CAPIZ STATE UNIVERSITY

UNIVERSITY
CODE

Revised 2015
CAPIZ STATE UNIVERSITY

UNIVERSITY
CODE

Revised 2015
TABLE OF CONTENTS

Vision, Mission, Goals, Objectives, Guiding Principles, Core Values

Foreword

BOOK ONE: GOVERNANCE AND ADMINISTRATION

Chapter 1. INTRODUCTORY PROVISIONS
Article 1. Title 2
Article 2. Nature 2
Article 3. The Charter 2
Article 4. Campuses 2
Article 5. Vision, Mission and Goals 2
Article 6. Policies 3
Article 7. Powers 4
Article 8. University Seal 5
Article 9. Official Colors 5
Article 10. University Uniform 5
Article 11. University Hymn 5
Article 12. University March 5

Chapter 2. THE GOVERNING BOARD

Article 1. Composition 6
Article 2. Powers and Duties 7
Article 3. Meetings 9
Article 4. Compensation 10
Article 5. Committees 10
Article 6. Annual Report 10

Chapter 3. THE ORGANIZATION AND ADMINISTRATION

Article 1. Organization 12
Article 2. Administration 12
Article 3. Key Officials 13
Article 4. University President 13
Article 5. Tenure 14
Article 6. Duties of the President 14
Article 7. The President has the following functions 15
Article 8. Vice-President 16
Article 9. Vice President for Administration and Finance 16
Article 10. Vice President for Academic Affairs 18
Article 11. Vice President for Research, Development and Extension 19
Article 12. Head of the Campus 20
Article 13. Dean 22
Article 14. Director for Student Services 23
Article 15. Director for Planning, Development and MIS 24
Article 16. Director for University Business Affairs Office (UBAO) 25
Article 17. Director for Project Management (PMO) 26
Article 18. Director for Publication, Instructional 26
Materials and Quality Assurance Office
Article 19. Director for External Affairs and Linkages 27
 Article 20. The Legal Office 27
Article 21. Chief Administrative Officer-Administration 27
Article 22. Chief Administrative Office-Finance 28
Article 23. The Internal Auditor 29
Article 24. University/Board Secretary 29
Article 25. Registrar 29
Article 26. Human Resource Management (HRM) Officer 30
Article 27. Bids and Awards Committee (BAC) 30
and Composition
Article 28. The Organizational Structure 31

Chapter 4. THE ADMINISTRATIVE COUNCIL

Article 1.
Composition 32
Article 2.
Meetings 32
Article 3.
Committee 32

Chapter 5. THE ACADEMIC COUNCIL

Article 1. Composition 33
Article 2. The Academic Council exercises the following duties 33
Article 3. Meetings 33
Article 4. Agenda 34
Article 5. Committee 34
Article 6. Modification 34

Chapter 6. THE ADMINISTRATIVE STAFF

Article 1. Composition 35
Article 2. Property and Supply Office 35
Article 3. Records and Management Office 36
Article 4. The Budget Office 36
Article 5. The Accounting Office 36
Article 6. The Cashier Office 37

Chapter 7. OTHER ADMINISTRATIVE SERVICES

Article 1. Planning Service 38
Article 2. Internal Audit Service 38
Article 3. Management Information Service 38

Chapter 8. ADMINISTRATIVE PROCEDURES

Article 1. Recruitment and Selection of Personnel 39
Article 2. Personnel Actions 39
Article 3. Performance Evaluation System 39
Article 4. Incentive Award System 39
Article 5. Complaints and Grievances 40

BOOK TWO: FACULTY, ACADEMIC, PROCESS AND
ADMINISTRATIVE PROCEDURES
Chapter 1. RECRUITMENT, APPOINTMENT OF THE FACULTY
Article 1. Duties and Responsibilities of the Faculty 42
Article 2. Recruitment and Appointment 45
Article 3. Promotion and Advancement 52

Chapter 2. FACULTY WORKLOAD

Article 1. Workload 57
Article 2. Guidelines for Special Assignment 62
Chapter 3. ACADEMIC PROCESSES
Article 1. Scheduling and Conduct of Classes 63
Article 2. Examinations and Quizzes 66
Article 3. Grading System 67
Article 4. Academic Honors and Awards 70
Article 5. Advising 71

Chapter 4. BENEFITS, INCENTIVES, PRIVILEGES AND AWARDS

Article 1.
Benefits 77
Article 2.
Study Grants 77
Article 3. Awards and Recognition 84

Chapter 5. SERVICES
Article 1. The University Press 90
Article 2. The University/Campus Library 90
Article 3. Technology and Media Services 90
Article 4. Transportation Services 91
Article 5. Medical /Dental Services 91
Article 6. ICT Services 91

Chapter 6. CONDUCT AND DISCIPLINE

Article 1. Code of Ethics for Teachers 92
Article 2. Academic Freedom 92
Article 3. Policy on Sexual Harassment 93
Article 4. Dress Requirements 93
Article 5. Prohibited Attire 93
Article 6. Attendance in University/Campus Activities 94
Article 7. Involvement in University/Campus Ad-Hoc Committees 96
Article 8. Receiving and Accepting Invitations 96
Article 9. Collections of Monies 97
Article 10. Tutorial and Remedial Services for a Fee 97
Article 11. Unauthorized Use and Sales of Textbooks 97
Article 12. Study Without Permission 97
Article 13. Teaching in Other Institutions Without Permission 98
Article 14. Use of University Names and Insignia 98
Article 15. Smoking on Campus 98
Article 16. Taking Prohibited Drugs and Gambling 98
Article 17. Carrying Firearms and Dangerous Weapons 98
Article 18. Use of Facilities for Commercials and Movie Productions 98
Article 19. Other Prohibited Activities on Campus 99
Article 20. Offenses and Sanctions 100

BOOK THREE: STUDENT WELFARE

Chapter 1. GENERAL INFORMATION
Article 1.
Legal Framework 102
Article 2.
Vision 102
Article 3.
Mission 103
Article 4.
Goals 103
Article 5.
Organizational Structure 103
Article 6.
Officials 104

Chapter 2. SERVICES UNDER THE OSA

Article 1. Guidance and Counseling 106
Article 2. Library Services and Learning Resource Center 106
Article 3. Health Services 107
 Article 4. National Service Training Program (NSTP) 108
Article 5. Student Organizations and Activities 108
Article 6. Rules and Regulations on Student Organizations 109
and Activities
Article 7. Student Publication 115
Article 8. Student Housing 115
Article 9. Ancillary Services 116
Article 10. Sports and Cultural Services 117
Article 11. Food Services 117
Article 12. Alumni Services 118

Chapter 16. OTHER STUDENT-SERVICE OFFICES

Article 1. Student Admission and Registration 119
Article 2. Assessment of School Fees 119
Article 3. Collection of Fees 119
Article 4. Use of University Premises and Facilities 119
Article 5. Assistance to Foreign Students 120
Article 6. The Gender and Development (GAD) Program 120
Article 7. Campus Ministry 120

Chapter 17. CONDUCT AND DISCIPLINE

Article 1. Rights of Students 122
Article 2. Duties and Responsibilities 123
Article 3. Rules and Regulations on Conduct and Disciplines 124
Article 4. Grievance and Disciplinary Procedure 127
Article 5. Conduct and Discipline of Organized Student Groups 130
Article 6. General Provisions 131

BOOK FOUR: RESEARCH, DEVELOPMENT AND EXTENSION

Chapter 1. RDE VISION, MISSION, GOALS, CORE VALUES, AND OBJECTIVES
Article 1.
Vision 134
Article 2.
Mission 134
Article 3.
Goals 134
Article 4.
Core Values 134
Article 5.
Objectives 134

Chapter 2. ORGANIZATION AND MANAGEMENT

Article 1. Organizational Structure 136
Article 2. Duties and Responsibilities of RDE Personnel and Staff 138

Chapter 3. RDE THRUSTS AND PRIORITIES

Article 1. Identification of RDE Thrusts and Priorities 142

Chapter 4. IMPLEMENTING GUIDELINES FOR RDE

Article 1. RDE as an Institutional Mandate of the University 146
Article 2. RDE Manuals 146
Article 3. Strategic Planning for RDE 146
Article 4. Preparation and Screening of RDE Proposals 147
Article 5. Financial Resources for RDE Projects 147
Article 6. Implementation of RDE Programs and Projects 147
Article 7. Researchers’ Responsibilities in Project Implementation 148
Article 8. Responsibilities of Researchers upon Project Completion 148
Article 9. Conduct of In-House Review and Symposia 148
Article 10. Publication of RDE Outputs 149
Chapter 5. IMPLEMENTING GUIDELINES FOR EXTENSION AND OUTREACH PROGRAM
Article 1. University’s Mandate for Extension 150
Article 2. Project Planning for Extension 151

Chapter 6. PROTECTION ON INTELLECTUAL PROPERTY (IP)

Article 1. 156
Article 2. General Principles 156
Article 3. Coverage 157
Article 4. Establishment and Management of the Intellectual 158
Property Management Office (IPMO)
Article 5. Guidelines on All Copyrightable and Patentable Works 161

Chapter 7. CONDUCT OF PROFESSIONAL TRAININGS/SEMINARS SYMPOSIA

Chapter 8. POLICIES AND PROCEDURES IN THE HIRING, DESIGNATING AND
TERMINATING RDE PERSONNEL
Article 1. Designation of Program, Project or Study Leader. 163
Article 2. Other Designations 163
Article 3. Hiring/Termination of Personnel 164
Article 4. Promotion of Personnel 164
Article 5. Workload of RDE Personnel with Academic Ranks 164

Chapter 9. MONITORING, EVALUATION, AND REPORTING

Article 1. Scope 166
Article 2. Monitoring and Evaluation Methods/Tools 166
Article 3. Agency In-House Review 166
Article 4. Preparation and Submission of Reports 167

Chapter 10. INCENTIVES AND REWARD SCHEMES

Article 1. Awards and Incentives 168
Article 2. Researchers’ Remuneration 168
Article 3. Granting of Honoraria 168
Article 4. Incentives for Authors of Published Research, 169
Scientific, Scholarly Works and Books
Article 5. Merit System for the Scientific Career System (SCS) 170

Chapter 11. INCOME GENERATED FROM RDE PROJECTS

Article 1. Income Realized from RDE Projects 173
Article 2. Revolving/Trust Fund 173
Article 3. Fund Utilization 173

Chapter 12. STUDENTS’ INVOLVEMENT IN RDE ACTIVITIES

Article 1. Training for Students 174
Article 2. Use of Facilities 174
Article 3. Students as Junior Researchers 174
Article 4. Thesis/Dissertation Support 174
Article 5. Search of Best Graduate and Undergraduate Theses 174
Article 6. Student Assistantship 175
Article 7. Thesis and Dissertation Manual 175
Article 8. Requirement for Graduation 175

Chapter 13. PROVISION OF REQUIRED INFRASTRUCTURE AND FACILITIES

FOR RDE OFFICE AND OPERATION
Article 1. Building and Laboratories 176
Article 2. Experimental Farms 176
Article 3. Techno-Demonstration Farms 176
Chapter 14. LINKAGES AND FUND SOURCING
Article 1.
Fund Sourcing 177
Article 2.
Local Linkage 177
Article 3.
National Linkage 177
Article 4.
International Linkage 178

BOOK FIVE: INCOME GENERATING PROJECTS

Chapter I. SIGNIFICANCE OF IGPs IN THE UNIVERSITY
Introduction 180
Importance of Implementing IGPs 181
Augment University Fund 181
Enhancing the Credibility of the University 181
Models for Extension Activities 181
Provide Venue for Hands-On Trainings 181
Interface Research, Instruction and Extension 181
Generate Employment 181
Augment Income Sources 181
Develop and Produce Skilled Manpower 182
Legal Bases for Implementing IGPs 182
IGP Manual: A Tool for IGP Implementation 182

Chapter II. HOW TO START AN IGP

Factors to Consider in Starting an IGP 184
Leadership capability 185
Competent and Committed Staff 185
Resource Availability 185
Steps in Starting an IGP 186
Suitable Area 187
Quality Stocks or Seeds 188
Qualified Project In-Charge 188
Availability of Manpower 188
Availability of Capital 188
Administrative Support 189
Market Assurance 189

Chapter III. ORGANIZATIONAL AND MANAGEMENT

IGP Board of Management 190
Campus Administrator 191
Production Chairman 192
Project In-Charge 192
Secretary/Clerk 193

Chapter IV. GUIDELINES AND PROCEDURES FOR THE OPERATION OF IGPs

Guidelines for the Preparation, Submission and Approval 194
of IGP Proposals
Guidelines for Project Management and Operations 195
Guidelines for Recording and Monitoring of Income 197
Generating Projects During Harvest
Guidelines for Financial Management 197
Guidelines for the Disposal of IGP Products 198
Guidelines for the Granting of Incentives to IGP Personnel 198
Guidelines for Sharing of Incentives 199
Guidelines for the Use of IGPs for Instruction 200
Guidelines for the Use of IGPs for Research 200
 Equivalent Teaching Load (ETL) of IGP Personnel 201
Guidelines for Cutting /Harvesting of Trees 202

Chapter V. RECORDS AND RECORDING SYSTEM

Importance of Records 203
Keeping of Records 203
Other Records and Reports Kept at Various Offices 204
Control System Procedure 205
Process Flow of Papers 206
Poultry/Fishery/Crop Products 207
Records Forms and Formats 208
Animal/Fishery Projects 209

Chapter VI. FINANCIAL MANAGEMENT

Sourcing of Fund 211
After Project Operation 212
Financial Statements 212
Income Statements 213
Cash Flow Statement 216
 The University Goals are anchored on its four-fold functions and governance, to wit:
Globally Competitive graduates.

T
he University Goals or Strategic Objectives are anchored on its four-fold functions and governance, to wit:
Globally-competitive graduates; Institutionalized research culture; Responsive and sustainable extension
services; Maximized profit of viable agro-industrial business ventures and diversified income-generating
projects; and Effective and efficient administration.

VISION

Center of Academic Excellence Delivering Quality Service to all.

MISSION

Capiz State University is committed to provide advance knowledge and innovation; develop skills, talents and values;
undertake relevant research, development and extension services; promote entrepreneurship and environmental
consciousness; and enhance industry collaboration and linkages with partner agencies.

GUIDING PRINCIPLES CORE VALUES

As provided in the University Code, the The university shall strive to exemplify the
operation of the University is guided by the following core values as the foundations of
following principles: all actions:

(a) Academic Freedom. The University has the right and the (a) God-Centered
responsibility to exercise academic freedom. Institutional CapSU adheres to the greatest of all commandments. The first is to
academic freedom is the freedom of the university from Love God with all our heart, soul, and strength. The second is Love
intervention and control in the conduct of its affairs. of neighbor/fellowmen as ourselves. Everything we do in CapSU is
Individual academic freedom is the right of the teacher and for the honor and glory of God and for the welfare of humanity.
the student to conduct academic and scholarship inquiry and
to publish the results without prior restraint or subsequent (b) Excellence
punishment. “We excel where it counts.” In CapSU, all our endeavors will be
undertaken to the best of our ability. All services will be delivered
within our “level best”. All jobs and HR advancement will be based
(b) Responsibility. As a public institution supported by public on merit and fitness, placing the right mix of people at the right
funds, the University is responsible for carrying out the basic job. Performance will be characterized by fineness, brilliance and
principles laid down by the Constitution of the Philippines distinction.
and the University Charter and to relate its activities and
offerings to the needs of the region and the nation. Training (c) Integrity
for responsible leadership and citizenship shall be provided “Honesty is the best policy.” All the instruction, research,
to those who abide by the norms of the institution to achieve extension, and production activities are in the pursuit of truth-
their maximum potential in a society that respects human being defined as the knowledge of things as they are, as they
dignity to attain the common goal. were, and as they are to come. The methodologies and approaches
are scientific, credible/reliable, verifiable and dedicated to the
formation of honest, honorable, righteous and productive citizens
(c) Academic Standards. The University shall achieve and of the community.
maintain high academic standards of instruction, research,
extension, and production; and all other administrative and (d) Transparency and Accountability
auxiliary activities shall be supportive of these functions. The Agency Transparency Seal showing the simplicity, clearness,
precision and intelligibility of all our services and transactions
are posted on the CapSU website: www.capsu.edu.ph. We are
responsible and accountable for our actions. We must be proactive,
as such, we must act rather than to be acted upon.

(e) Dedication to Quality Service

We will honor our Commitment to pursue a task to its completion,
devotion to duty, and loyalty to CapSU as an institution as summed
up in the acronym, RACE: Responsive, Accessible, Courteous and
Effective Public Service
FOREWORD

C
apiz State University as an
institution of higher learning has
developed the University Code, the
mother of all Manuals as blueprint
in the performance of the quadro-dimension
functions of research, instruction, production
and extension.

With this University Code, the administration,

personnel, students, and other stakeholders
of the university are provided the guide in the
process of their performance of their respective
functions.

This Code is composed of five books. Specifically,

Book I is on Governance and Administration;
Book II is on Faculty, Academic Processes and
Administrative Procedures; Book III covers
Students’ Welfare; Book IV is on Research,
Development and Extension; and Book V
covers functions on Production.

All provisions provided in this University Code

serve as implementing rules and regulations of
the university in all the functions it is mandated
to perform.

EDITHA L. MAGALLANES, Ed.D.

SUC President III
BOOK ONE

GOVERNANCE AND ADMINISTRATION

Presents the fundamental and general provisions
on the governance and administration of the
Capiz State University (CAPSU) that serve as
bases in the production of implementing guideline,
handbook, or manual with respect to the sector to
which it is addressed.
UNIVERSITY CODE

Chapter 1
INTRODUCTORY PROVISIONS

Article 1. Title. This code is known as the “Capiz State University Code”.

Article 2. Nature. Capiz State University is a chartered, non-sectarian, non-profit

learning institution.

Article 3. The Charter. CAPSU was created by Republic Act 9273, “An Act
Converting the Panay State Polytechnic College in the Province of
Capiz into a State University to be known as the Capiz State University
(CAPSU) and Appropriating Funds Therefore” approved on March 21,
2004.

Article 4. Campuses. CAPSU is composed of campuses located in the province of

Capiz.

Article 5. Vision, Mission and Goals

Section 1. Vision. Center of Academic Excellence Delivering Quality
Service to all.

Section 2. Mission. CAPSU is committed to provide advance

knowledge and innovation; develop skills, talents and values;
undertake relevant research, development and extension
services; promote entrepreneurship and environmental
consciousness; and enhance industry collaboration and
linkages with partner agencies.

Section 3. Goals. CAPSU has the following goals:

• Effective and efficient management

• Quality education/quality graduates
• Updated knowledge and developed technologies
• Efficient and sustainable outreach programs
• Improved and profitable production.

2 CAPIZ STATE UNIVERSITY

 BOOK ONE

Article 6. Policies. CAPSU is guided by principles and core values:

Section 1. Principles

Sec. 1.1. Academic Freedom. The University has the right and the
responsibility to exercise academic freedom. Institutional
academic freedom is the freedom of the university from
intervention and control in the conduct of its affairs.
Individual academic freedom is the right of the teacher
and the student to conduct academic and scholarship
inquiry and to publish the results without prior restraint
or subsequent punishment.

Sec. 1.2. Responsibility. As a public institution supported by

public funds, the University is responsible for carrying
out the basic principles laid down by the Constitution of
the Philippines and the University Charter and to relate its
activities and offerings to the needs of the region and the
nation. Training for responsible leadership and citizenship
shall be provided to those who abide by the norms of
the institution to achieve their maximum potential in a
society that respects human dignity to attain the common
goal.

Sec. 1.3. Academic Standards. The University shall achieve

and maintain high academic standards of instruction,
research, extension, and production; and all other
administrative and auxiliary activities shall be supportive
of these functions.

Section 2. Core Values

Sec. 2.1. God-Centered. CAPSU adheres to the greatest of all

commandments. The first is to Love God with all our
heart, soul, and strength. The second is Love of neighbor/
fellowmen as ourselves. Everything we do in CAPSU is
for the honor and glory of God and for the welfare of
humanity.

Sec. 2.2. Excellence. “We excel where it counts.” In CAPSU, all our
endeavors will be undertaken to the best of our ability.

CAPIZ STATE UNIVERSITY

3
UNIVERSITY CODE

All services will be delivered within our “level best”. All

jobs and HR advancement will be based on merit and
fitness, placing the right mix of people at the right job.
Performance will be characterized by fineness, brilliance
and distinction.

Sec. 2.3. Integrity. “Honesty is the best policy.” All the instruction,
research, extension, and production activities are in the
pursuit of truth-being defined as the knowledge of things
as they are, as they were, and as they are to come. The
methodologies and approaches are scientific, credible/
reliable, verifiable and dedicated to the formation of
honest, honorable, righteous and productive citizens of
the community.

Sec. 2.4. Transparency and Accountability. The Agency

Transparency Seal showing the simplicity, clearness,
precision and intelligibility of all our services and
transactions are posted on the CapSU website: www.
capsu.edu.ph. We are responsible and accountable for our
actions. We must be proactive, as such, we must act rather
than to be acted upon.

Sec. 2.5 Dedication to Quality Service. We will honor our

Commitment to pursue a task to its completion, devotion
to duty, and loyalty to CAPSU as an institution as summed
up in the acronym, RACE: Responsive, Accessible,
Courteous and Effective Public Service

Article 7. Powers. CAPSU has general powers of a corporation as embodied in the

Corporation Code of the Philippines.

4 CAPIZ STATE UNIVERSITY

 BOOK ONE

Article 8. University Seal. The official Seal of CAPSU, as approved by the Board
of Regents on July 28, 2004 and by the National Historical Institute
Monuments and Heraldry Division on July 2005, is as follows:

The seal of Capiz State University encompasses its quadro-dimensional

functions. The shell symbolizes the Province of Capiz, the Seafood
Capital of the Philippines. The rays of the sun symbolize the campuses
of the University and its wide and functional extension programs. The
blazing fire represents the University’s burning desire to alleviate the
lives of the Capizeños and the Filipinos in general. The open book is
for the everlasting flow of quality education. The color green symbolizes
its sustainable production programs, while the blue stands for the wide
opportunities that lie ahead, both for the University and its graduates.

Article 9. Official Colors. Sky blue and gold are the official colors of CAPSU; blue,
for loyalty, commitment and love for service and gold, for excellence.

Article 10. University Uniform. CAPSU’s Uniform is prescribed for faculty, staff
and students; the design, color, and material of which are agreed by the
majority.

Article 11. University Hymn. CAPSU’s Official Hymn is played/sung during the
opening ceremony of official programs and other special occasions.

Article 12. University March. CAPSU’s Official March “CAPSU March” is played or
sung during the closing ceremony of official programs and other special
occasions.

CAPIZ STATE UNIVERSITY

5
UNIVERSITY CODE

Chapter 2
THE GOVERNING BOARD

Article 1. Composition. The Governing Body of CAPSU is the Board of Regents,

also referred to as the Board, composed of the following:

(a) The Chairperson of the Commission on Higher Education

(CHED), as chairperson;
(b) President of the University, as vice chairperson;
(c) Chairperson of the Committee on Education, Arts and Culture
of the Senate, as member;
(d) Chairperson of the Committee on Higher and Technical
Education, House of Representatives, as member;
(e) Regional Director of the National Economic and Development
Authority (NEDA), as member;
(f) Regional Director of the Department of Agriculture (DA), as
member;
(g) President of the Federation of the Faculty Associations of the
University, as member;
(h) President of the Federation of the Student Council of the
University, as member;
(i) President of the Federation of the Alumni Associations of the
University, as member;
(j) Two (2) prominent citizens who have distinguished themselves
in their professions or fields of specialization, as member;

The Board of Regents appoints two (2) prominent citizens from

a list of at least five qualified persons in the Province of Capiz as
recommended by the search committee based on the standards
qualification for the position.

The term of office of the president of the federation of faculty

associations, the president of the federation of student councils,
and the president of the federation of alumni associations are
coterminous as set forth in their respective Constitution and By-
Laws.

The two (2) prominent citizens serve for a term of two (2) years,
from appointment date.

6 CAPIZ STATE UNIVERSITY

 BOOK ONE

The administration and exercise of the university corporate powers are

vested exclusively in the Board and the President of CAPSU.

The chairman presides over all meetings of the Board. In his absence, it
is the Vice Chairman.

The Secretary of the Board notifies the Regents of all meetings of the
Board and sends each a copy of the agenda within five days before
the scheduled meeting. He keeps complete and accurate records of its
proceedings and furnishes each Regent a copy of minutes a week before
the next board meeting.

In the absence of the secretary, the Board designates an ad-interim

secretary.

Article 2. Powers and Duties. The Board has specific powers and duties in addition
to general powers of administration and the exercise of all powers granted
under existing law to the board of directors of a corporation:

(a) To promulgate rules and regulation as may be necessary to carry

out the purposes and functions of the University;
(b) To receive and appropriate all sums as may be provided, for the
support of the University in the manner it may determine, in
its discretion, to carry out the purposes and functions of the
University.
(c) To import duty-free economic, technical and cultural books
and/or publications, upon certification by the CHED that such
imported books and/or publications are economic, technical,
vocational, scientific, philosophical, historical or cultural
purposes in accordance with the provisions of the tariff and
Customs Code as amended;
(d) To receive in trust, legacy, gifts and donation of real and personal
property of all kinds and to administer and dispose the same
when necessary for the benefit of the University, and subject to
the limitations, directions and instructions of the donor, if any;
(e) To fix tuition fees and other necessary school charge such
as, but not limited to matriculation fees, graduation fee and
laboratory fees, as the Board may deem proper to impose after
due consultation with involved sectors;
(f) To adopt and implement socialized scheme of tuition and school
fees for greater access to poor but deserving students;

CAPIZ STATE UNIVERSITY

7
UNIVERSITY CODE

(g) To authorize the construction or repair of its building,

machinery, equipment and other facilities, and the purchased
and acquisition of real property, including necessary supplies,
materials and equipment;
(h) To appoint, upon recommendation by the President of the
University, vice president, deans, chancellors, directors head of
campuses, faculty members, other officials and employees of the
University;
(i) To fix and adjust salaries of faculty members, administrative
officials and employees subject to the provisions of the Revised
Compensation and Position Classification System and other
pertinent budget and compensation laws governing hours of
service, and such other duties and conditions as it may deem
proper; to grant them, at its discretion, leaves of absence under
such regulation as it may promulgate, any to remove them for
cause in accordance with the requirement of due process of law;
(j) To approve curricula, institutional programs and rules of
discipline drawn by the administrative and academic councils as
herein provided;
(k) To set policies on admission and graduation of students;
(l) To award honorary degrees upon persons in recognition of
outstanding contribution in the field of agriculture or any
field of specialization within the academic competence of the
University; and to authorize the awarding of certificates of
completion of non-degree and nontraditional courses;
(m) To establish and absorb non-chartered tertiary institution within
the Province of Capiz as branches and centers in coordination
with the CHED, and in consultation with the Department of
Budget and Management (DBM), and to offer therein programs
or course to promote and carry out equal access to educational
opportunities as mandated by the Constitution;
(n) To establish research and extension centers of the University
where such will promote the development of the latter;
(o) To establish chairs in the University and to provide fellowship
for qualified faculty members and scholarships to deserving
students;
(p) To delegate any of its powers and duties to the president and/or
to other officials of the University as may deem appropriate, so
as to expedite the administration of the University;
(q) To authorize an external management audit of the institution,
to be financed by the CHED, subject to Commission on Audit

8 CAPIZ STATE UNIVERSITY

 BOOK ONE

(COA) rules and regulations, and to institute reforms, including

academic and structural changes, on the basis of the audit results
and recommendations;
(r) To collaborate with the governing board of state universities and
colleges within the Province of Capiz or the region, under the
supervision of the CHED and in consultation with the DBM and
work towards the restricting of the University to become more
efficient, relevant, productive and competitive;
(s) To enter joint venture with business and industry for profitable
development and management of the economic assets of
the University, the proceeds of which shall be used for the
development and strengthening of the University;
(t) To develop consortia and other forms of linkages with local
government units, institutions and agencies, both public and
private, local and foreign, in furtherance of the goals and
objectives of the University;
(u) To develop academic arrangement for institution capability
building with appropriate institutions and agencies, both public
and private, local and foreign, and to appoint experts/specialists
as consultants, part time or visiting, or exchange professors,
scholars, and researchers as the case may be;
(v) To set up adoption of modern and innovative modes of
transmitting knowledge such as the use of information
technology, the dual system, open learning or distance education,
community laboratory, for promotion of greater access to higher
education;
(w) To establish policy guidelines and procedures for participative
decision-making and transparency within the University;
(x) To privatize, where most advantageous to the University,
management of nonacademic services such as health, food
building, grounds or property maintenance and similar
activities; and
(y) To extend the term of the President of the University beyond
retirement age but not over seventy (70) years with performance
unanimously rated by the Governing Board as outstanding, after
unanimous recommendation by the search committee.

Article 3. Meetings

Section 1. The Board regularly convenes at least once every quarter.

However, the Chairperson of the Board, upon three (3) days

CAPIZ STATE UNIVERSITY

9
UNIVERSITY CODE

prior written notice, may call a maximum of two (2) special

meetings whenever necessary.

Section 2. A quorum of the Board consists of majority of all its members

holding office at the time of the meeting: Provided, that the
Chairperson of CHED or the President of the University is
among those present in the meeting.

Section 3. In the absence of the Chairperson, the CHED Commissioner

is duly designated to represent him in the meeting with all
the rights and responsibilities of a regular meeting: Provided
that in such meeting, the president of the University as
vice chairperson is the presiding officer. Provided further
that where the Chairperson of the CHED is authorized to
designate the CHED Commissioner as a regular Chair of the
Board, the later acts as presiding officer.

Section 4. In case the Chairperson of the Congressional Committee

on Education is unable to attend the Board meeting, a
representative is duly designated having the same rights and
responsibilities as a regular member of the Board.

Article 4. Compensation. The members of the Board shall not receive salary but
shall be entitled to reimbursements for actual and necessary expenses
incurred, either in their attendance to meetings of the board, subject to
existing laws and regulations.

Article 5. Committees

Section 1. The Board may create standing or special committee

necessary for the proper performance of its functions.

Section 2. The University President is a member of all committees

created by the Board.

Article 6. Annual Report

Section 1. The University President submits detailed Annual Report

for the preceding fiscal year setting forth the progress,
accomplishments, condition and needs of the University to
the Office of the President of the Philippines through the

10 CAPIZ STATE UNIVERSITY

 BOOK ONE

CHED Chairman, and with the Senate and the House of the
Representatives on or before the fifteenth day of the second
month after the opening of regular classes each year.

Section 2. The Annual Report is prepared by a committee formed by

the University President headed by the VP for Academic
Affairs.

CAPIZ STATE UNIVERSITY

11
UNIVERSITY CODE

Chapter 3
THE ORGANIZATION AND ADMINISTRATION

Article 1. Organization

Section 1. CAPSU is composed of central administration located

in Roxas City and campuses strategically located in the
Province of Capiz.

Section 2. The University is divided into administrative and academic

divisions in the different Campuses/Satellite Colleges.

Section 3. The Campus has College and Department which offers at

least one academic program with at least 100 students and
10 regular faculty members. A new academic program
which does not qualify as Department is clustered with
existing closely related Department until it qualifies as one.
A Department is headed by a Chairman with an academic
rank.

Section 4. The department or departments can be formed into a college

where there are at least two (2) full-grown allied academic
programs offered, each with a minimum of 100 students or
a total of 500 students and with at least 20 regular faculty
members. The College is headed by a dean with an academic
rank.

Section 5. The establishment of a college is governed by CHED orders,

provisions from the Republic Act creating it, and allied
government agencies. The College of Nursing, and College
of Criminology have specific applicable provisions different
from the formation of a college in the University.

Section 6. The already established or existed college and department at

the time this Code is adopted are not anymore affected.

Article 2. Administration. The administration of the University and the exercise

of its powers is vested exclusively to the Board of Regents and the
University President in so far as authorized by the Board. He is assisted

12 CAPIZ STATE UNIVERSITY

 BOOK ONE

by the Vice President for Administration and Finance, the Vice President
for Academic Affairs , the Vice President for Research, Development and
Extension and other vice presidents who are designated and approved by
the Board of Regents .

Article 3. Key Officials

Section 1. The key officials in charge of management of the Campus,

other than those in Article 2 are the Campus Heads, Deans,
Program Coordinators and Administrative Heads.

Section 2. Other key officials may be created under the office of the
President which are necessary as determined and approved
by the Board.

Section 3. Designated positions are directly appointed by the

President or thru the Evaluation Committee subject to the
confirmation of the Board of Regents.

Section 4. All designated positions will have a term of office of one (1)
year without prejudice to re-designation.

Article 4. University President

Section 1. The President is the chief executive officer of the University

appointed by the Board of Regents and confirmed by the
Chairman of The Commission of Higher Education.

Section 2. His compensation is fixed by law. He is entitled to receive

honoraria and other incentives and privileges fixed by
existing laws.

Section 3. The salary of the president of the University is in accordance

with the Revised Compensation and Position Classification
System or as provided by RA 8292 and is comparable to
that being received by the presidents of similar educational
institutions.

Section 4. The President of the University is a holder of a doctorate

degree preferably with major in Educational Management/
Administration or its equivalent; having administrative

CAPIZ STATE UNIVERSITY

13
UNIVERSITY CODE

and supervisory experience of at least five (5) years in an

institution of higher learning.

Section 5. Other criteria for the selection of the President include:

a. Vision
b. Professional work experience
c. Leadership and integrative skills
d. Management experience and competence
e. Personal integrity
f. Public image and credibility
g. Acceptability to the University community
h. Should not be more than 60 years old at the time of
application

Article 5. Tenure

Section 1. The President of the University is appointed for a term of

four (4) years from the date of his appointment as President.
He may be reappointed for another term by the BOR and
confirmed by the CHED Chair.

Section 2. In case of vacancy in the office of the President by reason

of death, compulsory retirement, resignation, removal
for cause or incapacity, the Board designates an officer-
in-charge, pending appointment of new president. His
successor holds office for the unexpired term only.

Article 6. Duties of the President

The University President exercises the following duties:

a. Member ex-officio of the Board, Council, Department and

Committee;
b. Executes general policies laid down by the Board;
c. Exercises overall leadership and general supervision of the
operation towards the attainment of vision, mission, goals and
objectives;
d. Addresses implementation and transition of rationalization
program that affects the University;
e. Recommends appointment, promotion, tenure, change of

14 CAPIZ STATE UNIVERSITY

 BOOK ONE

service, discipline, retirement and dismissal of employee to the

Board;
f. Calls and presides meeting of the council and department/
committee;
g. Has access to records;
h. Acts on complaint concerning the University lodged with his
office;
i. Collates the annual budget proposal;
j. Recommends any undertaking he considers advantageous to the
University
k. Reports to the Board the status and needs of the University;
l. Determines agenda of meetings of the Board and Academic
Council. Other agenda may be included upon approval of the
Board.
m. Presides at commencement and public exercises and confers
degrees and honors.
n. Signs diplomas/certificates or delegates such function to his duly
designated officer;
o. Cancels permit or authority to engage in work or activity if it has
caused disgrace on the name of the University;
p. Acts as moderator between academic and non-academic
personnel, students, other stakeholders and the Board ;
q. Serves as national and international ambassador for the
university system in behalf of the Board.
r. Develops, cultivates and promotes strategic public – private
partnership for the operation of program, project and activities
geared toward the fulfilment of its vision;
s. Delegate such powers, duties and functions as he sees fit, and
prescribes conditions governing the exercise thereof including
the power of sub-delegation;
t. Has other power, duty and function as may be assigned by the
Board.

Article 7. The President has the following specific functions:

1. Designates his assistant/consultant, if necessary;

2. Makes an interim appointment in the interest of the service;
3. Grants or denies leave of absence and/or extension of leave of
absence upon reasonable justification or when it is necessary;
4. Grants or denies permission to training grants, fellowships,
scholarships, assistantships or invitation to conferences by

CAPIZ STATE UNIVERSITY

15
UNIVERSITY CODE

outside agencies/organization;
5. Grants or denies extension of fellowship or scholarship subject
to the pertinent provision of the scholarship contract;
6. Details personnel to other campus, college, department or office
with proper consultation and in the interest of public service;
7. Appoints scholar to advance study (local or abroad) and grants
the financial assistance in accordance with the policy approved
by the Board of Regents;
8. Disseminates Executive Orders, Administrative Orders,
Circulars, Implementing Rules and Regulations relative to the
operation of the University;
9. Converts the status of faculty from teacher’s leave (TL) to
teacher’s vacation – sick leave (TVS), or vice versa.
10. Implements preventive suspension of personnel with pending
administrative case;
11. Executes and signs MOU/MOA, contract, deed and other public
instrument necessary for the proper conduct of business;
12. Enforces discipline and maintains high academic standards;
13. Acts appropriately to action or resolution pertaining to certain
issue wherein the University is involved and solicits Board
confirmation.

Article 8. Vice-President

Section 1. Vice President (VP) position is designated and vested limited

authority by the President from among the faculty, research
and administrative personnel subject to the confirmation
of the Board.

Section 2. VP is entitled to salary and other benefits corresponding

to his academic rank. He is entitled to Representation and
Travelling Allowance (RATA).

Article 9. Vice President for Administration and Finance

Section 1. The term of office is determined by the university president,

without prejudice to re-designation.

16 CAPIZ STATE UNIVERSITY

 BOOK ONE

Section 3. The qualifications of the Vice President for Administration

and Finance are as follows:

1. Doctor’s degree holder;
2. CSC/PRC Eligible and or any appropriate eligibility;
3. With at least 5 years administrative experience higher
than a chairman;
4. A very satisfactory performance rating for three (3)
consecutive years;
5. At least an associate professor;
6. Impact to the community in terms of:

a. Acceptability
b. Personal integrity
c. Public image and credibility
d. Professional experience
e. Leadership and Integrative Skills
f. Emotional Stability

Section 4. The duty of the VP for Administration and Finance is

prescribed by the President. He serves as deputy of the
President and performs function in the absence of the latter.

Section 5. Exercises general supervision of all administrative and

support service personnel.

Section 6. Assists the President in developing plans and programs in

coordination with other administrative officers.

Section 7. Assists the President in identifying priority thrusts and

initiates, proposes, implements plans, programs and projects
for development.

Section 8. His other functions include :

1. Recommends to the President the allocation of funds

in coordination with the Chief Administrative Officer -
Finance;
2. Ascertains actual expenditure in accordance with
authorized appropriation; and
3. Perform other duties the President may assign.

CAPIZ STATE UNIVERSITY

17
UNIVERSITY CODE

Article 10. Vice President for Academic Affairs

Section 1. The term of office is determined by the university president,

without prejudice to re-designation.

Section 3. The qualifications of the Vice President for Academic Affairs

are as follows:

1. A doctorate degree holder preferably in Educational

Management/Instruction/Curriculum Development or
its equivalent;
2. At least an associate professor;
3. CSC/PRC Eligible or any appropriate eligibility;
4. A very satisfactory performance rating for three (3)
consecutive years;
5. At least 5 years of administrative and academic
supervisory experience;
6. Impact to the community in terms of:
a. Acceptability
b. Personal integrity
c. Public image and credibility
d. Professional experience
e. Leadership and integrative skills
f. Emotional stability

Section 4. The duty of the VP for Academic Affairs is prescribed by the

President. He serves as an extension of the President in the
conduct of academic affairs in all campuses.

Section 5. His specific functions are the following:

1. Oversees academic activities and coordinates with other

vice presidents as needed;
2. Creates and convenes committee to attend to the
activities relative to the development of curriculum and
other instruction – related matters;
3. Monitors and evaluates instruction of the different
curricular programs and recommends quality measures
for improvement;
4. Prepares program for faculty and staff development and
proposes the same for approval;

18 CAPIZ STATE UNIVERSITY

 BOOK ONE

5. Recommends attendance of faculty to conferences,

trainings, seminars, workshops and similar activities;
6. Recommends approval of activities proposed by faculty
and student organizations;
7. Sees to it that approved policy relative to academic
programs and projects are appropriately implemented;
8. Submits Annual Report on academic programs, projects
and activities;
9. Chairs the preparation of the University Annual Report;
10. Performs other duties that the President may assign;

Article 11. Vice President for Research, Development and Extension

Section 1. The term of office is determined by the university president,

without prejudice to re-designation.

Section 2. The qualifications of the Vice President for Research,

Development and Extension are as follows:

1. A doctorate degree holder preferably in Extension/

Development – Education or its equivalent.
2. At least an associate professor.
3. At least 5 years of administrative and research,
development and extension related experience.
4. CSC/PRC Eligible or any appropriate eligibility;
5. A very satisfactory performance rating for the last three
years.
6. Impact to the community in terms of:
a. Vision
b. Professional experience (research and extension)
c. Acceptability
d. Emotional stability

Section 4. The duty of the VP for Research, Development and Extension

is prescribed by the President. He serves as an extension of
the President in the conduct of research, development and
extension in all campuses.

CAPIZ STATE UNIVERSITY

19
UNIVERSITY CODE

Section 5. His specific functions are the following

1. Initiates plan and program in line with research ,

development and extension activities of the different
units;
2. Supervises the RDE activities of the different units;
3. Enriches review and recommends research projects/
proposals/programs for funding;
4. Proposes establishment of linkages with public and
private agencies, both local and foreign;
5. Initiates sourcing of funds for R, D and E programs and
projects;
6. Initiates and establish tie-up programs with government
and non-government agencies;
7. Submits an annual report on research, development and
extension and other related activities;
8. Performs other functions as the President may assign.

Article 12. Head of the Campus

Section 1. The Head of the Campus is designated by the President

upon confirmation of the Board. The term of office is
determined by the university president, without prejudice
to re-designation.

Section 2. He is vested limited authority as an alter ego of the President

in the exercise of control and general supervision, direction,
evaluation and coordination of the instruction, research,
extension and production activities in his respective campus.

Section 3. The qualifications of the Head of Campus are the following:

1. A doctorate degree holder preferably in educational

management/public administration and other fields.
2. At least three years of administrative and supervisory
experience.
3. At least an associate professor.
4. CSC/PRC Eligible or any appropriate eligibility;
5. A very satisfactory performance rating for the last three
years.

20 CAPIZ STATE UNIVERSITY

 BOOK ONE

6. Impact to the community in terms of:

a. Vision for the campus

b. Educational preparation/skills
c. Professional experience
d. Leadership and integrative skills
e. Management competency, integrity and
accountability
f. Emotional stability

Section 4. His other duties are the following:

1. Initiates plan, program and activity of the Campus and

ensures that effort is directed towards the attainment of
its vision, mission, goals and objectives;
2. Leads the preparation of the strategic/operational/
action plan and contingency plan in coordination with
concerned officials;
3. Reviews and evaluates personnel performance, request,
grant and recommends appropriate action;
4. Formulates/evaluates proposal, plan, program , project
and activity and subjects the same to the approval of the
proper authority;
5. Submits budget proposal and observes proper execution
of the approved budget in the operation of the campus ;
6. Initiates the development of curriculum materials and
proposes measures for implementation through the vice
president for academic affairs;
7. Promotes research, development and extension (RDE)
activities ;
8. Establishes income generating projects (IGPs) subject
to the approval of the proper authority;
9. Submits annual report to the University President thru
channels and other reports as required; and
10. Performs other duties and functions inherent to the
position of the Campus Head.

CAPIZ STATE UNIVERSITY

21
UNIVERSITY CODE

Article 13. Dean

Section 1. The Dean is designated by the President as head of a College

subject to confirmation of the Board. The term of office is
determined by the university president, without prejudice to
re-designation.

Section 2. He exercises control and general supervision of program/

project/activities within his jurisdiction.

Section 3. The qualifications of the Dean of a College are the following:

1. Preferably a doctorate degree holder in educational

management/public administration or other fields.
2. At least an associate professor;
3. CSC/PRC Eligible or any appropriate eligibility;
4. At least three years of administrative and academic
experience;
5. A very satisfactory performance rating for the last three
years;
6. Impact to the community in terms of:

a. Vision for the college

b. Educational preparation/skills
c. Professional experience
d. Leadership and integrative skills
e. Management competency, integrity and
accountability
f. Emotional stability

Section 4. His other duties are the following:

1. Initiates plan, program and activity of the College and

ensures that the College effort is directed towards the
attainment of its vision, mission, goals and objectives;
2. Recommends approval for the designation of program
and committee chairman;
3. Supervises activities of faculty and student organizations;
4. Evaluates the performance of faculty and employees
under his supervision;
5. Submits annual reports of the College;

22 CAPIZ STATE UNIVERSITY

 BOOK ONE

6. Conducts meetings with personnel under direct

supervision relative to the operation of the College;
7. Represents the College in all meetings ; and
8. Performs other duties and functions inherent to the
position of the Dean of the College.

Article 14. Director of Student Services

Section 1. The Director of Student Services is designated by the

President subject to the confirmation of the Board. The term
of office is determined by the president, without prejudice to
re-designation.

Section 2. The Director exercises control and general supervision of

program/project/activities of students and coordinates with
the Chairman of students services in every campus.

Section 3. The qualifications for the Director of Student Services are

the following:

1. At least a master’s degree holder;

2. At least assistant professor;
3. CSC/PRC Eligible or any appropriate eligibility;
4. At least 2 years of administrative/supervisory and
academic experience;
5. Very satisfactory performance rating for the last three
years;
6. Impact to the community in terms of:

a. Vision for the college

b. Educational preparation/skills
c. Professional experience
d. Leadership and integrative skills
e. Management competency, integrity and
accountability
f. Emotional stability

CAPIZ STATE UNIVERSITY

23
UNIVERSITY CODE

Section 4. His other duties are the following:

1. Assists the Vice President for Academic Affairs and or

Head of the Campus in formulation and implementation
of policies for student welfare;
2. Plans a well- balanced program of student activities;
3. Administers test for admission or re-admission,
scholarship grants or student assistantships, or guidance
and counseling for job placement;
4. Attends student activities such as athletics, culture and
arts, and accommodation, among others;
5. Implements orientation program;
6. Conducts studies/researches and evaluates student
services;
7. Serves as mediator of students complaints, resolves the
same within the framework of existing policies and
guidelines; and,
8. Performs other duties and functions inherent to the
position of the Director of Student Services.

Article 15. Director for Planning, Development and MIS

Section 1. The Director for Planning, Development and MIS is

designated by the President subject to confirmation of the
Board. The term of office is determined by the president,
without prejudice to re-designation.

Section 2. The Director assists the President in undertaking

institutional studies and in developing plans and programs
in coordination with other offices

Section 3. The qualifications for the Director of Planning, Development

and MIS are the following:

1. A master’s degree holder;

2. At least three years experience in developmental
planning;
3. At least assistant professor;
4. CSC/PRC Eligible or any appropriate eligibility;
5. A very satisfactory performance rating for the last three
years;

24 CAPIZ STATE UNIVERSITY

 BOOK ONE

6. Other qualifications include:

a. Conceptualization skills
b. Development orientation
c. Technical skills
d. Emotional stability

Section 4. His other duties are the following:

1. Gathers all documents of programs, projects and

activities of the University;
2. Assists in identifying priority thrusts and development
needs of the University in formulating its five-year or
ten-year development program;
3. Undertakes feasibility studies on institutional holdings
for project and program for funding in coordination
with the VP for RDE;
4. Reviews project reports and recommends improvement
to achieve its objectives;
5. Analyzes problem incurred in the implementation of
the plan and program involving faculty, personnel, and
students and submits solution to the problem.
6. Provides the community with comprehensive, reliable,
relevant and up-to-date information;
7. Ensures that data and information requested is
accurately prepared, available, and submitted on time;
and
8. Supports other units/departments with information
and communication technology.

Article. 16. Director for University Business Affairs Office (UBAO)

Section 1. The Director for University Business Affairs Office (UBAO)

is designated by the President subject to confirmation of the
Board. The term of office is determined by the president,
without prejudice to re-designation.

Section 2. The Director assists the President in the management of

the resources of the University, specifically on income-
generation projects in coordination with other offices.

CAPIZ STATE UNIVERSITY

25
UNIVERSITY CODE

Section 3. The duties of UBAO Director are the following:

1. Initiates, reviews and develops proposals and guidelines

on income generation project;
2. Undertakes continuous study of requirement for
production and auxiliary services;
3. Evaluates effectiveness of auxiliary services;
4. Plans, implements, directs, and appraises all activities of
the UBAO Center;
5. Supervises and facilitates the activities in coordination
with personnel in production areas;
6. Provides leadership in production of prototype for every
course;
7. Evaluates and consolidates reports of production, data
and cost estimated for ready references;
8. Coordinates with personnel in undertaking commercial
work orders;
9. Performs other related duties that may be assigned by
the president.

Article 17. Director for Project Management Office (PMO)

Section 1. The Director for Project Management Office is designated

by the President subject to confirmation of the Board.
The term of office is determined by the president, without
prejudice to re-designation.

Section 2. The Director assists the President in the management

of special projects and programs of the University in
coordination with other offices.

Article 18. Director for Publication, Instructional Materials and Quality

Assurance Office

Section 1. The Director for Publication, Instructional Materials and

Quality Assurance Office is designated by the President
subject to confirmation of the Board. The term of office
is determined by the president, without prejudice to re-
designation.

26 CAPIZ STATE UNIVERSITY

 BOOK ONE

Section 2. The duties of Director for PIM/QAO are the following:

1. Plans and directs implementation of quality assurance

program for evaluation, accreditation, certification,
curriculum planning and development and revisions.
2. Initiates plan and programs for implementation,
preparation and publication of instructional materials
(IMS).
3. Initiates in coordination with the vice presidents
regarding publication of performance of the four
functions of the University.

Article 19. Director for External Affairs and Linkages

Section 1. The Director for External Affairs and Linkages is designated

by the President subject to confirmation of the Board.
The term of office is determined by the president, without
prejudice to re-designation.

Section 2. Assists the President in the establishment of sustainable

local, national and international linkages relative to the
mandate of the university.

Article 20. The Legal Office

The President may establish or create Legal Office subject to the approval
of the Board to provide legal advice; interpret laws and rules affecting the
operation; to prepare contracts and instrument to which the University is
a party, and to interpret provisions of contracts covering work performed
for the University by private parties; to render counseling services on
legal matters to both the faculty, staff and students and represent the
University before any court or tribunal.

Article 21. Chief Administrative Officer – Administration

Section 1. The Chief Administrative Officer for Administration

performs the following functions:

1. Exercises general administration and supervision of the

management office including the general support and
security services of the University;

CAPIZ STATE UNIVERSITY

27
UNIVERSITY CODE

2. Proposes plans pertaining to personnel management;

3. Coaches strategic actions in the attainment of goals and
objectives;
4. Evaluates personnel performance and recommends
appropriate development on training and seminar;
5. Ensures support and assistance to academic personnel;
6. Observes proper communication protocol;
7. Exercises professional leadership and undertakes
function and responsibility inherent in the position of
the chief administrative officer; and
8. Performs other duties that superior may assign;

Article 22. Chief Administrative Officer – Finance

Section 1. The Chief Administrative Officer – Finance performs the

following functions:

1. Exercises general administration and supervision of

budget and accounting management offices;
2. Proposes and implements financial strategic plans;
3. Develops adaptive financial processes for uniform
implementation without violating the law and approved
policies;
4. Works hand in hand with cashier, collecting officer,
supply officer, and other key officials involved in
financial matter/activity;
5. Monitors finances of the university in accordance with
approved budget;
6. Requires all concerned to observe proper financial
management ;
7. Oversees management and coordination of all fiscal
reporting activities;
8. Evaluates outcome and proposes appropriate action,
recommendation or adjustment for improvement of
Financial Management System ;
9. Exercises professional leadership and undertakes
function and responsibility inherent in the position of
the chief administrative officer; and
10. Performs other duties that superior may assign;

28 CAPIZ STATE UNIVERSITY

 BOOK ONE

Article 23. The Internal Auditor

Section 1. The Internal Auditor heads the Internal Audit Office and is
responsible to examine and evaluate the internal control and
performance of the operation, reports findings, and suggests
recommendations for improvement .

Section 2. The Internal Auditor performs the following duties:

1. Determines the reliability, integrity of operation

information and processes used to identify, measure
and classify information;
2. Sees that existing laws, government policies, board
approved plans, procedures and regulations are applied
in the operation;
3. Proposes measures to safeguard assets and other
resources;
4. Reviews and evaluates control practices applied in
operation and promotes best control practices at
reasonable cost;
5. Reviews results of program to ascertain whether
objectives and goals are met as planned; and
6. Performs other duties that the President may assign.

Article 24. University/Board Secretary

Section 1. The Board Secretary is confirmed by the Board of Regents

upon recommendation of the President who takes
charge of the records of the Board meetings and other
communications;

Section 2. Acts as public information officer and secretary of the

Academic and Administrative Council;

Section 3. Attends to other activities/matters that the President may

assign;

.Article 25. Registrar

Section 1. The Registrar takes charge of student admission and

registration, schedule of classes and examinations,

CAPIZ STATE UNIVERSITY

29
UNIVERSITY CODE

scholastic records, commencements, and publications such

as catalogues, directories, and announcements.

Section 2. Submits required report.

Article 26. Human Resource Management (HRM) Officer

The HRMO is responsible in providing support to human resource

functions that include recruitment, staffing, training and development,
performance monitoring and rewarding, employee counseling and
retirement/ separation from service.

Article 27. Bids and Awards Committee (BAC) and Composition

Section 1. The Bids and Awards Committee is designated by the

University President and confirmed by the Board of Regents.

Section 2. The BAC is composed of at least 5 members not to exceed

7 members chaired by at least a third ranking permanent
official of the procuring entity. The term of BAC members is
one (1) year reckoned from date of appointment, renewable
as the Head of Procuring Entity decides. (Sec. 11, Art. V, RA
9184)

Section 3. The BAC performs functions in accordance with

procurement law such as but not limited to the following:

a. advertises and/or posts the invitation to bid;

b. conducts pre-procurement and pre-bid conferences;
c. determines eligibility of prospective bidders;
d. receives bids;
e. conducts evaluation of bids;
f. undertakes post-qualification proceedings;
g. recommends awarding of contract to the Head of
Procuring Entity (HOPE) or his duly authorized
representative:
h. performs other functions as necessary.

30 CAPIZ STATE UNIVERSITY

 BOOK ONE

Article 28. The Organizational Structure

(See Figure I. CapSU Organizational Structure)

CAPIZ STATE UNIVERSITY

31
UNIVERSITY CODE

Chapter 4
THE ADMINISTRATIVE COUNCIL

Article 1. Composition

Section 1. The Administrative Council, chaired by the University

President with the Vice Presidents, Heads of the Campuses,
Deans, Directors, and other administrative officials of equal
rank as members, reviews and proposes resolution for
policy development.

Section 2. The Administrative Council has the following duties:

a. Deliberates submitted resolution for appropriate action;

b. Recommends solution on various concerns to include
but not limited on disciplinary cases brought before the
body;
c. Acts in an advisory capacity on all matters pertaining to
the development of the University; and
d. Performs such other functions as may be provided by
the governing board.

Article 2. Meetings

The Administrative Council sets its regular meeting. Special meeting

may be called by the chairman or his duly authorized representative
upon request of majority members. The council decides the venue and
the adoption of internal rules of procedures.

Article 3. Committee

The Administrative Council creates ad hoc committee as deemed

necessary and proper.

32 CAPIZ STATE UNIVERSITY

 BOOK ONE

Chapter 5
THE ACADEMIC COUNCIL

Article 1. Composition

Section 1. The Academic Council, chaired by the University President

with all academic personnel with the rank of at least Assistant
Professor as regular members. Those with rank lower than
Assistant Professor but head of Academic Department are
considered members of the council during their term of
office.

Section 2. The Student Council Federation President, being a Student

Regent of the Board, is also a member of the Council.

Article 2. The Academic Council exercises the following duties:

a. Deliberates and act on resolution for the offering of curricular

program;
b. Recommends solution on various academic concerns and
disciplinary cases involving faculty and students;
c. Ascertains the requirement for admission to any academic program
of the institution;
d. Establishes the requirement for graduation, grant of academic
degree, honor and award ; and
e. Performs other functions as may be provided by the board.

Article 3. Meetings

Section 1. The Academic Council sets its regular meeting at least twice
a year. Special meeting may be called by the chairman or his
duly authorized representative upon the request of at least
one-fifth of the members. The council decides on the venue
and the adoption of internal rules of procedures

CAPIZ STATE UNIVERSITY

33
UNIVERSITY CODE

Section 2. The attendance of the members is a must in all meetings. A

member is excused only for the following grounds:

a. On official travel
b. On authorized leave of absence

Article 4. Agenda

Inclusion of any matter in the agenda of the meeting may be considered

by one tenth (1/10) vote of its members present.

Article 5. Committee

The Administrative Council creates ad hoc committee as necessary and

proper.

Article 6. Modification

Proposed modification on matter passed and approved by the

Council,submitted three (3) days before the meeting, is subject to two-
thirds (2/3) votes of the members present in a quorum.

34 CAPIZ STATE UNIVERSITY

 BOOK ONE

Chapter 6
THE ADMINISTRATIVE OFFICES

Article 1. Composition

Section 1. The administrative offices are headed by the Vice President

for Administration and Finance.

Section 2. Casual, job order/contractual employees and laborers are

integral part of the administrative offices.

Article 2. Property and Supply Office

Section 1. The Property and Supply Office is headed by a regular

plantilla personnel.

Section 2. The Property and Supply Office is responsible in the

procurement of supplies/materials/equipment and fixed
assets; custody and disposal of the same.

Section 3. Other functions of the supply office are:

a. Prepares Annual Procurement Program (APP);

b. Prepares Purchase Request (PR);
c. Prepares Purchase Order (PO);
d. Inspects and accepts delivery;
e. Conducts physical Inventory and reconciliation of
assets with the Accounting office;
f. Recommends appropriate disposal of unserviceable
assets; and
g. Perform other functions as assigned by the superior.

Section 4. Procurement and Requisition. Procurement and requisition

are made in accordance with existing law, government rule
and regulation, and other implementing rules.

Section 5. Relief of Accountability. Request for Relief of Accountability

is endorsed to the Resident Auditor only upon submission
of requirement.

CAPIZ STATE UNIVERSITY

35
UNIVERSITY CODE

Article 3. Records Management Office

Section 1. The Records Management Office keeps, classifies and

maintains records of incoming, outgoing and intra-
department communications.

Section 2. Records are marked “Received”, “Filed”, or “Released” and

signed or initialed for appropriate disposition.

Section 3. Permanent records are preserved and other documents are

kept in temporary storage until retention period expires and
standard procedure in disposing of records is observed.

Article 4. The Budget Office

Section 1. The Budget Office is headed by a regular plantilla personnel.

Section 2. The Budget Office exercises the following functions:

a. Assists the President in the preparation of annual

financial work plan in consonance with the strategic
development plan and objectives;
b. Evaluates and analyzes budgetary proposal, plan and
financial flow in compliance with budgetary policies
and project priorities;
c. Determines allocation of allotments for the campuses;
e. Maintains registry of obligations against approved
appropriation per program/project/activity;
f. Prepares financial report for management and higher
authorities;and
g. Perform other functions as assigned by the superior.

Article 5. The Accounting Office

Section 1. The Accounting Office is headed by Certified Public

Accountant.

Section 2. The Accounting Office performs the following functions:

a. Adheres to generally accepted accounting rule and

regulation, in pursuance with law and other authorities

36 CAPIZ STATE UNIVERSITY

 BOOK ONE

in the disbursement of fund;

b. Certifies as to availability of fund and propriety of
supporting documents;
c. Acts as tax withholding agent;
d. Maintains financial records classified accordingly;
e. Enforces liquidation of cash advances;
f. Prepares accounting journals, bank reconciliation
statement and other schedules of the financial statement;
g. Submits required financial report and supporting
documents to management and monitoring authorities;
and
h. Performs other duties as assigned by the superior.

Article 6. The Cashier Office

Section 1. The Cashier Office is headed by a plantilla personnel.

Section 2. The Cashier Office performs the following functions:

a. Prepares and issues checks in the settlement of financial

obligation;
b. Prepares and submits report of checks disbursement
and supporting documents to the accounting office;
c. Coordinates with depository banks on fund status;
d. Supervises the collection and deposits made by
deputized collecting officer;
e. Maintains cash books; and
f. Performs other duties as assigned by the superior.

CAPIZ STATE UNIVERSITY

37
UNIVERSITY CODE

Chapter 7
OTHER ADMINISTRATIVE SERVICES

Article 1. Planning Service

Planning Service provides economical, efficient and effective services

relating to planning, programming, and project development and other
relevant functions.

Article 2. Internal Audit Service

Internal Audit Service conducts inspection and audit of the personnel

management, financial and business operations in order to:

a. determine compliance with laws, rules and standards;

b. review discharge of delegated authority;
c. make an adequate evaluation of the progress made and problems
encountered;
d. give advice and provide assistance in developing constructive
policies, standards and procedures, and stimulates improvement in
all areas of management within the University.

Article 3. Management Information Service

Management Information Service provides adequate and up-to-date and

management information inputs, including monitoring of all campuses
operations, to serve as basis for effective planning, management and
control, policy formulation and decision-making.

38 CAPIZ STATE UNIVERSITY

 BOOK ONE

Chapter 8
ADMINISTRATIVE PROCEDURES

Article 1. Recruitment and Selection of Personnel

Section 1. Opportunity for employment is open to all qualified citizens

and positive efforts are exerted to attract the best qualified
to enter the service. Personnel are selected on the basis of
merit and fitness to perform the duties and assume the
responsibilities of the positions.

Section 2. The University evolves its own screening process through

the Promotion and Selection Board (PSB) in every campus
and central administration, which may include tests of
fitness, in accordance with standards and guidelines set by
the Civil Service Commission (CSC).

Section 3. The degree of qualifications of an officer or employee is

determined by the appointing authority on the basis of the
qualification standard for the particular position.

Article 2. Personnel Actions

Personnel actions refer to movement or progress of personnel such as

appointment, promotion, transfer, reinstatement, reemployment, detail
and reassignment which are in accordance with such rules, standards
and regulations promulgated by the CSC.

Article 3. Performance Evaluation System

CAPSU establishes a performance evaluation system in accordance with

Strategic Performance Management System (SPMS) in such manner as
to continually foster the improvement of individual personnel efficiency
and organizational effectiveness.

Article 4. Incentive Award System

CAPSU incurs whatever necessary expenses involved in the honorary

recognition of officers and subordinates who by their suggestions,

CAPIZ STATE UNIVERSITY

39
UNIVERSITY CODE

inventions, superior accomplishments and other personal efforts

contribute to the efficiency, economy, and other improvement of the
university operations, or who performs such other extraordinary acts or
services in the public interest in connection with, or in realization to,
their official employment.

Article 5. Complaints and Grievances

Employees have the right to present their complaints or grievances to

management and have them adjudicated as expeditiously as possible in
the best interest of CAPSU, the government as a whole, and the employee
concerned in accordance with policies enunciated by the CSC and the
Board of Regents.

40 CAPIZ STATE UNIVERSITY

BOOK TWO

FACULTY
Book Two presents the policies on recruitment,
appointment and advancement as well as the
duties and responsibilities of an academic
personnel. Presented also are their workloads, the
academic process, benefits and incentives , and
the services that are availed from the University.
UNIVERSITY CODE

Chapter 1
RECRUITMENT, APPOINTMENT OF THE FACULTY

A faculty is a member of the academic personnel engaged in actual teaching, research,

extension and production activities either on a full-time or part-time basis.

Article 1. Duties and Responsibilities of the Faculty

Section 1. Instruction

Section 1.1 Instruction focuses on the process of facilitating the

acquisition of knowledge and skills to develop the
analytical and creative faculties of the learners. It also
includes other specific tasks such as student consultation,
academic advising, and all other initiatives that facilitate
the process of learning.

Section 1.2 Every faculty member is expected to:

a. Identify learner needs;

b. Prepare and follow a course syllabus based on the
needs identified;
c. Facilitate the learning process through active
engagement in classroom tasks and activities;
d. Develop students’ analytical and creative thinking
skills through purposive activities with focus on
higher order thinking skills;
e. Design alternative and innovative models of
teaching for all types of students: regular, gifted and
those with special needs;
f. Make oneself available for consultation, academic
advising and other relevant functions that help
improve the students’ well being;
g. Manifest a strong commitment to development
of highly competent and qualified graduates by
constantly improving one’s craft;
h. Vary teaching methodologies and techniques in the
pursuit of effective teaching and learning process;
and

42 CAPIZ STATE UNIVERSITY

 BOOK TWO

i. Attend University/College affairs such as academic

councils, commencement rites, foundation
and University/College week activities, faculty
development programs, flag ceremony and retreat,
and other activities and programs implemented by
the University management.

Section 2. Research. Faculty members need to continually explore

areas of inquiry through active participation in research
endeavors. They are expected to:
a. Participate in formulating the research agenda for the
University/Campus;
b. Generate research paradigms to enhance instruction in
their field of specialization;
c. Encourage students to become creative, innovative and
productive researchers;
d. Study recently published papers on basic and applied
researches, materials development, feasibility studies,
and others;
e. Participate in local, national and international
conferences; and
f. Publish articles/monographs in recognized and refereed
journals and magazines.

Section 3. Extension

Section 3.1 Faculty members are strongly encouraged to participate

or to render service either in University/Campus-
sponsored community extension projects or in their own
community, sectoral and/or professional organizations.
Faculty participation in these activities is regarded as
part of their professional and personal commitment to
the academic profession.

Section 3.2 To strengthen the University/Campus’ institutional

linkages, collaboration and networking, faculty
members are encouraged to:

a. Conduct in-service training programs to teachers,

school administrators and other groups of clientele
both public and private sectors;

CAPIZ STATE UNIVERSITY

43
UNIVERSITY CODE

b. Contribute in strengthening institutional ties and

network with other national and international
educational institutions;
c. Be involved in developing and implementing
on such extension activities on literacy and
other educational concerns, technology transfer,
environmental and ecological protection and
conservation, and other extension endeavors;
d. Collaborate with the other groups, agencies and
institutions which also conduct extension programs
and activities; and
e. Participate in extension programs aimed at
developing and implementing projects that assist
the needy, under-privileged, poverty-stricken, and
other similar groups.

Section 4. Production

Faculty members at the tertiary level are encouraged to

produce scholarly outputs that showcase their skills, talents
and expertise. These knowledge-based projects can help
generate additional income for the institution. They can also
directly get involved in putting up and managing income
generating projects in their field of expertise and augment
the University revenues for improved operations. Faculty
members are expected to:

a. Publish and develop scholarly works like books,

magazines, journals, research articles, and monographs,
lectures, modules and instructional materials.
b. Design, develop and share multimedia courseware
and resources such as tapes, videotapes, powerpoint
presentation and other courseware packages;
c. Design and produce materials for presentation and
production in the performing arts; and
d. Establish and manage Income generating projects
such those in the fields of agriculture, fishery, forestry,
engineering, and other related technical areas where
they have the expertise.

44 CAPIZ STATE UNIVERSITY

 BOOK TWO

Article 2. Recruitment and Appointment

Publication of vacant positions as requirement of the Civil Service

Commission is acknowledged as a mechanism that allows for more
applicants to be accommodated and screened for vacant positions.
This also encourages greater chances of getting the best and qualified
applicants to vacant positions. The policy also encourages graduates of
the university to work hard for excellence and should not be deprived
of the chance of being considered in the recruitment process. For as
long as they meet all the requirements for the positions and excel in the
criteria set by the Promotion and Selection Board (PSB), the issue of
in-breeding is addressed. A more detailed explanation on recruitment
and appointment is provided in the Merit System and Administrative
Manual.

Section 1. Hiring Procedures

a. Pursuant to the University Merit System, the minimum

educational qualification for recruitment shall be a
master’s degree or its equivalent in the appropriate
specific area of specialization, aligned with the
baccalaureate degree (vertical articulation) and with
appropriate eligibility.

b. For those who satisfy the above qualifications, the

following shall be the order of preference:

• Has achieved national/international prominence in

the area of specialization.
• Has received scholarship grants, fellowships,
travel grants and the like related to his/her area of
specialization.
• Graduated with academic honors such as summa
cum laude, magna cum laude, or cum laude.
• Belonged to the first ten in the appropriate Board
Examination.
• Has taught for a minimum of two (2) years in the
tertiary level.

c. Entry to faculty and academic staff positions shall be

at an appropriate faculty rank based on the prevailing
criteria of the University for evaluation.

CAPIZ STATE UNIVERSITY

45
UNIVERSITY CODE

Section 2. Selection of Faculty

a. Hiring of faculty members is primarily based on the

need of the department determined by the campus head
and conformed by the officials of the University.

b. Selection of the faculty member is done through the

Promotion and Selection Board (PSB) of every Campus/
Satellite College.

Section 3. Appointment

Section 3.1 Permanent. A permanent appointment shall be given

to a faculty after the recommendation of the PSB, the
Vice President for Academic Affairs (VPAA), with the
approval of the University President, confirmed by the
BOR, and attested by the Civil Service Commission
(CSC) considering the following:

• Very satisfactory teaching performance as evaluated

by students, peers, the Program Coordinator and
the Dean;
• Values and attitudes reflecting the University/
College mission statement, such as the sense of
cooperation, and responsibility in academic tasks;
• Compliance with regulations and academic
responsibilities and requirements for attendance,
and punctuality in institutional activities, and
prompt submission of grades and other reports.
• Demonstration of research capability; and
• Active participation and membership in
Department, College, and University committees
and activities.

Section 3.2 Types of Faculty Appointment

a. Regular (Full-time) Faculty

These are faculty members who are hired on a

full-time basis and whose main functions include
instruction, research, extension services, and

46 CAPIZ STATE UNIVERSITY

 BOOK TWO

production in pursuance of the vision, mission and

goals of the University.

b. Non-Regular

Non-regular faculty members are classified as

follows:

• Part-Time Faculty

These are faculty members employed to teach

on a term basis (semester or summer). They
receive remuneration on an hourly rate
determined by the University. Though their
presence is required during class hours only, they
are also expected to undertake assigned tasks
and spend time to conduct research, improve
and augment productivity, and promote and
develop extension services in pursuance of the
vision, mission and goals of the University.

• Visiting Professor

Visiting professors are those invited by the

University/College from other institutions
to render services in the form of instruction,
research, extension, and the like for the
duration of a program. Foreign professors who
are invited to speak in a forum, symposium, or
a series of lecture fall under this category.

• Exchange Professor

Exchange professors are those coming from

the campuses or other colleges and universities
(local or foreign) and invited to render services
in the form of instruction, research, extension,
and the like in any campus of the University
or vice versa for a fixed period of time, usually
from six (6) months to two (2) years.

CAPIZ STATE UNIVERSITY

47
UNIVERSITY CODE

• Associate Faculty

These are faculty members based in a particular

College/Department who are invited to
render instruction, research, and extension
or production services to other Colleges/
Departments within the University.

• Adjunct Faculty

These are cooperating teachers who are

directly involved in the supervision of students
performing their off-campus practice teaching.
The University can provide incentives to
the adjunct faculty and to the cooperating
institution, which can be in the form of staff
development, instructional materials or
financial assistance.

• Contractual Faculty

These are faculty members hired on a full time,

or monthly basis to conduct special instruction
and/or research services to the University.

• Professor Emeritus

This is a retired faculty member or administrator

who holds the rank of at least Full Professor
at the University and has served at least
twenty (20) years of teaching upon his/her
retirement and is given the title in recognition
of exceptional competence in his/her field of
specialization. He/she is likewise invited to
render instructional or research services in the
University. He/She may receive remuneration
appropriate to his/her position and nature of
assignment based on existing policies of the
University.

48 CAPIZ STATE UNIVERSITY

 BOOK TWO

Section 4. Discipline and Termination of Appointment. The services

of a permanent faculty member may be terminated due to
major offense committed based on the Civil Service rules
and regulations after due process has been undertaken.

Section 5. Transfer and Resignation. A faculty member who opts to

transfer or resign must secure a clearance from the offices of
the President down to Program Coordinator in the campus/
satellite college where he/she serves. The same clearance
must also pass the offices of the Chief Librarian, Accountant,
Registrar, Supply Officer, HRMO and other personnel as
determined by the University. Transfers within the semester
shall not be allowed.

Section 6. Appointment of Full Time Faculty. The classification of

academic ranks of full time faculty is based primarily on the
common criteria for evaluation of SUCs. Specific criteria for
the appointment to academic ranks shall be provided in the
faculty manual.

a. Instructor I – III
b. Assistant Professor I – IV
c. Associate Professor I – V
d. Professor I – VI
e. College/University Professor

Section 7. Appointment of Part-time Faculty

a. General Guidelines

1. Part-time faculty members are those employed to

teach an assigned number of loads based on the
needs of a department. Preferably a holder of master’s
degree in line with the baccalaureate degree or must
have finished at least the academic requirements for
a master’s degree in accordance with the existing
policies on Faculty Recruitment and Appointment.
They are obliged to submit a permission to teach
from their mother agency or school, if applicable.
The regular number of loads for a part-time faculty
member is nine (9) units. This number may be

CAPIZ STATE UNIVERSITY

49
UNIVERSITY CODE

increased if the faculty member meets the following

criteria:

• Obtains a very satisfactory teaching

performance as determined from the evaluation
of students, peers, Department Head, and
whenever applicable, the Dean.

• Complies reasonably with school regulations

and administrative requirements for attendance,
punctuality, and deadline for grades, among
other factors.

• Participates actively in the activities of the

department, college, and University.

2. The maximum teaching loads of a part-time faculty

member shall be twelve (12) units. Part-time faculty
members should be informed of their tentative
teaching loads at least two (2) weeks before the
start of classes. If there are changes in the schedule,
these shall be communicated to the faculty member
concerned at least twenty-four (24) hours before the
start of classes.

3. Contracts of part-time faculty members expire

at the end of every term (semester or summer).
The Campus head shall recommend renewal after
consultation with the Program Coordinator/Dean,
and if the part-time faculty member has passed all
the criteria set for evaluating faculty performance.

4. Part-time faculty members are expected to serve the

entire term of their employment. Any violation of
the contract will result to non-renewal of contract.

50 CAPIZ STATE UNIVERSITY

 BOOK TWO

b. Appointment as Part-time Faculty

• Lecturer

Appointment to the rank of Lecturer requires a

bachelor’s degree and at least one (1) year of teaching
experience. Those with additional teaching and/or
other professional experience may be accorded a
higher hiring rate.

• Assistant Professorial Lecturer

Appointment to this rank requires the completion of

a master’s degree and a minimum of two (2) years of
competent teaching experience on the tertiary level.
Additional teaching and/or professional experience
may be counted for determining the hiring rate.
Completion of a specialized degree (LIB, MD) may
be considered equivalent to a master’s degree when
applicable to the area to which the faculty member
belongs.

Managerial or research experience directly relevant

and related to the Department to which the
applicant belongs shall carry the same weight as
teaching experience in determining faculty rank.

• Associate Professorial Lecturer

Appointment to this rank requires a master’s degree

in the required field of specialization.

The following may be considered for determining a

higher hiring rate:

- Completion of at least seventy-five percent

(75%) of academic units, inclusive of
dissertation units, in a doctoral program related
to one’s discipline;
- Significant research evidenced by the publication
of one’s output in a reputable journal or venue

CAPIZ STATE UNIVERSITY

51
UNIVERSITY CODE

or recognition by a reputable organization of

the faculty member’s contribution to the field of
specialization;
- At least five (5) years of competent teaching
on the tertiary level and/or seven (7) years
of outstanding managerial and professional
experience as an equivalent of the minimum
teaching experience; and
- Membership and leadership in professional,
community, and government or non-
government organizations.

• Professorial Lecturer

Appointment to this rank requires a doctorate

degree. In the absence of a doctorate degree, all of
the following must be considered as a substitute for
the doctoral requirements, except for those where
the terminal degree is a master’s degree.

- Recognition in the form of an award, grant

or fellowship by a reputable and recognized
national/international organization for one’s
outstanding contribution to the field of
specialization;
- Consistent involvement in a major research
project either as proponent or as major
consultant;
- Consistent scholarly publication in one’s field of
specialization; and
- Significant service to the academic community
and/or active membership and involvement
in the University, community, professional,
national or international organization.

Article 3. Promotion and Advancement

The University supports its faculty and employee professional

advancement through its scholarship grants and attendance to trainings
and seminars at all levels.

52 CAPIZ STATE UNIVERSITY

 BOOK TWO

In the event that scholarship grants outside the University are scarce
and unavailable, faculty members and employees are accommodated in
CAPSU campuses offering graduate degree programs they are pursuing.
However, in instances when faculty members or employees intend to
pursue degrees not offered in the university, monetary assistance and
official time are also made available upon issuance of study permits
by the University President and upon the recommendation of the Vice
President for Academic Affairs and the Vice President for Administration
and Finance. Besides, dissertation and thesis grants are also available for
graduates upon submission of bound dissertations or theses.

In order to minimize wastage of time, efforts and resources of faculty

and the university, those who have started and are about to graduate in
the degree programs of the university be allowed to graduate for as long
as they comply with the academic and administrative requirements for
graduation.

Section 1. General Guidelines. A faculty shall be promoted/advanced

to a higher faculty rank/sub-rank on the basis of the extent
to which he/she meets the specific requirements and/or
standards as set forth in this document.

Section 2. Basis for Promotion and Advancement

a. Common Criteria for Evaluation (CCE)

There shall be a quantitative evaluation of the educational

qualification, experience and length of service, and the
professional development, achievement, and honors of
every faculty.

- Educational Qualification
- Experience and Professional Services
- Professional Development, Achievement and
Honor

b. Qualitative Contribution for Evaluation (QCE)

This is a qualitative evaluation of a faculty in the four

functional areas such as instruction, research, extension
and production.

CAPIZ STATE UNIVERSITY

53
UNIVERSITY CODE

Section 3. Definition of Terms. For purposes of the implementation of

the NBC 461, the following terms are herein defined:

a. Advancement refers to the upgrading of the academic

rank of a faculty from one sub-rank to a higher sub-
rank within a rank and accompanied by an increase in
salary in accordance with the provisions of the Salary
Standardization Act. The Board of Regents approves
advancement and subsequently issues a Notice of Salary
Adjustment to the faculty.

b. Promotion refers to the upgrading of the academic

rank of a faculty from a lower rank to a higher rank,
for example, from Instructor to Assistant Professor,
Associate Professor to Professor etc., and accompanied
by an increase in salary in accordance with the provisions
of the Salary Standardization Act. A promotion is
approved by the Board of Regents and the Civil Service
Commission. An Appointment and Notice of Salary
Adjustment is subsequently issued to the faculty.

c. Merit promotion refers to the movement of a faculty

from one rank/sub-rank to another on the basis of
meritorious performance and despite the absence of
the required educational qualification for the rank/sub-
rank.

d. Rank refers to academic positions of faculty, namely

Instructor, Assistant Professor, Associate Professor,
Professor, and University Professor.

e. Sub-rank refers to the academic positions within a rank.

The sub-ranks for the Instructor rank are Instructor I,
II, and III; for the Assistant professor rank - Assistant
Professor I, II, III, and IV; for the Associate Professor
rank - Associate Professor I, II, III, IV and V; for the
Professor rank - Professor I, II, III, IV, V, VI.

Section 4. Performance Appraisal for SUCs. There shall be a Strategic

Performance System (SPMS) which shall be used to assess
the instructional competencies of every faculty. Performance

54 CAPIZ STATE UNIVERSITY

 BOOK TWO

appraisal shall be conducted semi-annually on the rating

period for January to June and July to December.

Section 5. Promotion and Advancement Cycle. Promotion/

advancement shall be done every two years without
prejudice to interim promotion/advancement on account of
degree(s) earned during the period. In no instance, however,
should a faculty be promoted/advanced within a period of
two terms after the latest promotion.

Section 6. Accreditation Committee. All candidates for the rank

of Professor shall undergo screening by a Regional
Accreditation Committee and shall be confirmed by a
National Accreditation Committee.

Section 7. Procedures for Promotion. The PSB is tasked to screen/

rank faculty members for promotion in every Campus/
Satellite College. In close coordination with the HRMO of
the Central Administration, the HRMO of the campus with
the clearance/approval of the Campus Head shall announce
all vacant positions to be filled up. The NBC points obtained
by the applicant in the most recent NBC evaluation shall
serve as the primary basis for ranking and promotion. The
ranking is then forwarded by the HRMO to the Office of
the VP for Academic Affairs for further scrutiny which shall
make appropriate recommendation to the President.

Section 8. Procedures for Advancement/Upgrading of Rank/

Position

a. The Chairperson of the local PSB shall advise all faculty

and academic staff concerned within the Campus/
satellite college to update their records and submit
pertinent documents to the PSB Secretary (HRMO) at
the start of the evaluation period.

b. The rules and procedures in the prevailing criteria for

evaluation on position or rank advancement/upgrading
shall be followed.

CAPIZ STATE UNIVERSITY

55
UNIVERSITY CODE

c. The local PSB shall evaluate the credentials of the faculty

and academic staff concerned and shall officially transmit
them to the Local Evaluation Committee through the
VP for Academic Affairs who will recommend the same
to the President. Then this will be sent to the computer-
processing center for SUCs in the region. This will be
accompanied by the results of the QCE done by the
QCE Committees of the institutions. Advancement/
upgrading shall be evaluated every odd year (NBC 461).

d. The computer printouts issued by the recognized

processing center shall be used by the PSB to determine
the appropriate rank or sub-rank of its faculty.

e. Aggrieved parties shall file protests within 15 days

from date of notice of the promotion, upgrading, or
advancement to the Office of the President through
channel.

Section 9. Point Allocation and Salary Grade. The point allocation

for each academic sub-rank and the salary grade thereof
shall be followed as provided by National Budget Circular
(NBC).

56 CAPIZ STATE UNIVERSITY

 BOOK TWO

Chapter 2
FACULTY WORKLOAD

Article 1. Work Load

Regular faculty members should serve a minimum of 40 hours per week
from Monday to Friday. Teaching loads refer to handling a subject and
providing classroom instruction to students.

Section 1. Regular Load. A full time faculty member with a rank of

Instructor to Associate Professor renders a minimum of
40 hours of service per week. They are required to perform
purely instruction functions. If they want to be promoted,
they must carry other functions. Load assignments shall be
as follows:

a. 1 preparation = 24 unit- teaching load

b. 2 preparations = 21 unit- teaching load
c. 3 prep or more = 18 unit- teaching load

For full-fledged professor, however, the number of hours of

service shall also be 40 but the breakdown on how the time
be spent for teaching, research, extension and production
shall be governed by the criteria/policies contained in NBC
461 and other policies which the university may prescribe.

Faculty members are not allowed to conduct more than

three (3) consecutive courses for optimum performance.

When the best interest of the service so requires, however,

the Dean/Campus Head through the Office of the VP
for Academic Affairs may request the President of the
University to extend the daily hours of work for any or all of
the members of the faculty and employees under him/her,
and may likewise require any or all of them to do overtime
services which shall be compensated in accordance with
prevailing rules and regulations.

CAPIZ STATE UNIVERSITY

57
UNIVERSITY CODE

Each member of the faculty shall be available for consultation

at least three (3) hours a week during regular office hours.
The dean, in consultation with the faculty members, shall
determine this consultation time and place at the beginning
of every term.

Section 2. Overload. Nine (9) hours a week of extra teaching of overload

is allowed to faculty members provided they maintain a very
satisfactory efficiency rating during the last two consecutive
semesters. Payment for overload teaching will follow the
provision provided by Civil Service Commission and DBM
Circulars.

Section 3. Emergency Load

a. When no qualified faculty member is available to teach

a subject, an additional load of no more than three (3)
units, may be given to a faculty member carrying three
(3) overloads. This load is considered an emergency
load.
b. An emergency overload must be justified by the
department head in writing, recommended by the Dean
and approved by the Campus Head.
c. The schedule for an emergency overload must preferably
be outside the regular official time and the one-hour
lunch break.
d. Payment for an emergency overload will follow
provisions for overload prescribed by CSC and DBM
circular.

Section 4. Substitution

a. Substitution is given only to faculty members who take

over for those on short-term leave (e.g. maternity leave,
sick leave, on official business, scholarships, etc.).
b. It is allowed only if it is arranged and authorized by
the department head. Internal arrangements involving
substitutions are not allowed among the faculty
members.
c. The schedule for a substitution must preferably also be
outside the regular official time, the time for overload

58 CAPIZ STATE UNIVERSITY

 BOOK TWO

teaching, the emergency overload teaching, and the

one-hour lunch break.

Section 5. Outside Teaching Load

a. Outside teaching refers to academic instruction

rendered in other colleges or universities. The schedule
for outside teaching should be outside the regular
official and overload teaching time.
b. Faculty members who wish to teach outside should
secure the permission of the program coordinator, the
Dean, Campus Head, VP for Academic Affairs and the
Office of the President.
c. An outside teaching of no more than nine (9) units
may be allowed to a faculty member provided the total
number of loads does not exceed 30 units at any given
week. However, first priority should be given to the
mother institution.
d. Faculty on study leave with pay or on scholarship is not
allowed to render outside teaching loads.
e. Outside teaching loads should not conflict with the
duties and responsibilities of the faculty member at the
University. In times when their services are needed,
their commitment to the institution must be given first
priority.
f. Faculty members are not allowed to work or render
service as full-time employees of other public or private
universities, agencies, business institutions, and others.
Those found guilty of violating this provision will be
asked to resign or be dismissed from the service.

Section 6. Consultancy. Faculty members having consultancy services
to other institutions or individuals must secure approval
from the Office of the President. Provided further, that the
consultancy services will not hinder his official function in
the University.

Section 7. Faculty with Administrative Designations. For faculty

members who are designated for administrative positions,
the number of hours they spend for teaching shall be
reduced accordingly in order to provide time for their

CAPIZ STATE UNIVERSITY

59
UNIVERSITY CODE

administrative works or responsibilities. The following is

the number of teaching units or hours required for faculty
members designated to a particular position:

Vice Presidents - No teaching load

Campus Head - 3 units per week
Deans/Directors/Registrar(desig) - 6 units per week
RIPE Chair / Program Coor - 12 units per week
Project-In-Charge - 12 units per week
Program/Project Leader - 12 units per week
(Institutional Research Project)

Section 8. Academic Non-Teaching. Academic non-teaching loads

refer to supervisory functions for department/center
headship and program coordinator’s tasks. This also includes
assigned special projects such as research, extension and
production activities. An academic non-teaching load is
rendered for eight (8) hours a week.

Section 9. Requirements for Faculty Members. The University requires

that each member of the faculty should have a syllabus for
every subject they are assigned to teach. This syllabus should
be submitted to the Program Coordinator one week before
the opening of classes during the term. It shall be subjected
to assessment of the Dean/Program Coordinator to ensure
quality of instruction. Syllabi used in all classes should be
approved by the Dean through the Program Coordinator.
The members of the faculty are likewise required to keep
a Class Record which shall be subjected to the regular
inspection by the Program Coordinator/Dean.

Section 10. Service Report

a. Members of the faculty shall accomplish a daily time

Record(Form 48) which shall be submitted to the
Campus Head through the Dean/Program Coordinator
at the end of every month.
b. All faculty members with administrative designation
lower than the Campus Head, including those assigned
in special projects must submit their Form 48 to the
head of the department of their teaching assignment.

60 CAPIZ STATE UNIVERSITY

 BOOK TWO

The program coordinator shall initial and submit the

same to the College Dean/Campus Head for signature.
The faculty members herein referred to should also log
in the department particularly on days when they are
supposed to hold classes as scheduled.
c. The President is exempted from accomplishing Daily
Time Records (DTR).

Section 11. Physical Examination. All members of the faculty of the

University shall be required to have at least one complete
free medical examination every year. Expenses thereof shall
be borne by the University, except for the cost of additional
laboratory, under the supervision of the Head of the Medical
Department.

Section 12. Special Detail of Faculty

a. Any member of the academic staff of the University may

be assigned on special detail by the President within the
Philippines or abroad for the benefit of the University
under such condition as may be fixed by the President
subject to the approval of the Board of Regents.

b. Upon the request of another agency or entity of the

government and when the resources of the University
warrant, a faculty member may be authorized to go on
special detail with the requesting agency subject to
the following provisions:

1. Special detail shall not exceed one calendar year at a

time
2. Renewal shall be granted only in exceptional cases
as determined by the University President and shall
not exceed a total of one year.
3. Persons granted special detail shall submit a complete
and detailed report of their accomplishments within
thirty days after their return to the University.

CAPIZ STATE UNIVERSITY

61
UNIVERSITY CODE

Article 2. Guidelines for Special Assignment. Faculty members who serve as thesis/
dissertation panelists during an oral defense receive a corresponding
honorarium at the rate approved by the Board of Regents(BOR). Services
rendered such as proctors and/or checkers of admission exams may
receive a rate as determined by the University.

62 CAPIZ STATE UNIVERSITY

 BOOK TWO

Chapter 3
ACADEMIC PROCESSES

Article 1. Scheduling and Conduct of Classes

Section 1. Course Scheduling. The Office of the Registrar is tasked to

provide policy and to oversee the course scheduling in close
coordination with the College Dean/Program Coordinator.
Initially, the Program Coordinator furnish the Registrar a
tentative schedule of courses with corresponding faculty
members to teach the subjects one month before each
term for scheduling. The Program Coordinator, through
the Dean, coordinates with the Office of the Registrar on
matters concerning the final scheduling of courses as well
as room assignment. Faculty schedules are prepared by
the Program Coordinator after due consultations with
the faculty members. The assignment of loads should be
based on the existing policies of the institution governing
faculty loads. A tentative schedule is usually given to faculty
members at least two (2) weeks before the opening of the
semester to give them enough time to prepare. Loads are
considered final once approved by the Dean and submitted
to the Office of the Vice President for Academic Affairs.
The Program Coordinator and Dean of the College sign the
official Report on Load of the faculty before it is forwarded
to the HRMO.

Section 2. Change of Class Schedule. The regular schedule of classes as

approved by the Program Coordinator and the Dean should
be observed strictly. Faculty members should conduct their
classes for instruction or consultation purposes on the
scheduled time and venue. In case of a plan to change the
class schedule, faculty members should first inform, consult,
and get the approval of the Program Coordinator and the
Dean. Internal arrangements between faculty members and
students are not allowed. Any deviation from the approved
schedule should be communicated to the Office of the
Registrar.

CAPIZ STATE UNIVERSITY

63
UNIVERSITY CODE

Section 3. Class Size. A minimum number of students are required to

open a class:

• Undergraduate – twenty five (25) students

• Specialization/Major – fifteen (15) students
• Masters – ten (10) students
• Doctorate – Five (5)students

Should the class size fall below the minimum number, the
Program Coordinator should be informed immediately to
decide whether to dissolve the class or to maintain it as a
special class approved by the Dean of the College/Campus
Head. Should the class be dissolved, faculty members should
advise the students to transfer to other classes.

Section 4. First Day of Classes

a. During the first day of classes, faculty members should

sign the registration forms of their students and collect
their class cards. The class cards serve as evidence that
the students are officially enrolled in the class.
b. A student is considered officially enrolled only after the
following steps are satisfied:
- Campus Registrar has duly certified the enrollment
on the registration form;
- Campus Cashier has stamped on the required forms
an acknowledgment of payment of fees; and
- Professors/instructors have placed their initials or
signatures on the registration form.
c. The class list issued by the Office of the Registrar
provides the name of students, regular or irregular,
officially enrolled in a course. Faculty members should
get their class lists from their Program Coordinator on
the first day of classes.
d. Moreover, faculty members should orient the students
about the objectives, contents and requirements of the
course, and explain the bases for evaluating student
performance. It is recommended that the students be
provided with a copy of the course syllabus.

64 CAPIZ STATE UNIVERSITY

 BOOK TWO

Section 5. Class Meetings and Dismissal of Classes. Punctuality

should be observed at all times in the conduct of classes.
If the class starts at 7:30 A.M., the faculty should be in the
classroom at exactly 7:15 A.M. Classes should be dismissed
at least five (5) minutes before the end of each period to
allow teachers to move and transfer to their next class except
in laboratory classes.

Section 6. Make-Up Classes. Faculty members who miss their classes

due to official functions should conduct make-up activities/
classes. Make-up activities/classes should be for both extra
and regular teaching assignments. Request forms for make-
up classes must be made available at the Office of the Dean/
Program Coordinator’.

Section 7. Substitution. In case of absence by a faculty, the Program

Coordinator assigns another faculty to substitute. Priority
must be given to a faculty who is competent to teach the
course whose schedule does not conflict with that of the
substitute class. Payment for the substitute faculty should be
in accordance with his/her hourly rate.

Section 8. Suspension of Classes

a. Classes shall not be dismissed or suspended for

whatever purpose without due approval from University
authorities. Upon request, the suspension of classes for
one (1) day can be approved by the Campus Head; for
two (2) or more days, however, this should be approved
by the University President through the Vice President
for Academic Affairs. For classes which are suspended
for non-academic purposes (e.g. preparing for town
fiesta), the Campus Head must require their teachers to
conduct make up classes equivalent to the number of
hours missed.
b. In case of a sudden suspension of classes as declared
by the Office of the President of the University, faculty
members should stay in their workplace until further
instructions have been received.

CAPIZ STATE UNIVERSITY

65
UNIVERSITY CODE

Article 2. Examinations and Quizzes

Section 1. Schedule of Examinations. The schedule for the mid-term

and final examinations is included in the class calendar
issued by the Office of the President for every calendar
year. The Campus Head is expected to follow this schedule.
Faculty members/Adviser should administer their mid-
term and final examinations following this schedule. Any
deviation from this schedule should be communicated to
the Campus Head for approval.

Section 2. Types of Examinations

a. Faculty members enjoy the full academic freedom

of deciding the type of examination to give to their
students. It is suggested that the examinations assess
the significant learning outcomes covered in the course
particularly the Higher Order Thinking Skills (HOTS)
such as creative and critical thinking skills. Performance-
based examination should be scored by using rubrics.
b. In some instances, departments may give departmental
examinations in some subjects. The Dean may assign a
committee who will prepare the examination for each
course.

Section 3. Preparation and Reproduction of Examination

Questions. The individual faculty member prepares his/her
own examination and uses the resources of the department,
if available, for reproducing it. As much as possible, the
students must not be made to pay for reproduction expenses.
In case of departmental examinations, the department
shoulders the expenses for the reproduction of the exam
questions.

Section 4. Examination Proctors and Correctors. Faculty members/

Advisers should act as proctors and correctors of the
examinations given to their respective classes. Staff and
students are not allowed as proctors.

Section 5. Reporting Cases of Cheating and other Forms of

Dishonesty. Any form of dishonesty and/or deceit, especially

66 CAPIZ STATE UNIVERSITY

 BOOK TWO

cheating during recitation, examination or any class work,

shall be subjected to penalty ranging from reprimand to
suspension for a year or the remainder of the school year.
Faculty members should report suspected cheaters to the
Program Coordinator who coordinates with the Chair of
Office of Student Services through the College Dean for an
investigation and the corresponding appropriate sanction.

Section 6. Files of Examination Papers. Faculty members are

required to provide the Office of the Program Coordinator
copies of their examinations each time a mid-term or final
examination is given in every subject they teach. These
examination files shall be kept for future use.

Article 3. Grading System

Section 1. Guidelines. At the beginning of the semester, faculty

members should inform their students on the criteria for
grading. Some aspects that can be considered for grading
are: periodic examinations; term papers; projects; oral
report/presentation; and class participation. The report of
ratings shall be submitted in duplicate to the Office of the
Program Coordinator/Dean using grading sheets. One
copy shall be forwarded to the Registrar as soon as it is
checked/signed by the Program Coordinator/Dean. Only
duly registered students should be given ratings which can
be double checked through the official class list. A separate
column on the grading sheets be given to numeric equivalent
of their grades for other reports required by agencies such as
(CHED, DBM, etc.)

CAPIZ STATE UNIVERSITY

67
UNIVERSITY CODE

Section 2. Policies on Reporting Failure and Dropping of Courses.

Approved policies on reporting failures and dropping of
courses should be properly observed. The following rating
system should be used:

Undergraduate Masters/Doctoral
1.0 99-100 1.0 99-100
1.25 96-98 1.25 96-98
1.5 93-95 1.5 93-95
1.75 90-92 1.75 90-92
2.0 87-89 2.0 87-89
2.25 84-86 2.25 84-86
2.5 81-83 2.5 81-83
2.75 78-80 2.75 78-80
3.0 75-77 3.0 75-77
5.0 Failure 5.0 Failure

Section 3. Submission of Grades and Class Records. Grading

sheets should be submitted to the Office of the Program
Coordinator /Dean during the designated dates and
forwarded to the Office of the Registrar within fourteen
(14) days after the last day of the final examinations for the
regular non-graduating students. For graduating students,
however, their grading sheets should be submitted one week
before the pre-council meeting. The dates for submission of
grading sheets are posted on the school calendar. Failure to
submit grades on time will be dealt with properly.

In case of inquiry, class record should be made available for

reference.

Section 4. Changes in Grades

a. A change of grade is valid only if the faculty member

has erroneously entered a grade on the grading sheet
or made an error in the computation. The request is
officially made by the concerned faculty and noted by
the Program Coordinator and approved by the Dean
before it is forwarded to the Registrar.
b. Errors on the Report on Ratings should be corrected
clearly and legibly. Rectification of an erroneous grade

68 CAPIZ STATE UNIVERSITY

 BOOK TWO

should be done within one year following the semester

when the student takes the subject. In addition, faculty
members should affix their signature for any erasures or
correction done on the Report on Ratings.

Section 5. Incomplete Grades and Guide for Completion

a. Students who fail to take the final examinations without

valid reason should receive a failing grade for the final
exam and their grade should be computed based on
their previously earned points or ratings.
b. Students with valid reason may receive an incomplete
grade (INC). The following are valid reasons: illness as
certified by a licensed physician, death of an immediate
relative as supported by a death certificate, and other
similar reasons as determined by the faculty member in
consultation with the Program Chair.
c. Students who failed to complete a project or assignment
may also receive an INC grade. Exemptions are given
only to students doing research works with a longer
time frame, but completion should be done within one
year for both graduate and undergraduate students.

Section 6. Guidelines for Completion of Grades

a. Once the student is ready to submit the requirements

set by the professor to complete the subject, the student
secures an Application for Completion of Grades from
the Office of the Registrar to be given to the professor
concerned.
b. The professor concerned and the Program Coordinator
sign and submit the form with the assigned rating to the
Office of the Registrar in a sealed envelope.
c. The Registrar shall be responsible for changing the
grade of INC to failing grade of 5.0 after the period of
one (1) year.

Section 7. Failing Grades

a. Failing grades, (i.e. lower than 3.0), are given to students

who do not perform satisfactorily according to standards

CAPIZ STATE UNIVERSITY

69
UNIVERSITY CODE

required in the course. The professor, however, should

render all possible assistance to help and encourage
the student to pass the course. He/She may give special
projects or additional assignments to compensate or
make up for any deficiency.
b. On the Report on Ratings, a grade of 5.0 should
be followed by the remark “Failed” and the faculty
should be ready to present evidence(s) of the student’s
unsatisfactory performance.

Section 8. Dropping

a. Students may be dropped from a course if they have

been absent for more than seven (7) consecutive class
meetings.
b. Students may be allowed to drop only before the conduct
of the Mid-Term Examination, except in cases found
meritorious by the faculty.

Article 4. Academic Honors and Awards

Section 1. Academic Honors

a. The University provides a system of awarding students

with excellent academic standing. Below is a list of the
academic honors, together with the grade point averages
(GPA).

Weighted Average Weighted Average

Academic Honors
for All Courses for Major Courses

SummaCum Laude 1.0 -1.25

Magna Cum Laude 1.26 - 1.50
Cum Laude 1.51 - 1.75 1.51 - 1.75

b. Aside from the academic honors listed above,

departments or colleges also give special awards to
outstanding students at the end of each school year
through other forms.

70 CAPIZ STATE UNIVERSITY

 BOOK TWO

Section 2. Guidelines for the Selection of Honor Students. Students

considered for academic honors must have satisfied the
following criteria:

• Must have taken all courses at the University, including

those taken in consortium.
• Enrolled on full load during all the semesters.
• Had not incurred any failing grade.
• With no grade lower than 2.50 per subject. (The grade
obtained in the National Service Training Program (NSTP)
will not be included in the computation of the GPA).
• Has shown exemplary behavior and character as attested
to by the Committee on Discipline or the Director/
Chair of the Student Affairs.

Article 5. Advising

Section 1. Academic Advising. The Dean of the College assigns an
academic adviser to each class as determined by the college
or department. Specifically, academic advisers are expected
to:

• Keep a Cumulative Academic Record (CumAR) for

each student,
• Update the CumAR every semester,
• Post a schedule for consultation at the department
cubicles,
• Advise and sign the registration cards of students during
enrolment,
• Refer to OSS students who need professional guidance
and counseling, and
• Meet the advisory class on a regular basis

Section 2. Thesis/Dissertation Advising. The faculty and other

school authorities are required to observe the policies and
guidelines or procedures on thesis advising as contained in
the Thesis Manual officially published by the University.

Section 3. Guidance and Counseling Services. Each campus is

required to have their guidance and counseling services.

CAPIZ STATE UNIVERSITY

71
UNIVERSITY CODE

Section 4. Advising Student Organizations. Each student organization

recognized by the institution shall have a faculty adviser.
For co-curricular clubs, the department heads shall appoint
the adviser/s. In case of interest clubs, University chapters
of national organizations, and curricular year assemblies,
the Campus Head may designate the adviser/s upon
recommendation of the members and officers of the club/
organization. The faculty adviser should:

• Be available for consultation with club officers and

members;
• Attend general meetings of the organization and if
unable to attend, be informed about the minutes of the
meeting;
• Be well-versed with the constitution and by-laws of the
organization;
• Be consulted and should assist in the planning of
activities, ensuring that they attain the obejctives of the
organization;
• Be present or be with the students, if the activity is held
off-campus, or when the organization is representing
the University;
• Require the permission of parents for students who join
off-campus activities;
• Check and approve the posters/notices/announcements
of the organization before posting;
• Evaluate the performance of the organization and
submit a report of this to the OSA and department head
concerned which will be used as one of the bases for re-
accreditation and for determining awards; and
• Act as a liaison between the organization and
the University administration, hence, can sign
communications and requests for reservation of rooms
and facilities.

Activities of department organizations must be conducted

only after the prior approval of the Program Coordinator/
Dean/Campus Head is obtained. To avoid delays, the adviser
should secure a schedule of activities of the organization
at the beginning of the school year and help the students
prepare the permits and necessary documents in pushing
through with the activities.

72 CAPIZ STATE UNIVERSITY

 BOOK TWO

The adviser of a student organization may, upon

accomplishing the Permit to Hold an Activity request the
use of University facilities needed for a specific event or
activity sponsored by the organization. The adviser is
held responsible for any untoward incident that may occur
during the conduct of the said activity.

At least three weeks before the end of the second semester,

the faculty adviser should require and secure a copy of the
financial report of the organization. This report includes the
membership fees collected, if any, the expenses incurred
during all activities, the receipt and disbursement of funds,
and all the funds obtained through solicitation and/or
donation. The financial report should be submitted to the
Office of the Program Coordinator/Dean/Campus Head at
least a week before the semester ends.

Financial statements duly signed by the President and

Auditor of the organization and noted by the adviser are to
be submitted to the Program Coordinator/OSA/Dean.

Section 5. Classroom Regulations and Management

A. Student Attendance

1. A student may be dropped from the class roll after

having been absent for twenty percent of the total
number of hours of recitation, lecture, laboratory,
or any other scheduled work. The Registrar and the
Chair of OSA shall, at the same time, be advised
of the action taken by the professor by submitting
a Form for Dropping Students available at the
department.
2. If majority of the absences incurred by a student are
excused, the student may not be given a grade of
FAILED instead may be DROPPED from the roll.
When a student has been absent from class for one
week, the professor should send a Form on Report
of Absences to the OSA for immediate action.
3. A student may be accepted in class even after being
late for 15 minutes. If a student is habitually late,

CAPIZ STATE UNIVERSITY

73
UNIVERSITY CODE

the professor should refer the student to OSA for

appropriate sanction.
4. Any absence incurred immediately after a short
vacation (Christmas, Election Day, and others) is
normally considered unexcused unless there is a
clear and valid reason for the absence.

B. Classroom Discipline

1. Faculty members must ensure that students are

doing meaningful tasks inside the classroom, that
any noise produced would be wholly unproductive.
Disruptive behaviors are discouraged.
2. Faculty members have the right to discipline a
student who commits infractions, such as cheating,
shouting, making unnecessary noise, using vulgar
language, and being impolite. However, no faculty
member should inflict corporal punishment
on offending students; nor should he/she make
deductions in their scholastic ratings for acts that
are clearly not manifestations of poor scholastic
achievement.

C. Class Participation

Class participation of students means their being present

and attentive in class. When applicable, at least 10% of
the final grade should be accorded to class participation.
With class participation, students are encouraged to
interact by reciting, asking questions and by taking part
in group activities, but these are not necessary to receive
full credit. Faculty members should also conduct a
period of recitation to test their knowledge, reasoning/
thinking ability and preparation.

D. Evaluating Student Performance

1. Faculty members should evaluate student

performance objectively by constructing valid and
reliable tests and examinations.
2. For classes with departmental exams, questions for

74 CAPIZ STATE UNIVERSITY

 BOOK TWO

the midterm and final examinations are submitted

to the Program Coordinator at least two weeks
before the scheduled date of examination.
3. All quizzes and tests should be returned promptly
to students for immediate feedback.
4. A new set of questions must be prepared for a
special midterm or final examination should this be
needed.
5. Exemptions from taking the final examinations
may be extended to deserving students. Moreover,
faculty members should strictly observe the schedule
of co-curricular activities to enable students to
concentrate on their academic requirements and
review for final examinations.
6. Course professors should identify students with
academic difficulty such as those failing a mid-term
exam, having excessive absences, failing to submit
required reports and others, and inform them of
their class standing. Professors must be sympathetic
to students who seek assistance for the proper course
of action to be taken to improve their performance.
They should give regular feedback to the students.

E. Medium of Instruction

1. The University is adopting the Bilingual Education

Policy using Filipino and English as media of
instruction and communication. Specifically, this
means that Filipino and English shall be used as
media of instruction in definite subjects taking into
account the nature of the discipline and the learners’
needs.
2. Faculty members are expected to express themselves
fluently in English. Outside the classroom, faculty
members are encouraged to maintain conversations
in English, especially when talking to students.

CAPIZ STATE UNIVERSITY

75
UNIVERSITY CODE

F. Preparation of Course Syllabi/Other Requirements

The University requires that each faculty should have

a syllabus for every subject they are assigned to teach.
A new syllabus or an updated copies for files may be
submitted for this purpose. These syllabi should be
submitted to the Program Coordinator one week before
the opening of classes during the term. These syllabi shall
be subject to assessment of the Program Coordinator/
Dean to ensure quality of instruction. Syllabi used in
all classes should be approved by the Dean through the
Program Chair. The faculty should be guided by this
syllabus in the conduct of his classes.

76 CAPIZ STATE UNIVERSITY

 BOOK TWO

Chapter 4
BENEFITS, INCENTIVES, PRIVILEGES AND AWARDS

Article 1. Benefits

Section 1. The faculty shall enjoy the benefits as provided by GSIS and
PAG-IBIG to all government employees.

Section 2. The faculty shall enjoy fringe benefits as provided by law,

such as:

a. Year-end Bonus and Cash Gift

b. Clothing Allowance
c. Productivity Incentive Bonus
d. Length of Service Incentive (Longevity Award)
e. Loyalty Award

Section 3. The faculty may enjoy the housing dormitory afforded by

the University. This should be governed by a Memorandum
of Agreement (MOA) to be subscribed by a lawyer. After the
expiration of the contract the University may opt to end the
contract thereby the faculty will be advised to vacate house/
dormitory of the university for other faculty members to
use.

Article2. Study Grants

Section 1. Professional Development Incentive Program (PDIP).
This is an incentive program giving institutional support
to faculty members on thesis/dissertation writing stage.
Support comes in the form of cash and leave-with-pay
benefits for a period of not more than one year as approved
by the BOR, provided that the faculty scholar does not enjoy
other grants from any other agency.

Section 2. Tuition Fee Waiver

a. To encourage professional growth, the University

extends 100% tuition fee waiver to faculty members

CAPIZ STATE UNIVERSITY

77
UNIVERSITY CODE

pursuing higher degrees within the University. This

subsidy is valid throughout the length of their study,
but should not exceed five (5) years for those pursuing a
master’s degree and seven (7) years for those pursuing a
doctorate degree.

b. Likewise, children of faculty and staff who are currently

enrolled in the University can enjoy free tuition fee
during the entire duration of their study. This privilege
is valid only if they continue to enroll at institution and
have no failing grades. In addition, this privilege is good
until they have finished their degree at the University.

Section 3. Sabbatical Leave

a. A sabbatical leave is a privilege granted to an individual

who has demonstrated above average ability in
instruction, scholarship, research, or other creative
accomplishment as seen in one’s publication, teaching,
exhibition or performance.
b. The program aims to maintain and improve the quality
of the educational programs of the University/College
by creating opportunities for the faculty in order to
enhance professional competence through study,
research, and other professional development activities.
c. Grantees of Sabbatical leave shall receive his full salary
and other benefits from the University. In addition, if the
sabbatical leave is to be spent abroad, full transportation
and other expenses incidental to this leave privilege shall
be provided by the University, subject to availability
of funds. The publications of the instructional
materials written by the grantees shall also be borne
by the University. The University, therefore, shall make
adequate provisions in its yearly budget to ensure the
implementation of the foregoing privilege as stated.
d. In essence, the approval of Sabbatical leave which is vested
upon the Board of Regents upon the recommendation of
the University President shall be granted subject to two
conditions to wit; 1) funds are available for the purpose;
and 2) the service of the applicant to the University can
be dispensed with.

78 CAPIZ STATE UNIVERSITY

 BOOK TWO

• Eligibility

1. A faculty member with the rank of at least Associate

Professor who has rendered a minimum of seven
(7) years of continuous service is entitled to a
sabbatical leave of one full school year (2 terms and
1 summer).
2. Services outside the University are considered part of
the seven-consecutive-year requirement provided that
they are rendered by the applicant on secondment to a
government institution, either locally or internationally
and that the year immediately before the filing is spent
in the University. The required continuous service for
the subsequent leave shall be counted from the date of
return. In cases where the sabbatical leave applied for in
writing is deferred due to scheduling difficulties, years
of continuous service for the next leave shall include
the period of deferment.
3. A sabbatical leave for not more than one year
with full payment of salary plus other benefits
from the University may be granted to a faculty
member if in the judgment of the President and
the Board of Regents, the applicant’s record as a
teacher or researcher shows reasonable assurance
of fulfillment of the aforementioned purpose of the
sabbatical leave. No person shall receive a sabbatical
leave more often than once in seven years.

• Priority Categories. An applicant for a sabbatical leave

may do one of the following options:

- To finish post-graduate studies on a particular

discipline. For those requesting a leave for a study
leading to advanced terminal degrees, recent and
consistent effort toward the attainment of the degree
should be shown;
- To conduct research. the completed research study
shall be published in refereed journals preferably
outside the country;
- To write/translate a book in relation to one’s field of
specialization;

CAPIZ STATE UNIVERSITY

79
UNIVERSITY CODE

- To write and produce a play or engage in any artistic

production;
- To take a rest and reinvigoration activities thru
recreation and travel which is granted by the
University as a loyalty/service award to a faculty
for serving the University for not less than 25 years,
aging at least 55 years old, and have a performance
rating of not lower than very satisfactory during his
entire tenure of service in the University.

In case of publication of outputs of the sabbatical

leave, rules and regulations on publication as
stipulated in the University code must be observed.

• Procedures

1. Application for sabbatical leave should be submitted

to the Office of the President, through channels,
at least one semester prior to the intended leave.
Those who apply for sabbatical leave should submit
their plan at least one (1) term before the intended
leave to the Vice-President for Academic Affairs for
processing. The merit of the sabbatical plan will be
evaluated by the Sabbatical Leave Award Committee
composed of the following:
- The Vice-President for Academic Affairs, as
Chairperson.
- The Vice-President for Research and Extension,
as Member
- The Vice-President for Administration and
Finance, as Member
- The Campus Head of the College where the
applicant belongs, as Member
- The HRMO of the Campus/College, as member
2. The chair and committee members may also choose
one senior faculty from each of the three Campuses
of the University. If any of the members listed
above is an applicant, he/she shall be replaced by a
member chosen by the remaining members of the
Committee.

80 CAPIZ STATE UNIVERSITY

 BOOK TWO

3. The Committee recommendation shall be forwarded

to the Office of the President for appropriate action.
Unless the research to be undertaken requires
teaching, a faculty on sabbatical leave should not be
engaged in teaching at any institution.

• Obligations

1. A faculty member granted a sabbatical leave

assumes a professional obligation to return and
render service to the University. For those who were
granted the leave for a scholarship, they shall serve
at least two (2) full academic years or as stipulated
in the contract for such scholarship.
2. Within three (3) months of the completion of
a sabbatical leave, the faculty member must file
a written report to the Office of the President,
through channels. This report should detail the
accomplishments of the sabbatical leave specifically
in terms of benefits accruing to the University and
the specific activities listed in the original sabbatical
proposal. He/She may be required to present a
report in an appropriate forum. For those who
took the leave to write a book and other similar
materials, the University shall create and implement
a guideline to govern this matter.
3. The failure of the grantee to comply with the
expected output for which the leave was granted
(as indicated in the original proposal), the faculty
concerned is obliged to payback all the monies (e.
g. salaries and other financial benefits) he received
from the University during the tenure of such leave.

CAPIZ STATE UNIVERSITY

81
UNIVERSITY CODE

Section 4. Scholarships (Study Leave with Pay)

A. Qualified faculty members may apply for scholarship

grants sponsored by local or international organizations.
These scholarships are categorized into two:

• Local

These are scholarships sponsored by such agencies

as the Commission on Higher Education (CHED),
Philippine Association of State Universities and
Colleges (PASUC), Department of Science and
Technology (DOST) and other agencies, and
Institutional Scholarship.

• International

International scholarships are those endorsed by

NEDA (National Economic and Development
Agency), and sponsored by International funding
agencies such as PROBE (Australia), Fulbright
Foundation (USA), the Japan Ministry of Education
(MONBUSHO) among others.

B. A faculty member who qualifies and maintains a

scholarship receives the regular monthly salary and all
benefits given to any faculty of the University, aside from
the scholarship allowances. He/she is required to sign a
contract prepared by the Office of the VP for Academic
Affairs in consultation with the HRMO. Immediately
after finishing the scholarship, he/she is expected to
return and serve the University in exchange for all the
benefits granted.

C. Every year or a fraction thereof that a faculty member

has enjoyed a local/international scholarship is
equivalent to a minimum of two (2) years of service at
the University or as stipulated in the contract. Failure
to fulfill this service obligation implies that the faculty
member must pay back the University the full amount
spent plus interests. The President, in coordination

82 CAPIZ STATE UNIVERSITY

 BOOK TWO

with the University Accountant, arranges the payment

procedures for non-fulfillment of the service obligation.

D. A faculty member who is unable to complete his

scholarship for reasons of negligence and other
unjustifiable causes, and has received a leave-with-
pay benefit is also required to refund the University
all the expenses spent one year after the termination
of the scholarship. Similarly, the CapSU President, in
coordination with the University Accountant, arranges
the payment procedures.

E. Faculty members on scholarship with pay are not allowed

to do outside teaching unless they have permission
from the University President. They are also required
to submit a return-to-service report to their respective
heads who in turn forward it to the Dean, then to the
VP for Academic Affairs, and finally to the President
upon the termination of their scholarship leave.

Section 5. Professional Development Activities

A. Educational, Social, Cultural, and Athletic Functions.

All social affairs and athletic events held or sponsored by
the University, faculty members are to be admitted free of
charge unless specified otherwise. When admission fee
or charge is required, the University endeavors, as much
as possible, to provide adequate seating arrangements
rates for faculty members.

B. SCUAA Athletic Events. The University is a member of

the State Colleges and Universities Athletic Association
(SCUAA) and, within reasonable limits, faculty
members may secure tickets for all SCUAA events.
Faculty members are to be admitted free of charge to
any and all athletic events authorized by the University
unless specified otherwise.

CAPIZ STATE UNIVERSITY

83
UNIVERSITY CODE

Article 3. Awards and Recognition

Section 1. Distinguished Faculty of the Year Award

A. To uphold the dignity of the teaching profession the

Distinguished Faculty of the Year Award is given to
teachers who have served the University with exemplary
teaching competence and dedication.

B. Nominees for the Distinguished Faculty Award must be:

• Filipino citizen,
• A permanent and full-time instructor/professor
for ten (10) continuous years at any campus of the
University, and
• Directly involved in classroom instruction at the
University during the last (5) years preceding the
date of nomination.
• Must meet the criteria set by the award committee.

C. The following are not eligible to apply:

• University President, Vice Presidents, Campus

Heads, Deans and faculty members with less than
50% regular teaching load at the time of nomination.
Regular teaching loads refer to teaching loads
reported as regular loads on the Report on Faculty
Load;
• Past recipients of the Distinguished Teacher Award;
• Past recipients of other award-giving agencies; and
• Basis of evaluation will be achievements within the
last ten (10) years as reflected in the nomination
forms with the supporting documents.

D. All nominations must be submitted in the prescribed

nomination form duly signed by the nominee and
nominator. Each nominee goes through the following
selection procedures:

84 CAPIZ STATE UNIVERSITY

 BOOK TWO

• Conduct of the Search

The Office of the President through the Office of

the Vice President for Academic Affairs shall make
known to the faculty of all campuses the Search for
Distinguished Teacher of the Year Award every first
week of July or any other date that maybe decided
by the management. The criteria to be used in this
Search shall be drafted by a committee headed by
the VP for Academic Affairs as Chairman, and
the VP for Administration and VP for Research
and Extension and all Campus Head, and Faculty
Federation President as members. The criteria
shall be submitted to the Office of the President for
approval.

Each campus shall form its own Search Committee

composed of the Campus Head as Chair, and the
Dean/Chair of all academic departments, Faculty
Association President and SSC President as
members. The applicants shall be required to fill
up a nomination form to be endorsed by the Dean/
Program Chair of the College/Department to the
Search Committee. The highest ranking faculty
applicant during the Search shall become the Best
Teacher of the Campus who becomes eligible to
compete at a higher level.

The search committee shall come up with guidelines

approved by the University President.

• Prizes

The Distinguished Faculty of the Year Award at

the Satellite colleges, Campus and University level
shall be honored in a fitting ceremony during the
University Week celebration. They will receive
Plaque of Recognition and cash awards from the
University.

CAPIZ STATE UNIVERSITY

85
UNIVERSITY CODE

Section 2. Professorial Chair Awards

A. Professorial Chair is a term used in educational

institutions to designate a position of prestige, usually in
recognition of achievement in an educational endeavor.
A stipend, honoraria, research funds or other forms of
emolument usually accompany the award.

B. Professorial chair awards encourage the pursuit of

academic excellence by recognizing outstanding
achievement in education in the areas of teaching,
research, management and service, and the arts.

C. The Selection Committee shall be composed of the

following:

• The Vice-President for Academic Affairs as

Chairperson;
• The Vice-President for Research and Extension as
Member;
• The Vice-President for Administration as Member;
• The Campus Head of the three Campuses; and
• Additional member(s) as designated by the chair.

If any of the members listed above is himself/herself a

possible nominee, he/she shall be replaced by a member
chosen by the remaining members of the Committee.

D. In addition to having achieved distinction in an

academic field as stipulated above, and unless otherwise
stipulated in the terms of the award by the donor of the
chair, a recipient of the award for a professorial chair
should possess the following qualities:

• Independence of mind;
• Originality and creativity;
• Ability to communicate his ideas in writing or
speaking; and
• Qualities specified by the donor.

86 CAPIZ STATE UNIVERSITY

 BOOK TWO

E. A recipient of an award for a chair must have an

academic rank not lower than Associate Professor and/
or must occupy an administrative designation at the
time of the award.

F. A chair holder must be willing to share his/her expertise

through lectures, seminar-workshops, research
publications, exhibits, and other similar activities
specified in the terms or as determined by the Selection
Committee.

Section 3. Emeritus/Emerita Awards

A. The title Emeritus/Emerita is given to a faculty member or

administrator who holds the rank of at least Full Professor
of the University in recognition of exceptional competence
in his or her field of specialization. The full title is one of
the following: Professor Emeritus/Emerita, Dean Emeritus/
Emerita or Vice-President/President Emeritus/Emerita,
Director Emeritus/Emerita, the first part of the term
denoting the position last held by the retiree.

B. The Emeritus/Emerita Committee shall be composed of

the following:

• Vice-President for Academic Affairs as Chair

• Dean of the College as Member
• Faculty Association President as Member

C. The Committee has no power to award the title. It

only studies the papers of the retirees who qualify for
the award and makes appropriate recommendations
through the President and approved by the Board of
Regents.

D. The following lists some basic guidelines for the selection

process:

• The title of Emeritus/Emerita is awarded by the

University Board of Regents, upon recommendation
of the President.

CAPIZ STATE UNIVERSITY

87
UNIVERSITY CODE

• The Emeritus Committee assists the President in

screening the candidates.
• The candidacy for the title is initiated by either the
President, the Vice-President for Academic Affairs,
Campus Administrators/Satellite Directors, Deans
or the Faculty Association through its President.
• The candidate for the Emeritus title should:

- Have served at least 25 years in the field of

education, fifteen of which should have been
spent at the University;
- Be on full time service at the University at the
time of retirement.

E. Using the score card, the Emeritus Committee,

processes candidacies for the title of Emeritus. No
interview should be required for the purpose of having
the candidate define his qualifications for the title.
Instead his curriculum vitae and other evidences of his
achievements should be presented as basis for scoring.
All proceedings of the Emeritus Committee shall be
held in strict confidentiality.

F. To qualify for the award, the nominee should have a

total score of at least 8, an average rating of members of
the Emeritus Committee.

Scoring Card
No Good Very good Outstanding
Attributes
Evidence (5-6 points) (7-8 points) (9-10 points)
Outstanding
achievement in his/her
field of specialization
(30%)
National and
International
Recognition
(20%)
Research and Publication
(20%)
Professional ethics and
moral character well
recognized in the CapSU
community (15%)

88 CAPIZ STATE UNIVERSITY

 BOOK TWO

Interest and active

participation in at least
one field other than his/
her own (10%)
Membership in learned
societies
(5%)
Total:
100%

G. Privileges of Emeritus/Emerita

- Teach in the University

- Consultancy

Section 4. Recognition for Services Rendered to the University.
Exceptional services rendered by a faculty for the University
with or without pay, shall receive a certificate of merit /
recognition. The chair of the department, project, program,
and others should issue a certificate of recognition to active
members two days after the completion of the service for the
activity.

CAPIZ STATE UNIVERSITY

89
UNIVERSITY CODE

Chapter 5
SERVICES

Article 1. The University Press. The University shall initiate for the establishment
and operation of a press for its own use. When available, a faculty may
avail of the services of this University press for disseminating information
or in publishing books, manuals, articles, researches and other similar
materials.

Article 2. The University/Campus Library

Section 1. All faculty members are issued a library card and may borrow
materials, references, journals, and books for as long as she/
he observes the library rules and regulations. (The Librarian
issues the library card and those who wish to borrow books
and other materials from the library should inquire at the
office of the Librarian.)

Section 2. The library also offers special services to faculty members.

A reservation system for required course readings and
researches might be availed. In addition, the library
provides assistance to faculty members looking for specific
information or library materials relevant to the subjects
they teach. It also provides information about the library,
its collections and services, as well as links to a selection
of high quality web resources. The library welcomes all
faculty suggestions for materials, print or electronic, to be
considered for additional collections.

Article 3. Technology and Media Services

Section 1. The University should also strive to establish a Technology

and Media Services. When available, all faculty members can
borrow equipment or avail the services of the technology
room after accomplishing the necessary forms/papers issued
and required by the center. Faculty members are required to
take good care of the equipment and return borrowed items
in good condition.

90 CAPIZ STATE UNIVERSITY

 BOOK TWO

Section 2. Reservations should be made at least three days before the

scheduled date of use to avoid overlaps/conflicts of schedule.
In case borrowed equipment is damaged, the borrower will
be held responsible for its repair or replacement.

Article 4. Transportation Services. The University/Campus vehicles can be used

by the faculty only for official businesses and with the approval of the
President or his authorized representatives. Requests for the use of
school vehicles should be filed at least three days prior to the reserved
date.

Article 5. Medical/Dental Services. The University/Campus must also have

infirmary which provides medical and dental services to the faculty as
well as to the students and the community.

Article 5. ICT Services. To facilitate the delivery of communications, each campus
of the University must also maintain ICT Services to receive and send
e-mails, and other official communications.

CAPIZ STATE UNIVERSITY

91
UNIVERSITY CODE

Chapter 6
CONDUCT AND DISCIPLINE

Article 1. Code of Ethics for Teachers. The faculty is required to adhere to the
Code of Ethics of Professional Teachers promulgated by the Board for
Professional Teachers, Resolution No. 435, Series of 1997. Such will
provide them with a set of ethical and moral principles, standards and
values.

Article 2. Academic Freedom. Academic Freedom is the right of the faculty, as a

scholar and private citizen, to pursue the truth and express freely what
holds to be true either individually or collectively. It involves among
others freedom to perform as a member of the community of scholars the
primary functions of research, instruction, extension, and publication
without constraints and interference from any individual, organization,
or constituted authority. This is best served through the exercise and
enjoyment of the faculty of, but not limited to the following:

• Teach and discuss the topics in the field of his/her competence

including controversial matters relevant to the subject taught;
• Explore and try-out different methods which will facilitate learning;
• Research and disseminate findings through publications and other
forms, provided such activity does not interfere with his/her teaching
performance and that, if it involves pecuniary return, the agreement
should conform with the existing University policies;
• Express freely one’s opinions, thoughts or ideas in both oral and in
written form, within or outside of the University/Campus, provided
he/she assumes full responsibility for such personal actions and
provided further that these actions do not violate public good and
social order;
• Accept outside work such as speaking, writing, research and various
forms of consultancies provided the preference of his/her job in the
University/Campus is not sacrificed;
• Participate in the decision-making and policy formulation processes
within the bounds of University/Campus laws and regulations;
• Be consulted and/or be heard individually or collectively in matters
that affect the faculty; and
• Right to petition for a redress of grievance.

92 CAPIZ STATE UNIVERSITY

 BOOK TWO

Article 3. Policy on Sexual Harassment. The University adopts the Anti-Sexual

Harassment Act of 1995 (Republic Act No. 7877) which deplores any
unwelcomed sexual advances, requests or demands for sexual favor, or
other verbal or physical behavior of sexual nature, committed by a faculty
in the University/Campus to any member of the academic community,
including students.

Article 4. Dress Requirements. Faculty members should dress themselves in

appropriate business attire. Long or short polo/ barong Tagalog is
preferred for male faculty. The University is a reputable educational
institution and therefore the faculty is encouraged to act as a model of
appropriate dress code. In this regard, the University should prescribe
school uniform for the faculty during class days. Ostentatious display
of jewelry and wearing of heavy or theatrical make-up and tattoos are
prohibited.

Article 5. Prohibited Attire

Section 1. The following attire shall be prohibited when performing
official duties in the University/Campus: Gauzy, transparent
or net-like shirt, blouse with over-plunging necklines;
sando, strapless or spaghetti-strap blouse (unless worn as
an undershirt) tank-tops, Micro-mini skirt, walking shorts,
cycling shorts, leggings, tights; rubber sandals, rubber
slippers, and “bakya.”

Section 2. Exemptions for the above dress requirements are allowed

for the following cases:

• When the nature of work of the faculty demands that he/

she wears clothing other than those prescribed above;
• When religious affiliations or creed or any legitimate
practice by the faculty in relation thereto, requires him/
her to wear a particular clothing;
• Physical disabilities, and other legitimate health reasons;
• Pregnant female faculty are allowed to wear maternity
dress during the period of their pregnancy;
• A faculty member who lost a loved one can wear
mourning clothes during the mourning period;

CAPIZ STATE UNIVERSITY

93
UNIVERSITY CODE

Article 6. Attendance in University/Campus Activities

Section 1. Several times during the academic year, the presence of all
faculty members shall be required. These times of important
decision making for students and faculty include:
• The week of registration
• The first two weeks of classes
• The last week of the end of every semester.

Section 2. Full time faculty members shall be on duty for a minimum of
40 hours a week in accordance to a time schedule prepared
by the faculty and approved by the college Dean/Campus
Head.

Section 3. Sometimes the services of some faculty members may

be required. The department head may request the Vice-
President for Academic Affairs to extend the daily hours of
work for all the employees under him/her whose services
are considered necessary. The Department Head may also
require any or all the subordinate faculty to work overtime,
not only on workdays but also on holidays, when likewise
deem necessary.

Section 4. The University/Campus affairs in which faculty members

are expected/required to attend include:

a. Convocations

From time to time,the University/Campus invites

distinguished guests and individuals to speak before
the student body on some topics of current interest. If a
faculty member receives a notice from the department
head to attend the convocation, he or she may opt to
dismiss the class or if the attendance of the class is
required, the faculty member may bring the whole
class to the program. If the faculty member attends
the convocation, then the credit is the same as having
conducted the class. Notably, however, that not all classes
suspended during convocations may be admitted, in
view of the limited capacities of the assembly rooms.
Only those classes having a more direct bearing upon

94 CAPIZ STATE UNIVERSITY

 BOOK TWO

the topic of the speaker may attend. If the faculty

member receives no notice, he/she should first consult
the Department Chair as to whether dismiss or bring
the class to the convocation.

b. Flag Ceremony and Flag Retreat

The faculty is required to attend the flag ceremony every

Monday of the week at 7:00 o’clock together with their
students and other employees of the campus. The same are
enjoined to attend the flag retreat every Friday of the week
at 5:00 o’clock.

c. Foundation Week/ University/Campus Week

All faculty members are required to report and participate

in the activities for the University/Campus Day celebrations.

d. Commencement Activities

The commencement week of the University/Campus is

usually held during the last week of March or in certain
circumstances spilling over the first week of April. All
faculty members are required to attend the activities during
the commencement week.

• Awards / Recognition
• Pinning/Capping Ceremony
• Baccalaureate
• Graduation

Attendance in all these activities is compulsory and will be

monitored by the Department Head and coordinated with
the College Dean/Campus Administrator.

e. Academic Council Meetings

These meetings are attended only by those teachers

who have rank of at least Assistant Professor or higher.
Attendance is a must.

CAPIZ STATE UNIVERSITY

95
UNIVERSITY CODE

f. General Assembly

The general assembly is to be attended by all members

of the faculty.

Article 7. Involvement In University/Campus Ad-Hoc Committees

Section 1. The University/Campus creates ad-hoc committees to take
responsibilities in planning, implementing, and evaluating
University/Campus activities such as Foundation Day,
University or Campus Week, Commencement Exercises,
and other curricular and co-curricular activities sponsored
by the University/College.

Section 2. Communications requiring the involvement of a faculty

member in any University ad-hoc committee should be
coursed through the Dean/Campus Head, to the Department
Head, then to the faculty concerned. If a faculty accepts
an invitation to be a member of an ad-hoc committee, the
faculty should make the necessary arrangement in order not
to miss his/her class. In case the faculty has missed a class,
he/she should conduct make-up classes.

Article 8. Receiving and Accepting Invitations

Section 1. Faculty members are allowed to accept invitations and

engagements to speak in symposiums, act as judges in
competitions, LET reviewers, and others, outside the
University/Campus as long as these activities do not conflict
with their duties in the University/Campus. As much as
possible, the invitation should not disrupt the normal flow
of classes, otherwise faculty members should arrange make-
up classes with their students. The number of accepted
engagements and invitations outside CAPSU should not
exceed 20% of the total number of days in a semester.

Section 2. Formal letters of invitations from outside the University

should be coursed through the President, the Vice-President
for Academic Affairs, the Campus Head/Dean, and finally
the faculty member. In accepting invitations, faculty
members should send to the Office of the VP for Academic

96 CAPIZ STATE UNIVERSITY

 BOOK TWO

Affairs the details of the invitations together with other

relevant documents.

Article 9. Collection of Monies

Section 1. No solicitation for funds, canvassing for the sale of
merchandise, subscriptions for securities, insurance,
publications, sale of tickets, and any other promotional or
charity schemes shall be conducted within the University/
Campus without a previously written approval of the
President or his authorized representatives.

Section 2. No faculty member should directly or indirectly solicit,

require, collect, or receive any money, service or anything
of value from any person or entity, in exchange for grades
or for promotion of any political, religious, or other partisan
interests.

Article 10. Tutorial and Remedial Services for a Fee. Faculty members are not
allowed to conduct personal tutorial services of any kind for a fee within
the University/Campus. They should not require their students to attend
other tutorial services elsewhere, if with a cost.

Article 11. Unauthorized Use and Sale of Textbooks. No book, outline, compilation,
or syllabus, whether printed or duplicated, shall be used as a basis or
required textbook in any class unless approved by the Publication and
Instructional Material(PIM) committee of the University. Prices shall be
determined in accordance with the rules issued by the PIM committee.

Article 12. Study Without Permission

Section 1. Faculty members shall possess the privilege of enrolling in
the University/College to no more than six units a semester
in courses that shall be beneficial to their regular work in the
University, subject to the President’s approval. Permission
to enroll in more than six units a semester may be granted
depending on the individual merits of each case.

Section 2. No member faculty shall enroll as a student in the University/

College or in an outside institution without the permission
of the President.

CAPIZ STATE UNIVERSITY

97
UNIVERSITY CODE

Section 3. Permission may be granted only when, considering the

teaching load of the faculty member, the nature and scope
of the course he/she intends to take and the time the course
requires, provided it will not impair his/her efficiency as a
member of the faculty.

Article 13. Teaching in Other Institutions Without Permission. Faculty members

who wish to teach outside CapSU must secure the approval of the
President. Those found guilty of working in other institutions without
permission, will be dismissed from service after due process.

Article 14. Use of University Names and Insignia. University/College names,

insignias and similar materials that are used to announce, advertise or
publicize events, products, or the like shall be posted only after a written
permission from the President is obtained.

Article 15. Smoking on Campus. Faculty members are not allowed to smoke
inside the Campus (classrooms, cafeterias, shops, laboratories, libraries,
hallways or corridors). The University/Campus is a smoke–free zone.

Article 16. Taking Prohibited Drugs and Gambling. Faculty members are strictly
prohibited from gambling, drinking alcoholic beverages, smoking
marijuana or taking prohibited drugs. Equally, under no circumstance
shall a faculty enter the University/Campus premises under the influence
of alcohol or of prohibited drugs. Penalty for the violation of this rule
ranges from suspension to dismissal from service.

Article 17. Carrying Firearms and Dangerous Weapons. Carrying of firearms

and other deadly weapons such as long-bladed knives, ice picks, blunt
and sharp instruments and others is absolutely prohibited inside the
University/Campus. Penalty ranges from suspension to dismissal from
service.

Article 18. Use of Facilities for Commercials and Movie Productions. Private
organizations that wish to use any facility or set the University/Campus
as a venue for commercials and movie productions, should secure the
permission of the Office of the President in writing. Morally offensive
products or movie productions, as determined by the President will
be denied entry. Unless it is related to education, movie production
and commercials are definitely not encouraged within the University/
Campus premises.

98 CAPIZ STATE UNIVERSITY

 BOOK TWO

Article 19. Other Prohibited Activities on Campus. The participation of faculty

members in parades, demonstrations, mass-meetings, programs, rallies
and the like, organized or promoted by political parties or other groups
whose interests are not expressly authorized by the University/College
should not in any way interfere with the duties and functions of the
faculty at the University/Campus. Faculty members who take part in
any of the aforesaid activities should not exhibit signs of any kind, to
give the impression that they represent the University/Campus. Their
participation is to be strictly indicated that it is on their own free will
and individual responsibility.

CAPIZ STATE UNIVERSITY

99
UNIVERSITY CODE

Article 20. Offenses and Sanctions. A faculty member who commits any of the
following non-exclusive offenses after due process may be disciplined
accordingly based on the provisions of the Labor Code, Civil Service
Commission laws and other related laws/regulations.

OFFENSES
Non-performance of any of the prescribed functions and contractual obligations such as the following,
among others:
1. Tardiness/absences without justification, part from sickness, beyond 10% of the class meetings of the
faculty during the semester
2. Repeated and unjustified failure to submit grades and other required documents according to
deadlines
3. Non-attendance in University/Campus/ Department meetings/flag ceremony and other official
activities without justification
4. Absence for at least a week without previous notice or arrangement with and approval by the
Department Head and/or Dean/Campus Administrator except for emergency cases.
5. Inflicting bodily injury on a faculty member or administrative personnel or a student within the
University/Campus
6. For part-timers, teaching in other school and/or working full-time in other institution without
permission
7. Making malicious, obscene or libelous statements about the person of any member of the academic
community
8. Disorderly behavior or promoting or participating in gambling and/or drinking during class or office
hours
9. Misuse of University/College name, property, or equipment for personal and/or commercial purposes
10. Grave public scandal
11. Unauthorized and unjustified possession of final examination questions
12. Plagiarism and falsification of any document and other forms of dishonesty
13. Illegal possession of drugs or deadly weapons on campus
14. Discrediting the name of University/College in public
15. For full-timers, teaching in other school and/or working full-time in other institution without
permission
16. Tampering official or faculty grading records
17. Changing of a grade of a student in consideration of some remuneration or favor
18. Final conviction by a court of law of a crime involving moral turpitude
19. Sexual harassment

100 CAPIZ STATE UNIVERSITY

BOOK THREE

STUDENT WELFARE
The book presents the legal basis and frameworks
on student service operation and management.
Discussed also is the structure and the officers
responsible in carrying out the rules and
regulations including necessary sanctions relative
to organization and conduct of student activities;
the different offices and services offered related to
student development within the university.
UNIVERSITY CODE

Chapter 1
GENERAL INFORMATION

Article 1. Legal Framework

Section 1. This Manual of Operations is a compendium of several

policies, guidelines, rules and regulations and standard
operating procedures pertaining to the operation and
management of the Student Affairs of this University.

Section 2. The following serve as the legal framework of this Manual of

Student Affairs:

• MECS Order No. 57 s. 1981 and MECS Order No. 62 s.

1981.
• Republic Act 7079 - The Campus Journalism Act
• Republic Act 7877 - The Anti-Sexual Harassment Act
• Republic Act 8049 - An Act Regulating Hazing And
Other Forms Of Initiation Rites In Fraternities,
Sororities, And Organizations And Providing Penalties
thereof
• CHED Memo No. 4 - Preventive Measures Against
Violence and Sanctions on Fraternities and Other
Student Organizations
• SUC Charters and Codes
• Other relevant policies, standards, plans and guidelines
promulgated by CHED
• Recognized and established management practices
• RA 10627 - Anti-Bullying Act of 2013

Article 2. Vision

The Office of Student Affairs envisions to provide with:

a. Creative, critical, highly functional and globally oriented students to

graduate from the University;
b. A supportive yet challenging environment that encourages the
holistic development of students;
c. Balanced co-curricular and extra-curricular activities of the different

102 CAPIZ STATE UNIVERSITY

 BOOK THREE

student groups that provide opportunities for them to actualize their

abilities as responsible and productive leaders and citizens;
d. An atmosphere of healthy social interaction between and among
students, faculty and administrative staff;
e. An environment complementary to the academic training of students
with different growth activities focusing on improving leadership,
self-management and developmental skills;
f. The development and enhancement of career goals and plans leading
toward the achievement of a rewarding career, lifestyle and job; and,
g. The creation of a working environment with technologically
advanced equipment, an updated information system and complete
testing facilities.

Article 3. Mission

The Office of Student Affairs serves and maintains a healthy social

relationship through varied services to facilitate the optimum
development of their potentials.

Article 4. Goals

Section 1. Development Goal. The overall development goal of

student affairs is to develop disciplined, responsible and
highly trained students.

Section 2. Enabling Goals. In pursuit of the development goals, the

Student Affairs Office aims to:

a. Enhance staff commitment and professional capability;

b. Provide an approach/system of efficient delivery of
service;
c. Create an atmosphere of democratic social interaction;
and
d. Maintain a strong feedback mechanism for evaluation.

Article 5. Organizational Structure

The Organizational Structure hoped to provide the students a
clearer understanding of the flow of leadership, responsibility and
communication concerning student affairs in the University.

CAPIZ STATE UNIVERSITY

103
UNIVERSITY CODE

Article 6. Officials

Section 1. The Director for Student Affairs (DSA)reports directly to

the Vice-President for Academic Affairs and coordinates
with the Campus Head and Chair of OSA in the performance
of his functions.

Section 2. Duties of the Director of Student Affairs. Other than

the duties stated in Book 1, the Director of Student Affairs
performs the following duties:

a. Takes charge of the direction and supervision of the

organized student activities conducted by the students
of the University.
b. Implements the rules and regulations governing
organized student activities for the purpose of
maximizing the potential of students.
c. Performs other duties assigned to him/her from time to
time.

Section 3. Duties of the Chairman of Student Affairs

a. Formulates, recommends and implements rules and

regulations governing organized student activities and
services in accordance with the general policies of the
University;
b. Participates in the formulation of University policies
concerning the welfare and interest of students;
c. Facilitates the educational, social and cultural activities
of the students;
d. Organizes and recommends the approval of the
Calendar of Student Activities;
e. Oversees the use of the Student Trust Fund for duly
approved organized student activities;
f. Accredits student club and organizations per school
year;
g. Supervises and monitors the projects, programs and
activities of the different accredited student clubs and
organizations;
h. Facilitates meetings/joint activities/exchange of ideas
among student organizations;

104 CAPIZ STATE UNIVERSITY

 BOOK THREE

i. Endorses student requests for funding (projects,

training, and seminars) and the use of university
facilities;
j. Approves the posting of promotional materials/
advertisements within the campus;
k. Recommends university-wide activities geared towards
the mental, physical, emotional, social, spiritual and
moral development of the students.
l. Provides administrative and technical support to the
official student newspaper of the University.

Section 4. The following are under the Office of the Student Affairs:
Guidance and Counseling, Library, Medical and Dental,
National Service Training Program, Student Organization,
Publication, Sports and Cultural, Alumni, Food, Housing,
and Ancillary Services.

Section5. The OSS works in close coordination with the other offices
such as the Registrar, the External Affairs and Linkages
on industrial relations, the job placement and on-the-job
training,the campus ministry as well as with the different
College Deans, Directors and Heads of the different
administrative offices of the University.

CAPIZ STATE UNIVERSITY

105
UNIVERSITY CODE

Chapter 2
SERVICES UNDER THE OSA

Article 1. Guidance and Counseling

Section 1. A Guidance Counselor/designated Guidance Counselor
heads the Office.

Section 2. The Guidance and Counseling office assists the students

achieve their maximum potential by developing self-
awareness and self-realization.

Section 3. Services

a. Information and orientation

b. Testing and admission
c. Individual inventory.
d. Counseling
e. Assistantship and scholarship
f. Psychological testing and evaluation
g. Referral/Follow-up
h. Career guidance
i. Drop-in Center/Teen Center

Section 4. The Guidance and Counseling Manual provides further
details of the above mentioned services and other functions
of the guidance counselor.

Article 2. Library Services and Learning Resource Center

Section 1. The library services complement classroom instruction by

making available a wide array of reading materials to the
students and faculty alike; a place for study and research
apart and provide an opportunity for the students to learn
through the use of the internet facilities.

Section 2. The Librarian(s) and staff closely coordinate with the Chair
of Student Affairs and the Library Committee in determining
the list of books and reference materials needed.

106 CAPIZ STATE UNIVERSITY

 BOOK THREE

Section 3. Services

a. Availability of library materials and resources in

different library sections
b. Internet
c. Reproduction of materials
d. Audio-visual facilities
e. Learning Resource Centers in every college/department
f. Other services

Section 4. Requirements in the use of the Library:

a. Valid Library card – students, faculty and staff

b. Referral letters and ID– outsiders
c. Official receipt for payment of researcher’s fee (for
outsiders as fixed by the Board.

Section 5. Other Rules and Regulations on the use of library are
stipulated in the Library Manual.

Article 3. Health Services

Section 1. The Health Service Office, headed by the University

Physician provides primary medical care to students and
personnel and ensures a healthy working environment in
the university.

Section 2. Personnel. Under the supervision of the University

Physician are resident dentists, nurses and aides.

Section 3. Services

a. Handles simple, uncomplicated and stable medical

cases.
b. Engages in preventive-promotive activities such as
physical, medical and dental examinations.
c. Renders diagnostic and treatment services.
d. Attends to accidents and emergency cases.
e. Refers cases to hospitals.
f. Provides assistance in the screening of prospective
freshmen students of the University.

CAPIZ STATE UNIVERSITY

107
UNIVERSITY CODE

g. Conducts medical examinations to students who will be

deployed in their Supervised Industrial Training or On-
the-Job Training.
h. Keeps medical records of students and employees.

Article 4. National Service Training Program (NSTP)

Section 1. The National Service Training Program (NSTP) aims to
enhance the civic-consciousness and defense - preparedness
of the youth;develop the spirit/attitude of service and
patriotism among the students and advance the youth
involvement in public and civic affairs

Section 2. Personnel

a. The University President appoints/designates the

Coordinator of the Program.
b. The Reserved Officers Training Corps (ROTC) is headed
by the Commandant.
c. The Civic Welfare Training Service (CWTS)/Literacy
Training Service (LTS) per college is headed by Faculty
Coordinator.

Section 3. Services

a. Provides modules along the areas of physical, moral,

spiritual, intellectual and social well-being of the
students.
b. Establishes linkages with various communities

Article 5. Student Organizations and Activities

Section 1. Goals and Objectives

a. To enhance the growth of students as individuals and

members of the academic community by encouraging
the formation of different student clubs and organizations
within the University.
b. To complement the academic and curricular growth and
development of the students through various student projects
and activities such as sports fests, quiz bees and the like.

108 CAPIZ STATE UNIVERSITY

 BOOK THREE

Section 2. The Adviser/s of the Student Clubs and Organizations

directly monitors, and supervises the different student
activities and submit reports to the OSA Chair at the end of
the school year.

Section 3. The Board of Management for Student Organizations

(BMSO) for each campus handles the accreditation process
of student clubs and organizations. This is composed of SSC
president, Faculty Association President, Dean/Program
Coordinator, SSC adviser and is headed by the OSA Chair.

Section 4. The functions of the BMSO are as follows:

a. Recognize, review and/or cancel the recognition granted

to student organizations based on pertinent and existing
regulations and guidelines of the University.
b. Formulate solutions to problems/conflicts that may
arise in connection with student organizations and
other related matters thereto.
c. Formulate guidelines and deliberate matters related
thereto, in the granting of awards to deserving student
organizations and student leaders in the annual Search
for Outstanding Student Organization and Outstanding
Student Leader.

Article 6. Rules and Regulations on Student Organizations and Activities

Section 1. Establishment of Organized Student Activities. The

establishment and operation of any organized student
activity in the University shall provide a forum for academic
and personal interaction among students, faculty and
administrative staff, likewise it provides a medium for more
productive endeavors towards the attainment of the goals of
the University and that of society; provided, however, that
the activities shall be along the psycho-physical and socio-
cultural development of the students; and provided further,
that such activities shall be approved by the University
President or his/her duly authorized representative.

CAPIZ STATE UNIVERSITY

109
UNIVERSITY CODE

Section 2. Definition of Terms

• Student Government

The Supreme Student Council (SSC) is the central

representative body of the University students, the officers
of which are elected by the general student population,
which purpose is to serve as a linkage between the students
and the administration toward mutual cooperation for
development.

• Student Organization

A student organization shall be any approved association of

students by curriculum year, by course or by special interest,
whose officers and members are bona fide students of the
University. Organizations shall be categorized as follows:

• College-based student organizations

These refer to organizations that are academic in nature;

belonging to a particular college, department or course.

• Non-college-based student organizations

These refer to organizations that are extra-curricular in

nature (socio-civic, community-oriented); those whose
officers and members are bonafide students from different
colleges, courses and departments.

• Fraternities and Sororities

These refer to non-political university-wide student

organizations whose members belong to different colleges
and whose primary aim is brotherhood and sisterhood
with specific objectives and goals.

• Religious Organizations

These refer to student organizations responding to the

spiritual and moral concerns of the students.

110 CAPIZ STATE UNIVERSITY

 BOOK THREE

• Curricular Student Activities

This shall apply to all student activities such as activity-

project field trip, in-plant visitations, off-campus and
on-campus activities, supervised industrial training and
other community-based programs which are intended
to reinforce classroom learning.

• Co-curricular Student Activities

This shall apply to all student activities such as seminars,

symposia, fora, workshops, school publications and
leadership development programs, etc. which are
designed to complement curricular activities of students.

• Extra-curricular Student Activities

This shall apply to some other extra-curricular student

activities such as dramatics, etc. whose goals are toward
the discovery, utilization and maximization of their
potentials.

Section 3. Federation of Student Councils

a. All elected Student Supreme Council presidents of

the different campuses of the university system shall
confederate and shall form the federation of (University)
Supreme Student Councils.
b. The President of the federation shall sit as the Student
Regent in the Board of Regents of the University.
c. This federation shall exist to serve the purpose of
unifying all efforts of student councils/governments in
addressing their needs through a representation in the
University Board of Regents.
d. The federation shall be governed by the Constitution
and By-laws ratified by the body and duly approved by
the University officials.

CAPIZ STATE UNIVERSITY

111
UNIVERSITY CODE

Section 4. The Supreme Student Council. The Supreme Student

Council is the highest governing body of students in the
campus created for the purpose of serving as a link between
the administration, the faculty and the students.

a. Membership

The membership to the student government shall be

limited to the bonafide students of the University. Every
student officially enrolled in the University automatically
becomes a member of the student government.

b. Constitution and By-laws

The student government shall have a Constitution and

By laws drafted and ratified by the members which shall
be approved by the University official.

c. Election of Officers

The officers of the student government, as provided

for in the Constitution and By-laws, shall be elected by
the members. Provided further, that every election of
officers of the student government shall be under the
Commission on Student Election. Criteria in Selecting
Candidates to the University Student Government.

Any student who wishes to run for any position in

the University Student Election must have met the
qualifications as provided in the Constitution and By-
Laws.

d. Projects and activities of the student government shall

be financed by the SSC Fee subject to existing rules and
regulations of the University

Section 5. Channel of Communications. All programs, projects and
activities to be pursued/sponsored by the University Student
Government and other student organization will have to
be coursed through proper channels as reflected in the
organizational structure.

112 CAPIZ STATE UNIVERSITY

 BOOK THREE

Section 6. Report of Activities. The officers of the SSC and other

student organization are vested with the responsibility of
reporting to the student body their accomplishments for
the school year that they had been elected to their posts.
Likewise, they are required to report to the student body
their financial standing with regard to the use of the Student
Trust Fund, one month before the end of the school year.

Section 7. Accomplishment Report. The SSC and other student

organization submits to the Office of Student Affairs
Annual Accomplishment Report. Copy of which is posted
on bulletin boards for the information of the entire student
body.

Section 8. Financial Report. A financial report is likewise required

from the University Student Government and other
student organizations. This will have to be reported by
their Treasurer, audited by the Auditor and noted by their
President. This same financial report will have to be posted
on university bulletin boards for the information of the
entire student body.

Section 9. Certificate of Clearance. An officer of the University

Student Government or other student organization,
graduating or non-graduating, will not be granted a
Certificate of Clearance by the Office of Student Affairs if
the accomplishment and financial reports have not yet been
duly submitted a month before the end of the school year.

Section 10. Financial Accountability. The President, Treasurer, Auditor

and all other persons who are proven to be directly involved
in the handling of the finances of the student government,
club or organization will be held liable to the University
administration and student body with regard to the required
financial report to be submitted one month before the end
of the school year. No Certificate of Clearance will be issued
to the accountable officers and persons unless the required
report has been duly submitted.

Section 11. The Operation of the Student Organization regarding pre-

accreditation and accreditation requirements, appeals on

CAPIZ STATE UNIVERSITY

113
UNIVERSITY CODE

accreditation, dissolution and other rules related thereof

shall be stipulated in the Student Manual/Handbook.

Section 12. Other Co-Curricular and Extra-Curricular Activities

a. Specific Activities

All meetings, field trips, industrial visits or social

functions of students held inside or outside the campus
shall have prior recommendation by the Director
of Student Affairs and approved by duly constituted
authorities.

b. Socialization Activities

Any organized accredited student group and curricular

student group may be permitted to have socializing
activities within the semester provided that such
activities shall be held when 70% of the class hours of
the term or semester shall have been completed.

c. Socio-cultural Program

The student government and other accredited student

organizations can hold a literary, musical or socio-
cultural program or debate or discussion of some public
issues, provided however, that such request shall follow
the calendar activities of the University.

Section 13. Chaperonage. All dances, picnics, excursions, student

group activities and other social functions shall be properly
chaperoned. The class advisers and/or student club/
organization adviser/s have the responsibility of chaperoning
such activities of students. A waiver or parental consent
should be presented to the Director of Student Affairs when
activities are to be conducted outside of the University.

Section 14. Faculty Adviser/s. All curricular, co-curricular and extra-

curricular activities of the students shall be under the
supervision of the faculty adviser/s. All designated faculty
adviser/s shall be present in all affairs of the student organization

114 CAPIZ STATE UNIVERSITY

 BOOK THREE

they supervised. All decisions affecting the conduct of the

activity shall bear the approval of the faculty adviser/s and
university officials.

Article 7. Student Publication

Section 1. The Official Student Publication of the campuses are the

following:

The Farmer’s Echo – Burias Campus
The Courier – Poblacion Campus
The Salingsing– Dumarao Campus
The Capiz Shell – Dayao Campus
The Primer – Sapian Campus
The Messenger -Sigma Campus
CAPSU Forum — Pontevedra Campus
The Quest – Roxas City Main Campus
Hill Voice – Tapaz Campus
Balintataw– Pilar Campus
The Lauriate– Graduate School, Mambusao
The Nuggets – Graduate School, Pontevedra

Section 2. Organization of the Editorial Board. A yearly competitive

examination prepared and supervised by the designated School
Paper Adviser is conducted at the beginning of the school year
to determine the members of the editorial board of the student
publications.

Section 3. An approved Publication Handbook provides the implementing

rules and guidelines in the operation of the student publication.

Article 8. Student Housing

Section 1. Goals and Objectives

a. To assist the students in their adjustment to college life by

providing them with maximum opportunities to interact
with their fellow students and by putting them close to the
school buildings and libraries.

CAPIZ STATE UNIVERSITY

115
UNIVERSITY CODE

b. To provide and manage activities and services to

inculcate habits, attitudes, values of healthful living,
efficient home management, good social relationship
and responsiveness among students.

c. To ensure students in dormitories within and outside

of the vicinity of the University are residing in safe and
sanitary housing conditions.

Section 2. Personnel. The Coordinator/Dormitory manager is in-

charge of the on-campus housing/dormitory/residence halls
for the students and monitors off- campus dormitories/
boarding houses.

Section 3. Services

a. On-campus Dormitories/residence halls for transient

and regular boarders giving priority to freshmen and
students from more distant homes, coming from low
income brackets and those who applied earlier.

b. Provides a list of accredited boarding houses and

dormitories within the vicinity of the University. This
list is made available to parents and students during the
opening of classes.

c. Conducts an ocular inspection of the applying

dormitory/residence hall for verification purposes.

Section 4. Fees. Board and lodging fees in dormitories/residence halls
are fixed by the University Administration upon approval of
the Board of Regents.

Article 9. Ancillary Services

Section 1. Ancillary Services provide assistance in other student-
related concerns but not limited to the issuance of
identification cards, insurance and others thereby ensuring
the smooth flow of procedures for the different services
offered by the office.

116 CAPIZ STATE UNIVERSITY

 BOOK THREE

Section 2. Services

a. Issuance of Identification Card

b. Facilitate insurance coverage of students
c. Provide design for school uniform
d. Communication service
e. Personality development service

Section 3. Specific guidelines on the ancillary services are stipulated in the
Student Manual/Handbook.

Article 10. Sports and Cultural Services

Section 1. Sports and cultural services promote the development of self-
confidence, sportsmanship, social and cultural growth of
students through activities designed for the wise use of leisure
time.

Section 2. The Coordinators of Sports and Cultural Services coordinate

with the different coaches and trainers through the Chair of the
Students Affairs.

Section 3. Services

a. Training for sports and performing art groups for student

development

b. Conducting of sports and cultural activities.

c. Representing the university to various sports and cultural

competitions.

d. Monitoring of performance of sports and cultural scholars.

Article 11. Food Services

Section 1. Food Services aims to provide a variety of clean, nutritious and

reasonably priced food.

Section 2. The Canteen is managed by a Manager who supervises his staff

in providing quality food service.

CAPIZ STATE UNIVERSITY

117
UNIVERSITY CODE

Section 3. Services

a. Provision of a variety of clean, nutritious and reasonably

priced food.
b. Monitoring and regulations on food safety and
sanitation as provided by the DOH.
c. Provides catering services

Article 12. Alumni Services

Section 1. The Alumni Services cater concerns and issues related

to the alumni and shall organize themselves to form an
organization.

Section 2. Alumni organization shall confederate and form the

federation of University Alumni. The President of the
federation shall sit as the Alumni Regent in the Board.

118 CAPIZ STATE UNIVERSITY

 BOOK THREE

Chapter 16
OTHER STUDENT SERVICES

There are other services within the university/college which are offered by the other
department/offices to respond to the needs of the student population and to augment
the student services of the University.

Article 1. Student Admission and Registration

Section 1. Admission Services is performed by the OSS in close
coordination with the Office of the Registrar who directs/
supervises the registration/enrolment.

Section 2. Registration and Enrolment Services are under the Office

of the Registrar’s Office wherein the specific requirements
and procedures are stipulated in the Registrar’s Manual.

Article 2. Assessment of School Fees

The assessment of tuition and other school fees are services delivered by
the Accounting Department.

Article 3. Collection of Fees

The collection of tuition and other school fees are services delivered by
the Cashier/Collecting Office.

Article 4. Use of University Premises and Facilities

Section 1. The use of the University premises and facilities shall have
prior approval from the President of the University or any
of his/her authorized representative through the Director of
Student Affairs.

Section 2. Only accredited student clubs and/or organizations are

entitled to the use of all available facilities.

Section 3. The officers of the concerned student organizations shall

be responsible for the damages to university properties and
facilities incurred during such student activities.

CAPIZ STATE UNIVERSITY

119
UNIVERSITY CODE

Article 5. Assistance to Foreign Students

Section 1. Assistance to foreign students shall be extended for them to

avoid potential problems during their stay in the university.

Section 2. Extend assistance in the procurement of study permits,

student visa and extension of stay.

Section 3. Provide opportunities for growth and development in their

new found home (the University).

Article 6. The Gender and Development (GAD) Program

Section 1. The GAD Program assists students in recognizing their

gender and sex roles in the academic community.

Section 2. The programs and activities on GAD are carried out as

provided by the law.

Article 7. Campus Ministry

Section 1. Goals and Objectives

a. To provide an avenue for the spiritual needs of the

students, faculty and administrative personnel of the
University.

b. To complement the cognitive, social, emotional and

physical needs of the University population with
spiritual activities for a total personality development.

c. To strive towards an ecumenical approach in answering

the spiritual needs of the University population

Section 2. Personnel

a. The Campus Minister closely coordinates with the

Director of Student Affairs and the different College
Deans in the conduct of activities of the Campus
Ministry.

120 CAPIZ STATE UNIVERSITY

 BOOK THREE

b. The Campus Minister likewise coordinates the activities

of the different religious student clubs and organizations
of the University.

Section 3. Services

a. Offers/conducts ecumenical services i.e., monthly mass,

baccalaureate mass, etc.
b. Conducts/offers retreats and recollections.
c. Organizes Bible studies and Bible sharing.
d. Conducts outreach programs.

CAPIZ STATE UNIVERSITY

121
UNIVERSITY CODE

Chapter 17
CONDUCT AND DISCIPLINE

Article 1. Rights of Students

Subject to the limitations prescribed by law, the University policies and

regulations provide the following rights to every student:

a. Has the right to receive quality education in line with the national
goals, educational objectives and standards of the school;

b. Has the right to guidance and counseling services to enable him to

know himself, to make intelligent decisions, and to select from the
alternatives in line with his potentials;

c. Has the right to enjoy the constitutional guarantee of free speech

and press, the right to express and pursue his options on any subject,
provided such expressions do not disrupt the work and discipline of
the University;

d. Has the right to participate in the formulation of University policies

affecting them;

e. Has the right to establish, join and participate in organizations and

societies not contrary to law;

f. Has the right to avail of student services like medical, dental, libraries,
etc. as well as reasonable protection within the University premises;

g. Has the right to be informed of the rules and regulations affecting

them;

h. Has the right to participate in curriculum and co-curricular activities

subject to existing University rules and regulations;

i. Has the right to be respected as a person with human dignity, full

physical, social, moral, intellectual development and to human and
healthy conditions of learning;

122 CAPIZ STATE UNIVERSITY

 BOOK THREE

j. Has the right to enjoy academic freedom in the tertiary and higher
levels;

k. Has the right to be heard any grievance against any wrong or injustice
committed against him by any member of the University community
in accordance with defined channels of authority;

l. Has the right not to be subjected to disciplinary action without due

process of law;

m. Has the right to access to his records for purpose of determining his
academic performance.

n. Has the right to pursue his program of work therein up to graduation

except in cases of academic deficiency or violation of disciplinary
regulations;

o. Has the right or shall be entitled to expeditious issuance of certificates,

diplomas, transcript of records, grades, and transfer credentials; and,

p. Has the right to peaceful assembly subject to the regulation of the

University and existing laws.

Article 2. Duties and Responsibilities

Every student, regardless of circumstances of birth shall have the

following duties and responsibilities:

a. Abide by the University rules and regulations;

b. Know the history, philosophy, vision and mission statement of the

University;

c. Uphold the good name of the University by practicing personal

discipline, honesty, patience, fortitude, emotional stability, self-
control and positive attitude and values;

d. Exert his utmost to develop his potential for service, particularly by

undergoing an education suited to his abilities that he may become
an asset to himself and to society;

CAPIZ STATE UNIVERSITY

123
UNIVERSITY CODE

e. Respect the customs and traditions of the Filipino people, the duly
constituted authorities, the laws of the country and the principles of
democracy;

f. Participate actively in civic affairs and in the promotion of the

general welfare;

g. Exercise his rights responsibly with due regard for the rights of
others;

h. Respect and cooperate with teachers, fellow students and school

authorities in the attainment and preservation of peace and order of
the University; and,

i. Help in the observance of individual and social rights, the

strengthening of freedom, and the fostering of cooperation among
nations in pursuit of progress, prosperity, and world peace.

Article 3. Rules and Regulations on Conduct and Discipline

Section 1. Every student shall observe at all times the laws of the land
and rules and regulations of the University.

Section 2. For purposes of keeping order so as to promote decorum

in classes, an instructor is empowered to send a student out
of the classroom for ungentleman conduct in the class and
immediately thereafter make a report of such action to the
Dean for disciplinary action.

Section 3. Any student who makes unnecessary noise in the University

premises shall be subjected to disciplinary action by the
Dean and for the second offense the case of the said student
shall be elevated to the Director of Student Affairs who shall
recommend to the Campus Head for appropriate action.

Section 4. No smoking policy shall be imposed in the school premises.

Section 5. Grounds for Disciplinary action shall be as follows:

a. Any form of cheating during examinations or any act of

dishonesty;

124 CAPIZ STATE UNIVERSITY

 BOOK THREE

b. Carrying within the University premises any firearm,

knife with blade longer than 2 ½ inches, any dangerous
or deadly weapon, except those allowed by the duly
constituted authorities;

c. Drinking alcoholic beverages or drunken behavior

within the University premises or in any area while
performing University related activities;

d. Unauthorized or illegal possession or use of prohibited

drugs;

e. Gross and deliberate discourtesy;

f. Creating serious, disturbance of peace and order in the

University premises or participating therein resulting in
damage to property or violence on persons;

g. Intentionally making false statement of any material fact,

or practicing or attempting to practice any deception
or fraud in connection with admission, registration,
promotion or graduation from the University;

h. Gambling within the University premises; and,

i. Any violation of law committed within the University

premises;

Section 6. Penalties

a. Warning shall be issued in writing by the University

authorities to students committing the following
offenses: smoking on campus grounds; having five
(5) unexcused absences; deliberate non-attendance in
flag ceremonies and flag retreats; non-wearing of the
prescribed school uniform and school ID’s; disrupting
classes and assemblies; littering; posting bills in
unauthorized areas; and similar offenses specified by the
Dean, Campus Head and Chair of Student Affairs.

CAPIZ STATE UNIVERSITY

125
UNIVERSITY CODE

b. Suspensions

1. One-day suspension for three warning within the

same semester.

2. Three to five school days suspension for the following

offenses: cheating; entering the campus/classroom
drunk; drinking intoxicating drinks inside the
campus; instigating a quarrel or quarrelling inside
the campus, verbal assaults; inviting students to
commit unlawful acts; vandalism; threatening other
students and members of the staff from discharging
their duties; coercing or intimidating any student to
attend any activity or to be absent from the class;
and, physically attacking any student on no account.

3. Suspension for the duration of one (1) semester

for the following offenses: theft, extortion;
insubordination; tampering or forging of school
records and other relevant documents; assaulting
students or persons in authority; carrying deadly
weapons; plagiarism; publishing or circulating
derogatory statements about the institution, its staff
members or fellow students; and other offenses as
determined by the University Grievance Committee
and Disciplinary Board.

c. Dismissal or expulsion is the sanction for the

following offenses:

1. Participating in activities which tend to overthrow

the existing government;

2. Act of lasciviousness/moral turpitude/or doing any

sexual act within the University premises;

3. Injuring another person with a knife or any bladed

weapon or any lethal instrument or object;

4. Possession/distribution and/or using dangerous

drugs on the campus;

126 CAPIZ STATE UNIVERSITY

 BOOK THREE

5. Participation in hazing;

6. Physically or verbally assaulting a teacher or any

member of the staff and student;

7. Gross immorality or flagrant indecency inside or

outside the campus; including the exposure of the
act to social media.

8. Stealing test questions and/or disseminating

contents to other students;

9. Taking the examination in place of another student;

10. Arson;

12. Committing to any violent act while participating

in national or institutional strikes, rallies and
demonstrations;

13. Cooperating with bad elements in deliberately

attempting to sabotage, steal or place the school in
danger or in great embarrassment; and,

14. Acting as accomplice in any form of crime against

person and/or property.

Article 4. Grievance and Disciplinary Procedure

Section 1. There shall be a student Disciplinary Tribunal composed of
the Chair of Student Affairs as chairman and two members
who shall be appointed for two years from among the
faculty and other staff of the University. In any disciplinary
case before the Tribunal, a respondent may request that two
students be appointed to sit without the right to vote with
the Tribunal.

Section 2. The Tribunal shall be under the general supervision of the

Director of Student Affairs who shall designate whenever
requested, the student members to sit with the Tribunal.

CAPIZ STATE UNIVERSITY

127
UNIVERSITY CODE

Section 3. There shall be a University Grievance and Disciplinary

Board to which decisions of the student disciplinary tribunal
may be appealed by the aggrieved party. The board shall be
composed of the Director of Student Affairs as Chairman,
two faculty members to be designated by the President and
two students to be designated by Student Council Adviser,
as members.

Section 4. Filing of Charges. A disciplinary proceeding shall be

instituted by the appropriate authority upon the filing of
a written charge specifying the acts of commissions of
the misconduct and subscribed by the complainant or
upon the submission of an official report of the violation
of existing rules and regulations. Upon the filing of said
charge or report with the Students Disciplinary Tribunal, an
entry shall be made in an official entry book kept for the
purpose, specifying the person charged, the complainant or
complainants, his witnesses, if any, the date of the filing, and
the substance of the charge.

Section 4. Preliminary Inquiry. Upon receipt of the complaint, which

should be under oath, the tribunal shall determine whether
such complaint warrants formal investigation. When found
sufficient, formal charges shall be filed and served upon
each respondent and his parents/guardian.

Section 5. Answer. Each respondent shall be required to answer

in writing within three days from receipt of the charge/s.
Formal investigation shall be held on notice as provided in
the next section.

Section 6. Hearing. Hearing shall begin not later than one week after
receipt of the respondent’s answer or after the expiration of
the period within which the respondent shall answer.

In case either complainant or respondent fails to appear

at the place set for the initial hearing after due notice and
without sufficient justification, this fact shall be noted and
the hearing shall proceed ex-parte without prejudice to the
party’s right of appearance in subsequent hearing.

128 CAPIZ STATE UNIVERSITY

 BOOK THREE

Section 7. Postponement. Application for postponement may be

granted for good cause for such period as the ends of justice
and the right of parties to a speedy investigation require
provided that no more than three postponements per party
to the litigation shall be allowed.

Section 8. Committee Report. The investigating committee shall

forward to the Director of Student Affairs within fifteen
(15) days after the termination of the hearing,a complete
report of the case and its recommendations and the specific
regulations on which the decision is based.

Section 9. Decision by the Director of Student Affairs. The Director

shall within 10 days after receipt of the committee report
transmit the report, together with his decision to the
University President for execution.

Section 10. Appeal to the President. In all cases in which final decision
is not conferred, the respondent may file an appeal to the
President of the University within ten (10) days upon receipt
of the decision.

Section 11. Action of the President. The President’s action on the

appeal shall be rendered within ten days after the receipt
of the appeal. In all cases of expulsion, the President shall
consult the Executive Committee of the University.

Section 12. Rights of Respondents. Every respondent shall enjoy the

following rights:

a. To be subjected to any disciplinary penalty only after

the requirements of due process shall have been fully
complied with;

b. To be convicted only on the basis of evidence, the

burden of proof being with the person filing the charge;

c. To be convicted only on the basis of evidences presented

during the proceedings of which the respondent has
been properly appraised and given the opportunity to
rebut the same;

CAPIZ STATE UNIVERSITY

129
UNIVERSITY CODE

d. To enjoy, pending final decision on the charges of all his

rights and privileges as a student, subject to the authority
of the Director or the Tribunal to order the preventive
suspension of the respondents of not more than 15 days
where suspension is necessary to maintain the security
of the University; and,

e. To be defended personally, or by counsel, or by a

representative of his own choice. If the respondent
desires but is unable to secure services of a counsel, he
shall manifest the fact at least 2 days before the date of
the hearing and request the Tribunal of the investigating
Committee to designate a counsel for him from among
the members of the University.

Section 13. Effectivity of Decision. Final decision of suspension

or dismissal rendered within 30 days prior to any
final examination shall take effect during the semester
immediately subsequent to the semester/summer in which
such decision was rendered; provided further, that when the
respondent is graduating, in which case the penalty shall
take effect immediately.

Article 5. Conduct and Discipline of Organized Student Groups

Section 1. Acceptable Behavior. All organized student groups shall

observe the laws of the land, the rules and regulations of the
University and the standards of a good society. The general
behavior of its officers and members shall be courteous and
considerate on all occasions as befitting men and women of
refined moral values; and shall always act with prudence,
moderation and respect for the opinions and feelings of
others, as are necessary to promote goodwill and educated
philosophy of life and values.

Section 2. Prohibited Activities. Campus activism which are deemed

unlawful and/or in violation of the existing legislations, rules
and regulations shall be strictly prohibited and disallowed.

Section 3. Disciplinary Action. In addition to the revocation of

the authority to operate the student organization, the

130 CAPIZ STATE UNIVERSITY

 BOOK THREE

violators, as well as the officers and faculty adviser/s of the

organization, may either be reprimanded, suspended in
the case of a student, dropped from the rolls of students of
the university, or expelled from the school or barred from
enrolment in all government or non-government schools,
depending on the seriousness of the violation or offense
committed. Each action of the administration shall conform
with the prescribed rules of the Commission on Higher
Education for validity and effectivity.

Section 4. Any student facing administrative charges involving

prohibited activities may be prevented or suspended from
attending his/her classes, or from entering school premises,
upon written order from the President of the University,
provided, however, that the evidence of guilt of the student
is strong to warrant his/her dismissal from the school.

Section 5. Amendments. In the interest of the common good and

in accordance with the needs of the present day situation,
amendments to existing Rules and Regulations shall be
made, provided, however, that such amendments are the
consensus of the members of the committee created for the
purpose, and provided, further, that such amendments are
recommended by the Director of Student Affairs for the
approval of the Board of Regents through the President of
the University.

Article 6. General Provisions

Section 1. This Code shall be consistent with the provisions of the

Rules and Regulations or Acts that may be issued or passed
by Congress or by the Office of the President, Department
of Budget and Management, Commission on Higher
Education, Civil Service Commission, Commission on
Audit and other government agencies on matters concerning
education, research, extension, and production.

Section 2. This Code could also be supplemented/complemented by

resolution passed by the Board of Regents as the need arises.

CAPIZ STATE UNIVERSITY

131
UNIVERSITY CODE

Section 3. The rules on governance of State Universities and Colleges

particularly its enabling act or charters and other laws
passed by Congress to this effect shall automatically amend
or modify any provision of this Code which is not consistent
with the said laws and its implementing guidelines.

Section 4. Issuances from the Office of the President, DepEd, DBM,

CSC, CHED, PASUC, DOST, and COA shall form part of
this Code.

Section 5. Any article or section of this Code may be amended as the

need arises as determined by the Board of Regents, the
Policy-making body of the University.

Section 6. Any amendment to this Code shall first be submitted by

the University President to the Administrative Council/
Academic Council for deliberation before it is forwarded to
the Board of Regents for final action.

Section 7. Amendments duly approved by the Board of Regents shall

take effect the following year.

132 CAPIZ STATE UNIVERSITY

BOOK FOUR
RESEARCH, DEVELOPMENT
AND EXTENSION
The book presents the legal bases and frameworks
of the Research, Development and Extension
services of the university.
Discussed also are the structures and personnel
responsible in carrying out the agenda of research
and extension activities.
UNIVERSITY CODE

Chapter 1
RDE VISION, MISSION, GOALS, CORE VALUES, AND
OBJECTIVES

Article 1. Vision: CapSU as a credible and recognized leader in the pursuit

of RDE activities.

Article 2. Mission: The University through its RDE activities shall generate
and extend quality technical information, products
and services in various disciplines using appropriate
approaches for sustained agro-industrial development
to improve the quality of life.

Article 3. Goals:
• sustainable agro-industrialization
• balanced socio-economic growth through technology
generation and commercialization, continued capability
building, communication advocacy on market-driven
innovations, and partnership with key sectors of
development.

Article 4. Core Values: The University’s RDE programs, projects and activities
shall be pursued by its qualified faculty and staff
guided by such core values as Relevance, Excellence,
Commitment, Advocacy and Participatory with an
acronym of RECAP.

Article 5. Objectives: To achieve the University’s goals on research and

extension which are “Institutionalized research culture”
and “Responsive and sustainable extension services,”
the following objectives are set:

1. Conduct research projects which are in line with the

national, regional, provincial and institutional agenda;

2. Safeguard the technology generated through IPR

protection;

3. Disseminate research results to the international,

national, regional, and local stakeholders;

134 CAPIZ STATE UNIVERSITY

 BOOK FOUR

4. Publish researches in refereed/ISI journals;

5. Package technologies for commercialization;

6. Promote international, national, and regional linkages;

7. Maintain publication of the University refereed journal

and textbooks/instructional materials out of research
outputs; and

8. Build capability of the academic and non-academic staff

in order to function effectively.

CAPIZ STATE UNIVERSITY

135
UNIVERSITY CODE

Chapter 2
ORGANIZATION AND MANAGEMENT

Article 1. Organizational Structure

The structural organization of the university (Figure 4.1) for RDE is

divided into several functional elements. As shown in the structure,
the RDE organization is composed of the RDE Council, VP-RDE, RDE
Directors (Research, Extension, IPMO, Training), RDE Center Directors,
Campus Administrator, RDE Chairs, Faculty and staff, Students, and
Target Clienteles/Community. Over them are the University President
and the Board of Regents.

Section 1 The RDE Council. It is the policy-making body of the

University on issues related to RDE activities which is
chaired by the President and VP for RDE as Vice Chair.
Its membership includes the other VPs, campus heads,
campus satellite directors, center managers, and RDE chairs
of campuses of the University. Some of the most important
functions of the RDE Council are as follows:

1. Formulates policies that govern the management and

operations of the RDE Office and its implementing
arms, the Research and Extension Institutes.
2. Acts/approves RDE proposals submitted by the faculty
and staff for implementation and/or funding purposes.
3. Approves budget proposals submitted by the RDE
Center through the VP for RDE intended to fund the
various RDE projects proposed by the faculty and staff.
4. Recommends to the BOR major policies that govern the
RDE activities of the University.
5. Acts on other important matters concerning RDE.

Section 2. Office of VP for RDE. The OVPRDE is responsible in the

formulation of policies, preparation of RDE proposals, and
implementation of all RDE projects of the University. It is
headed by the VP for RDE who is directly responsible to
the President concerning RDE project implementation and
management.

136 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 3. Research Institute. The Research Institute is one of the

arms of the RDE Office which is concerned with the
management and implementation of R&D programs and
projects of the University. It is headed by the Research
Director who is directly responsible to the VP for RDE on
matters concerning R&D activities. The Institute shall be
responsible for generating/developing, verifying, piloting
and commercializing priority technologies and economically
feasible, socially acceptable and environmentally sound
research enterprises.

Section 4. Extension Institute. This Institute is responsible in the

management and implementation of all extension and
clientele training programs of the University. It is headed
by the Extension Director who is directly responsible to the
VP for RDE on matters concerning extension and clientele
training activities. The office is in-charge of facilitating the
diffusion and adoption of appropriate agriculture, fisheries,
industrial and social technologies through the use of
integrated, multi-disciplinary and participatory programs
and services.

Section 5. Intellectual Property Management Office. In order to

strengthen IP management in the university, the Intellectual
Property Management Office (IPMO) shall be established.
The IPMO shall be managed by the IPMO Director to be
appointed by the University President. The IPMO Director
shall be under the direct supervision of the Vice-President
for Research, Development and Extension.

Section 6. Training Management Institute. In order to upgrade the

university’s human resources, the Training Management
Institute (TMI) shall be established. TMI is tasked to identify
trainings for capability building among academic and non-
academic personnel. This office shall be managed by the
TMI Director appointed by the University President and
shall be under the direct supervision of the VP for RDE. The
Training and Management Institute shall plan out, oversee
and manage all relevant trainings, seminars, symposia,
fora, etc. to uphold the University’s vision, mission, goals
and objectives relative to the development of its human

CAPIZ STATE UNIVERSITY

137
UNIVERSITY CODE

resources. Under which, collaboration and coordination

with the campuses through their administrators, satellite
directors and training specialists/coordinators must be
maintained.

Section 7. Research and Development Centers. To insure that research

efforts will be unified and well-directed, the University
shall maintain Research and Development Centers (RDC)
which are headed by Center Directors. The RDC are support
offices for management and implementation of researches
under their respective commodities. They serve as feeders of
research, IP, and extension outputs to the Research Institute,
IPMO Office and Extension Institute.

Section 8. Campus RDE Structure. While the RDE Office is responsible

for the RDE programs and projects of the whole University,
the various campuses/satellite colleges must have their
own RDE organization to take care of these institutional
activities. Each campus/satellite colleges must have its
own departments separately for Research, Extension, IP
Management and Training Management services which
are headed by the chairs and supervised directly by the
Campus Administrator/Satellite Director. The RDE Chairs
formulate and implement RDE plans and programs, do
their own monitoring, reporting, symposia, in-house
reviews, publications, etc. To unify the RDE efforts in the
University, however, there must be a strong coordination
between the RDE organization of the campus and that of
the RDE Office in the central administration. Moreover,
while the management of RDE activities in the RDE Office is
directly under the VP for RDE, that of the campus is under
the responsibility of the Campus Administrator/Satellite
Director through the RDE Chairs (refer to different RDE
Manuals).

Article 2. Duties and Responsibilities of RDE Personnel and staff

The duties and responsibilities of each RDE personnel and staff are as
follows:

138 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 1. Vice President for RDE

1.1. Exercises general supervision and coordination of

all programs, projects and activities of the various
units under his/her office;
1.2. Recommends and implements policies and
guidelines governing RDE program of the
University;
1.3. Spearheads the planning of programs for RDE
activities which are geared towards the growth and
development of the University, in particular, and of
the region, in general;
1.4. Supervises the overall implementation of RDE
program of the University;
1.5. Coordinates, monitors and appraises the
performance of the various RDE units of the
University including those of the research centers/
institutions established in the University and other
affiliate research agencies/institutions;
1.6. Plans, promotes, and carries out working relations
and linkages with appropriate government agencies
and non-government organizations;
1.7. Acts as Vice-Chairman of the RDE Council; and
1.8. Performs other related functions as may be directed
by the President.

Section 2. Research Director

2.1. Directs planning, implementation and evaluation

of research programs and activities to insure the
effective development of packages of technologies
to help respond to local/regional and national
needs;
2.2. Coordinates with other units of the University
and/or related agencies to bring about inter
program/agency complementation and efficient
utilization of available resources through a
functional management information system;
2.3. Represents the Research Program in appropriate
bodies/offices, chairs staff meetings and resolves
conflicts based on established policies and sound

CAPIZ STATE UNIVERSITY

139
UNIVERSITY CODE

management practices in the absence of the

President or VP-RDE; and
2.4. Performs other duties and responsibilities as
determined by the RDE Council

Section 3. Extension Director

3.1. Directs planning, implementation and evaluation

of extension and other development programs
to insure effective technology promotion and
dissemination;
3.2. Coordinates with other units of the University, local
government units (LGUs), regional and national
government organizations, non-government
organizations (NGOs) and people’s organizations
(POs) to bring about complementation and
partnership;
3.3. Represents the extension program in appropriate
bodies/offices, chairs faculty and staff meetings and
resolves conflicts based on established policies and
sound management practices in the absence of the
President and Vice President for RDE; and
3.4. Performs other duties and responsibilities as
determined by the RDE Council

Section 4. IPMO Director

4.1. Directs planning, implementation and evaluation of

IPMO activities;
4.2. Coordinates with other units of the University
and/or related agencies to bring about inter
program/agency complementation and efficient
utilization of available resources through a
functional management information system;
4.3. Represents the IPMO in appropriate bodies/offices,
chairs staff meetings and resolves conflicts based
on established policies and sound management
practices in the absence of the President and Vice
President for RDE, and
4.4. Performs other duties and responsibilities as
determined by the RDE Council

140 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 5. Training Management Director

5.1. Coordinates in the implementation of the

operational plan relative to training of University
Human Resources both academic and non-
academic personnel across disciplines;
5.2. Spearheads the conduct of training for academic/
non-academic personnel to upgrade the four
functions regarding research, extension, production,
and instruction;
5.3. Coordinates with the other directors in terms of
identified training needs and design appropriate for
each group of personnel;
5.4. Sets linkages to other GA, NGA, NGOs for resource
persons needed to include external participants/
trainees identified;
5.5. Identifies materials and equipment necessary for
each training proposed;
5.6. Prepares budget for each training for IGP purposes;
5.7. Monitors and evaluates all training activities
conducted; and
5.8. Performs other functions as may be assigned by the
RDE council.

Section 6. Center Directors

6.1. Plans and prepares RDE proposals for the Center;

6.2 Supervises the conduct of research and extension
activities under the Center;
6.3 Evaluates/recommends RDE proposals submitted
by other proponents in the University;
6.4 Monitors/evaluates on-going RDE projects under
the Center
6.5 Prepares/submits reports of RDE projects being
implemented; and
6.6 Performs other duties and responsibilities as
determined by the Council.

CAPIZ STATE UNIVERSITY

141
UNIVERSITY CODE

Chapter 3
RDE THRUSTS AND PRIORITIES

Article 1. Identification of RDE thrusts and priorities. Through the RDE Office,
the University shall draw its RDE thrusts and priorities, which shall serve
as the basis for the programs, projects and activities the faculty and staff
shall pursue within the foreseeable years. In the identification of these
RDE thrusts and priorities, it shall involve the following major phases, to
wit:

Section 1. Environmental scanning. This activity shall be done

by the RDE management in coordination with the RDE
Council which starts with the analysis of the factors in the
environment relevant to the RDE programs. Environmental
factors refer to the set of forces both inside and outside the
organization that affects organization’s performance. The
internal environmental factors that can be considered are
institutional capacity, structure, support systems (financial
and administrative) and organizational management.

Major consideration of the external factors can be focused

on the political and national policies, laws and procedures
of the government as well as the development programs
of National Economic Development Authority (NEDA),
Department of Agriculture (DA), Department of Science
and Technology (DOST), Department of Environment and
Natural Resources (DENR) and Commission on Higher
Education (CHED).

Section 2. Setting of priorities. In setting the RDE priorities and

agenda, the RDE Office shall consider its national and
regional thrusts and mandates. It should also consider
the information and feedback from various agencies and
sources such as those mentioned above. The RDE Office
may even use set of criteria in the identification of these
priorities which should geared towards the upliftment of life
and poverty alleviation in the region.

142 CAPIZ STATE UNIVERSITY

 BOOK FOUR

2.1 Regional Agencies. Regional priorities in

agriculture and natural resources of the various
agencies in the region are also important bases in
setting priorities in RDE.

2.2 Local Government Units. Aside from the above, the

institution should be sensitive to the priorities set by
various local government units in the province and
the region, in particular, and the nation, in general.

2.3 Other Funding Agencies. The institution should

also maintain close collaboration with various
national and international funding agencies.
Through their RDE grants the facilities of the
University and the competence of its manpower can
be improved.

2.4 Other Important Criteria which can be Used in

Identification and Prioritization of RDE Projects

2.4.1 National thrust. Proposal must be relevant

to the national thrust.
2.4.2 Regional needs and development thrusts.
Activity/Study must be within the regional
needs and development priorities.
2.4.3 Utility for production and consumption.
The activity/study results must have bearing
on utility for production and consumption.
2.4.4 Originality, novelty and applicability.
The proposed study must be original and
the results applicable for research only.
2.4.5 Availability of outside funding sources.
The possibility of funding sources must be
considered for research/extension proposal
for projects that require bigger budget.
2.4.6 Feedbacks from end-users. The activity/
study must answer expressed needs of end-
users.
2.4.7 Time and cost constraints. Activity/Study
should be conducted within reasonable
time and cost.

CAPIZ STATE UNIVERSITY

143
UNIVERSITY CODE

2.4.8 Feasibility of the research/extension

project. The research/extension must be
workable and attainable.
2.4.9. Proponent’s qualification and availability.
The proponent must have expertise on the
proposed topics otherwise he/she may
tandem with an expert.

He/She must have ample time to undertake

RDE activities.

Section 3. RDE Thrusts and Priorities of the University

3.1. R&D. On the macro-level, the University has the

following R&D agenda for the foreseeable years
which are largely in line with the local and regional
development priorities:

1. Field crops – cereals, fibers and root crops

2. Bio-fuels and alternative sources of energy
3. Coconut and other oil crops
4. Horticultural and plantation crops
5. Post harvest, processing, and product
development
6. Fisheries and marine commodities
7. Poultry and livestock
8. Biotechnology
9. Sustainable agriculture
10. Bamboo and other Forest products
11. Health and Environment
12. Energy utilization, conservation and
development
13. Industrial Technology
14. Information Technology
15. Mushroom and other related products
16. Indigenous plants and animals
17. Policy studies
18. Education and behavioral research and other
socio-economic domains

144 CAPIZ STATE UNIVERSITY

 BOOK FOUR

3.2 Extension. The major extension and outreach

programs of the University shall focus on the
following:

1. Extension component of the R&D programs of

the University
2. Skills Trainings
3. Packaging and disseminating viable
technologies
4. Dispersal programs
5. Health and Environment Advocacy
6. Capability building for stakeholders
7. Building enterprises for the rural and urban
poor
8. Production of technology materials (IEC)IP
protection, technology transfer, promotion,
and commercialization
9. Consultancy services

3.3 Periodic review of RDE thrusts and priorities. The

above-listed RDE thrusts and priorities may change
from time to time depending on the situation. For
this reason the University through the RDE Office
shall conduct a regular review of these priorities
so as to keep them attuned with the needs of time.
New items in these priorities may be added when
situation demands.

CAPIZ STATE UNIVERSITY

145
UNIVERSITY CODE

Chapter 4
IMPLEMENTING GUIDELINES FOR RDE

Article 1. RDE as an Institutional Mandate of the University

By mandate, SUCs are obliged to carry out RDE programs, projects

and activities to complement the academic processes of the University.
Tasked to perform these duties and responsibilities are the faculty
and RDE staff who, aside from doing academic routine as their major
function, must also consider RDE as important activities in the
University. Compliant to this mandate, the faculty and staff must be
required to have RDE projects, when time and resources warrant, with
support coming from the University itself or from other sources such
as those from other allied agencies as well as from foreign donors and
benefactors. The University President, Vice Presidents and other key
officials of the University, particularly those in the various campuses, are
therefore tasked to provide financial, morale, material and other form of
administrative assistance the faculty researchers need in order to carry
out these RDE activities.

Article 2. RDE Manuals. The implementing guidelines are provided in separate

manuals for research, extension, IPR, and training. The RDE manuals
spell out the detailed provisions of this Code to serve as guidelines in the
pursuit of RDE activities of the University. The manuals include sections
which are not included in this Code provided they do not contradict any
of the provisions stated hereto. The manuals contain important policies
and guidelines and serve as the guidebook for all RDE personnel of
the University and that it shall be deliberated by the RDE Council and
approved for adoption by the BOR.

Article 3. Strategic Planning for RDE. The RDE Office shall establish a guideline
to provide time for a regular strategic planning workshop among the
members of the RDE Council and other concerned personnel. This kind
of activity shall afford time to review on-going projects and generate
a short- and long-term plan for the RDE personnel of the University
to pursue. This shall provide a clear direction for the University’s RDE
activities. This planning shall always consider the identified thrusts and
priorities of the University as inputs.

146 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Article 4. Preparation and Screening of RDE Proposals. The preparation of RDE

proposals is the primary responsibility of the proponents – the faculty
and staff. Compliant to the thrusts and priorities of the University and
other considerations earlier stated, these proposals shall be prepared
following specified format prescribed by the University or the funding
agency like PCAARRD, DOST, DA-BAR, CHED, etc. The proposals
will be submitted to the responsible RDE centers of the University for
evaluation and endorsement to the VP-RDE and University President
for institutional and external funding. The evaluation of RDE proposals
and the subsequent acceptance thereof shall be guided by the provisions
of the Research Manual.

Generally, the criteria for screening and evaluating the RDE proposals
may include such parameters as relevance, timeliness, capability of the
proponents, availability of facilities required, adherence to set priorities,
non-duplication, soundness of objectives, well-crafted methodology,
workability of task schedules, and reasonability of budget estimates,
among others.

Article 5. Financial Resources for RDE Projects. The University shall allocate
appropriate funds for its RDE projects. These funds shall come from the
General Appropriations Act (GAA), Special Trust Fund (STF), Revolving
Fund (RF), and other possible sources from the budget of the University.
While the budget for RDE programs is provided in the GAA, the amount
is often far from adequate to finance the RDE projects of the faculty
and staff. For this reason, the University must evolve a scheme/system
which shall permit the use of other funds like the STF and RF. But aside
from these sources from within the University, the proponents, and the
University officials alike should exhaust means to establish a strong and
functional linkage with local and foreign research organizations where
money for RDE activities can be solicited in the form of grants, grants-
in-aid, or loans, and other forms of agency funding.

Article 6. Implementation of RDE Programs and Projects. RDE proposals which

have been approved, shall be implemented by the proponent and shall
be monitored/evaluated by the RDE Office following the methods and
procedures contained in the approved proposals. Any changes that
might be done to these approved procedures, shall have the approval of
the President or the agency funding the project or as stipulated in the
contract.

CAPIZ STATE UNIVERSITY

147
UNIVERSITY CODE

Article 7. Researchers’ Responsibilities in Project Implementation. Faculty and

staff researchers whose proposals have been approved for implementation
shall be held responsible in seeing that the project meets its objectives
at prescribed timetable. The researchers are required to get permission
from the RDE Office/funding agency for any extension or delay in the
project completion. Researchers who failed to implement the project
due to negligence and other similar reasons shall be made to explain
and may be required to reconstitute the money spent for the project,
depending on the evaluation of RDE personnel. Project, however, which
failed to reach completion due to force majeure may be reconsidered for
reimplementation, subject to evaluation results and availability of funds
for the purpose.

Article 8. Responsibilities of Researchers upon Project Completion. Upon

completion, researchers shall be given at least ninety (90) but not more
than one hundred twenty (120) days to submit the complete write up
and/or terminal report of the project as stipulated in the contract. Some
measures shall be imposed by the RDE Office/funding agency to compel
researchers to adhere to this policy.

Article 9. Conduct of In-House Review and Symposia. As parts of the required

procedures in the conduct of RDE projects and activities, the RDE
Office shall conduct a regular in-house reviews, research symposia and
other similar activities. All researchers shall be required to present their
respective projects in in-house reviews when called for by the RDE
Center to do so. In-house reviews afford the RDE personnel to present
the status, problems and prospects of the project being implemented. On
the part of the RDE management, this provides an opportunity for them
to hear updates of the project activities under its direct supervision.
The conduct of research symposia shall also be done on a regular basis
both for the students and the faculty and staff. Procedures and other
mechanics of conducting these activities shall be formulated by the
RDE Office or as contained in the Research Manual. The RDE Office
and other officials of the University should encourage the faculty and
staff to present their research output in higher fora/symposia (regional,
national, and international) not only to present the scientific output of
the university but also to actively contribute to science and technology
and for the researchers to gain appropriate recognition for their scientific
endeavors.

148 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Article 10. Publication of RDE Outputs. The University through the RDE Office
shall maintain publications where the faculty and staff can publish their
RDE outputs, particularly research-generated information, matured
technologies, inventions, discoveries and the like. These publications
may include but not limited to research journals, monitors, newsletters,
brochures, monographs, flyers, leaflets, techno-guides and other
forms of similar materials to provide effective media for information
dissemination. The publications shall also serve as exchange materials
with other SUCs and research organizations within and outside the
country. For this purpose, the RDE Office shall form the editorial staff/
board for the University as may be required to facilitate the production
of quality publications. These publications may be issued on an annual,
semi-annual, biennial or quarterly basis, depending on the nature of the
publications and the availability of materials and financial resources. The
RDE Office, then, shall formulate and disseminate guidelines on how the
faculty researchers can be assisted in these activities.

CAPIZ STATE UNIVERSITY

149
UNIVERSITY CODE

Chapter 5
IMPLEMENTING GUIDELINES FOR EXTENSION
AND OUTREACH PROGRAMS

Article 1. University’s Mandate for Extension

The University through the RDE Office and the Extension Institute is
mainly responsible in facilitating technology dissemination, utilization,
value-adding, and commercialization of available appropriate
technologies. Based on available resources, the University can perform
the following areas of concern:

Section 1. Pilot Projects/Model or Special Projects. The University

shall conduct pilot/model/special projects in selected areas
where the technology/project has potential for adoption. The
pilot project shall be undertaken to showcase, field test and
demonstrate viability and goodness of the project. It shall
be properly documented, monitored and evaluated before
recommended for wider dissemination and adoption. Pilot
projects can focus on: a) component technology, b) package
of technology, c) community development approach,
d) group or cooperative approach, e) new production,
postharvest and marketing system, f) model of extension
delivery, g) LGU-academe partnership, and h) agribusiness
model.

Section 2. Capability Building or Training. The Extension Institute

of the University shall plan and implement capability
building projects for various groups particularly for
national government employees, farmers, women, youth,
entrepreneurs, people’s organizations, non-government
organizations and other clients. This can be done in
cooperation with LGUs and existing GOs/NGOs. The
concentration of the training program shall be based on the
needs and interests of target groups of clientele.

Section 3. Information, Education and Communication (IEC)

Materials Development. The extensionists, faculty and
staff in the University shall make IEC materials for various
clientele groups. The use of local/national radio stations and

150 CAPIZ STATE UNIVERSITY

 BOOK FOUR

television to promote technologies shall also be explored,

and when deemed possible, work out a MOA between the
University and the radio/TV station. Technologies can be
popularized in various forms like print (leaflet, primers,
posters, flyers, newspapers), videotapes, and CDs. Techno
fora, press media conference, and other strategies which can
create greater awareness and interest about the technologies
shall also be used. Sample MOA/MOU are presented as
Appendices .

Section 4. Research on Extension, Case Studies, Process

Documentation and Related Activities. The University
with trained faculty and staff shall conduct researches
(technical or social), case studies on various areas of
interests, process documentation of special projects and
other related activities.

The University shall conceptualize new schemes, paradigms,

or projects in agricultural and rural development. After
piloting the model/technology, it shall identify an agency or
group which will manage or continue the project to insure
its eventual institutionalization.

Article 2. Project Planning for Extension

Section 1. Internal Assessment. The Extension Institute shall work

closely with the various offices, departments, and units in the
University to determine available and mature technologies
for dissemination. The Office shall take into consideration
the following:

• total budget for extension of the institution;

• manpower and its capabilities;
• vehicles, equipment, facilities;
• extension program/projects with approved line budget;
and
• linkages and networking.

Section 2. External Assessment. This requires coordination with

the LGUs from the provincial, city/municipal down to the
barangay/village level in order to assess their priority and

CAPIZ STATE UNIVERSITY

151
UNIVERSITY CODE

pressing problems. The Extension Institute shall work with

existing political structure and existing national or local
extension delivery system. Some extension projects may not
involve LGUs, but in many cases, the office shall coordinate,
cooperate, complement and supplement the current
government programs implemented by various local and
national offices.

Section 3. Setting of Priorities in Extension

3.1. University Level. In determining priorities in

extension, the institution shall consider the
national and regional thrusts in research. The
technologies generated, verified and adapted must
be disseminated. The institution shall not limit its
budget on research but shall allocate specific line
item budget for extension projects.

3.2. Regional Level. Since most SUCs are members of

the WESVARRDEC or have linkages with other
RDE institutions and regional offices, technologies
generated based on the needs of the region shall be
given priority.

3.3. Local Level. The institution shall respond to the

needs, problems and priorities of LGUs where the
institution is located. The President, VP-RDE and
director for extension shall establish a working
relationship with provincial, city and municipal
governments. The University shall take cognizance
of the programs implemented by LGUs, as well as
problems and needs where it can provide technical
assistance. The institution can actively help in
responding to the needs of various clients like
technical assistance on various projects, project
proposal preparation, among others.

152 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 4. Preparing Proposals for Extension Projects

4.1. Process Flow of Extension Project Proposal

Preparation

• Identification of Available and Mature

Technologies for Dissemination

The Extension Institute shall disseminate the

technologies generated by the University. One
forum where the office can get such information
is through the in-house review of on-going and
completed researches conducted by the SUC
annually.

The RDE Council shall spearhead the

prioritization of research and extension agenda
which can be submitted for funding.

• Technology Needs Assessment

Basically the immediate priority area of the

SUC is the province where it is located although
it caters to regional and national needs. The
institution must coordinate with LGUs and
other NGA/NGO offices to determine the
priority commodities (crops, animal, fish,
forestry, postharvest, etc.) that need to be
addressed. The problems and needs of farmers,
traders, brokers, millers, institutional market,
and processors shall be assessed.

• Project Proposal Preparation

Proponents of project proposals should know

the priorities of funding agencies in order to
have greater chance of funding support. Quality
and relevance of the proposal, and sometimes
the credibility of the proponent are quite
important. The University’s Extension Manual
should be able to establish a schematic flow of

CAPIZ STATE UNIVERSITY

153
UNIVERSITY CODE

activities in the preparation and screening of

project proposals.

• Submission and Feedback

The proposal may be prepared by a senior staff

in the Extension Institute or from the other
college or units of the University. Said proposal
will be subjected to review and assessment by
the Director of Extension prior to submission
to the VP for RDE, who in turn may constitute
an Ad Hoc Committee who will further review
the proposal. Depending on the outcome
of the review, the proposal may be returned
to the proponent with the information that
the proposal is disapproved or approved, but
subject to revision. Once the revision is made,
the proposal is returned by the proponent to the
VP for RDE for endorsement to the University
President.

4.2. Fund Sourcing

• External Funding. The Extension Institute

should continuously prepare project proposals
throughout the year. The office shall follow the
protocol set by funding agencies.

• Institutional Fund. Extension project

proposals to be funded by the SUC-GAA
funds shall be submitted one year before its
actual implementation following the DBM
schedule of budget proposal submission.

Since SUC budget for extension is very limited,

proposals for trainings/workshops shall be
prepared indicating among others that the
funds will be obtained from registration fees to
be paid by clients/participants or sponsors.

154 CAPIZ STATE UNIVERSITY

 BOOK FOUR

• LGU Fund. Proposals for extension projects

that require counterpart funds or full
funding from LGUs must be submitted to the
chairperson of the appropriate committee in
the Provincial, City/Municipal Council for
screening and evaluation before approval
by the Sangguniang Bayan/Panlalawigan for
appropriate funding support. Proposals for
relatively big projects need to be submitted
one year before implementation. Proposals for
small projects that need small budget support
can be submitted anytime of the year.

CAPIZ STATE UNIVERSITY

155
UNIVERSITY CODE

Chapter 6
PROTECTION OF INTELLECTUAL PROPERTY (IP)

Article 1. As products of human intellect and creativity, university research

and extension outputs are considered intellectual properties, thus,
they are subject to ownership and protection of rights. The University
shall strengthen its capacity to manage its intellectual property assets
by developing and implementing policies and guidelines governing
intellectual property and the inclusive rights. These policies and
guidelines shall be anchored on the Intellectual Property Code of the
Philippines or Republic Act No. 8293, which was enacted in 1997 and the
Technology Transfer Act of 2009 also known as Republic Act No. 10055,
which provides the framework and support system for the ownership,
management, use and commercialization of intellectual property
generated from research and development funded by government, and
other related laws to intellectual property.

Specific provisions related to intellectual property and the inclusive rights

are provided in the Intellectual Property (IP) Manual which shall be
reviewed and deliberated by the RDE Council and shall be approved for
adoption by the Board of Regents (BOR). This manual primarily intends
to facilitate the pursuance of research, development and extension
activities, technology transfer, utilization and commercialization. This
is also formulated to ensure that the intellectual properties generated
by the university are optimally used for public interest and economic
development without sacrificing the rights and benefits of the owner/s,
authors and/or inventors thereof.

Article 2. General Principles

Section 1. University resources should be used for university purposes

and not for personal gain or personal commercial advantage
nor for any other non-university purposes. The university
subscribes to a policy of recognizing the academic practice
of treating faculty members as owners of inventions, works
and other intellectual creations they generate without the
use of university and/or third party funding and without the
use of substantial university and/or third party resources,
which are resources that are not ordinarily available to all

156 CAPIZ STATE UNIVERSITY

 BOOK FOUR

faculty for traditional academic purposes which includes

teaching, research and extension work.

Section 2. The university encourages the faculty’s full freedom in

research and in the publication of their results subject to the
adequate performance of their other academic duties.

Section 3. The university acknowledges that its efforts to generate

income should be weighed against its principal responsibility
to provide a favorable environment to explore knowledge
for the benefit of the public in general.

Section 4. The university accepts that in some cases, the recognition

of intellectual property rights of authors and inventors are
effective ways to ensure accountability and accessibility of
knowledge and technologies.. Criteria for Patentability.

Article 3. Coverage

Section 1. Personnel Covered – Provisions provided on the IP Manual

shall apply to all faculty members, researchers, students, staff
and visiting faculty members undertaking research and/or
development activities pursuant to any program, project,
grant or contract under the umbrellas of the university.

Section 2. Matters Covered –Intellectual Property protection shall

cover:

2.1. All R&D activities implemented by the university

using government resources such as funds, facilities,
materials, personnel and technical assistance.
2.2. All researches, research contracts, tangible research
outputs or properties with or without patent or
copyright protection, written materials, innovations
in extension, whether for commercial and non-
commercial purposes, undertaken using any
university resource and including all technology
transfer arrangements.
2.3. All types of intellectual property rights enumerated
under the Intellectual Property Code as follows:
copyright and related rights, trademarks and service

CAPIZ STATE UNIVERSITY

157
UNIVERSITY CODE

marks, geographic indications, industrial designs,

patents, layout designs or topographies of integrated
circuits and protection of undisclosed information
(Sec. 41-IPC). It shall cover also all technologies
and innovations produced by the constituents in the
university.
2.4. All works created and inventions conceived or
developed by all non-academic and non-research
staff during office hours or with university
resources, regardless of amount shall be owned by
the university, except as otherwise may be provided
herein.

Section 3. Rights Covered – All types of intellectual property rights

recognized under Philippine laws such as Intellectual
Property Code as amended and the Plant Variety Protection
Act as well as all other applicable laws of Philippines and
other states.

Section 4. Other Intellectual Property Rights – This code of the

University on Intellectual Property does not comprehensively
cover guidelines for fair use of intellectual property rights
owned by the university, university personnel or third
parties. For this purpose applicable provisions of the RA No.
8293, WTO agreements, and other existing related statutes,
shall be suppletory.

Article 4. Establishment and Management of the Intellectual Property

Management Office (IPMO).

In order to strengthen IP management in the university, the IPMO

shall be established. The office shall be managed by the IPMO Director
to be appointed by the University President. The IPMO Director shall
be under the direct supervision of the Vice-President for Research and
Extension.

The IPMO Director shall handle the operations of the IPMO with the
guidance and support of the Vice-President for Research and Extension.
This includes managing the functions of the technical committees under
the IPMO.

158 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 1. IPMO Services

Among the services provided by the IPMO are the following:

1. Assistance in patent mapping or patent information

services including state of the art searches/prior art
searches/patent family searches.
2. Evaluation of IPs generated by the R&D activities of
the university to determine if potential IPRs can be
acquired.
3. Evaluation of research papers intended for publication
and/or presentation by researchers to ensure that
IPs, Potential IPRs and IPRs of the university are not
jeopardized.
4. Assistance in the application of protection for IPs or
acquiring of IPRs with the proper authorities.
5. Assistance in negotiation and technology licensing.
6. Conduct of IP audit to determine if there are IP assets
that are not properly protected and commercialized.
7. IP valuation which involves the review of IP assets and
establish their worth.
8. IP management including developing strategies and
plans for IP protection, management, technology
transfer and commercial exploitation of IP assets;
9. Marketing or promoting IP assets ready for transfer
and/or commercialization including identification of
potential takers.
10. Financial review and advice that will conduct financial
evaluation of commercialization offers and manage
and/or keep track of revenues generated from IP assets.
11. Capacity building in IP of the different university
research units.
12. Conduct of advocacy campaigns on IP management

Section 2. Other IPMO Functions

1. Aside from the above services, the IPMO shall likewise

maintain records of the various IP activities of the
university including copies of all Research Funding
Agreements and Research Agreements.
2. It shall likewise be responsible for the preparation and

CAPIZ STATE UNIVERSITY

159
UNIVERSITY CODE

submission of all necessary reports on IP performance

and management of the university in compliance with
the requirements imposed by government authorities
and the laws of the republic.

Section 3. IPMO Technical Committees

In order to strengthen the operations of the IPMO, the VP

for Research and Extension shall organize and recommend
the composition of the Industrial Property Technical
Committee (IPTC) and the Copyright and Related Rights
Technical Committee (CRRTC). The University President
shall approve the composition of both committees.

These technical committees will undertake critical functions

of the IPMO particularly those that require technical
and legal expertise such as evaluation of potential IPRs,
evaluation of research papers prior to publication or
presentation, IP valuation, IP audit and other activities as
may be determined by the IPMO Director with the approval
of the Vice-President for Research and Extension.

The Industrial Property Technical Committee (IPTC) shall

be involved in IPs and IPRs related to industrial property
namely; patents, utility models, trademarks and service
marks, industrial designs, circuit lay-outs, geographical
indications and undisclosed information.

The Copyright and Related Rights Technical Committee

(CRRTC) shall be involved in matters concerning copyright
and related rights.

The IPMO may request for the establishment of other

technical committee if necessary. Such committees
shall be approved by the University President upon the
recommendation of the Vice-President for Research and
Extension.

160 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Article 5. Guidelines on All Copyrightable and Patentable Works

The IPMO in coordination with the Vice President for RDE shall be
responsible for the implementation of the standards, guidelines, rules and
regulations on copyrightable and patentable works with the assistance
of legal officer. Specific policies and guidelines are provided on the IP
Manual.

Section 1. Sharing of Revenues. Revenues may be derived from the

commercialization of the university IPs and IPRs. These may include
upfront technology licensing and transfer fees, royalty payments,
dividends and sales of stocks, among others. Specific provisions
related to sharing of revenues are stipulated on the IP Manual of the
university.

Section 2. Technology Commercialization. It is the policy of the

university that R&D activities should be geared towards addressing
socio-economic development constraints of the country. As such,
it shall put primary importance in the commercialization of IPs
and IPRs through various means such as by technology licensing,
franchising or even outright sale of technology. The IPMO shall assist
the university research units in determining the most advantageous
scheme for technology commercialization.

All income generated from commercialization of IPs and/or IPRs

from R&D funded by public funds shall be constituted as a revolving
fund for use of the university subject to accounting and auditing
rules and regulations.

Provided, that said income shall be used only to defray intellectual

property management costs and expenses and to fund research
and development, science and technology capability building, and
technology transfer activities, including the operation of the IPMO.

Provided, further, that no amount of said income shall be used for

payment of salaries and other allowances.

CAPIZ STATE UNIVERSITY

161
UNIVERSITY CODE

Chapter 7
CONDUCT OF PROFESSIONAL
TRAININGS/SEMINARS SYMPOSIA

Article 1. Academic and non-academic personnel of the university are entitled for
professional upgrading, hence attendance to trainings/ seminar updates
them of the newest trends, methods, or processes useful for the efficiency
and effectiveness of their professional services.

Article 2. Any academic/non-academic personnel of the university belonging to

any unit or sub-unit may submit to the TMI Director a training proposal
that will follow the format/template citing among others the following:
Title of training, Description & Nature of Training, Proposed Date(s)
& Venue, Number of Participants, Registration Fee, Proposed Budget
(cover expenses for speaker fee, foods and accommodation, Training
kit, supplies, materials, equipment needed) and the Proposed activities
broken down for number of days.

Article 3. Justifications to conduct said training must be done in a face to face

conversation with the Training Director showing among others data to
justify the need for such training.

Article 4. Availability of local and international resource persons must be ensured

including his fare and honorarium so as not to defeat the purpose of the
training conducted.

Article 5. Monitoring and Evaluation of day to day activities must have to be noted
down for purpose of enhancement or replication within or outside the
university catering to the needs of other SUC’s, GA’s, NGA’s, and NGO’s
needing the training services of the University’s TMI. Hence, for income
generating purposes.

162 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Chapter 8
POLICIES AND PROCEDURES IN THE HIRING,
DESIGNATING AND TERMINATING RDE PERSONNEL

Article 1. Designation of Program, Project or Study Leader

Section 1. Proponents of approved and funded proposals are

automatically designated as the research/extension leader(s).
If for some reason, one or two of the original proponents will
no longer be available at the time of implementation, qualified
personnel from Research/Extension or other academic
units can be considered. Recommendation for replacement
can be made by the director for research/extension in
consultation with the concerned research/project leader.
Said recommendation is to be endorsed to the VP for RDE
who in turn should issue the appropriate designation for
approval of the university president. If the proposal comes
from the Extension Office, the recommendation must come
from the director for extension.

Section 2. Personnel with academic or non-academic designation

(research assistant) or its equivalent can be designated as: a)
program/project leader, provided that he/she has at least an
MS degree with two years of research/extension experience;
or b) study leader, provided that he or she has a BS degree
with at least three years of research experience.

Section 3. Designation of personnel from other campuses should be

cleared with the heads of these campuses.

Article 2. Other Designations

Section 1. Designation of other administrative positions below the

director’s level shall be done by the director for research/
extension with concurrence of the VP for RDE but their
appointments, if issued, shall be signed by the University
President.

CAPIZ STATE UNIVERSITY

163
UNIVERSITY CODE

Section 2. Additional designations/assignments to be official are put

in writing by designating official, unless in emergency cases
where official designation cannot be immediately done.

Article 3. Hiring/Termination of Personnel

Section 1. For project personnel (research assistants, aides, laborers)

• After thorough review/evaluation the project/study

leader can recommend the hiring or termination of
personnel to the director for research/extension, and
shall be forwarded to the office of the VP for RDE who
further endorses the same to the office of the President
for approval.
• The Office of the President issues the designation/
termination notice to the personnel concerned.

Section 2. For personnel with academic rank:

• For personnel with academic rank to be designated/

hired terminated from the project, the same process as
indicated above shall be followed.

Article 4. Promotion of Personnel. Program/project/study leader recommends to

the director for research/extension personnel for promotion based on
evaluation/promotion criteria. The PSB concerned in this case shall do
the screening of applicants following the general procedures observed in
the University.

Article 5. Workload of RDE Personnel with Academic ranks

Section 1. RDE personnel with academic rank shall carry a minimum

teaching load per semester with equivalent contact hours
per week (CHW) prescribed by the University for a specific
designated position. As per university policy, honorarium
shall be allowed only after the personnel have met the
normal workload, particularly for University-funded R&D
projects.

Section 2. Researchers who have on-going research shall be deloaded

from their normal workload. Specific provisions shall be
reflected in the Faculty Manual or Research Manual.

164 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Section 3. For those with special projects which are externally funded,
deductions in the work load shall follow what is stipulated in
the contract.

Section 4. Full-fledged professors are required to devote 50% of their

workload for research.

Section 5. Faculty members involved in extension/training shall be

given honorarium or service credits for services rendered
during Saturdays and Sundays. The specific amount shall be
reflected in the Extension Manual/Training Manual.

Section 6. All RDE Directors and Center Directors are obliged to

render services on vacation-sick leave basis.

Section 7. RDE Chairs, program leaders, project leaders and researchers

shall have an option to render services on vacation-sick
leave basis as approved by the University President.

Section 8. Faculty with on-going researches and with regular teaching

assignments shall not be given additional load/assignment
without consultation with VP for RDE and Campus
Administrator/Satellite Director.

Section 9. Researchers should also observe the maximum limit of

workload observed in the University.

CAPIZ STATE UNIVERSITY

165
UNIVERSITY CODE

Chapter 9
MONITORING, EVALUATION AND REPORTING

Article 1. Scope. Monitoring and evaluation of on-going and completed RDE

projects are important tools in seeing to it that resources invested to
such projects are used efficiently and effectively. Evaluation activities
should be included at various phases in the design and implementation,
and completion of a project whether it is funded from external or local
sources. Evaluation activities are usually organized at various phases in a
project, namely:

• Ex ante or before implementation - to identify and define a potential

project and appraise its likely results. This requires identification of
a problem that the project will aim to alleviate, and an assessment of
the environment within which the project will be implemented.
• During implementation – to monitor project activities as they
are being implemented or at least to make periodic checks that
implementation is covering planned activities. Monitoring includes
field evaluation, agency in house reviews and integrated reviews.
• Ex post or after completion – to demonstrate that the objectives of
the project have been achieved as planned or to verify whether the
project led to the expected impact on the beneficiaries.

Article 2. Monitoring and Evaluation Methods/Tools

• Regular Meetings. Offices should conduct weekly or monthly

meetings so that problems can be given immediate solutions.
• Field evaluation. Field evaluation consists of regular visits to
experimental sites at specific dates. An evaluation team conducts
these visits to discuss with the researchers the progress of project
implementation.

Article 3. Agency In-House Review. The agency in-house review (AIHR) is

conducted annually to assess the attainment of objectives of the college/
university’s completed and on-going RDE projects; to identify problems
met during project implementation and recommend specific courses
of action to these problems; to update the university’s RDE plans; to
identify new researchable areas, generated technologies requiring field
testing, verification and piloting; and to identify mature and potential

166 CAPIZ STATE UNIVERSITY

 BOOK FOUR

technologies ready for packaging, dissemination and/or significant

information for policy formulation and development planning of the
agency.

Article 4. Preparation and Submission of Reports

Section 1. Progress/Terminal Reports

After completion of the projects, submission of terminal

reports should be strictly enforced. The following guidelines
may be observed:

• On the last quarter of implementation, the Office

of the Director for Research should send reminders
to program/project leaders to submit their terminal
reports.
• Terminal reports are expected to be submitted to the
Office of the Director for Research two but not later
than three months after project completion.
• The Office of the Director for Research should not entertain
proposals from researchers with pending terminal reports.
Completed R&D projects may be published in the
journal or other scientific publications of the RDE Center,
particularly for research with significant information and
the winners of the best graduate and undergraduate theses.
• Researchers shall be encouraged to submit manuscript
in publishable form.

Section 2. Accomplishment Report

Each of the offices under the RDE Center should submit

their accomplishment report featuring the significant RDE
activities/events implemented during the period in review.
Annual accomplishment reports are usually of two types
depending on the coverage of the report.

• Quarterly Report
• Annual Report – Calendar year (from January to
December
• Terminal Report

CAPIZ STATE UNIVERSITY

167
UNIVERSITY CODE

Chapter 10
INCENTIVE AND REWARD SCHEMES

Article 1. Awards and Incentives. In order to motivate and heighten the morale of
the faculty and staff to engage in RDE work, the University must provide
reward and incentive schemes applicable to the University’s situation.
These schemes may include but not limited to honoraria, monetary
reward, certificates (of merit, appreciation, recognition), deloading
of academic assignments, traveling privilege, and others which may
deemed appropriate for this purpose. The RDE Office shall organize
fitting programs to give due recognition to faculty researchers who are
able to produce good-quality research as acknowledged by regional,
national or international fora or symposia. The award system shall be
included in the RDE Manuals but shall be subjected to periodic review
for modification and approval of the BOR.

Article 2. Researchers’ Remuneration. The granting of honoraria and other similar

benefits to RDE personnel, particularly researchers shall be determined
by existing national laws, policies and guidelines or that of the University.
Those RDE projects funded by other organizations and agencies, local
or foreign, shall adhere to the specifications of the approved budget on
the granting of monetary incentives to the faculty and staff working on
it. For university-funded projects, the incentives shall be determined by
what is stipulated in the Research Manual or other instruments approved
by proper authorities or office. The granting of these incentives to the
RDE personnel, when appropriate, shall be given to those concerned
after complying with their responsibilities in the project.

Article 3. Granting of Honoraria

Section 1. Reason. The granting of honoraria/incentives to researchers,

technical and support personnel is provided to encourage
productivity and acknowledge extraordinary performance
and efficient delivery of services and output in the University.

Section 2. Coverage. Honorarium is paid to a government official or

employee or to a private individual who is involved in the
conceptualization of studies, projects or programs and in
the implementation and coordination of RDE activities, or

168 CAPIZ STATE UNIVERSITY

 BOOK FOUR

rendition of advisory, administrative and/or management

functions in the conduct of RDE activities.

Researchers and technical support personnel authorized

by the agency head who render therein shall be entitled
to honorarium/incentive pay. Technical personnel shall
also include accountants and personnel whose technical
expertise in their own field of specialization is required.
On the other hand, support personnel shall include, but
not limited to clerks, typists, drivers and other of similar or
equal rank as determined by the agency-head on a case to
case basis.

Officials and employees assigned to special activities

(task forces, study groups, teams, technical review panels,
committees and consultancy group) which are beyond
their normal workload shall be entitled to honorarium or
incentive pay, provided that such funds have been allocated
in the budget or made available through grants/donations,
or income from outside sources.

Section 3. Rates. Honorarium/incentive pay must be provided in

approved line item budget except in special assignments. In
cases where specific provisions of rates of honorarium are
stipulated in the MOA/MOU for project with external or
foreign funding, the terms of the contract shall be followed.
Payments of honorarium/incentive for project staff and
other personnel concerned shall be made only after the
targeted milestones are attained or after six months of
project completion for activities of projects whose duration
is less than six months. Payment for committee work may be
based on actual performance of work.

Section 4. Limitations/Exemptions. No honorarium shall be paid

regardless of the source of fund without prior approval by the
head of the agency. Such authority to receive honorarium
shall be expressly stated in a special order signed by the head
of the agency.

No individual may be entitled to receive honorarium/

incentive pay in more than one project/study/activity within

CAPIZ STATE UNIVERSITY

169
UNIVERSITY CODE

the program or project. In case where the individual is

assigned/designated in more than one study/project/activity
within each project/program, he/she shall receive only the
highest honorarium/incentive pay.

Article 4. Incentives for Authors of Published Research, Scientific, Scholarly

Works and Books

Section 1. The granting of fair incentive can be provided to encourage

the publication of research, scientific, scholarly works and
books by faculty and staff members aside from the self-
fulfillment the author gets for the publication of his work.
Guidelines for this incentive scheme will be provided in the
Research Manual.

Article 5. Merit System for the Scientific Career System (SCS)

Section 1. Qualified and deserving faculty and staff involved in

research can be recommended to avail of the Merit System
for the SCS established within the Civil Service pursuant to
Executive Order No. 784 dated 17 March 1982. The SCS was
organized on 19 July 1983 with the issuance of Executive
Order No. 901. The establishment of the SCS was further
reinforced by Section 4 of R.A. 8439 entitled “Magna Carta
for Scientists, Engineers, Researchers and other Science and
Technology Personnel in Government”.

Section 2. One of the objectives of the Merit System is to provide a

system of rewards and recognition for outstanding career
scientists to insure their continued service in scientific R
and D in government.

Section 3. Under the SCS, researchers can be conferred with a rank to

the extent they meet the minimum qualifications as follows:

• Scientist I to IV – completion of master’s degree in

the appropriate field of science and ten (10) years of
productive scholarship and professional R and D work
or a doctoral degree and five (5) years of productive
scholarship and professional R and D work.

170 CAPIZ STATE UNIVERSITY

 BOOK FOUR

➢ Scientist I must garner at least 50 points in scientific

productivity (productive scholarship and professional
R and D work) measured in terms of (a) scientific
findings, technologies, discoveries, inventions, major
research papers, book articles, etc. and, (b) acceptance
of scientific findings, inventions discoveries and
technologies as evidenced by citations and acceptance
by end users.

➢ Scientist II must garner at least 60 points in scientific

productivity

➢ Scientist III must garner at least 70 points in scientific

productivity

➢ Scientist IV must garner at least 80 points of scientific

productivity.

• Scientist V – Completion of doctoral degree in

appropriate fields of science and ten (10) years of
productive scholarship and professional R and D work
beyond the doctorate degree. He/she must garner at
least 90 points in scientific productivity.

• Conferment requires that the scientist-applicant is

given the minimum point-score for the rank by each
rater.

Under exceptional circumstances such as awards to

Filipino scientists by internationally recognized award
giving bodies, by unanimous agreement, the Scientific
Career Council (SCC) may confer a rank to the scientific
personnel.

CAPIZ STATE UNIVERSITY

171
UNIVERSITY CODE

Section 4. The rate of compensation, fringe benefits and allowances

in the SCS shall be in accordance with existing laws. The
agency concerned shall pay the salary, allowances and fringe
benefits of the scientist. The SCS shall establish a system for
providing additional incentives to scientists subject to the
availability of funds and existing accounting and auditing
rules and regulations.

After being conferred with a SCS rank, the scientist is

entitled to receive the salary grade (SG) corresponding to
the rank as follows:

Scientist I – SG 26
Scientist II – SG 27
Scientist III – SG 28
Scientist IV – SG 29
Scientist V – SG 30

172 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Chapter 11
INCOME GENERATED FROM RDE PROJECTS

Article 1. Income realized from RDE projects. RDE projects usually generate
income, particularly experiments involving non-human biological
subjects like plants, animals, fish, etc. Products and by-products from
these experiments can then be sold to augment the financial resources of
the University for RDE activities.

Article 2. Revolving/Trust Fund. Incomes realized from these RDE projects and
activities shall be deposited in the revolving/trust fund of the University
and disbursed subject to the usual accounting and auditing rules and
regulations.

Article 3. Fund Utilization. RDE income shall be solely used to:

1) fund RDE projects of the faculty and staff;

2) promote the University’s RDE programs (e.g. incentives, awards,
benefits of RDE personnel and researchers); and
3) purchase scientific equipment/facilities for RDE purposes.

CAPIZ STATE UNIVERSITY

173
UNIVERSITY CODE

Chapter 12
STUDENTS’ INVOLVEMENT IN RDE ACTIVITIES

Article 1. Training for Students. The students are considered future RDE
personnel, hence must be motivated to these endeavors. For this purpose,
students should be involved in the planning and implementation of the
University’s RDE programs and projects. This process will give them
optimum exposure and promote their interest in RDE activities.

Article 2. Use of Facilities. The students must be given access to RDE facilities
without or with minimal fees.

Article 3. Students as Junior Researchers. To make this training effective,

students should be involved by faculty researchers as junior researchers
or serve important roles in the conduct of the extension activities of the
University. The projects they are in are funded by the University.

Article 4. Thesis/Dissertation Support

Section 1. Funding Support for Student Theses. One important

responsibilities of the University is to provide financial,
technical, material and other forms of support to thesis
students, whenever funds are available for this purpose.

Section 2. Objective. To strengthen students’ research capabilities and

help them carry out their theses/dissertation as academic
requirements.

Section 3. Criteria for Application. Graduate and undergraduate

students of the university with an approved thesis/
dissertation outline can apply for thesis support. Other
items of the criteria and guidelines for availment shall be
spelled out in the University’s Research Manual.

Article 5. Search for Best Graduate and Undergraduate Theses

The RDE Center shall initiate to conduct a search for the best thesis among
the students of the University for both the graduate and undergraduate
students. The main objective of the search is to encourage students to

174 CAPIZ STATE UNIVERSITY

 BOOK FOUR

develop outstanding thesis/dissertation by giving incentive to their

work. Specifically, it aims to select one outstanding thesis for science and
non-science courses in the undergraduate level and one each for masters
and doctoral degrees. The awards for winning entries may come in the
form of cash and certificate of recognition, among others. The mechanics
and criteria on how to carry out this activity shall be contained in the
Research Manual.

Article 6. Student Assistantship. Students can be hired to work in RDE projects

as student assistants for them to get exposure to these projects while
earning some amount of money to augment their allowances.

Article 7. Thesis and Dissertation Manual. The RDE Office shall publish Thesis
and Dissertation Manual which will guide the students in the conduct
of their thesis/dissertation. This shall be presented to the RDE and
Academic Councils for deliberation/review and will be endorsed for
approval by the BOR.

Article 8. Requirement for Graduation. Hard and soft copies (CD) of research
outputs of students reformatted for publication shall be submitted to
the RDE Office and Campus Research Department as requirement for
graduation.

CAPIZ STATE UNIVERSITY

175
UNIVERSITY CODE

Chapter 13
PROVISION OF REQUIRED INFRASTRUCTURE AND
FACILITIES FOR RDE OFFICE AND OPERATIONS

Article 1. Building and Laboratories. The University shall provide needed

infrastructures and facilities for RDE operations. In order to attain quality
RDE outputs, particularly in R&D, equipped laboratory facilities as well
as state of the art office and laboratory equipment must be available for
research activities.

Article 2. Experimental Farms. As may be applicable, each campus of the

University must establish their own experimental farms where
agricultural and fisheries researches can be done by the faculty and staff.
These experimental areas/farms must be well secured and the needed
facilities (e.g. engine, irrigation pump, hand tractors, sprayer, etc.) are
provided as much as possible. Preferably, these experimental farms
must be within the campus to be accessible to researchers.

Article 3. Techno-demonstration farms. Techno-demo farms, inside or outside

of the university reservation should be available to showcase innovations
and research breakthroughs, particularly in agriculture, fisheries and
other similar fields. This enhances promotion of new technologies and
encourages wider adoption and commercialization.

176 CAPIZ STATE UNIVERSITY

 BOOK FOUR

Chapter 14
LINKAGES AND FUND SOURCING

Article 1. Fund Sourcing. The usually limited funds available for RDE operations
directly affect the performance of the University resulting to minimal
outputs. The other resources of the University, like manpower, land, etc.,
cannot be fully utilized because of this limitation. This situation demands
that the University authorities must resort to linkaging to avail of other
financial resources offered by other agencies both local and foreign, in
the form of grants-in-aid, donations, loans, etc., for RDE projects.

Article 2. Local Linkage. Within the university, the faculty and staff involved in
RDE must have good working relationship since they usually complement
each other. The RDE program should in itself be a unifying mechanism
to ensure that all the efforts of its manpower are in concert to create
impact to target communities. The university must likewise establish a
viable linkage with the provincial government where the university is
located since the province is considered as the immediate impact zone
of all its RDE programs and activities. The municipal/local government
units within the province can very well serve as partners in the whole
technology development process i.e. from technology generation to
commercialization. Oftentimes, they rely on the innovations and
technologies from SUCs to uplift the economic and social life of the
people within its areas of jurisdiction.

Article 3. National Linkage. National government agencies involved in RDE

like Department of Agriculture (DA), Bureau of Agricultural Research
(BAR), Bureau of Fisheries and Aquatic Resources (BFAR), Bureau
of Postharvest Research and Extension (BPRE), Philippine Carabao
Center (PCC), National Irrigation Administration (NIA), Philippine
Rice Research Institute (PhilRice), DA-Agricultural Training Institute
(DA-ATI), Department of Science and Technology (DOST), Philippine
Council for Agriculture, Forestry and Natural Resources Research and
Development (PCAARRD), PCIERD, Department of Environment and
Natural Resources (DENR), Department of Education (DepEd) can
be tapped either as collaborating or funding agencies. Regional offices
of these national agencies can be consulted and partnerships can be
established. For instance, there are 14 national research and development
consortia throughout the country under the realm of PCARRD and

CAPIZ STATE UNIVERSITY

177
UNIVERSITY CODE

these consortia have viable mechanisms for planning and administering

research, extension and training (RET) in the region.

Article 4. International Linkage. Linkages with international organizations

shall be promoted, facilitated or established to provide the research
faculty and staff with opportunities to work with their international
counterparts/agencies. Innovations and technologies generated as a
result of this collaborative undertaking may find significance not only in
the Philippines but for other countries as well.

Note: Ratified during the Special Academic Council Meeting on September 2, 2015 at
the Dadivas Auditorium, CaPSU Roxas Main, Roxas City

178 CAPIZ STATE UNIVERSITY

BOOK FIVE

INCOME GENERATING PROJECTS (IGPs)

UNIVERSITY CODE

Chapter I
SIGNIFICANCE OF IGPs IN THE UNIVERSITY

Introduction

In olden times, state institutions are viewed as entities established and maintained
solely as institutions of learning which mandate is focused on the offering of curricular
programs for the educational needs of the youth. Their role is mainly to provide
venue where the citizenry are prepared to become professionals whom the country
needs for socio-economic development. This concept however, has changed with
time. Today, SUCs like the Capiz State University (CapSU) are not only concerned
with academics, but also on other priorities which are believed complementary to
the academic mandate of the institution. CapSU, in its case, has not escaped from
these changes. It has also diversified its mandate in response to the need of time. In
addition to academic programs it traditionally pursues, the University now focuses
on a quadro- dimensional mandate: instruction, research, extension and production.

The fourth major focus of the University, which is production, is concerned with
the identification, establishment and business-like operation of income generating
projects (IGPs). The traditional concept of operating production projects to merely
support the academic activities of the University is slowly disappearing. The present
concept no longer dwells on just providing venues and materials for instruction
purposes, but primarily to generate income for the use of the University. The concept
of entrepreneurship is confined within the University through the operation of viable
agro-fishery-industrial projects. These have even been widened and strengthened in
the light of increasing financial problems being faced by SUCs. Income derived from
these projects have greatly augmented the financial capability of the University in
carrying out its major institutional programs and activities. IGP’s then must find a
place in the entirety of plans and programs of the University.

180 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Importance of Implementing IGPs

In consideration of the present financial constraint that all SUCs is facing, the
conduct and implementation of IGPs have become so indispensable. These projects
can generate income, which can help the University financed other development
programs. Specifically, IGPs importance can be best presented in the following
aspects:

Augment University Fund. By intention, the implementation of IGPs is not only
to find additional income for those who are involved, but also to improve the
financial position of the University. Therefore, more IGPs mean more income for the
University’s needs to fund its operation.

Enhancing the credibility of the University. More often, state institutions are not
only judged on the quality of academic activities they undertake, but also in terms
of the production projects the University has. Much more when human and material
resources are abundant that they should be put to productive use. The presence of
these IGPs virtually enhances the credibility of the University in the pursuit of its
mandate.

Models for extension activities. Extension is included in the quadro-dimensional

mandate of the University. The presence of IGPs can improve the dissemination of
technologies by using these as models.

Provide venue for hands-on trainings. IGPs can actually serve the needs of the
students, faculty, personnel from other agencies, and other interested individuals,
groups as well as entrepreneurs for hands-on training and other related activities for
skills development and acquisition.

Interface research, instruction, and extension. IGPs are serving as demonstration

projects in various agro-fishery industrial areas. It can utilize and demonstrate the
output of research works, demonstrate its potential for widespread adoption through
extension and showcase how technology works for instructional purposes. IGPs then
provide a strong link among the four major functions of the University.

Generate employment. IGPs need workers, both professionals and non-professionals.

More IGPs would mean more people who would be given employment.

Augment income sources. Since IGPs are ran for income generation, their
implementation, can provide more incentives or additional income to students,
faculty, employees, and other people who are hardworking, creative and industrious.

CAPIZ STATE UNIVERSITY

181
UNIVERSITY CODE

Develop and produce skilled manpower. IGPs utilize state of the art technologies;
hence, workers who are involved are exposed in this environment on their daily
activities. This would eventually redound on the development and acquisition of skills
by those people who are connected with the projects. These people are the potential
entrepreneurs in the community.

Legal Bases for Implementing IGPs

The following documents are the important legal bases needed in the conduct and
implementation of IGPs:

1. National Budget Circular (NBC) No. 331, NBC 331-A.

2. NBC 331 pertains to Revolving Fund for School Agricultural Operations

aimed at implementing LOI No. 872 in the participation of government
schools in food production program and prescribing rules and procedures
concerning the creation of school revolving fund (Fund 161) out of income
realized from agricultural projects embraced under the food production
program.

3. COA Circular No. 84-239, which deals with the Rules and Regulations
Governing the Accounting of Agricultural Products. Its purpose is to prescribe
uniform procedures for the proper evaluation, recording and reporting of
soil, animal, and fishery products acquired or produced by government
agencies in the national, local, and corporate levels, and engage in farming
and other agricultural activities, and/or animal and fishery production either
as their regular function or as an additional or special project.

4. In addition, institutionalization of IGPs requires the approval of the

concerned school authorities.

IGP Manual: A Tool for IGP Implementation

State institutions like CapSU have sufficient human and material resources, which are
also needed in the establishment and operation of IGPs. The University has qualified
technical manpower, who can be utilized as project managers for income generation.
The fact that the personnel, both faculty and non-teaching, have attained advanced
degrees in various fields, coupled with infrastructures and facilities, the University is
in the best position to operate IGPs. The operation of IGPs are really of great need to
optimize the utilization of these resources.

182 CAPIZ STATE UNIVERSITY

 BOOK FIVE

To operate an IGP, there is a need for a manual that shall serve as guide to all concerned
in the pursuit of their activities within the confines of the University. In essence, an
IGP Manual can provide uniform procedures in starting an entrepreneurial program
in income generation, organization and management, operations, records and
recording system, and financial management. It is of great help in the documentation,
monitoring, and evaluation processes of IGPs. A manual of this kind can likewise
serve as a guide in advocating the relevance, importance and usefulness of IGPs and
the proper management of the idle human and material resources of the University,
thus, institutionalizing income generating projects in the system.

CAPIZ STATE UNIVERSITY

183
UNIVERSITY CODE

Chapter II
HOW TO START AN IGP

Considering the significance of IGP in fund sourcing and its relevance in to the other
mandates of the University, its inclusion in the integral institutional framework is
indispensable. It must be a part of the mission, vision, goals and objectives of the
University. Just like any of the major programs, it should be given priority in terms
of policy formulation, strategic planning, resources allocation, implementation and
evaluation.

The direction to which this project is implemented should be governed by strong

policies, which necessitate the involvement of the University constituents such as the
students, faculty, administrative and facilitative staff and the community as a whole.
This project should undergo thorough and comprehensive planning involving the
expertise that the University has. Owing to the variability of concerns in this project,
a multi-disciplinary approach is imperative to attain desired results. Since they are
important, they should also equitably share the resources of the University for efficient
implementation. To ensure success in these pursuits, the University officials should
also involve a reward system that would encourage the University’s constituents to
actively participate.

But the long way to go in the conceptualization and implementation of successful

IGPs begin with a step. More often, a thorough analysis should be done relative to
resource availability, market situation, needs, problems and constraints that might be
encountered and all other factors that are of prime importance to do before finally
starting the project. Starting a project is in fact one of the hardest things to do. This
part of the manual attempts to provide some helpful tips and strategies on how
to start an IGP. It enumerates and discusses important steps to be followed in the
conceptualization and establishment of a project.

Factors to Consider in Starting an IGP

As preliminary step in starting an IGP, the proponent must take into consideration
various factors within his grasp to determine the viability of the project. Since these
factors are interrelated with each other, they should all be considered during the
planning stage as they contribute in the successful implementation of the project.
As part of the project formulation strategy, the extent of availability of these factors
should be assessed, as to: 1) leadership capability; 2) committed and competent staff
to handle the projects; and 3) available physical resources such as land, labor, capital,
etc.

184 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Leadership capability. The will of the university to implement successful IGPs

must emanate from the key officials and administrators themselves. The head of
the institution in particular, must have an undoubted and sincere commitment to
pursue these institutional programs as a part of the vision for the University. The
same commitment must flow down to his middle managers who are the front liners
in the operation and management of projects. Aptly put, the University head is
responsible in providing leadership to where the University is envisioned to go. The
middle managers, the project in charge should have the same strong determination
for this purpose.

Competent and committed staff. While the head of the institution provides
the direction in the implementation of IGPs, the staff consisting of the faculty,
administrative and facilitative personnel provide the leadership in the actual
implementation of projects. Whether the project succeeds or otherwise, largely
depends on them. Consequently, when these personnel should have the necessary
educational qualification, experience and tract records, competence and ability to
manage the project efficiently. The University therefore must employ a set of criteria
that would govern the selection of who would be project managers and in charge. By
this, the University would be assured of an efficient management of IGPs it desires
to establish.

Resource availability. Equally important factors to consider aside from manpower

resources are the availability of financial and other physical resources. Since IGPs
are business ventures, financial investments are necessary. While for beginners
may opt to start a project with smaller starting capital, others may do it otherwise,
particularly if the proposed project is capital intensive and the potential of success is
high. Nevertheless, it is true that the kind of IGPs the University can establish will
depend on the quantity and quality of its available human and material resources. This
therefore needs capital investment which the University must provide, irrespective of
sources. Funds can be sourced either from the University’s budget itself or from
other external sources. From the University funds, the utilization of savings may be
tried or some realignment of budgets from MOOE may also be resorted. Depending
on the extent of need, the money for IGP may also be programmed from the STF of
the various campuses of the University. External sources may include solicitations,
donations, grants and other similar forms of assistance from government and non-
government agencies, foreign organizations as well as philanthropic individuals. In
some instances, other strategies may be tapped like contract growing or joint ventures
with other business organizations.

CAPIZ STATE UNIVERSITY

185
UNIVERSITY CODE

Steps in Starting an IGP

Just like any business enterprise or agri-business venture, establishing an IGP must
follow an orderly and systematic manner. The proponents have to account all his
needs, requirements and establish projects based on identified project objectives.
Following a more or less systematic procedure would ensure that all the possible
components of the proposed projects are well studied. The steps to consider may
include the following (IGP Manual, 2000):

1. Formulate the vision, mission, goals and thrusts or concern of the

program/project. Identify and emphasize the core values of the people who
will manage it. This will be focused on what should be done and how to
achieve this. This could be undertaken through a workshop of the top-level
managers of the University.

2. Prepare an inventory of the physical resources available in the school and

list down existing facilities. Based on this survey, a land use plan could be
prepared. The current and potential utilization of the facilities should also be
done. Engineers or technical persons in the school could do the work.

3. Survey the needs of students, faculty and staff members, and the residents
of the immediate surroundings as the potential market outlets. This
provides an idea of what products or services are required or demanded
in the area and in what quantities. This information will show the possible
projects to be put up.

4. Determine the enterprises in the area producing the needed commodities.

This step identifies the suppliers and potential competitors of the proposed
projects.

5. Design an appropriate organizational structure. To directly address the

activities of IGPs to be established, there shall be an IGP Management Board
(IGPMB) for each Campus of the University which shall serve as the policy-
making body of the University Agri-business Program. The details of this
Board are explained in the next chapter.

6. Select personnel for the various positions shown in the organizational

chart. The President has the power to select and appoint the personnel based
on the organizational chart.

186 CAPIZ STATE UNIVERSITY

 BOOK FIVE

7. Prepare a farm plan and budget for all selected projects. This activity is
the responsibility of the Project In-Charge who is the direct implementors
of the plan. This plan is further evaluated and validated by the Production
Chairman finally approved by the IGPMB. An example of farm plan and
budget is shown in the appendix.

8. Identify sources of funds. As indicated earlier, the possible sources of funds

for IGPs are from the University itself or from outside sources. Fund sourcing
is a continuing activity which must be the responsibility of the administrators
as well as project proponents of the University.

9. Formulate the implementation guidelines and policies. This is the work of

the BOM and approved by the Administrative Council or the policy-making
body of the University and by the Board of Regents, the highest policy-
making body of the university or school. The guidelines must stipulate the
functions of all personnel involved; the policies for incentives, equivalent
teaching load, and operations (project implementation, marketing, pooling
of farm machinery, harvesting, threshing and storage); and the use of the
project for instruction and research.

10. The guidelines on monitoring and evaluation of projects are infused in the
general policies and part of the functions of the IGPMB.

The success of IGPs are governed by several factors which must be analyzed and
studied thoroughly to ensure the success of the proposed project. The proponents
of the project must be keen enough to detect and predict the presence and influence
of these factors as they actually determine the fate of such projects. These factors
include suitable area, quality stocks or seeds, qualified project managers, availability
of manpower, availability of capital, administrative support and market assurance,
among others (IGP Manual, 2000). These factors are briefly discussed below:

Suitable area. This factor is very important for land-based projects such as rice
production, orchard and crop plantation and fish production. For rice crop, the area
(ranging from 3-5 ha) should have the required physical and chemical characteristics.
For animal projects, the area should be far from houses, has good drainage and near
water and power supply. For fresh water fish production, site requirements include
suitable soil (with adequate clay content for construction durability and water holding
capacity), and reliable source of good water. For fishpond production, such factors
as water salinity, usual water temperature, prevalence of marine pathogens, and etc.
should be considered.

CAPIZ STATE UNIVERSITY

187
UNIVERSITY CODE

Quality stocks or seeds. The initial stock should come from well-established or
accredited hatcheries and rice seeds from trusted and certified growers. This factor is
very important because the yield is dependent upon the quality of stocks or seed used
in the production process. In order to be over-dependent from external sources for
the supply of seeds especially that of rice, it is recommended that a seed production
project solely dedicated for this purpose be operated by the institution.

If this is not possible due to some constraints or limitations, rice seeds can be secured
from government agencies like DA and WESVIARC in Iloilo or other seed growers
in the locality. For tilapia production, some hatcheries which already exist in the
locality may be the source of fry.

Qualified project in-charge. For projects involving animal and fish production, the
PI charge should be equipped with the necessary technical expertise required for the
position. He must possess utmost dedication to his job, working even before and
after office hours. Honesty is a prime virtue which should be incumbent upon the PI
because he handles saleable commodities (rice, eggs, fish, broilers, etc.), inputs, and
funds. He should be able to effectively manage laborers and students working in the
project.

Availability of manpower. This factor is very important for projects such as animal
and fish production which operation requires full-time manpower services, preferably
even on a 24-hour work basis. This is so because there are activities that require full
attention and fixed time schedules such as feeding, health monitoring, and operation
of certain facilities and equipment. The arrangement is for a laborer to live-in at
or near the project site to render services whenever necessary. In crop production
project, the need for laborer reaches its peak during planting and harvesting periods.
It is therefore essential that manpower should be readily available during these times.
It is recommended that one laborer must handle 3,000 layers, or one worker would
maintain 5 hectares of rice farm.

Availability of capital. One of the basic and common problems encountered

in starting a project is the unavailability or lack of funds especially for its initial
operations. Moreover, the availability of funds during critical times in the project’s
operation is also very important. If funding is a constraint, it is advisable to start a
project on a small scale, gradually expanding as income is generated.

The PI should be allowed to draw funds in advance to cover emergency purchases

from potential sources as previously mentioned when needed.

188 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Administrative support. This is required in order to ensure a smooth flow of

transaction and facilitate ease in operation. Administrative support pertains to the
aggressiveness of the school head in providing motivation and policy direction in
the project’s operation, as well as in the assistance and cooperation of the support
office responsible for accounting, procurement, cashiering, budgeting and auditing.
Although the primary accountability rests on the PIs, proper coordination with
support personnel ensures the attainment of production targets. In order to establish
a close relationship between the project staff and administration support personnel,
the latter should be invited to attend the evaluation and planning workshop of the
income-generating project. Thus, enabling them to provide not only constructive
suggestions and criticisms, but also to develop good rapport between and among
those directly and indirectly involved in the project operation.

Market assurance. For a production project to be viable, a market outlet of its

products should be assured. For school projects, there are captive buyers among
the students, faculty and staff members. Market assurance could also be guaranteed
with the establishment of marketing tie-ups with wholesalers, or retailer groups.
Perishable products such as eggs and vegetables have to be marketed in shortest
possible time especially if no storage facilities are available. For schools with large
student population, marketing may not be a problem. However, when students are
on vacation, the project may resort to selling on salary deduction basis to the faculty
and staff members. The problem with this strategy lays on the slow turnover of cash,
hence, the problem of incurring inadequate funds for buying inputs and paying for
operational expenditures arise. It is therefore important that the scale of a project
must be determined considering the size of the market.

CAPIZ STATE UNIVERSITY

189
UNIVERSITY CODE

Chapter III
ORGANIZATION AND MANAGEMENT

To directly address the activities of IGPs to be established, there shall be an IGP

Board of Management (IGPBM) for each of the three Units of the University. It will
serve as the policy-making body of the University’s Agri-business Program. This
board shall have the sole authority to approve certain IGP’s proposed by the Unit for
implementation.

The Board shall be headed by the University President as Chairman, the Chancellor
as Vice Chairman and the Campus Administrator as member. The IGPBM must be
composed of not less than five including the Chairman. If this number cannot be met
for lack of Campus Administrator in the Unit, the Research and Extension Directors
may be considered members. To effectively manage all the agri-business activities
in each campus, the Campus Administrator shall serve as head of the management/
implementation team in his campus. The function of the Project In-Charge is on
the implementation of the project involving the labor force. The details of the other
functions of the IGPBM and other personnel in the organization structure are spelled
out below.

Duties and Responsibilities

IGP Board of Management. The IGP Board of Management directly governs the
University’s Agri-business Program, primarily composed of IGPs. Generally, the
primary duties and functions of the IGPBM are:

1. Serves as the policy-making body of the University for its Agri-Business

Development Program;
2. Formulates regulations, policies and guidelines to govern the entrepreneurial
ventures proposed by the University constituents;
3. Deliberates and approves IGP proposals endorsed by the Unit Chancellor;
4. Acts on matters/problems relative to IGP implementation to be included in
the provision of budget as endorsed for action by the Chancellor.

190 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Specifically, the IGPBM performs the following functions:

1. Determines investment priorities in income generating projects and develop/

promote such projects according to acceptable investment;
2. Makes the projects available as part of the facilities for instruction, research,
extension and training consistent with the policies and programs of the
University;
3. Sets performance objectives and standards in the management and
implementation of IGPs;
4. Approves designations of appointees involved in the implementation of IGPs;
5. Formulates rules and procedures that will govern routine activities as guide
to decision-making concerning funds, property, and resources in accordance
with auditing and accounting procedures ;
6. Approves budgets and other forms of financial assistance that IGPs need; and
7. Approves tie-up programs, contracts and other forms of joint ventures with
other agri-business organizations or individuals.

Campus Administrator. The Campus Administrator shall be tasked to perform the

following functions:

1. Sets the mission, vision, goals and objectives of the campus relative to the
IGP implementation;
2. Identifies IGPs which are believed viable in his campus of assignment. This
activity shall involve the Production Chairman, faculty and staff of the
campus;
3. Implements policies, guidelines, regulations and programs approved by the
IGPBM;
4. Operates, manages and supervises all IGPs of the campus thru the Production
Chairman;
5. Ensures that the IGPs implemented in the campus complement and interface
instruction, research and extension programs;
6. Endorses proposals to the IGPBM thru the Chancellor, who is designed to
improve the management and implementation of IGPs in his/her campus.
7. Evaluates the performance of both the project and personnel involved in the
IGPs of the campus;
8. Proposes the construction, improvement, establishment and repair of
facilities, machinery and equipment, acquisition of supplies, materials and
other resources necessary to achieve the objectives;
9. Proposes the appointment and designation of lower level personnel involved
in the proposed IGP and dismissal of the same for cause after due process;
10. Proposes incentive schemes to be used in the IGPs implemented in the
campus;

CAPIZ STATE UNIVERSITY

191
UNIVERSITY CODE

11. Prepares and submits consolidated reports on various IGP activities

implemented in his/her campus regularly or as required by the Office of the
Chancellor; and
12. Conducts meeting with the Production Chairman on issues and concerns
affecting IGP implementation in the campus.

Production Chairman. The Production Chairman is the person who is directly

in touch with all the production activities of IGPs. He/she shall have the following
functions:

1. Helps the Campus Administrator in formulating the mission, vision, goals

and objectives of the campus relative to the IGP implementation;
2. Assists the Campus Administrator in identifying IGPs which are believed
viable;
3. Directly implements policies, guidelines, regulations and programs approved
by IGPBM;
4. Directly supervises the activities of Project in Charge of all IGPs of the
campus;
5. Allows the use of IGPs to complement and interface instruction, research
and extension programs;
6. Prepares IGP proposals with other faculty proponents for submission to the
IGPBM;
7. Evaluates the performance of Project in Charge and that of the project being
implemented;
8. Suggests policies and guidelines which are necessary to improve the
performance of IGPs.
9. Keeps all pertinent records of all transactions and activities undertaken in
various projects in the campus.
10. Regularly analyzes market situation in close coordination with the Project
In-Charge to serve as guide in the formulation of the production plan for
IGPs; and
11. Devises strategies for the marketing of IGP products and services.

Project In Charge. The PI is the person who directly implements the IGP and
therefore the direct implementer of IGP policies and guidelines imposed by the
IGPBM. He/she has the following functions and responsibilities:

1. Exercises direct supervision on all production activities of personnel and

staff in the project;
2. Prepares project proposals in consultation with the Production Chairman
and Campus Administrator for submission to the IGPBM;

192 CAPIZ STATE UNIVERSITY

 BOOK FIVE

3. Prepares business plan and details of activities of the project;

4. Prepares and submits periodic reports (or as required) to the Office of the
Production Chairman;
5. Prepares and processes requisition forms/vouchers for supplies and materials
needed in the project;
6. Keeps all pertinent records on all transactions and activities undertaken;
7. Performs other related duties as required by higher authorities related to IGP
of the University.
8. Assists the Production Chairman in analyzing market situations for effective
marketing of IGP products; and
9. Assists the Production Chairman in devising strategies for effective marketing
of IGP products and services of the project.

Secretary/Clerk. The Secretary or clerk who serves as Record officer shall be detailed
at the Office of the Production Chairman. His/her major functions are as follows:

1. Keeps records and reports of all IGPs implemented within the campus as
well as proceedings/minutes of meetings conducted on IGPs in the campus;
2. Assists in the preparation of reports, vouchers and other related documents
concerning all transactions of IGPs in the campus; and
3. Performs other related duties as assigned by higher authorities

CAPIZ STATE UNIVERSITY

193
UNIVERSITY CODE

Chapter IV
GUIDELINES AND PROCEDURES
FOR THE OPERATION OF IGPS

To provide direction and guidance to those who are involved in the establishment
and operation of IGPs, guidelines and procedures have to be established for them
to follow. These guidelines consist basically of steps and procedures which serve as
mechanism that facilitates the implementation of IGPs in the University. All those
who are interested, e.g. IGP proponents, managers, administrators as well as the
members of the IGPBM should be familiar with these procedures. All these are geared
towards the success of any agri-business projects being conceived by the proponents.

These operational guidelines are divided into several parts which constitute the
entirety of procedures needed in the effective implementation of IGPs. These are the
following:

1) preparation, submission and approval of IGP proposals

2) personnel management
3) project establishment and operation
4) recording and monitoring activities
5) financial management
6) product disposal
7) incentive schemes
8) marketing of IGP products and
9) use IGPs for instruction, research and extension activities.

Guidelines for the Preparation, Submission and Approval of IGP Proposals

1. Proponents from among the faculty and staff of the campus shall prepare
project proposals based on his/her qualification or known expertise and
submit to the office of the Campus Agri-business Manager (CABM) for
study and evaluation. When the proposal merits the consideration of the
CABM, he endorses it to the Office of the Campus Administrator for another
evaluation. When found viable, the proposal is raised to the Office of the
Chancellor for further evaluation and endorsement to the IGPBM

2. The IGPBM finally deliberates on the proposal in the presence of the

proponent/s and approves or disapproves the proposal. To be able to give a
sound decision, the Board must tap the people in the University who have
the expertise on the proposed project. The decision of the Board shall not be

194 CAPIZ STATE UNIVERSITY

 BOOK FIVE

governed by the viability of the project alone, but also other considerations
like the following:

a. The proponent who becomes Project Manager (PM) must be a faculty

member or non-academic staff with permanent appointment.
b. He must have sufficient experience in managing a project in line with his
specialization.
c. He must possess honesty, sincerity, industry, commitment and willingness
to work even beyond official time.

3. Once approved, the Chairman of the Board shall now issue appointment to the
PM indicating that the said personnel/faculty has been officially designated
to implement the project. The PIC shall now identify other personnel, utility
workers, laborers, etc. needed in the project, which is submitted to the Board
(thru channels) for approval. The project shall be the responsibility of the
Board. During the project implementation, the PM should be guided by the
following policies:

a. PM shall see to it that he complies with his duties and functions as stated
earlier.
b. All products from the projects must be subjected to bidding or through
canvass before selling.
c. Contractual labor can be offered to interested students with the existing
hiring rate in the school. Student Assistants can also be tapped to provide
labor to all IGP projects.
d. No PM shall be assigned to more than one project.
e. PM is discouraged to engage in similar projects inside and outside the
school, which are private in nature.
f. PM shall maintain laborers and/or can utilize student labors who are
paid in accordance with the existing student rate in the school subject to
the approval of the IGPBM.

Guidelines for Project Management and Operations

1. The management and operation of all products shall be in accordance with

the guidelines indicated in the National Budget Circular Nos. 331 and 331-A
and (COA Circular No. 84-239( Appendices A, B and C)

2. The IGPBM is tasked with the responsibility of drawing the management

and operation policies and rationalized production programs of all IGPs in
accordance with the directions and overall programs set by the University.

CAPIZ STATE UNIVERSITY

195
UNIVERSITY CODE

3. The IGPBM, in consultation with its technical consultants and managers,

shall draw medium range production and/or land use program submitted to
the said Board for approval.

4. A yearly production and/or land use program defining the different project
components for that production year shall be designed by the Unit and
Campus Administrator and those concerned with IGPs for the approval of
the IGPBM.

5. No project shall be implemented without Farm Plan and Budget duly

approved by the IGPBM.

6. To start an IGP, the proponent campus may initially fund the project to be
sourced from the GAA, incomes and other sources, whichever is possible
subject to usual accounting and auditing rules and regulations.

7. Procurement of inputs, supplies and materials, and equipment shall be the

function of the Supply Officer or by designated Procurement Officer for
IGPs. Purchases shall be in accordance with government accounting and
auditing rules.

8. Issuance of inputs in accordance with approved farm plan and budget shall
be done after properly accomplishing the necessary documents required by
the COA accounting and auditing rules and regulations.

9. Record keeping shall be enforced to all project managers using the prescribed
forms.

10. A consolidated project report/statement of operation must be submitted on

a monthly basis. Likewise, a quarterly and annual report must be prepared
and submitted to the auditor, board chairman, accountant, supply officer,
chancellor, school administrator for office file.

11. Time of marketing and choice of outlets shall be pre-determined in the plan
or before the products are harvested. Proper canvass and/or bidding must be
done before the products are marketed.

12. Custom hiring of farm machinery shall be allowed if not available in the
school, the Unit Chancellor must approve the request.

13. Harvesting, threshing and storing/warehousing of products shall be in

accordance with the approved specific guidelines.

196 CAPIZ STATE UNIVERSITY

 BOOK FIVE

14. In case a project incurs net losses for reasons other than force majure, the
PM and CABM shall be made directly answerable by requiring that such
losses be covered first from the current income. They shall be barred from
assuming any project managerial supervisory position in any IGP project if
they have incurred losses for two (2) consecutive production cycles (every
6 months for non-seasonal project, and 2 cropping seasons for rice/crop
modules and fishery project).

15. In case of critical project activity where there is labor shortage, pooling of
manpower shall be done with the approval of the Chancellor. Hiring of
contractual labor is also allowed under this situation.

16. All IGP personnel shall be issued an appointment/designation. An academic

faculty participating in any IGP activity shall receive a corresponding
equivalent teaching load (ETL) based on guidelines prescribed on the matter.

Guidelines for Recording and Monitoring of Income Generating Projects During

Harvest

1. The PM concerned shall record/tabulate harvests from the project under

the direct supervision of the ABM. The product maybe sold by authorized
personnel or maybe deposited to a warehouse for safekeeping and future use.

2. Appropriate forms shall be made ready for the purpose. A copy of duly
filled up forms shall be kept/furnished to the PIC, ABM and Campus
Administrator.

3. A summary/consolidated report on production after harvest and analysis

shall be submitted to the Chancellor thru channel and soon reported to the
IGPBM.

Guidelines for Financial Management

1. The PIC shall not spend more than the generated income of the project. In
extreme cases, funds from other viable projects are loaned out to the cash-
starved projects with the consent of the PM concerned, ABM, CA, Chancellor
and the Chairman of the IGPBM. The IGPBM Chairman may approve any
fund transfer between projects involving the 10% net profit share of the
project (the amount for projects capital build-up) with the consent of the
PIC concerned.

CAPIZ STATE UNIVERSITY

197
UNIVERSITY CODE

2. Remittances of all cash sales shall be done in the cashier’s office. If the money
is received by the PM, it shall be remitted not later than 24 hours after receipt
of money.

3. The cashier may post a bond to enable him to cash advance not more than P
50,000 as allowed by the Chief Accountant of the University.

Guidelines for the Disposal of IGP Products

1. All IGP products must be sold for income generation

2. Schedules of selling IGP products must be posted in bulletin boards and
advertised in strategic places to secure good price of products.
3. A bidding for prospective buyers of IGP products is best recommended in
order to get the best price for the said products.
4. The faculty, staff and students should be given priority in the purchase of IGP
products.
5. Purchase of IGP products by salary deduction shall be granted to faculty and
staff who have a net pay of not less than P 3,000 per month.
6. Products offered for sale to the school constituents should be of highest
quality.

Guidelines for the Granting of Incentives to IGP Personnel

Rationale. One of the most important factors that should be considered in the
operation of IGPs is the morale of people involved. This is a strong possibility that
the project would succeed if the people handling it have personal commitment, the
salient factor that can drive people to work harder and accomplish set objectives
even beyond what is expected of them. All these can be best facilitated by having
an acceptable and rewarding incentive scheme that would strongly encouraged the
faculty and staff of the university to get involved in IGPs. To ensure that these people
are justly remunerated for their accomplishments in their respective project, an
incentive scheme is outlined. What has envisioned then is to share benefits to all
faculty, staff, support personnel/offices who directly or indirectly contributing to the
productivity and/or efficiency of all IGPs. To effect this scheme, all beneficiaries of
the net income of projects shall only share certain percentages as stipulated in the
provisions for incentive scheme.

198 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Guidelines for Sharing of Incentives. All projects under IGPs are deemed included
in the incentive scheme. The following policies and guidelines shall govern the
granting of incentives:

1. Incentives shall only be given to concerned individuals if the Return on

Investment (ROI) of the project they are handling reaches ten percent (10%)
or higher during the production period. A production period may mean the
length of time that one project is completed or may refer to one cropping
cycle (one season or one year or more).

2. The overall net profit of the IGP per production/cropping cycle shall be
distributed or shared as follows:

a. 35% - allotted as school share;

b. 10% - allotted to the PM but not to exceed P 10,000;

c. 10% - equally shared by laborers in the project but not to exceed P

10,000;

d. 5% - allotted to the Campus ABM but not to exceed P 5,000 per project;

e. 5% - to be shared by the administrative personnel involved;

f. 5% - allotted as honoraria of the members of the ABM i.e. Chairman

(President), Vice Chairman (Chancellor), Campus Administrator, and
for the two other members of the Board (Vice President) in equal sharing
but not to exceed P 10,000.00;

g. 25% - allotted to capital build-up for the expansion of the same project
or may be loaned out to new or fund-starved projects;

h. 5% and all other amount not programmed - may be used by the Board to
pay for goods and services that are not covered by those indicated above.

CAPIZ STATE UNIVERSITY

199
UNIVERSITY CODE

Guidelines for the Use of IGPs for Instruction

To avail of the existing IGP for instructional purposes, the following guidelines shall
be observed:

a. Whether the project is going to be used by the students, faculty or both,

a formal request should be secured thru channel to be approved by the
Chancellor. The request should contain: 1) the date and duration of using
the project; 2) number of students and faculty who will use the project; 3)
nature of activity, 4) tools and equipment needed; 5) nature of involvement
of project personnel; and 6) other conditions required in the activity.
b. The cost of materials/supplies as well as that of repairs of damaged equipment
shall be borne by the students/faculty.
c. Faculty and students should observe regulations imposed in the project,
particularly pertaining to sanitation of animal projects.
d. The activities of the students/faculty should not necessarily obstruct project
operations.
e. The students may receive some remuneration if they perform some operations
considered essential in the project.

Guidelines for the Use of IGPs for Research

1. Research Proposals

a. Proponents of approved research proposal/thesis outline that will utilize

any portion/segment of the project shall provide a copy to the BOM
Chairman with corresponding communication requesting for allocation
of the needed space area/facilities of the project.
b. The BOM Chairman or his authorized representative in consultation
with the proponent/researcher, project in-charge and faculty adviser
shall allocate the needed space, area/facilities of the project under
consideration.

2. Funding/Financing

a. Student researchers seeking IGP support shall submit a proposal

duly endorsed by the adviser for consideration and action of the IGP
Management.
b. Utilization of any IGP facility (work animal, machinery, etc.) shall
be made available in the conduct of research. Rental shall be paid at
prevailing rates.

200 CAPIZ STATE UNIVERSITY

 BOOK FIVE

c. Student researcher(s) using project supplies and inputs upon proper

arrangements with the project-in-charge and adviser shall reimburse the
costs upon disposal/sale of the produce incidental to research and any
undertaking.

3. Reporting

a. Net profit from the sale of output incidental to the student research shall
be shared both by the research unit and the IGP office accruing to Fund
161.
b. Output produced from student research shall be disposed/ marketed
or sold by the student, project in-charge and adviser based on IGP
guidelines.
c. Out of the sales, rental/s cost of supplies, inputs, stocks advance by the
IGP Management through the Project In-charge, shall be reimbursed/
paid to the account of the Project under consideration.
d. Any net profit of student researchers shall all accrue to the Project’s
account.

Equivalent Teaching Load (ETL) of IGP Personnel

1. All IGP personnel are officially designated by the School Administrator upon
the recommendation of the BOM Chairman.

2. The following are the Equivalent Teaching Load (ETL) given to faculty/staff
working in different Income Generating Projects:

Designation Maximum ETL

a. Chairman, Board of Management 12

b. Member, Board of Management 4
c. Project Manager 6
d. Project-Investment Analyst 4
e. Project In-Charge 3

3. The ETL received by IGP personnel shall not be included in the computation
of overload pay, but considered in the estimate of the workload.

CAPIZ STATE UNIVERSITY

201
UNIVERSITY CODE

Guidelines for Cutting/Harvesting of Trees

1. A request to cut trees must be requested by the Campus Administrator,

noted by the UBAO Director, recommended by the Vice President for
Administration and Finance and approved by the University President.

2. The total number of trees including the species of trees to be cut and the
purpose for cutting/harvesting of trees must be stated in the request.

3. Cutting of trees shall be done in the presence of Campus Supply Officer or his
authorized representative.

4. Inspection of the lumber will be done by the local campus inspection

chairman.

5. After cutting and sawing of trees, the Campus Administrator through the
CBAO/IGP Campus Chairman must give report to the UBAO Director for
the number of board feet produced out of the harvested trees for proper
accounting and recording.

6. If the lumber will be used for the repair of school buildings, a report must
be made stating the type/kind of building being repaired and the number of
board feet used for the said repair.

7. If the lumber will be used for furniture making like tables, bookshelves,
chairs, etc, a report must be made as to the number of furniture produced,
the estimated cost and the number of board feet used for proper recording
and accounting as University’s property.

8. If the lumber will be sold out, proper bidding must be done and sales report
must be made through income statement indicating the species of trees,
number of board feet, date it was sold, amount and with official receipt
number.

202 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Chapter V
RECORDS AND RECORDING SYSTEM

Importance of Records

Records are necessary in monitoring and evaluating the performance of the project
which serves as basis in making decisions, formulating policies, and calculating
incentives.

In project management, three persons/offices should keep the same set of records
– project in-charge, chairman of the BOM, and accounting office. Monthly
reconciliation of income and expense records are encouraged to minimize problems
of wrong entries at the end of the production cycle.

Keeping of Records

The following specific records are kept by members of the BOM:

IGP Chairman/UBAO Chairman

1. Journal of analysis of obligations (JAO). This is reconciled with the

accounting office annually.
2. Status reports of projects
3. Semi-annual and annual reports
4. Copy of labor contract and lease contract
5. Copy of RIV, PO, Abstract of Canvass, ROA, vouchers
6. Copy of appointment of SO and casual employees
7. Financial analysis report of the project analyst and accounting office
8. Cash advance ledger of the BOM chairman
9. Designation of Project In-Charge

Project In-Charge

1. Farm Plan and Budget

2. Warehouse receipts or weight slip (for crop projects)
3. Delivery receipts of products brought to market outlets
4. Sales invoices
5. Status report of project
6. Semi-annual and annual reports

CAPIZ STATE UNIVERSITY

203
UNIVERSITY CODE

7. Income statement prepared by project in-charge, accounting office and

project analyst.
8. Financial analysis report of the project analyst

Accountant

1. Journal of analysis of obligations (JAO)

2. General ledger
3. Subsidiary ledger
4. Checks paid
5. Trial balance
6. Income Statement of each project

Other Records and Reports Kept at Various Offices

Cashier’s Office

1. Cash book
2. Bank book
3. Reports of check issued and cash disbursements
4. Monthly accountability report
5. Daily collection report
6. Reports of daily deposits

Business Manager’s Office*

1. Sales invoice
2. Collection list (for purchases by salary deduction)
3. Statement of accounts (tolling fees, rentals, electricity and water)
4. Subsidiary ledger by project

Procurement Office**

1. Bidding forms
2. Advertisement for bidding
3. Invitation to bid
4. Abstract of bids
5. Purchase orders

204 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Property Office

1. Inventory of stored inputs

2. List of equipment/machineries

Farm Machineries Office***

1. Charges on land preparation and hauling of produce

2. List of machineries

Personnel Office

1. Appointment of casual employees

2. Vacation and sick leave of causal employees
3. Copies of labor contract

* For small campus, the functions of the Business Manager may be performed by the
Project In-charge
** Can be fused with property office
*** The records of the farm machineries office may be kept by the IGP Coordinator

Control System Procedures

Control mechanisms have to be instituted to ensure success of IGPs.

For crop projects, the guidelines are as follows:

1. Project In-charge prepares farm plan and budget for the cropping season.
No inputs will be purchased without an approved farm plan and budget,
except for emergency cases.
2. Inputs needed for the day are withdrawn by the Project In-Charge through
a request for issuance of supplies (RIS), and upon signing the warehouse
logbook. The inputs withdrawn are based on the farm plan and budget.
3. The Project In-Charge monitors input application in the field, then returns
empty fertilizer sacks and bottles to the warehouse.
4. Threshing is allowed only at day time with the presence of a security guard/
IGP Coordinator or his representative. Threshing at night and holidays may
be allowed with the approval of the School Head.

CAPIZ STATE UNIVERSITY

205
UNIVERSITY CODE

Process Flow of Papers

This section of the manual shows the various activities of IGP operations and the
responsible office in the preparation and approval of the papers.

Activity Responsible Office/Signatory

1. Procurement and Delivery System

a. Preparation of business plan and budget Project Manager
b. Consolidation of inputs requirement Campus Administrator
Supply Office
c. Certification of fund availability Budget Office
d. Procurement of inputs Supply Office or
Bids and Awards Committee
e. Delivery/acceptance of inputs Supply Office, Project
Manager, ICU and Supplier

2. Issuance of Supplies
a. Preparation of purchase request Project Manager
b. Approval of purchase request Campus Administrator
c. Issuance of supplies Supply Office,
d. Receiving officer Property Custodian

3. Salaries and Wages

a. Preparation of payroll Project Manager
b. Certification of daily time record Project Manager
c. Certification of fund availability Budget officer
d. Recommending approval Campus Administrator
e. Approval University President

4. Payment of Contractual Services

a. Certification of job completed Project Manager

b. Acceptance/request for inspection Campus Administrator
c. Inspection ICU
d. Preparation of voucher Project Manager

206 CAPIZ STATE UNIVERSITY

 BOOK FIVE

5. Product Disposal

5.1 For large animals

a. Request to dispose animals Project Manager
- Certification on health of the Project Veterinarian/
animals to be disposed. Livestock Inspector
- Recommending approval Campus Administrator
- Approval University President
b. Request for inspection Project Manager
c. Inspection/Verification of sales Auditor or Representative
d. Payment at the cashier’s office Buyer
e. Recording of sales invoice Project Manager
f. Issuance of official receipt Cashier

5.2 For Poultry/Forestry/Crop Products at the University Marketing Center at

the project site
a. Securing of sales invoice from the Project Manager
cashier’s office
b. Collection of payment and issuance Project Manager
sales invoice
c. Remittance of sales to the Project Manager
cashier’s office
d. Issuance of official receipt Cashier
e. Monthly report of income/sales Project Manager
(Copy furnish Campus Administrator)

Poultry/Fishery/Crop Products

For Poultry and livestock, the control guidelines are as follows:

1. Project in-charge prepares farm plan and budget for each production cycle.
2. Monthly reporting of inventory of stocks
3. Monthly reconciliation of data on income and expenses by the project in-
charge with the accounting office.
4. Presence of auditor’s representative when selling large animals.
5. Marketing of produce at the project site is permitted with corresponding
sales invoice.
6. Daily remittance of collections to the cashier’s office.
7. Preparation of monthly statement of sales and expenses

CAPIZ STATE UNIVERSITY

207
UNIVERSITY CODE

Fishery Products

1. Project In-charge prepares a farm plan and budget for production cycle
2. Presence of security guard during harvesting
3. Monthly reporting of sales and expenses
4. Daily remittances of collections to the cashier’s office.

At the campus level, the monitoring and evaluation system are done in accordance
with following guidelines:

Type of report Frequency Prepared by Submitted to

1. Submission of reports by the project in-charge and IGP coordinator.

2. Regular visitation of the IGP Coordinator and the Farm Manager.
3. Conduct of performance evaluation after each production cycle (done
outside the school).
4. Conduct of project analysis by selected faculty members to be presented
during the performance review.
5. Conduct of regular (monthly) meeting of the project in-charge by the IGP
Coordinator and the School Head/University President.
6. Spot checking of the resident auditor and the School Head on the status of
projects.

Record Forms and Formats

All Types of Projects

1. Farm plan and budget - shows the overall activities, dates and corresponding
amount of money required in one production cycle. This is the basis for the
purchases of inputs and the timeliness of the activities. This record is needed for
monitoring the progress of the project (Gen. Form 1).

2. Daily Transaction Record – serves as logbook of daily transactions of the project

and as basis in the preparation of sales and expenses records (Gen. Form 2).

3. Remittance slip - is used when a project in-charge remits his collection for the
day. The total amount is part of the sales of the project (Gen. Form 3).

4. Gate pass of product released – shows the name of the buyer; quantity of
the product and the official receipt number. This record is needed to monitor
products coming out of the campus and deter the possible incidence of pilferages
(Gen. Form 4).

208 CAPIZ STATE UNIVERSITY

 BOOK FIVE

5. Cash Sales record - shows the amount of cash sales including the name of buyer
and items purchased (Gen. Form 5).

6. Receivable Accounts Record – shows the amount of credit sales, name of buyer
and items purchased (Gen Form 6).

7. Quarterly report - shows the actual income and expenses of the previous quarter,
problems encountered and solutions offered; income and expense, expected
problems and best possible solutions for the next quarter (URGP Form 7a),
and physical report of operations which refers to planned activities and actual
accomplishments (URGP Form 7b).

8. Monthly financial record of operations – The format of the report will depend
on the peculiarity of the project concerned.

Crop Projects

1. Production record – presents the gross yield and net yield in wet basis. It can
be used to calculate yield per hectare. It is filled up at the end of each cropping
season (Record Form 1).

2. Expense record – identifies the quantity and costs of inputs and the expense of
contract labor. This record is filled up within the cropping season and should be
consistent with the expense items listed in the farm plan and budget. It can be
used for all types of projects (Record Form 2).

3. Inventory of inputs - indicates the amount and value of inputs left after one
production cycle. It is done at the end of the cropping season (Record Form).

4. Weight slip - shows the number of bags and weight of the palay. This is given by
the warehouseman to the project in-charge as the produce enters the warehouse,
and after drying the palay (Record Form 4).

Animal/Fishery Projects

1. Feed Consumption and Weight record - shows the population, mortality and
feeds consumed. It shows the consumption of feed conversion ratio (Record
Form 5).

2. Flock Production Record – presents the population, egg production and feeds
consumed of the whole flock. It shows the computation of feed, conversion ratio

CAPIZ STATE UNIVERSITY

209
UNIVERSITY CODE

for layers. It also indicates the depletion of layers, either culled or dead (Record
Form 6).

3. Egg Production and Disposal Record – indicates the egg production by size and
the amount of eggs sold (Record Form 7).

4. Health Care and Management – shows the activities undertaken in a day. It can
be used for animal and fishery projects (Record Form 8).

5. Feed Consumption Record – presents the amount, type and cost of feeds. This
format is appropriate for hog fattening, goats and fish projects (Record Form 9).

6. Monthly Inventory Record – shows the beginning and ending inventory of each
class of animals, the value and the number added and disposed (Record Form
10).

7. Breeding Record - monitors the date of breeding for each female and male
animal, the expected and actual date of birth, and litter size (Record Form 11).

210 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Chapter VI
FINANCIAL MANAGEMENT

The financial aspect of the project quantifies and summarizes the value of all business
transactions and resources used in the operation of the project. Sound financial
management is very important because it determines the profitability of the project,
adequacy of funding, assume assurance of timely cash flows, and economy of
operation. This chapter provides guidelines and instructions for the preparation of
financial statements and procedures in calculating the project’s financial profitability/
viability.

Sourcing of Fund

Before Project Operation

Initially, a school or university must have some sources of funds before it can operate
its projects to realize income or even before it can create a revolving fund out of its
realized income from the projects.

Before the National Budget Circular No. 331 and 331-A became into law, a school or
university gets funds from the National Government, specifically from General Fund
101, consisting of the Administration Fund, Higher Education Fund, and Research,
Extension and Training (RET) Fund to finance the operations of its projects. It can
also obtain funds from Fund 163 known as the Auxiliary (non-agricultural fund)
coming from dormitories, housing facilities, canteen, infirmary and printing press.
These funds are then pooled into a revolving fund.

The revolving fund will then be used to finance the operations of different income-
generating projects (IGPs) of the school. The amount taken by each project from
this revolving fund will depend on its needs for a particular production period as
reflected in the farm plan and budget submitted by the Project In-Charge.

Each IGP has a subsidiary ledger to reflect the different transactions and expense
items it has incurred and the sources of revenues it has generated during a certain
production period.

Any amount in excess of the capital build-up (CBU) or the net income/profit earned
should be returned to the revolving fund, aside from the working capital it has
obtained. However, the net income realized from the project operations can be used
in the next operating period.

CAPIZ STATE UNIVERSITY

211
UNIVERSITY CODE

In case a project incurred losses, it can still operate and get its working capital from
the revolving fund. In the event that losses are incurred again, it can still continue
its operation and get funds from the revolving fund. However, the causes of losses
should be determined and asserted first, before the Project In-Charge is terminated
and replacement is recommended by the Chairman of the Board of Management
(BOM), for submission to the School Administrator for approval.

After Project Operation

Under the National Budget Circular No. 331 and 331-A, all state universities and
colleges, in its participation in the food production program (LOI No. 872), are allowed
to create a school revolving fund out of the income realized from agricultural projects
embraced under the said food production program. Since then the management and
operation of all projects shall be in accordance with the guidelines provided for by the
National Budget Circular No. 331 & 331-A, and COA Circular No. 84-239.

State universities and colleges shall account the revolving fund as special account
in the general fund using code 161. A separate trial balance shall be prepared in
accordance with existing accounting rules and regulations.

Financial Statements

The end product of the financial accounting process is a set of reports which are called
financial statements. The three financial statements which must be prepared by the
Project In-charge every end of the period for submission to the IGP Coordinator are
the following: a) income statement; b) cash flow statement; and c) balance sheet.
However, in the present government accounting system, only the income statement
is being prepared among the three financial statements.

212 CAPIZ STATE UNIVERSITY

 BOOK FIVE

Income Statement

Income statement shows the result of operation of the project for a certain period of
time, usually a month (for fast moving projects, i.e., with daily sales such as poultry,
fishpond and swine); or a production cycle (for projects like rice). It shows whether a
net income is earned or a net loss is incurred by the project during the period.

An income statement showing the revenues and expenses has the following format:

Name of Project

INCOME STATEMENT

Period Covered ___________________________________

REVENUES

Sale of ___________________ P __________________

_________________________ __________________
_________________________ __________________

TOTAL REVENUES (A) P __________________

Less: OPERATING EXPENSES
_________________________ __________________
_________________________ __________________
_________________________ __________________
_________________________ __________________

TOTAL OPERATING EXPENSES (B) __________________

NET INCOME (LOSS)(A-B)
P __________________

CAPIZ STATE UNIVERSITY

213
UNIVERSITY CODE

1. Revenues. These are the incomes which accrue to the project. These consist
smainly of sales of product or output from the different projects. The different
sources of revenues for each type of project are shown in the following table.

Type of Project Sources of Revenues

1. Crops (Rice) Sale of milled rice & palay seeds

2. Broiler/Poultry Sale of broilers, manure and empty feed bags

Sale of eggs, cull, manure and empty feed bags

3. Swine Sale of weanlings, fattener, lechon, culled sow/boar

and breeder gilt/boar

4. Goat Sale of stocks and milk

5. Beef cattle Sale of fattened culled cows and yearlings

(slaughtered)

6. Tilapia Sale of tilapia and fingerlings

2. Expenses. These are mainly expenditures of production inputs, labor costs

and other needed things in the operation of the project. The different expenses
incurred in the operation of different projects are enumerated in the following
table.

Type of Project Expenses Incurred

1. Crops Inputs like seeds, fertilizers, chemicals, hired labor,

machinery/fuel & oil and irrigation fee

2. Broiler/Poultry Stocks, feeds, veterinary supplies & services, and

labor (For contract growing, only labor services
and additional vet. supplies)

3. Swine Stocks, feeds, veterinary supplies & services, and

labor

4. Goat Stocks, concentrate feeds, buck service, veterinary

supplies and services

214 CAPIZ STATE UNIVERSITY

 BOOK FIVE

5. Beef Cattle Stocks, feeds, veterinary supplies & services and

labor

6. Tilapia Fingerlings, chicken manure, inorganic fertilizer,

herbicide, fuel/oil, irrigation fee and transport

3. Net Income (Loss)

A net income is realized if the total revenues generated during a certain production
period is greater than the total expenses incurred in the same period in generating
those revenues. However, if the total expenses are greater than total revenues, a net
loss is incurred.

CAPIZ STATE UNIVERSITY

215
UNIVERSITY CODE

Cash Flow Statement

Aside from determining the profitability of a project by preparing the income

statement and computing its net during the period, the adequacy and timeliness of
the project’s cash flows to attain its profit objective should also be considered and
determined through the cash flow statement. It is only then that the project could be
considered financially feasible.

The cash flow statement highlights the amount of cash generated from the project’s
operations as well as cash expenditures (cash outflow) incurred during a certain
production period.

Name of Project

CASH FLOW STATEMENT

Period Covered _____________________

CASH FLOW
___________________________ P ______________________
___________________________ ______________________
___________________________ ______________________
___________________________ ______________________
TOTAL CASH INFLOWS ______________________

Less: CASH OUTFLOWS

___________________________ ______________________
___________________________ ______________________
___________________________ ______________________
___________________________ ______________________
___________________________ ______________________
TOTAL CASH OUTFLOWS ______________________
Equals: NET CASH FLOW ______________________
Add: CASH BALANCE, BEGINNING ______________________
Equals: CASH BALANCE, ENDING P ______________________

216 CAPIZ STATE UNIVERSITY

 BOOK FIVE

1. Cash Inflows

The sales revenues generated by the project from the sale of its products in the
form of cash are considered the cash inflows during the production period. All
cash sales are remitted to the Cashier’s Office.

2. Cash Outflows

All the expenses incurred during the period wherein cash flowed out of the
project are considered the cash flows.

These consist of cash payments made for the purchase of the different farm inputs
like fertilizers, seeds, veterinary supplies, etc. and cash payment for the hired
labor.

3. Cash Generated by Operations

The cash inflows and outflows associated with the project’s revenues and expenses
are then combined into a net amount of cash generated from operations. The total
cash outflows are simply deducted from the total cash inflows. The difference
of which is then added to the cash balance at the beginning of the production
period to determine the cash balance at the end of the period. The ending cash
balance is then reflected in the balance sheet prepared lastly at the end of the
period.

IGP Coordinator

Secretary

Accountant Project In-Charge Business Manager

Figure 1. Organization and Management Structure of IGPs in the University.

CAPIZ STATE UNIVERSITY

217
UNIVERSITY CODE

BOARD OF REGENTS

IGP BOARD
MANAGEMENT

ADMINISTRATIVE
STAFF

CAMPUS
BUSINESS AFFAIRS

SECRETARY/CLERK

PROJECT PROJECT PROJECT PROJECT

IN-CHARGE IN-CHARGE IN-CHARGE IN-CHARGE

WORK FORCE

Figure 2. Organization and Management Structure of the Board of Management

218 CAPIZ STATE UNIVERSITY

 BOOK FIVE

REFERENCES

Association of Colleges of Agriculture in the Philippines, Inc. (ACAP). Unified

Manual of Operation for Income Generating Projects for ACAP Member-
Institutions

F. Battad, T. Battad, R. Cabanilla, R. Gutierrez, R. Sevilleja, E. Marzan and H.

Mescallado. 2000. Income Generating Project Manual. CLSU, Science City of
Munoz and TESDA, Taguig, Metro Manila.

E. Marzan and R. Cabanilla, 1995. University Agribusiness Program Handbook,

UAP-CLSU, Munoz, Nueva Ecija.

E. Marzan and R. Cabanilla. 2000. Strengthening Entrepreneurship in Academic

Institutions: A Corporate Strategy for the 21st Century. CLSU, Munoz, Nueva
Ecija.

COA Circular No. 84-239. Rules and Regulations Governing the Accounting of
Agricultural Products.

NBC No. 331. November 27, 1980. Revolving Fund for School Agricultural
Operations.

NBC No. 331-A. December 23, 1982. Revolving Funds for School Agricultural and
Manufacturing Operations.

CAPIZ STATE UNIVERSITY

219
NOTES
_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________
 CAPIZ STATE UNIVERSITY
(FORMERLY PANAY STATE POLYTECHNIC COLLEGE)
Fuentes Drive • Roxas City, Philippines 5800 • Telefax: (036) 621-4337 • Tel. No.: (036) 621-3514
Capiz State University is accredited by Accrediting Agency of Chartered Colleges and Universities of the Philippines (AACCUP) and is a member of
Philippine Association of State Universities and Colleges (PASUC) and Agricultural Colleges Association of the Philippines (ACAP)

PRINTED BY:

CAPIZ STATE UNIVERSITY PRINTING HOUSE

Corner Fuentes Drive-Hemingway Street, Roxas City