtasks for the IR1 listed in the 2020 STRIDE Annual Report.
The additional tasks are:
For task 1, the evaluation team finds that the high level of engagement between academe and industry, as shown by an increased number of KTTOs and Career Centers, can support local labor markets with the competencies required for economic growth. STRIDE completed this task’s objectives by carrying out its two subtasks: creating mentors’ guides for engagement mechanisms and growing and supporting mechanisms in local universities. The guides and courses have increased the numbers of KTTOs, PSMs, and linkages. Although completing this subtask achieved STRIDE’s objectives, the last two years of STRIDE’s second phase forced all participants to attend these programs remotely.
The second task, regarding technical assistance for implementing PASUC’s PISI 4.0, began with STRIDE and PASUC conducting several diagnostic assessments of SUCs. Of the 12 pillars of innovation in the assessment frameworks, PISI adopted the four that emphasize intellectual capital. STRIDE’s diagnostic tool serves as a metric to assess PASUC members on activities that foster innovation with an emphasis on academic capacity. This metric may be expanded to include other innovation pillars that focus on increasing the competencies of HEI actors in the IE.
In task 3, STRIDE established the Skills in Technical and Advanced Research Training (START) Center in Q2 2021. The Center serves as a local training institution that enhances R&D competencies of Filipino researchers and faculty members. This was part of STRIDE’s sustainability plan, with the goal of continuing what STRIDE began.
“START was originally a sustainable plan but there were issues (e.g., which institutions to include) in its implementation.”
STRIDE Representative
As explained in a context validation meeting
The START Center began in Q1 2021. STRIDE made sub-awards for additional centers to two universities in the NCR region during Q3 2021. The evaluation team recommends assessing capacity to start local training centers for HEI in other regions to increase the number of research training providers.
The R&D Grant for WARP is the last additional task in IR1. The R&D Grant for WARP seeks to enable HEIs to apply results of their research activities toward solutions that are appropriate to or adaptable within the “new normal” operating environment. STRIDE received 26 proposals from eligible previous grantees and made grant awards to five Philippine universities.
IR 2 has one Sub-IR 2.1, four indicators, two additional tasks, and four subtasks. Annex A.1 provides full details on performance indicator baselines, targets and actuals.
The regulatory enabling environment for innovation has slightly improved. Changes to policy and regulatory environments are not often realized in a short time. There are other factors—such as legal reforms, increased capacity in government for innovation policy, and a strong innovation leader—that should accompany successful changes to policy and regulatory environments. Thus, while STRIDE has pushed for both the procurement and the HEI R&D framework to improve the regulatory environment’s capacity to innovate, uptake will take time. Government agencies, particularly DTI and DOST, have embraced policy changes to improve the IE.
ADDITIONAL TASKS
There are two additional tasks and four subtasks for the IR2 listed in the 2020 STRIDE Annual Report.
The additional tasks are:
The subtasks under task 1 are 1) institutionalization of R&D procurement policies in select HEIs that do not have them yet; and 2) support for government agencies to improve R&D procurement policies and legislation, where activities are still ongoing.
For task 2, the first subtask is dissemination of policy papers on research incentives and extension. This subtask is complete, and the recommendations presented in these papers could serve as a foundation or blueprint for designing future strategic plans to increase SUCs’ capacity for innovation. Given the pandemic-driven landscape in which SUCs currently operate, STRIDE’s papers also provided a lens on the role of SUCs in mitigating COVID-19. It describes research and academic extension activities as the most tangible platforms for SUCs to demonstrate their ability to deal with unexpected crises, such as the pandemic.
The second subtask is support for policy improvements in research incentives and extension in select HEIs. This is still ongoing and is very promising, especially with the planned expansion. Mindanao State University-Iligan Institute of Technology (MSU-IIT) has an ongoing pilot for policy improvement based on STRIDE’s policy paper. The pilot involves a four- to six-month “change readiness review” to revamp the current Research and Extension Manual to conform with STRIDE’s policy document (2021 QR1 STRIDE). Once successful, these policies can be adopted in other SUCs and private universities.
Technology transfer, commercialization, collaborative activities with the private sector, and community adoption of university-generated technologies were identified as mechanisms that propel S&T extension to the forefront of innovation. Recommendations from stakeholders included creating metrics to measure social impact, especially for S&T extension work, and creating a central database to store university-produced innovation and technologies that stakeholders can easily access. This is an ongoing activity through the RIIC.
“We have to do something with research because Xavier University is a teaching university, but we are moving to research, and we are still in the transition.”
Representative, Xavier University
We also found during these consultations that “Research incentives are not merely confined to monetary awards. Instead, researchers are keener and more inspired to perform R&D activities if the structural and institutional support is present in the HEI environment.”
(2019 STRIDE Annual Report, p. 49)
The evaluation team asked online survey respondents (Set B) to assess improvement in the regulatory environment for innovation at their institutions. Table D.19 summarizes these results. The most common answer was “new laboratories, institutions, and training programs” (64 percent), followed by “improved scientific workforce (people services)” (54 percent) and “science-based guidelines” (50 percent). Lagging behind was “improved approval for utility model” (27 percent), “improved application for utility model” (31 percent), “improved approval for intellectual property patent” (31 percent), and “improved procurement policy” (31 percent). These findings support the qualitative data that commercialization activities still need more policy support and demonstrate the weakness of extension/technology transfer policies.
This IR has one Sub-IR, which is improved government capacity for innovation. It has five performance indicators, four tasks, and ten subtasks. Assessment of IR3 shows that it has achieved a level of improvement higher than IR2 but lower than IR1. A summary of findings, conclusions, and recommendations for these IR indicators appears in Table 7. Annex A.1 provides full details on performance indicator baselines, targets and actuals.
The four additional tasks of this IR are the following:
The subtasks for the convergence include supporting DTI’s Competitiveness and Innovation Group for capacity development, policy formulation, and program implementation. The evaluation team found all these activities were complete and relevant. Another subtask involves technical input on government-identified innovation to create synergy and alignment among agencies, such as the DTI, DOST, IPOPHL, NEDA, and CHED. STRIDE provided technical support for the development of the roadmap by co-organizing FGDs with the manufacturing, services, and agriculture sectors.
STRIDE achieved task 2, establishment of the eight RIICs. Pilot RIICs are doing very well, and we have found that they are expanding the IE. This task has four subtasks, one of which is institutionalizing the RIIC initiative in selected regions. Seven out of eight RIICs have Regional Development Council (RDC) resolutions for policy support. A second subtask involves mapping innovation stakeholders and initiatives in the RIICS. A third subtask is strengthening linkages among innovation stakeholders in the RIICs. The last subtask is the alignment of existing programs and facilities to industry needs via the RIICs.
Task 3 concerns technical assistance to DOST. It has four subtasks. The first is technical assistance to DOST-funded research and start-ups. The second subtask involves mapping business processes and providing technical assistance to grant programs. This subtask has completed outputs, such as a grants management system, to include an operations manual with proposed R&D process improvement indicators); a proposed harmonized GIA competency framework and communication plan; and the case study for the CRADLE Program. Another subtask, providing technical assistance in communicating the outcomes of R&D, has produced social media platforms, policy briefs, and other materials that relay research outputs in easy-to-understand terms. Inputs focused on the role of communication in supporting research monitoring and evaluation (M&E). This subtask has very satisfactory results and DOST is adopting the system. The last subtask concerns increasing industry engagement of DOST units or programs. One DOST program that has embraced this is the Collaborative Research and Development to Leverage the Philippine Economy (CRADLE), which is DOST’s leading grant initiative for industry-academe linkages. From a small number in 2020, this year (2021) CRADLE proposals at the national level totaled 123 (KII with DOST undersecretary [USec] 2021).
The last additional task is technical assistance to CHED for an organizational assessment. The study team is completing data collection and analysis this quarter (QR3 2021), which is taking longer than expected due to limited data available from CHED and difficulties conducting interviews during the pandemic. CHED has a significant role in the IE, and the assessment is important for supporting STRIDE’s continuing engagement of the CHED.
On Evaluation Questions
More than ten years ago, the National Innovation System (NIS) recognized the value of innovation as a strategy for poverty reduction in the Philippines. The NIS framework, which DOST introduced in 2007, was a means to enhance the nation’s innovation performance and competitiveness (KII with DOST USec). During that time, innovation efforts were fragmented and did not connect the players—the producers and consumers of technology. A DOST policy review in 2007 identified the NIS flaws as weak public-private collaboration in R&D; a weak technology transfer system; issues related to technology ownership and information sharing; weak support for S&T and a lack of resources for technology transfer; a weak IP culture; declining human capital in R&D; and policy setbacks.2
The first Innovation Ecosystem Assessment (IEA) results in 2014 identified these missing links as well.3 The disconnect is brought about by an absence of trust among the actors. In 2017, in a STRIDE-convened meeting, DOST sought a partnership with DTI during which the DOST secretary assigned DTI as the lead in crafting the Philippine Inclusive Filipinnovation and Entrepreneurship Roadmap. This was the start of a positive relationship between the two departments (KII with USec DTI and DOST). DOST and IPOPHIL KII respondents also noted that they believe STRIDE’s most important achievement at the national level is linking these two major players in innovation. Innovation is now a goal of science policy in the Philippines (PDP 2017-2022). STRIDE’s presence was timely as the government was also beginning its efforts to move toward a strong IE (KII with USec DTI and USec DOST). STRIDE complemented government efforts because policies were already moving in that direction. It built confidence among local actors though science- based approaches to the roadmap preparation and other capacity-building activities (KII with DOST USec IPOPHIL DG). In 2019, the IEA results were much improved.
STRIDE facilitated the convergence of partners to innovate with whole-of-government and whole-of-community approaches for the IE. As our KII respondents mentioned, innovation only became more meaningful when the various agencies recognized that they needed to work together and an IE framework was needed. This section presents an evaluation of STRIDE through three lenses: relevance, effectiveness, and sustainability.
In what ways has STRIDE contributed to addressing the development challenges as outlined in the Filipinnovation Roadmap of the Philippine Development Plan (PDP) 2017–2022, USAID Policy on Education, and USAID higher education program framework?
Interventions were targeted, focused, and responsive to the needs of actors in the IE, such as Innovation for Business Recovery (IBR) and WARP. The Philippines Government innovation policies and development plans see innovation as a prerequisite for creating high-value jobs and reducing poverty. RIICs and GIA reaching out to industry and MSMEs form a critical part of the strategy to increasing innovation in the Philippines. Capacity-building through local research and business communities’ participation built trust among actors.
The IE requires connections between the research-driven knowledge economy and the marketplace-driven commercial economy “and it is in this intersection that the Philippines, like most countries, is facing difficult challenges” (RTI, 2017 page 4, cited in DTI 2019).4 The various STRIDE interventions at HEIs have improved this disparity by developing industry-oriented curricula through the PSM, student-industry links through the Career Centers, and advancing the use of research products through the KTTOs (Source: online survey results 2021 [Set A, Annex C]; IEA 2019).
STRIDE addressed the developmental priorities outlined in the Higher Education Framework5 and the STI needs of key stakeholders at the national level, such as managing pandemic situations, using digital technology, conducting and applying research, delivering quality education, and engaging with communities. Key informants cited technical assistance and capacity-building most often. This technical assistance and capacity-building includes Strategic Foresight training, ideation workshops, innovation conferences, and STRIDE’s support for various institutions in IE (Annex F National 1).
“In 2017 was the first innovation conference. STRIDE was there at the right time and place. STRIDE was there facilitating, realizing, but innovation was not fashionable then. After this year [2017], there was [a] yearly innovation conference and STRIDE was there for logistical needs. After all the regional FGDs/workshops, [the] main recommendation was to establish RIICs. Stakeholders were afraid that the roadmap will focus on the national level, and not to flow at the regional level. This is how the RIICs was born.”
Representative, Department of Trade and Industry
At the regional level, STRIDE also facilitated collaboration among several institutions and provided technical assistance to strengthen these new linkages. This enhanced multi-agency collaboration through the exchange of R&D experiences (Annex F Table 1).
“How to gel Coffee R&D Center [in Cavite State University] and RIIC [in Batangas State University]? However, it is also an opportunity for inter-SUC collaboration. The exchange on R&D experiences and works can be enhanced.”
Representative, National Economic Development Authority, Region 4A
HEI-industry collaboration was also the focus of STRIDE activities.
“We have started talking to industries, industry locators and they are willing to partner with us in converting the industrial park to a Science and Technology Park. That is an opportunity where STRIDE can help us. We consider that as a big opportunity for the USTP to pursue on that vision or plan. We see the future of this region, maybe there will be a ‘Silicon Valley’ here.”
Representative, University of Science and Technology of the Southern Philippines (USTP)
(Region 10)
“We also have activities such as INNOVATION HUDDLE where it is a reverse pitching where industry presents their problems, and we look for researchers to solve these problems. They will be asking us if we have the capacity to solve problems.”
Representative, UP Diliman-UPSCALE
At the HEI level, technology transfer and an industry-responsive curriculum via the PSM improved an institution’s capacity to innovate (Table 8). Capacity-building, collaboration, and policy support improved the capacity to innovate and strengthened the linkages between GIA and the RIIC. At the national level, KIIs noted responsiveness to stakeholders’ needs and trust building were responsible for facilitating national innovation policy development. Further, if there is emerging need that was not part of the assessment, STRIDE has been responsive by providing support in a timely manner (such as pandemic-related activities) and is flexible to key stakeholders’ social and economic changes in the IE.
Comparing best practices and metrics of other institutions that are successful in their respective IEs was an important knowledge transfer for national actors, who said that the study trip to the United States in 2017 was a turning point for improving IE in the Philippines. As mentioned in one KII,
“Experts provided by STRIDE and deployed to the Philippines and the knowledge shared to us are invaluable. These have helped set our policy direction to generate more technology transfer activities and build greater relationships between the academe and industry. Sinabi ko na po before yung study tour namin [“I already mentioned the study tour”] in 2017 with Sec. Mon. It was truly a catalyst. The relationship between government-industry-academe was strengthened. These were reflected in many joint innovation programs and policies including the landmark Philippine Innovation Act that we are implementing today. After the trip, the government side resolved to pass the Innovation Act at that time.”
Representative, Intellectual Property Office of the Philippines
Further, the evaluation team asked KII respondents about their perceptions of the influence of STRIDE interventions in improving their IE by rating elements of the innovation ecosystem. Quantitizing the qualitative ratings (Figure 3) reveals the differential ratings of various actors. National respondents rated human capital and education highly while the HEIs rated knowledge transfer as high and regional government officers rated collaboration as high, affirming the findings of the qualitative data analysis. In the aggregate, knowledge transfer had the highest score, followed by collaboration (Figure 4).
CHALLENGES
Although STRIDE provided a number of positive interventions in the country, there are still some challenges to fostering a robust IE. These are organized into four categories (Table 9): beginning level of innovation culture; varied innovation capacity; beginning level of social capital; and bureaucratic processes for procurement of goods and services. ”Beginning level of innovation culture” represents the government’s low perception of STI’s positive impacts for economic growth, slow response to STI-related requests or needs, and low capacity level for innovation as reflected by diagnostic assessment. “Varied innovation capacity” pertains to different levels of capacity and institutions’ needs. This is a challenge because approaches are not differentiated based on stakeholders’ needs. Although there is a diagnostic assessment, there is currently no variation in approaches to enhancing the capacity of actors in the IE. Social capital is at a beginning level as well. This is evident in problems with information flows between and across groups and levels of analysis, few opportunities for graduates to use their skills and qualifications, and exclusivity of information (i.e., data is not shared). Lastly, “bureaucratic processes for procurement of goods and services” presents a challenge that should be addressed.
Some respondents noted higher-level challenges. Cebu Institute of Technology’s challenge is to become an entrepreneurial university in addition to producing graduates who score high on their board exams. Other private HEIs in the sample face the challenge of transforming into research universities. For UP Diliman, the challenge involves the transformational relationship between academe and industry at the point when start-ups grow up to become “toddlers” and “teenagers.”
“When we collaborate with industry the technology transfer is always going to be a problem, along with intellectual property and so on. We’ve gotten a lot of advice on that, part of the KTTO training involves how to set up these kinds of partnerships, negotiating, so part yun ng program nila kasi yan yung ‘dating’ [“so that is the ‘dating’ part of their program”] and yung [“the”] engagement, the last part naman yung [“is”] negotiation yun yung kasal [“the wedding”]. The negotiation is leading to the nuptial agreement and marriage. So for example for our collaborative research right now we have to anticipate that the goals of that research will be met and so what’s next after that? That’s also covered under the KTTO training. Yun yung [“that is the”] challenge, yung [“the”] last stage will be a challenge for us. STRIDE has provided some training to address this. Now they have a manual. We are rolling out a training program for that manual.”
Representative, UP Diliman-UPSCALE
OPPORTUNITIES
In terms of opportunities, STRIDE’s interventions are a very clear response to the need to expand innovation capacity. These opportunities come from linkages, funding, mapping experts to needs, and assessing the scalability of programs. The evaluation team observed varied innovation in terms of institution building and leadership. Evaluation also revealed beginning levels of innovation capacity and social capital (Table 9). Other opportunities that HEIs cited include “financial resources,” which refers to funding support from different institutions or agencies, and “knowledge protection and creation,” which refers to establishing knowledge through collaboration and technology-sharing schemes between university and industry partners. Regional officials cited other opportunities, including harnessing industry engagement and commitment; policy support for sustaining STRIDE’s gains; availability of institutions, people, and data in the S&T innovation sector; capacity development for intellectual property in the academic and private sectors; funding opportunities from government and industry; and sharing facilities for new product development (Annex F Table 1.3 ).
“Because of the experience that we had, there were many opportunities that opened up. There is no natural culture of trust yet, but it has been cultivated with STRIDE with some selected companies in the Philippines.”
(KII with De La Salle University [DLSU] representative)
“USAID STRIDE is the key player wherein we are able to develop further our capacity as a university to extend our R & D capability to the communities. Three years ago, we were able to join a capability-building program of DOST supported by STRIDE to build our technology biz incubation lab, and second, building our capabilities in terms of technology transfer. These capability-building programs of USAID STRIDE have enabled us to extend our R & D capabilities to our MSMEs in the localities which is key to fostering the growth of the RIIC in the region.”
Representative, HEI Region 7
“The STRIDE triggered the creation of the Regional Research, Development and Innovation Committee under the RDC-X. The creation of the RRDIC aimed to bridge the gaps and challenges of regional socioeconomic development by ensuring research, innovations and other S&T-based projects are relevant, responsive and aligned to the regional development thrusts.”
Representative, NEDA Region 10
As shown by stakeholder comments above, STRIDE strategies align with the 2018 USAID education policy and USAID higher education policy. The KTTO, Career Centers, and the PSM address these policies. The strategies also address core functions of the higher education system, such as advancing knowledge and research, providing quality and relevant education and workforce training, and engaging and strengthening networks and communities (USAID Higher Education Framework, June 2021). STRIDE promoted linkages between industry and HEIs and increased capacity at HEIs for relevant, responsive, industry-oriented curricula. The establishment of the RIICs will potentially spur employment in the countryside, which has the potential to bring sustainable economic growth and development, addressing unemployment problems. Recent data show that 24 percent of college graduates in the country are unemployed.6
In what ways did STRIDE contribute to achieving the three IRs on improved higher education institutions’ capacity for innovation, improved regulatory and policy environment for innovation, and improved government capacity for innovation?
IR1 has the greatest number of innovation activities, on the side of both STRIDE and its partner institutions, while IR2 had the fewest interventions.7 Two factors that helped HEIs to increase opportunities to achieve and sustain improvements in the innovation sector are: a) the curricular programs they developed, and b) the autonomous status of some universities. STRIDE made the greatest impact through linkages and collaborations among the actors in the IE. This has improved cooperation among government departments which affects improved policies for extension services of government, industry, and academe.
The success of RIICs’ contribution to change in the IE followed a Filipino cultural process known as kapwa (“shared inner self”). Among the categories, IE actors reached pakikipaglagayang loob (“acceptance”), which resulted in increased trust that made RIIC initiatives successful. Comparing improvement in R&D processes between HEIs and RDIs showed that HEIs focused more on increasing funding and research while RDIs focused on the commercialization of their output.
Among the three IRs, IR1 had the strongest link to achieving the development goal of inclusive growth through strengthened science, technology, research, and innovation capacity. For brevity, only the results for IR1 are shown in this section since its link to achieving the development goal is strongest; results for IR2 and IR3 are found in the annex section (Annex E. HEI.2 and 3).
Table 10 shows STRIDE interventions under IR1 and HEI innovation activities. Under the quantitative results, most of the STRIDE capacity programs that survey respondents attended were KTTO, START, and other U.S. Government (USG)-related programs. Many of STRIDE’s activities served as the basis for HEIs’ improved capacity. This is evident in research development as revealed by their proposals, completed research, and publications. The evaluation team also observed confidence to innovate in HEIS in various goods and services innovations they introduced in their respective institutions (see Annex E. HEI.1 expanded version). These activities were consistent with the qualitative results in which key informants described all the capacity-building for innovation activities they attended.
Annex E. HEI.2 shows STRIDE’s input on improved regulatory environments and output of their partner institutions and agencies. Compared with IR1, only one activity was observed to have contributed to an improved regulatory process in IR2, the funding of research on procurement. This research is the first to study the role of procurement in innovation. Actors in the IE complained about procurement more than any other factor in the evaluation’s KIIs and FGDs. One key informant described this initiative as “understanding the problem [of procurement].” Because the study was ongoing during the evaluation data collection period, the evaluation team did not have access to specific interim results. Although there are issues in procurement policy, GIA linkages still resulted in improved policies for research incentives, application and approval of utility models, extension services, revision of science-based guidelines, and establishment of new laboratories. (Please refer also to IR2 discussion above and in Annex A.1.)
Annex E. HEI.2.3 reflects the innovation activities of several government agencies and their partners under the STRIDE project. The evaluation team adapted a survey on introduced goods and services as forms of innovations from The Community Innovation Survey 2014.8 Goods are tangible objects such as COVID-19 testing kits, contact tracer applications, or journal publications, while services are usually intangible items such as PSM curricula, training, workshops, modules, and partnerships, among others. During the extension phase of STRIDE, respondents were able to introduce these innovations in their respective institutions. Under goods, RIICs (22.7 percent) have introduced more product innovations than GIAs (9.1 percent), specifically for equipment. Under services, GIAs (18.2 percent) have developed more PSM curricula than RIICs (9.1 percent). More than half of the respondents for each group reported that these innovations were new to their disciplines and institutions. For process innovation, both groups reported improved methods for manufacturing. When it comes to the logistics of manufactured goods, RIICs (27.3 percent) have more improvement than GIAs (4.5 percent). Overall, various agencies introduced and developed because of their linkages and partnerships with other institutions. Note, however, that RIICs introduced more innovations compared to their GIA counterparts. This is likely attributed to the RIICs’ entrepreneurship focus compared to GIAs, although the evaluation team does not have direct evidence to support this conclusion.
Comparison of the three IRs showed that IR1 has the greatest number of innovation activities on the side of both STRIDE and its partner institutions. Second in rank is IR3, in which partnerships, linkages, collaboration, and cooperation formed during the extension phase.
“Mas maraming accomplishments ang STRIDE sa 2nd phase kasi mas committed na ang government” (“STRIDE did a lot more during its extension phase”).
IPOPHIL Representative also observed this during the interview with the evaluation team
On the other hand, IR2 had the fewest interventions because it is deeply connected to the host government’s laws.
Table 10 provides detail on STRIDE interventions under IR1 and the HEI innovation activities.
The evaluation team asked survey, interview, and FGD respondents to compare the different STRIDE strategies and interventions. Analysis of the data indicates that STRIDE’s technical assistance ranked first in KIIs (Annex G.FGD.1). This strategy falls mostly under IR1, which is comprised of sharing of expertise (how to innovate), instruction (KTTO), skills (curriculum development), and consulting services (via international or local experts). This is evident in one of the interviews at the national level:
“STRIDE is coordinating with us. We asked STRIDE [for] help on turning CIP in Marikina as innovation center. STRIDE made a study and presented it to us. Some recommendations [from the study] were implemented. We asked STRIDE to help us in carrying out seminars and FGD in order for us to identify the current shape of innovation in the region. In 2017 we presented IR4. STRIDE sent speakers in this event. We also asked STRIDE to carry out initial innovation assessment in 2015.”
Representative, Department of Trade and Industry
STRIDE’s technical assistance with innovation was very helpful across the three levels: national, HEI, and regional. Linkages ranked second (M = 3.16). The evaluation team notes that linkage is connected to RIICs, which is the primary objective for the STRIDE extension period. However, linkage without improved capacity to innovate is not sufficient. Thus, technical assistance as a form of knowledge transfer contributed to improved capacity to innovate across actors in the IE.
The improvement in intellectual and innovative capacity, acquisition of machinery and resulting increase in research activities, and maintaining committed partnerships within the IE were ways that HEI’s contributed to addressing obstacles inherent in their respective institutions. These contributions had positive effects in the IE.
One example of the improved HEI capacity is in the curricular programs they developed. Improvements in HEI capacity are translated in their developed curricular programs. Recall that STRIDE exceeded its indicators during the extension period for KTTOs, PSMs, and Career Centers (Table 5). The goals of these programs are to increase capacity in competencies that are necessary for research development, technology, and innovation as well as leadership and entrepreneurial skills. These goals ensure the sustainability of STRIDE interventions by providing a continuous supply of future innovation actors in the IE. Compared to public universities, the autonomous status of several private universities expedited development and approval of such programs (e.g., PSM). Unlike public universities, private universities are required only to inform CHED of new programs while public universities must follow a complex curriculum development process. One private university told the evaluation team:
“When we applied for the programs, this is of course under the leadership of USAID STRIDE. We benchmarked our curricula with universities in the U.S. So, we may not necessarily follow CHED rules, we can do this because TIP [Technological Institute of the Philippines] is an autonomous institution. We just had to inform the CHED of our desired curriculum and it was approved”
Representative, Technological Institute of the Philippines
This unrestricted feature of private institutions is a very important variable in providing innovative curricula. It means they do not face the kinds of delays in creating new programs or curricula that public universities face.
Acquisition of machinery and research activities have also increased during the STRIDE extension period. The survey administered to FGD participants concerning their GIA partnerships showed that close to 50 percent have acquired new machinery and more than 50 percent conducted in-house or contracted-out training for their personnel (Annex D, Table D.13 & D.14). Partnership is an essential component of innovation, but not all actors succeed in achieving this. In a virtual FGD, all representatives (n = 12) pointed out that committed partnerships strengthened their linkages (Annex G. FGD.2). This is evident in a comment from one of the participants from the HEI sector:
“In terms of the industry, we see the partnership getting stronger with the committed personalities involved in the program. It’s very important that it is not just institutional based, but champions based in those institutions who are engaged in our common program because sometimes the institutions are busy with other things but if there are some focal champions on these, then we can have a longer way in achieving our common/shared objective”
Representative, University of the Philippines Los Baños [UPLB]
“Commitment” refers to cooperation among partners who share the same vision for scaling up and commercializing technologies and who recognize each other’s roles and responsibilities in the IE.
At UPLB, STRIDE’s contribution was in the pedagogy or delivery of courses rather than a change in the curriculum. UPLB faculty members attended the seminar-workshop on case analysis, the outputs of which were case studies for use in class. According to Dr. Dinah Depositario of UPLB, “this was the first time that Philippine cases written by Filipino authors were made available to students.” She is still applying the knowledge she gained from workshops and a study visit to the United States to delivery of courses.
On the other hand, there are some obstacles that are beyond the control of HEI and other actors in the IE. Annex G.3 shows that, among the four challenges that influence STRIDE’s effectiveness, key informants at the national, regional, and HEI levels most often cited the mismatch of competencies and capacity between academe and industry. This challenge involves differences in the innovation competencies of partnerships, specifically regarding mindsets, institutional timelines, faculty expertise, and scalability of a product after academe and industry develop it.
STRIDE’s work in IR 3 made the greatest contribution (“impact,” as phrased in the STRIDE AMELP learning question) to improved institutional policies. In Annex G. HEI.1, six out of 11 HEIs explained that STRIDE made a significant contribution to optimizing or implementing policies internal to their institutions—that is, institutionalizing policies to improve organizational processes (e.g., procurement, research, and commercialization):
“KTTO built capacity to integrate policy into the mindset of the stakeholders especially the researchers, faculty and students. All mechanisms have been influenced but the greatest impact is on the intellectual property policy”
Representative, University of San Carlos
This is similar to survey results in which respondents also mentioned STRIDE’s work on institutional policies most frequently (Annex D, Table D.22). Respondents also mentioned procurement in terms of expediting the purchase of materials needed for research:
“One project that we had, NICER, when it was granted for 1 million, the equipment was procured by STRIDE, rather than it is done by the university and go to the process of procurement. The equipment was bought immediately. It was better than us making the procurement”
Representative, University of Science and Technology of Southern Philippines [USTP]
Prior to STRIDE, a consortium of RIICs was already in place. However, national agencies did not communicate well with their regional offices. STRIDE opened collaboration at the national and (especially) at the regional levels. STRIDE activities, such as ideation workshops that facilitated communication and collaboration among agencies and translated technology into layman’s terms for typical industry participants, have improved the consortium model.
The success of RIICs’ contributions to change in the IE coincides with two categories of Filipino cultural values known as kapwa, or “shared inner self.”9 Kapwa is considered to be the “heart of the structure of Filipino values.”10 The concept kapwa has two categories: Ibang-Tao (“outsider”) and Hindi-Ibang-Tao (“one-of-us”). The idea of interaction is very important to understanding the loob (“inner self”). Capturing the loob of your fellow being is related to time.11 This means movement of time as it enters the loob and of the loob as it moves through time. In short, in Filipino culture, to be accepted in the group you must get through the loob (“inner self”) of the members.
Among the levels of interaction, Santiago and Enriquez recommended that, at the very least, individuals establishing a relationship with another group should reach pakikipaglagayang loob (“acceptance”).12
At the level of acceptance, trust has already been established, and this is where we can situate the success of RIICs. Specifically, it is trust in the partnership, which refers to believing in the capability of partners to pursue joint activities. This is reflected in an explanation from an industry representative from one of the FGD sessions:
“The group works because of the trust for each other. We believe in the capability of each member of the group. We are pursuing a lot of activities with the Batangas State University including the moringa, pepper, and inland and marine fisheries projects. We are having livelihood projects for the poorest of the poor. We have brought a lot of personalities in our linkages including the Indian ambassador. We are not only relying on government funding but also donors from other countries”
Individual, Region 4-A
Trust has strengthened linkages and collaborations among actors in the IE. These two factors are rooted in STRIDE’s philosophy, which is a “whole-of-government approach” at the national level and a “whole-of-community approach” at the regional level. Linkages and collaborations have broken the silos that effect improved policies for extension services of government, industry, and academe (Annex G.2)
Annex D. Table D.23 shows the R&D grant processes for HEIs and RDIs (Table D.23). Quantitative data for this sub question are limited to a) activities and expenditures for product and process innovations, and b) intellectual property rights and licensing. Data for HEI are combined with their government and industry partners (GIA). Results indicate that activities and expenditures for product and process innovations were similar in number between GIA and RIIC groups. However, RIICs (27.3 percent) have contracted out more external R&D to other institutions than GIAs have (13.6 percent). For intellectual property rights and licensing, GIAs (18.2 percent) have applied for more patents than the RIICs have (9.1 percent). RIICs (18.2 percent) have registered more of their products for trademarks than GIAs have (4.5 percent). RIICs (9.1 percent) have also licensed out their patent and industrial design rights while GIAs have not done this at all. Responses from RIICs showed that R&D grant processes are more entrepreneurial in nature than those of the GIA group.
Recall that GIA has more patent applications than RIICs. Analysis of qualitative findings in Annex G.FGD.2 shows that academe sectors (HEI) focused more on increasing funding and research than on commercialization of their output. The evaluation team observed changes in procurement in one of the private HEIs; this is because private universities are not tied to national procurement laws.
What is the likelihood that initiatives and gains will continue after completion of the project?
It is highly likely that many of STRIDE’s gains will continue after project completion. Elements of success include establishment of the START Center, a capacity-building training center for advanced research; the KTTO-IMPACT program, which DOST-Philippine Council for Industry, Energy and Emerging Technology institutionalized to increase the capacity of technology transfer officers for intellectual property management and commercialization; Career Centers in STRIDE’s HEI partners; and the conduct and further evolution of PSM program (Annex Table D.7). On the other hand, RIIC sustainability depends on the cooperation of government workers, though there are regions with industry-led models (Annex Table D.15). Some RIICs have also constructed their websites and implemented their Innovation for Business Recovery (IBR) programs.
The Philippine Innovation Act ensures sustained funding for innovation work. It created an Innovation Fund of PhP 1B per year. STRIDE supported the crafting of implementing rules and regulations for this law. The Innovation Fund is essential for STRIDE’s sustainability. As DTI USec. mentioned in the KII, “As long as we will be able to get regular support, we can sustain these innovation activities.”
STRIDE interventions align with government agencies’ programs. In addition, changes in organizational structures have supported sustainability. For instance, creating the positions of Vice President for Innovation in the Bulacan Chamber of Commerce and Industry, Office for the Assistant Regional Director for Development and Innovation in DOST XI, and Undersecretary for Innovations and Development in DTI. The National Innovation Council under National Economic and Development Authority (NEDA) will facilitate the implementation of innovation-related projects. STRIDE also increased government capacity for innovation with technical assistance to CHED, PASUC, DTI, and DOST.
While the Philippines’ performance in the overall Global Innovation Index (GII) 2020 is impressive, there are still pillars in which its performance can improve. GII has seven pillars in the computation of the overall index: institutions, human capital and research, infrastructure, market sophistication, business sophistication, knowledge and technology outputs, and creative outputs.13 The Philippines ranks high only in knowledge and technology outputs and business sophistication. Future USAID STI investments should focus on helping the Philippines to target the other five pillars and also supporting additional increases in knowledge and technology and creative outputs. One specific pillar for focused support would be supporting the country’s ability to commercialize aspects of the IE.
“Host country gap” refers to providing support to start-ups and spin-offs as well as to MSMEs to enhance their productivity and resilience—another area for focused support. The Government of the Philippines should review its higher educational policy to accommodate innovative programs that are industry responsive. Specifically, the accreditation of PSM, credit loading of faculty, and other CHED-relevant policies are areas that the national government should focus on. Although the Department of Education (DepEd) is included in the innovation ecosystem for basic education, it is not active in the IE at this time. A holistic educational intervention to support the IE should emphasize collaboration between basic education and higher education programs. The evaluation respondents concur that critical thinking and creativity should be developed in elementary grades. There is a need for a steady supply of students skilled in S&T to run the industries of the future. Creating science and technology-oriented students in higher education requires honing the interests and skills of students beginning in their basic education.
Based on the 2019 AMELP (p. 35), sustainability mechanisms are not integrated in the design and implementation of STRIDE. Instead, the AMELP states that STRIDE will make recommendations during project closeout meetings. This is because the STRIDE approach is experimental and there is no blueprint. Nonetheless, the evaluation team considers the START Center, hosted by the DLSU and UP beginning in 2021, and the KTTO-Intellectual Property Management Program for Academic Institutions Commercializing Technologies (IMPACT) program, institutionalized by DOST-Philippine Council for Industry, Energy and Emerging Technology since 2018 for the Innovation Technology Support Office (ITSO), as sustainability mechanisms. So, while the design does not explicitly include sustainability mechanisms and STRIDE’s implementation is experimental, STRIDE is creating sustainability mechanisms along the way as they learn from their experimental approach.
On the other hand, building consensus within community and employing the whole-of-community approach is only an intervention process; it is not included in the design of RIICs.
“People are ready to share mutual values, and trust. Para sa akin trust talaga yung pinaka importante” (“For me, trust is the most important thing.”)
Respondents from HEIs
(Annex H, 3.1 FGD-ST)
STRIDE saw to it that there would be RIIC policy support in terms of RDC Resolutions and memoranda of understanding between GIA partners.
The evaluation team documented some unintended positive results during our data collection, such as:
HIGHER EDUCATION INSTITUTIONS
HEIs need to familiarize themselves with technology transfer and commercialization processes to have successful academe-industry partnerships. Faculty and researchers have fears about divulging and sharing their research because of ownership concerns. Relating to ownership concerns, faculty and researchers have little to no experience in the commercialization of technology or negotiations with industry. The results of the online survey reveal that a majority of HEI respondents have not applied for a patent (Annex Table D. 20), and they are unsure about the value of the technology that they develop. There is a lack of rules for benefit-sharing between academe and industry. This impedes faculty and researchers’ ability to negotiate with the private sector.
For example, it is not clear how to structure shared future benefits in the cocreation of a patent for which industry cosponsored research. Without this policy, universities tend to want sole rights to the patent (Annex G, Effectiveness, MSU-IIT). Protecting research outputs, (e.g., patentable technology) and intellectual property will help allay these fears. The Fairness Opinion Board under DOST helps scientists to understand whether technology transfers are indeed fair.14
Curricula need to be developed in consultation with industry and focus on skills needed for innovation in industry. However, government policy currently restricts the approval of innovative curriculum. In the Philippines, degree programs at the master’s level should contain a substantial research component that is theoretically based and may include a practical component (CHED Memorandum Order 15 s 2019, p. 3). Some PSM curricula do not follow this rule as they focus more on skill development than on theory. CHED (Memorandum Order CMO 55 s2016, p. 10), instructs SUCs to be consistent with professional regulatory government agency rules that prescribe a minimum credit load, among others, and may not be compatible with the PSM curricula.
In addition to the type of curricula, the faculty also need to have an innovation focus.
“We have to have well-developed faculty whose trainings and development should come from the industry.”
Region 4A Respondent
In the survey, respondents said that sustaining the capacity they gained from STRIDE could be done through the integration of promoting technology innovations as part of the extension function of universities, using outside consultants, and applying lessons learned from previous activities (Annex H 3.6 Region-2).
STRIDE, in collaboration with DLSU, conducted the Filipinnovation Entrepreneurship Corps (FEC) training for researchers. This training received funding from DOST-Philippine Council for Industry, Energy and Emerging Technology (AR 2019, p. 44). The training aimed to rapidly determine the commercial readiness of research outputs. STRIDE has helped several HEIs develop their PSMs through curriculum workshops (Annex Table D.7). Entrepreneurship topics are integrated into these curricula.
The sustainability of STRIDE interventions in HEIs depends on the following: 1) each university’s policies, infrastructure, and funding; 2) faculty members’ attitudinal shifts regarding publication, industrialization of R&D outputs, and trust in the institution for intellectual property and commercialization incentives for start-ups and spin-offs; and 3) interorganizational collaboration (Annex H, 3.1, 3.2, 3.4 HEI-ST).
For PASUC, several challenges remain for the SUCs to improve the IE. (PISI, p.16). These are in the areas of : 1) improving the research capabilities of faculty, research staff, and students; 2) inculcating a research culture and upgrading research infrastructure; 3) recruiting, retraining, and retaining a sustainable stream of new researchers; 4) increasing research productivity and raising research quality and impact; 5) institutionalizing a research code of ethics that maintains the integrity, openness, and transparency of the research process and safeguards intellectual property; and 6) establishing structured partnerships with community, business, and industry stakeholders to integrate formal research and innovation efforts with informal grassroots knowledge and innovation.
REGULATORY ENVIRONMENT
Sustaining the gains from STRIDE’s interventions requires programs, projects, and activities consistent with national policies, such as the Philippine Innovation Act, the Technology Transfer Act, and the Innovation Start-up Act. These can be formulated into a medium-term development plan and specified through process manuals, projects, products, and services. However, for these plans to be effective, collaboration and funding are necessary (Annex H, 3.7 Region-ST).
The regulatory environment for innovation improved somewhat, specifically in the areas of science- based intervention (Annex Table D. 19) and enabling policies would help improve HEI R&D plans (Annex H, 3.3 HEI-ST). The creation of the Vice President for Innovation position in the Bulacan Chamber of Commerce and Industry to support the implementation of RIIC in Region 3 could be used as a model in other provincial or city chambers of commerce and industries nationwide. DOST XI also created an office for the Assistant Regional Director for Development and Innovation. This office is dedicated to helping the MSMEs and other innovation activities in the region. DTI’s national office also created a position of Undersecretary for Innovations. The National Innovation Council, once activated, can facilitate the implementation of innovation-related projects. The provisions of the Republic Act 10055 (Technology Transfer Act, 2009, p. 10 and 11) is limited to revenue-sharing, commercialization, and establishment of spin-off firms.
GOVERNMENT CAPACITY FOR INNOVATION
In 2020, STRIDE provided technical assistance to review CHED’s mandate, structure, and functions (AR 2020, p. 39). STRIDE also supported PASUC in the development of the PISI for Industry 4.0. The document symbolizes the SUCs’ drive to proactively join in the government’s goal of innovation-led, talent-driven economic growth under the Filipinnovation Roadmap (AR 2019, p. 30-31). PASUC’s pool of experts that STRIDE trained may continue to influence CHED and innovate in the SUCs after the end of the STRIDE project.
The RIICs will serve as the cornerstone of the Philippines’ new industrial strategy known as i3S (MOA 2018, p. 3). The institutionalization of RIICs through the passage of RDC Resolutions will ensure the sustainability of STRIDE’s intervention. The establishment of RIICs and the presence of policies, joint research and development programs, projects, activities, and leadership are the enabling mechanisms for STRIDE interventions to be included in the long-term plans of partners (Annex H 3.3.1 Regional-2). STRIDE’s technical assistance includes the mapping of key innovation actors; linking innovation players in government, industry, and academe through strategic dialogue; and aligning key programs and services (mapping-linking alignment, or MLA) toward industry needs in the region (AR 2019, p. 40). Some of the RIICs have constructed their websites and implemented their IBR programs to help MSMEs recover from the impact of the COVID-19 pandemic (AR 2020, p. 27). STRIDE also held the RIICs Learning Assembly to exchange best practices and learning (2021 Q2R, p. 24) and assessed the current RIIC linkage-building practices (2021 QR3, p. 29). STRIDE interventions align with government agencies’ programs, making it likely that they will not only be sustained, but also expanded nationwide (Annex H 3.2 Regional-ST).
“The HEI and government agency were the most valuable cooperation partners for expertise, network/partnership/linkages, and funding”
Industry Respondents
(Annex Tables D.18a & D.18b)
Table 11 shows that that the evaluation survey respondents report that the central government funded more of their innovation activities in the RIICs and GIAs than did local or regional governments.
In some cases, there are also challenges in the commercialization pillar of the IE. Sometimes the supply chain is not ready for the bulk of industry demands.
“The quality (of squash powder that was a research output by the HEI) was okay for Monde Nissin but we were not able to produce at the level needed. On Santiago Fresh Miki Factory, we were able to produce but it was not sustained because we do not have the (supply) capacity”
Respondents from the GIA of a private HEI
(Annex H 3.1 FGD-2)
This IE lacks the farmer cooperative leg that can supply the primary ingredients (squash) for processing.
EMERGING PARTNERSHIPS
The evaluation team documented several emerging partnerships: 1) The Knowledge Innovation Science and Technology (KIST) Park, to be hosted by UP Mindanao (RIIC Davao partnered with Kyushi University in Japan to establish the KIST Park for the Davao Region); 2) Davao Inventions and Innovation Center together with the LGU (this center was created through a city ordinance sponsored by Councilor Braga); 3) RIICs with school-based technology business innovation hubs, funded by DOST—namely, the UP Mindanao, UPGRADE, UMASENSO, USEP AGILAB, and ADDU innovation hubs. There is complementation with the CMCI (Cities and Municipalities Competitive Index) in Region 10 local government unit (LGU) of Cagayan De Oro (CDO).
The CMCI added an innovation component and is now monitoring innovation activities. This innovation pillar will be included in the CMCI ranking in 2022. Further, one other LGU-based activity that the OROBEST can be involved in is engaging with the Bureau of Internal Revenue (on the Small Business Information Portal. A private-sector member of the CDO RIIC mentioned that the RIIC has partnered with the USAID SURGE’ s Cities Development Initiative (CDI) based at the CDO LGU out of the desire to help the RIIC’s MSME partners. The LGU is helpful, and member MSMEs report excitement to be engaged in this CDI Small Business Information Portal of the LGU. This type of collaboration, between two USAID-funded activities, STRIDE and SURGE, working in different sectors and with different objectives, is a practice that the evaluation team highly recommends whenever synergies across activities are possible.
EFFECT OF KNOWLEDGE AND TECHNOLOGY TRANSFER OFFICE (KTTO) ON GIA AND ITS FURTHER DEVELOPMENT TO MEET INDUSTRY EXPECTATIONS
STRIDE, in partnership with DOST-Philippine Council for Industry, Energy and Emerging Technology, developed two (2) KTTO programs to upscale the ITSO in HEIs under the IPOPHL, an agency attached to DTI. The KTTO initiative started in 2015 with a pilot batch of ten (10) HEIs (KTTO IMPACT Summary), and in 2018, DOST-Philippine Council for Industry, Energy and Emerging Technology institutionalized the program in 33 academic and 11 government research institutions. STRIDE’s KTTO Mentor Guide (2021) will serve as a manual to help STRIDE-trained mentors to deliver more KTTO-IMPACT workshops after the STRIDE project ends.
“As far as I know, KTTO Director had training, and made some inputs in the training. Manual has already existed, but it was improved/revised”
A respondent from a public HEI
(H4) (Table 2.1)
“At the end of the project, we were able to build the design. If this would be upscaled, and if there is a group that wants to take on the technology, one concern is how we will protect the ownership of the researcher”
A respondent from a private HEI
(Annex H, 3.2 FGD-ST)
CAREER CENTER’S EFFECT ON GIA
“USAID STRIDE sent me to USA to have an actual feel of the Career Center. We were able to experience a Career Fair and a Reverse Career Fair”
Respondent
(H9) (Table 2.1).
The Career Center provides the resources students need for industry internship, job placement, and other opportunities and guide the students in identifying career opportunities that will match with their skills, interests, personality, and values leading to meaningful and purposeful contribution to the global industry. STRIDE and Ateneo de Davao University rolled out three episodes of “Liyab Live Chats” featuring counselors from STRIDE-supported Career Centers as speakers (2020 QR1, p. 12). Since the Career Center is directly involved in instruction and research and helps to support new student recruitment and alumni loyalty, the mentoring program introduced by STRIDE is very likely to continue after STRIDE ends.
PROFESSIONAL SCIENCE MASTER’S DEGREE PROGRAMS’ CONTRIBUTION TO SUSTAINABILITY OF STRIDE INTERVENTIONS
The Capacity to Innovate survey generated information about the sustainability of STRIDE’s interventions. About 35 percent of the STRIDE scholars and grantees surveyed developed materials for PSM curricula, and 52 percent participated in KTTO training (Annex Table C. 6). STRIDE supported the following PSM degree programs: renewable energy engineering, manufacturing engineering and management, cybersecurity, information technology, data science, dairy products technology, construction management, industrial automation, engineering management, electro-acoustic engineering, railway engineering management, power systems engineering and management, food processing management, and construction management (Draft PSM Guidebook). However, since April 2017, CHED has imposed a temporary suspension of authorizations to public universities for new graduate programs, including PSM degrees. Because of this suspension, HEIs have been hesitant to create new PSMs (AR 2019, p. 30).
STRIDE scholars and grantees who participated in the survey were 55.9 percent male and 44.1 percent female, while participants from government, industry, and academe who volunteered to participate in the FGDs were 47.6 percent male and 52.4 percent female (Gender Data Set A & B). This nearly equal participation of males and females in both STRIDE evaluation activities shows that STRIDE’s programs were relatively equally balanced, particularly given the imbalance between males and females in science and technology-related fields. STRIDE focused on needs, and online training provided equal access. STRIDE emphasizes gender equality and advocates for more opportunities for women in STI careers, accommodations for women scientists and researchers with young children, and scholarships for women to pursue further studies, as shown in their gender assessment report (USAID STRIDE July 2021, p. 3). However, STRIDE was not able to conduct a gender assessment in industry, where the male/female balance may be different than in academe.
“As for gender equity in terms of RIIC, we can only do is attribution. In DOST we have this menu of innovation facilities that we committed to the RIIC and part of that is the Grassroots Innovation for Inclusive Development [GRIN]) Program. Our main goal is to assist in terms of intellectual property and financial assistance to the Indigenous people of Davao Region. We are the pioneering DOST office that has implemented this program. Another one, we have this checklist that we can adapt in terms of GAD [Gender and Development] to address the equity in terms of men and women and LGBTQIA+. We also have this Great Women Project of the DOST, wherein we assist the women entrepreneurs in the region”
(DOST-11)
On Improving the Innovation Ecosystem
Achieving and sustaining any development outcome depends on the ability of multiple and interconnected actors to work together effectively.
For innovative ideas to be efficiently generated, developed, tested, and ultimately scaled for development impact, they also need the coordinated, collaborative action and resources of the government, civil society, the private sector, universities, individual entrepreneurs, and others. Collectively, they are referred to as the innovation ecosystem.
In the Philippines, the innovation ecosystem players include large multinational companies, small and medium enterprises (SMEs) and start-ups, industry associations, universities as research partners and developers of the future workforce, and key government agencies like the Department of Trade and Industry (DTI), Department of Science and Technology (DOST), Commission on Higher Education (CHED), Department of Education (DepEd), Department of Agriculture (DA), National Economic and Development Authority (NEDA), and Department of Information Communications and Technology (DICT). The interaction of these stakeholders creates and transfers knowledge that will enable new products and new business models to catalyze economic transformation and development.
In 2018, the Philippine Inclusive Filippinovation and Entrepreneurship Roadmap adopted the Innovation Ecosystem Framework proposed by STRIDE.
The framework describes the connections between the knowledge economy (driven by research) and the commercial economy (driven by the marketplace) and how co-creation will have higher potential of success. Research and knowledge creation stem from a strong core of education and human capital. New knowledge must be transferred into commercial applications for the ecosystem to function. The elements of the ecosystem function only in an atmosphere of collaboration, which is dependent on social capital, trust, and information sharing.
USAID Philippines implemented the Science, Technology, Research and Innovation for Development or STRIDE from 2013 to 2022. The project aimed to promote innovation and strengthen the capacity of the Philippine higher education in science, technology, and innovation.
Through STRIDE, USAID focused on disciplines contributing to high‐growth economic sectors such as electronics, chemical industries, alternative energy, translational medicine, agri-business, information, and communication technologies. The project was implemented throughout the country with a focus on sites that are within USAID’s Cities Development Initiative.
USAID contributed to improving the Philippine innovation ecosystem by:
How did USAID contribute to improving the innovation ecosystem?
Case Study:
A Tale of Two
Regional
Inclusive
Innovation
Centers
Regional Inclusive Innovation Centers (RIICs) form a large part of STRIDE’s work during the extension period. The evaluation conducted case studies of two RIICs, one mature (Region 11) and one emerging (Region 3), to provide insight into their experiences in terms of:
The process of forming the RIIC and the factors that brought the actors together
The nature of interactions among actors as the RIIC activities are implemented
The challenges and opportunities that will strengthen the partnerships, linkages, and collaboratives activities as they move forward.
The case study explores the elements that bring key Science, Technology, and Innovation players from government, industry, and academe together to strengthen the Innovation Ecosystem (IE) and collaborate and partner via the RIICs.
Each RIIC is unique, with community, culture, and local conditions as the main drivers for their formation. STRIDE’s method of experiential, community-driven, and participatory approach to the formation process inspired each RIIC response, a strategy that differed from the national government’s usual top-down, prescriptive approach.
This was the motivation for establishing a RIIC in Davao Region,
which an RDC XI resolution affirmed.
In 2006, Davao Region adopted the Industry Clustering (IC) Strategy as a development platform to enable the region to participate in the Association of Southeast Asian Nations (ASEAN) Economic Community and global value chains. This trailblazing effort has prepared a solid foundation for the RIIC to thrive, with key stakeholders from national and local governments, private sector, and academe. Proponents viewed the initial conditions for the success of the RIIC’s formalized collaborations as:
From a partner standpoint, the planning challenge was the coordination among lead implementors and partners. The technical assistance STRIDE provided was crucial for identifying innovation players and building innovation collaboration among key agencies and partners through various avenues for greater collaboration, such as the Ideation workshops, among others.
The Region XI RIIC built on the Food Processing Innovation Center (FPIC) activities in Davao, which was established in 2014. The FPIC is a partnership between the government, Davao’s local government, and industry, based in the Philippine Women’s College. It serves as an innovation hub in the Region, providing technical expertise, technologies, and facilities specializing in the product development of fresh and processed foods.
However, the RIIC intervention is key to boosting the capacities of institutions for innovation and the development and scaling-up of MSMEs and start-ups. Having been integrated in the RIIC’s innovation networks, the FPIC benefits from the expanded linkages with MSMEs and other innovative product and service providers, increasing its clientele and improving its services. By far, the gains of the RIIC XI are three-fold:
At two years old, the RIIC Region XI has taken a huge leap toward sustainability via the iSTRIKE Davao, which formalized the RIIC collaborative framework, with the active support of champions in the government-industry-academe innovation ecosystem. Sustaining this convergence will depend on assessing the effectiveness of the management measures being implemented.
The Davao City Inventions and Innovations Center (DCIIC), established through a landmark city ordinance, also boosts awareness of and support for the RIIC. DCIIC will complement the RIIC’s initiatives in providing innovators and start-ups with a venue for accessing goods, services, and capital to develop and promote their inventions and innovations. Passion, commitment, and trust, especially among the lead actors in government (i.e., DTI, DOST, DICT, CHED), will drive the RIIC’s stability and sustainability.
The RIIC in Region III came about from the lessons learned from the RIICs in the pilot areas.
According to DOST III Regional Director Dr. Julius Cesar Sicat, the inspiration came from the business recovery plan presented by Region X from their experience in the pilot round. It was called “Optimizing Regional Opportunities for Business Excellence Through Science, Technology, and Innovation (OROBEST)”.
From his perspective, the recovery plan will help MSMEs to recover from the pandemic. Other RIIC III partners also believed that convergence among key stakeholders from government, industry, and
academe can harmonize all resources for innovation toward competitiveness of local businesses and economic development in the region.
Like Davao, these sectors worked together before STRIDE approached them, but they were all independent programs. The Region III RIIC now sets out to strengthen the region’s innovation ecosystem by improving stakeholder access to innovation and creating platforms for dialogue, collaboration, and partnerships that would contribute to inclusive and sustainable development of the region. RIIC is considered a one-stop shop where MSMEs can scout for specific assistance, making higher education institutions and research and development institutes work more demand-driven.
Improved partner relations are the measure of success for this project that was just formally established in September 2020. The Bulacan Chamber of Commerce and Industry (BCCI) and the Philippine Chamber of Commerce North Luzon were ready to take on the opportunities of the RIIC. RIIC III also just launched the web-based THRIVE Central Luzon app, based in Bulacan State University, that can increase the RIIC’s assistance coverage by removing physical boundaries.
Even in its early stage, RIIC Region III has achieved an important level of cooperation between the government and private sector. It is hoped that with the recent creation and launching of a website, more people will become aware of its presence in the region and avail of its services.
CHED’s presence is felt in RIIC Region III mainly due to the regional director’s social capital. CHED III actively supports the Higher Education Agenda in the RDC III. Coordination with higher education institutions, particularly in research and development, is easier because of CHED’s commitment to the institutional partnership. This is a unique trait that is not yet seen in other RIICs.
The CHED’s regional director, other regional directors, and presidents of state universities and colleges are also members of the Regional Development Council.
" With the government's resources, public and private entities are more willing to cooperate and collaborate for a common and noble pursuit "
according to the regional director of DTI III
To make the RIIC sustainable, the actors believe that industry should be at the helm, similar to systems in the Netherlands and Germany that empower MSMEs. Chambers of commerce should support the RIIC. To pursue this, the BCCI has created Vice President for Innovation position.
The chambers already have their own partnerships because they saw the potential to push MSMEs to serve in their region and within greater Metro Manila. Attracting more partners will depend on the performance of current partnerships
When they are ready, they will welcome the participation of local government units and other prospective investors to expand the RIIC’s services and further its use to the MSMEs.